[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2016 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

          Title 49

Transportation


________________________

Parts 200 to 299

                         Revised as of October 1, 2016

          Containing a codification of documents of general 
          applicability and future effect

          As of October 1, 2016
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

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                            Table of Contents



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

  Title 49:
    SUBTITLE B--Other Regulations Relating to Transportation 
      (Continued)
          Chapter II--Federal Railroad Administration, 
          Department of Transportation                               5
  Finding Aids:
      Table of CFR Titles and Chapters........................    1243
      Alphabetical List of Agencies Appearing in the CFR......    1263
      List of CFR Sections Affected...........................    1273

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

                     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 
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    To determine whether a Code volume has been amended since its 
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Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
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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 
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citations for the regulations are referred to by volume number and page 
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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 
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PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
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Code users may find the text of provisions in effect on any given date 
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for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not accidentally dropped due to a printing or computer error.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
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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.
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this volume.

[[Page vii]]

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the revision dates of the 50 CFR titles.

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INQUIRIES

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    Oliver A. Potts,
    Director,
    Office of the Federal Register.
    October 1, 2016.







[[Page ix]]



                               THIS TITLE

    Title 49--Transportation is composed of nine volumes. The parts in 
these volumes are arranged in the following order: Parts 1-99, parts 
100-177, parts 178-199, parts 200-299, parts 300-399, parts 400-571, 
parts 572-999, parts 1000-1199, and part 1200 to end. The first volume 
(parts 1-99) contains current regulations issued under subtitle A--
Office of the Secretary of Transportation; the second volume (parts 100-
177) and the third volume (parts 178-199) contain the current 
regulations issued under chapter I--Pipeline and Hazardous Materials 
Safety Administration (DOT); the fourth volume (parts 200-299) contains 
the current regulations issued under chapter II--Federal Railroad 
Administration (DOT); the fifth volume (parts 300-399) contains the 
current regulations issued under chapter III--Federal Motor Carrier 
Safety Administration (DOT); the sixth volume (parts 400-571) contains 
the current regulations issued under chapter IV--Coast Guard (DHS), and 
some of chapter V--National Highway Traffic Safety Administration (DOT); 
the seventh volume (parts 572-999) contains the rest of the regulations 
issued under chapter IV, and the current regulations issued under 
chapter VI--Federal Transit Administration (DOT), chapter VII--National 
Railroad Passenger Corporation (AMTRAK), and chapter VIII--National 
Transportation Safety Board; the eighth volume (parts 1000-1199) 
contains the current regulations issued under chapter X--Surface 
Transportation Board and the ninth volume (part 1200 to end) contains 
the current regulations issued under chapter X--Surface Transportation 
Board, chapter XI--Research and Innovative Technology Administration, 
and chapter XII--Transportation Security Administration, Department of 
Transportation. The contents of these volumes represent all current 
regulations codified under this title of the CFR as of October 1, 2016.

    In the volume containing parts 100-177, see Sec.  172.101 for the 
Hazardous Materials Table. The Federal Motor Vehicle Safety Standards 
appear in part 571.

    Redesignation tables for chapter III--Federal Motor Carrier Safety 
Administration, Department of Transportation and chapter XII--
Transportation Security Administration, Department of Transportation 
appear in the Finding Aids section of the fifth and ninth volumes.

    For this volume, Robert J. Sheehan, III was Chief Editor. The Code 
of Federal Regulations publication program is under the direction of 
John Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                        TITLE 49--TRANSPORTATION




                  (This book contains parts 200 to 299)

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

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

                                                                    Part

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

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

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       CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF 
                             TRANSPORTATION




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


  Editorial Note: Nomenclature changes to chapter II appear at 69 FR 
18803, Apr. 9, 2004.
Part                                                                Page
200             Informal rules of practice for passenger 
                    service.................................           9
201             [Reserved]

207             Railroad police officers....................          11
209             Railroad safety enforcement procedures......          12
210             Railroad noise emission compliance 
                    regulations.............................          66
211             Rules of practice...........................          72
212             State safety participation regulations......          92
213             Track safety standards......................         103
214             Railroad workplace safety...................         184
215             Railroad freight car safety standards.......         233
216             Special notice and emergency order 
                    procedures: Railroad track, locomotive 
                    and equipment...........................         248
217             Railroad operating rules....................         252
218             Railroad operating practices................         258
219             Control of alcohol and drug use.............         284
220             Railroad communications.....................         361
221             Rear end marking device--passenger, commuter 
                    and freight trains......................         373
222             Use of locomotive horns at public highway-
                    rail grade crossings....................         378
223             Safety glazing standards--locomotives, 
                    passenger cars and cabooses.............         433
224             Reflectorization of rail freight rolling 
                    stock...................................         438
225             Railroad accidents/incidents: Reports 
                    classification, and investigations......         464
227             Occupational noise exposure.................         491
228             Hours of service of railroad employees; 
                    recordkeeping and reporting; sleeping 
                    quarters................................         510
229             Railroad locomotive safety standards........         547
230             Steam locomotive inspection and maintenance 
                    standards...............................         611
231             Railroad safety appliance standards.........         677

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232             Brake system safety standards for freight 
                    and other non-passenger trains and 
                    equipment; end-of-train devices.........         723
233             Signal systems reporting requirements.......         776
234             Grade crossing safety.......................         777
235             Instructions governing applications for 
                    approval of a discontinuance or material 
                    modification of a signal system or 
                    relief from the requirements of part 236         810
236             Rules, standards, and instructions governing 
                    the installation, inspection, 
                    maintenance, and repair of signal and 
                    train control systems, devices, and 
                    appliances..............................         815
237             Bridge safety standards.....................         908
238             Passenger equipment safety standards........         920
239             Passenger train emergency preparedness......        1032
240             Qualification and certification of 
                    locomotive engineers....................        1045
241             United States locational requirement for 
                    dispatching of United States rail 
                    operations..............................        1092
242             Qualification and certification of 
                    conductors..............................        1099
243             Training, qualification, and oversight for 
                    safety-related railroad employees.......        1142
244             Regulations on safety integration plans 
                    governing railroad consolidations, 
                    mergers, and acquisitions of control....        1157
245             [Reserved]

250             Guarantee of certificates of trustees of 
                    railroads in reorganization.............        1163
256             Financial assistance for railroad passenger 
                    terminals...............................        1168
260             Regulations governing loans and loan 
                    guarantees under the Railroad 
                    Rehabilitation and Improvement Financing 
                    program.................................        1178
261             Credit assistance for surface transportation 
                    projects................................        1191
262             Implementation of program for capital grants 
                    for rail line relocation and improvement 
                    projects................................        1191
264             Surface transportation project delivery 
                    program application requirements and 
                    termination.............................        1195
266             Assistance to States for local rail service 
                    under section 5 of the Department of 
                    Transportation Act......................        1195
268             Magnetic levitation transportation 
                    technology deployment program...........        1210
269             Alternate Passenger Rail Service Pilot 
                    Program.................................        1217
270             System safety program.......................        1220

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272             Critical incident stress plans..............        1236
273-299         [Reserved]

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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: Sec. 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 (49 U.S.C. 24309); 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, 1200 New Jersey Avenue, SE., 
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 10]]

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.

[45 FR 64192, Sept. 29, 1980, as amended at 74 FR 25171, May 27, 2009]



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 FRApursuant 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.

[[Page 11]]

    (b) Any order, approval, or determination resulting from any hearing 
held under this part shall be published in the Federal Register.

                           PART 201 [RESERVED]



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.
    (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--

[[Page 12]]

    (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.

                           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.

 Subpart F_Enforcement, Appeal and Hearing Procedures for Rail Routing 
                 Decisions Pursuant to 49 CFR   172.820

209.501 Review of rail transportation safety and security route 
          analysis.

Appendix A to Part 209--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
Appendix C to Part 209--FRA's Policy Statement Concerning Small Entities

    Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 20114; 
28 U.S.C. 2461, note; and 49 CFR 1.89.

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

[[Page 13]]



                            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.
    Associate Administrator means the Associate Administrator for 
Safety, Federal Railroad Administration, or that person's delegate as 
designated in writing.
    Chief Counsel means the Chief Counsel of FRA or his or her delegate.
    Day means calendar day.
    Federal hazardous material transportation law means 49 U.S.C. 5101 
et seq.
    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. 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,

[[Page 14]]

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.
    Railroad carrier means a person providing railroad 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, as amended at 71 FR 77294, Dec. 26, 2006; 
73 FR 72199, Nov. 26, 2008]



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.
    (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

[[Page 15]]

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;
    (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

[[Page 16]]

    (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 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.

[[Page 17]]

    (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, 1200 New Jersey Avenue, 
SE., 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, as amended at 74 FR 25171, May 27, 2009]



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 
connection with its enforcement of statutes or FRA regulations related 
to railroad safety. For purposes of this section, ``enforcement'' shall 
include receipt of documents required to be submitted by FRA 
regulations, and 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 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.

[42 FR 56742, Oct. 28, 1977, as amended at 70 FR 11094, Mar. 7, 2005]



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

[[Page 18]]

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) A person who knowingly violates a requirement of the Federal 
hazardous materials transportation laws, an order issued thereunder, 
subchapter A or C of chapter I, subtitle B, of this title, or a special 
permit or approval issued under subchapter A or C of chapter I, subtitle 
B, of this title is liable for a civil penalty of not more than $77,114 
for each violation, except that--
    (1) The maximum civil penalty for a violation is $179,933 if the 
violation results in death, serious illness, or severe injury to any 
person, or substantial destruction of property and
    (2) A minimum $463 civil penalty applies to a violation related to 
training.
    (b) When the violation is a continuing one, each day of the 
violation constitutes a separate offense. 49 U.S.C. 5123.
    (c) The maximum and minimum civil penalties described in paragraph 
(a) above apply to violations occurring on or after August 1, 2016.

[78 FR 9846, Feb. 12, 2013, as amended at 81 FR 43104, July 1, 2016]



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;
    (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

[[Page 19]]

penalty. If the amendment contains any new material allegation of fact, 
the respondant is given an opportunity to respond. In an amended notice, 
FRA may change the civil penalty amount proposed to be assessed up to 
and including the maximum penalty amount of $77,114 for each violation, 
except that if the violation results in death, serious illness or severe 
injury to any person, or substantial destruction of property, FRA may 
change the penalty amount proposed to be assessed up to and including 
the maximum penalty amount of $179,933.

[42 FR 56742, Oct. 28, 1977, as amended at 61 FR 38646, July 25, 1996; 
69 FR 30591, May 28, 2004; 71 FR 77295, Dec. 26, 2006; 75 FR 43842, July 
27, 2010; 78 FR 9846, Feb. 12, 2013; 81 FR 43104, July 1, 2016]



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 may be made by certified check, money 
order, or credit card. Payments made by certified check or money order 
should be made payable to the Federal Railroad Administration and sent 
to DOT/FRA, Mike Monroney Aero Center, General Accounting Division, AMZ-
300, P.O. Box 25082, Oklahoma City, OK 73125. Overnight express payments 
may be sent to DOT/FRA, Mike Monroney Aero Center, General Accounting 
Division, AMZ-300, 6500 South MacArthur Blvd. Headquarters Building, 
Room 176, Oklahoma City, OK 73169. Payment by credit card must be made 
via the Internet at https://www.pay.gov/paygov/. Instructions for online 
payment are found on the Web site.
    (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.

[42 FR 56742, Oct. 28, 1977, as amended at 71 FR 77295, Dec. 26, 2006]



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.

[[Page 20]]



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--
    (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.

[[Page 21]]



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;
    (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.

    A person who knowingly violates 49 U.S.C. 5104(b) or Sec. 171.2(l) 
of this title or willfully or recklessly violates a requirement of the 
Federal hazardous material transportation law or a regulation, order, 
special permit, or approval issued thereunder shall be fined under title 
18, United States Code, or imprisoned for not more than 5 years, or 
both, except the maximum amount of imprisonment shall be 10 years in any 
case in which the violation involves the release of a hazardous material 
which results in death or bodily injury to any person.

[71 FR 77295, Dec. 26, 2006]



Sec. 209.133  Referral for prosecution.

    If an inspector, including a certified state inspector under part 
212 of this chapter, or another employee of FRA becomes aware of a 
possible knowing violation of 49 U.S.C. 5104(b) or a willful or reckless 
violation of the Federal hazardous materials transportation law or a 
regulation issued under those laws for which FRA exercises enforcement 
responsibility, he or she shall report 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, as amended at 71 FR 77295, Dec. 26, 2006]



                       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

[[Page 22]]

    (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 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;

[[Page 23]]

    (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 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 the Federal railroad safety 
laws at 49 U.S.C. 20111(c).
    (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

[[Page 24]]

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.

[54 FR 42907, Oct. 18, 1989, as amended at 74 FR 23334, May 19, 2009]



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 (49 U.S.C. Chapt. 211) 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
    (4) Perform service subject to the Transportation of Hazardous 
Materials laws (49 U.S.C. Ch. 51), or any regulation or order prescribed 
thereunder;
    (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 241 of this title, or any of 
the requirements of 49 U.S.C. Ch. 51, or any regulation or order 
prescribed thereunder.

[74 FR 23334, May 19, 2009]



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.

[[Page 25]]

    (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 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

[[Page 26]]

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.



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;

[[Page 27]]

    (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.



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.

[[Page 28]]

    (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 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, 1200 New Jersey Avenue, SE., 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.

[[Page 29]]

    (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 (a) or (b) 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 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.

[54 FR 42907, Oct. 18, 1989, as amended at 74 FR 25171, May 27, 2009; 74 
FR 23334, May 19, 2009]



Sec. 209.329  Assessment considerations.

    (a) Proof of a respondent's willful violation of one of the 
requirements of parts 213 through 241 (excluding parts 225, 228, and 
233) of this title, or of one of the requirements of 49 U.S.C. Chapt. 
51, or any regulation or order prescribed thereunder, 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 Sec. Sec. 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 employing railroad's operating rules, safety rules, and 
repair and maintenance standards;
    (4) Repair and maintenance standards adopted by the railroad 
industry;
    (5) The consistency of the conditions of the proposed 
disqualification with disqualification orders issued against other 
employees of the employing railroad 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.

[74 FR 23334, May 19, 2009]



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.

[[Page 30]]

    (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.
    (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.

[[Page 31]]



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.
    (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.

[[Page 32]]



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 $839 and not more than $27,455 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 $109,819 
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; 
69 FR 30592, May 28, 2004; 72 FR 51196, Sept. 6, 2007; 74 FR 79700, Dec. 
30, 2008; 77 FR 24418, Apr. 24, 2012; 81 FR 43108, July 1, 2016]



 Subpart F_Enforcement, Appeal and Hearing Procedures for Rail Routing 
                 Decisions Pursuant to 49 CFR   172.820



Sec. 209.501  Review of rail transportation safety and security route
analysis.

    (a) Review of route analysis. If the Associate Administrator for 
Safety determines that a railroad carrier's route selection, analysis 
and documentation pursuant to Sec. 172.820 of chapter I of this title 
is deficient and fails to establish that the route chosen by the carrier 
poses the least overall safety and security risk, the Associate 
Administrator shall issue a written notice of review (``Notice'') to the 
railroad carrier. The Notice shall specifically address each deficiency 
found in the railroad carrier's route analysis. The Notice may also 
include suggested mitigation measures that the railroad carrier may take 
to remedy the deficiencies found, including selection of an alternative 
commercially feasible routing.
    (b) Conference to resolve deficiencies. After issuing the Notice, 
the Associate Administrator conferences with the railroad carrier for a 
thirty (30)-day period, or such longer period as provided by the 
Associate Administrator, to resolve the deficiencies identified in the 
Notice. The Associate Administrator keeps a record of all written 
correspondence with the railroad carrier and a summary of each meeting 
and telephone conversation with the railroad carrier that pertains to 
the Notice.
    (c) Consultation with and comment from other agencies. If, after the 
close of the conference period, the Associate Administrator concludes 
that the issues identified have not been satisfactorily resolved, the 
Associate Administrator:
    (1) Consults with the Transportation Security Administration 
(``TSA'') and the Pipeline and Hazardous Materials Safety Administration 
(PHMSA) regarding the safety and security of the route proposed by the 
railroad carrier and any alternative route(s) over which the carrier is 
authorized to operate that are being considered by the Associate 
Administrator and prepares a written summary of the recommendations from 
TSA and PHMSA;
    (2) Obtains the comments of the Surface Transportation Board 
(``STB'') regarding whether the alternative route(s) being considered by 
the Associate Administrator would be commercially practicable; and
    (3) Fully considers the input of TSA, PHMSA and the STB and renders 
a decision pursuant to paragraph (d) of this section which shall be 
administratively final.
    (d) Decision. (1) If the Associate Administrator finds that the 
route analysis and documentation provided by the railroad carrier are 
sufficient to support the route selected by the carrier or that valid 
issues of commercial practicability preclude an alternative route, the 
Associate Administrator concludes the review without further action and 
so notifies the railroad carrier in writing.
    (2) If the Associate Administrator concludes that the railroad 
carrier's route analysis does not support the railroad carrier's 
original selected route, that safety and security considerations 
establish a significant preference for an alternative route, and

[[Page 33]]

that the alternative route is commercially practicable, the Associate 
Administrator issues a second written notice (2nd Notice) to the 
railroad carrier that:
    (i) Specifically identifies deficiencies found in the railroad 
carrier's route analysis, including a clear description of the risks on 
the selected route that have not been satisfactorily mitigated;
    (ii) Explains why the available data and reasonable inferences 
indicate that a commercially practicable alternative route poses fewer 
overall safety and security risks than the route selected by the 
railroad carrier; and
    (iii) Directs the railroad carrier, beginning within twenty (20) 
days of the issuance date of the 2nd Notice on the railroad carrier, to 
temporarily use the alternative route that the Associate Administrator 
determines poses the least overall safety and security risk until such 
time as the railroad carrier has adequately mitigated the risks 
identified by the Associate Administrator on the original route selected 
by the carrier.
    (e) Actions following 2nd Notice and re-routing directive. When 
issuing a 2nd Notice that directs the use of an alternative route, the 
Associate Administrator shall make available to the railroad carrier the 
administrative record relied upon by the Associate Administrator in 
issuing the 2nd Notice, including the recommendations of TSA, PHMSA and 
STB to FRA made pursuant to paragraphs (c)(1) and (2) of this section. 
Within twenty (20) days of the issuance date of the Associate 
Administrator's 2nd Notice, the railroad carrier may:
    (1) Comply with the Associate Administrator's directive to use an 
alternative route while the carrier works to address the deficiencies in 
its route analysis identified by the Associate Administrator; or
    (2) File a petition for judicial review of the Associate 
Administrator's 2nd Notice, pursuant to paragraph (g) of this section.
    (f) Review and decision by Associate Administrator on revised route 
analysis submitted in response to 2nd Notice. Upon submission of a 
revised route analysis containing an adequate showing by the railroad 
carrier that its original selected route poses the least overall safety 
and security risk, the Associate Administrator notifies the carrier in 
writing that the carrier may use its original selected route.
    (g) Appellate review. If a railroad carrier is aggrieved by final 
agency action, it may petition for review of the final decision in the 
appropriate United States court of appeals as provided in 49 U.S.C. 
5127. The filing of the petition for review does not stay or modify the 
force and effect of the final agency action unless the Associate 
Administrator or the Court orders otherwise.
    (h) Time. In computing any period of time prescribed by this part, 
the day of any act, event, or default from which the designated period 
of time begins to run shall not be included. The last day of the period 
so computed shall be included, unless it is a Saturday, Sunday, or 
Federal holiday, in which event the period runs until the end of the 
next day which is not one of the aforementioned days.

[73 FR 72199, Nov. 26, 2008]



   Sec. Appendix A to Part 209--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), (m), and (oo). Those 
statutes include 49 U.S.C. ch. 201-213 and uncodified provisions of the 
Rail Safety Improvement Act of 2008 (Pub. L. 110-432, Div. A, 122 Stat. 
4848). On July 4, 1994, the day before the enactment of Public Law 103-
272, 108 Stat. 745, the Federal railroad safety statutes included the 
Federal Railroad Safety Act of 1970 (``Safety Act'') (then codified at 
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 (then codified at 45 U.S.C. 1-16); the Locomotive 
Inspection Act (then codified at 45 U.S.C. 22-34); the Accident Reports 
Act (then codified at 45 U.S.C. 38-43); the Hours of Service Act (then 
codified at 45 U.S.C. 61-64b); and the Signal Inspection Act (then 
codified at 49 App. U.S.C. 26). Effective July 5, 1994, Public Law 103-
272 repealed certain general and permanent laws related to 
transportation, including these rail safety laws (the Safety Act and the 
older safety statutes), and reenacted them as revised by that law but 
without substantive change in title 49 of the U.S. Code, ch. 201-213. 
Regulations

[[Page 34]]

implementing the Federal rail safety laws are found at 49 CFR parts 209-
244. 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. FRA also enforces the hazardous materials 
transportation laws (49 U.S.C. ch. 51 and uncodified provisions) 
(formerly the Hazardous Materials Transportation Act, 49 App. U.S.C. 
1801 et seq., which was also repealed by Public Law 103-272, July 5, 
1994, and reenacted as revised but without substantive change) 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.
    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,

[[Page 35]]

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.
    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

[[Page 36]]

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 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

[[Page 37]]

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 Federal rail safety 
laws, regulations, or orders. Id., secs. 3, 13-15, 17. Pursuant to sec. 
16 of RSIA, the penalty for a violation of the Hours of Service Act 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, and regulations and orders under those statutes, the maximum 
penalty was raised from $2,500 to $10,000 per violation, except that 
``where a grossly negligent violation or a pattern of repeated 
violations has created an imminent hazard of death or injury to persons, 
or has caused death or injury,'' the penalty was raised to a maximum of 
$20,000 per violation (``the aggravated maximum penalty'').
    The Rail Safety Enforcement and Review Act (RSERA), Public Law 102-
365, 106 Stat. 972, enacted in 1992, increased the maximum penalty from 
$1,000 to $10,000, and provided for an aggravated maximum penalty of 
$20,000 for a violation of the Hours of Service Act, making these 
penalty amounts uniform with those of FRA's other safety laws, 
regulations, and orders. RSERA also increased the minimum civil monetary 
penalty from $250 to $500 for all of FRA's safety regulatory provisions 
and orders. Id., sec. 4(a).
    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 (Pub. L. 104-134, 110 Stat. 
1321-373, April 26, 1996) (Inflation Act) required that agencies adjust 
by regulation each minimum and 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 
minimum and maximum civil monetary penalties have been periodically 
adjusted, pursuant to the Inflation Act, through rulemaking.
    The Rail Safety Improvement Act of 2008 (``RSIA of 2008''), enacted 
October 16, 2008, raised FRA's civil monetary ordinary and aggravated 
maximum penalties to $25,000 and $100,000 respectively. FRA amended the 
civil penalty provisions in its regulations so as to make $25,000 the 
ordinary maximum penalty per violation and $100,000 the aggravated 
maximum penalty per violation, as authorized by the RSIA of 2008, in a 
final rule published on December 30, 2008 in the Federal Register. 73 FR 
79700. The December 30, 2008 final rule also adjusted the minimum civil 
penalty from $550 to $650 pursuant to Inflation Act requirements. Id. A 
correcting amendment to the civil penalty provisions in 49 CFR part 232 
was published on April 6, 2009. 74 FR 15388.
    Effective June 25, 2012, the aggravated maximum penalty was raised 
from $100,000 to $105,000 pursuant to the Inflation Act.
    On November 2, 2015, President Barack Obama signed the Federal Civil 
Penalties Inflation Adjustment Act Improvements Act of 2015 (the 2015 
Inflation Act). Public Law 114-

[[Page 38]]

74, Sec. 701. Under the 2015 Inflation Act, agencies must make a catch-
up adjustment for civil monetary penalties with the new penalty levels 
published by July 1, 2016, to take effect no later than August 1, 2016. 
Moving forward, agencies must make annual inflationary adjustments, 
starting January 15, 2017, based on Office of Management and Budget 
guidance. Under the 2015 Inflation Act, effective August 1, 2016, the 
minimum civil monetary penalty was raised from $650 to $839, the 
ordinary maximum civil monetary penalty was raised from $25,000 to 
$27,455, and the aggravated maximum civil monetary penalty was raised 
from $105,000 to $109,819.
    FRA's traditional practice has been to issue penalty schedules 
assigning to each particular regulation or order 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 or order, the 
schedule shows two amounts within the $839 to $27,455 range in separate 
columns, the first for ordinary violations, the second for willful 
violations (whether committed by railroads or individuals). In 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 $109,819 per violation where a pattern of 
repeated violations or a grossly negligent violation has created an 
imminent hazard of death or injury or has caused death or injury. FRA 
indicates in the penalty demand letter when it uses the higher penalty 
amount instead of the penalty amount listed in the schedule.

          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

[[Page 39]]

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(a)(1) 
(accident reporting regulations). Some rules exclude passenger 
operations that are not part of the general railroad system (such as 
some tourist railroads) only if they meet the definition of ``insular.'' 
E.g., 49 CFR 225.3(a)(3) (accident reporting) and 234.3(c) (grade 
crossing signal safety). Other regulations exclude not only plant 
railroads but all other railroads that are not operated as a part of, or 
over the lines of, the general railroad system of transportation. E.g., 
49 CFR 214.3 (railroad workplace safety).
    By ``general railroad system of transportation,'' FRA refers to the 
network of standard gage track over which goods may be transported 
throughout the nation and passengers may travel between cities and 
within metropolitan and suburban areas. Much of this network is 
interconnected, so that a rail vehicle can travel across the nation 
without leaving the system. However, mere physical connection to the 
system does not bring trackage within it. For example, trackage within 
an industrial installation that is connected to the network only by a 
switch for the receipt of shipments over the system is not a part of the 
system.
    Moreover, portions of the network may lack a physical connection but 
still be part of the system by virtue of the nature of operations that 
take place there. For example, the Alaska Railroad is not physically 
connected to the rest of the general system but is part of it. The 
Alaska Railroad exchanges freight cars with other railroads by car float 
and exchanges passengers with interstate carriers as part of the general 
flow of interstate commerce. Similarly, an intercity high speed rail 
system with its own right of way would be part of the general system 
although not physically connected to it. The presence on a rail line of 
any of these types of railroad operations is a sure indication that such 
trackage is part of the general system: the movement of freight cars in 
trains outside the confines of an industrial installation, the movement 
of intercity passenger trains, or the movement of commuter trains within 
a metropolitan or suburban area. Urban rapid transit operations are 
ordinarily not part of the general system, but may have sufficient 
connections to that system to warrant exercise of FRA's jurisdiction 
(see discussion of passenger operations, below). Tourist railroad 
operations are not inherently part of the general system and, unless 
operated over the lines of that system, are subject to few of FRA's 
regulations.
    The boundaries of the general system are not static. For example, a 
portion of the system may be purchased for the exclusive use of a single 
private entity and all connections, save perhaps a switch for receiving 
shipments, severed. Depending on the nature of the operations, this 
could remove that portion from the general system. The system may also 
grow, as with the establishment of intercity service on a brand new 
line. However, the same trackage cannot be both inside and outside of 
the general system depending upon the time of day. If trackage is part 
of the general system, restricting a certain type of traffic over that 
trackage to a particular portion of the day does not change the nature 
of the line--it remains the general system.
    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

[[Page 40]]

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).
    FRA exercises jurisdiction over tourist, scenic, and excursion 
railroad operations whether or not they are conducted on the general 
railroad system. There are two exceptions: (1) operations of less than 
24-inch gage (which, historically, have never been considered railroads 
under the Federal railroad safety laws); and (2) operations that are off 
the general system and ``insular'' (defined below).
    Insularity is an issue only with regard to tourist operations over 
trackage outside of the general system used exclusively for such 
operations. FRA considers a tourist operation to be insular if its 
operations are limited to a separate enclave in such a way that there is 
no reasonable expectation that the safety of any member of the 
public'except a business guest, a licensee of the tourist operation or 
an affiliated entity, or a trespasser'would be affected by the 
operation. A tourist operation will not be considered insular if one or 
more of the following exists on its line:
    A public highway-rail crossing that is in use;
    An at-grade rail crossing that is in use;
    A bridge over a public road or waters used for 
commercial navigation; or
    A common corridor with a railroad, i.e., its 
operations are within 30 feet of those of any railroad.
    When tourist operations are conducted on the general system, FRA 
exercises jurisdiction over them, and all of FRA's pertinent regulations 
apply to those operations unless a waiver is granted or a rule 
specifically excepts such operations (e.g., the passenger equipment 
safety standards contain an exception for these operations, 49 CFR 
238.3(c)(3), even if conducted on the general system). When a tourist 
operation is conducted only on track used exclusively for that purpose 
it is not part of the general system. The fact that a tourist operation 
has a switch that connects it to the general system does not make the 
tourist operation part of the general system if the tourist trains do 
not enter the general system and the general system railroad does not 
use the tourist operation's trackage for any purpose other than 
delivering or picking up shipments to or from the tourist operation 
itself.
    If a tourist operation off the general system is insular, FRA does 
not exercise jurisdiction over it, and none of FRA's rules apply. If, 
however, such an operation is not insular, FRA exercises jurisdiction 
over the operation, and some of FRA's rules (i.e., those that 
specifically apply beyond the general system to such operations) will 
apply. For example, FRA's rules on accident reporting, steam 
locomotives, and grade crossing signals apply to these non-insular 
tourist operations (see 49 CFR 225.3, 230.2 amd 234.3), as do all of 
FRA's procedural rules (49 CFR parts 209, 211, and 216) and the Federal 
railroad safety statutes themselves.
    In drafting safety rules, FRA has a specific obligation to consider 
financial, operational, or other factors that may be unique to tourist 
operations. 49 U.S.C. 20103(f). Accordingly, FRA is careful to consider 
those factors in determining whether any particular rule will apply to 
tourist operations. Therefore, although FRA asserts jurisdiction quite 
broadly over these operations, we work to ensure that the rules we issue 
are appropriate to their somewhat special circumstances.
    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.

         FRA's Policy on Jurisdiction Over Passenger Operations

    Under the Federal railroad safety laws, FRA has jurisdiction over 
all railroads except ``rapid transit operations in an urban area that 
are not connected to the general railroad system of transportation.'' 49 
U.S.C. 20102. Within the limits imposed by this authority, FRA exercises 
jurisdiction over all railroad passenger operations, regardless of the 
equipment they use, unless FRA has specifically stated below an 
exception to its exercise of jurisdiction for a particular type of 
operation. This policy is stated in general terms and does not change 
the reach of any particular regulation under its applicability section. 
That is, while FRA may generally assert jurisdiction over a type of 
operation here, a particular regulation may exclude that kind of 
operation from its reach. Therefore, this statement should be read in 
conjunction with the applicability sections of all of FRA's regulations.

[[Page 41]]

                     Intercity Passenger Operations

    FRA exercises jurisdiction over all intercity passenger operations. 
Because of the nature of the service they provide, standard gage 
intercity operations are all considered part of the general railroad 
system, even if not physically connected to other portions of the 
system. Other intercity passenger operations that are not standard gage 
(such as a magnetic levitation system) are within FRA's jurisdiction 
even though not part of the general system.

                           Commuter Operations

    FRA exercises jurisdiction over all commuter operations. Congress 
apparently intended that FRA do so when it enacted the Federal Railroad 
Safety Act of 1970, and made that intention very clear in the 1982 and 
1988 amendments to that act. FRA has attempted to follow that mandate 
consistently. A commuter system's connection to other railroads is not 
relevant under the rail safety statutes. In fact, FRA considers commuter 
railroads to be part of the general railroad system regardless of such 
connections.
    FRA will presume that an operation is a commuter railroad if there 
is a statutory determination that Congress considers a particular 
service to be commuter rail. For example, in the Northeast Rail Service 
Act of 1981, 45 U.S.C. 1104(3), Congress listed specific commuter 
authorities. If that presumption does not apply, and the operation does 
not meet the description of a system that is presumptively urban rapid 
transit (see below), FRA will determine whether a system is commuter or 
urban rapid transit by analyzing all of the system's pertinent facts. 
FRA is likely to consider an operation to be a commuter railroad if:
    The system serves an urban area, its suburbs, and 
more distant outlying communities in the greater metropolitan area,
    The system's primary function is moving passengers 
back and forth between their places of employment in the city and their 
homes within the greater metropolitan area, and moving passengers from 
station to station within the immediate urban area is, at most, an 
incidental function, and
    The vast bulk of the system's trains are operated 
in the morning and evening peak periods with few trains at other hours.
    Examples of commuter railroads include Metra and the Northern 
Indiana Commuter Transportation District in the Chicago area; Virginia 
Railway Express and MARC in the Washington area; and Metro-North, the 
Long Island Railroad, New Jersey Transit, and the Port Authority Trans 
Hudson (PATH) in the New York area.

                   Other Short Haul Passenger Service

    The federal railroad safety statutes give FRA authority over 
``commuter or other short-haul railroad passenger service in a 
metropolitan or suburban area.'' 49 U.S.C. 20102. This means that, in 
addition to commuter service, there are other short-haul types of 
service that Congress intended that FRA reach. For example, a passenger 
system designed primarily to move intercity travelers from a downtown 
area to an airport, or from an airport to a resort area, would be one 
that does not have the transportation of commuters within a metropolitan 
area as its primary purpose. FRA would ordinarily exercise jurisdiction 
over such a system as ``other short-haul service'' unless it meets the 
definition of urban rapid transit and is not connected in a significant 
way to the general system.

                     Urban Rapid Transit Operations

    One type of short-haul passenger service requires special treatment 
under the safety statutes: ``rapid transit operations in an urban 
area.'' Only these operations are excluded from FRA's jurisdiction, and 
only if they are ``not connected to the general railroad system.'' FRA 
will presume that an operation is an urban rapid transit operation if 
the system is not presumptively a commuter railroad (see discussion 
above) the operation is a subway or elevated operation with its own 
track system on which no other railroad may operate, has no highway-rail 
crossings at grade, operates within an urban area, and moves passengers 
from station to station within the urban area as one of its major 
functions.
    Where neither the commuter railroad nor urban rapid transit 
presumptions applies, FRA will look at all of the facts pertinent to a 
particular operation to determine its proper characterization. FRA is 
likely to consider an operation to be urban rapid transit if:
    The operation serves an urban area (and may also 
serve its suburbs),
    Moving passengers from station to station within 
the urban boundaries is a major function of the system and there are 
multiple station stops within the city for that purpose (such an 
operation could still have the transportation of commuters as one of its 
major functions without being considered a commuter railroad), and
    The system provides frequent train service even 
outside the morning and evening peak periods.
    Examples of urban rapid transit systems include the Metro in the 
Washington, D.C. area, CTA in Chicago, and the subway systems in New 
York, Boston, and Philadelphia. The type of equipment used by such a 
system is not determinative of its status. However, the kinds of 
vehicles ordinarily associated

[[Page 42]]

with street railways, trolleys, subways, and elevated railways are the 
types of vehicles most often used for urban rapid transit operations.
    FRA can exercise jurisdiction over a rapid transit operation only if 
it is connected to the general railroad system, but need not exercise 
jurisdiction over every such operation that is so connected. FRA is 
aware of several different ways that rapid transit operations can be 
connected to the general system. Our policy on the exercise of 
jurisdiction will depend upon the nature of the connection(s). In 
general, a connection that involves operation of transit equipment as a 
part of, or over the lines of, the general system will trigger FRA's 
exercise of jurisdiction. Below, we review some of the more common types 
of connections and their effect on the agency's exercise of 
jurisdiction. This is not meant to be an exhaustive list of connections.

   Rapid Transit Connections Sufficient To Trigger FRA's Exercise of 
                              Jurisdiction

    Certain types of connections to the general railroad system will 
cause FRA to exercise jurisdiction over the rapid transit line to the 
extent it is connected. FRA will exercise jurisdiction over the portion 
of a rapid transit operation that is conducted as a part of or over the 
lines of the general system. For example, rapid transit operations are 
conducted on the lines of the general system where the rapid transit 
operation and other railroad use the same track. FRA will exercise its 
jurisdiction over the operations conducted on the general system. In 
situations involving joint use of the same track, it does not matter 
that the rapid transit operation occupies the track only at times when 
the freight, commuter, or intercity passenger railroad that shares the 
track is not operating. While such time separation could provide the 
basis for waiver of certain of FRA's rules (see 49 CFR part 211), it 
does not mean that FRA will not exercise jurisdiction. However, FRA will 
exercise jurisdiction over only the portions of the rapid transit 
operation that are conducted on the general system. For example, a rapid 
transit line that operates over the general system for a portion of its 
length but has significant portions of street railway that are not used 
by conventional railroads would be subject to FRA's rules only with 
respect to the general system portion. The remaining portions would not 
be subject to FRA's rules. If the non-general system portions of the 
rapid transit line are considered a ``rail fixed guideway system'' under 
49 CFR part 659, those rules, issued by the Federal Transit 
Administration (FTA), would apply to them.
    Another connection to the general system sufficient to warrant FRA's 
exercise of jurisdiction is a railroad crossing at grade where the rapid 
transit operation and other railroad cross each other's tracks. In this 
situation, FRA will exercise its jurisdiction sufficiently to assure 
safe operations over the at-grade railroad crossing. FRA will also 
exercise jurisdiction to a limited extent over a rapid transit operation 
that, while not operated on the same tracks as the conventional 
railroad, is connected to the general system by virtue of operating in a 
shared right-of-way involving joint control of trains. For example, if a 
rapid transit line and freight railroad were to operate over a movable 
bridge and were subject to the same authority concerning its use (e.g., 
the same tower operator controls trains of both operations), FRA will 
exercise jurisdiction in a manner sufficient to ensure safety at this 
point of connection. Also, where transit operations share highway-rail 
grade crossings with conventional railroads, FRA expects both systems to 
observe its signal rules. For example, FRA expects both railroads to 
observe the provision of its rule on grade crossing signals that 
requires prompt reports of warning system malfunctions. See 49 CFR part 
234. FRA believes these connections present sufficient intermingling of 
the rapid transit and general system operations to pose significant 
hazards to one or both operations and, in the case of highway-rail grade 
crossings, to the motoring public. The safety of highway users of 
highway-rail grade crossings can best be protected if they get the same 
signals concerning the presence of any rail vehicles at the crossing and 
if they can react the same way to all rail vehicles.

 Rapid Transit Connections Not Sufficient To Trigger FRA's Exercise of 
                              Jurisdiction

    Although FRA could exercise jurisdiction over a rapid transit 
operation based on any connection it has to the general railroad system, 
FRA believes there are certain connections that are too minimal to 
warrant the exercise of its jurisdiction. For example, a rapid transit 
system that has a switch for receiving shipments from the general system 
railroad is not one over which FRA would assert jurisdiction. This 
assumes that the switch is used only for that purpose. In that case, any 
entry onto the rapid transit line by the freight railroad would be for a 
very short distance and solely for the purpose of dropping off or 
picking up cars. In this situation, the rapid transit line is in the 
same situation as any shipper or consignee; without this sort of 
connection, it cannot receive or offer goods by rail.
    Mere use of a common right-of-way or corridor in which the 
conventional railroad and rapid transit operation do not share any means 
of train control, have a rail crossing at grade, or operate over the 
same highway-rail grade crossings would not trigger FRA's exercise of 
jurisdiction. In this context, the presence of intrusion detection 
devices to

[[Page 43]]

alert one or both carriers to incursions by the other one would not be 
considered a means of common train control. These common rights of way 
are often designed so that the two systems function completely 
independently of each other. FRA and FTA will coordinate with rapid 
transit agencies and railroads wherever there are concerns about 
sufficient intrusion detection and related safety measures designed to 
avoid a collision between rapid transit trains and conventional 
equipment.
    Where these very minimal connections exist, FRA will not exercise 
jurisdiction unless and until an emergency situation arises involving 
such a connection, which is a very unlikely event. However, if such a 
system is properly considered a rail fixed guideway system, FTA's rules 
(49 CFR part 659) will apply to it.

                Coordination of the FRA and FTA Programs

    FTA's rules on rail fixed guideway systems (49 CFR part 659) apply 
to any rapid transit systems or portions thereof not subject to FRA's 
rules. On rapid transit systems that are not sufficiently connected to 
the general railroad system to warrant FRA's exercise of jurisdiction 
(as explained above), FTA's rules will apply exclusively. On those rapid 
transit systems that are connected to the general system in such a way 
as warrant exercise of FRA's jurisdiction, only those portions of the 
rapid transit system that are connected to the general system will 
generally be subject to FRA's rules.
    A rapid transit railroad may apply to FRA for a waiver of any FRA 
regulations. See 49 CFR part 211. FRA will seek FTA's views whenever a 
rapid transit operation petitions FRA for a waiver of its safety rules. 
In granting or denying any such waiver, FRA will make clear whether its 
rules do not apply to any segments of the operation so that it is clear 
where FTA's rules do apply.

                         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 knowing violations of 49 U.S.C. 
5104(b), or for willful or reckless violations of the Federal hazardous 
materials transportation law or a regulation issued under that law. See 
49 U.S.C. Chapter 51, and 49 CFR 209.131, 133. 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). 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; 
64 FR 62864, Nov. 17, 1999; 65 FR 42544, July 10, 2000; 69 FR 30592, May 
28, 2004; 71 FR 77295, Dec. 26, 2006; 72 FR 51196, Sept. 6, 2007; 73 FR 
79701, Dec. 30, 2008; 77 FR 24418, Apr. 24, 2012; 81 FR 43108, July 1, 
2016]



Sec. 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 Railroad Safety (RRS) and of the 
Safety Law Division of the Office of Chief Counsel (RCC) on the relative 
severity of the various violations routinely encountered by FRA 
inspectors on a scale of amounts up to the maximum $77,114 penalty,

[[Page 44]]

except the maximum civil penalty is $179,933 if the violation results in 
death, serious illness or severe injury to any person, or substantial 
destruction of property, and a minimum $463 penalty applies to a 
violation related to training. (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 Sec. Sec. 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 
Sec. Sec. 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 
Federal hazardous material transportation law, an order issued 
thereunder, the Hazardous Materials Regulations or a special permit, 
approval, or order issued under those regulations results in death, 
serious illness or severe injury to any person, or substantial 
destruction of property, a maximum penalty of at least $77,114 and up to 
and including $179,933 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 $77,114 for each 
violation, and up to $179,933 for any violation resulting in death, 
serious illness or severe injury to any person, or substantial 
destruction of property, at any time prior to issuance of an order. FRA 
periodically makes minor updates and revisions to these guidelines, and 
the most current version may be found on FRA's Web site at http://
www.fra.dot.gov.

                   Civil Penalty Assessment Guidelines
                        [As of December 26, 2006]
------------------------------------------------------------------------
                                                             Guideline
        Emergency orders                                    amount \1\
------------------------------------------------------------------------
EO16...........................  Penalties for            Varies.
                                  violations of EO16
                                  vary depending on the
                                  circumstances.
EO17...........................  Penalties for            Varies.
                                  violations of EO17
                                  vary depending on the
                                  circumstances.
                                 Failure to file annual   $5,000.
                                  report.
EO23...........................  Penalties for            Varies.
                                  violations of EO23
                                  vary depending on the
                                  circumstances.
------------------------------------------------------------------------
\1\ Any person who violates an emergency order issued under the
  authority of 49 U.S.C. Ch. 201 is subject to a civil penalty of at
  least $839 and not more than $27,455 per violation, except that where
  a grossly negligent violation or a pattern of repeated violations has
  created an imminent hazard of death or injury to persons, or has
  caused a death or injury, a penalty not to exceed $109,819 per
  violation may be assessed. Each day that the violation continues is a
  separate offense. 49 U.S.C. 21301; 28 U.S.C. 2461, note.


----------------------------------------------------------------------------------------------------------------
              49 CFR section                       Description                    Guideline amount \2\
----------------------------------------------------------------------------------------------------------------
                                PART 107--HAZARDOUS MATERIALS PROGRAM PROCEDURES
----------------------------------------------------------------------------------------------------------------
107.608..................................  Failure to register or to    1,500.
                                            renew registration. (Note:
                                            registration--or renewal--
                                            is mitigation.).
107.620(d)...............................  Failure to show records on   2,000.
                                            proper request.
                                           Deliberate attempt to hide   Varies.
                                            records-considerable
                                            aggravation possible.
----------------------------------------------------------------------------------------------------------------
                                          PART 171--GENERAL REGULATIONS
----------------------------------------------------------------------------------------------------------------
171.2(a), (b), (c), (e), (f).............  General duty sections--may
                                            be cited in support of
                                            another, more specific
                                            citation to the actual
                                            regulatory section
                                            violated.

[[Page 45]]

 
171.2(d).................................  Offering or accepting a      1,500.
                                            hazardous material (hazmat
                                            or HM) without being
                                            registered.
171.2(g).................................  Representing (marking,       8,000.
                                            certifying, selling, or
                                            offering) a packaging as
                                            meeting regulatory
                                            specification when it does
                                            not.
171.2(i).................................  Certifying that a hazardous  5,000.
                                            material is offered for
                                            transportation in commerce
                                            in accordance with the
                                            regulations (packaged,
                                            marked, labeled, etc.)
                                            when it is not. A more
                                            specific citation to the
                                            actual underlying
                                            regulation violated should
                                            be used instead of this
                                            section, or accompanying
                                            this section, if possible.
171.2(j).................................  Representing (by marking or  8,000.
                                            otherwise) that a
                                            container or package for
                                            transportation of a
                                            hazardous material is
                                            safe, certified, or in
                                            compliance with the
                                            regulations when it is not.
171.2(k).................................  Representing, marking, etc.  2,000.
                                            for the presence of HM
                                            when no HM is present.
                                            (Mitigation required for
                                            shipments smaller than a
                                            carload, e.g., single drum
                                            penalty is $1,000.)
171.2(l).................................  Tampering with (altering,    Varies--considerable aggravation
                                            removing, defacing, or       possible.
                                            destroying) any marking,
                                            label, placard, or
                                            description on a document
                                            required by hazmat law or
                                            regulations; unlawfully
                                            tampering with a package,
                                            container, motor vehicle,
                                            rail car, aircraft, or
                                            vessel used for the
                                            transportation of
                                            hazardous materials.
171.2(m).................................  Falsifying or altering an    Varies--considerable aggravation
                                            exemption, approval,         possible.
                                            registration, or other
                                            grant of authority issued
                                            under hazmat regulations.
                                            Offering or transporting a
                                            hazmat under an altered
                                            exemption, approval,
                                            registration, or other
                                            grant of authority without
                                            the consent of the issuing
                                            authority. Representing,
                                            marking, certifying, or
                                            selling a packaging or
                                            container under an altered
                                            exemption, approval,
                                            registration, or other
                                            grant of authority.
171.12...................................  Import shipments--Importer   4,000.
                                            not providing shipper and
                                            forwarding agent with U.S.
                                            requirements. Cannot be
                                            based on inference.
                                           Import shipments--Failure    2,000.
                                            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 incident     4,000.
                                            report (form DOT 5800.1).
                                            (Multiple failures will
                                            aggravate the penalty.).
----------------------------------------------------------------------------------------------------------------
                                            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 Sec.
                                                Sec. 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.) Considerable aggravation of penalties under these sections
                                               is possible, particularly in case involving undeclared hazmat.
----------------------------------------------------------------------------------------------------------------
                                           --Undeclared shipment:       15,000.
                                            offering a hazardous
                                            material without shipping
                                            papers, package markings,
                                            labels, or placards (see
                                            also Sec. Sec. 172.300,
                                            172.400, 172.500 for
                                            specific requirements).
                                           --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 hazardous    7,500.
                                            materials information on
                                            shipping paper. (Some
                                            shipping names alone
                                            contain sufficient
                                            information to reduce the
                                            guideline to the next
                                            lower level, but there may
                                            be such dangerous products
                                            that aggravation needs to
                                            be considered.).

[[Page 46]]

 
                                           --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 includes a  7,500.
                                            hazardous material
                                            description and no
                                            hazardous material is
                                            present. (Technically,
                                            this is also a violation
                                            of Sec. 171.2(k); it is
                                            presented here as a
                                            convenience.).
                                           Failure to include emergency response information is covered at Sec.
                                            Sec. 172.600-604; while the normal unit of violation for shipping
                                            papers is the whole document, failure to provide emergency response
                                            information is a separate violation.
----------------------------------------------------------------------------------------------------------------
172.201(d)...............................  Failure to put emergency     4,000.
                                            response telephone number
                                            on shipping paper.
172.201(e)...............................  Failure to retain shipping   7,500.
                                            paper for required period
                                            (1 year if carrier, 2
                                            years if offeror).
172.204..................................  Offeror's failure to         2,000.
                                            certify.
172.205..................................  Hazardous waste manifest.    Parallel the penalties for Sec. Sec.
                                            (Applies only to defects     172.200-.203, depending on
                                            in the Hazardous Waste       circumstances.
                                            Manifest form [EPA Form
                                            8700-22 and 8700-22A];
                                            shipping paper defects are
                                            cited and penalized under
                                            Sec. 172.200-.203.).
----------------------------------------------------------------------------------------------------------------
Marking:
----------------------------------------------------------------------------------------------------------------
    172.301..............................  Failure to mark a non-bulk   1,000.
                                            package as required (e.g.,
                                            no commodity name on a 55-
                                            gallon drum). (Shipment is
                                            the unit of violation.).
    172.302..............................  Failure to follow standards  2,000.
                                            for marking bulk packaging.
    172.302(a)...........................  ID number missing or in      2,500.
                                            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 correct   2,000.
                                            size of markings. (Note:
                                            If Sec. 172.326(a) is
                                            also cited, it takes
                                            precedence and Sec.
                                            172.302(b) is not cited.
                                            Note also: the guideline
                                            is for a gross violation
                                            of marking size--\1/2\ where 2
                                            is required--and
                                            mitigation should be
                                            considered for markings
                                            approaching the required
                                            size.)
    172.302(c)...........................  Failure to place exemption   2,000.
                                            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 and   10,000.
                                            caused or contributed to a
                                            wrong emergency response.
                                           --Use of a tank car          5,000.
                                            stenciled for one
                                            commodity to transport
                                            another.
                                           --Inconsistent marking;      5,000.
                                            e.g., shipping name and ID
                                            number do not agree.
                                           --Marked as a hazardous      2,000.
                                            material when package does
                                            not contain a hazardous
                                            material.
----------------------------------------------------------------------------------------------------------------
    172.304..............................  Obscured marking...........  2,000.
    172.313..............................  ``Inhalation Hazard'' not    2,500.
                                            marked.
    172.322..............................  Failure to mark for MARINE   1,500.
                                            POLLUTANT where required.
    172.325(a)...........................  Improper, or missing, HOT    1,500.
                                            mark for elevated
                                            temperature material.
    172.325(b)...........................  Improper or missing          2,500.
                                            commodity stencil.
    172.326(a)...........................  Failure to mark a portable   2,500.
                                            tank with the commodity
                                            name.
                                           Failure to have commodity    2,500.
                                            name visible (``legible'')
                                            when portable tank is
                                            loaded on intermodal
                                            equipment.
    172.326(b)...........................  Owner's/lessee's name not    500.
                                            displayed.
    172.326(c)...........................  Failure to mark portable     2,500.
                                            tank with ID number.
                                           Failure to have ID number    2,500.
                                            visible when portable tank
                                            is loaded on intermodal
                                            equipment.

[[Page 47]]

 
    172.330(a)(1)(i).....................  Offering/transporting        2,500.
                                            hazardous material in a
                                            tank car that does not
                                            have the required ID
                                            number displayed on the
                                            car.
    172.330(a)(1)(ii)....................  Offering/transporting        2,500.
                                            hazardous material in a
                                            tank car that does not
                                            have the required shipping
                                            name or common name
                                            stenciled on the car. This
                                            section ``lists'' the
                                            materials that require
                                            such markings on the tank.
                                            For tank car marking
                                            requirements for molten
                                            aluminum and molten
                                            sulfur, see Sec.
                                            172.325(b).
    172.330(c)...........................  Failing to mark tank car as  2,500.
                                            NON-ODORIZED or NOT
                                            ODORIZED when offering/
                                            transporting tank car or
                                            multi-unit tank car
                                            containing unodorized LPG.
    172.331(b)...........................  Offering bulk packaging      2,500.
                                            other than a portable
                                            tank, cargo tank, or tank
                                            car (e.g., a hopper car)
                                            not marked with ID number.
                                            (E.g., a hopper car
                                            carrying a hazardous
                                            substance, where a placard
                                            is not required).
    172.332..............................  Improper display of          2,000.
                                            identification number
                                            markings. Citation of this
                                            section and Sec. Sec.
                                            172.326(c) (portable
                                            tanks), 172.328 (cargo
                                            tanks), or 172.330 (tank
                                            cars) does not create two
                                            separate violations.
    172.334(a)...........................  Displaying ID numbers on a   4,000.
                                            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 ID     15,000.
                                            number that caused or
                                            contributed to a wrong
                                            emergency response.
                                           --Improper display of ID     5,000.
                                            number that could cause
                                            carrier mishandling or
                                            minor error in emergency
                                            response.
                                           --Technical error..........  2,000.
    172.334(f)...........................  Displaying ID number on      1,500.
                                            orange panel not in
                                            proximity to the placard.
----------------------------------------------------------------------------------------------------------------
Labeling:
----------------------------------------------------------------------------------------------------------------
    172.400-.406.........................  Failure to label properly.   2,500.
                                            (See also Sec. 172.301
                                            regarding the marking of
                                            packages.).
----------------------------------------------------------------------------------------------------------------
Placarding:
----------------------------------------------------------------------------------------------------------------
    172.502..............................  --Placarded as hazardous     2,000.
                                            material when car does not
                                            contain a hazardous
                                            material.
                                           --Hazardous material is      4,000.
                                            present, but the placard
                                            does not represent hazard
                                            of the contents.
                                           --Display of sign or device  2,000.
                                            that could be confused
                                            with regulatory placard.
                                            Photograph or good, clear
                                            description necessary.
    172.503..............................  Improper display of ID       See Sec. 172.334.
                                            number on placards.
----------------------------------------------------------------------------------------------------------------
    172.504(a)...........................  Failure to placard; affixing or displaying wrong placard. (See also
                                            Sec. Sec. 172.502(a), 172.504(a), 172.505, 172.512, 172.516,
                                            174.33, 174.59, 174.69; all applicable sections should be cited, but
                                            the penalty should be set at the amount for the violation most
                                            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 (add   1,000.
                                            $1,000 per missing placard
                                            up to a total of three;
                                            then use the guideline
                                            above).
                                           --Complete failure to        2,500.
                                            placard, but only two (2)
                                            placards are required
                                            (e.g., intermediate bulk
                                            containers [IBCs]).
----------------------------------------------------------------------------------------------------------------
    172.504(b)...........................  Improper use of DANGEROUS    5,000.
                                            placard for mixed loads.
    172.504(c)...........................  Placarded for wrong hazard   2,000.
                                            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:
                                          ----------------------------------------------------------------------

[[Page 48]]

 
                                           --Improper placard caused    15,000.
                                            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 that      5,000.
                                            could cause improper
                                            emergency response or
                                            handling by carrier.
                                           --Technical violation......  2,500.
----------------------------------------------------------------------------------------------------------------
    172.505..............................  Improper application of      5,000.
                                            placards for subsidiary
                                            hazards. (This is in
                                            addition to any violation
                                            on the primary hazard
                                            placards.)
    172.508(a)...........................  Offering hazardous material  7,500.
                                            for rail transportation
                                            without affixing placards.
                                            (The preferred section for
                                            a total failure to placard
                                            is Sec. 172.504(a); only
                                            one section should be
                                            cited to avoid a dual
                                            penalty.) (Note also:
                                            Persons offering hazardous
                                            material for rail movement
                                            must affix placards; if
                                            offering for highway
                                            movement, the placards
                                            must be tendered to the
                                            carrier. Sec. 172.506.)
                                           One placard missing (per     1,000.
                                            car). (Add $1,000 per
                                            missing placard up to a
                                            total of three; if all
                                            placards are missing, the
                                            guideline above applies.)
                                           Placards OK, except they     500.
                                            were International
                                            Maritime Dangerous Goods
                                            (IMDG) labels instead of
                                            10 placards.
                                            (Unit of violation is the
                                            packaging, usually a
                                            portable tank.)
                                           Placards on Container on     See Sec. 172.516.
                                            Flatcar/Trailer on Flatcar
                                            (TOFC/COFC) units not
                                            readily visible. (Sec.
                                            172.516 should be cited).
    172.508(b)...........................  Accepting hazardous          5,000.
                                            material for rail
                                            transportation without
                                            placards affixed.
    172.510(a)...........................  EXPLOSIVES 1.1, EXPLOSIVES   5,000.
                                            1.2, POISON GAS, (Division
                                            2.3, Hazard Zone A),
                                            POISON, (Division 6.1,
                                            Packing Group I, Hazard
                                            Zone A), or a Division 2.1
                                            material transported in a
                                            Class DOT 113 tank car,
                                            placards displayed without
                                            square background.
    172.512(a)...........................  Improper placarding of       Follow Sec. 172.504 guidelines.
                                            freight containers.
    172.514..............................  Improper placarding of bulk  2,000.
                                            packaging other than a
                                            tank car: For the
                                            ``exception'' packages in
                                            174.514(c). 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. 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.
                                          ----------------------------------------------------------------------
                                           --Note that, while placards on freight containers, portable tanks, or
                                            TOFC vehicles may be used in lieu of placards on the rail cars, if
                                            both are placarded, each must be done properly. Thus, for instance,
                                            EXPLOSIVES 1.1 placards on intermodal containers do not require
                                            white square backgrounds, but if the rail car carrying such a
                                            container is placarded, the white square background is required on
                                            the rail car.
                                          ----------------------------------------------------------------------
     172.519(b)(4).......................  Improper display of hazard   2,500.
                                            class on placard--primary
                                            hazard.
                                           Improper display of hazard   2,500.
                                            class on placard--
                                            secondary hazard.
                                          ----------------------------------------------------------------------
Emergency Response Information...........  Violations of Sec. Sec. 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 (E/R) book or to put the E/R
                                            information as an attachment to the consist, the unit of violation
                                            is generally the train (or the consist). ``Telephone number''
                                            violations are generally best cited against the shipper; if against
                                            a railroad, there should be proof that the number was given to the
                                            railroad; that is, the number was on the original shipping document.
                                            Considerable aggravation of the penalties under these sections is
                                            possible.
                                          ----------------------------------------------------------------------

[[Page 49]]

 
    172.600-.602.........................  Where improper emergency     15,000.
                                            response information has
                                            caused an improper
                                            reaction from emergency
                                            forces and the improper
                                            response has aggravated
                                            the situation.
                                           Bad, missing, or improper    5,000.
                                            emergency response
                                            information that could
                                            cause a significant
                                            difference in response.
                                           Bad, missing, or improper    2,500.
                                            emergency response
                                            information not likely to
                                            cause a significant
                                            difference in response.
    172.602(c)...........................  Failure to have emergency    15,000.
                                            response information
                                            ``immediately
                                            accessible,'' resulting in
                                            delay or confusion in
                                            emergency response.
                                           Failure to have emergency    7,500.
                                            response information
                                            ``immediately accessible''
                                            with no negative effect on
                                            emergency response.
    172.604..............................  Emergency response
                                            telephone number.
                                           --Failure to include         4,000.
                                            emergency response
                                            telephone number on a
                                            shipping paper.
                                           --Listing an unauthorized,   4,000.
                                            incorrect, non-working, or
                                            unmonitored (24 hrs. a
                                            day) emergency response
                                            telephone number on a
                                            shipping paper.
----------------------------------------------------------------------------------------------------------------
Training.................................  NOTE: The statutory minimum penalty for training violations is $450.
----------------------------------------------------------------------------------------------------------------
    172.702(a)...........................  General failure to train     7,500.
                                            hazardous material
                                            employees.
    172.702(b)...........................  Hazardous material employee  1,000.
                                            performing covered
                                            function without training.
                                            (Unit of violation is the
                                            employee.)
    172.704(a)...........................  --Failure to train in a      2,500.
                                            required area:
                                           --General awareness/
                                            familiarization;
                                           --Function-specific;
                                           --Safety;
                                           --Security awareness;
                                           --In-depth security
                                            training.
                                           (Unit of violation is the
                                            ``area,'' per employee.
                                            For a total failure to
                                            train, Sec. 172.702(a)
                                            applies.)
    172.704(c)...........................  Initial and recurrent        Varies.
                                            training. (This section
                                            should be cited with the
                                            relevant substantive
                                            section, e.g., Sec.
                                            172.702(a), and use
                                            penalty provided there.)
    172.704(d)...........................  Failure to maintain record   2,500.
                                            of training. (Unit of
                                            violation is the
                                            employee.)
                                           There is some evidence of    4,000.
                                            training, but no (or
                                            inadequate) records and
                                            the employee demonstrates
                                            no or very little
                                            knowledge or skills in
                                            doing the job.
----------------------------------------------------------------------------------------------------------------
Security:
----------------------------------------------------------------------------------------------------------------
    172.800..............................  Total failure to develop     5,000 to 10,000.
                                            security plan. Factors to
                                            consider are the size of
                                            the entity (is it a small
                                            business?); the type of
                                            hazmat handled; and the
                                            quantities of hazmat
                                            handled. Aggravation
                                            should be considered, for
                                            example, if it is a large
                                            entity that handles
                                            significant quantities of
                                            chlorine or other toxic
                                            inhalation hazard (TIH)
                                            material.
                                           Failure to adhere to the     1,000 to 10,000.
                                            developed security plan--
                                            considerable aggravation
                                            possible. Factors to
                                            consider include size of
                                            entity, quantities and
                                            types of hazmat handled,
                                            number of security plan
                                            components not complied
                                            with.
    172.802(a)...........................  Failure to include each      2,000.
                                            required component in
                                            plan:
                                           --Personnel security;
                                           --Unauthorized access;
                                           --En route security.
                                           (Unit of violation is the
                                            ``area.'' For a total
                                            failure to have a security
                                            plan, cite Sec. 172.800
                                            and use that penalty
                                            instead of Sec.
                                            172.802.)

[[Page 50]]

 
    172.802(b)...........................  Failure to have security     5,000.
                                            plan (or appropriate
                                            portions of it) available
                                            to implementing employees.
                                            (A failure to have the
                                            plan ``in writing'' is
                                            treated as a violation of
                                            the requirement to have a
                                            plan and cited under Sec.
                                             172.800, using that
                                            penalty.)
                                           Failure to revise/update     5,000.
                                            the plan. (The requirement
                                            to revise/update is based
                                            on ``changing
                                            circumstances.'' Specific,
                                            clear, and detailed
                                            explanations of the
                                            circumstances that changed
                                            will be necessary.)
                                           Failure to update all        5,000.
                                            copies of the plan to the
                                            current level (i.e. all
                                            copies should be
                                            identical). (As in the
                                            tank car quality control
                                            area, the requirement to
                                            conform copies applies
                                            only to the ``official''
                                            copies of the plan.
                                            Uncontrolled (and non-
                                            updated) copies of the
                                            security plan are not a
                                            violation if the
                                            uncontrolled copies are
                                            clearly marked as such.)
172.820(a)-(e)...........................  General failure to perform   5,000 to 10,000
                                            safety and security route
                                            analysis.
                                           Factors to consider are the
                                            size of the railroad
                                            carrier, and the
                                            quantities of hazmat
                                            transported.
172.820(a)-(e)...........................  Partial failure to complete  5,000
                                            route analysis; failure to
                                            complete a component of
                                            the route analysis.
                                              --Compilation of
                                               security-sensitive
                                               commodity data.
                                              --Identification of
                                               practicable alternative
                                               routes.
                                              --Consultation with
                                               State, local, and
                                               tribal officials, as
                                               appropriate regarding
                                               security risks to high-
                                               consequence targets
                                               along or in proximity
                                               to a route used by the
                                               carrier to transport
                                               security-sensitive
                                               materials.
                                              --Safety and security
                                               route analysis of route
                                               used.
                                              --Safety and security
                                               alternative route
                                               analysis.
172.820(f)...............................  Failure to complete route    2,000
                                            analyses within the
                                            prescribed time frame.
172.820(g)...............................  Failure to include one of    2,000
                                            the following components
                                            in safety and security
                                            plan.
                                              --Procedure for
                                               consultation with
                                               offerors and consignees
                                               to minimize storage of
                                               security-sensitive
                                               materials incidental to
                                               movement.
                                              --Measures to limit
                                               unauthorized access to
                                               the materials during
                                               storage or delays in
                                               transit.
                                              --Measures to mitigate
                                               risk to population
                                               centers associated with
                                               in-transit storage of
                                               the materials.
                                              --Measures to be taken
                                               in the event of
                                               escalating threat
                                               levels for the
                                               materials stored in
                                               transit.
                                           (Unit of violation is the
                                            component. For a total
                                            failure to have a security
                                            plan, cite Sec. 172.800
                                            and use the penalties
                                            provided for that
                                            section.).
172.820(h)...............................  Failure to maintain records  2,000
                                            and make available to DOT
                                            and DHS authorized
                                            officials.
172.820(i)...............................  Failure to use route         10,000
                                            designated by FRA
                                            Associate Administrator
                                            for Safety.
----------------------------------------------------------------------------------------------------------------
                       PART 173--SHIPPERS--GENERAL REQUIREMENTS FOR SHIPMENTS AND PACKAGES
----------------------------------------------------------------------------------------------------------------
General:
----------------------------------------------------------------------------------------------------------------

[[Page 51]]

 
    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 transport  5,000.
                                            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 for    3,000.
                                            gases and for flammable
                                            liquids. See also Sec.
                                            Sec. 174.204 and 174.304.
----------------------------------------------------------------------------------------------------------------
Preparation of Hazardous Materials for Transportation:
----------------------------------------------------------------------------------------------------------------
    173.22...............................  Shipper responsibility:      See specific section.
                                            This general duty section
                                            should ordinarily be cited
                                            only to support a more
                                            specific charge.
    173.22a..............................  Improper use of packagings   2,500.
                                            authorized under exemption.
                                           Failure to maintain copy of  1,000.
                                            exemption as required.
----------------------------------------------------------------------------------------------------------------
173.24(b)(1) and 173.24(b)(2) and          Securing closures: These subsections are the general ``no leak''
 173.24(f)(1) and 173.24(f)(1)(ii).         standard for all packagings. Sec. 173.24(b) deals primarily with
                                            packaging as a whole, while Sec. 173.24(f) focuses on closures.
                                            Use Sec. 173.31(d) for tank cars, when possible. 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 $77,114, and up to $179,933 if the violation results
                                            in death, serious illness or injury or substantial destruction of
                                            property. For intermodal (IM) portable tanks and other tanks of that
                                            size range, use the tank car penalty amounts, as stated in Sec.
                                            173.31.
                                           --Small bottle or box......  1,000
                                           --55-gallon drum...........  2,500
                                           --Larger container, e.g.,    5,000
                                            IBC; not portable tank or
                                            tank car..
                                          ----------------------------------------------------------------------
                                           --IM portable tank, cite Sec. 173.24(f) and use the penalty amounts
                                            for tank cars: Residue, generally, Sec. 173.29(a) and, loaded,
                                            Sec. 173.31(d).
                                          ----------------------------------------------------------------------
                                           --Residue adhering to        5,000
                                            outside of package (i.e.,
                                            portable tanks, tank cars,
                                            etc.)..
173.24(c)................................  Use of package not meeting specifications, including required
                                            stencils and markings. The most specific section for the package
                                            involved should be cited (see below). The penalty guideline should
                                            be adjusted for the size of the container. Any actual leak will
                                            aggravate the guideline by, typically, 50%; a leak with contact with
                                            a human being will aggravate by at least 100%, up to the maximum of
                                            $77,114, and up to $179,933 if the violation results in death,
                                            serious illness or injury or substantial destruction of property.
                                          ----------------------------------------------------------------------
                                           --Small bottle or box......  1,000
                                           --55-gallon drum...........  2,500
                                           --Larger container, e.g.,    5,000
                                            IBC; not portable tank or
                                            tank car, but this section
                                            is applicable to a hopper
                                            car..
                                           For more specific sections: Tank cars-Sec. 173.31(a), portable
                                            tanks-Sec. 173.32, and IM portable tanks-Sec. Sec. 173.32a,
                                            173.32b, and 173.32c.
                                           --Small bottle or box......  1,000
                                           --55-gallon drum...........  2,500
                                           --Larger container, e.g.,    5,000
                                            IBC; not portable tank or
                                            tank car, but this section
                                            is applicable to a hopper
                                            car..
                                              For more specific sections: Tank cars-Sec. 173.31(a), portable
                                              tanks-Sec. 173.32, and IM portable tanks-Sec. Sec. 173.32a,
                                                                    173.32b, and 173.32c.
                                           --Larger container, e.g.,    5,000.
                                            IBC; not portable tank or
                                            tank car, but this section
                                            is applicable to a hopper
                                            car.
                                          ----------------------------------------------------------------------
                                           For more specific sections: Tank cars--Sec. 173.31(a), portable
                                            tanks--Sec. 173.32, and IM portable tanks--Sec. Sec.
                                            173.32a,173.32b, and 173.32c.
----------------------------------------------------------------------------------------------------------------
    173.24a(a)(3)........................  Non-bulk packagings:         1,000.
                                            Failure to secure and
                                            cushion inner packagings.

[[Page 52]]

 
                                           --Causes leak..............  5,000.
                                           --Leak with any contact      15,000.
                                            between product and any
                                            human being.
    173.24a(b) and (d)...................  Non-bulk packagings:         1,000.
                                            Exceeding filling limits.
                                           --Causes leak..............  5,000.
                                           --Leak with any contact      15,000.
                                            between product and any
                                            human being.
    173.24b(a)...........................  Insufficient outage:
                                           --<1%......................  3,000.
                                           --Causes leak..............  5,000.
                                           Outage <5% on PIH material.  5,000.
                                           --Causes leak..............  7,500.
                                           --Leak with any contact      15,000.
                                            between product and any
                                            human being.
    173.24b(d)(2)........................  Overloaded to exceed the     5,000.
                                            maximum weight of lading
                                            marked on the
                                            specification plate.
    173.26...............................  Loaded beyond gross weight   5,000.
                                            or capacity as stated in
                                            specification. (Applies
                                            only if quantity
                                            limitations do not appear
                                            in packaging requirements
                                            of part 173.) (For tank
                                            cars, see Sec. 179.13.)
                                            For gross weight and
                                            capacity requirements, see
                                            Sec. 179.13. Sec.
                                            173.26 should be the
                                            citation for the violation
                                            and civil penalty; Sec.
                                            179.13 can be cited as a
                                            reference section.
    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. 173.31(d) is also applicable for tank cars).
                                            The regulation requires offering ``in the same manner as when''
                                            loaded and may be cited when a car not meeting specifications (see
                                            Sec. 173.31(a)(1)) is released back into transportation after
                                            unloading; same guideline amount. Guidelines vary with the type of
                                            commodity involved. In addition to the vapor pressure factor cited
                                            below, the RQ (reportable quantity) is a fair measure of the danger
                                            of a commodity to the environment. For RQ values <=10, consider
                                            aggravating the penalties below by no less than 50 percent.
                                          ----------------------------------------------------------------------
                                           --Hazardous material with    2,000.
                                            insignificant vapor
                                            pressure and without
                                            classification as
                                            ``poison'' or ``inhalation
                                            hazard.''.
                                           --With actual leak.........  5,000.
                                           --With leak allowing the     15,000.
                                            product to contact any
                                            human being.
                                           --Hazardous material with    5,000.
                                            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 the     15,000.
                                            product (or fumes or
                                            vapors) to contact any
                                            human being. (In the case
                                            of fumes, the ``contact''
                                            must be substantial.).
                                           --Where only violation is    1,000.
                                            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.
                                           Sec. 173.247.............  1,000.
                                           Sec. 173.249.............  7,500.
                                           Sec. 173.314.............  5,000.
                                           Sec. 173.315.............  5,000.
                                           Sec. 173.319.............  5,000.
                                           Sec. 173.320.............  5,000
                                           Sec. 173.323.............  7,500.

[[Page 53]]

 
                                           --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.
                                           --Defect of greater          1,000.
                                            importance, e.g., safety
                                            valve tested, but test
                                            date not stenciled on
                                            valve.
                                           --Tank meets specification,  1,000.
                                            but specification is not
                                            stenciled on car. 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     2,500.
                                            according to Appendix C of
                                            the Tank Car Manual. The
                                            sub-reference is to Sec.
                                            179.22 which requires each
                                            tank car to be marked in
                                            accordance with Appendix C
                                            of the Tank Car Manual.
                                            For example, Appendix
                                            3.03(a)(5), requires
                                            marking of the tank ``NOT
                                            FOR FLAMMABLE LIQUIDS'' or
                                            ``NOT FOR FLAMMABLE OR
                                            POISONOUS LIQUIDS.''.
----------------------------------------------------------------------------------------------------------------
    173.31(a)(2).........................  Tank cars and appurtenances  7,500.
                                            used for a material not
                                            authorized on the
                                            certificate of
                                            construction (or by
                                            addendum on Association of
                                            American Railroads (AAR)
                                            form R-1).
    173.31(a)(3).........................  Filling a tank car overdue   7,500.
                                            for a periodic inspection
                                            with a hazardous material
                                            and then offering it for
                                            transportation. (Note:
                                            Offering a residue car,
                                            overdue for inspection, is
                                            not a violation; neither
                                            is filling the car--so
                                            long as it is not offered
                                            for transportation.)
                                            (Adjust penalty if less
                                            than one month or more
                                            than one year overdue.).
    173.31(a)(4).........................  Use of tank car without air  5,000.
                                            brake support attachments
                                            welded to pads..
    173.31(a)(5).........................  Use of a tank car with a     15,000.
                                            self-energized manway
                                            located below the liquid
                                            level of the lading.
    173.31(b)(1).........................  Use of DOT-specification     10,000.
                                            tank car, or any tank car
                                            used for transportation of
                                            a hazardous material,
                                            without shelf couplers.
                                           --Against a carrier, cite    6,000.
                                            Sec. 174.3 and this
                                            section..
    173.31(b)(2).........................  Tank car with nonreclosing   7,500.
                                            pressure relief device
                                            used to transport Class 2
                                            gases, Class 3 or 4
                                            liquids, or Division 6.1
                                            liquids, PG I or II.
                                          ----------------------------------------------------------------------
                                           Tank car has a nonreclosing  1,000.
                                            pressure relief device and
                                            the wrong pressure is
                                            stenciled on the tank.
                                            Cite this section where
                                            the standard in Sec.
                                            179.22(a) is not met and
                                            the respondent is other
                                            than the builder or
                                            manufacturer.
                                           Where either the rupture     5,000.
                                            disc is unmarked for
                                            pressure or manufacturer
                                            name or is marked but is
                                            of the wrong pressure.
                                            Cite this section for a
                                            violation of Sec.
                                            179.156(h) against other
                                            than the builder or
                                            manufacturer.
    173.31(b)(3).........................  Use of a tank car for the transportation of a hazardous material
                                            without the required tank-head protection. See paragraphs
                                            (b)(3)(iii) and (iv) for compliance periods.
----------------------------------------------------------------------------------------------------------------
                                           --Class 2..................  10,000.
                                           --Tank car constructed from  7,500.
                                            aluminum or nickel plate.
                                           --Against a carrier, cite    6,000.
                                            Sec. 174.3 and this
                                            section.
----------------------------------------------------------------------------------------------------------------
    173.31(b)(4).........................  Use of a tank car for the    10,000.
                                            transportation of a Class
                                            2 material without the
                                            required thermal
                                            protection. See paragraphs
                                            (b)(4)(i) for compliance
                                            periods.
    173.31(b)(5).........................  Use of a tank car for the    5,000.
                                            transportation of a
                                            hazardous material without
                                            the required bottom-
                                            discontinuity protection.
                                            See the paragraph for
                                            compliance periods.
    173.31(b)(6).........................  Failure to submit a          2,500.
                                            progress report to the FRA.
    173.31(c)............................  Use of a tank car with an    10,000.
                                            incorrect tank test
                                            pressure.
----------------------------------------------------------------------------------------------------------------

[[Page 54]]

 
    173.31(d)............................  Offering a tank car for      5,000.
                                            transportation with a
                                            hazardous material, or a
                                            residue of a hazardous
                                            material, that is not in
                                            proper condition or that
                                            is unsafe for
                                            transportation. Sections
                                            173.24(b) and (f)
                                            establish a ``no-leak''
                                            design standard, and
                                            173.31 imposes that
                                            standard on operations. In
                                            addition to the vapor
                                            pressure factor cited
                                            below, the RQ (reportable
                                            quantity) is a fair
                                            measure of the danger of a
                                            commodity to the
                                            environment. For RQ values
                                            <=10, consider aggravating
                                            the penalties below by no
                                            less than 50 percent. The
                                            unit of violation is the
                                            car, aggravated if
                                            necessary for truly
                                            egregious condition.
                                          ----------------------------------------------------------------------
                                           Loaded car:
                                          ----------------------------------------------------------------------
                                           --Failure to inspect the     5,000.
                                            tank car, service
                                            equipment, or markings
                                            prior to offering the car
                                            for transportation.: If
                                            the failure to inspect
                                            resulted in a release of
                                            product, the appropriate
                                            penalty amount below
                                            applies.
                                           --With actual leak of        10,000.
                                            product.
                                           --With actual leak allowing  15,000.
                                            the product (or fumes or
                                            vapors) to contact any
                                            human being. (With safety
                                            vent, be careful because
                                            carrier might be at fault).
                                           --Minor violation, e.g.,     1,000.
                                            bottom outlet cap loose on
                                            tank car of molten sulfur
                                            (because product is a
                                            solid when shipped).
                                          ----------------------------------------------------------------------
                                           Residue car: (The penalties are the same as in 173.29(a).)
                                          ----------------------------------------------------------------------
                                           Offering residue tank car for transportation when openings are not
                                            tightly closed (Sec. 173.29(a) is also applicable for tank cars)
                                            Guidelines vary with the type of commodity involved:
                                          ----------------------------------------------------------------------
                                           --Hazardous material with    2,000.
                                            insignificant vapor
                                            pressure and without
                                            classification as
                                            ``poison'' or ``inhalation
                                            hazard.''.
                                           --With actual leak.........  5,000.
                                           --With leak allowing the     15,000.
                                            product to contact any
                                            human being.
                                           --Hazardous material with    5,000.
                                            vapor pressure (esentially
                                            any gas or compressed gas)
                                            and/or with classification
                                            as ``poison'' or
                                            ``inhalation hazard.''.
                                           --With actual leak.........  7,500.
                                           --With leak allowing the     15,000.
                                            product (or fumes or
                                            vapors) to contact any
                                            human being. (In the case
                                            of ``fumes,'' the
                                            ``contact'' must be
                                            substantial.).
                                          ----------------------------------------------------------------------
                                           Whether loaded or residue:
----------------------------------------------------------------------------------------------------------------
                                           --Where the only violation   1,000.
                                            is the failure to secure a
                                            protective housing, e.g.,
                                            the covering for the
                                            gaging device.
                                           --Where ``other              2,500 (Varies to account for
                                            conditions'' than a loose    seriousness).
                                            closure make a tank car
                                            not ``in proper condition
                                            for transportation''
                                            (e.g., loose ladders,
                                            seals thrown into safety
                                            valves, etc.).
----------------------------------------------------------------------------------------------------------------
    173.31(e)(1).........................  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(e)(2).........................  Use of a tank car for a      10,000.
                                            material poisonous by
                                            inhalation that does not
                                            meet the minimum
                                            specification i.e., 300
                                            pound tank test pressure,
                                            head protection, and a
                                            metal jacket.) See the
                                            paragraph for the
                                            compliance dates.

[[Page 55]]

 
    173.31(f)............................  Use of a tank car for a      5,000.
                                            ``listed'' hazardous
                                            substance that does not
                                            meet the minimum
                                            specification (i.e., 200
                                            pound tank test pressure,
                                            head protection, and a
                                            metal jacket.): See the
                                            paragraph for the
                                            compliance dates and Sec.
                                             173.31(f)(2) for the list
                                            of hazardous substances.
    173.31(g)(1).........................  Unloading a tank car         4,000.
                                            without securing access to
                                            the track to prevent entry
                                            by other rail equipment.
                                            Derails, lined and blocked
                                            switches, or other
                                            equipment that provides
                                            equivalent level of
                                            security is acceptable.
    173.31(g)(2).........................  Unloading a tank car         2,000.
                                            without caution signs
                                            properly displayed. (See
                                            Part 218, Subpart B).
    173.31(g)(3).........................  Unloading without brakes
                                            set and/or wheels blocked.
                                            (The enforcement standard,
                                            as per 1995 Hazardous
                                            Materials Technical
                                            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 wheels   5,000.
                                            blocked, or fewer brakes
                                            set/wheels blocked than
                                            facility's operating plan.
                                           --No brakes set, but wheels  3,000.
                                            blocked.
                                           --Brakes set, but wheels     4,000.
                                            not blocked.
----------------------------------------------------------------------------------------------------------------
    173.32(a)(1).........................  Using a portable tank for    5,000.
                                            transportation of
                                            hazardous materials, when
                                            tank does not meet
                                            regulatory requirements.
                                            (For loose closures or
                                            leaks on portable tanks
                                            use 173.24.).
    173.32(a)(2).........................  Filling and offering         5,000.
                                            portable tank when
                                            periodic test or
                                            inspection overdue.
----------------------------------------------------------------------------------------------------------------
Gases; Preparation and Packaging:
----------------------------------------------------------------------------------------------------------------
    173.314(c)...........................  Compressed gas loaded in     6,000.
                                            excess of filling density
                                            (same basic concept as
                                            insufficient outage).
    173.314(e) through (o)...............  Failure to comply with a     5,000.
                                            special requirement for a
                                            compressed gas.
----------------------------------------------------------------------------------------------------------------
                                           PART 174--CARRIAGE BY RAIL
----------------------------------------------------------------------------------------------------------------
General Requirements:
----------------------------------------------------------------------------------------------------------------
    174.3................................  Acceptance of improperly prepared shipment. This general duty section
                                            shall be accompanied by a citation to the specific section violated.
    174.9................................  Failure to properly inspect  For loaded car 5,000.
                                            a rail car containing a     For residue car 2,000.
                                            hazardous material when
                                            accepted for
                                            transportation or placed
                                            in a train: The carrier
                                            shall inspect the rail
                                            car, at ground level, for
                                            required markings, labels,
                                            placards, securement of
                                            closures and leakage. The
                                            inspection may be
                                            performed in conjunction
                                            with the inspections
                                            required under parts 215
                                            and 232. This requirement
                                            will not ``trigger'' an
                                            inspection and thereby
                                            require a train to be
                                            stopped. For example, in
                                            run-through train
                                            operations, the train crew
                                            of the receiving railroad
                                            simply assumes
                                            responsibility for the
                                            train from the delivering
                                            crew. Acceptance of
                                            responsibility includes
                                            the right to receive a
                                            penalty action for
                                            transporting a rail car
                                            with a non-complying
                                            condition. Note also that
                                            the presence of a non-
                                            complying condition by
                                            itself does not prove that
                                            there was a failure to
                                            inspect. See also Sec.
                                            174.50 for violations
                                            against the carrier for
                                            loose (visible from ground
                                            level) closures on cars.
    174.14...............................  Failure to expedite:         2,500.
                                            Violation of ``48-hour
                                            rule.''.
----------------------------------------------------------------------------------------------------------------

[[Page 56]]

 
General Operating Requirements...........  This subpart (subpart B) of part 174 has two sections referring to
                                            shipment documentation: Sec. 174.24 relating to accepting
                                            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(a)............................  Accepting hazardous
                                            material shipment without
                                            properly prepared shipping
                                            paper. (The carrier's duty
                                            extends only to the
                                            document received, that
                                            is, a shipment of
                                            hazardous material in a
                                            non-placarded 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.
                                            material information that
                                            could cause delay or error
                                            in emergency response.
                                           --Total absence of           5,000.
                                            hazardous material
                                            information.
                                           --Technical errors, not      1,000.
                                            likely to cause problems,
                                            especially with emergency
                                            response.
                                           --Minor errors not relating  500.
                                            to hazardous material
                                            emergency response, e.g.,
                                            not listing an exemption
                                            number and the exemption
                                            is not one affecting
                                            emergency response.
                                          ----------------------------------------------------------------------
                                           Failure to include emergency response information is covered at Sec.
                                            Sec. 172.600-172.604; while the normal unit of violation for
                                            movement documents is the whole document, failure to provide
                                            emergency response information is a separate violation.
----------------------------------------------------------------------------------------------------------------
    174.24(b)............................  Failure to retain shipping   7,500.
                                            papers for one year.
                                            (Variation over a wide
                                            range is not unusual,
                                            depending upon
                                            circumstances.).
    174.26(a)............................  Train crew does not have a   6,000.
                                            document indicating
                                            position in train of each
                                            rail car containing a
                                            hazardous material.
                                            Routinely aggravate by 50%
                                            for Poison Gas, 2.3, and
                                            Explosives, 1.1 and 1.2.
                                            (Train is the unit of
                                            violation--this is
                                            generally going to be the
                                            consist list for a train.).
                                           Train crew has documents     2,000 to 4,000.
                                            described above but they
                                            have not updated the
                                            document to account for
                                            delivery or pickup of car
                                            or cars. Penalty amount
                                            may vary depending on the
                                            number of cars not listed
                                            or out of place, the
                                            number of places the cars
                                            are off, the type of
                                            commodity in the car, and
                                            the potential effects on
                                            safe handling of the cars
                                            or emergency response.
                                            (Each failure to update is
                                            a separate unit of
                                            violation--if the crew
                                            picked up one cut of cars
                                            and failed to update the
                                            document, that would be
                                            one unit of violation. The
                                            ``update'' requirement
                                            only matures when the crew
                                            has placed the cars into
                                            the train--or removed them
                                            from the train--re-laced
                                            the air hoses, and are
                                            ready to depart.).
----------------------------------------------------------------------------------------------------------------

[[Page 57]]

 
    174.26(b)............................  Improper paperwork in possession of train crew. (Shipment is unit of
                                            violation, although there is justification for making it the train
                                            if a unified consist [e.g. one that shows both train car order and
                                            hazmat information] is used to carry this information and the
                                            violation is a pattern one throughout all, or almost all, of the
                                            hazardous material shipments. For intermodal traffic, ``shipment''
                                            can mean the container or trailer--e.g., a UPS trailer with several
                                            non-disclosed hazardous material packages would be one unit.)
                                          ----------------------------------------------------------------------
                                           --Information on the         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.
                                           --Information is present     3,000.
                                            and wrong, but without
                                            adverse emergency response
                                            effect (e.g. insignificant
                                            error in shipping name for
                                            the hazmat; name is
                                            incorrect but the
                                            emergency response would
                                            be the same).
                                           --Total lack of hazardous    7,500.
                                            material information on
                                            movement document. (Some
                                            shipping names alone
                                            contain sufficient
                                            information to reduce the
                                            guideline to the next
                                            lower level, but there may
                                            be such dangerous products
                                            that aggravation needs to
                                            be considered.).
                                           --Some information is        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.
                                            172.203(e)(2).
                                           --Improper information, but  3,000.
                                            the hazardous material are
                                            small shipments (e.g., UPS
                                            moves) and PG III (e.g.,
                                            the ``low hazard''
                                            material allowed in TOFC/
                                            COFC service without an
                                            exemption since HM-197).
                                           --Lack of emergency          4,000.
                                            response phone number.
                                           --Technical defect or minor  500-1,000.
                                            error not likely to cause
                                            delay or error in
                                            emergency response or
                                            carrier handling.
----------------------------------------------------------------------------------------------------------------
    174.50...............................  Forwarding a bulk packaging  For loaded car 5,000.
                                            (e.g. a tank car) that no   For residue car 2,000.
                                            longer conforms to the
                                            hazmat regulations without
                                            first repairing the
                                            defect. This includes such
                                            non-conforming conditions
                                            as loose closures visible
                                            from ground level (e.g.
                                            loose bottom outlet caps),
                                            improper stenciling or
                                            marking.
                                           --Forwarding a leaking, or   5,000.
                                            non-conforming non-bulk
                                            package containing a
                                            hazardous material without
                                            repair or over-packing.
                                           --Forwarding a leaking bulk  10,000.
                                            package beyond the
                                            movement ``as necessary to
                                            reduce or to eliminate an
                                            immediate threat * * *.''
                                            Consider mitigation for
                                            low hazard HM (e.g., HOT)
                                            and for bulk packages
                                            smaller than tank cars.
                                           --Loss of product resulted   15,000.
                                            in human contact because
                                            of improper carrier
                                            handling.
                                           --Failure to obtain          7,500.
                                            movement approval from the
                                            FRA for the transportation
                                            of a bulk packaging that
                                            no longer conforms to the
                                            regulations.
                                           --Failure to follow          5,000.
                                            directives in a movement
                                            approval.
                                           --Failure to report          5,000.
                                            corrective actions (or any
                                            other reporting
                                            requirement in the
                                            movement approval).
----------------------------------------------------------------------------------------------------------------
General Handling and Loading Requirements:
----------------------------------------------------------------------------------------------------------------

[[Page 58]]

 
    174.55...............................  Failure to block and brace as prescribed. (See also Sec. Sec.
                                            174.61, 174.63, 174.101, 174.112, 174.115; where these more specific
                                            sections apply, cite them.) Note: The regulatory requirement is that
                                            hazardous material packages be loaded and securely blocked and
                                            braced to prevent the packages from changing position, falling or
                                            sliding into each other. If the load is tight and secure, pieces of
                                            lumber or other material may not be necessary to achieve the ``tight
                                            load'' requirement.
                                          ----------------------------------------------------------------------
                                           --General failure to block   5,000.
                                            and brace.
                                           --Inadequate blocking and    2,500.
                                            bracing (an attempt was
                                            made but blocking/bracing
                                            was insufficient).
                                           --Inadequate blocking and    7,500.
                                            bracing leading to a leak.
                                           --Inadequate blocking and    15,000.
                                            bracing leading to a leak
                                            and human being contact.
----------------------------------------------------------------------------------------------------------------
    174.59...............................  Other specific placarding and marking sections may also be
                                            applicable.
                                           Marking and placarding. A railroad's placarding duties are to not
                                            accept a car without placards [Sec. 172.508(b)], 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. 174.9]. The ``next inspection point'' replacement
                                            requirement in this section refers to placards that disappear
                                            between inspection points. A car at an inspection point must be
                                            placarded 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 material cars merely standing in a
                                            yard, violations written for unplacarded cars in yards must include
                                            proof that the railroad knew about the unplacarded cars and took no
                                            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, Sec. Sec. 172.600-172.604, and
                                            investigation may reveal that those sections should be cited instead
                                            of this one.)
                                          ----------------------------------------------------------------------
                                           --Complete failure to        7,500.
                                            placard or to replace
                                            missing placards.
                                           --One placard missing (per   1,000.
                                            car). (Add $1,000 per
                                            missing placard up to a
                                            total of three; then use
                                            the guideline above).
                                          ----------------------------------------------------------------------
                                           For other placarding violations, see Sec. Sec. 172.500-.560 and
                                            determine if one of them more correctly states the violation. For
                                            marking violations, see Sec. Sec. 172.300-.338 and determine if
                                            one of them more correctly states the violation. Note that marking
                                            violations, except for the UN number, are generally applicable to
                                            the shipper/offeror.
----------------------------------------------------------------------------------------------------------------
    174.61...............................  Improper transportation of   3,000.
                                            transport vehicle or
                                            freight container on flat
                                            car. (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) and (c)....................  --Improper transportation    3,000.
                                            of portable tank or other
                                            bulk packaging in TOFC/
                                            COFC service.
                                           --Portable tank double       5,000.
                                            stacked with container
                                            above or below. (Sec.
                                            174.63(c)(5)(i).).
                                           --Portable tank transported  3,000.
                                            in a well car with its
                                            outlet valve facing
                                            inward. (Sec.
                                            174.63(c)(5)(ii).).
                                           --Portable tank transported  5,000.
                                            without securement
                                            fittings engaged and
                                            locked or void filling
                                            devices not properly
                                            deployed.
                                           --Improper transportation    7,500.
                                            leading to a release of
                                            product.
                                           --Improper transportation    15,000.
                                            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 secure  5,000.
                                           --Inadequate securement (an  2,500.
                                            attempt to secure was made
                                            but the means of
                                            securement were
                                            inadequate).
                                           --Inadequate securement      7,500.
                                            leading to a leak.

[[Page 59]]

 
                                           --Inadequate securement      15,000.
                                            leading to a leak and
                                            human being contact.
----------------------------------------------------------------------------------------------------------------
    174.63(e)............................  Transportation of cargo      7,500.
                                            tank or multi-unit tank
                                            car tank in TOFC or COFC
                                            service without
                                            authorization and in the
                                            absence of an emergency.
    174.67(a)(1).........................  Tank car transloading        5,000.
                                            operations performed by
                                            persons not properly
                                            instructed (case cannot be
                                            based on inference).
                                            (Note: for all
                                            transloading requirements,
                                            there must be clear
                                            evidence that the hazmat
                                            shipment is continuing in
                                            transportation by another
                                            mode. For example,
                                            shipping papers show
                                            another destination than
                                            the one where the tank car
                                            is being unloaded/
                                            transloaded, and the
                                            contents of the tank car
                                            are being transloaded into
                                            a highway tank truck.
                                            Otherwise, the tank car
                                            unloading requirements
                                            contained in section
                                            173.31(g) apply).
----------------------------------------------------------------------------------------------------------------
    174.67(a)(2).........................  Unloading/transloading hazmat without brakes set and/or wheels
                                            blocked. (The 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 wheels   5,000.
                                            blocked, or fewer brakes
                                            set/wheels blocked than
                                            facility's operating plan.
                                           --No brakes set, but wheels  3,000.
                                            blocked.
                                           --Brakes set, but wheels     4,000.
                                            not blocked.
----------------------------------------------------------------------------------------------------------------
    174.67(a)(3).........................  Unloading/transloading       4,000.
                                            without securing access to
                                            the track to prevent entry
                                            by other rail equipment.
                                            Derails, lined and blocked
                                            switches, or other
                                            equipment that provides
                                            equivalent level of
                                            security is acceptable.
    174.67(a)(4).........................  Unloading/transloading       2,000.
                                            without caution signs
                                            properly displayed. (See
                                            Part 218, Subpart B).
    174.67(a)(5).........................  Failure of transloading      2,500.
                                            facility to maintain
                                            written safety procedures
                                            (such as those it may
                                            already be required to
                                            maintain pursuant to the
                                            Department of Labor's
                                            Occupational Safety and
                                            Health Administration
                                            requirements in 29 CFR
                                            1910.119 and 1910.120) in
                                            a location where they are
                                            immediately available to
                                            hazmat employees
                                            responsible for the
                                            transloading operation.
                                          ----------------------------------------------------------------------
    174.67(c)(2).........................  Failure to use non-metallic block to prop manway cover open while
                                            unloading through bottom outlet.
                                          ----------------------------------------------------------------------
                                           --Flammable or combustible   3,000.
                                            liquid, or other product
                                            with a vapor flash point
                                            hazard.
                                           --Material with no vapor     500.
                                            flammability hazard.
    174.67(h)............................  Insecure unloading           10,000.
                                            connections, resulting in
                                            actual leak of product.
                                           Insecure unloading           5,000.
                                            connections, no leak of
                                            product.
    174.67(i)............................  Unattended/unmonitored       5,000.
                                            unloading. Tank car must
                                            be attended by a
                                            designated employee or
                                            monitored by a signaling
                                            system.
    174.67(j)............................  Noncompliance with piping    2,000.
                                            requirements.
                                          ----------------------------------------------------------------------
    174.67(k)............................  Failure to comply with requirements for leaving tank car unloading
                                            connections attached.
                                          ----------------------------------------------------------------------
                                           --Hazardous material with    2,000.
                                            insignificant vapor
                                            pressure and without
                                            classification as
                                            ``poison'' or ``inhalation
                                            hazard.'' (One count can
                                            be assessed for each
                                            element not followed. May
                                            also assess per tank car
                                            if more than one is
                                            involved in violation)..
                                           --With actual leak.........  5,000.

[[Page 60]]

 
                                           --With leak allowing the     15,000.
                                            product to contact any
                                            human being.
                                           --Hazardous material with    5,000.
                                            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 the     15,000.
                                            product (or fumes or
                                            vapors) to contact any
                                            human being). Contact with
                                            ``fumes'' must be
                                            substantial.
    174.67(l)............................  Failure to remove            2,000.
                                            connections, tighten all
                                            valves with a ``suitable
                                            tool'' and tighten all
                                            other closures once
                                            unloading is complete.
    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).
----------------------------------------------------------------------------------------------------------------
Handling of Placarded Rail Cars, Transport Vehicles and Freight Containers:
----------------------------------------------------------------------------------------------------------------
    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 1.1/1.2   8,000.
                                            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 two
                                            (2) placarded cars are too close to the engine, both are violations.
                                            Where both have a similar violation, e.g., a Division 1.1 car next
                                            to a loaded tank car of a Class 3 material, each car gets the
                                            appropriate penalty as listed below)
                                          ----------------------------------------------------------------------
                                           RESIDUE car without at       3,000.
                                            least 1 buffer from engine
                                            or occupied caboose.
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr----------------------------------------------------------------------
                                           Placard Group 1--Division 1.1/1.2 materials (Class A explosive) See
                                            chart at Sec. 174.85.
                                          ----------------------------------------------------------------------
                                           --Fewer than six (6) cars    8,000.
                                            (where train length
                                            permits) from engine or
                                            occupied caboose.
                                           --As above but with at       7,000.
                                            least one (1) buffer.
                                           --No buffer at all (where    8,000.
                                            train length doesn't
                                            permit five (5) cars).
                                           --Next to open top car or    7,000.
                                            car with permanent
                                            bulkheads, where lading
                                            extends beyond car ends/
                                            bulkheads or, if shifted,
                                            would be beyond car ends/
                                            bulkheads.
                                           --Next to loaded flat car,   6,000.
                                            except closed TOFC/COFC
                                            equipment, auto carriers,
                                            specially equipped car
                                            with tie-down devices.
                                           --Next to operating          7,000.
                                            temperature-control
                                            equipment or internal
                                            combustion engine in
                                            operation.
                                           --Next to placarded car,     7,000.
                                            except one from same
                                            placard group or
                                            COMBUSTIBLE.
                                          ----------------------------------------------------------------------
                                           Placard Group 2--Division 1.3/1.4/1.5 (Class B and C explosives);
                                            Division 2.1/2.2 (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). See chart at Sec. 174.85.
                                          ----------------------------------------------------------------------
                                           For tank cars:
                                          ----------------------------------------------------------------------

[[Page 61]]

 
                                           --Fewer than six (6) cars    6,000.
                                            (where train length
                                            permits) from engine or
                                            occupied caboose.
                                           --As above but with at       5,000.
                                            least one (1) buffer.
                                           No buffer at all (where      6,000.
                                            train length doesn't
                                            permit five (5)).
                                           --Next to open top car or    5,000.
                                            car with permanent
                                            bulkheads, where lading
                                            extends beyond car ends/
                                            bulkheads or, if shifted,
                                            would be beyond car ends/
                                            bulkheads.
                                           --Next to loaded flat car,   5,000.
                                            except closed TOFC/COFC
                                            equipment, auto carriers,
                                            specially equipped car
                                            with tie-down devices.
                                           --Next to operating          5,000.
                                            temperature-control
                                            equipment or internal
                                            combustion engine in
                                            operation.
                                           --Next to placarded car,     5,000.
                                            except one from same
                                            placard group or
                                            COMBUSTIBLE.
                                          ----------------------------------------------------------------------
                                           For other rail cars:
                                          ----------------------------------------------------------------------
                                           --Next to placarded car,     5,000.
                                            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 six (6) cars    8,000.
                                            (where train length
                                            permits) from engine or
                                            occupied caboose.
                                           --As above but with at       7,000.
                                            least one (1) buffer
                                           No buffer at all (where      8,000.
                                            train length doesn't
                                            permit five (5)).
                                           --Next to open top car or    7,000.
                                            car with permanent
                                            bulkheads, where lading
                                            extends beyond car ends/
                                            bulkheads or, if shifted,
                                            would be beyond car ends/
                                            bulkheads.
                                           --Next to loaded flat car,   6,000.
                                            except closed TOFC/COFC
                                            equipment, auto carriers,
                                            specially equipped car
                                            with tie-down devices.
                                           --Next to operating          7,000.
                                            temperature-control
                                            equipment or internal
                                            combustion engine in
                                            operation.
                                           --Next to placarded car,     7,000.
                                            except one from same
                                            placard group or
                                            COMBUSTIBLE.
                                          ----------------------------------------------------------------------
                                           For other rail cars:
                                          ----------------------------------------------------------------------
                                           --Next to placarded car,     5,000.
                                            except one from same
                                            placard group or
                                            COMBUSTIBLE.
                                          ----------------------------------------------------------------------
                                           Placard Group 4--Class 7 (radioactive) materials
                                          ----------------------------------------------------------------------
                                           For rail cars:
                                          ----------------------------------------------------------------------
                                           --Next to locomotive or      8,000.
                                            occupied caboose.
                                           --Next to placarded car,     5,000.
                                            except one from same
                                            placard group or
                                            COMBUSTIBLE.
                                           --Next to carload of         3,000.
                                            undeveloped film.
----------------------------------------------------------------------------------------------------------------
    174.86...............................  Exceeding maximum allowable  3,000.
                                            operating speed (15 mph)
                                            while transporting molten
                                            metals or molten glass.
----------------------------------------------------------------------------------------------------------------
Class 1 (Explosive) Materials:
----------------------------------------------------------------------------------------------------------------
    174.101(o)(4)........................  Failure to have proper explosives placards on flatcar carrying
                                            trailers/containers 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 (add   1,000.
                                            $1,000 per missing placard
                                            up to a total of three,
                                            then use the guideline
                                            above).

[[Page 62]]

 
    174.104(b)...........................  Car used to transport        5,000.
                                            Division 1.1 or 1.2
                                            materials does not meet
                                            requirements. (Aggravation
                                            to be considered, and may
                                            be considerable, for
                                            multiple failures to meet
                                            requirements.).
    174.104(c)...........................  Failure to inspect and       7,500.
                                            certify car before placing
                                            for loading with Division
                                            1.1 or 1.2 materials.
    174.104(e)...........................  Failure to supervise the     5,000.
                                            loading and securement of
                                            a container (of Division
                                            1.1 or 1.2 materials) on a
                                            flat car and failure to
                                            certify the car. (Unit of
                                            violation is the
                                            container.).
    174.104(f)...........................  Failure to retain car        1,000.
                                            certificates at
                                            ``forwarding station.''.
                                           Failure to attach car        1,000.
                                            certificates to car. (Unit
                                            of violation is the
                                            certificate, two (2) are
                                            required.)
----------------------------------------------------------------------------------------------------------------
Detailed Requirements for Class 2 (Gases) Materials:
----------------------------------------------------------------------------------------------------------------
    174.204..............................  Improper tank car delivery   3,000.
                                            of gases (Class 2
                                            materials).
----------------------------------------------------------------------------------------------------------------
Detailed Requirements for Class 3 (Flammable Liquid) Materials:
----------------------------------------------------------------------------------------------------------------
    174.304..............................  Improper tank car delivery   3,000.
                                            of flammable liquids
                                            (Class 3 materials).
----------------------------------------------------------------------------------------------------------------
Detailed Requirements for Division 6.1 (Poisonous) Materials:
----------------------------------------------------------------------------------------------------------------
    174.600..............................  Improper tank car delivery   5,000.
                                            of materials extremely
                                            poisonous by inhalation
                                            (Division 2.3 Zone A or
                                            6.1 Zone A materials).
----------------------------------------------------------------------------------------------------------------
                                     PART 178--SPECIFICATIONS FOR PACKAGINGS
----------------------------------------------------------------------------------------------------------------
178.2(b).................................  Package not constructed according to specifications--also cite
                                            specific section not complied with.
                                          ----------------------------------------------------------------------
                                           --Bulk packages, including   8,000.
                                            portable tanks.
                                           --55-gallon drum...........  2,500.
                                           --Smaller package..........  1,000.
----------------------------------------------------------------------------------------------------------------
                                     PART 179--SPECIFICATIONS FOR TANK CARS
----------------------------------------------------------------------------------------------------------------
179.1(e).................................  Tank car not constructed     8,000.
                                            according to
                                            specifications--also cite
                                            section not complied with.
                                            (Part 179 violations are
                                            against the builder or
                                            repairer. Sections in this
                                            Part are often cited in
                                            conjunction with
                                            violations of Sec. Sec.
                                            172.330 and 173.31(a) and
                                            (b) by shippers. In such
                                            cases, the part 179
                                            sections are cited as
                                            references, not as
                                            separate alleged
                                            violations.).
179.3....................................  Constructing tank car        10,000.
                                            without securing approval
                                            from Tank Car Committee.
179.5(a).................................  Failure to furnish a         7,500.
                                            Certificate of
                                            Construction before tank
                                            car is placed in service.
179.6....................................  Repair procedures not in     10,000.
                                            compliance with Appendix R
                                            of the Tank Car Manual.
                                          ----------------------------------------------------------------------
179.7....................................  Section 179.7 requires that each tank car facility have a quality
                                            assurance (QA) program that encompasses at least the elements in
                                            Sec. 179.7(b). A tank car facility is an entity that manufactures,
                                            repairs, inspects, tests, qualifies, or maintains a tank car to
                                            ensure that the tank car conforms to parts 179 and 180, or alters
                                            the certificate of construction of the car. As a rule, a facility
                                            ``qualifies'' a tank by ``inspecting'' it and then ``representing''
                                            it as meeting the standard. In addition to the following penalty
                                            amounts, the agency may ``recall'' all tanks qualified by the tank
                                            car facility during the period the facility failed to comply with
                                            the quality assurance requirements. See, for example, Sec.
                                            180.509(b)(4).
                                          ----------------------------------------------------------------------
                                           Total failure to have a      15,000.
                                            quality assurance program.

[[Page 63]]

 
                                           Failure to perform           10,000.
                                            activities as a tank car
                                            facility other than in
                                            accordance with the
                                            quality assurance program.
                                            See 180.509(l) for
                                            applicability to tank car
                                            maintenance activities.
                                            Note that failures to
                                            perform ministerial
                                            activities such as
                                            updating the pages in a
                                            quality assurance manual
                                            or calibrating an
                                            instrument carry a lesser
                                            penalty (e.g. $2,500),
                                            unless they are the cause
                                            of a release or an injury
                                            or death.
                                           The quality assurance        7,500.
                                            program does not contain
                                            one or more of the
                                            elements in Sec.
                                            179.7(b). (The ``element''
                                            is the unit of violation.).
                                           Failure to provide written   7,500.
                                            procedures to its
                                            employees.
                                           Use of an employee to        10,000.
                                            perform nondestructive
                                            testing on a tank when
                                            that employee does not
                                            have the qualifications
                                            for that type of
                                            nondestructive testing.
179.11...................................  Use of an employee to        10,000.
                                            perform welding on a tank
                                            when that employee does
                                            not have the
                                            qualifications for that
                                            type of welding procedure.
                                            Note: also reference Sec.
                                            Sec. 179.100-9, 179.200-
                                            10, 179.220-10, 179.300-9,
                                            and 179.400-11 as
                                            appropriate.
179.13...................................  Tank cars may not be built   Varies. See 173.26 for overloaded cars.
                                            or converted to exceed
                                            34,500 gallons capacity or
                                            263,000 pounds gross
                                            weight on rail. This is
                                            the building specification
                                            only; for tank cars loaded
                                            beyond capacity or gross
                                            weight see 173.26.
179.15...................................  Pressure relief device       5,000.
                                            (e.g. rupture disc) that
                                            does not conform to the
                                            requirements (loaded car).
                                            May also cite 173.31(d).
179.201-3(a).............................  Failure to properly line a   7,500.
                                            rubber-lined tank car.
179.201-3(b).............................  Three possible violations    5,000.
                                            under this section:
                                           (1) Failure to produce
                                            report certifying that
                                            tank car and its equipment
                                            have been brought into
                                            compliance with
                                            specification. Must occur
                                            prior to lining tank car
                                            with rubber or rubber
                                            compound.
                                           (2) Failure of tank car
                                            liner to provide copy of
                                            report and certification
                                            that tank has been lined
                                            in compliance with specs
                                            to tank car owner.
                                           (3) Failure of tank car
                                            owner to retain reports of
                                            latest lining application
                                            until next re-lining has
                                            been accomplished and
                                            recorded.
----------------------------------------------------------------------------------------------------------------
                        PART 180--CONTINUING QUALIFICATION AND MAINTENANCE OF PACKAGINGS
----------------------------------------------------------------------------------------------------------------
180......................................  Part 180 prescribes the requirements applicable to any person that
                                            manufactures, fabricates, marks, maintains, repairs, inspects, or
                                            services tank cars to ensure that the tank cars are in proper
                                            condition for transportation. In addition to the following penalty
                                            amounts, the agency may ``recall'' all tanks qualified by the tank
                                            car facility during the period the facility failed to comply with
                                            the quality assurance requirements. See, for example, Sec.
                                            180.509(b)(4).
----------------------------------------------------------------------------------------------------------------
180.505..................................  This section brings the quality assurance requirements of Sec.
                                            179.7 (car construction) into the tank car maintenance arena. See
                                            Sec. 179.7 for penalty guidelines, cite this section and reference
                                            the applicable paragraph(s) or subparagraph(s). No dual penalty will
                                            apply. (Part 180 applies the construction standards of Part 179 to
                                            service life maintenance and requalification of tank cars.)
----------------------------------------------------------------------------------------------------------------
Tank car specific provisions:
----------------------------------------------------------------------------------------------------------------
    180.509(a)...........................  Failure to comply with requirements for inspection and test.
                                          ----------------------------------------------------------------------
                                           --Failure to mark a car      See Sec. 180.515.
                                            passing a periodic
                                            inspection and test.
                                           --Failure to prepare         See Sec. 180.517.
                                            written report for
                                            inspection and test
                                            performed under this
                                            section.
    180.509(b)...........................  Failure to perform           5,000.
                                            inspection and test when
                                            at least one of the
                                            qualifying conditions has
                                            been met.
    180.509(c)...........................  Failure to perform           5,000.
                                            inspection and test at
                                            specified interval.

[[Page 64]]

 
    180.509(d)...........................  Failure to properly perform  7,500.
                                            visual inspection.
    180.509(e)...........................  Failure to properly perform  10,000.
                                            structural integrity
                                            inspection and test.
    180.509(f)...........................  Failure to properly perform  10,000.
                                            thickness test.
    180.509(h)...........................  Failure to properly inspect  7,500.
                                            safety systems.
    180.509(i)...........................  Failure to properly perform  10,000.
                                            lining and coating
                                            inspection and test.
    180.509(j)...........................  Failure to properly perform  7,500.
                                            leakage pressure test.
    180.509(l)...........................  Failure to perform           10,000.
                                            inspection and test in
                                            accordance with the
                                            quality assurance program.
                                            (Applies to all non-DOT
                                            specification tank cars as
                                            of July 1, 2000, but see
                                            Sec. 180.509(l)(3) for
                                            ``20-year'' cars. See also
                                            Sec. 179.7(f).).
    180.513..............................  Failure to repair the tank   10,000.
                                            according to Appendix R of
                                            the AAR Tank Car Manual.
                                           Use of an employee to        10,000.
                                            perform welding on a tank
                                            when that employee does
                                            not have the
                                            qualifications for that
                                            type of welding procedure.
    180.515..............................  Failure to mark the tank as  7,500.
                                            required.
    180.517..............................  Failure to report, record,   7,500.
                                            and retain required
                                            documentation.
----------------------------------------------------------------------------------------------------------------
Provisions for tank cars other than single unit tank car tanks:
----------------------------------------------------------------------------------------------------------------
    180.519(a)...........................  Failure to retest at         Cite 180.519(b)(5).
                                            required interval.
    180.519(b)(1)........................  Failure to perform           7,500.
                                            hydrostatic pressure/
                                            expansion test as required.
    180.519(b)(2)........................  Failure to perform interior  7,500.
                                            air pressure test as
                                            required.
    180.519(b)(3)........................  Failure to test pressure     7,500.
                                            relief valves as required.
    180.519(b)(4)........................  Failure to remove and        5,000.
                                            inspect frangible discs
                                            and fusible plugs.
    180.519(b)(5)........................  Failure to retest at         3,000.
                                            required interval.
    180.519(b)(6)........................  Failure to stamp tank as     5,000.
                                            required.
    180.519(c)...........................  Failure to visually inspect  5,000.
                                            as required.
                                           Failure to use competent     5,000.
                                            persons to perform visual
                                            inspection.
    180.519(d)...........................  Failure to record and        7,500.
                                            retain documentation.
                                            Mitigate/aggravate
                                            depending on the extent of
                                            the violation.
----------------------------------------------------------------------------------------------------------------
\2\ A person who knowingly violates the hazardous material transportation law or a regulation, order, special
  permit, or approval issued thereunder, is subject to a civil penalty of up to $77,114 for each violation,
  except that the maximum civil penalty for a violation is $179,933 if the violation results in death, serious
  illness, or severe injury to any person or substantial destruction of property; and a minimum $463 civil
  penalty applies to a violation related to training. Each day that the violation continues is a separate
  offense. 49 U.S.C. 5123; 28 U.S.C. 2461, note.


[61 FR 38647, July 25, 1996, as amended at 69 FR 30591, May 28, 2004; 71 
FR 77295, Dec. 26, 2006; 73 FR 72200, Nov. 26, 2008; 73 FR 79701, Dec. 
30, 2008; 75 FR 43842, July 27, 2010; 77 FR 24419, Apr. 24, 2012; 78 FR 
9847, Feb. 12, 2013; 81 FR 43104, 43109, July 1, 2016]



  Sec. Appendix C to Part 209--FRA's Policy Statement Concerning Small 
                                Entities

    This policy statement required by the Small Business Regulatory 
Enforcement Fairness Act of 1996 (Pub. L. 104-121) (SBREFA) explains 
FRA's communication and enforcement policies concerning small entities 
subject to the federal railroad safety laws. These policies have been 
developed to take into account the unique concerns and operations of 
small businesses in the administration of the national railroad safety 
program, and will continue to evolve to meet the needs of the railroad 
industry. For purposes of this policy statement, the Regulatory 
Flexibility Act (5 U.S.C. 601, et seq.), and the ``excessive demand'' 
provisions of the Equal Justice Act (5 U.S.C. 504 (a)(4), and 28 U.S.C. 
2412 (d)(1)(D)), Class III railroads, contractors and hazardous 
materials shippers meeting the economic criteria established for Class 
III railroads in 49 CFR 1201.1-1, and commuter railroads or small 
governmental jurisdictions that serve populations of 50,000 or less 
constitute the class of organizations considered ``small entities'' or 
``small businesses.''
    FRA understands that small entities in the railroad industry have 
significantly different characteristics than larger carriers and 
shippers. FRA believes that these differences necessitate careful 
consideration in order to

[[Page 65]]

ensure that those entities receive appropriate treatment on compliance 
and enforcement matters, and enhance the safety of railroad operations. 
Therefore, FRA has developed programs to respond to compliance-related 
inquiries of small entities, and to ensure proper handling of civil 
penalty and other enforcement actions against small businesses.

                    Small Entity Communication Policy

    It is FRA's policy that all agency personnel respond in a timely and 
comprehensive fashion to the inquiries of small entities concerning rail 
safety statutes, safety regulations, and interpretations of these 
statutes and regulations. Also, FRA personnel provide guidance to small 
entities, as needed, in applying the law to specific facts and 
situations that arise in the course of railroad operations. These agency 
communications take many forms, and are tailored to meet the needs of 
the requesting party.
    FRA inspectors provide training on the requirements of all railroad 
safety statutes and regulations for new and existing small businesses 
upon request. Also, FRA inspectors often provide impromptu training 
sessions in the normal course of their inspection duties. FRA believes 
that this sort of preventive, rather than punitive, communication 
greatly enhances railroad safety. FRA's Office of Safety and Office of 
Chief Counsel regularly provide oral and written responses to questions 
raised by small entities concerning the plain meaning of the railroad 
safety standards, statutory requirements, and interpretations of the 
law. As required by the SBREFA, when FRA issues a final rule that has a 
significant impact on a substantial number of small entities, FRA will 
also issue a compliance guide for small entities concerning that rule.
    It is FRA's policy to maintain frequent and open communications with 
the national representatives of the primary small entity associations 
and to consult with these organizations before embarking on new policies 
that may impact the interests of small businesses. In some regions of 
the country where the concentration of small entities is particularly 
high, FRA Regional Administrators have established programs in which all 
small entities in the region meet with FRA regional specialists on a 
regular basis to discuss new regulations, persistent safety concerns, 
emerging technology, and compliance issues. Also, FRA regional offices 
hold periodic conferences, in which specific blocks of time are set 
aside to meet with small businesses and hear their concerns.
    In addition to these communication practices, FRA has instituted an 
innovative partnership program that expands the extent to which small 
entities participate in the development of policy and process. The 
Railroad Safety Advisory Committee (RSAC) has been established to advise 
the agency on the development and revision of railroad safety standards. 
The committee consists of a wide range of industry representatives, 
including organizations that represent the interests of small business. 
The small entity representative groups that sit on the RSAC may appoint 
members of their choice to participate in the development of new safety 
standards. This reflects FRA's policy that small business interests must 
be heard and considered in the development of new standards to ensure 
that FRA does not impose unnecessary economic burdens on small 
businesses, and to create more effective standards. Finally, FRA's Web 
site (http://www.fra.dot.gov) makes pertinent agency information 
available instantly to the public.
    FRA's longstanding policy of open communication with small entities 
is apparent in these practices. FRA will make every effort to develop 
new and equally responsive communication procedures as is warranted by 
new developments in the railroad industry.

                     Small Entity Enforcement Policy

    FRA has adopted an enforcement policy that addresses the unique 
nature of small entities in the imposition of civil penalties and 
resolution of those assessments. Pursuant to FRA's statutory authority, 
and as described in Appendix A to 49 CFR part 209, it is FRA's policy to 
consider a variety of factors in determining whether to take enforcement 
action against persons, including small entities, who have violated the 
safety laws and regulations. In addition to the seriousness of the 
violation and the person's history of compliance, FRA inspectors 
consider ``such other factors as the immediate circumstances make 
relevant.'' In the context of violations by small entities, those 
factors include whether the violations were made in good faith e.g., 
based on an honest misunderstanding of the law), and whether the small 
entity has moved quickly and thoroughly to remedy the violation(s). In 
general, the presence of both good faith and prompt remedial action 
militates against taking a civil penalty action, especially if the 
violations are isolated events. On the other hand, violations involving 
willful actions and/or posing serious health, safety, or environmental 
threats should ordinarily result in enforcement actions, regardless of 
the entity's size.
    Once FRA has assessed a civil penalty, it is authorized to adjust or 
compromise the initial penalty claims based on a wide variety of 
mitigating factors, unless FRA must terminate the claim for some reason. 
FRA has the discretion to reduce the penalty as it deems fit, but not 
below the statutory minimums. The mitigating criteria FRA evaluates are 
found in the railroad safety statutes and SBREFA: The severity of the 
safety or

[[Page 66]]

health risk presented; the existence of alternative methods of 
eliminating the safety hazard; the entity's culpability; the entity's 
compliance history; the entity's ability to pay the assessment; the 
impacts an assessment might exact on the entity's continued business; 
and evidence that the entity acted in good faith. FRA staff attorneys 
regularly invite small entities to present any information related to 
these factors, and reduce civil penalty assessments based on the value 
and integrity of the information presented. Staff attorneys conduct 
conference calls or meet with small entities to discuss pending 
violations, and explain FRA's view on the merits of any defenses or 
mitigating factors presented that may have resulted or failed to result 
in penalty reductions. Among the ``other factors'' FRA considers at this 
stage is the promptness and thoroughness of the entity's remedial action 
to correct the violations and prevent a recurrence. Small entities 
should be sure to address these factors in communications with FRA 
concerning civil penalty cases. Long-term solutions to compliance 
problems will be given great weight in FRA's determinations of a final 
settlement offer.
    Finally, under FRA's Safety Assurance and Compliance Program (SACP), 
FRA identifies systemic safety hazards that continue to occur in a 
carrier or shipper operation, and in cooperation with the subject 
business, develops an improvement plan to eliminate those safety 
concerns. Often, the plan provides small entities with a reasonable time 
frame in which to make improvements without the threat of civil penalty. 
If FRA determines that the entity has failed to comply with the 
improvement plan, however, enforcement action is initiated.
    FRA's small entity enforcement policy is flexible and comprehensive. 
FRA's first priority in its compliance and enforcement activities is 
public and employee safety. However, FRA is committed to obtaining 
compliance and enhancing safety with reasoned, fair methods that do not 
inflict undue hardship on small entities.

[68 FR 24894, May 9, 2003]



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 part of the general railroad system of transportation;

[[Page 67]]

    (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 violation of any requirement of this part or of the Standards is 
liable to penalty as prescribed in section 11 of

[[Page 68]]

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 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

[[Page 69]]

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 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

[[Page 70]]

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 71]]



Sec. 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]



   Sec. 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

[[Page 72]]

abatement action is adopted, FRA would not 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.
211.33 Direct final rulemaking procedures.

                            Subpart C_Waivers

211.41 Processing of petitions for waiver of safety rules.
211.43 Processing of other waiver petitions.
211.45 Petitions for emergency waiver of safety rules.

                       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.

Appendix A to Part 211--Statement of Agency Policy Concerning Waivers 
          Related to Shared Use of Trackage or Rights-of-Way by Light 
          Rail and Conventional Operations

    Authority: 49 U.S.C. 20103, 20107, 20114, 20306, 20502-20504, and 49 
CFR 1.49.

    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, 1200 New Jersey Avenue, SE., Mail Stop 
10, Washington, DC 20590 or the Docket Clerk, U.S. Department of 
Transportation, Docket Operations (M-30), West Building Ground Floor, 
Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
    (5) Railroad Safety Board means the Railroad Safety Board, Office of 
Safety, Federal Railroad Administration, Washington, DC 20590.

[[Page 73]]

    (c) Records relating to proceedings and inquiries subject to this 
part are available for inspection as provided in part 7 of this title.

[41 FR 54181, Dec. 13, 1976, as amended at 64 FR 70195, Dec. 16, 1999; 
74 FR 25171, May 27, 2009]



Sec. 211.3  Participation by interested persons.

    Any person may participate in proceedings and inquiries subject to 
this 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)(1) Records of the Federal Railroad Administration created after 
November 1, 1998, concerning each proceeding subject to this part are 
maintained in current docket form by the Federal Docket Management 
System. 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 
denial of waiver and other petitions. Also included are records 
pertaining to applications for special approval under Sec. Sec. 211.55 
and 238.21 of this chapter, petitions for grandfathering approval under 
Sec. 238.203 of this chapter, signal applications under parts 235 and 
236 of this chapter, and informal safety inquiries under Sec. 211.61.
    (2) Any person may examine docketed material created after November 
1, 1998:
    (i) At the U.S. Department of Transportation, Docket Operations (M-
30), West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, 
SE., Washington, DC 20590. Copies of docketed materials may be obtained 
upon payment of the fees prescribed by the Federal Docket Management 
System, or
    (ii) Through the Internet at http://www.regulations.gov. All 
docketed materials are available for viewing and may be downloaded for 
electronic storage or printing. There is no charge for this service.
    (b) Records of the Federal Railroad Administration created before 
November 1, 1998, concerning each proceeding subject to this part are 
available in FRA's Docket Office, 1200 New Jersey Avenue, SE., 
Washington, DC 20590. Any person may examine docketed material at that 
location during normal business hours. Copies of docketed material may 
be obtained upon payment of the fees prescribed in part 7 of this title.
    (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.

[41 FR 54181, Dec. 13, 1976, as amended at 64 FR 70195, Dec. 16, 1999; 
74 FR 25171, May 27, 2009]



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. A petition for waiver must be submitted at least 3 months 
before the proposed effective date, unless good cause is shown for not 
doing so.
    (b)(1) All petitions and applications subject to this part, 
including applications for special approval under Sec. Sec. 211.55 and 
238.21 of this chapter, petitions for grandfathering approval under 
Sec. 238.203 of this chapter, and signal applications under parts 235 
and 236 of this chapter, shall be submitted to the FRA Docket Clerk. 
Each petition received shall be acknowledged in writing. The 
acknowledgment shall contain the docket number assigned to the petition 
or application and state the date the petition or application was 
received. Within 60 days following receipt, FRA will advise the 
petitioner or applicant of any deficiencies in its petition or 
application.
    (2) All comments submitted in response to a notice and other 
material pertaining to proceedings subject to this part, including 
comments submitted in response to requests for special approval under 
Sec. 211.55 and Sec. 238.21 of this chapter, petitions for 
grandfathering approval under Sec. 238.203

[[Page 74]]

of this chapter, and signal applications under parts 235 and 236 of this 
chapter, shall be submitted to the Federal Docket Management System and 
shall contain the assigned docket number for that proceeding. The form 
of such submissions may be in written or electronic form consistent with 
the standards and requirements established by the Federal Docket 
Management System and posted on its web site at http://
www.regulations.gov.

[64 FR 70195, Dec. 16, 1999, as amended at 74 FR 25171, 25172, May 27, 
2009]



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 
Sec. Sec. 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 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 Sec. Sec. 211.7 and 211.9.

[[Page 75]]



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 FRA Docket 
Clerk not later than 10 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.

[41 FR 54181, Dec. 13, 1976, as amended at 64 FR 70195, Dec. 16, 1999]



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;

[[Page 76]]

    (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 
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.



Sec. 211.33  Direct final rulemaking procedures.

    (a) Rules that the Administrator judges to be noncontroversial and 
unlikely to result in adverse public comment may be published in the 
final rule section of the Federal Register as direct final rules. These 
include noncontroversial rules that:
    (1) Affect internal procedures of the Federal Railroad 
Administration, such as filing requirements and rules governing 
inspection and copying of documents,
    (2) Are nonsubstantive clarifications or corrections to existing 
rules,
    (3) Update existing forms, and
    (4) Make minor changes in the substantive rules regarding statistics 
and reporting requirements.
    (b) The Federal Register document will state that any adverse 
comment or notice of intent to submit adverse comment must be received 
in writing by the Federal Railroad Administration within the specified 
time after the date of publication and that, if no written adverse 
comment or request for oral hearing (if such opportunity is required by 
statute) is received, the rule will become effective a specified number 
of days after the date of publication.
    (c) If no adverse comment or request for oral hearing is received by 
the Federal Railroad Administration within the specified time of 
publication in the

[[Page 77]]

Federal Register, the Federal Railroad Administration will publish a 
notice in the Federal Register indicating that no adverse comment was 
received and confirming that the rule will become effective on the date 
that was indicated in the direct final rule.
    (d) If the Federal Railroad Administration receives any written 
adverse comment or request for oral hearing within the specified time of 
publication in the Federal Register, a notice withdrawing the direct 
final rule will be published in the final rule section of the Federal 
Register and, if the Federal Railroad Administration decides a 
rulemaking is warranted, a notice of proposed rulemaking will be 
published in the proposed rule section of the Federal Register.
    (e) An ``adverse'' comment for the purpose of this subpart means any 
comment that the Federal Railroad Administration determines is critical 
of the rule, suggests that the rule should not be adopted, or suggests a 
change that should be made in the rule.

[72 FR 10087, Mar. 7, 2007]



                            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 Sec. Sec. 
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 Sec. Sec. 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.

[[Page 78]]

Each petition shall be processed in accordance with Sec. 211.59.



Sec. 211.45  Petitions for emergency waiver of safety rules.

    (a) General. This section applies only to petitions for waiver of a 
safety rule, regulation, or standard that FRA determines are directly 
related to the occurrence of, or imminent threat of, an emergency event 
or an emergency situation. For purposes of this section, the terms 
``emergency event'' and ``emergency situation'' mean a natural or 
manmade disaster, such as a hurricane, flood, earthquake, mudslide, 
forest fire, snowstorm, terrorist act, biological outbreak, release of a 
dangerous radiological, chemical, explosive, or biological material, or 
a war-related activity, that poses a risk of death, serious illness, 
severe injury, or substantial property damage. The disaster may be 
local, regional, or national in scope.
    (b) Emergency Relief Docket. Each calendar year FRA creates an 
Emergency Relief Docket (ERD) in the publicly accessible Federal 
eRulemaking Portal (FeP). The FeP can be accessed 24 hours a day, seven 
days a week, via the Internet at the docket's Web site at http://
www.regulations.gov. All documents in the FeP are available for 
inspection and copying on the Web site or are available for examination 
at the DOT Docket Management Facility, West Building Ground Floor, Room 
W12-140, 1200 New Jersey Ave., SE., Washington, DC 20590 during regular 
business hours (9 a.m.-5 p.m.). By January 31st of each year, FRA 
publishes a notice in the Federal Register identifying by docket number 
the ERD for that year. A notice will also be placed in the previous 
year's ERD identifying the new docket number.
    (c) Determining the existence of an emergency event or an emergency 
situation. If the Administrator determines that an emergency event or an 
emergency situation identified in paragraph (a) of this section has 
occurred, or that an imminent threat of it occurring exists, and 
determines that public safety or recovery efforts require that the 
provisions of this section be implemented, the Administrator will 
activate the Emergency Relief Docket identified in paragraph (b) of this 
section. In determining whether an emergency exists, the Administrator 
may consider declarations of emergency made by local, State, or Federal 
officials, and determinations by the Federal government that a credible 
threat of a terrorist attack exists.
    (d) Notification. When possible, FRA will post the FRA 
Administrator's determination described in paragraph (c) of this section 
on its Web site at http://www.fra.dot.gov. FRA will also place the FRA 
Administrator's determination in the ERD as soon as practicable.
    (e) Content of petitions for emergency waivers. Petitions submitted 
to FRA pursuant to this section should specifically address how the 
petition is related to the emergency, and to the extent practicable, 
contain the information required under Sec. 211.9(a) and (b). The 
petition should at a minimum describe the following: how the petitioner 
or public is affected by the emergency (including the impact on railroad 
operations); what FRA regulations are implicated by the emergency (e.g., 
movement of defective equipment); how waiver of the implicated 
regulations would benefit petitioner during the emergency; and how long 
the petitioner expects to be affected by the emergency.
    (f) Filing requirements. Petitions filed under this section, shall 
be submitted using any of the following methods:
    (1) E-mail to FRA at: [email protected];
    (2) Facsimile to FRA at: 202-493-6309; or
    (3) Mail to FRA at: FRA Docket Clerk, Office of Chief Counsel, RCC-
10, Mail Stop 10, 1200 New Jersey Ave. SE., Washington, DC 20590, 
facsimile no. 202-493-6068.
    (g) FRA Handling and Initial Review. Upon receipt and initial review 
of a petition for waiver, to verify that it meets the criteria for use 
of these emergency procedures, FRA will add the petition to the ERD. The 
FeP numbers each document that is added to a docket. (For example, the 
first document submitted to the docket in 2009 will be identified as 
FRA-2009-XXX-1.) Thus, each petition submitted to the ERD will have a 
unique document number which should be identified on

[[Page 79]]

all communications related to petitions contained in this docket. If FRA 
determines that the petition does not meet the criteria for use of these 
emergency procedures, FRA will notify the petitioner and will process 
the petition under normal waiver procedures of this subpart.
    (h) Comments. Although the Administrator may waive compliance with 
any part of a regulation prescribed or order issued without prior notice 
and comment, comments may be submitted. Comments should be submitted as 
soon as possible, after a petition is available on the FeP. Any comment 
received will be considered to the extent practicable. All comments 
should identify the appropriate ERD and should identify the specific 
document number of the petition designated by the FeP in the ERD. 
Interested parties commenting on a petition under this section should 
also include in their comments to the ERD telephone numbers at which 
their representatives may be reached. Interested parties may submit 
their comments using any of the following methods:
    (1) E-mail to FRA at: [email protected].
    (2) Facsimile to FRA at: 202-493-6309.
    (3) Mail to the Docket Clerk, DOT Docket Management Facility, West 
Building Ground Floor, Room W12-140, 1200 New Jersey Ave., SE., 
Washington, DC 20590 or electronically via the internet at http://
www.regulations.gov. Any comments or information sent directly to FRA 
will be immediately provided to the DOT FeP for inclusion in the ERD.
    (i) Request for hearing. Although the Administrator may waive 
compliance with any part of a regulation prescribed or order issued 
without prior notice and comment, parties desiring a public hearing on 
any petition being processed under this section must notify FRA through 
the comment process identified in paragraph (h) of this section within 
72 hours from the close of business on the day that the petition is 
entered into and available on the FeP. In response to a request for a 
public hearing, FRA may:
    (1) Arrange a telephone conference between all interested parties to 
provide an opportunity for oral comment;
    (2) Arrange a public hearing pursuant to the provisions contained in 
49 CFR part 211; or
    (3) Determine that a public hearing is unnecessary, inconsistent 
with safety, or not in the public interest.
    (j) Decisions. FRA may grant a petition for waiver without prior 
notice and comment if the Administrator determines that it is in the 
public interest to grant the waiver; the waiver is not inconsistent with 
railroad safety; and the waiver is necessary to address an actual or 
impending emergency situation or emergency event. The Administrator will 
state in the decision issued under this section the reasons for granting 
the waiver.
    (1) FRA reserves the right to reopen any docket and reconsider any 
decision made pursuant to these emergency procedures based upon its own 
initiative or based upon information or comments otherwise received.
    (2) FRA decision letters, either granting or denying a petition, 
will be posted in the appropriate ERD and will reference the document 
number of the petition to which it relates.
    (3) A waiver under this section may be issued for a period of not 
more that 60 days and may be renewed upon application to the 
Administrator only after notice and an opportunity for a hearing on the 
waiver. The Administrator will immediately revoke the waiver if 
continuation of the waiver would not be consistent with the goals and 
objectives of this part.
    (4) In granting a waiver under this section, the Administrator will 
consult and coordinate with other Federal agencies, as appropriate, for 
matters that may significantly impact such agencies.

[74 FR 23335, May 19, 2009]



                       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

[[Page 80]]

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 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 accordance with Sec. 
211.7, 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.

[41 FR 54181, Dec. 13, 1976, as amended at 74 FR 25171, May 27, 2009]



Sec. 211.55  Special approvals.

    Requests for special approval pertaining to safety not otherwise 
provided for in this chapter, must be submitted in accordance with Sec. 
211.7; specifying the action requested. These requests shall be 
considered by the Railroad Safety 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.

[41 FR 54181, Dec. 13, 1976, as amended at 74 FR 25171, May 27, 2009]



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.

[[Page 81]]

    (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.



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.

[[Page 82]]



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 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]



   Sec. Appendix A to Part 211--Statement of Agency Policy Concerning 
Waivers Related to Shared Use of Trackage or Rights-of-Way by Light Rail 
                       and Conventional Operations

    1. By statute, the Federal Railroad Administration (FRA) may grant a 
waiver of any rule or order if the waiver ``is in the public interest 
and consistent with railroad safety.'' 49 U.S.C. 20103(d). Waiver 
petitions are reviewed by FRA's Railroad Safety Board (the ``Safety 
Board'') under the provisions of 49 CFR part 211. Waiver petitions must 
contain the information required by 49 CFR 211.9. The Safety Board can, 
in granting a waiver, impose any conditions it concludes are necessary 
to assure safety or are in the public interest. If the conditions under 
which the waiver was granted change substantially, or unanticipated 
safety issues arise, FRA may modify or withdraw a waiver in order to 
ensure safety.
    2. Light rail equipment, commonly referred to as trolleys or street 
railways, is not designed to be used in situations where there is a 
reasonable likelihood of a collision with much heavier and stronger 
conventional rail equipment. However, existing conventional railroad 
tracks and rights-of-way provide attractive opportunities for expansion 
of light rail service.
    3. Light rail operators who intend to share use of the general 
railroad system trackage with conventional equipment and/or whose 
operations constitute commuter service (see appendix A of 49 CFR part 
209 for relevant definitions) will either have to comply with FRA's 
safety rules or obtain a waiver of appropriate rules. Light rail 
operators whose operations meet the definition of urban rapid transit 
and who will share a right-of-way or corridor with a conventional 
railroad but will not share trackage with that railroad will be subject 
to only those rules that pertain to any significant point of connection 
to the general system, such as a rail crossing at grade, a shared method 
of train control, or shared highway-rail grade crossings.
    4. Shared use of track refers to situations where light rail transit 
operators conduct their operations over the lines of the general system, 
and includes light rail operations that are wholly separated in time 
(temporally separated) from conventional operations as well as light 
rail operations operating on the same trackage at the same time as 
conventional rail equipment (simultaneous joint use). Where shared use 
of general system trackage is contemplated, FRA believes a comprehensive 
waiver request covering all rules for which a waiver is sought makes the 
most sense. FRA suggests that a petitioner caption such a waiver 
petition as a Petition for Approval of Shared Use so as to distinguish 
it from other types of waiver petitions. The light rail operator should 
file the petition. All other affected railroads will be able to 
participate in the waiver proceedings by commenting on the petition and 
providing testimony at a hearing on the petition if anyone requests such 
a hearing. If any other railroad will be affected by the proposed 
operation in such a way as to necessitate a waiver of any FRA rule, that 
railroad may either join with the light rail operator in filing the 
comprehensive petition or file its own petition.
    5. In situations where the light rail operator is an urban rapid 
transit system that will share a right-of-way or corridor with the 
conventional railroad but not share trackage, any waiver petition should 
cover only the rules that may apply at any significant points of 
connection between the rapid transit line and the other railroad. A 
Petition for Approval of Shared Use would not be appropriate in such a 
case.

              I. Preliminary Jurisdictional Determinations

    Where a light rail operator is uncertain whether the planned 
operation will be subject to FRA's safety jurisdiction and, if so, to 
what extent, the operator may wish to obtain FRA's views on the 
jurisdictional issues before filing a waiver petition. In that case, the 
light rail operator (here including a transit authority that may not 
plan to actually operate the system itself) should write to FRA 
requesting such a determination. The letter should be addressed to Chief 
Counsel, Federal Railroad Administration, 1200 New Jersey Avenue, SE., 
Mail Stop 10, Washington, DC 20590, with a copy to the Associate 
Administrator for Safety at the same address at Mail Stop 25. The letter 
should address the criteria (found in 49 CFR part 209, appendix A) FRA 
uses to determine whether it has jurisdiction over a rail operation and 
to distinguish commuter from urban rapid

[[Page 83]]

transit service. A complete description of the nature of the 
contemplated operation is essential to an accurate determination. FRA 
will attempt to respond promptly to such a request. Of course, FRA's 
response will be based only on the facts as presented by the light rail 
operator. If FRA subsequently learns that the facts are different from 
those presented or have changed substantially, FRA may revise its 
initial determination.

 II. General Factors To Address in a Petition for Approval of Shared Use

    1. Like all waiver petitions, a Petition for Approval of Shared Use 
will be reviewed by the Safety Board. A non-voting FTA liaison to the 
Safety Board will participate in an advisory capacity in the Safety 
Board's consideration of all such petitions. This close cooperation 
between the two agencies will ensure that FRA benefits from the 
insights, particularly with regard to operational and financial issues, 
that FTA can provide about light rail operations, as well as from FTA's 
knowledge of and contacts with state safety oversight programs. This 
working relationship will also ensure that FTA has a fuller appreciation 
of the safety issues involved in each specific shared use operation and 
a voice in shaping the safety requirements that will apply to such 
operations.
    2. FRA resolves each waiver request on its own merits based on the 
information presented and the agency's own investigation of the issues. 
In general, the greater the safety risks inherent in a proposed 
operation the greater will be the mitigation measures required. While 
FRA cannot state in advance what kinds of waivers will be granted or 
denied, we can provide guidance to those who may likely be requesting 
waivers to help ensure that their petitions address factors that FRA 
will no doubt consider important.
    3. FRA's procedural rules give a general description of what any 
waiver petition should contain, including an explanation of the nature 
and extent of the relief sought; a description of the persons, 
equipment, installations, and locations to be covered by the waiver; an 
evaluation of expected costs and benefits; and relevant safety data. 49 
CFR 211.9. The procedural rules, of course, are not specifically 
tailored to situations involving light rail operations over the general 
system, where waiver petitions are likely to involve many of FRA's 
regulatory areas. In such situations, FRA suggests that a Petition for 
Approval of Shared Use address the following general factors.
    A. Description of operations. You should explain the frequency and 
speeds of all operations on the line and the nature of the different 
operations. You should explain the nature of any connections between the 
light rail and conventional operations.
    If the light rail line will operate on any 
segments (e.g., a street railway portion) that will not be shared by a 
conventional railroad, describe those segments and their connection with 
the shared use segments. If the petitioner has not previously sought and 
received a determination from FRA concerning jurisdictional issues, 
explain, using the criteria set out in 49 CFR part 209, Appendix A, 
whether the light rail operation is, in the petitioner's view, a 
commuter operation or urban rapid transit.
    You should describe precisely what the respective 
hours of operation will be for each type of equipment on the shared use 
segments. If light rail and conventional operations will occur only at 
different times of day, describe what means of protection will ensure 
that the different types of equipment are not operated simultaneously on 
the same track, and how protection will be provided to ensure that, 
where one set of operations begins and the other ends, there can be no 
overlap that would possibly result in a collision.
    If the light rail and conventional operations will 
share trackage during the same time periods, the petitioners will face a 
steep burden of demonstrating that extraordinary safety measures will be 
taken to adequately reduce the likelihood of a collision between 
conventional and light rail equipment to the point where the safety 
risks associated with joint use would be acceptable. You should explain 
the nature of such simultaneous joint use, the system of train control, 
the frequency and proximity of both types of operations, the training 
and qualifications of all operating personnel in both types of 
operations, and all methods that would be used to prevent collisions. 
You should also include a quantitative risk assessment concerning the 
risk of collision between the light rail and conventional equipment 
under the proposed operating scenario.
    B. Description of equipment. (1) You should describe all equipment 
that will be used by the light rail and conventional operations. Where 
the light rail equipment does not meet the standards of 49 CFR part 238, 
you should provide specifics on the crash survivability of the light 
rail equipment, such as static end strength, sill height, strength of 
corner posts and collision posts, side strength, etc.
    (2) Given the structural incompatibility of light rail and 
conventional equipment, FRA has grave concerns about the prospect of 
operating these two types of equipment simultaneously on the same track. 
If the light rail and conventional operations will share trackage during 
the same time periods, you should provide an engineering analysis of the 
light rail equipment's resistance to damage in various types of 
collisions, including a worst case scenario involving a failure of the 
collision avoidance systems resulting in a collision between light rail 
and conventional equipment at track speeds.

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    C. Alternative safety measures to be employed in place of each rule 
for which waiver is sought. The petition should specify exactly which 
rules the petitioner desires to be waived. For each rule, the petition 
should explain exactly how a level of safety at least equal to that 
afforded by the FRA rule will be provided by the alternative measures 
the petitioner proposes.
    (1) Most light rail operations that entail some shared use of the 
general system will also have segments that are not on the general 
system. FTA's rules on rail fixed guideway systems will probably apply 
to those other segments. If so, the petition for waiver of FRA's rules 
should explain how the system safety program plan adopted under FTA's 
rules may affect safety on the portions of the system where FRA's rules 
apply. Under certain circumstances, effective implementation of such a 
plan may provide FRA sufficient assurance that adequate measures are in 
place to warrant waiver of certain FRA rules.
    (2) In its petition, the light rail operator may want to certify 
that the subject matter addressed by the rule to be waived is addressed 
by the system safety plan and that the light rail operation will be 
monitored by the state safety oversight program. That is likely to 
expedite FRA's processing of the petition. FRA will analyze information 
submitted by the petitioner to demonstrate that a safety matter is 
addressed by the light rail operator's system safety plan. Alternately, 
conditional approval may be requested at an early stage in the project, 
and FRA would thereafter review the system safety program plan's status 
to determine readiness to commence operations. Where FRA grants a 
waiver, the state agency will oversee the area addressed by the waiver, 
but FRA will actively participate in partnership with FTA and the state 
agency to address any safety problems.
    D. Documentation of agreement with affected railroads. Conventional 
railroads that will share track with the light rail operation need not 
join as a co-petitioner in the light rail operator's petition. However, 
the petition should contain documentation of the precise terms of the 
agreement between the light rail operator and the conventional railroad 
concerning any actions that the conventional railroad must take to 
ensure effective implementation of alternative safety measures. For 
example, if temporal separation is planned, FRA expects to see the 
conventional railroad's written acceptance of its obligations to ensure 
that the separation is achieved. Moreover, if the arrangements for the 
light rail service will require the conventional railroad to employ any 
alternative safety measures rather than strictly comply with FRA's 
rules, that railroad will have to seek its own waiver (or join in the 
light rail operator's petition).

   III. Waiver Petitions Involving No Shared Use of Track and Limited 
       Connections Between Light Rail and Conventional Operations

    Even where there is no shared use of track, light rail operators may 
be subject to certain FRA rules based on limited, but significant 
connections to the general system.
    1. Rail crossings at grade. Where a light rail operation and a 
conventional railroad have a crossing at grade, several FRA rules may 
apply to the light rail operation at the point of connection. If 
movements at the crossing are governed by a signal system, FRA's signal 
rules (49 CFR parts 233, 235, and 236) apply, as do the signal 
provisions of the hours of service statute, 49 U.S.C. 21104. To the 
extent radio communication is used to direct the movements, the radio 
rules (part 220) apply. The track rules (part 213) cover any portion of 
the crossing that may affect the movement of the conventional railroad. 
Of course, if the conventional railroad has responsibility for 
compliance with certain of the rules that apply at that point (for 
example, where the conventional railroad maintains the track and signals 
and dispatches all trains), the light rail operator will not have 
compliance responsibility for those rules and would not need a waiver.
    2. Shared train control systems. Where a light rail operation is 
governed by the same train control system as a conventional railroad 
(e.g., at a moveable bridge that they both traverse), the light rail 
operator will be subject to applicable FRA rules (primarily the signal 
rules in parts 233, 235, and 236) if it has maintenance or operating 
responsibility for the system.
    3. Highway-Rail Grade Crossings. Light rail operations over highway-
rail grade crossings also used by conventional trains will be subject to 
FRA's rules on grade crossing signal system safety (part 234) and the 
requirement to have auxiliary lights on locomotives (49 CFR 229.125). 
Even if the conventional railroad maintains the crossing, the light rail 
operation will still be responsible for reporting and taking appropriate 
actions in response to warning system malfunctions.
    In any of these shared right-of-way situations involving significant 
connections, the light rail operator may petition for a waiver of any 
rules that apply to its activities.

   IV. Factors To Address Related to Specific Regulations and Statutes

    Operators of light rail systems are likely to apply for waivers of 
many FRA rules. FRA offers the following suggestions on factors 
petitioners may want to address concerning specific areas of regulation. 
(All ``part'' references are to title 49 CFR.) Parts 209 (Railroad 
Safety Enforcement Procedures), 211

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(Rules of Practice), 212 (State Safety Participation), and 216 (Special 
Notice and Emergency Order Procedures) are largely procedural rules that 
are unlikely to be the subject of waivers, so those parts are not 
discussed further. For segments of a light rail line not involving 
operations over the general system, assuming the light rail operation 
meets the definition of ``rapid transit,'' FRA's standards do not apply 
and the petition need not address those segments with regard to each 
specific rule from which waivers are sought with regard to shared use 
trackage.

                   1. Track, structures, and signals.

    A. Track safety standards (part 213). For general system track used 
by both the conventional and light rail lines, the track standards apply 
and a waiver is very unlikely. A light rail operation that owns track 
over which the conventional railroad operates may wish to consider 
assigning responsibility for that track to the other railroad. If so, 
the track owner must follow the procedure set forth in 49 CFR 213.5(c). 
Where such an assignment occurs, the owner and assignee are responsible 
for compliance.
    B. Signal systems reporting requirements (part 233). This part 
contains 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. If a signal system failure 
occurs on general system track which is used by both conventional and 
light rail lines, and triggers the reporting requirements of this part, 
the light rail operator must file, or cooperate fully in the filing of, 
a signal system report. The petition should explain whether the light 
rail operator or conventional railroad is responsible for maintaining 
the signal system. Assuming that the light rail operator (or a 
contractor hired by this operator) has responsibility for maintaining 
the signal system, that entity is the logical choice to file each signal 
failure report, and a waiver is very unlikely. Moreover, since a signal 
failure first observed by a light rail operator can later have 
catastrophic consequences for a conventional railroad using the same 
track, a waiver would jeopardize rail safety on that general system 
trackage. Even if the conventional railroad is responsible for 
maintaining the signal systems, the light rail operator must still 
assist the railroad in reporting all signal failures by notifying the 
conventional railroad of such failures.
    C. Grade crossing signal system safety (part 234). This part 
contains minimum standards for the maintenance, inspection, and testing 
of highway-rail grade crossing warning systems, and also prescribes 
standards for the reporting of system failures and minimum actions that 
railroads must take when such warning systems malfunction. If a grade 
crossing accident or warning activation failure occurs during light rail 
operations on general system track that is used by both conventional and 
light rail lines, the light rail operator must submit, or cooperate with 
the other railroad to ensure the submission of, a report to FRA within 
the required time frame (24 hours for an accident report, or 15 days for 
a grade crossing signal system activation failure report). The petition 
should explain whether the light rail operator or conventional railroad 
is responsible for maintaining the grade crossing devices. Assuming that 
the light rail operator (or a contractor hired by this operator) has 
responsibility for maintaining the grade crossing devices, that entity 
is the logical choice to file each grade crossing signal failure report, 
and a waiver is very unlikely. Moreover, since a grade crossing warning 
device failure first observed by a light rail operator can later have 
catastrophic consequences for a conventional railroad using the same 
track, a waiver would jeopardize rail safety on that general system 
trackage. However, if the conventional railroad is responsible for 
maintaining the grade crossing devices, the light rail operator will 
still have to assist the railroad in reporting all grade crossing signal 
failures. Moreover, regardless of which railroad is responsible for 
maintenance of the grade crossing signals, any railroad (including a 
light rail operation) operating over a crossing that has experienced an 
activation failure, partial activation, or false activation must take 
the steps required by this rule to ensure safety at those locations. 
While the maintaining railroad will retain all of its responsibilities 
in such situations (such as contacting train crews and notifying law 
enforcement agencies), the operating railroad must observe requirements 
concerning flagging, train speed, and use of the locomotive's audible 
warning device.
    D. Approval of signal system modifications (part 235). This part 
contains instructions governing applications for approval of a 
discontinuance or material modification of a signal system or relief 
from the regulatory requirements of part 236. In the case of a signal 
system located on general system track which is used by both 
conventional and light rail lines, a light rail operation is subject to 
this part only if it (or a contractor hired by the operator) owns or has 
responsibility for maintaining the signal system. If the conventional 
railroad does the maintenance, then that railroad would file any 
application submitted under this part; the light rail operation would 
have the right to protest the application under Sec. 235.20. The 
petition should discuss whether the light rail operator or conventional 
railroad is responsible for maintaining the signal system.

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    E. Standards for signal and train control systems (part 236). This 
part contains rules, standards, and instructions governing the 
installation, inspection, maintenance, and repair of signal and train 
control systems, devices, and appliances. In the case of a signal system 
located on general system track which is used by both conventional and 
light rail lines, a light rail operation is subject to this part only if 
it (or a contractor hired by the operation) owns or has responsibility 
for installing, inspecting, maintaining, and repairing the signal 
system. If the light rail operation has these responsibilities, a waiver 
would be unlikely because a signal failure would jeopardize the safety 
of both the light rail operation and the conventional railroad. If the 
conventional railroad assumes all of the responsibilities under this 
part, the light rail operation would not need a waiver, but it would 
have to abide by all operational limitations imposed this part and by 
the conventional railroad. The petition should discuss whether the light 
rail operator or conventional railroad has responsibility for 
installing, inspecting, maintaining, and repairing the signal system.

                     2. Motive power and equipment.

    A. Railroad noise emission compliance regulations (part 210). FRA 
issued this rule under the Noise Control Act of 1972, 42 U.S.C. 4916, 
rather than under its railroad safety authority. Because that statute 
included a definition of ``railroad'' borrowed from one of the older 
railroad safety laws, this part has an exception for ``street, suburban, 
or interurban electric railways unless operated as a part of the general 
railroad system of transportation.'' 49 CFR 210.3(b)(2). The petition 
should address whether this exception may apply to the light rail 
operation. Note that this exception is broader than the sole exception 
to the railroad safety statutes (i.e., urban rapid transit not connected 
to the general system). The greater the integration of the light rail 
and conventional operations, the less likely this exception would apply.
    If the light rail equipment would normally meet the standards in 
this rule, there would be no reason to seek a waiver of it. If it 
appears that the light rail system would neither meet the standards nor 
fit within the exception, the petition should address noise mitigation 
measures used on the system, especially as part of a system safety 
program. Note, however, that FRA lacks the authority to waive certain 
Environmental Protection Agency standards (40 CFR part 201) that 
underlie this rule. See 49 CFR 210.11(a).
    B. Railroad freight car safety standards (part 215). A light rail 
operator is likely to move freight cars only in connection with 
maintenance-of-way work. As long as such cars are properly stenciled in 
accordance with section 215.305, this part does not otherwise apply, and 
a waiver would seem unnecessary.
    C. Rear end marking devices (part 221). This part requires that each 
train occupying or operating on main line track be equipped with, 
display, and continuously illuminate or flash a marking device on the 
trailing end of the rear car during periods of darkness or other reduced 
visibility. The device, which must be approved by FRA, must have 
specific intensity, beam arc width, color, and flash rate 
characteristics. A light rail operation seeking a waiver of this part 
will need to explain how other marking devices with which it equips its 
vehicles, or other means such as train control, will provide the same 
assurances as this part of a reduced likelihood of collisions 
attributable to the failure of an approaching train to see the rear end 
of a leading train in time to stop short of it during periods of reduced 
visibility. The petition should describe the light rail vehicle's 
existing marking devices (e.g., headlights, brakelights, taillights, 
turn signal lights), and indicate whether the vehicle bears reflectors. 
If the light rail system will operate in both a conventional railroad 
environment and in streets mixed with motor vehicles, the petition 
should discuss whether adapting the design of the vehicle's lighting 
characteristics to conform to FRA's regulations would adversely affect 
the safety of its operations in the street environment. A light rail 
system that has a system safety program developed under FTA's rules may 
choose to discuss how that program addresses the need for equivalent 
levels of safety when its vehicles operate on conventional railroad 
corridors.
    D. Safety glazing standards (part 223). This part provides that 
passenger car windows be equipped with FRA-certified glazing materials 
in order to reduce the likelihood of injury to railroad employees and 
passengers from the breakage and shattering of windows and avoid 
ejection of passengers from the vehicle in a collision. This part, in 
addition to requiring the existence of at least four emergency windows, 
also requires window markings and operating instructions for each 
emergency window, as well as for each window intended for emergency 
access, so as to provide the necessary information for evacuation of a 
passenger car. FRA will not permit operations to occur on the general 
system in the absence of effective alternatives to the requirements of 
this part that provide an equivalent level of safety. The petition 
should explain what equivalent safeguards are in place to provide the 
same assurance as part 223 that passengers and crewmembers are safe from 
the effects of objects striking a light rail vehicle's windows. The 
petition should also discuss the design characteristics of its equipment 
when it explains how the safety of its employees and passengers will

[[Page 87]]

be assured during an evacuation in the absence of windows meeting the 
specific requirements of this part. A light rail system that has a 
system safety program plan developed under FTA's rule may be able to 
demonstrate that the plan satisfies the safety goals of this part.
    E. Locomotive safety standards (part 229). (1) This part contains 
minimum safety standards for all locomotives, except those propelled by 
steam power. FRA recognizes that due to the unique characteristics of 
light rail equipment, some of these provisions may be irrelevant to 
light rail equipment, and that others may not fit properly in the 
context of light rail operations. A waiver petition should explain 
precisely how the light rail system's practices will provide for the 
safe condition and operation of its locomotive equipment.
    (2) FRA is not likely to waive completely the provision (section 
229.125) of this rule concerning auxiliary lights designed to warn 
highway motorists of an approaching train. In order to reduce the risk 
of grade crossing accidents, it is important that all locomotives used 
by both conventional railroads and light rail systems present the same 
distinctive profile to motor vehicle operators approaching grade 
crossings on the general railroad system. If uniformity is sacrificed by 
permitting light rail systems to operate locomotives through the same 
grade crossings traversed by conventional trains with light arrangements 
placed in different locations on the equipment, safety could be 
compromised. Accordingly, the vehicle design should maintain the 
triangular pattern required of other locomotives and cab cars to the 
extent practicable.
    (3) FRA is aware that light rail headlights are likely to produce 
less than 200,000 candela. While some light rail operators may choose to 
satisfy the requirements of section 229.125 by including lights on their 
equipment of different candlepower controlled by dimmer switches, the 
headlights on the majority of light rail vehicles will likely not meet 
FRA's minimum requirement. However, based on the nature of the 
operations of light rail transit, FRA recognizes that waivers of the 
minimum candela requirement for transit vehicle headlights seems 
appropriate.
    F. Safety appliance laws (49 U.S.C. 20301-20305). (1) Since certain 
safety appliance requirements (e.g., automatic couplers) are statutory, 
they can only be ``waived'' by FRA under the exemption conditions set 
forth in 49 U.S.C. 20306. Because exemptions requested under this 
statutory provision do not involve a waiver of a safety rule, 
regulation, or standard (see 49 CFR 211.41), FRA is not required to 
follow the rules of practice for waivers contained in part 211. However, 
whenever appropriate, FRA will combine its consideration of any request 
for an exemption under Sec. 20306 with its review under part 211 of a 
light rail operation's petition for waivers of FRA's regulations.
    (2) FRA may grant exemptions from the statutory safety appliance 
requirements in 49 U.S.C. 20301-20305 only if application of such 
requirements would ``preclude the development or implementation of more 
efficient railroad transportation equipment or other transportation 
innovations.'' 49 U.S.C. 20306. The exemption for technological 
improvements was originally enacted to further the implementation of a 
specific type of freight car, but the legislative history shows that 
Congress intended the exemption to be used elsewhere so that ``other 
types of railroad equipment might similarly benefit.'' S. Rep. 96-614 at 
8 (1980), reprinted in 1980 U.S.C.C.A.N. 1156,1164.
    (3) FRA recognizes the potential public benefits of allowing light 
rail systems to take advantage of underutilized urban freight rail 
corridors to provide service that, in the absence of the existing right-
of-way, would be prohibitively expensive. Any petitioner requesting an 
exemption for technological improvements should carefully explain how 
being forced to comply with the existing statutory safety appliance 
requirements would conflict with the exemption exceptions set forth at 
49 U.S.C. 20306. The petition should also show that granting the 
exemption is in the public interest and is consistent with assuring the 
safety of the light rail operator's employees and passengers.
    G. Safety appliance standards (part 231). (1) The regulations in 
this part specify the requisite location, number, dimensions, and manner 
of application of a variety of railroad car safety appliances (e.g., 
handbrakes, ladders, handholds, steps), and directly implement a number 
of the statutory requirements found in 49 U.S.C. 20301-20305. These very 
detailed regulations are intended to ensure that sufficient safety 
appliances are available and able to function safely and securely as 
intended.
    (2) FRA recognizes that due to the unique characteristics of light 
rail equipment, some of these provisions may be irrelevant to light rail 
operation, and that others may not fit properly in the context of light 
rail operations (e.g., crewmembers typically do not perform yard duties 
from positions outside and adjacent to the light rail vehicle or near 
the vehicle's doors). However, to the extent that the light rail 
operation encompasses the safety risks addressed by the regulatory 
provisions of this part, a waiver petition should explain precisely how 
the light rail system's practices will provide for the safe operation of 
its passenger equipment. The petition should focus on the design 
specifications of the equipment, and explain how the light rail system's 
operating practices, and its intended use of the equipment, will satisfy 
the safety purpose of the regulations while providing at least an 
equivalent level of safety.

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    H. Passenger equipment safety standards (part 238). This part 
prescribes minimum Federal safety standards for railroad passenger 
equipment. Since a collision on the general railroad system between 
light rail equipment and conventional rail equipment could prove 
catastrophic, because of the significantly greater mass and structural 
strength of the conventional equipment, a waiver petition should 
describe the light rail operation's system safety program that is in 
place to minimize the risk of such a collision. The petition should 
discuss the light rail operation's operating rules and procedures, train 
control technology, and signal system. If the light rail operator and 
conventional railroad will operate simultaneously on the same track, the 
petition should include a quantitative risk assessment that incorporates 
design information and provide an engineering analysis of the light rail 
equipment and its likely performance in derailment and collision 
scenarios. The petitioner should also demonstrate that risk mitigation 
measures to avoid the possibility of collisions, or to limit the speed 
at which a collision might occur , will be employed in connection with 
the use of the equipment on a specified shared-use rail line. This part 
also contains requirements concerning power brakes on passenger trains, 
and a petitioner seeking a waiver in this area should refer to these 
requirements, not those found in 49 CFR part 232.

                         3. Operating practices.

    A. Railroad workplace safety (part 214). (1) This part contains 
standards for protecting bridge workers and roadway workers. The 
petition should explain whether the light rail operator or conventional 
railroad is responsible for bridge work on shared general system 
trackage. If the light rail operator does the work and does similar work 
on segments outside of the general system, it may wish to seek a waiver 
permitting it to observe OSHA standards throughout its system.
    (2) There are no comparable OSHA standards protecting roadway 
workers. The petition should explain which operator is responsible for 
track and signal work on the shared segments. If the light rail operator 
does this work, the petition should explain how the light rail operator 
protects these workers. However, to the extent that protection varies 
significantly from FRA's rules, a waiver permitting use of the light 
rail system's standards could be very confusing to train crews of the 
conventional railroad who follow FRA's rules elsewhere. A waiver of this 
rule is unlikely. A petition should address how such confusion would be 
avoided and safety of roadway workers would be ensured.
    B. Railroad operating rules (part 217). This part requires filing of 
a railroad's operating rules and that employees be instructed and tested 
on compliance with them. A light rail operation would not likely have 
difficulty complying with this part. However, if a waiver is desired, 
the light rail system should explain how other safeguards it has in 
place provide the same assurance that operating employees are trained 
and periodically tested on the rules that govern train operation. A 
light rail system that has a system safety program plan developed under 
FTA's rules may be in a good position to give such an assurance.
    C. Railroad operating practices (part 218). This part requires 
railroads to follow certain practices in various aspects of their 
operations (protection of employees working on equipment, protection of 
trains and locomotives from collisions in certain situations, 
prohibition against tampering with safety devices, protection of 
occupied camp cars). Some of these provisions (e.g., camp cars) may be 
irrelevant to light rail operations. Others may not fit well in the 
context of light rail operations. To the extent the light rail operation 
presents the risks addressed by the various provisions of this part, a 
waiver provision should explain precisely how the light rail system's 
practices will address those risks. FRA is not likely to waive the 
prohibition against tampering with safety devices, which would seem to 
present no particular burden to light rail operations. Moreover, blue 
signal regulations, which protect employees working on or near 
equipment, are not likely to be waived to the extent that such work is 
performed on track shared by a light rail operation and a conventional 
railroad, where safety may best be served by uniformity.
    D. Control of alcohol and drug use (part 219). FRA will not permit 
operations to occur on the general system in the absence of effective 
rules governing alcohol and drug use by operating employees. FTA's own 
rules may provide a suitable alternative for a light rail system that is 
otherwise governed by those rules. However, to the extent that light 
rail and conventional operations occur simultaneously on the same track, 
FRA is not likely to apply different rules to the two operations, 
particularly with respect to post-accident testing, for which FRA 
requirements are more extensive (e.g., section 219.11(f) addresses the 
removal, under certain circumstances, of body fluid and/or tissue 
samples taken from the remains of any railroad employee who performs 
service for a railroad). (FRA recognizes that in the event of a fatal 
train accident involving a transit vehicle, whether involving temporal 
separation or simultaneous use of the same track, the National 
Transportation Safety Board will likely investigate and obtain its own 
toxicology test results.)

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    E. Railroad communications (part 220). A light rail operation is 
likely to have an effective system of radio communication that may 
provide a suitable alternative to FRA's rules. However, the greater the 
need for radio communication between light rail personnel (e.g., train 
crews or dispatchers) and personnel of the conventional railroad (e.g., 
train crews, roadway workers), the greater will be the need for 
standardized communication rules and, accordingly, the less likely will 
be a waiver.
    F. Railroad accident/incident reporting (part 225). (1) FRA's 
accident/incident information is very important in the agency's 
decisionmaking on regulatory issues and strategic planning. A waiver 
petition should indicate precisely what types of accidents and incidents 
it would report, and to whom, under any alternative it proposes. FRA is 
not likely to waive its reporting requirements concerning train 
accidents or highway-rail grade crossing collisions that occur on the 
general railroad system. Reporting of accidents under FTA's rules is 
quite different and would not provide an effective substitute. However, 
with regard to employee injuries, the light rail operation may, absent 
FRA's rules, otherwise be subject to reporting requirements of FTA and 
OSHA and may have an interest in uniform reporting of those injuries 
wherever they occur on the system. Therefore, it is more likely that FRA 
would grant a waiver with regard to reporting of employee injuries.
    (2) Any waiver FRA may grant in the accident/incident reporting area 
would have no effect on FRA's authority to investigate such incidents or 
on the duties of light rail operators and any other affected railroads 
to cooperate with those investigations. See sections 225.31 and 225.35 
and 49 U.S.C. 20107 and 20902. Light rail operators should anticipate 
that FRA will investigate any serious accident or injury that occurs on 
the shared use portion of their lines, even if it occurs during hours 
when only the light rail trains are operating. Moreover, there may be 
instances when FRA will work jointly with FTA and the state agency to 
investigate the cause of a transit accident that occurs off the general 
system under circumstances that raise concerns about the safety of 
operations on the shared use portions. For example, if a transit 
operator using the same light rail equipment on the shared and non-
shared-use portions of its operation has a serious accident on the non-
shared-use portion, FRA may want to determine whether the cause of the 
accident pointed to a systemic problem with the equipment that might 
impact the transit system's operations on the general system. Similarly, 
where human error might be a factor, FRA may want to determine whether 
the employee potentially at fault also has safety responsibilities on 
the general system and, if so, take appropriate action to ensure that 
corrective action is taken. FRA believes its statutory investigatory 
authority extends as far as necessary to address any condition that 
might reasonably be expected to create a hazard to railroad operations 
within its jurisdiction.
    G. Hours of service laws (49 U.S.C. 21101-21108). (1) The hours of 
service laws apply to all railroads subject to FRA's jurisdiction, and 
govern the maximum work hours and minimum off-duty periods of employees 
engaged in one or more of the three categories of covered service 
described in 49 U.S.C. 21101. 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. Under current law, a light rail 
operation could request a waiver of the substantive provisions of the 
hours of service laws only under the ``pilot project'' provision 
described in 49 U.S.C. 21108, provided that the request is based upon a 
joint petition submitted by the railroad and its affected labor 
organizations. Because waivers requested under this statutory provision 
do not involve a waiver of a safety rule, regulation, or standard (see 
49 CFR 211.41), FRA is not required to follow the rules of practice for 
waivers contained in part 211. However, whenever appropriate, FRA will 
combine its consideration of any request for a waiver under Sec. 21108 
with its review under part 211 of a light rail operation's petition for 
waivers of FRA's regulations.
    (2) If such a statutory waiver is desired, the light rail system 
will need to assure FRA that the waiver of compliance is in the public 
interest and consistent with railroad safety. The waiver petition should 
include a discussion of what fatigue management strategies will be in 
place for each category of covered employees in order to minimize the 
effects of fatigue on their job performance. However, FRA is unlikely to 
grant a statutory waiver covering employees of a light rail operation 
who dispatch the trains of a conventional railroad or maintain a signal 
system affecting shared use trackage.
    H. Hours of service recordkeeping (part 228). This part prescribes 
reporting and recordkeeping requirements with respect to the hours of 
service of employees who perform the job functions set forth in 49 
U.S.C. 21101. As a general rule, FRA anticipates that any waivers 
granted under this part will only exempt the same groups of employees 
for whom a light rail system has obtained a waiver of the substantive 
provisions of the hours of service laws under 49 U.S.C. 21108. Since it 
is important that FRA be able to verify that a light rail operation is 
complying with the on- and off-duty restrictions of the hour of service 
laws for all employees not covered by a waiver of the laws' substantive 
provisions, it is unlikely that any waiver granted of the reporting and 
recordkeeping requirements would exclude those

[[Page 90]]

employees. However, in a system with fixed work schedules that do not 
approach 12 hours on duty in the aggregate, it may be possible to 
utilize existing payroll records to verify compliance.
    I. Passenger train emergency preparedness (part 239). 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. FRA's 
expectation is that by requiring affected railroads to provide 
sufficient emergency egress capability and information to passengers, 
along with mandating that these railroads coordinate with local 
emergency response officials, the risk of death or injury from accidents 
and incidents will be lessened. A waiver petition should state whether 
the light rail system has an emergency preparedness plan in place under 
a state system safety program developed under FTA's rules for the light 
rail operator's separate street railway segments. Under a system safety 
program, a light rail operation is likely to have an effective plan for 
dealing with emergency situations that may provide an equivalent 
alternative to FRA's rules. To the extent that the light rail 
operation's plan relates to the various provisions of this part, a 
waiver petition should explain precisely how each of the requirements of 
this part is being addressed. The petition should especially focus on 
the issues of communication, employee training, passenger information, 
liaison relationships with emergency responders, and marking of 
emergency exits.
    J. Qualification and certification of locomotive engineers (part 
240). This part contains minimum Federal safety requirements for the 
eligibility, training, testing, certification, and monitoring of 
locomotive engineers. Those who operate light rail trains may have 
significant effects on the safety of light rail passengers, motorists at 
grade crossings, and, to the extent trackage is shared with conventional 
railroads, the employees and passengers of those railroads. The petition 
should describe whether a light rail system has a system safety plan 
developed under FTA's rules that is likely to have an effective means of 
assuring that the operators, or ``engineers,'' of its equipment receive 
the necessary training and have proper skills to operate a light rail 
vehicle in shared use on the general railroad system. The petition 
should explain what safeguards are in place to ensure that light rail 
engineers receive at least an equivalent level of training, testing, and 
monitoring on the rules governing train operations to that received by 
locomotive engineers employed by conventional railroads and certified 
under part 240. Any light rail system unable to meet this burden would 
have to fully comply with the requirements of part 240. Moreover, where 
a transit system intends to operate simultaneously on the same track 
with conventional equipment, FRA will not be inclined to waive the part 
240 requirements. In that situation, FRA's paramount concern would be 
uniformity of training and qualifications of all those operating trains 
on the general system, regardless of the type of equipment.

    V. Waivers That May be Appropriate for Time-Separated Light Rail 
                               Operations

    1. The foregoing discussion of factors to address in a petition for 
approval of shared use concerns all such petitions and, accordingly, is 
quite general. FRA is willing to provide more specific guidance on where 
waivers may be likely with regard to light rail operations that are 
time-separated from conventional operations. FRA's greatest concern with 
regard to shared use of the general system is a collision between light 
rail and conventional trains on the same track. Because the results 
could well be catastrophic, FRA places great emphasis on avoiding such 
collisions. The surest way to guarantee that such collisions will not 
occur is to strictly segregate light rail and conventional operations by 
time of day so that the two types of equipment never share the same 
track at the same time. This is not to say that FRA will not entertain 
waiver petitions that rely on other methods of collision avoidance such 
as sophisticated train control systems. However, petitioners who do not 
intend to separate light rail from conventional operations by time of 
day will face a steep burden of demonstrating an acceptable level of 
safety. FRA does not insist that all risk of collision be eliminated. 
However, given the enormous severity of the likely consequences of a 
collision, the demonstrated risk of such an event must be extremely 
remote.
    2. There are various ways of providing such strict separation by 
time. For example, freight operations could be limited to the hours of 
midnight to 5 a.m. when light rail operations are prohibited. Or, there 
might be both a nighttime and a mid-day window for freight operation. 
The important thing is that the arrangement not permit simultaneous 
operation on the same track by clearly defining specific segments of the 
day when only one type of operation may occur. Mere spacing of train 
movements by a train control system does not constitute this temporal 
separation.
    3. FRA is very likely to grant waivers of many of its rules where 
complete temporal separation between light rail and conventional 
operations is demonstrated in the waiver request. The chart below lists 
each of FRA's railroad safety rules and provides FRA's view on whether 
it is likely to grant a waiver in a particular area where temporal 
separation is assured. Where the ``Likely Treatment'' column says 
``comply'' a waiver

[[Page 91]]

is not likely, and where it says ``waive'' a waiver is likely. Of 
course, FRA will consider each petition on its own merits and one should 
not presume, based on the chart, that FRA will grant or deny any 
particular request in a petition. This chart is offered as general 
guidance as part of a statement of policy, and as such does not alter 
any safety rules or obligate FRA to follow it in every case. This chart 
assumes that the operations of the local rail transit agency on the 
general railroad system are completely separated in time from 
conventional railroad operations, and that the light rail operation 
poses no atypical safety hazards. FRA's procedural rules on matters such 
as enforcement (49 CFR parts 209 and 216), and its statutory authority 
to investigate accidents and injuries and take emergency action to 
address an imminent hazard of death or injury, would apply to these 
operations in all cases.
    4. Where waivers are granted, a light rail operator would be 
expected to operate under a system safety plan developed in accordance 
with the FTA state safety oversight program. The state safety oversight 
agency would be responsible for the safety oversight of the light rail 
operation, even on the general system, with regard to aspects of that 
operation for which a waiver is granted. (The ``Comments'' column of the 
chart shows ``State Safety Oversight'' where waivers conditioned on such 
state oversight are likely.) FRA will coordinate with FTA and the state 
agency to address any serious safety problems. If the conditions under 
which the waiver was granted change substantially, or unanticipated 
safety issues arise, FRA may modify or withdraw a waiver in order to 
ensure safety. On certain subjects where waivers are not likely, the 
``Comments'' column of the chart makes special note of some important 
regulatory requirements that the light rail system will have to observe 
even if it is not primarily responsible for compliance with that 
particular rule.

   Possible Waivers for Light Rail Operations on the General Railroad System Based on Separation in Time From
                                             Conventional Operations
----------------------------------------------------------------------------------------------------------------
          Title 49 CFR part                Subject of rule          Likely treatment             Comments
----------------------------------------------------------------------------------------------------------------
Track, Structures, and Signals
----------------------------------------------------------------------------------------------------------------
213..................................  Track safety standards.  Comply (assuming light   If the conventional RR
                                                                 rail operator owns       owns the track, light
                                                                 track or has been        rail will have to
                                                                 assigned                 observe speed limits
                                                                 responsibility for it).  for class of track.
233, 235, 236........................  Signal and train         Comply (assuming light   If conventional RR
                                        control.                 rail operator or its     maintains signals,
                                                                 contractor has           light rail will have
                                                                 responsibility for       to abide by
                                                                 signal maintenance).     operational
                                                                                          limitations and report
                                                                                          signal failures.
234..................................  Grade crossing signals.  Comply (assuming light   If conventional RR
                                                                 rail operator or its     maintains devices,
                                                                 contractor has           light rail will have
                                                                 responsibility for       to comply with
                                                                 crossing devices).       sections concerning
                                                                                          crossing accidents,
                                                                                          activation failures,
                                                                                          and false activations.
213, Appendix C......................  Bridge safety policy...  Not a rule. Compliance
                                                                 voluntary..
----------------------------------------------------------------------------------------------------------------
Motive Power and Equipment
----------------------------------------------------------------------------------------------------------------
210..................................  Noise emission.........  Waive..................  State safety oversight.
215..................................  Freight car safety       Waive..................  State safety oversight.
                                        standards.
221..................................  Rear end marking         Waive..................  State safety oversight.
                                        devices.
223..................................  Safety glazing           Waive..................  State safety oversight.
                                        standards.
229..................................  Locomotive safety        Waive, except for        State safety oversight.
                                        standards.               arrangement of
                                                                 auxiliary lights,
                                                                 which is important for
                                                                 grade crossing safety.
231*.................................  Safety appliance         Waive..................  State safety oversight;
                                        standards.                                        see note below on
                                                                                          statutory
                                                                                          requirements.
238..................................  Passenger equipment      Waive..................  State safety oversight.
                                        standards.
----------------------------------------------------------------------------------------------------------------
Operating Practices
----------------------------------------------------------------------------------------------------------------
214..................................  Bridge worker..........  Waive..................  OSHA standards.
214..................................  Roadway worker safety..  Comply.................
217..................................  Operating rules........  Waive..................  State safety oversight.
218..................................  Operating practices....  Waive, except for        State safety oversight.
                                                                 prohibition on
                                                                 tampering with safety
                                                                 devices related to
                                                                 signal system, and
                                                                 blue signal rules on
                                                                 shared track.
219..................................  Alcohol and drug.......  Waive if FTA rule        FTA rule may apply.
                                                                 otherwise applies.

[[Page 92]]

 
220..................................  Radio communications...  Waive, except to extent  State safety oversight.
                                                                 communications with
                                                                 freight trains and
                                                                 roadway workers are
                                                                 necessary.
225..................................  Accident reporting and   Comply with regard to    Employee injuries would
                                        investigation.           train accidents and      be reported under FTA
                                                                 crossing accidents;      or OSHA rules.
                                                                 waive as to injuries;
                                                                 FRA accident
                                                                 investigation
                                                                 authority not subject
                                                                 to waiver.
228**................................  Hours of service         Waive (in concert with   See note below on
                                        recordkeeping.           waiver of statute);      possible waiver of
                                                                 waiver not likely for    statutory
                                                                 personnel who dispatch   requirements.
                                                                 conventional RR or
                                                                 maintain signal system
                                                                 on shared use track.
239..................................  Passenger train          Waive..................  State safety oversight.
                                        emergency preparedness.
240..................................  Engineer certification.  Waive..................  State safety oversight.
 
----------------------------------------------------------------------------------------------------------------
* Safety appliance statute. Certain safety appliance requirements (e.g., automatic couplers) are statutory and
  can only be waived under the conditions set forth in 49 U.S.C. 20306, which permits exemptions if application
  of the requirements would ``preclude the development or implementation of more efficient railroad
  transportation equipment or other transportation innovations.'' If consistent with employee safety, FRA could
  probably rely on this provision to address most light rail equipment that could not meet the standards.
** Hours of service statute. Currently, 49 U.S.C. 21108 permits FRA to waive substantive provisions of the hours
  of service laws based upon a joint petition by the railroad and affected labor organizations, after notice and
  an opportunity for a hearing. This is a ``pilot project'' provision, so waivers are limited to two years but
  may be extended for additional two-year periods after notice and an opportunity for comment.


[65 FR 42546, July 10, 2000, as amended at 74 FR 25172, May 27, 2009]



PART 212_STATE SAFETY 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.

[[Page 93]]



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.
    (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, 1200 New Jersey Avenue, SE., 
Washington, DC 20590, the documentation which contains the information 
prescribed by Sec. Sec. 212.105 and 212.107.

[47 FR 41051, Sept. 16, 1982, as amended at 74 FR 25172, May 27, 2009]



                      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

[[Page 94]]

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.



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.

[[Page 95]]

    (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:
    (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.

[[Page 96]]

    (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.
    (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

[[Page 97]]

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 Sec. Sec. 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 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

[[Page 98]]

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 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

[[Page 99]]

    (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
    (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.

[[Page 100]]



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 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]

[[Page 101]]



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;
    (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

[[Page 102]]

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 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

[[Page 103]]

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]



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.
213.3 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.
213.14 Application of requirements to curved track.
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 Track alinement.
213.57 Curves; elevation and speed limitations.
213.59 Elevation of curved track; runoff.
213.63 Track surface.
213.65 Combined track alinement and surface deviations.

                        Subpart D_Track Structure

213.101 Scope.
213.103 Ballast; general.
213.109 Crossties.
213.110 Gage restraint measurement systems.
213.113 Defective rails.
213.115 Rail end mismatch.
213.118 Continuous welded rail (CWR); plan review and approval.
213.119 Continuous welded rail (CWR); plan contents.
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.

[[Page 104]]

          Subpart E_Track Appliances and Track-Related Devices

213.201 Scope.
213.205 Derails

                          Subpart F_Inspection

213.231 Scope.
213.233 Track inspections.
213.234 Automated inspection of track constructed with concrete 
          crossties.
213.235 Inspection of switches, track crossings, and lift rail 
          assemblies or other transition devices on moveable bridges.
213.237 Inspection of rail.
213.238 Qualified operator.
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 Classes of track: operating speed limits.
213.309 Restoration or renewal of track under traffic conditions.
213.311 Measuring track not under load.
213.313 Application of requirements to curved track.
213.317 Waivers.
213.319 Drainage.
213.321 Vegetation.
213.323 Track gage.
213.327 Track alinement.
213.329 Curves, elevation and speed limitations.
213.331 Track surface.
213.332 Combined track alinement and surface deviations.
213.333 Automated vehicle-based 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/track system qualification.
213.347 Automotive or railroad crossings at grade.
213.349 Rail end mismatch.
213.351 Rail joints.
213.352 Torch cut rail.
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
Appendix C to Part 213 [Reserved]
Appendix D to Part 213--Minimally Compliant Analytical Track (MCAT) 
          Simulations Used for Qualifying Vehicles To Operate at High 
          Speeds and at High Cant Deficiencies

    Authority: 49 U.S.C. 20102-20114 and 20142; Sec. 403, Div. A, Public 
Law 110-432, 122 Stat. 4885; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    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. In 
general, 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.

[63 FR 34029, June 22, 1998, as amended at 78 FR 16100, Mar. 13, 2013]



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 that is not part of the general 
railroad system of transportation (i.e., a plant railroad). As used in 
this part, a plant railroad means a plant or installation that owns or 
leases a locomotive, uses

[[Page 105]]

that locomotive to switch cars throughout the plant or installation, and 
is moving goods solely for use in the facility's own industrial 
processes. The plant or installation could include track immediately 
adjacent to the plant or installation if the plant railroad leases the 
track from the general system railroad and the lease provides for (and 
actual practice entails) the exclusive use of that track by the plant 
railroad and the general system railroad for purposes of moving only 
cars shipped to or from the plant. A plant or installation that operates 
a locomotive to switch or move cars for other entities, even if solely 
within the confines of the plant or installation, rather than for its 
own purposes or industrial processes, will not be considered a plant 
railroad because the performance of such activity makes the operation 
part of the general railroad system of transportation. Similarly, this 
exclusion does not apply to track over which a general system railroad 
operates, even if that track is located within a plant railroad;
    (2) Used exclusively for tourist, scenic, historic, or excursion 
operations that are not part of the general railroad system of 
transportation. As used in this part, tourist, scenic, historic, or 
excursion operations that are not part of the general railroad system of 
transportation means a tourist, scenic, historic, or excursion operation 
conducted only on track used exclusively for that purpose (i.e., there 
is no freight, intercity passenger, or commuter passenger railroad 
operation on the track); or
    (3) Used exclusively for rapid transit operations in an urban area 
that are not connected to the general railroad system of transportation.

[63 FR 34029, June 22, 1998, as amended at 79 FR 4256, Jan. 24, 2014]



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.
    (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.

[63 FR 34029, June 22, 1998]



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

[[Page 106]]

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 that apply 
to the restoration and renewal of the track for which he or she is 
responsible;
    (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
    (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 that apply 
to the inspection of the track for which he or she is responsible;
    (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.

[[Page 107]]

    (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 track in accordance 
with the written procedures of the track owner shall have:
    (1) Current qualifications under either paragraph (a) or (b) of this 
section;
    (2) Successfully completed a comprehensive training course 
specifically developed for the application of written CWR procedures 
issued by the track owner;
    (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 successfully completed a recorded 
examination on those procedures as part of the qualification process.
    (d) Persons not fully qualified to supervise certain renewals and 
inspect track as required in paragraphs (a) through (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 required 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 are notified and 
dispatched to the location promptly for the purpose of authorizing 
movements and effecting temporary or permanent repairs.
    (e) With respect to designations under paragraphs (a) through (d) 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.

[63 FR 34029, June 22, 1998, as amended at 74 FR 43002, Aug. 25, 2009; 
78 FR 16100, Mar. 13, 2013]



Sec. 213.9  Classes of track: operating speed limits.

    (a) Except as provided in paragraph (b) of this section and 
Sec. Sec. 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 108]]

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. 213.14  Application of requirements to curved track.

    Unless otherwise provided in this part, requirements specified for 
curved track apply only to track having a curvature greater than 0.25 
degree.

[78 FR 16100, Mar. 13, 2013]



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 $839 and not more than $27,455 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 $109,819 
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.

[63 FR 34029, June 22, 1998, as amended at 69 FR 30593, May 28, 2004; 72 
FR 51196, Sept. 6, 2007; 73 FR 79701, Dec. 30, 2008; 77 FR 24419, Apr. 
24, 2012; 81 FR 43109, July 1, 2016]



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

[[Page 109]]

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.



Sec. 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.
    (b) The information collection requirements are found in the 
following sections: Sec. Sec. 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............................  410\1/4\.
Class 1 track...........................  48..................  410.
Class 2 and 3 track.....................  48..................  49\3/4\.
Class 4 and 5 track.....................  48..................  49\1/2\.
----------------------------------------------------------------------------------------------------------------



Sec. 213.55  Track alinement.

    (a) Except as provided in paragraph (b) of this section, 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\

[[Page 110]]

 
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 the 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

    (b) For operations at a qualified cant deficiency, Eu, of 
more than 5 inches, the alinement of the outside rail of the curve may 
not deviate from uniformity more than the amount prescribed in the 
following table:

------------------------------------------------------------------------
                                               Curved track
                                 ---------------------------------------
                                   The deviation of    The deviation of
                                   the mid-ordinate    the mid-ordinate
         Class of track             from a 31-foot      from a 62-foot
                                   chord \1\ may not   chord \1\ may not
                                    be more than--      be more than--
                                       (inches)            (inches)
------------------------------------------------------------------------
Class 1 track \2\...............             \3\ N/A              1\1/4\
Class 2 track \2\...............             \3\ N/A              1\1/4\
Class 3 track...................               \3/4\              1\1/4\
Class 4 track...................               \3/4\               \7/8\
Class 5 track...................               \1/2\               \5/8\
------------------------------------------------------------------------
\1\ 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.
\2\ Restraining rails or other systems may be required for derailment
  prevention.
\3\ N/A--Not Applicable


[78 FR 16100, Mar. 13, 2013]



Sec. 213.57  Curves; elevation and speed limitations.

    (a) The maximum elevation of the outside rail of a curve may not be 
more than 8 inches on track Classes 1 and 2, and 7 inches on track 
Classes 3 through 5. The outside rail of a curve may not be lower than 
the inside rail by design, except when engineered to address specific 
track or operating conditions; the limits in Sec. 213.63 apply in all 
cases.
    (b) The maximum allowable posted timetable operating speed for each 
curve is determined by the following formula--
[GRAPHIC] [TIFF OMITTED] TR13MR13.007

Where--

Vmax = Maximum allowable posted timetable operating speed 
          (m.p.h.).
Ea = Actual elevation of the outside rail (inches).\1\
---------------------------------------------------------------------------

    \1\ Actual elevation, Ea, for each 155-foot track segment 
in the body of the curve is determined by averaging the elevation for 11 
points through the segment at 15.5-foot spacing. If the curve length is 
less than 155 feet, the points are averaged through the full length of 
the body of the curve.
---------------------------------------------------------------------------

Eu = Qualified cant deficiency \2\ (inches) of the vehicle 
          type.
---------------------------------------------------------------------------

    \2\ If the actual elevation, Ea, and degree of curvature, 
D, change as a result of track degradation, then the actual cant 
deficiency for the maximum allowable posted timetable operating speed, 
Vmax, may be greater than the qualified cant deficiency, 
Eu. This actual cant deficiency for each curve may not exceed 
the qualified cant deficiency, Eu, plus 1 inch.

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

[[Page 111]]

    D = Degree of curvature (degrees).\3\
---------------------------------------------------------------------------

    \3\ Degree of curvature, D, is determined by averaging the degree of 
curvature over the same track segment as the elevation.

    (c) All vehicles are considered qualified for operating on track 
with a cant deficiency, Eu, not exceeding 3 inches. Table 1 
of appendix A to this part is a table of speeds computed in accordance 
with the formula in paragraph (b) of this section, when Eu 
equals 3 inches, for various elevations and degrees of curvature.
    (d) Each vehicle type must be approved by FRA to operate on track 
with a qualified cant deficiency, Eu, greater than 3 inches. 
Each vehicle type must demonstrate, in a ready-for-service load 
condition, compliance with the requirements of either paragraph (d)(1) 
or (2) of this section.
    (1) When positioned on a track with a uniform superelevation equal 
to the proposed cant deficiency:
    (i) No wheel of the vehicle type unloads to a value less than 60 
percent of its static value on perfectly level track; and
    (ii) For passenger cars, the roll angle between the floor of the 
equipment and the horizontal does not exceed 8.6 degrees; or
    (2) When operating through a constant radius curve at a constant 
speed corresponding to the proposed cant deficiency, and a test plan is 
submitted to and approved by FRA in accordance with Sec. 213.345(e) and 
(f):
    (i) The steady-state (average) load on any wheel, throughout the 
body of the curve, is not less than 60 percent of its static value on 
perfectly level track; and
    (ii) For passenger cars, the steady-state (average) lateral 
acceleration measured on the floor of the carbody does not exceed 0.15g.
    (e) The track owner or railroad shall transmit the results of the 
testing specified in paragraph (d) of this section to FRA's Associate 
Administrator for Railroad Safety/Chief Safety Officer (FRA) requesting 
approval for the vehicle type to operate at the desired curving speeds 
allowed under the formula in paragraph (b) of this section. The request 
shall be made in writing and contain, at a minimum, the following 
information--
    (1) A description of the vehicle type involved, including schematic 
diagrams of the suspension system(s) and the estimated location of the 
center of gravity above top of rail;
    (2) The test procedure,\4\ including the load condition under which 
the testing was performed, and description of the instrumentation used 
to qualify the vehicle type, as well as the maximum values for wheel 
unloading and roll angles or accelerations that were observed during 
testing; and
---------------------------------------------------------------------------

    \4\ The test procedure may be conducted whereby all the wheels on 
one side (right or left) of the vehicle are raised to the proposed cant 
deficiency, 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) For vehicle types not subject to parts 229 or 238 of this 
chapter, procedures or standards in effect that relate to the 
maintenance of all safety-critical components of the suspension 
system(s) for the particular vehicle type. Safety-critical components of 
the suspension system are those that impact or have significant 
influence on the roll of the carbody and the distribution of weight on 
the wheels.
    (f) In approving the request made pursuant to paragraph (e) of this 
section, FRA may impose conditions necessary for safely operating at the 
higher curving speeds. Upon FRA approval of the request, the track owner 
or railroad shall notify FRA in writing no less than 30 calendar days 
prior to the proposed implementation of the approved higher curving 
speeds allowed under the formula in paragraph (b) of this section. The 
notification shall contain, at a minimum, identification of the track 
segment(s) on which the higher curving speeds are to be implemented.
    (g) The documents required by this section must be provided to FRA 
by:
    (1) The track owner; or
    (2) A railroad that provides service with the same vehicle type over 
trackage of one or more track owner(s), with the written consent of each 
affected track owner.

[[Page 112]]

    (h)(1) Vehicle types permitted by FRA to operate at cant 
deficiencies, Eu, greater than 3 inches but not more than 5 
inches shall be considered qualified under this section to operate at 
those permitted cant deficiencies for any track segment. The track owner 
or railroad shall notify FRA in writing no less than 30 calendar days 
prior to the proposed implementation of such curving speeds in 
accordance with paragraph (f) of this section.
    (2) Vehicle types permitted by FRA to operate at cant deficiencies, 
Eu, greater than 5 inches shall be considered qualified under 
this section to operate at those permitted cant deficiencies only for 
the previously operated or identified track segments(s).
    (i) For vehicle types intended to operate at any curving speed 
producing more than 5 inches of cant deficiency, the following 
provisions of subpart G of this part shall apply: Sec. Sec. 213.333(a) 
through (g), (j)(1), (k) and (m), 213.345, and 213.369(f).
    (j) As used in this section--
    (1) Vehicle means a locomotive, as defined in Sec. 229.5 of this 
chapter; a freight car, as defined in Sec. 215.5 of this chapter; a 
passenger car, as defined in Sec. 238.5 of this chapter; and any rail 
rolling equipment used in a train with either a freight car or a 
passenger car.
    (2) Vehicle type means like vehicles with variations in their 
physical properties, such as suspension, mass, interior arrangements, 
and dimensions that do not result in significant changes to their 
dynamic characteristics.

[78 FR 16101, Mar. 13, 2013]



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 posted timetable 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.

[63 FR 34029, June 22, 1998, as amended at 78 FR 16101, Mar. 13, 2013]



Sec. 213.63  Track surface.

    (a) Except as provided in paragraph (b) of this section, each track 
owner shall maintain the surface of its track within the limits 
prescribed in the following table:

----------------------------------------------------------------------------------------------------------------
                                                                                    Class of track
                       Track surface (inches)                       --------------------------------------------
                                                                        1        2        3        4        5
----------------------------------------------------------------------------------------------------------------
The runoff in any 31 feet of rail at the end of a raise may not be    3\1/2\        3        2   1\1/2\        1
 more than.........................................................
The deviation from uniform profile on either rail at the mid-              3   2\3/4\   2\1/4\        2   1\1/4\
 ordinate of a 62-foot chord may not be more than..................
The deviation from zero crosslevel at any point on tangent or              3        2   1\3/4\   1\1/4\        1
 reverse crosslevel elevation on curves may not be more than.......
The difference in crosslevel between any two points less than 62           3   2\1/4\        2   1\3/4\   1\1/2\
 feet apart may not be more than\* 1 2\............................
*Where determined by engineering decision prior to June 22, 1998,          2   1\3/4\   1\1/4\        1    \3/4\
 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.
\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 seven low
  joints. Track with joints staggered less than 10 feet apart shall not be considered as having staggered
  joints. Joints within the seven low joints outside of the regular joint spacing shall not be considered as
  joints for purposes of this footnote.

    (b) For operations at a qualified cant deficiency, Eu, of 
more than 5 inches, each track owner shall maintain the surface of the 
curve within the limits prescribed in the following table:

[[Page 113]]



----------------------------------------------------------------------------------------------------------------
                                                                                    Class of track
                       Track surface (inches)                       --------------------------------------------
                                                                        1        2        3        4        5
----------------------------------------------------------------------------------------------------------------
The deviation from uniform profile on either rail at the mid-         N/A\1\   N/A\1\        1        1        1
 ordinate of a 31-foot chord may not be more than..................
The deviation from uniform profile on either rail at the mid-         2\1/4\   2\1/4\   1\3/4\   1\1/4\        1
 ordinate of a 62-foot chord may not be more than..................
The difference in crosslevel between any two points less than 10           2        2   1\3/4\   1\3/4\   1\1/2\
 feet apart (short warp) shall not be more than....................
----------------------------------------------------------------------------------------------------------------
\1\ N/A--Not Applicable.


[78 FR 16101, Mar. 13, 2013]



Sec. 213.65  Combined track alinement and surface deviations.

    On any curved track where operations are conducted at a qualified 
cant deficiency, Eu, greater than 5 inches, the combination 
of alinement and surface deviations for the same chord length on the 
outside rail in the curve, as measured by a TGMS, shall comply with the 
following formula:
[GRAPHIC] [TIFF OMITTED] TR13MR13.008

Where--
Am = measured alinement deviation from uniformity (outward is 
          positive, inward is negative).
AL = allowable alinement limit as per Sec. 213.55(b) (always 
          positive) for the class of track.
Sm = measured profile deviation from uniformity (down is 
          positive, up is negative).
SL = allowable profile limit as per Sec. 213.63(b) (always 
          positive) for the class of track.
          [GRAPHIC] [TIFF OMITTED] TR13MR13.009
          

[78 FR 16102, Mar. 13, 2013]



                        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 at a minimum--

[[Page 114]]

    (1) A sufficient number of crossties that 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 paragraph 
(b)(4) of this section and described in paragraph (c) or (d), as 
applicable, of this section effectively distributed to support the 
entire segment;
    (3) At least one non-defective crosstie of the type specified in 
paragraphs (c) and (d) of this section that is located at a joint 
location as specified in paragraph (e) of this section; and
    (4) The minimum number of crossties as indicated in the following 
table.

------------------------------------------------------------------------
                                           Tangent track, turnouts, and
                                                      curves
                                         -------------------------------
                                           Tangent track
             FRA track class                and curved     Turnouts and
                                            track less     curved track
                                           than or equal  greater than 2
                                           to 2 degrees       degrees
------------------------------------------------------------------------
Class 1.................................               5               6
Class 2.................................               8               9
Class 3.................................               8              10
Class 4 and 5...........................              12              14
------------------------------------------------------------------------

    (c) Crossties, other than concrete, counted to satisfy the 
requirements set forth in paragraph (b)(4) of this section shall not 
be--
    (1) Broken through;
    (2) Split or otherwise impaired to the extent the crosstie will 
allow the ballast to work through, or will not hold spikes or rail 
fasteners;
    (3) So deteriorated that the crosstie plate or base of rail can move 
laterally \1/2\ inch relative to the crosstie; or
    (4) Cut by the crosstie plate through more than 40 percent of a 
crosstie's thickness.
    (d) Concrete crossties counted to satisfy the requirements set forth 
in paragraph (b)(4) of this section shall not be--
    (1) Broken through or deteriorated to the extent that prestressing 
material is visible;
    (2) Deteriorated or broken off in the vicinity of the shoulder or 
insert so that the fastener assembly can either pull out or move 
laterally more than \3/8\ inch relative to the crosstie;
    (3) Deteriorated such that the base of either rail can move 
laterally more than \3/8\ inch relative to the crosstie on curves of 2 
degrees or greater; or can move laterally more than \1/2\ inch relative 
to the crosstie on tangent track or curves of less than 2 degrees;
    (4) Deteriorated or abraded at any point under the rail seat to a 
depth of \1/2\ inch or more;
    (5) Deteriorated such that the crosstie's fastening or anchoring 
system, including rail anchors (see Sec. 213.127(b)), is unable to 
maintain longitudinal rail restraint, or maintain rail hold down, or 
maintain gage due to insufficient fastener toeload; or
    (6) Configured with less than two fasteners on the same rail except 
as provided in Sec. 213.127(c).
    (e) Class 1 and 2 track shall have one crosstie whose centerline is 
within 24 inches of each rail joint (end) location. Class 3, 4, and 5 
track shall have either 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 crossties is described in the following three 
diagrams:
    (1) Each rail joint in Class 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 inches as shown in Figure 1.

[[Page 115]]

[GRAPHIC] [TIFF OMITTED] TR01AP11.002

    (2) Each rail joint in Class 3, 4, and 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 inches as shown in Figure 2, or:
[GRAPHIC] [TIFF OMITTED] TR01AP11.046

    (3) Two crossties, one on each side of the rail joint, whose 
centerlines are within 24 inches of the rail joint location as shown in 
Figure 3.

[[Page 116]]

[GRAPHIC] [TIFF OMITTED] TR01AP11.003

    (f) For track constructed without crossties, such as slab track, 
track connected directly to bridge structural components, track over 
servicing pits, etc., the track structure shall meet the requirements of 
paragraph (b)(1) of this section.

[76 FR 18084, Apr. 1, 2011]



Sec. 213.110  Gage restraint measurement systems.

    (a) A track owner may elect to implement a Gage Restraint 
Measurement System (GRMS), supplemented by the use of a Portable Track 
Loading Fixture (PTLF), to determine compliance with the crosstie and 
fastener requirements specified in Sec. Sec. 213.109 and 213.127 
provided that--
    (1) The track owner notifies the appropriate FRA Regional office at 
least 30 days prior to the designation of any line segment on which GRMS 
technology will be implemented; and
    (2) The track owner notifies the appropriate FRA Regional office at 
least 10 days prior to the removal of any line segment from GRMS 
designation.
    (b) Initial notification under paragraph (a)(1) of this section 
shall include--
    (1) Identification of the line segment(s) by timetable designation, 
milepost limits, class of track, or other identifying criteria; and
    (2) The most recent record of million gross tons of traffic per year 
over the identified segment(s).
    (c)(1) The track owner shall also provide to FRA sufficient 
technical data to establish compliance with the following minimum design 
requirements of a GRMS vehicle:
    (2) Gage restraint shall be measured between the heads of rail--
    (i) At an interval not exceeding 16 inches;
    (ii) Under an applied vertical load of no less than 10 kips per 
rail; and
    (iii) Under an applied lateral load that provides for a lateral/
vertical load ratio of between 0.5 and 1.25 \5\, and a load severity 
greater than 3 kips but less than 8 kips per rail.
---------------------------------------------------------------------------

    \5\ GRMS equipment using load combinations developing L/V ratios 
that exceed 0.8 shall be operated with caution to protect against the 
risk of wheel climb by the test wheelset.
---------------------------------------------------------------------------

    (d) Load severity is defined by the formula:

S = L-cV

Where--
S = Load severity, defined as the lateral load applied to the fastener 
          system (kips).
L = Actual lateral load applied (kips).
c = Coefficient of friction between rail/tie, which is assigned a 
          nominal value of 0.4.
V = Actual vertical load applied (kips), or static vertical wheel load 
          if vertical load is not measured.

    (e) The measured gage values shall be converted to a Projected 
Loaded Gage 24 (PLG24) as follows--

PLG24 = UTG + A x (LTG-UTG)

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.

[[Page 117]]

LTG = Loaded track gage measured by the GRMS vehicle at a point no more 
          than 12 inches from the lateral load application point.
A = The extrapolation factor used to convert the measured loaded gage to 
          expected loaded gage under a 24-kip lateral load and a 33-kip 
          vertical load.
For all track--
[GRAPHIC] [TIFF OMITTED] TR13MR13.010

    Note: The A factor shall not exceed a value of 3.184 under any valid 
loading configuration.
L = Actual lateral load applied (kips).
V = Actual vertical load applied (kips), or static vertical wheel load 
          if vertical load is not measured.

    (f) The measured gage and load values shall be converted to a Gage 
Widening Projection (GWP) as follows:
[GRAPHIC] [TIFF OMITTED] TR13MR13.011

    (g) The GRMS vehicle shall be capable of producing output reports 
that provide a trace, on a constant-distance scale, of all parameters 
specified in paragraph (l) of this section.
    (h) The GRMS vehicle shall be capable of providing an exception 
report containing a systematic listing of all exceptions, by magnitude 
and location, to all the parameters specified in paragraph (l) of this 
section.
    (i) The exception reports required by this section shall be provided 
to the appropriate person designated as fully qualified under Sec. 
213.7 prior to the next inspection required under Sec. 213.233.
    (j) The track owner shall institute the necessary procedures for 
maintaining the integrity of the data collected by the GRMS and PTLF 
systems. At a minimum, the track owner shall--
    (1) Maintain and make available to the Federal Railroad 
Administration documented calibration procedures on each GRMS vehicle 
which, at a minimum, shall specify a daily instrument verification 
procedure that will ensure correlation between measurements made on the 
ground and those recorded by the instrumentation with respect to loaded 
and unloaded gage parameters; and
    (2) Maintain each PTLF used for determining compliance with the 
requirements of this section such that the 4,000-pound reading is 
accurate to within five percent of that reading.
    (k) The track owner shall provide training in GRMS technology to all 
persons designated as fully qualified under Sec. 213.7 and whose 
territories are subject to the requirements of this section. The 
training program shall be made available to the Federal Railroad 
Administration upon request. At a minimum, the training program shall 
address--
    (1) Basic GRMS procedures;
    (2) Interpretation and handling of exception reports generated by 
the GRMS vehicle;
    (3) Locating and verifying defects in the field;
    (4) Remedial action requirements;
    (5) Use and calibration of the PTLF; and
    (6) Recordkeeping requirements.
    (l) The GRMS record of lateral restraint shall identify two 
exception levels. At a minimum, the track owner shall initiate the 
required remedial action at each exception level as defined in the 
following table--

[[Page 118]]



------------------------------------------------------------------------
                                  If measurement      Remedial action
      GRMS parameters\1\          value exceeds           required
------------------------------------------------------------------------
                          First Level Exception
------------------------------------------------------------------------
UTG...........................  58 inches........  (1) Immediately
                                                    protect the
                                                    exception location
                                                    with a 10 m.p.h.
                                                    speed restriction,
                                                    then verify
                                                    location;
                                                   (2) Restore lateral
                                                    restraint and
                                                    maintain in
                                                    compliance with PTLF
                                                    criteria as
                                                    described in
                                                    paragraph (m) of
                                                    this section; and
                                                   (3) Maintain
                                                    compliance with Sec.
                                                      213.53(b) as
                                                    measured with the
                                                    PTLF.
LTG...........................  58 inches........
PLG24.........................  59 inches........
GWP...........................  1 inch...........
------------------------------------------------------------------------
                         Second Level Exception
------------------------------------------------------------------------
LTG...........................  57 \3/4\ inches    (1) Limit operating
                                 on Class 4 and 5   speed to no more
                                 track \2\.         than the maximum
                                                    allowable under Sec.
                                                      213.9 for Class 3
                                                    track, then verify
                                                    location;
                                                   (2) Maintain in
                                                    compliance with PTLF
                                                    criteria as
                                                    described in
                                                    paragraph (m) of
                                                    this section; and
                                                   (3) Maintain
                                                    compliance with Sec.
                                                      213.53(b) as
                                                    measured with the
                                                    PTLF.
PLG24.........................  58 inches........
GWP...........................  0.75 inch........
------------------------------------------------------------------------
\1\ Definitions for the GRMS parameters referenced in this table are
  found in paragraph (p) of this section.
\2\ This note recognizes that good track will typically increase in
  total gage by as much as one-quarter of an inch due to outward rail
  rotation under GRMS loading conditions. For Class 2 and 3 track, the
  GRMS LTG values are also increased by one-quarter of inch to a maximum
  of 58 inches. However, for any class of track, GRMS LTG values in
  excess of 58 inches are considered First Level exceptions and the
  appropriate remedial action(s) must be taken by the track owner. This
  1/4-inch increase in allowable gage applies only to GRMS LTG. For gage
  measured by traditional methods, or with the use of the PTLF, the
  table in Sec. 213.53(b) applies.

    (m) Between GRMS inspections, the PTLF may be used as an additional 
analytical tool to assist fully qualified Sec. 213.7 individuals in 
determining compliance with the crosstie and fastener requirements of 
Sec. Sec. 213.109 and 213.127. When the PTLF is used, whether as an 
additional analytical tool or to fulfill the requirements of paragraph 
(l), it shall be used subject to the following criteria--
    (1) At any location along the track that the PTLF is applied, that 
location will be deemed in compliance with the crosstie and fastener 
requirements specified in Sec. Sec. 213.109 and 213.127 provided that--
    (i) The total gage widening at that location does not exceed \5/8\ 
inch when increasing the applied force from 0 to 4,000 pounds; and
    (ii) The gage of the track under 4,000 pounds of applied force does 
not exceed the allowable gage prescribed in Sec. 213.53(b) for the 
class of track.
    (2) Gage widening in excess of \5/8\ inch shall constitute a 
deviation from Class 1 standards.
    (3) A person designated as fully qualified under Sec. 213.7 retains 
the discretionary authority to prescribe additional remedial actions for 
those locations which comply with the requirements of paragraph 
(m)(1)(i) and (ii) of this section.
    (4) When a functional PTLF is not available to a fully qualified 
person designated under Sec. 213.7, the criteria for determining 
crosstie and fastener compliance shall be based solely on the 
requirements specified in Sec. Sec. 213.109 and 213.127.
    (5) If the PTLF becomes non-functional or is missing, the track 
owner will replace or repair it before the next inspection required 
under Sec. 213.233.
    (6) Where vertical loading of the track is necessary for contact 
with the lateral rail restraint components, a PTLF test will not be 
considered valid until contact with these components is restored under 
static loading conditions.
    (n) The track owner shall maintain a record of the two most recent 
GRMS inspections at locations which meet the requirements specified in 
Sec. 213.241(b). At a minimum, records shall indicate the following--
    (1) Location and nature of each First Level exception; and

[[Page 119]]

    (2) Nature and date of remedial action, if any, for each exception 
identified in paragraph (n)(1) of this section.
    (o) The inspection interval for designated GRMS line segments shall 
be such that--
    (1) On line segments where the annual tonnage exceeds two million 
gross tons, or where the maximum operating speeds for passenger trains 
exceeds 30 mph, GRMS inspections must be performed annually at an 
interval not to exceed 14 months; or
    (2) On line segments where the annual tonnage is two million gross 
tons or less and the maximum operating speed for passenger trains does 
not exceed 30 mph, the interval between GRMS inspections must not exceed 
24 months.
    (p) As used in this section--
    (1) Gage Restraint Measurement System (GRMS) means a track loading 
vehicle meeting the minimum design requirements specified in this 
section.
    (2) Gage Widening Projection (GWP) means the measured gage widening, 
which is the difference between loaded and unloaded gage, at the applied 
loads, projected to reference loads of 16 kips of lateral force and 33 
kips of vertical force.
    (3) L/V ratio means the numerical ratio of lateral load applied at a 
point on the rail to the vertical load applied at that same point. GRMS 
design requirements specify an L/V ratio of between 0.5 and 1.25.
    (4) Load severity means the amount of lateral load applied to the 
fastener system after friction between rail and tie is overcome by any 
applied gage-widening lateral load.
    (5) Loaded Track Gage (LTG) means the gage measured by the GRMS 
vehicle at a point no more than 12 inches from the lateral load 
application point.
    (6) Portable Track Loading Fixture (PTLF) means a portable track 
loading device capable of applying an increasing lateral force from 0 to 
4,000 pounds on the web/base fillet of each rail simultaneously.
    (7) Projected Loaded Gage (PLG) means an extrapolated value for 
loaded gage calculated from actual measured loads and deflections. PLG 
24 means the extrapolated value for loaded gage under a 24,000 pound 
lateral load and a 33,000 pound vertical load.
    (8) Unloaded Track Gage (UTG) means the gage measured by the GRMS 
vehicle at a point no less than 10 feet from any lateral or vertical 
load.

[66 FR 1899, Jan. 10, 2001; 66 FR 8372, Jan. 31, 2001, as amended at 78 
FR 16102, Mar. 13, 2013]



Sec. 213.113  Defective rails.

    (a) When an owner of track learns that a rail in the track contains 
any of the defects listed in the table contained in paragraph (c) of 
this section, a person designated under Sec. 213.7 shall determine 
whether the track may continue in use. If the designated person 
determines that the track may continue in use, operation over the 
defective rail is not permitted until--
    (1) The rail is replaced or repaired; or
    (2) The remedial action prescribed in the table contained in 
paragraph (c) of this section is initiated.
    (b) When an owner of track learns that a rail in the track contains 
an indication of any of the defects listed in the table contained in 
paragraph (c) of this section, the track owner shall verify the 
indication. The track owner must verify the indication within four 
hours, unless the track owner has an indication of the existence of a 
defect that requires remedial action A, A2, or B identified in the table 
contained in paragraph (c) of this section, in which case the track 
owner must immediately verify the indication. If the indication is 
verified, the track owner must--
    (1) Replace or repair the rail; or
    (2) Initiate the remedial action prescribed in the table contained 
in paragraph (c) of this section.
    (c) A track owner who learns that a rail contains one of the 
following defects shall prescribe the remedial action specified if the 
rail is not replaced or repaired, in accordance with this paragraph's 
table:

[[Page 120]]

[GRAPHIC] [TIFF OMITTED] TR29JA14.000


[[Page 121]]


[GRAPHIC] [TIFF OMITTED] TR29JA14.001


[[Page 122]]


[GRAPHIC] [TIFF OMITTED] TR29JA14.002

    (d) As used in this section--
    (1) 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.
    (2) Broken base means any break in the base of the rail.
    (3) Compound fissure means a progressive fracture originating from a 
horizontal split head that turns up or down, or in both directions, in 
the head of the rail. Transverse development normally progresses 
substantially at a right angle to the length of the rail.
    (4) Crushed head means a short length of rail, not at a joint, which 
has drooped or sagged across the width of the rail head to a depth of 
\3/8\ inch or more below the rest of the rail head and 8 inches or more 
in length. Unlike flattened rail where the depression is visible on the 
rail head only, the sagging or drooping is also visible in the head/web 
fillet area.
    (5) Damaged rail means any rail broken or otherwise damaged by a 
derailment, broken, flat, or unbalanced wheel, wheel slipping, or 
similar causes.
    (6) 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 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

[[Page 123]]

rail ends. If the weld defect progresses longitudinally through the weld 
section, the defect is considered a split web for purposes of remedial 
action required by this section.
    (7) 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 shelled 
spots, head checks, or flaking.
    (8) Engine burn fracture means a progressive fracture originating in 
spots where driving wheels have slipped on top of the rail head. In 
developing downward these fractures frequently resemble the compound or 
even transverse fissures with which they should not be confused or 
classified.
    (9) 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 and 8 inches or more in 
length. 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.
    (10) Head and web separation means a progressive fracture, 
longitudinally separating the head from the web of the rail at the head 
fillet area.
    (11) Horizontal split head means a horizontal progressive defect 
originating inside of the rail head, usually \1/4\ 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.
    (12) 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 (d) is found.
    (13) 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.
    (14) Split web means a lengthwise crack along the side of the web 
and extending into or through it.
    (15) 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.
    (16) 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.

[79 FR 4256, Jan. 24, 2014; 79 FR 4633, Jan. 29, 2014]



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. 213.118  Continuous welded rail (CWR); plan review and approval.

    (a) Each track owner with track constructed of CWR shall have in 
effect and comply with a plan that contains written procedures which 
address: the installation, adjustment, maintenance, and inspection of 
CWR; inspection of CWR joints; and a training program for the 
application of those procedures.
    (b) The track owner shall file its CWR plan with the FRA Associate 
Administrator for Railroad Safety/Chief Safety Officer (Associate 
Administrator). Within 30 days of receipt of the submission, FRA will 
review the plan for compliance with this subpart. FRA will approve, 
disapprove or conditionally approve the submitted plan,

[[Page 124]]

and will provide written notice of its determination.
    (c) The track owner's existing plan shall remain in effect until the 
track owner's new plan is approved or conditionally approved and is 
effective pursuant to paragraph (d) of this section.
    (d) The track owner shall, upon receipt of FRA's approval or 
conditional approval, establish the plan's effective date. The track 
owner shall advise in writing FRA and all affected employees of the 
effective date.
    (e) FRA, for cause stated, may, subsequent to plan approval or 
conditional approval, require revisions to the plan to bring the plan 
into conformity with this subpart. Notice of a revision requirement 
shall be made in writing and specify the basis of FRA's requirement. The 
track owner may, within 30 days of the revision requirement, respond and 
provide written submissions in support of the original plan. FRA renders 
a final decision in writing. Not more than 30 days following any final 
decision requiring revisions to a CWR plan, the track owner shall amend 
the plan in accordance with FRA's decision and resubmit the conforming 
plan. The conforming plan becomes effective upon its submission to FRA.

[74 FR 43002, Aug. 25, 2009]



Sec. 213.119  Continuous welded rail (CWR); plan contents.

    The track owner shall comply with the contents of the CWR plan 
approved or conditionally approved under Sec. 213.118. The plan shall 
contain the following elements--
    (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) CWR joint installation and maintenance procedures which require 
that--
    (1) Each rail shall be bolted with at least two bolts at each CWR 
joint;
    (2) In the case of a bolted joint installed during CWR installation 
after October 21, 2009, the track owner shall either, within 60 days--
    (i) Weld the joint;
    (ii) Install a joint with six bolts; or
    (iii) Anchor every tie 195 feet in both directions from the joint; 
and
    (3) In the case of a bolted joint in CWR experiencing service 
failure or a failed bar with a rail gap present, the track owner shall 
either--
    (i) Weld the joint;
    (ii) Replace the broken bar(s), replace the broken bolts, adjust the 
anchors and, within 30 days, weld the joint;
    (iii) Replace the broken bar(s), replace the broken bolts, install 
one additional bolt per rail end, and adjust anchors;
    (iv) Replace the broken bar(s), replace the broken bolts, and anchor 
every tie 195 feet in both directions from the CWR joint; or
    (v) Replace the broken bar(s), replace the broken bolts, add rail 
with provisions for later adjustment pursuant to paragraph (d)(2) of 
this section, and reapply the anchors.
    (d) 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.

[[Page 125]]

    (e) 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.
    (f) Procedures which govern 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) The difference between the average rail temperature and the 
average rail neutral temperature is in a range that causes buckling-
prone conditions to be present at a specific location; and
    (3) In formulating the procedures under paragraphs (f)(1) and (f)(2) 
of this section, 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.
    (g) Procedures which prescribe when physical track inspections are 
to be performed.
    (1) At a minimum, these procedures shall address inspecting track to 
identify--
    (i) Buckling-prone conditions in CWR track, including--
    (A) Locations where tight or kinky rail conditions are likely to 
occur; and
    (B) Locations where track work of the nature described in paragraph 
(f)(1)(i) of this section has recently been performed; and
    (ii) Pull-apart prone conditions in CWR track, including locations 
where pull-apart or stripped-joint rail conditions are likely to occur; 
and
    (2) In formulating the procedures under paragraph (g)(1) of this 
section, the track owner shall--
    (i) Specify when the inspections will be conducted; and
    (ii) Specify the appropriate remedial actions to be taken when 
either buckling-prone or pull-apart prone conditions are found.
    (h) Procedures which prescribe the scheduling and conduct of 
inspections to detect cracks and other indications of potential failures 
in CWR joints. In formulating the procedures under this paragraph, the 
track owner shall--
    (1) Address the inspection of joints and the track structure at 
joints, including, at a minimum, periodic on-foot inspections;
    (2) Identify joint bars with visible or otherwise detectable cracks 
and conduct remedial action pursuant to Sec. 213.121;
    (3) Specify the conditions of actual or potential joint failure for 
which personnel must inspect, including, at a minimum, the following 
items:
    (i) Loose, bent, or missing joint bolts;
    (ii) Rail end batter or mismatch that contributes to instability of 
the joint; and
    (iii) Evidence of excessive longitudinal rail movement in or near 
the joint, including, but not limited to; wide rail gap, defective joint 
bolts, disturbed ballast, surface deviations, gap between tie plates and 
rail, or displaced rail anchors;
    (4) Specify the procedures for the inspection of CWR joints that are 
imbedded in highway-rail crossings or in other structures that prevent a 
complete inspection of the joint, including procedures for the removal 
from the joint of loose material or other temporary material;
    (5) Specify the appropriate corrective actions to be taken when 
personnel find conditions of actual or potential joint failure, 
including on-foot follow-up inspections to monitor conditions of 
potential joint failure in any period prior to completion of repairs;
    (6) Specify the timing of periodic inspections, which shall be based 
on the configuration and condition of the joint:
    (i) Except as provided in paragraphs (h)(6)(ii) through (h)(6)(iv) 
of this section, track owners must specify that all CWR joints are 
inspected, at a minimum, in accordance with the intervals identified in 
the following table:

[[Page 126]]



                               Minimum Number of Inspections per Calendar Year \1\
----------------------------------------------------------------------------------------------------------------
                                    Freight trains operating over track with an     Passenger trains operating
                                                annual tonnage of:                   over track with an annual
                                 ------------------------------------------------           tonnage of:
                                                                                 -------------------------------
                                   Less than 40                    Greater than                    Greater than
                                        mgt        40 to 60 mgt       60 mgt       Less than 20   or equal to 20
                                                                                        mgt             mgt
----------------------------------------------------------------------------------------------------------------
Class 5 & above.................               2           3 \2\           4 \2\           3 \2\            3\2\
Class 4.........................               2           3 \2\           4 \2\               2           3 \2\
Class 3.........................               1               2               2               2               2
Class 2.........................               0               0               0               1               1
Class 1.........................               0               0               0               0               0
Excepted Track..................               0               0               0             n/a             n/a
----------------------------------------------------------------------------------------------------------------
4 = Four times per calendar year, with one inspection in each of the following periods: January to March, April
 to June, July to September, and October to December; and with consecutive inspections separated by at least 60
 calendar days..................................................................................................
3 = Three times per calendar year, with one inspection in each of the following periods: January to April, May
 to August, and September to December; and with consecutive inspections separated by at least 90 calendar days..
2 = Twice per calendar year, with one inspection in each of the following periods: January to June and July to
 December; and with consecutive inspections separated by at least 120 calendar days.............................
1 = Once per calendar year, with consecutive inspections separated by at least 180 calendar days................
----------------------------------------------------------------------------------------------------------------
\1\ Where a track owner operates both freight and passenger trains over a given segment of track, and there are
  two different possible inspection interval requirements, the more frequent inspection interval applies.
\2\ When extreme weather conditions prevent a track owner from conducting an inspection of a particular
  territory within the required interval, the track owner may extend the interval by up to 30 calendar days from
  the last day that the extreme weather condition prevented the required inspection.

    (ii) Consistent with any limitations applied by the track owner, a 
passenger train conducting an unscheduled detour operation may proceed 
over track not normally used for passenger operations at a speed not to 
exceed the maximum authorized speed otherwise allowed, even though CWR 
joints have not been inspected in accordance with the frequency 
identified in paragraph (h)(6)(i) of this section, provided that:
    (A) All CWR joints have been inspected consistent with requirements 
for freight service; and
    (B) The unscheduled detour operation lasts no more than 14 
consecutive calendar days. In order to continue operations beyond the 
14-day period, the track owner must inspect the CWR joints in accordance 
with the requirements of paragraph (h)(6)(i) of this section.
    (iii) Tourist, scenic, historic, or excursion operations, if limited 
to the maximum authorized speed for passenger trains over the next lower 
class of track, need not be considered in determining the frequency of 
inspections under paragraph (h)(6)(i) of this section.
    (iv) All CWR joints that are located in switches, turnouts, track 
crossings, lift rail assemblies or other transition devices on moveable 
bridges must be inspected on foot at least monthly, consistent with the 
requirements in Sec. 213.235; and all records of those inspections must 
be kept in accordance with the requirements in Sec. 213.241. A track 
owner may include in its Sec. 213.235 inspections, in lieu of the joint 
inspections required by paragraph (h)(6)(i) of this section, CWR joints 
that are located in track structure that is adjacent to switches and 
turnouts, provided that the track owner precisely defines the parameters 
of that arrangement in the CWR plans.
    (7) Specify the recordkeeping requirements related to joint bars in 
CWR, including the following:
    (i) The track owner shall keep a record of each periodic and follow-
up inspection required to be performed by the track owner's CWR plan, 
except for those inspections conducted pursuant to Sec. 213.235 for 
which track owners must maintain records pursuant to Sec. 213.241. The 
record shall be prepared on the day the inspection is made and signed by 
the person making the inspection. The record shall include, at a 
minimum, the following items: the boundaries of the territory inspected; 
the nature and location of any deviations at the joint from the 
requirements of this part or of the track owner's CWR plan, with the 
location identified with sufficient precision that personnel could 
return

[[Page 127]]

to the joint and identify it without ambiguity; the date of the 
inspection; the remedial action, corrective action, or both, that has 
been taken or will be taken; and the name or identification number of 
the person who made the inspection.
    (ii) [Reserved]
    (8) In lieu of the requirements for the inspection of rail joints 
contained in paragraphs (h)(1) through (h)(7) of this section, a track 
owner may seek approval from FRA to use alternate procedures.
    (i) The track owner shall submit the proposed alternate procedures 
and a supporting statement of justification to the Associate 
Administrator.
    (ii) If the Associate Administrator finds that the proposed 
alternate procedures provide an equivalent or higher level of safety 
than the requirements in paragraphs (h)(1) through (h)(7) of this 
section, the Associate Administrator will approve the alternate 
procedures by notifying the track owner in writing. The Associate 
Administrator will specify in the written notification the date on which 
the procedures will become effective, and after that date, the track 
owner shall comply with the procedures. If the Associate Administrator 
determines that the alternate procedures do not provide an equivalent 
level of safety, the Associate Administrator will disapprove the 
alternate procedures in writing, and the track owner shall continue to 
comply with the requirements in paragraphs (h)(1) through (h)(7) of this 
section.
    (iii) While a determination is pending with the Associate 
Administrator on a request submitted pursuant to paragraph (h)(8) of 
this section, the track owner shall continue to comply with the 
requirements contained in paragraphs (h)(1) through (h)(7) of this 
section.
    (i) The track owner shall have in effect a comprehensive training 
program for the application of these written CWR procedures, with 
provisions for annual re-training, for those individuals designated 
under Sec. 213.7(c) as qualified to supervise the installation, 
adjustment, and maintenance of CWR track and to perform inspections of 
CWR track. The track owner shall make the training program available for 
review by FRA upon request.
    (j) The track owner shall prescribe and comply with 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. Each 
record shall be retained for at least one year;
    (2) A record of any CWR installation or maintenance work that does 
not conform to 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; and
    (3) Information on inspection of rail joints as specified in 
paragraph (h)(7) of this section.
    (k) The track owner shall make readily available, at every job site 
where personnel are assigned to install, inspect or maintain CWR, a copy 
of the track owner's CWR procedures and all revisions, appendices, 
updates, and referenced materials related thereto prior to their 
effective date. Such CWR procedures shall be issued and maintained in 
one CWR standards and procedures manual.
    (l) As used in this section--
    Adjusting/de-stressing means a procedure by which a rail's neutral 
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.
    Annual re-training means training every calendar year.
    Buckling incident means the formation of a lateral misalignment 
sufficient in magnitude to constitute a deviation from the Class 1 
requirements specified in Sec. 213.55. These normally occur when rail 
temperatures are relatively high and are caused by high longitudinal 
compressive forces.
    Buckling-prone condition means a track condition that can result in 
the track being laterally displaced due to high compression forces 
caused by critical rail temperature combined with insufficient track 
strength and/or train dynamics.

[[Page 128]]

    Continuous welded rail (CWR) means rail that has been welded 
together into lengths exceeding 400 feet. Rail installed as CWR remains 
CWR, regardless of whether a joint or plug is installed into the rail at 
a later time.
    Corrective actions mean those actions which track owners specify in 
their CWR plans to address conditions of actual or potential joint 
failure, including, as applicable, repair, restrictions on operations, 
and additional on-foot inspections.
    CWR joint means any joint directly connected to CWR.
    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.
    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.
    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.
    Pull apart or stripped joint means a condition when no bolts are 
mounted through a joint on the rail end, rending the joint bar 
ineffective due to excessive expansive or contractive forces.
    Pull-apart prone condition means a condition when the actual rail 
temperature is below the rail neutral temperature at or near a joint 
where longitudinal tensile forces may affect the fastenings at the 
joint.
    Rail anchors mean 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.
    Rail neutral temperature is the temperature at which the rail is 
neither in compression nor tension.
    Rail temperature means the temperature of the rail, measured with a 
rail thermometer.
    Remedial actions mean those actions which track owners are required 
to take as a result of requirements of this part to address a non-
compliant condition.
    Tight/kinky rail means CWR which exhibits minute alinement 
irregularities which indicate that the rail is in a considerable amount 
of compression.
    Tourist, scenic, historic, or excursion operations mean railroad 
operations that carry passengers with the conveyance of the passengers 
to a particular destination not being the principal purpose.
    Track lateral resistance means the resistance provided by the rail/
crosstie structure against lateral displacement.
    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.
    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 of the rail.
    Unscheduled detour operation means a short-term, unscheduled 
operation where a track owner has no more than 14 calendar days' notice 
that the operation is going to occur.

[74 FR 43002, Aug. 25, 2009, as amended at 74 FR 53889, Oct. 21, 2009; 
75 FR 4705, Jan. 29, 2010; 79 FR 4258, Jan. 24, 2014]



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

[[Page 129]]

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 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.

    (a) Track shall be fastened by a system of components that 
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.
    (b) If rail anchors are applied to concrete crossties, the 
combination of the crossties, fasteners, and rail anchors must provide 
effective longitudinal restraint.
    (c) Where fastener placement impedes insulated joints from 
performing as intended, the fastener may be modified or removed, 
provided that the crosstie supports the rail.

[76 FR 18086, Apr. 1, 2011]



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.)

[[Page 130]]

    (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 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--

[[Page 131]]



----------------------------------------------------------------------------------------------------------------
                                           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      line \2\, may not be more than--
                                            \2\, may not be less than--
----------------------------------------------------------------------------------------------------------------
Class 1 track...........................  46\1/8\.............  4 5\1/4\
Class 2 track...........................  46\1/4\.............  4 5\1/8\
Class 3 and 4 track.....................  4 6\3/8\............  45\1/8\
Class 5 track...........................  46\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
  
  [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

[[Page 132]]

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--

------------------------------------------------------------------------
       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. 213.234  Automated inspection of track constructed with concrete
crossties.

    (a) General. Except for track described in paragraph (c) of this 
section, the provisions in this section are applicable on and after July 
1, 2012. In addition to the track inspection required under Sec. 
213.233, for Class 3 main track constructed with concrete crossties over 
which regularly scheduled passenger service trains operate, and for 
Class 4 and 5 main track constructed with concrete crossties, automated 
inspection technology shall be used as indicated in paragraph (b) of 
this section, as a supplement to visual inspection, by Class I railroads 
(including Amtrak), Class II railroads, other intercity passenger 
railroads, and commuter railroads or small governmental jurisdictions 
that serve populations greater

[[Page 133]]

than 50,000. Automated inspection shall identify and report exceptions 
to conditions described in Sec. 213.109(d)(4).
    (b) Frequency of automated inspections. Automated inspections shall 
be conducted at the following frequencies:
    (1) If annual tonnage on Class 4 and 5 main track and Class 3 main 
track with regularly scheduled passenger service, exceeds 40 million 
gross tons (mgt) annually, at least twice each calendar year, with no 
less than 160 days between inspections.
    (2) If annual tonnage on Class 4 and 5 main track and Class 3 main 
track with regularly scheduled passenger service is equal to or less 
than 40 mgt annually, at least once each calendar year.
    (3) On Class 3, 4, and 5 main track with exclusively passenger 
service, either an automated inspection or walking inspection must be 
conducted once per calendar year.
    (4) Track not inspected in accordance with paragraph (b)(1) or 
(b)(2) of this section because of train operation interruption shall be 
reinspected within 45 days of the resumption of train operations by a 
walking or automated inspection. If this inspection is conducted as a 
walking inspection, the next inspection shall be an automated inspection 
as prescribed in this paragraph.
    (c) Nonapplication. Sections of tangent track 600 feet or less 
constructed of concrete crossties, including, but not limited to, 
isolated track segments, experimental or test track segments, highway-
rail crossings, and wayside detectors, are excluded from the 
requirements of this section.
    (d) Performance standard for automated inspection measurement 
system. The automated inspection measurement system must be capable of 
indicating and processing rail seat deterioration requirements that 
specify the following:
    (1) An accuracy, to within \1/8\ of an inch;
    (2) A distance-based sampling interval, which shall not exceed five 
feet; and
    (3) Calibration procedures and parameters assigned to the system, 
which assure that indicated and recorded values accurately represent 
rail seat deterioration.
    (e) Exception reports to be produced by system; duty to field-verify 
exceptions. The automated inspection measurement system shall produce an 
exception report containing a systematic listing of all exceptions to 
Sec. 213.109(d)(4), identified so that an appropriate person(s) 
designated as fully qualified under Sec. 213.7 can field-verify each 
exception.
    (1) Exception reports must be provided to or be made available to 
all persons designated as fully qualified under Sec. 213.7 and whose 
territories are subject to the requirements of Sec. 213.234.
    (2) Each exception must be located and field-verified no later than 
48 hours after the automated inspection.
    (3) All field-verified exceptions are subject to all the 
requirements of this part.
    (4) Exception reports must note areas identified between \3/8\ of an 
inch and \1/2\ of an inch as an ``alert.''
    (f) Recordkeeping requirements. The track owner shall maintain and 
make available to FRA a record of the inspection data and the exception 
record for the track inspected in accordance with this paragraph for a 
minimum of two years. The exception reports must include the following:
    (1) Date and location of limits of the inspection;
    (2) Type and location of each exception;
    (3) Results of field verification; and
    (4) Remedial action if required.
    (g) Procedures for integrity of data. The track owner shall 
institute the necessary procedures for maintaining the integrity of the 
data collected by the measurement system. At a minimum, the track owner 
shall do the following:
    (1) Maintain and make available to FRA documented calibration 
procedures of the measurement system that, at a minimum, specify an 
instrument verification procedure that ensures correlation between 
measurements made on the ground and those recorded by the 
instrumentation; and
    (2) Maintain each instrument used for determining compliance with 
this section such that it accurately provides an indication of the depth 
of rail

[[Page 134]]

seat deterioration in accordance with paragraph (d)(1) of this section.
    (h) Training. The track owner shall provide annual training in 
handling rail seat deterioration exceptions to all persons designated as 
fully qualified under Sec. 213.7 and whose territories are subject to 
the requirements of Sec. 213.234. At a minimum, the training shall 
address the following:
    (1) Interpretation and handling of the exception reports generated 
by the automated inspection measurement system;
    (2) Locating and verifying exceptions in the field and required 
remedial action; and
    (3) Recordkeeping requirements.

[76 FR 18086, Apr. 1, 2011, as amended at 76 FR 55825, Sept. 9, 2011]



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 inspections required by Sec. 213.233, each 
track owner shall conduct internal rail inspections sufficient to 
maintain service failure rates per rail inspection segment in accordance 
with this paragraph (a) for a 12-month period, as determined by the 
track owner and calculated within 45 days of the end of the period. 
These rates shall not include service failures that occur in rail that 
has been replaced through rail relay since the time of the service 
failure. Rail used to repair a service failure defect is not considered 
relayed rail. The service failure rates shall not exceed--
    (1) 0.1 service failure per year per mile of track for all Class 4 
and 5 track;
    (2) 0.09 service failure per year per mile of track for all Class 3, 
4, and 5 track that carries regularly-scheduled passenger trains or is a 
hazardous materials route; and
    (3) 0.08 service failure per year per mile of track for all Class 3, 
4, and 5 track that carries regularly-scheduled passenger trains and is 
a hazardous materials route.
    (b) Each rail inspection segment shall be designated by the track 
owner no later than March 25, 2014 for track that is Class 4 or 5 track, 
or Class 3 track that carries regularly-scheduled passenger trains or is 
a hazardous materials route and is used to determine the milepost limits 
for the individual rail inspection frequency.
    (1) To change the designation of a rail inspection segment or to 
establish a new segment pursuant to this section, a track owner must 
submit a detailed request to the FRA Associate Administrator for 
Railroad Safety/Chief Safety Officer (Associate Administrator). Within 
30 days of receipt of the submission, FRA will review the request. FRA 
will approve, disapprove, or conditionally approve the submitted 
request, and will provide written notice of its determination.
    (2) The track owner's existing designation shall remain in effect 
until the track owner's new designation is approved or conditionally 
approved by FRA.
    (3) The track owner shall, upon receipt of FRA's approval or 
conditional approval, establish the designation's effective date. The 
track owner shall advise in writing FRA and all affected railroad 
employees of the effective date.
    (c) Internal rail inspections on Class 4 and 5 track, or Class 3 
track with regularly-scheduled passenger trains or that is a hazardous 
materials route, shall not exceed a time interval of 370 days between 
inspections or a tonnage interval of 30 million gross tons (mgt) between 
inspections, whichever is shorter. Internal rail inspections on Class 3 
track that is without regularly-

[[Page 135]]

scheduled passenger trains and not a hazardous materials route must be 
inspected at least once each calendar year, with no more than 18 months 
between inspections, or at least once every 30 mgt, whichever interval 
is longer, but in no case may inspections be more than 5 years apart.
    (1) Any rail used as a replacement plug rail in track that is 
required to be tested in accordance with this section must have been 
tested for internal rail flaws.
    (2) The track owner must verify that any plug rail installed after 
March 25, 2014 has not accumulated more than a total of 30 mgt in 
previous and new locations since its last internal rail flaw test, 
before the next test on the rail required by this section is performed.
    (3) If plug rail not in compliance with this paragraph (c) is in use 
after March 25, 2014, trains over that rail must not exceed Class 2 
speeds until the rail is tested in accordance with this section.
    (d) If the service failure rate target identified in paragraph (a) 
of this section is not achieved, the track owner must inform FRA of this 
fact within 45 days of the end of the defined 12-month period in which 
the performance target is exceeded. In addition, the track owner may 
provide to FRA an explanation as to why the performance target was not 
achieved and provide a remedial action plan.
    (1) If the performance target rate is not met for two consecutive 
years, then for the area where the greatest number of service failures 
is occurring, either:
    (i) The inspection tonnage interval between tests must be reduced to 
10 mgt; or
    (ii) The class of track must be reduced to Class 2 until the target 
service failure rate is achieved.
    (2) In cases where a single service failure would cause the rate to 
exceed the applicable service failure rate as designated in paragraph 
(a) of this section, the service failure rate will be considered to 
comply with paragraph (a) of this section unless a second such failure 
occurs within a designated 12-month period. For the purposes of this 
paragraph (d)(2), a period begins no earlier than January 24, 2014.
    (e) Each defective rail shall be marked with a highly visible 
marking on both sides of the web and base except that, where a side or 
sides of the web and base are inaccessible because of permanent 
features, the highly visible marking may be placed on or next to the 
head of the rail.
    (f) Inspection equipment shall be capable of detecting defects 
between joint bars, in the area enclosed by joint bars.
    (g) If the person assigned to operate the rail defect detection 
equipment (i.e., the qualified operator) determines that a valid search 
for internal defects could not be made over a particular length of 
track, that particular length of track may not be considered as 
internally inspected under paragraphs (a) and (c) of this section.
    (h) If a valid search for internal defects could not be conducted, 
the track owner shall, before expiration of the time or tonnage limits 
in paragraph (a) or (c) of this section--
    (1) Conduct a valid search for internal defects;
    (2) Reduce operating speed to a maximum of 25 m.p.h. until such time 
as a valid search can be made; or
    (3) Replace the rail that had not been inspected.
    (i) The person assigned to operate the rail defect detection 
equipment must be a qualified operator as defined in Sec. 213.238 and 
have demonstrated proficiency in the rail flaw detection process for 
each type of equipment the operator is assigned.
    (j) As used in this section--
    (1) Hazardous materials route means track over which a minimum of 
10,000 car loads or intermodal portable tank car loads of hazardous 
materials as defined in 49 CFR 171.8 travel over a period of one 
calendar year; or track over which a minimum of 4,000 car loads or 
intermodal portable tank car loads of the hazardous materials specified 
in 49 CFR 172.820 travel, in a period of one calendar year.
    (2) Plug rail means a length of rail that has been removed from one 
track location and stored for future use as a replacement rail at 
another location.

[[Page 136]]

    (3) Service failure means a broken rail occurrence, the cause of 
which is determined to be a compound fissure, transverse fissure, detail 
fracture, or vertical split head.
    (4) Valid search means a continuous inspection for internal rail 
defects where the equipment performs as intended and equipment responses 
are interpreted by a qualified operator as defined in Sec. 213.238.

[79 FR 4258, Jan. 24, 2014]



Sec. 213.238  Qualified operator.

    (a) Each provider of rail flaw detection shall have a documented 
training program in place and shall identify the types of rail flaw 
detection equipment for which each equipment operator it employs has 
received training and is qualified. A provider of rail flaw detection 
may be the track owner. A track owner shall not utilize a provider of 
rail flaw detection that fails to comply with the requirements of this 
paragraph.
    (b) A qualified operator shall be trained and have written 
authorization from his or her employer to:
    (1) Conduct a valid search for internal rail defects utilizing the 
specific type(s) of equipment for which he or she is authorized and 
qualified to operate;
    (2) Determine that such equipment is performing as intended;
    (3) Interpret equipment responses and institute appropriate action 
in accordance with the employer's procedures and instructions; and
    (4) Determine that each valid search for an internal rail defect is 
continuous throughout the area inspected and has not been compromised 
due to environmental contamination, rail conditions, or equipment 
malfunction.
    (c) To be qualified, the operator must have received training in 
accordance with the documented training program and a minimum of 160 
hours of rail flaw detection experience under direct supervision of a 
qualified operator or rail flaw detection equipment manufacturer's 
representative, or some combination of both. The operator must 
demonstrate proficiency in the rail defect detection process, including 
the equipment to be utilized, prior to initial qualification and 
authorization by the employer for each type of equipment.
    (d) Each employer shall reevaluate the qualifications of, and 
administer any necessary recurrent training for, the operator as 
determined by and in accordance with the employer's documented program. 
The reevaluation process shall require that the employee successfully 
complete a recorded examination and demonstrate proficiency to the 
employer on the specific equipment type(s) to be operated. Proficiency 
may be determined by a periodic review of test data submitted by the 
operator.
    (e) Each employer of a qualified operator shall maintain written or 
electronic records of each qualification in effect. Each record shall 
include the name of the employee, the equipment to which the 
qualification applies, date of qualification, and date of the most 
recent reevaluation, if any.
    (f) Any employee who has demonstrated proficiency in the operation 
of rail flaw detection equipment prior to January 24, 2014, is deemed a 
qualified operator, regardless of the previous training program under 
which the employee was qualified. Such an operator shall be subject to 
paragraph (d) of this section.
    (g) Records concerning the qualification of operators, including 
copies of equipment-specific training programs and materials, recorded 
examinations, demonstrated proficiency records, and authorization 
records, shall be kept at a location designated by the employer and 
available for inspection and copying by FRA during regular business 
hours.

[79 FR 4259, Jan. 24, 2014]



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.



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.

[[Page 137]]

    (b) Each record of an inspection under Sec. Sec. 213.4, 213.119, 
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) Records of internal rail inspections required by Sec. 213.237 
shall specify the--
    (1) Date of inspection;
    (2) Track inspected, including beginning and end points;
    (3) Location and type of defects found under Sec. 213.113;
    (4) Size of defects found under Sec. 213.113, if not removed prior 
to the next train movement;
    (5) Initial remedial action taken and the date thereof; and
    (6) Location of any track not tested pursuant to Sec. 213.237(g).
    (d) The track owner shall retain a rail inspection record under 
paragraph (c) of this section for at least two years after the 
inspection and for one year after initial remedial action is taken.
    (e) The track owner shall maintain records sufficient to demonstrate 
the means by which it computes the service failure rate on all track 
segments subject to the requirements of Sec. 213.237(a) for the purpose 
of determining compliance with the applicable service failure rate 
target.
    (f) Each track owner required to keep inspection records under this 
section shall make those records available for inspection and copying by 
FRA upon request.
    (g) For purposes of complying with the requirements of this section, 
a track owner may maintain and transfer records through electronic 
transmission, storage, and retrieval provided that--
    (1) The electronic system is designed so that the integrity of each 
record is maintained through appropriate levels of security such as 
recognition of an electronic signature, or another means, which uniquely 
identifies 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 FRA 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.

[63 FR 34029, June 22, 1998, as amended at 70 FR 66298, Nov. 2, 2005; 79 
FR 4259, Jan. 24, 2014]



        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.

[[Page 138]]



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 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 that 
apply to the restoration and renewal of the track for which he or she is 
responsible;
    (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

[[Page 139]]

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 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 that 
apply to the inspection of the track for which he or she is responsible.
    (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

[[Page 140]]

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 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, as amended at 
78 FR 16103, Mar. 13, 2013]



Sec. 213.307  Classes of track: operating speed limits.

    (a) Except as provided in paragraph (b) of this section and as 
otherwise provided in this subpart G, the following maximum allowable 
speeds apply:

------------------------------------------------------------------------
     Over track that meets all of the           The maximum allowable
  requirements prescribed in this subpart    operating speed for trains
                   for--                               is \1\
------------------------------------------------------------------------
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.............................  220 m.p.h.\2\
------------------------------------------------------------------------
\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 Sec. 213.329
  and Sec. 213.345.
(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, if any,
  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 125 m.p.h. are authorized by this part
  only in conjunction with FRA regulatory approval addressing other
  safety issues presented by the railroad system. For operations on a
  dedicated right-of-way, FRA's regulatory approval may allow for the
  use of inspection and maintenance criteria and procedures in the
  alternative to those contained in this subpart, based upon a showing
  that at least an equivalent level of safety is provided.

    (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.

[63 FR 34029, June 22, 1998, as amended at 78 FR 16104, Mar. 13, 2013]



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.

[[Page 141]]



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. 213.313  Application of requirements to curved track.

    Unless otherwise provided in this part, requirements specified for 
curved track apply only to track having a curvature greater than 0.25 
degree.

[78 FR 16104, Mar. 13, 2013]



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 Sec. Sec. 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.



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 31
                         Class of track                            The gage must   But not more    feet must not
                                                                   be at least--      than--        be greater
                                                                                                      than--
----------------------------------------------------------------------------------------------------------------
Class 6 track...................................................   48  49\1/4\             eq>
Class 7 track...................................................   48  49\1/4\             eq>
Class 8 track...................................................   48  49\1/4\             eq>
Class 9 track...................................................  48\1/4\             eq>             eq>
----------------------------------------------------------------------------------------------------------------


[63 FR 34029, June 22, 1998, as amended at 78 FR 16104, Mar. 13, 2013]



Sec. 213.327  Track alinement.

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

------------------------------------------------------------------------
                      Chord length                            Spacing
------------------------------------------------------------------------
31......................................................   79
62......................................................  156
124.....................................................  310
------------------------------------------------------------------------

    (b) Except as provided in paragraph (c) of this section, a single 
alinement deviation from uniformity may not be more than the amount 
prescribed in the following table:

[[Page 142]]



----------------------------------------------------------------------------------------------------------------
                                                              The deviation     The deviation     The deviation
                                                             from uniformity   from uniformity   from uniformity
                                                            of the mid-chord  of the mid-chord  of the mid-chord
           Class of track            Tangent/ Curved track  offset for a 31-  offset for a 62-  offset for a 124-
                                                             foot chord may    foot chord may    foot chord may
                                                               not be more       not be more       not be more
                                                             than--(inches)    than--(inches)    than--(inches)
----------------------------------------------------------------------------------------------------------------
Class 6 track......................  Tangent..............             \1/2\             \3/4\            1\1/2\
                                     Curved...............             \1/2\             \5/8\            1\1/2\
Class 7 track......................  Tangent..............             \1/2\             \3/4\            1\1/4\
                                     Curved...............             \1/2\             \1/2\            1\1/4\
Class 8 track......................  Tangent..............             \1/2\             \3/4\                 1
                                     Curved...............             \1/2\             \1/2\             \3/4\
Class 9 track......................  Tangent..............             \1/2\             \1/2\             \3/4\
                                     Curved...............             \1/2\             \1/2\             \3/4\
----------------------------------------------------------------------------------------------------------------

    (c) For operations at a qualified cant deficiency, Eu, of 
more than 5 inches, a single alinement deviation from uniformity of the 
outside rail of the curve may not be more than the amount prescribed in 
the following table:

----------------------------------------------------------------------------------------------------------------
                                                              The deviation     The deviation     The deviation
                                                             from uniformity   from uniformity   from uniformity
                                                            of the mid-chord  of the mid-chord  of the mid-chord
           Class of track                  Track type       offset for a 31-  offset for a 62-  offset for a 124-
                                                             foot chord may    foot chord may    foot chord may
                                                               not be more       not be more       not be more
                                                             than--(inches)    than--(inches)    than--(inches)
----------------------------------------------------------------------------------------------------------------
Class 6 track......................  Curved...............             \1/2\             \5/8\            1\1/4\
Class 7 track......................  Curved...............             \1/2\             \1/2\                 1
Class 8 track......................  Curved...............             \1/2\             \1/2\             \3/4\
Class 9 track......................  Curved...............             \1/2\             \1/2\             \3/4\
----------------------------------------------------------------------------------------------------------------

    (d) 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 track owner shall maintain the alinement of the 
track within the limits prescribed for each deviation:

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

    (e) For purposes of complying with this section, the ends of the 
chord shall be at points on the gage side of the rail, five-eighths of 
an inch below the top of the railhead. On tangent track, 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 the track. On curved track, 
the line rail is the outside rail of the curve.

[78 FR 16104, Mar. 13, 2013]



Sec. 213.329  Curves; elevation and speed limitations.

    (a) The maximum elevation of the outside rail of a curve may not be 
more than 7 inches. The outside rail of a curve may not be lower than 
the inside rail by design, except when engineered to address specific 
track or operating conditions; the limits in Sec. 213.331 apply in all 
cases.
    (b) The maximum allowable posted timetable operating speed for each

[[Page 143]]

curve is determined by the following formula:
[GRAPHIC] [TIFF OMITTED] TR13MR13.012

Where--

Vmax = Maximum allowable posted timetable operating speed 
          (m.p.h.).
Ea = Actual elevation of the outside rail (inches).\6\
---------------------------------------------------------------------------

    \6\ Actual elevation, Ea, for each 155-foot track segment 
in the body of the curve is determined by averaging the elevation for 11 
points through the segment at 15.5-foot spacing. If the curve length is 
less than 155 feet, the points are averaged through the full length of 
the body of the curve.
---------------------------------------------------------------------------

Eu = Qualified cant deficiency \7\ (inches) of the vehicle 
          type.
---------------------------------------------------------------------------

    \7\ If the actual elevation, Ea, and degree of curvature, 
D, change as a result of track degradation, then the actual cant 
deficiency for the maximum allowable posted timetable operating speed, 
Vmax, may be greater than the qualified cant deficiency, 
Eu. This actual cant deficiency for each curve may not exceed 
the qualified cant deficiency, Eu, plus one-half inch.
---------------------------------------------------------------------------

D = Degree of curvature (degrees).\8\
---------------------------------------------------------------------------

    \8\ Degree of curvature, D, is determined by averaging the degree of 
curvature over the same track segment as the elevation.

    (c) All vehicles are considered qualified for operating on track 
with a cant deficiency, Eu, not exceeding 3 inches. Table 1 
of appendix A to this part is a table of speeds computed in accordance 
with the formula in paragraph (b) of this section, when Eu 
equals 3 inches, for various elevations and degrees of curvature.
    (d) Each vehicle type must be approved by FRA to operate on track 
with a qualified cant deficiency, Eu, greater than 3 inches. 
Each vehicle type must demonstrate, in a ready-for-service load 
condition, compliance with the requirements of either paragraph (d)(1) 
or (2) of this section.
    (1) When positioned on a track with a uniform superelevation equal 
to the proposed cant deficiency:
    (i) No wheel of the vehicle type unloads to a value less than 60 
percent of its static value on perfectly level track; and
    (ii) For passenger cars, the roll angle between the floor of the 
equipment and the horizontal does not exceed 8.6 degrees; or
    (2) When operating through a constant radius curve at a constant 
speed corresponding to the proposed cant deficiency, and a test plan is 
submitted and approved by FRA in accordance with Sec. 213.345(e) and 
(f):
    (i) The steady-state (average) load on any wheel, throughout the 
body of the curve, is not less than 60 percent of its static value on 
perfectly level track; and
    (ii) For passenger cars, the steady-state (average) lateral 
acceleration measured on the floor of the carbody does not exceed 0.15g.
    (e) The track owner or railroad shall transmit the results of the 
testing specified in paragraph (d) of this section to FRA's Associate 
Administrator for Railroad Safety/Chief Safety Officer (FRA) requesting 
approval for the vehicle type to operate at the desired curving speeds 
allowed under the formula in paragraph (b) of this section. The request 
shall be made in writing and contain, at a minimum, the following 
information--
    (1) A description of the vehicle type involved, including schematic 
diagrams of the suspension system(s) and the estimated location of the 
center of gravity above top of rail;
    (2) The test procedure,\9\ including the load condition under which 
the testing was performed, and description of the

[[Page 144]]

instrumentation used to qualify the vehicle type, as well as the maximum 
values for wheel unloading and roll angles or accelerations that were 
observed during testing; and
---------------------------------------------------------------------------

    \9\ The test procedure may be conducted whereby all the wheels on 
one side (right or left) of the vehicle are raised to the proposed cant 
deficiency, 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) For vehicle types not subject to part 238 or part 229 of this 
chapter, procedures or standards in effect that relate to the 
maintenance of all safety-critical components of the suspension 
system(s) for the particular vehicle type. Safety-critical components of 
the suspension system are those that impact or have significant 
influence on the roll of the carbody and the distribution of weight on 
the wheels.
    (f) In approving the request made pursuant to paragraph (e) of this 
section, FRA may impose conditions necessary for safely operating at the 
higher curving speeds. Upon FRA approval of the request, the track owner 
or railroad shall notify FRA in writing no less than 30 calendar days 
prior to the proposed implementation of the approved higher curving 
speeds allowed under the formula in paragraph (b) of this section. The 
notification shall contain, at a minimum, identification of the track 
segment(s) on which the higher curving speeds are to be implemented.
    (g) The documents required by this section must be provided to FRA 
by:
    (1) The track owner; or
    (2) A railroad that provides service with the same vehicle type over 
trackage of one or more track owner(s), with the written consent of each 
affected track owner.
    (h) (1) Vehicle types permitted by FRA to operate at cant 
deficiencies, Eu, greater than 3 inches but not more than 5 
inches shall be considered qualified under this section to operate at 
those permitted cant deficiencies for any Class 6 track segment. The 
track owner or railroad shall notify FRA in writing no less than 30 
calendar days prior to the proposed implementation of such curving 
speeds in accordance with paragraph (f) of this section.
    (2) Vehicle types permitted by FRA to operate at cant deficiencies, 
Eu, greater than 5 inches on Class 6 track, or greater than 3 
inches on Class 7 through 9 track, shall be considered qualified under 
this section to operate at those permitted cant deficiencies only for 
the previously operated or identified track segments(s). Operation of 
these vehicle types at such cant deficiencies and track class on any 
other track segment is permitted only in accordance with the 
qualification requirements in this subpart.
    (i) As used in this section and in Sec. Sec. 213.333 and 213.345--
    (1) Vehicle means a locomotive, as defined in Sec. 229.5 of this 
chapter; a freight car, as defined in Sec. 215.5 of this chapter; a 
passenger car, as defined in Sec. 238.5 of this chapter; and any rail 
rolling equipment used in a train with either a freight car or a 
passenger car.
    (2) Vehicle type means like vehicles with variations in their 
physical properties, such as suspension, mass, interior arrangements, 
and dimensions that do not result in significant changes to their 
dynamic characteristics.

[78 FR 16105, Mar. 13, 2013]



Sec. 213.331  Track surface.

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

------------------------------------------------------------------------
                                                Class of track
       Track surface (inches)        -----------------------------------
                                         6        7        8        9
------------------------------------------------------------------------
The deviation from uniform \1\              1        1    \3/4\    \1/2\
 profile on either rail at the mid-
 ordinate of a 31-foot chord may not
 be more than.......................
The deviation from uniform profile          1        1        1    \3/4\
 on either rail at the mid-ordinate
 of a 62-foot chord may not be more
 than...............................
Except as provided in paragraph (b)    1\3/4\   1\1/2\   1\1/4\        1
 of this section, the deviation from
 uniform profile on either rail at
 the mid-ordinate of a 124-foot
 chord may not be more than.........
The deviation from zero crosslevel          1        1        1        1
 at any point on tangent track may
 not be more than \2\...............
Reverse elevation on curves may not     \1/2\    \1/2\    \1/2\    \1/2\
 be more than.......................
The difference in crosslevel between   1\1/2\   1\1/2\   1\1/4\        1
 any two points less than 62 feet
 apart may not be more than \3\.....

[[Page 145]]

 
On curved track, the difference in     1\1/4\   1\1/8\        1    \3/4\
 crosslevel between any two points
 less than 10 feet apart (short
 warp) may not be more than.........
------------------------------------------------------------------------
\1\ Uniformity for profile is established by placing the midpoint of the
  specified chord at the point of maximum measurement.
\2\ 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.
\3\ However, to control harmonics on jointed track with staggered
  joints, the crosslevel differences shall not exceed 1 inch in all of
  six consecutive pairs of joints, as created by seven low joints. Track
  with joints staggered less than 10 feet apart shall not be considered
  as having staggered joints. Joints within the seven low joints outside
  of the regular joint spacing shall not be considered as joints for
  purposes of this footnote.

    (b) For operations at a qualified cant deficiency, Eu, of 
more than 5 inches, a single deviation in track surface shall be within 
the limits prescribed in the following table:

------------------------------------------------------------------------
                                                Class of track
       Track surface (inches)        -----------------------------------
                                         6        7        8        9
------------------------------------------------------------------------
The difference in crosslevel between   1\1/4\        1     1\1\    \3/4\
 any two points less than 10 feet
 apart (short warp) may not be more
 than...............................
The deviation from uniform profile     1\1/2\   1\1/4\   1\1/4\        1
 on either rail at the mid-ordinate
 of a 124-foot chord may not be more
 than...............................
------------------------------------------------------------------------
\1\ For curves with a qualified cant deficiency, Eu, of more than 7
  inches, the difference in crosslevel between any two points less than
  10 feet apart (short warp) may not be more than three-quarters of an
  inch.

    (c) 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 
track owner shall maintain the surface of the track within the limits 
prescribed for each deviation:

------------------------------------------------------------------------
                                                Class of track
       Track surface (inches)        -----------------------------------
                                         6        7        8        9
------------------------------------------------------------------------
The deviation from uniform profile      \3/4\    \3/4\    \1/2\    \3/8\
 on either rail at the mid-ordinate
 of a 31-foot chord may not be more
 than...............................
The deviation from uniform profile      \3/4\    \3/4\    \3/4\    \1/2\
 on either rail at the mid-ordinate
 of a 62-foot chord may not be more
 than...............................
The deviation from uniform profile     1\1/4\        1    \7/8\    \5/8\
 on either rail at the mid-ordinate
 of a 124-foot chord may not be more
 than...............................
------------------------------------------------------------------------


[78 FR 16106, Mar. 13, 2013]



Sec. 213.332  Combined track alinement and surface deviations.

    (a) This section applies to any curved track where operations are 
conducted at a qualified cant deficiency, Eu, greater than 5 
inches, and to all Class 9 track, either curved or tangent.
    (b) For the conditions defined in paragraph (a) of this section, the 
combination of alinement and surface deviations for the same chord 
length on the outside rail in a curve and on any of the two rails of a 
tangent section, as measured by a TGMS, shall comply with the following 
formula:
[GRAPHIC] [TIFF OMITTED] TR13MR13.013


[[Page 146]]


Where--

Am = measured alinement deviation from uniformity (outward is 
          positive, inward is negative).
AL = allowable alinement limit as per Sec. 213.327(c) 
          (always positive) for the class of track.
Sm = measured profile deviation from uniformity (down is 
          positive, up is negative).
SL = allowable profile limit as per Sec. 213.331(a) and 
          Sec. 213.331(b) (always positive) for the class of track.
          [GRAPHIC] [TIFF OMITTED] TR13MR13.014
          

[78 FR 16107, Mar. 13, 2013]



Sec. 213.333  Automated vehicle-based inspection systems.

    (a) A qualifying Track Geometry Measurement System (TGMS) shall be 
operated at the following frequency:
    (1) For operations at a qualified cant deficiency, Eu, of 
more than 5 inches on track Classes 1 through 5, at least twice per 
calendar year with not less than 120 days between inspections.
    (2) For track Class 6, at least once per calendar year with not less 
than 170 days between inspections. For operations at a qualified cant 
deficiency, Eu, of more than 5 inches on track Class 6, at 
least twice per calendar year with not less than 120 days between 
inspections.
    (3) For track Class 7, at least twice within any 120-day period with 
not less than 25 days between inspections.
    (4) For track Classes 8 and 9, at least twice within any 60-day 
period with not less than 12 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 kips per wheel, unless otherwise approved by FRA;
    (2) Track geometry measurements shall be taken and recorded on a 
distance-based sampling interval preferably at 1 foot not exceeding 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 to determine compliance with--
    (1) For operations at a qualified cant deficiency, Eu, of 
more than 5 inches on track Classes 1 through 5: Sec. 213.53, Track 
gage; Sec. 213.55(b), Track alinement; Sec. 213.57, Curves; elevation 
and speed limitations; Sec. 213.63, Track surface; and Sec. 213.65, 
Combined track alinement and surface deviations.
    (2) For track Classes 6 through 9: Sec. 213.323, Track gage; Sec. 
213.327, Track alinement; Sec. 213.329, Curves; elevation and speed 
limitations; Sec. 213.331, Track surface; and for operations at a cant 
deficiency of more than 5 inches Sec. 213.332, Combined track alinement 
and surface deviations.
    (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

[[Page 147]]

after the inspection, field verify and institute remedial action for all 
exceptions to the class of track.
    (g) The track owner or railroad shall maintain for a period of one 
year following an inspection performed by a qualifying TGMS, a copy of 
the plot and the exception report 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 per calendar 
year with at least 170 days between inspections. The lateral capacity of 
the track structure shall not permit a Gage Widening Projection (GWP) 
greater than 0.5 inch.
    (i) A GRMS shall meet or exceed minimum design requirements 
specifying 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 kips per 
rail; and
    (iii) Under an applied lateral load that provides a lateral/vertical 
load ratio of between 0.5 and 1.25,\10\ and a load severity greater than 
3 kips but less than 8 kips per rail. Load severity is defined by the 
formula:

    \10\ GRMS equipment using load combinations developing L/V ratios 
that 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 (kips).
L = Actual lateral load applied (kips).
c = Coefficient of friction between rail/tie, which is assigned a 
          nominal value of 0.4.
V = Actual vertical load applied (kips), or static vertical wheel load 
          if vertical load is not measured.

    (2) The measured gage and load values shall be converted to a GWP as 
follows:
[GRAPHIC] [TIFF OMITTED] TR13MR13.015


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 a point no more 
          than 12 inches from the lateral load application.
L = Actual lateral load applied (kips).
V = Actual vertical load applied (kips), or static vertical wheel load 
          if vertical load is not measured.
GWP = Gage Widening Projection, which means the measured gage widening, 
          which is the difference between loaded and unloaded gage, at 
          the applied loads, projected to reference loads of 16 kips of 
          lateral force and 33 kips of vertical force.

    (j) As further specified for the combination of track class, cant 
deficiencies, and vehicles subject to paragraphs (j)(1) through (3) of 
this section, a vehicle having dynamic response characteristics that are 
representative of other vehicles assigned to the service shall be 
operated over the route at the revenue speed profile. The vehicle shall 
either be instrumented or equipped with a portable device that monitors 
onboard instrumentation on trains. Track personnel shall be notified 
when onboard accelerometers indicate a possible track-related problem. 
Testing shall be conducted at the frequencies specified in paragraphs 
(j)(1) through (3) of this section, unless otherwise determined by FRA 
after reviewing the test data required by this subpart.
    (1) For operations at a qualified cant deficiency, Eu, of 
more than 5 inches on

[[Page 148]]

track Classes 1 through 6, carbody acceleration shall be monitored at 
least once each calendar quarter with not less than 25 days between 
inspections on at least one passenger car of each type that is assigned 
to the service; and
    (2) For operations at track Class 7 speeds, carbody and truck 
accelerations shall be monitored at least twice within any 60-day period 
with not less than 12 days between inspections on at least one passenger 
car of each type that is assigned to the service; and
    (3) For operations at track Class 8 or 9 speeds, carbody 
acceleration shall be monitored at least four times within any 7-day 
period with not more than 3 days between inspections on at least one 
non-passenger and one passenger carrying vehicle of each type that is 
assigned to the service, as appropriate. Truck acceleration shall be 
monitored at least twice within any 60-day period with not less than 12 
days between inspections on at least one passenger carrying vehicle of 
each type that is assigned to the service, as appropriate.
    (k)(1) The instrumented vehicle or the portable device, as required 
in paragraph (j) of this section, shall monitor lateral and vertical 
accelerations of the carbody. The accelerometers shall be attached to 
the carbody on or under the floor of the vehicle, as near the center of 
a truck as practicable.
    (2) In addition, a device for measuring lateral accelerations shall 
be mounted on a truck frame at a longitudinal location as close as 
practicable to an axle's centerline (either outside axle for trucks 
containing more than 2 axles), or, if approved by FRA, at an alternate 
location. After monitoring this data for 2 years, or 1 million miles, 
whichever occurs first, the track owner or railroad may petition FRA for 
exemption from this requirement.
    (3) If any of the carbody lateral, carbody vertical, or truck frame 
lateral acceleration safety limits in this section's table of vehicle/
track interaction safety limits is exceeded, corrective action shall be 
taken as necessary. Track personnel shall be notified when the 
accelerometers indicate a possible track-related problem.
    (l) For track Classes 8 and 9, the track owner or railroad shall 
submit a report to FRA, once each calendar year, which provides an 
analysis of the monitoring data collected in accordance with paragraphs 
(j) and (k) of this section. Based on a review of the report, FRA may 
require that an instrumented vehicle having dynamic response 
characteristics that are representative of other vehicles assigned to 
the service be operated over the track at the revenue speed profile. The 
instrumented vehicle shall be equipped to measure wheel/rail forces. If 
any of the wheel/rail force limits in this section's table of vehicle/
track interaction safety limits is exceeded, appropriate speed 
restrictions shall be applied until corrective action is taken.
    (m) The track owner or railroad shall maintain a copy of the most 
recent exception records for the inspections required under paragraphs 
(j), (k), and (l) of this section, as appropriate.

[[Page 149]]

[GRAPHIC] [TIFF OMITTED] TR13MR13.016


[[Page 150]]


[GRAPHIC] [TIFF OMITTED] TR13MR13.017


[[Page 151]]


[GRAPHIC] [TIFF OMITTED] TR13MR13.018


[63 FR 34029, June 22, 1998; 63 FR 46102, Aug. 28, 1998, as amended at 
78 FR 16107, Mar. 13, 2013]



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.



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;

[[Page 152]]

    (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
    (2) The remedial action prescribed in the table is initiated--

[[Page 153]]

[GRAPHIC] [TIFF OMITTED] TN28SE98.059

    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.

[[Page 154]]

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.
    (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

[[Page 155]]

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 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

[[Page 156]]

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 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

[[Page 157]]

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 rail anchors/rail fasteners and the ballast section to the rail/
crosstie structure against longitudinal displacement.
    (j) Track owners shall revise their CWR plans to include provisions 
for the inspection of joint bars in accordance with Sec. Sec. 
213.119(g) and (i)(3).

[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998, as amended at 
70 FR 66298, Nov. 2, 2005]

[[Page 158]]



Sec. 213.345  Vehicle/track system qualification.

    (a) General. All vehicle types intended to operate at track Class 6 
speeds or above, or at any curving speed producing more than 5 inches of 
cant deficiency, shall be qualified for operation for their intended 
track classes in accordance with this subpart. A qualification program 
shall be used to demonstrate that the vehicle/track system will not 
exceed the wheel/rail force safety limits and the carbody and truck 
acceleration criteria specified in Sec. 213.333--
    (1) At any speed up to and including 5 m.p.h. above the proposed 
maximum operating speed; and
    (2) On track meeting the requirements for the class of track 
associated with the proposed maximum operating speed. For purposes of 
qualification testing, speeds may exceed the maximum allowable operating 
speed for the class of track in accordance with the test plan approved 
by FRA.
    (b) Existing vehicle type qualification. Vehicle types previously 
qualified or permitted to operate at track Class 6 speeds or above or at 
any curving speeds producing more than 5 inches of cant deficiency prior 
to March 13, 2013, shall be considered as being successfully qualified 
under the requirements of this section for operation at the previously 
operated speeds and cant deficiencies over the previously operated track 
segment(s).
    (c) New vehicle type qualification. Vehicle types not previously 
qualified under this subpart shall be qualified in accordance with the 
requirements of this paragraph (c).
    (1) Simulations or measurement of wheel/rail forces. For vehicle 
types intended to operate at track Class 6 speeds, simulations or 
measurement of wheel/rail forces during qualification testing shall 
demonstrate that the vehicle type will not exceed the wheel/rail force 
safety limits specified in Sec. 213.333. Simulations, if conducted, 
shall be in accordance with paragraph (c)(2) of this section. 
Measurement of wheel/rail forces, if conducted, shall be performed over 
a representative segment of the full route on which the vehicle type is 
intended to operate.
    (2) Simulations. For vehicle types intended to operate at track 
Class 7 speeds or above, or at any curving speed producing more than 6 
inches of cant deficiency, analysis of vehicle/track performance 
(computer simulations) shall be conducted using an industry recognized 
methodology on:
    (i) An analytically defined track segment representative of 
minimally compliant track conditions (MCAT--Minimally Compliant 
Analytical Track) for the respective track class(es) as specified in 
appendix D to this part; and
    (ii) A track segment representative of the full route on which the 
vehicle type is intended to operate. Both simulations and physical 
examinations of the route's track geometry shall be used to determine a 
track segment representative of the route.
    (3) Carbody acceleration. For vehicle types intended to operate at 
track Class 6 speeds or above, or at any curving speed producing more 
than 5 inches of cant deficiency, qualification testing conducted over a 
representative segment of the route shall demonstrate that the vehicle 
type will not exceed the carbody lateral and vertical acceleration 
safety limits specified in Sec. 213.333.
    (4) Truck lateral acceleration. For vehicle types intended to 
operate at track Class 6 speeds or above, qualification testing 
conducted over a representative segment of the route shall demonstrate 
that the vehicle type will not exceed the truck lateral acceleration 
safety limit specified in Sec. 213.333.
    (5) Measurement of wheel/rail forces. For vehicle types intended to 
operate at track Class 7 speeds or above, or at any curving speed 
producing more than 6 inches of cant deficiency, qualification testing 
conducted over a representative segment of the route shall demonstrate 
that the vehicle type will not exceed the wheel/rail force safety limits 
specified in Sec. 213.333.
    (d) Previously qualified vehicle types. Vehicle types previously 
qualified under this subpart for a track class and cant deficiency on 
one route may be qualified for operation at the same class and cant 
deficiency on another route through analysis or testing, or both, to 
demonstrate compliance with

[[Page 159]]

paragraph (a) of this section in accordance with the following:
    (1) Simulations or measurement of wheel/rail forces. For vehicle 
types intended to operate at any curving speed producing more than 6 
inches of cant deficiency, or at curving speeds that both correspond to 
track Class 7 speeds or above and produce more than 5 inches of cant 
deficiency, simulations or measurement of wheel/rail forces during 
qualification testing shall demonstrate that the vehicle type will not 
exceed the wheel/rail force safety limits specified in Sec. 213.333. 
Simulations, if conducted, shall be in accordance with paragraph (c)(2) 
of this section. Measurement of wheel/rail forces, if conducted, shall 
be performed over a representative segment of the new route.
    (2) Carbody acceleration. For vehicle types intended to operate at 
any curving speed producing more than 5 inches of cant deficiency, or at 
track Class 7 speeds and above, qualification testing conducted over a 
representative segment of the new route shall demonstrate that the 
vehicle type will not exceed the carbody lateral and vertical 
acceleration safety limits specified in Sec. 213.333.
    (3) Truck lateral acceleration. For vehicle types intended to 
operate at track Class 7 speeds or above, measurement of truck lateral 
acceleration during qualification testing shall demonstrate that the 
vehicle type will not exceed the truck lateral acceleration safety 
limits specified in Sec. 213.333. Measurement of truck lateral 
acceleration, if conducted, shall be performed over a representative 
segment of the new route.
    (e) Qualification testing plan. To obtain the data required to 
support the qualification program outlined in paragraphs (c) and (d) of 
this section, the track owner or railroad shall submit a qualification 
testing plan to FRA's Associate Administrator for Railroad Safety/Chief 
Safety Officer (FRA) at least 60 days prior to testing, requesting 
approval to conduct the testing at the desired speeds and cant 
deficiencies. This test plan shall provide for a test program sufficient 
to evaluate the operating limits of the track and vehicle type and shall 
include:
    (1) Identification of the representative segment of the route for 
qualification testing;
    (2) Consideration of the operating environment during qualification 
testing, including operating practices and conditions, the signal 
system, highway-rail grade crossings, and trains on adjacent tracks;
    (3) The maximum angle found on the gage face of the designed (newly-
profiled) wheel flange referenced with respect to the axis of the 
wheelset that will be used for the determination of the Single Wheel L/V 
Ratio safety limit specified in Sec. 213.333;
    (4) A target maximum testing speed in accordance with paragraph (a) 
of this section and the maximum testing cant deficiency;
    (5) An analysis and description of the signal system and operating 
practices to govern operations in track Classes 7 through 9, which shall 
include a statement of sufficiency in these areas for the class of 
operation; and
    (6) The results of vehicle/track performance simulations that are 
required by this section.
    (f) Qualification testing. Upon FRA approval of the qualification 
testing plan, qualification testing shall be conducted in two sequential 
stages as required in this subpart.
    (1) Stage-one testing shall include demonstration of acceptable 
vehicle dynamic response of the subject vehicle as speeds are 
incrementally increased--
    (i) On a segment of tangent track, from acceptable track Class 5 
speeds to the target maximum test speed (when the target speed 
corresponds to track Class 6 and above operations); and
    (ii) On a segment of curved track, from the speeds corresponding to 
3 inches of cant deficiency to the maximum testing cant deficiency.
    (2) When stage-one testing has successfully demonstrated a maximum 
safe operating speed and cant deficiency, stage-two testing shall 
commence with the subject equipment over a representative segment of the 
route as identified in paragraph (e)(1) of this section.
    (i) A test run shall be conducted over the route segment at the 
speed the

[[Page 160]]

railroad will request FRA to approve for such service.
    (ii) An additional test run shall be conducted at 5 m.p.h. above 
this speed.
    (3) When conducting stage-one and stage-two testing, if any of the 
monitored safety limits is exceeded on any segment of track intended for 
operation at track Class 6 speeds or greater, or on any segment of track 
intended for operation at more than 5 inches of cant deficiency, testing 
may continue provided that the track location(s) where any of the limits 
is exceeded be identified and test speeds be limited at the track 
location(s) until corrective action is taken. Corrective action may 
include making an adjustment in the track, in the vehicle, or both of 
these system components. Measurements taken on track segments intended 
for operations below track Class 6 speeds and at 5 inches of cant 
deficiency, or less, are not required to be reported.
    (4) Prior to the start of the qualification testing program, a 
qualifying TGMS specified in Sec. 213.333 shall be operated over the 
intended route within 30 calendar days prior to the start of the 
qualification testing program.
    (g) Qualification testing results. The track owner or railroad shall 
submit a report to FRA detailing all the results of the qualification 
program. When simulations are required as part of vehicle qualification, 
this report shall include a comparison of simulation predictions to the 
actual wheel/rail force or acceleration data, or both, recorded during 
full-scale testing. The report shall be submitted at least 60 days prior 
to the intended operation of the equipment in revenue service over the 
route.
    (h) Based on the test results and all other required submissions, 
FRA will approve a maximum train speed and value of cant deficiency for 
revenue service, normally within 45 days of receipt of all the required 
information. FRA may impose conditions necessary for safely operating at 
the maximum approved train speed and cant deficiency.
    (i) The documents required by this section must be provided to FRA 
by:
    (1) The track owner; or
    (2) A railroad that provides service with the same vehicle type over 
trackage of one or more track owner(s), with the written consent of each 
affected track owner.

[78 FR 16111, Mar. 13, 2013]



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.
    (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 tread of  On the gage side
                                        the rail ends   of the rail 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

[[Page 161]]

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.
    (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               Guard face gage
                                                   -------------------------------------------------------------
                                                    The distance between the gage
                                                     line of a frog to the guard
                                                    line \1\ of its guard rail or    The distance between guard
                  Class of track                       guarding face, measured     lines,\1\ measured across the
                                                      across the track at right     track at right angles to the
                                                     angles to the gage line,\2\   gage line,\2\ may not be more
                                                        may not be less than--                 than--
 
----------------------------------------------------------------------------------------------------------------
Class 6, 7, 8 and 9 track.........................            46\1/2\                  45
----------------------------------------------------------------------------------------------------------------
\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 five-eighths of an 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.


[78 FR 16112, Mar. 13, 2013]



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

[[Page 162]]

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. 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

[[Page 163]]

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 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

[[Page 164]]

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.



      Sec. Appendix A to Part 213--Maximum Allowable Curving Speeds

    This appendix contains four tables identifying maximum allowing 
curving speeds based on 3, 4, 5, and 6 inches of unbalance (cant 
deficiency), respectively.

[[Page 165]]



                                                             Table 1--Three Inches Unbalance
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                               Elevation of outer rail (inches)
                                    --------------------------------------------------------------------------------------------------------------------
                                        0      \1/2\      1      1\1/2\     2      2\1/2\     3      3\1/2\     4      4\1/2\     5      5\1/2\     6
--------------------------------------------------------------------------------------------------------------------------------------------------------
Degree of curvature                                                       Maximum allowable operating speed (m.p.h.)
--------------------------------------------------------------------------------------------------------------------------------------------------------
030"...............................       93      100      107      113      120      125      131      136      141      146      151      156      160
0 40"..............................       80       87       93       98      104      109      113      118      122      127      131      135      139
0 50"..............................       72       77       83       88       93       97      101      106      110      113      117      121      124
1 00"..............................       65       71       76       80       85       89       93       96      100      104      107      110      113
1 15"..............................       59       63       68       72       76       79       83       86       89       93       96       99      101
1 30"..............................       53       58       62       65       69       72       76       79       82       85       87       90       93
1 45"..............................       49       53       57       61       64       67       70       73       76       78       81       83       86
2 00"..............................       46       50       53       57       60       63       65       68       71       73       76       78       80
2 15"..............................       44       47       50       53       56       59       62       64       67       69       71       73       76
2 30"..............................       41       45       48       51       53       56       59       61       63       65       68       70       72
2 45"..............................       39       43       46       48       51       53       56       58       60       62       64       66       68
3 00"..............................       38       41       44       46       49       51       53       56       58       60       62       64       65
3 15"..............................       36       39       42       44       47       49       51       53       55       57       59       61       63
3 30"..............................       35       38       40       43       45       47       49       52       53       55       57       59       61
3 45"..............................       34       37       39       41       44       46       48       50       52       53       55       57       59
4 00"..............................       33       35       38       40       42       44       46       48       50       52       53       55       57
4 30"..............................       31       33       36       38       40       42       44       45       47       49       50       52       53
5 00"..............................       29       32       34       36       38       40       41       43       45       46       48       49       51
5 30"..............................       28       30       32       34       36       38       39       41       43       44       46       47       48
6 00"..............................       27       29       31       33       35       36       38       39       41       42       44       45       46
6 30"..............................       26       28       30       31       33       35       36       38       39       41       42       43       44
7 00"..............................       25       27       29       30       32       34       35       36       38       39       40       42       43
8 00"..............................       23       25       27       28       30       31       33       34       35       37       38       39       40
9 00"..............................       22       24       25       27       28       30       31       32       33       35       36       37       38
10 00".............................       21       22       24       25       27       28       29       30       32       33       34       35       36
11 00".............................       20       21       23       24       25       27       28       29       30       31       32       33       34
12 00".............................       19       20       22       23       24       26       27       28       29       30       31       32       33
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                             Table 2--Four Inches Unbalance
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                               Elevation of outer rail (inches)
                                    --------------------------------------------------------------------------------------------------------------------
                                        0      \1/2\      1      1\1/2\     2      2\1/2\     3      3\1/2\     4      4\1/2\     5      5\1/2\     6
--------------------------------------------------------------------------------------------------------------------------------------------------------
Degree of curvature                                                       Maximum allowable operating speed (m.p.h.)
--------------------------------------------------------------------------------------------------------------------------------------------------------
0 30"..............................      107      113      120      125      131      136      141      146      151      156      160      165      169
0 40"..............................       93       98      104      109      113      118      122      127      131      135      139      143      146
0 50"..............................       83       88       93       97      101      106      110      113      117      121      124      128      131
1 00"..............................       76       80       85       89       93       96      100      104      107      110      113      116      120
1 15"..............................       68       72       76       79       83       86       89       93       96       99      101      104      107
1 30"..............................       62       65       69       72       76       79       82       85       87       90       93       95       98

[[Page 166]]

 
1 45"..............................       57       61       64       67       70       73       76       78       81       83       86       88       90
2 00"..............................       53       57       60       63       65       68       71       73       76       78       80       82       85
2 15"..............................       50       53       56       59       62       64       67       69       71       73       76       78       80
2 30"..............................       48       51       53       56       59       61       63       65       68       70       72       74       76
2 45"..............................       46       48       51       53       56       58       60       62       64       66       68       70       72
3 00"..............................       44       46       49       51       53       56       58       60       62       64       65       67       69
3 15"..............................       42       44       47       49       51       53       55       57       59       61       63       65       66
3 30"..............................       40       43       45       47       49       52       53       55       57       59       61       62       64
3 45"..............................       39       41       44       46       48       50       52       53       55       57       59       60       62
4 00"..............................       38       40       42       44       46       48       50       52       53       55       57       58       60
4 30"..............................       36       38       40       42       44       45       47       49       50       52       53       55       56
5 00"..............................       34       36       38       40       41       43       45       46       48       49       51       52       53
5 30"..............................       32       34       36       38       39       41       43       44       46       47       48       50       51
6 00"..............................       31       33       35       36       38       39       41       42       44       45       46       48       49
6 30"..............................       30       31       33       35       36       38       39       41       42       43       44       46       47
7 00"..............................       29       30       32       34       35       36       38       39       40       42       43       44       45
8 00"..............................       27       28       30       31       33       34       35       37       38       39       40       41       42
9 00"..............................       25       27       28       30       31       32       33       35       36       37       38       39       40
10 00".............................       24       25       27       28       29       30       32       33       34       35       36       37       38
11 00".............................       23       24       25       27       28       29       30       31       32       33       34       35       36
12 00".............................       22       23       24       26       27       28       29       30       31       32       33       34       35
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                             Table 3--Five Inches Unbalance
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                               Elevation of outer rail (inches)
                                    --------------------------------------------------------------------------------------------------------------------
                                        0      \1/2\      1      1\1/2\     2      2\1/2\     3      3\1/2\     4      4\1/2\     5      5\1/2\     6
--------------------------------------------------------------------------------------------------------------------------------------------------------
Degree of curvature                                                       Maximum allowable operating speed (m.p.h.)
--------------------------------------------------------------------------------------------------------------------------------------------------------
0 30"..............................      120      125      131      136      141      146      151      156      160      165      169      173      177
0 40"..............................      104      109      113      118      122      127      131      135      139      143      146      150      150
0 50"..............................       93       97      101      106      110      113      117      121      124      128      131      134      137
1 00"..............................       85       89       93       96      100      104      107      110      113      116      120      122      125
1 15"..............................       76       79       83       86       89       93       96       99      101      104      107      110      112
1 30"..............................       69       72       76       79       82       85       87       90       93       95       98      100      102
1 45"..............................       64       67       70       73       76       78       81       83       86       88       90       93       95
2 00"..............................       60       63       65       68       71       73       76       78       80       82       85       87       89
2 15"..............................       56       59       62       64       67       69       71       73       76       78       80       82       84
2 30"..............................       53       56       59       61       63       65       68       70       72       74       76       77       79
2 45"..............................       51       53       56       58       60       62       64       66       68       70       72       74       76
3 00"..............................       49       51       53       56       58       60       62       64       65       67       69       71       72

[[Page 167]]

 
3 15"..............................       47       49       51       53       55       57       59       61       63       65       66       68       70
3 30"..............................       45       47       49       52       53       55       57       59       61       62       64       65       67
3 45"..............................       44       46       48       50       52       53       55       57       59       60       62       63       65
4 00"..............................       42       44       46       48       50       52       53       55       57       58       60       61       63
4 30"..............................       40       42       44       45       47       49       50       52       53       55       56       58       59
5 00"..............................       38       40       41       43       45       46       48       49       51       52       53       55       56
5 30"..............................       36       38       39       41       43       44       46       47       48       50       51       52       53
6 00"..............................       35       36       38       39       41       42       44       45       46       48       49       50       51
6 30"..............................       33       35       36       38       39       41       42       43       44       46       47       48       49
7 00"..............................       32       34       35       36       38       39       40       42       43       44       45       46       47
8 00"..............................       30       31       33       34       35       37       38       39       40       41       42       43       44
9 00"..............................       28       30       31       32       33       35       36       37       38       39       40       41       42
10 00".............................       27       28       29       30       32       33       34       35       36       37       38       39       40
11 00".............................       25       27       28       29       30       31       32       33       34       35       36       37       38
12 00".............................       24       26       27       28       29       30       31       32       33       34       35       35       36
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                              Table 4--Six Inches Unbalance
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                               Elevation of outer rail (inches)
                                    --------------------------------------------------------------------------------------------------------------------
                                        0      \1/2\      1      1\1/2\     2      2\1/2\     3      3\1/2\     4      4\1/2\     5      5\1/2\     6
--------------------------------------------------------------------------------------------------------------------------------------------------------
Degree of curvature                                                       Maximum allowable operating speed (m.p.h.)
--------------------------------------------------------------------------------------------------------------------------------------------------------
0 30"..............................      131      136      141      146      151      156      160      165      169      173      177      181      185
0 40"..............................      113      118      122      127      131      135      139      143      146      150      154      157      160
0 50"..............................      101      106      110      113      117      121      124      128      131      134      137      140      143
1 00"..............................       93       96      100      104      107      110      113      116      120      122      125      128      131
1 15"..............................       83       86       89       93       96       99      101      104      107      110      112      115      117
1 30"..............................       76       79       82       85       87       90       93       95       98      100      102      105      107
1 45"..............................       70       73       76       78       81       83       86       88       90       93       95       97       99
2 00"..............................       65       68       71       73       76       78       80       82       85       87       89       91       93
2 15"..............................       62       64       67       69       71       73       76       78       80       82       84       85       87
2 30"..............................       59       61       63       65       68       70       72       74       76       77       79       81       83
2 45"..............................       56       58       60       62       64       66       68       70       72       74       76       77       79
3 00"..............................       53       56       58       60       62       64       65       67       69       71       72       74       76
3 15"..............................       51       53       55       57       59       61       63       65       66       68       70       71       73
3 30"..............................       49       52       53       55       57       59       61       62       64       65       67       69       70
3 45"..............................       48       50       52       53       55       57       59       60       62       63       65       66       68
4 00"..............................       46       48       50       52       53       55       57       58       60       61       63       64       65
4 30"..............................       44       45       47       49       50       52       53       55       56       58       59       60       62
5 00"..............................       41       43       45       46       48       49       51       52       53       55       56       57       59
5 30"..............................       39       41       43       44       46       47       48       50       51       52       53       55       56
6 00"..............................       38       39       41       42       44       45       46       48       49       50       51       52       53
6 30"..............................       36       38       39       41       42       43       44       46       47       48       49       50       51
7 00"..............................       35       36       38       39       40       42       43       44       45       46       47       48       49
8 00"..............................       33       34       35       37       38       39       40       41       42       43       44       45       46
9 00"..............................       31       32       33       35       36       37       38       39       40       41       42       43       44
10 00".............................       29       30       32       33       34       35       36       37       38       39       40       41       41
11 00".............................       28       29       30       31       32       33       34       35       36       37       38       39       39

[[Page 168]]

 
12 00".............................       27       28       29       30       31       32       33       34       35       35       36       37       38
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 169]]


[78 FR 16113, Mar. 13, 2013]

           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
    213.55 Track 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
    213.65 Combined track alinement and            5,000           7,500
     surface deviations.................
Subpart D--Track structure:
    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) and (d) Sufficient number of           1,000           2,000
         non-defective ties.............
        (e) Joint ties..................           2,500           5,000
        (f) Track constructed without              2,500           5,000
         crossties......................
    213.110 Gage restraint measurement             5,000           7,500
     systems............................
    213.113 Defective rails.............           5,000           7,500
    213.115 Rail end mismatch...........           2,500           5,000
    213.118 Continuous welded rail plan            5,000           7,500
     (a) through (e)....................
    213.119 Continuous welded rail plan            5,000           7,500
     contents (a) through (k)...........
    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 Fastening Systems......           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
    213.234 Automated inspection of                5,000           7,500
     track constructed with concrete
     crossties..........................
    213.235 Switches, crossings,                   2,000           4,000
     transition devices.................
    213.237 Inspection of rail..........           2,500           5,000
    213.238 Qualified operator..........          $2,500          $5,000
    213.239 Special inspections.........           2,500           5,000
    213.241 Inspection records..........           1,000           1,000
Subpart G--Train operations at track
 classes 6 and higher:

[[Page 170]]

 
    213.305 Designation of qualified               1,000           2,000
     individuals; general qualifications
    213.307 Classes 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
    213.327 Track alinement.............           5,000           7,500
    213.329 Curves; elevation and speed            2,500           5,000
     limits.............................
    213.331 Track surface...............           5,000           7,500
    213.332 Combined track alinement and           5,000           7,500
     surface deviations.................
    213.333 Automated vehicle-based                5,000           7,500
     inspection 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/track system
     qualification:.....................
        (a) through (d).................           5,000           7,500
        (e) through (i).................           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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.
\2\ In addition to assessment of penalties for each instance of
  noncompliance with the requirements identified by this footnote, track
  segments designated as excepted track that are or become ineligible
  for such designation by virtue of noncompliance with any of the
  requirements to which this footnote applies are subject to all other
  requirements of part 213 until such noncompliance is remedied.


[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998, as amended at 
70 FR 66299, Nov. 2, 2005; 73 FR 79701, Dec. 30, 2008; 74 FR 43006, Aug. 
25, 2009; 77 FR 24419, Apr. 24, 2012; 78 FR 16115, Mar. 13, 2013; 79 FR 
4260, Jan. 24, 2014; 81 FR 43109, July 1, 2016]

[[Page 171]]



                 Sec. Appendix C to Part 213 [Reserved]



Sec. Appendix D to Part 213--Minimally Compliant Analytical Track (MCAT) 
 Simulations Used for Qualifying Vehicles To Operate at High Speeds and 
                        at High Cant Deficiencies

    1. This appendix contains requirements for using computer 
simulations to comply with the vehicle/track system qualification 
testing requirements specified in subpart G of this part. These 
simulations shall be performed using a track model containing defined 
geometry perturbations at the limits that are permitted for a specific 
class of track and level of cant deficiency. This track model is known 
as MCAT, Minimally Compliant Analytical Track. These simulations shall 
be used to identify vehicle dynamic performance issues prior to service 
or, as appropriate, a change in service, and demonstrate that a vehicle 
type is suitable for operation on the track over which it is intended to 
operate.
    2. As specified in Sec. 213.345(c)(2), MCAT shall be used for the 
qualification of new vehicle types intended to operate at track Class 7 
speeds or above, or at any curving speed producing more than 6 inches of 
cant deficiency. MCAT may also be used for the qualification of new 
vehicle types intended to operate at speeds corresponding to Class 6 
track, as specified in Sec. 213.345(c)(1). In addition, as specified in 
Sec. 213.345(d)(1), MCAT may be used to qualify on new routes vehicle 
types that have previously been qualified on other routes and are 
intended to operate at any curving speed producing more than 6 inches of 
cant deficiency, or at curving speeds that both correspond to track 
Class 7 speeds or above and produce more than 5 inches of cant 
deficiency.
    (a) Validation. To validate the vehicle model used for simulations 
under this part, the track owner or railroad shall obtain vehicle 
simulation predictions using measured track geometry data, chosen from 
the same track section over which testing shall be performed as 
specified in Sec. 213.345(c)(2)(ii). These predictions shall be 
submitted to FRA in support of the request for approval of the 
qualification testing plan. Full validation of the vehicle model used 
for simulations under this part shall be determined when the results of 
the simulations demonstrate that they replicate all key responses 
observed during qualification testing.
    (b) MCAT layout. MCAT consists of nine segments, each designed to 
test a vehicle's performance in response to a specific type of track 
perturbation. The basic layout of MCAT is shown in figure 1 of this 
appendix, by type of track (curving or tangent), class of track, and 
cant deficiency (CD). The values for wavelength, l, amplitude of 
perturbation, a, and segment length, d, are specified in this appendix. 
The bars at the top of figure 1 show which segments are required 
depending on the speed and degree of curvature. For example, the hunting 
perturbation section is not required for simulation of curves greater 
than or equal to 1 degree.

[[Page 172]]

[GRAPHIC] [TIFF OMITTED] TR13MR13.019

    (1) MCAT segments. MCAT's nine segments contain different types of 
track deviations in which the shape of each deviation is a versine 
having wavelength and amplitude varied for each simulation speed as 
further specified. The nine MCAT segments are defined as follows:
    (i) Hunting perturbation (a1): This segment contains an 
alinement deviation having a wavelength, l, of 10 feet and amplitude of 
0.25 inch on both rails to test vehicle stability on tangent track and 
on track that is curved less than 1 degree.
    (ii) Gage narrowing (a2): This segment contains an 
alinement deviation on one rail to reduce the gage from the nominal 
value to the minimum permissible gage or maximum alinement (whichever 
comes first).
    (iii) Gage widening (a3): This segment contains an 
alinement deviation on one rail to increase the gage from the nominal 
value to the maximum permissible gage or maximum alinement (whichever 
comes first).
    (iv) Repeated surface (a9): This segment contains three 
consecutive maximum permissible profile variations on each rail.
    (v) Repeated alinement (a4): This segment contains two 
consecutive maximum permissible alinement variations on each rail.
    (vi) Single surface (a10, a11): This segment 
contains a maximum permissible profile variation on one rail. If the 
maximum permissible profile variation alone produces a condition which 
exceeds the maximum allowed warp condition, a second profile variation 
is also placed on the opposite rail to limit the warp to the maximum 
permissible value.
    (vii) Single alinement (a5, a6): This segment 
contains a maximum permissible alinement variation on one rail. If the 
maximum permissible alinement variation alone produces a condition which 
exceeds the maximum allowed gage condition, a second alinement variation 
is also placed on the opposite rail to limit the gage to the maximum 
permissible value.
    (viii) Short warp (a12): This segment contains a pair of 
profile deviations to produce a maximum permissible 10-foot warp 
perturbation. The first is on the outside rail, and the second follows 
10 feet farther on the inside rail. Each deviation has a wavelength, l, 
of 20 feet and variable amplitude for each simulation speed as described 
below. This segment is to be used only on curved track simulations.
    (ix) Combined perturbation (a7, a8, 
a13): This segment contains a maximum permissible down and 
out combined geometry condition on the outside rail in the body of the 
curve. If the maximum permissible variations produce a condition which 
exceeds the maximum allowed gage condition, a second variation is also 
placed on the opposite rail as for the MCAT segments described in 
paragraphs (b)(1)(vi) and (vii) of this appendix.

[[Page 173]]

This segment is to be used for all simulations on Class 9 track, and 
only for curved track simulations at speeds producing more than 5 inches 
of cant deficiency on track Classes 6 through 8, and at speeds producing 
more than 6 inches of cant deficiency on track Classes 1 through 5.
    (2) Segment lengths: Each MCAT segment shall be long enough to allow 
the vehicle's response to the track deviation(s) to damp out. Each 
segment shall also have a minimum length as specified in table 1 of this 
appendix, which references the distances in figure 1 of this appendix. 
For curved track segments, the perturbations shall be placed far enough 
in the body of the curve to allow for any spiral effects to damp out.

[[Page 174]]



                                           Table 1 of Appendix D to Part 213 Minimum Lengths of MCAT Segments
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                     Distances (ft)
---------------------------------------------------------------------------------------------------------------------------------------------------------
                   d1                          d2            d3            d4            d5            d6            d7            d8            d9
--------------------------------------------------------------------------------------------------------------------------------------------------------
1000....................................         1000          1000          1500          1000          1000          1000          1000          1000
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 175]]

    (3) Degree of curvature.
    (i) For each simulation involving assessment of curving performance, 
the degree of curvature, D, which generates a particular level of cant 
deficiency, Eu, for a given speed, V, shall be calculated 
using the following equation, which assumes a curve with 6 inches of 
superelevation:
[GRAPHIC] [TIFF OMITTED] TR13MR13.020

Where--

D = Degree of curvature (degrees).
V = Simulation speed (m.p.h.).
Eu = Cant deficiency (inches).

    (ii) Table 2 of this appendix depicts the degree of curvature for 
use in MCAT simulations of both passenger and freight equipment 
performance on Class 2 through 9 track, based on the equation in 
paragraph (b)(3)(i) of this appendix. The degree of curvature for use in 
MCAT simulations of equipment performance on Class 1 track is not 
depicted; it would be based on the same equation using an appropriate 
superelevation. The degree of curvature for use in MCAT simulations of 
freight equipment performance on Class 6 (freight) track is shown in 
italics for cant deficiencies not exceeding 6 inches, to emphasize that 
the values apply to freight equipment only.

[[Page 176]]

[GRAPHIC] [TIFF OMITTED] TR13MR13.021

    (c) Required simulations.
    (1) To develop a comprehensive assessment of vehicle performance, 
simulations shall be performed for a variety of scenarios using MCAT. 
These simulations shall be performed on tangent or curved track, or 
both, depending on the level of cant deficiency and speed (track class) 
as summarized in table 3 of this appendix.

[[Page 177]]



      Table 3 of Appendix D to Part 213 Summary of Required Vehicle
                Performance Assessment Using Simulations
------------------------------------------------------------------------
                                                    Previously qualified
                                New vehicle types       vehicle types
------------------------------------------------------------------------
Curved track: cant            Curving performance   Curving performance
 deficiency <=6 inches.        simulation: not       simulation: not
                               required for track    required for track
                               Classes 1 through     Classes 1 through
                               5; optional for       6; optional for
                               track Class 6;        track Classes 7
                               required for track    through 9 for cant
                               Classes 7 through 9.  deficiency 5 inches.
Curved track: cant            Curving performance   Curving performance
 deficiency 6       simulation required   simulation optional
 inches.                       for all track         for all track
                               classes.              classes.
Tangent track...............  Tangent performance   Tangent performance
                               simulation: not       simulation not
                               required for track    required for any
                               Classes 1 through     track class.
                               5; optional for
                               track Class 6;
                               required for track
                               Classes 7 through 9.
------------------------------------------------------------------------

    (i) All simulations shall be performed using the design wheel 
profile and a nominal track gage of 56.5 inches, using tables 4, 5, 6, 
or 7 of this appendix, as appropriate. In addition, all simulations 
involving the assessment of curving performance shall be repeated using 
a nominal track gage of 57.0 inches, using tables 5, 6, or 7 of this 
appendix, as appropriate.
    (ii) If the wheel profile is different than American Public 
Transportation Administration (APTA) wheel profiles 320 or 340, then for 
tangent track segments all simulations shall be repeated using either 
APTA wheel profile 320 or 340, depending on the established conicity 
that is common for the operation, as specified in APTA SS-M-015-06, 
Standard for Wheel Flange Angle of Passenger Equipment (2007). This APTA 
standard is incorporated by reference into this appendix with the 
approval of the Director of the Federal Register under 5 U.S.C. 552(a) 
and 1 CFR part 51. To enforce any edition other than that specified in 
this appendix, FRA must publish notice of change in the Federal Register 
and the material must be made available to the public. All approved 
material is available for inspection at the Federal Railroad 
Administration, Docket Clerk, 1200 New Jersey Avenue SE., Washington, DC 
20590 (telephone 202-493-6030), and is available from the American 
Public Transportation Association, 1666 K Street NW., Suite 1100, 
Washington, DC 20006 (telephone 202-496-4800; www.apta.com). It is also 
available for inspection at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030 or go to http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html. An 
alternative worn wheel profile may be used in lieu of either APTA wheel 
profile, if approved by FRA.
    (iii) All simulations shall be performed using a wheel/rail 
coefficient of friction of 0.5.
    (2) Vehicle performance on tangent track Classes 6 through 9. For 
maximum vehicle speeds corresponding to track Class 6 and higher, the 
MCAT segments described in paragraphs (b)(1)(i) through (vii) of this 
appendix shall be used to assess vehicle performance on tangent track. 
For track Class 9, simulations must also include the combined 
perturbation segment described in paragraph (b)(1)(ix) of this appendix. 
A parametric matrix of MCAT simulations shall be performed using the 
following range of conditions:
    (i) Vehicle speed. Simulations shall demonstrate that at up to 5 
m.p.h. above the proposed maximum operating speed, the vehicle type 
shall not exceed the wheel/rail force and acceleration criteria defined 
in the Vehicle/Track Interaction Safety Limits table in Sec. 213.333. 
Simulations shall also demonstrate acceptable vehicle dynamic response 
by incrementally increasing speed from 95 m.p.h. (115 m.p.h. if a 
previously qualified vehicle type on an untested route) to 5 m.p.h. 
above the proposed maximum operating speed (in 5 m.p.h. increments).
    (ii) Perturbation wavelength. For each speed, a set of three 
separate MCAT simulations shall be performed. In each MCAT simulation 
for the perturbation segments described in paragraphs (b)(1)(ii) through 
(vii) and (b)(1)(ix) of this appendix, every perturbation shall have the 
same wavelength. The following three wavelengths, l, shall be used: 31, 
62, and 124 feet. The hunting perturbation segment described in 
paragraph (b)(1)(i) of this appendix has a fixed wavelength, l, of 10 
feet.
    (iii) Amplitude parameters. Table 4 of this appendix provides the 
amplitude values for the MCAT segments described in paragraphs (b)(1)(i) 
through (vii) and (b)(1)(ix) of this appendix for each speed of the 
required parametric MCAT simulations. The last set of simulations shall 
be performed at 5 m.p.h. above the proposed maximum operating speed 
using the amplitude values in table 4 that correspond to the proposed 
maximum operating speed. For qualification of vehicle types at speeds 
greater than track Class 6 speeds, the following additional simulations 
shall be performed:

[[Page 178]]

    (A) For vehicle types being qualified for track Class 7 speeds, one 
additional set of simulations shall be performed at 115 m.p.h. using the 
track Class 6 amplitude values in table 4 (i.e., a 5 m.p.h. overspeed on 
Class 6 track).
    (B) For vehicle types being qualified for track Class 8 speeds, two 
additional sets of simulations shall be performed. The first set at 115 
m.p.h. using the track Class 6 amplitude values in table 4 (i.e., a 5 
m.p.h. overspeed on Class 6 track), and a second set at 130 m.p.h. using 
the track Class 7 amplitude values in table 4 (i.e., a 5 m.p.h. 
overspeed on Class 7 track).
    (C) For vehicle types being qualified for track Class 9 speeds, 
three additional sets of simulations shall be performed. The first set 
at 115 m.p.h. using the track Class 6 amplitude values in table 4 (i.e., 
a 5 m.p.h. overspeed on Class 6 track), a second set at 130 m.p.h. using 
the track Class 7 amplitude values in table 4 (i.e., a 5 m.p.h. 
overspeed on Class 7 track), and a third set at 165 m.p.h. using the 
track Class 8 amplitude values in table 4 (i.e., a 5 m.p.h. overspeed on 
Class 8 track).

[[Page 179]]

[GRAPHIC] [TIFF OMITTED] TR13MR13.022

    (3) Vehicle performance on curved track Classes 6 through 9. For 
maximum vehicle speeds corresponding to track Class 6 and higher, the 
MCAT segments described in paragraphs (b)(1)(ii) through (viii) of this 
appendix shall be used to assess vehicle performance on curved track. 
For curves less than 1 degree, simulations must also include

[[Page 180]]

the hunting perturbation segment described in paragraph (b)(1)(i) of 
this appendix. For track Class 9 and for cant deficiencies greater than 
5 inches, simulations must also include the combined perturbation 
segment described in paragraph (b)(1)(ix) of this appendix. A parametric 
matrix of MCAT simulations shall be performed using the following range 
of conditions:
    (i) Vehicle speed. Simulations shall demonstrate that at up to 5 
m.p.h. above the proposed maximum operating speed, the vehicle type 
shall not exceed the wheel/rail force and acceleration criteria defined 
in the Vehicle/Track Interaction Safety Limits table in Sec. 213.333. 
Simulations shall also demonstrate acceptable vehicle dynamic response 
by incrementally increasing speed from 95 m.p.h. (115 m.p.h. if a 
previously qualified vehicle type on an untested route) to 5 m.p.h. 
above the proposed maximum operating speed (in 5 m.p.h. increments).
    (ii) Perturbation wavelength. For each speed, a set of three 
separate MCAT simulations shall be performed. In each MCAT simulation 
for the perturbation segments described in paragraphs (b)(1)(ii) through 
(vii) and paragraph (b)(1)(ix) of this appendix, every perturbation 
shall have the same wavelength. The following three wavelengths, l, 
shall be used: 31, 62, and 124 feet. The hunting perturbation segment 
described in paragraph (b)(1)(i) of this appendix has a fixed 
wavelength, l, of 10 feet, and the short warp perturbation segment 
described in paragraph (b)(1)(viii) of this appendix has a fixed 
wavelength, l, of 20 feet.
    (iii) Track curvature. For each speed, a range of curvatures shall 
be used to produce cant deficiency conditions ranging from greater than 
3 inches up to the maximum intended for qualification (in 1 inch 
increments). The value of curvature, D, shall be determined using the 
equation defined in paragraph (b)(3) of this appendix. Each curve shall 
include representations of the MCAT segments described in paragraphs 
(b)(1)(i) through (ix) of this appendix, as appropriate, and have a 
fixed superelevation of 6 inches.
    (iv) Amplitude parameters. Table 5 of this appendix provides the 
amplitude values for each speed of the required parametric MCAT 
simulations for cant deficiencies greater than 3 inches and not more 
than 5 inches. Table 6 of this appendix provides the amplitude values 
for each speed of the required parametric MCAT simulations for cant 
deficiencies greater than 5 inches. The last set of simulations at the 
maximum cant deficiency shall be performed at 5 m.p.h. above the 
proposed maximum operating speed using the amplitude values in table 5 
or 6 of this appendix, as appropriate, that correspond to the proposed 
maximum operating speed and cant deficiency. For these simulations, the 
value of curvature, D, shall correspond to the proposed maximum 
operating speed and cant deficiency. For qualification of vehicle types 
at speeds greater than track Class 6 speeds, the following additional 
simulations shall be performed:
    (A) For vehicle types being qualified for track Class 7 speeds, one 
additional set of simulations shall be performed at 115 m.p.h. using the 
track Class 6 amplitude values in table 5 or 6 of this appendix, as 
appropriate (i.e., a 5 m.p.h. overspeed on Class 6 track) and a value of 
curvature, D, that corresponds to 110 m.p.h. and the proposed maximum 
cant deficiency.
    (B) For vehicle types being qualified for track Class 8 speeds, two 
additional set of simulations shall be performed. The first set of 
simulations shall be performed at 115 m.p.h. using the track Class 6 
amplitude values in table 5 or 6 of this appendix, as appropriate (i.e., 
a 5 m.p.h. overspeed on Class 6 track) and a value of curvature, D, that 
corresponds to 110 m.p.h. and the proposed maximum cant deficiency. The 
second set of simulations shall be performed at 130 m.p.h. using the 
track Class 7 amplitude values in table 5 or 6, as appropriate (i.e., a 
5 m.p.h. overspeed on Class 7 track) and a value of curvature, D, that 
corresponds to 125 m.p.h. and the proposed maximum cant deficiency.
    (C) For vehicle types being qualified for track Class 9 speeds, 
three additional sets of simulations shall be performed. The first set 
of simulations shall be performed at 115 m.p.h. using the track Class 6 
amplitude values in table 5 or 6 of this appendix, as appropriate (i.e., 
a 5 m.p.h. overspeed on Class 6 track) and a value of curvature, D, that 
corresponds to 110 m.p.h. and the proposed maximum cant deficiency. The 
second set of simulations shall be performed at 130 m.p.h. using the 
track Class 7 amplitude values in table 5 or 6, as appropriate (i.e., a 
5 m.p.h. overspeed on Class 7 track) and a value of curvature, D, that 
corresponds to 125 m.p.h. and the proposed maximum cant deficiency. The 
third set of simulations shall be performed at 165 m.p.h. using the 
track Class 8 amplitude values in table 5 or 6, as appropriate (i.e., a 
5 m.p.h. overspeed on Class 8 track) and a value of curvature, D, that 
corresponds to 160 m.p.h. and the proposed maximum cant deficiency.

[[Page 181]]

[GRAPHIC] [TIFF OMITTED] TR13MR13.023


[[Page 182]]


[GRAPHIC] [TIFF OMITTED] TR13MR13.024

    (4) Vehicle performance on curved track Classes 1 through 5 at high 
cant deficiency. For maximum vehicle speeds corresponding to track 
Classes 1 through 5, the MCAT segments described in paragraphs 
(b)(1)(ii) through (ix) of this appendix shall be used to assess vehicle 
performance on curved track if the proposed maximum cant deficiency is 
greater than 6 inches. A parametric matrix of MCAT simulations shall be 
performed using the following range of conditions:
    (i) Vehicle speed. Simulations shall demonstrate that at up to 5 
m.p.h. above the proposed maximum operating speed, the vehicle

[[Page 183]]

shall not exceed the wheel/rail force and acceleration criteria defined 
in the Vehicle/Track Interaction Safety Limits table in Sec. 213.333. 
Simulations shall also demonstrate acceptable vehicle dynamic response 
at 5 m.p.h. above the proposed maximum operating speed.
    (ii) Perturbation wavelength. For each speed, a set of two separate 
MCAT simulations shall be performed. In each MCAT simulation for the 
perturbation segments described in paragraphs (b)(1)(ii) through (vii) 
and paragraph (b)(1)(ix) of this appendix, every perturbation shall have 
the same wavelength. The following two wavelengths, l, shall be used: 31 
and 62 feet. The short warp perturbation segment described in paragraph 
(b)(1)(viii) of this appendix has a fixed wavelength, l, of 20 feet.
    (iii) Track curvature. For a speed corresponding to 5 m.p.h. above 
the proposed maximum operating speed, a range of curvatures shall be 
used to produce cant deficiency conditions ranging from 6 inches up to 
the maximum intended for qualification (in 1 inch increments). The value 
of curvature, D, shall be determined using the equation in paragraph 
(b)(3) of this appendix. Each curve shall contain the MCAT segments 
described in paragraphs (b)(1)(ii) through (ix) of this appendix and 
have a fixed superelevation of 6 inches.
    (iv) Amplitude parameters. Table 7 of this appendix provides the 
amplitude values for the MCAT segments described in paragraphs 
(b)(1)(ii) through (ix) of this appendix for each speed of the required 
parametric MCAT simulations.
[GRAPHIC] [TIFF OMITTED] TR13MR13.025


[78 FR 16116, Mar. 13, 2013]

[[Page 184]]



PART 214_RAILROAD WORKPLACE SAFETY--Table of Contents



                            Subpart A_General

Sec.
214.1 Purpose and scope.
214.3 Application.
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 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.
214.317 On-track safety procedures, generally.
214.318 Locomotive servicing and car shop repair track areas.
214.319 Working limits, generally.
214.320 Roadway maintenance machine movements over signalized non-
          controlled track.
214.321 Exclusive track occupancy.
214.322 Exclusive track occupancy, electronic display.
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, general.
214.336 On-track safety procedures for certain roadway work groups and 
          adjacent tracks.
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.
214.357 Training and qualification for operators of roadway maintenance 
          machines equipped with a crane.

  Subpart D_On-Track Roadway Maintenance Machines and Hi-Rail Vehicles

214.501 Purpose and scope.
214.503 Good-faith challenges; procedures for notification and 
          resolution.
214.505 Required environmental control and protection systems for new 
          on-track roadway maintenance machines with enclosed cabs.
214.507 Required safety equipment for new on-track roadway maintenance 
          machines.
214.509 Required visual illumination and reflective devices for new on-
          track roadway maintenance machines.
214.511 Required audible warning devices for new on-track roadway 
          maintenance machines.
214.513 Retrofitting of existing on-track roadway maintenance machines; 
          general.
214.515 Overhead covers for existing on-track roadway maintenance 
          machines.
214.517 Retrofitting of existing on-track roadway maintenance machines 
          manufactured on or after January 1, 1991.
214.518 Safe and secure positions for riders.
214.519 Floors, decks, stairs, and ladders of on-track roadway 
          maintenance machines.
214.521 Flagging equipment for on-track roadway maintenance machines and 
          hi-rail vehicles.
214.523 Hi-rail vehicles.
214.525 Towing with on-track roadway maintenance machines or hi-rail 
          vehicles.
214.527 On-track roadway maintenance machines; inspection for compliance 
          and schedule for repairs.
214.529 In-service failure of primary braking system.
214.531 Schedule of repairs; general.
214.533 Schedule of repairs subject to availability of parts.

Appendix A to Part 214--Schedule of Civil Penalties


[[Page 185]]


    Authority: 49 U.S.C. 20103, 20107, 21301, 31304, 28 U.S.C. 2461, 
note; and 49 CFR 1.89.

    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. 214.5  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 $839 and not more than $27,455 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 $109,819 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; 
69 FR 30593, May 28, 2004; 72 FR 51196, Sept. 6, 2007; 73 FR 79701, Dec. 
30, 2008; 77 FR 24419, Apr. 24, 2012; 81 FR 43109, July 1, 2016]



Sec. 214.7  Definitions.

    Unless otherwise provided, as used in this part--
    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.
    Body harness means a device with straps that is secured about the 
person 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 a person during fall arrest.

[[Page 186]]

    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.
    Designated official means any person(s) designated by the employer 
to receive notification of non-complying conditions on on-track roadway 
maintenance machines and hi-rail vehicles.
    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 a person's 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.
    Hi-rail vehicle means a roadway maintenance machine that is 
manufactured to meet Federal Motor Vehicle Safety Standards and is 
equipped with retractable flanged wheels so that the vehicle may travel 
over the highway or on railroad tracks.
    Hi-rail vehicle, new means a hi-rail vehicle that is ordered after 
December 26, 2003 or completed after September 27, 2004.
    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.

[[Page 187]]

    Lanyard means a flexible line of rope, wire rope, or strap that is 
used to secure a 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 roadway maintenance machine means a self-propelled, rail-
mounted, non-highway, maintenance machine whose light weight is in 
excess of 7,500 pounds, and whose purpose is not for the inspection of 
railroad track.
    On-track roadway maintenance machine, existing means any on-track 
roadway maintenance machine that does not meet the definition of a ``new 
on-track roadway maintenance machine.''
    On-track roadway maintenance machine, new means an on-track roadway 
maintenance machine that is ordered after December 26, 2003, and 
completed after September 27, 2004.
    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 arrest system means a system used to arrest the fall 
of a person from a working level. It consists of an anchorage, 
connectors, body harness, 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.
    Roadway maintenance machine means a device powered by any means of 
energy other than hand power which is

[[Page 188]]

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 maintenance machines equipped with a crane means any roadway 
maintenance machine equipped with a crane or boom that can hoist, lower, 
and horizontally move a suspended load.
    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; 
67 FR 1906, Jan. 15, 2002; 68 FR 44407, July 28, 2003; 76 FR 74614, Nov. 
30, 2011; 79 FR 66500, Nov. 7, 2014]

    Effective Date Note: At 81 FR 37884, June 10, 2016, Sec. 214.7 was 
amended by adding the definitions, in alphabetical order, for 
``controlled point'', ``interlocking, manual'', ``maximum authorized 
speed'', ``on-track safety manual'', ``roadway worker in charge,'' and 
by revising the definitions for ``effective securing device'' and 
``watchman/lookout,'' effective Apr. 1, 2017. For the convenience of the 
user, the added and revised text is set forth as follows:



Sec. 214.7  Definitions.

                                * * * * *

    Controlled point means a location where signals and/or other 
functions of a traffic control system are controlled from the control 
machine.

                                * * * * *

    Effective securing device means a vandal and tamper resistant lock, 
keyed for application and removal only by the roadway worker(s) for whom 
the protection is provided. In the absence of a lock, it is acceptable 
to use a spike driven firmly into a switch tie or a switch point clamp 
to prevent the use of a

[[Page 189]]

manually operated switch. It is also acceptable to use portable derails 
secured with specifically designed metal wedges. Securing devices 
without a specially keyed lock shall be designed in such a manner that 
they require railroad track tools for installation and removal and the 
operating rules of the railroad must prohibit removal by employees other 
than the class, craft, or group of employees for whom the protection is 
being provided. Regardless of the type of securing device, the throwing 
handle or hasp of the switch or derail shall be uniquely tagged. If 
there is no throwing handle, the securing device shall be tagged.

                                * * * * *

    Interlocking, manual means 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.

                                * * * * *

    Maximum authorized speed means the highest speed permitted for the 
movement of trains permanently established by timetable/special 
instructions, general order, or track bulletin.

                                * * * * *

    On-track safety manual means the entire set of on-track safety rules 
and instructions maintained together in one manual designed to prevent 
roadway workers from being struck by trains or other on-track equipment. 
These instructions include operating rules and other procedures 
concerning on-track safety protection and on-track safety measures.

                                * * * * *

    Roadway worker in charge means a roadway worker who is qualified 
under Sec. 214.353 to establish on-track safety for roadway work 
groups, and lone workers qualified under Sec. 214.347 to establish on-
track safety for themselves.

                                * * * * *

    Watchman/lookout means an employee who has been 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, fuse. 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.

                                * * * * *



                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 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 bridge workers 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 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.

[[Page 190]]

    (2) This section shall not apply to bridge workers 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 bridge worker 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 provision of that program, and has accepted the 
designation;
    (iii) The bridge worker to whom this exception applies is familiar 
with the appropriate climbing techniques associated with all bridge 
structures the bridge worker is responsible for inspecting;
    (iv) The bridge worker 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 bridge worker to whom this section applies is provided all 
equipment necessary to meet the needs of safety, including any 
specialized alternative systems required.
    (c) This section shall not apply where bridge workers are working on 
a railroad bridge equipped with walkways and railings of sufficient 
height, width, and strength to prevent a fall, so long as bridge workers 
do 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 standards set forth in the 
American Railway Engineering Association's Manual for Railway 
Engineering; and
    (2) Roadways attached to railroad bridges, provided that bridge 
workers on the roadway deck work or move at a distance 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 bridge workers 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.

[67 FR 1906, Jan. 15, 2002]



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 personal 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.
    (5) Prior to use and after any component or system is changed, 
bridge workers 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 bridge workers 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 bridge worker attached, 
or shall be designed, installed, and used under supervision of a 
qualified person as part of a

[[Page 191]]

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 bridge worker 
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) Body belts shall not be used as components of personal fall 
arrest systems.
    (7) The personal fall arrest system shall limit the maximum 
arresting force on a bridge worker to 1,800 pounds when used with a body 
harness.
    (8) The personal fall arrest system shall bring a bridge worker to a 
complete stop and limit maximum deceleration distance a bridge worker 
travels to 3.5 feet.
    (9) The personal fall arrest system shall have sufficient strength 
to withstand twice the potential impact energy of a bridge worker 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 a 
bridge worker 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 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 bridge worker 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:
    (i) Directly, next to a 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 bridge workers 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, bridge workers 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.

[[Page 192]]

    (4) Except as provided in this section, 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 bridge 
workers 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 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.
    (13) Connections between safety net panels shall be as strong as 
integral net components and shall be spaced not more than 6 inches 
apart.

[67 FR 1906, Jan. 15, 2002; 67 FR 11055, Mar. 12, 2002]



Sec. 214.107  Working over or adjacent to water.

    (a) Bridge workers 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 bridge workers using personal fall arrest 
systems or safety nets that comply with this subpart or to bridge 
workers who are working under the provisions of Sec. 214.103(b)(2), (c) 
or (d) of this subpart.

[[Page 193]]

    (b) Prior to each use, all flotation devices shall be inspected for 
defects that reduce their strength or buoyancy by designated individuals 
trained by the railroad or railroad contractor. Defective units shall 
not be used.
    (c) 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.
    (d) 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.

[70 FR 7050, Feb. 10, 2005]



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 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.

[[Page 194]]

    (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 bridge worker shall use 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 the 
hazards to railroad bridge workers. The railroad or railroad contractor 
shall require the use of foot protection when the potential for foot 
injury exists.

[67 FR 1908, Jan. 15, 2002]



Sec. 214.113  Head protection.

    (a) Railroad bridge workers 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 bridge workers 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, 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, 25 West 43rd Street, New York, NY 10036. Copies may be 
inspected at the Federal Railroad Administration, Docket Clerk, 1200 New 
Jersey Avenue, SE., Washington, DC, or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.

[67 FR 1908, Jan. 15, 2002, as amended at 74 FR 25172, May 27, 2009]

    Effective Date Note: At 81 FR 37885, June 10, 2016, Sec. 214.113 
was amended by revising paragraph (b), effective Apr. 1, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 214.113  Head protection.

                                * * * * *

    (b) Helmets required by this section shall conform to the 
requirements of 29 CFR 1910.135(b), as established by the U.S. 
Department of Labor, Occupational Safety and Health Administration.



Sec. 214.115  Foot protection.

    (a) The railroad or railroad contractor shall require railroad 
bridge workers 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 bridge workers 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 American National Standards Institute, 25 West 43rd 
Street, New York, NY 10036. Copies may be inspected at the Federal 
Railroad Administration, Docket Clerk, 1200 New Jersey Avenue, SE., 
Washington, DC, or at the National Archives and Records Administration 
(NARA). For information on the availability of this material at NARA, 
call 202-741-

[[Page 195]]

6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.

[67 FR 1908, Jan. 15, 2002, as amended at 74 FR 25172, May 27, 2009]

    Effective Date Note: At 81 FR 37885, June 10, 2016, Sec. 214.115 
was amended by revising paragraph (b), effective Apr. 1, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 214.115  Foot protection.

                                * * * * *

    (b) Foot protection equipment required by this section shall conform 
to the requirements of 29 CFR 1910.136(b), as established by the U.S. 
Department of Labor, Occupational Safety and Health Administration.



Sec. 214.117  Eye and face protection.

    (a) Railroad bridge workers 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, 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, 25 West 43rd Street, New York, NY 10036. Copies may 
be inspected at the Federal Railroad Administration, Docket Clerk, 1200 
New Jersey Avenue, SE., Washington, DC, or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (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 bridge workers whose vision requires the use of 
corrective lenses, when required by this section 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.

[67 FR 1908, Jan. 15, 2002; 67 FR 11055, Mar. 12, 2002, as amended at 74 
FR 25172, May 27, 2009]

    Effective Date Note: At 81 FR 37885, June 10, 2016, Sec. 214.117 
was amended by revising paragraph (b), effective April 1, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 214.117  Eye and face protection.

                                * * * * *

    (b) Eye and face protection equipment required by this section shall 
conform to the requirements of 29 CFR 1910.133(b), as established by the 
U.S. Department of Labor, Occupational Safety and Health Administration.

                                * * * * *



                   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

[[Page 196]]

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.

    Effective Date Note: At 81 FR 37885, June 10, 2016, Sec. 214.301 
was amended by revising paragraph (c), effective Apr. 1, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 214.301  Purpose and scope.

                                * * * * *

    (c) This subpart prescribes safety standards related to the movement 
of roadway maintenance machines where such movements affect the safety 
of roadway workers. Except as provided for in Sec. 214.320, 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 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. Sec. Sec. 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: Sec. Sec. 214.303, 214.307, 214.309, 214.311, 
214.313, 214.315, 214.319, 214.321, 214.323, 214.325, 214.327, 214.329, 
214.331, 214.335, 214.341.

    Effective Date Note: At 81 FR 37885, June 10, 2016, Sec. 214.302 
was removed, effective Apr. 1, 2017.



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.

    Effective Date Note: At 81 FR 37885, June 10, 2016, Sec. 214.305 
was removed, effective Apr. 1, 2017.



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, 1200 
New Jersey Avenue, SE., 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.

[[Page 197]]

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.

[61 FR 65976, Dec. 16, 1996, as amended at 74 FR 25172, May 27, 2009]

    Effective Date Note: At 81 FR 37885, June 10, 2016, Sec. 214.307 
was revised, effective Apr. 1, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 214.307  On-track safety programs.

    (a) Each railroad subject to this part shall maintain and have in 
effect an on-track safety program which complies with the requirements 
of this subpart. New railroads must have an on-track safety program in 
effect by the date on which operations commence. The on-track safety 
program shall be retained at a railroad's system headquarters and 
division headquarters, and shall be made available to representatives of 
the FRA for inspection and copying during normal business hours. Each 
railroad to which this part applies is authorized to retain its program 
by electronic recordkeeping in accordance with Sec. Sec. 217.9(g) and 
217.11(c) of this chapter.
    (b) Each railroad shall notify, in writing, the Associate 
Administrator for Safety and Chief Safety Officer, Federal Railroad 
Administration, RRS-15, 1200 New Jersey Avenue SE., 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 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.
    (c) Upon review of a railroad's on-track safety program, the FRA 
Associate Administrator for Railroad Safety and Chief Safety Officer 
may, for cause stated, may disapprove the program. Notification of such 
disapproval shall be made in writing and specify the basis for the 
disapproval decision. If the Associate Administrator for Railroad Safety 
and Chief Safety Officer disapproves the program:
    (1) The railroad has 35 days from the date of the written 
notification of such disapproval to:
    (i) Amend its program and submit it to the Associate Administrator 
for Railroad Safety and Chief Safety Officer for approval; or
    (ii) Provide a written response in support of its program to the 
Associate Administrator for Railroad Safety and Chief Safety Officer.
    (2) FRA's Associate Administrator for Railroad Safety and Chief 
Safety Officer will subsequently issue a written decision either 
approving or disapproving the railroad's program.
    (3) Failure to submit to FRA an amended program or provide a written 
response in accordance with this paragraph will be considered a failure 
to implement an on-track safety program under this subpart.



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.

    Effective Date Note: At 81 FR 37885, June 10, 2016, Sec. 214.309 
was revised, effective Apr. 1, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 214.309  On-track safety manual.

    (a) The applicable on-track safety manual (as defined by Sec. 
214.7) shall be readily available to all roadway workers. Each roadway 
worker in charge responsible for the on-track safety of others, and each 
lone worker, shall be provided with and shall maintain a copy of the on-
track safety manual.
    (b) When it is impracticable for the on-track safety manual to be 
readily available to a lone worker, the employer shall establish 
provisions for such worker to have alternative access to the information 
in the manual.
    (c) Changes to the on-track safety manual may be temporarily 
published in bulletins or notices. Such publications shall be retained 
along with the on-track safety manual until fully incorporated into the 
manual.



Sec. 214.311  Responsibility of employers.

    (a) Each employer is responsible for the understanding and 
compliance by

[[Page 198]]

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 
Sec. Sec. 214.311(b) and 214.313(d).



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 a duty to a roadway worker that calls 
for that employee to foul a track, the employer shall provide the 
employee with an on-track safety job briefing that, at a minimum, 
includes the following:
    (1) Information on the means by which on-track safety is to be 
provided for each track identified to be fouled;
    (2) Instruction on each on-track safety procedure to be followed;
    (3) Information about any adjacent tracks, on-track safety for such 
tracks, if required by this subpart or deemed necessary by the roadway 
worker in charge, and identification of any roadway maintenance machines 
that will foul such tracks; and
    (4) A discussion of the nature of the work to be performed and the 
characteristics of the work location to ensure compliance with this 
subpart.
    (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.

[61 FR 65976, Dec. 16, 1996, as amended at 76 FR 74614, Nov. 30, 2011]

    Effective Date Note: 

[[Page 199]]

    At 81 FR 37884, June 10, 2016, Sec. 214.315 was amended by revising 
paragraphs (a)(3), (a)(4), (b), the first sentence of paragraphs (c) 
through (e) and by adding paragraph (a)(5), effective Apr. 1, 2017. For 
the convenience of the user, the added and revised text is set forth as 
follows:



Sec. 214.315  Supervision and communication.

    (a) * * *
    (3) Information about any adjacent tracks, on-track safety for such 
tracks, if required by this subpart or deemed necessary by the roadway 
worker in charge, and identification of any roadway maintenance machines 
that will foul such tracks;
    (4) A discussion of the nature of the work to be performed and the 
characteristics of the work location to ensure compliance with this 
subpart; and
    (5) Information on the accessibility of the roadway worker in charge 
and alternative procedures in the event the roadway worker in charge is 
no longer accessible to the members of the roadway work group.
    (b) A job briefing for on-track safety shall be deemed complete only 
after the roadway worker(s) 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 in charge designated by the employer to 
provide on-track safety for all members of the group. * * *
    (d) Before any member of a roadway work group fouls a track, the 
roadway worker in charge designated 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. * * *
    (e) Each lone worker shall communicate at the beginning of each duty 
period with a supervisor or another designated employee to receive an 
on-track safety 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. * * *



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 Sec. Sec. 214.319 through 214.337 of this part.

    Effective Date Note: At 81 FR 37885, June 10, 2016, Sec. 214.317 
was revised, effective Apr. 1, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 214.317  On-track safety procedures, generally.

    (a) 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 Sec. Sec. 214.319 through 214.337.
    (b) Roadway workers may walk across any track provided that they can 
safely be across and clear of the track before a train or other on-track 
equipment would arrive at the crossing point under the following 
circumstances:
    (1) Employers shall adopt, and roadway workers shall comply with, 
applicable railroad safety rules governing how to determine that it is 
safe to cross the track before starting across;
    (2) Roadway workers shall move directly and promptly across the 
track; and
    (3) On-track safety protection is in place for all roadway workers 
who are actually engaged in work, including inspection, construction, 
maintenance or repair, and extending to carrying tools or material that 
restricts motion, impairs sight or hearing, or prevents an employee from 
detecting and moving rapidly away from an approaching train or other on-
track equipment.
    (c) On non-controlled track, on-track roadway maintenance machines 
engaged in weed spraying or snow removal may proceed under the 
provisions of Sec. 214.301(c), under the following conditions:
    (1) Each railroad shall establish and comply with an operating 
procedure for on-track snow removal and weed spray equipment to ensure 
that:
    (i) All on-track movements in the affected area are informed of such 
operations;
    (ii) All on-track movements shall operate at restricted speed as 
defined in Sec. 214.7, except on other than yard tracks and yard 
switching leads, where all on-track movements shall operate prepared to 
stop within one-half the range of vision but not exceeding 25 mph;
    (iii) A means for communication between the on-track equipment and 
other on-track movements is provided; and
    (iv) Remotely controlled hump yard facility operations are not in 
effect, and kicking of cars is prohibited unless agreed to by the 
roadway worker in charge.
    (2) Roadway workers engaged in such snow removal or weed spraying 
operations subject to this section shall retain an absolute right to use 
the provisions of Sec. 214.327 (inaccessible track).
    (3) Roadway workers assigned to work with this equipment may line 
switches (or derails operated via a switch stand) for the machine's 
movement but shall not engage in any roadway work activity unless 
protected by another form of on-track safety.

[[Page 200]]

    (4) Each roadway maintenance machine engaged in snow removal or weed 
spraying under this provision shall be equipped with and utilize:
    (i) An operative 360-degree intermittent warning light or beacon;
    (ii) Work lights, if the machine is operated during the period 
between one-half hour after sunset and one-half hour before sunrise or 
in dark areas such as tunnels, unless equivalent lighting is otherwise 
provided;
    (iii) An illumination device, such as a headlight, capable of 
illuminating obstructions on the track ahead in the direction of travel 
for a distance of 300 feet under normal weather and atmospheric 
conditions;
    (iv) A brake light activated by the application of the machine 
braking system, and designed to be visible for a distance of 300 feet 
under normal weather and atmospheric conditions; and
    (v) A rearward viewing device, such as a rearview mirror.
    (d) Tunnel niches or clearing bays in existence prior to April 1, 
2017 that are designed to permit roadway workers to occupy a place of 
safety when trains or other on-track equipment pass the niche or 
clearing bay, but are less than four feet from the field side of the 
nearest rail, may continue to be used as a place of safety provided:
    (1) Such niches or clearing bays are visually inspected by the 
roadway worker in charge or lone worker prior to making the 
determination that the niche or clearing bay is suitable for use as a 
place of safety;
    (2) There is adequate sight distance to permit a roadway worker or 
lone worker to occupy the place of safety in the niche or clearing bay 
at least 15 seconds prior to the arrival of a train or other on-track 
equipment at the work location in accordance with Sec. Sec. 214.329 and 
214.337; and
    (3) The roadway worker in charge or lone worker shall have the 
absolute right to designate a place of safety as a location other than 
that of a tunnel niche or clearing bay described by this paragraph (d), 
or to establish working limits.



Sec. 214.318  Locomotive servicing and car shop repair track areas.

    (a) In lieu of the requirements of this subpart, workers (as defined 
by Sec. 218.5 of this chapter) within the limits of locomotive 
servicing and car shop repair track areas (as both are defined by Sec. 
218.5 of this chapter) may utilize procedures established by a railroad 
in accordance with part 218, subpart B, of this chapter (Blue Signal 
Protection) to perform duties incidental to inspecting, testing, 
servicing, or repairing rolling equipment when those incidental duties 
involve fouling a track that is protected by Blue Signal Protection. A 
railroad utilizing Blue Signal Protection in lieu of the requirements of 
this subpart must have rules in effect governing the applicability of 
those protections to the incidental duties being performed.
    (b) Paragraph (a) of this section applies to employees of a 
contractor to a railroad if such incidental duties are performed under 
the supervision of a railroad employee qualified (as defined by Sec. 
217.4 of this chapter) on the railroad's rules and procedures 
implementing the Blue Signal Protection requirements.
    (c) Any work performed within the limits of a locomotive servicing 
or car shop repair track area with the potential of fouling a track 
which requires a person qualified under Sec. 213.7 of this chapter to 
be present to inspect or supervise such work must be performed in 
accordance with the requirements of this subpart.

[81 FR 37886, June 10, 2016]

    Effective Date Note: At 81 FR 37885, June 10, 2016, Sec. 214.318 
was added, effective Apr. 1, 2016.



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.
    (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.

[[Page 201]]


    Effective Date Note: At 81 FR 37886, June 10, 2016, Sec. 214.319 
was revised, effective Apr. 1, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 214.319  Working limits, generally.

    Working limits established on controlled track shall conform to the 
provisions of Sec. 214.321 Exclusive track occupancy, 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.
    (a) Working limits established under any procedure shall, in 
addition, conform to the following provisions:
    (1) Only a roadway worker in charge who is qualified in accordance 
with Sec. 214.353 shall establish or have control over working limits 
for the purpose of establishing on-track safety.
    (2) Only one roadway worker in charge who is qualified in accordance 
with Sec. 214.353 shall have control over working limits on any one 
segment of track.
    (3) 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.
    (b) Each Class I or Class II railroad or each railroad providing 
regularly scheduled intercity or commuter rail passenger transportation 
that utilizes controlled track working limits as a form of on-track 
safety (under Sec. Sec. 214.321 through 214.323) in signalized 
territory shall:
    (1) By July 1, 2017, evaluate its on-track safety program and 
identify an appropriate method(s) of providing redundant signal 
protections for roadway work groups who depend on a train dispatcher or 
control operator to provide signal protection in establishing controlled 
track working limits. For purposes of this section, redundant signal 
protections means risk mitigation measures or safety redundancies 
adopted to ensure the proper establishment and maintenance of signal 
protections for controlled track working limits until such working 
limits are released by the roadway worker in charge. Appropriate 
redundant protections could include the use of various risk mitigation 
measures (or a combination of risk mitigation measures) such as 
technology, training, supervision, or operating-based procedures; or 
could include use of redundant signal protection, such as shunting, 
designed to prevent signal system-related incursions into established 
controlled track working limits; and
    (2) By January 1, 2018, specifically identify, implement, and comply 
with the method(s) of providing redundant protections in its on-track 
safety program.
    (c) Upon a railroad's request, FRA will consider an exemption from 
the requirements of paragraph (b) of this section for each segment of 
track(s) for which operations are governed by a positive train control 
system under part 236, subpart I, of this chapter. A request for 
approval to exempt a segment of track must be submitted in writing to 
the FRA Associate Administrator for Railroad Safety and Chief Safety 
Officer. The FRA Associate Administrator for Railroad Safety and Chief 
Safety Officer will review a railroad's submission and will notify a 
railroad of its approval or disapproval in writing within 90 days of 
FRA's receipt of a railroad's written request, and shall specify the 
basis for any disapproval decision.



Sec. 214.320  Roadway maintenance machine movements over signalized 
non-controlled track.

    Working limits must be established for roadway maintenance machine 
movements on non-controlled track equipped with automatic block signal 
systems over which trains are permitted to exceed restricted speed (for 
purposes of this section, on-track movements prepared to stop within on-
half the range of vision but not exceeding 25 mph). This section applies 
unless the railroad's operating rules protect the movements of roadway 
maintenance machines in a manner equivalent to that provided for by 
limiting all train and locomotive movements to restricted speed, and 
such equivalent level of protection is first approved in writing by 
FRA's Associate Administrator for Railroad Safety and Chief Safety 
Officer.

    Effective Date Note: At 81 FR 37885, June 10, 2016, Sec. 214.320 
was added, effective Apr. 1, 2017.



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,

[[Page 202]]

    (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 specifcally authorized by the roadway worker in 
charge of the working limits.

    Effective Date Note: At 81 FR 37887, June 10, 2016, Sec. 214.321 
was amended by revising paragraphs (a) introductory text, (b) 
introductory text, (b)(2), and (d) and adding paragraphs (b)(4) and (e), 
effective Apr. 1, 2017. For the convenience of the user, the revised 
text is set forth as follows:



Sec. 214.321  Exclusive track occupancy.

                                * * * * *

    (a) The track within working limits shall be placed under the 
control of one roadway worker in charge by either:

                                * * * * *

    (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 in 
charge by the train dispatcher or control operator in charge of the 
track.

                                * * * * *

    (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. 
A data transmission of an authority displayed on an electronic screen 
may be used as a substitute for a written or printed document required 
under this paragraph. Electronic displays of authority shall comply with 
the requirements of Sec. 214.322.

                                * * * * *

    (4) An authority shall specify a unique roadway work group number, 
an employee name, or a unique identifier. A railroad shall

[[Page 203]]

adopt procedures that require precise communication between trains and 
other on-track equipment and the roadway worker in charge or lone worker 
controlling the working limits in accordance with Sec. 214.319. The 
procedures may permit communications to be made directly between a train 
or other on-track equipment and a roadway worker in charge or lone 
worker, or through a train dispatcher or control operator.

                                * * * * *

    (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 in charge of the 
working limits. Such movements shall be at restricted speed unless a 
higher authorized speed has been specifically authorized by the roadway 
worker in charge of the working limits.
    (e) Working limits established by exclusive track occupancy 
authority may occur behind designated trains moving through the same 
limits in accordance with the following provisions:
    (1) The authority establishing working limits will only be 
considered to be in effect after it is confirmed by the roadway worker 
in charge or lone worker that the affected train(s) have passed the 
point to be occupied or fouled by:
    (i) Visually identifying the affected trains(s); or
    (ii) Direct radio contact with a crew member of the affected 
train(s); or
    (iii) Receiving information about the affected train from the train 
dispatcher or control operator.
    (2) When utilizing the provisions of paragraph (e)(1)(i) of this 
section, a railroad's operating rules shall include procedures 
prohibiting the affected train(s) from making a reverse movement into or 
within the limits being fouled or occupied.
    (3) After the roadway worker in charge or lone worker has confirmed 
that the affected trains(s) have passed the point to be occupied or 
fouled, the roadway worker in charge shall record on the authority the 
time of passage and engine number(s) of the affected trains(s). If the 
confirmation is by direct communication with the train(s), or through 
confirmation by the train dispatcher or control operator, the roadway 
worker in charge shall record the time of such confirmation and the 
engine number(s) of the affected trains on the authority.
    (4) A separate roadway work group afforded on-track safety by the 
roadway worker in charge of authority limits, and that is located away 
from the roadway worker in charge of authority limits, shall:
    (i) Occupy or foul the track only after receiving permission from 
the roadway worker in charge to occupy the working limits after the 
roadway worker charge has fulfilled the provisions of paragraph (e)(1) 
of this section; and
    (ii) Be accompanied by an employee qualified to the level of a 
roadway worker in charge who shall also have a copy of the authority and 
who shall independently execute the required communication requirements 
of paragraphs (e)(1) and (3) of this section.
    (5) Any subsequent train or on-track equipment movements within 
working limits after the passage of the affected train(s) shall be 
governed by paragraph (d) of this section.



Sec. 214.322  Exclusive track occupancy, electronic display.

    (a) While it is in effect, all the contents of an authority 
electronically displayed shall be readily viewable by the roadway worker 
in charge that is using the authority to provide on-track safety for a 
roadway work group.
    (b) If the electronic display device malfunctions, fails, or cannot 
display an authority while it is in effect, the roadway worker in charge 
shall either obtain a written or printed copy of the authority in 
accordance with Sec. 214.321 (except that on-track roadway maintenance 
machine and hi-rail movements must stop) or establish another form of 
on-track safety without delay. In the event that a written or printed 
copy of the authority cannot be obtained or another form of on-track 
safety cannot be established after failure of an electronic display 
device, the roadway worker in charge shall instruct all roadway workers 
to stop work and occupy a place of safety and conduct an on-track safety 
job briefing to determine the safe course of action with the roadway 
work group.
    (c) All authorized users of an electronic display system shall be 
uniquely identified to support individual accountability. A user may be 
a person, a process, or some other system that accesses or attempts to 
access an electronic display system to perform tasks or process an 
authority.
    (d) All authorized users of an electronic display system must be 
authenticated prior to being granted access to such system. The system 
shall ensure the confidentiality and integrity of all internally stored 
authentication data and protect it from access by unauthorized users. 
The authentication

[[Page 204]]

scheme shall utilize algorithms approved by the National Institute of 
Standards and Technology (NIST), or any similarly recognized and FRA 
approved standards body.
    (e) The integrity of all data must be ensured during transmission/
reception, processing, and storage. All new electronic display systems 
implemented on or after July 1, 2017 shall utilize a Message 
Authentication Code (MAC) to ensure that all data is error free. The MAC 
shall utilize algorithms approved by NIST, or any similarly recognized 
and FRA approved standards body. Systems implemented prior to July 1, 
2017 may utilize a Cyclical Redundancy Code (CRC) to ensure that all 
data is error free provided:
    (1) The collision rate for the CRC check utilized shall be less than 
or equal to 1 in 2\32\. Systems implemented prior to July 1, 2017 that 
do not utilize a CRC with a collision rate less than or equal to 1 in 
2\32\ must be retired or updated to utilize a MAC no later than July 1, 
2018.
    (2) MAC and CRC checks shall only be used to verify the accuracy of 
an electronic authority data message and shall not be used in an error 
correction reconstruction of the data. An authority must fail if the MAC 
or CRC checks do not match.
    (f) Authorities transmitted to each electronic display device shall 
be retained in the device's non-volatile memory for not less than 72 
hours.
    (g) If any electronic display device used to obtain an authority is 
involved in an accident/incident that is required to be reported to FRA 
under part 225 of this chapter, the railroad or employer that was using 
the device at the time of the accident shall, to the extent possible, 
and to the extent consistent with the safety of life and property, 
preserve the data recorded by each such device for analysis by FRA. This 
preservation requirement permits the railroad or employer to extract and 
analyze such data, provided the original downloaded data file, or an 
unanalyzed exact copy of it, 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 one (1) year after the date of the 
accident unless FRA or the National Transportation Safety Board notifies 
the railroad in writing that the data are desired for analysis.
    (h) New electronic display systems implemented on or after July 1, 
2017 shall provide Level 3 assurance as defined by NIST Special 
Publication 800-63-2, Electronic Authentication Guideline, ``Computer 
Security,'' August 2013. Systems implemented prior to July 1, 2017 shall 
provide Level 2 assurance. Systems implemented prior to July 1, 2017 
that do not provide Level 2 or higher assurance must be retired, or 
updated to provide Level 2 assurance, no later than July 1, 2018. The 
incorporation by reference of this NIST Special Publication 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 National Institute of Standards and Technology, 100 
Bureau Drive, Stop 8930, Gaithersburg, MD 20899-8930, http://
nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-63-2.pdf. You 
may inspect a copy of the document at the Federal Railroad 
Administration, Docket Clerk, 1200 New Jersey Avenue SE., Washington, 
DC, or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call (202) 
741-6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.

[81 FR 37888, June 10, 2016]

    Effective Date Note: At 81 FR 37888, June 10, 2016, Sec. 214.322 
was added, effective Apr. 1, 2017.



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.

[[Page 205]]

    (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.
    (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.

    Effective Date Note: At 81 FR 37888, June 10, 2016, Sec. 214.323 
was amended by revising paragraphs (a), (b) and (c), and adding 
paragraph (d) , effective Apr. 1, 2017. For the convenience of the user, 
the added and revised text is set forth as follows:



Sec. 214.323  Foul time.

                                * * * * *

    (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 or other on-track equipment to move into or 
within the working limits during the foul time period.
    (b) Each roadway worker in charge to whom foul time is transmitted 
orally shall repeat the track number or identifier, track limits and 
time limits of the foul time to the issuing employee for verification 
before the foul time becomes effective.
    (c) The train dispatcher or control operator shall not permit the 
movement of trains or other on-track equipment into working limits 
protected by foul time until the roadway worker in charge who obtained 
the foul time has reported clear of the track.
    (d) The roadway worker in charge shall not permit the movement of 
trains or other on-track equipment into or within working limits 
protected by foul time.



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.

    Effective Date Note: At 81 FR 37888, June 10, 2016, Sec. 214.325 
was amended by revising the introductory paragraph, effective Apr. 1, 
2017. For the convenience of the user, the revised text is set forth as 
follows:



Sec. 214.325  Train coordination.

    Working limits established on controlled track by a roadway worker 
in charge through the use of train coordination shall comply with the 
following requirements:

                                * * * * *



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:

[[Page 206]]

    (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.

    Effective Date Note: At 81 FR 37888, June 10, 2016, Sec. 214.327 
was amended by adding paragraphs (a)(6), (7) and (8), effective Apr. 1, 
2017. For the convenience of the user, the added text is set forth as 
follows:



Sec. 214.327  Inaccessible track.

    (a) * * *
    (6) A locomotive with or without cars placed to prevent access to 
the working limits at one or more points of entry to the working limits, 
provided the following conditions are met:
    (i) The roadway worker in charge who is responsible for establishing 
working limits communicates with a member of the crew assigned to the 
locomotive and determines that:
    (A) The locomotive is visible to the roadway worker in charge that 
is establishing the working limits; and
    (B) The locomotive is stopped.
    (ii) Further movements of the locomotive shall be made only as 
permitted by the roadway worker in charge controlling the working 
limits;
    (iii) The crew of the locomotive shall not leave the locomotive 
unattended or go off duty unless communication occurs with the roadway 
worker in charge and an alternate means of on-track safety protection 
has been established by the roadway worker in charge; and
    (iv) Cars coupled to the locomotive on the same end and on the same 
track as the roadway workers shall be connected to the train line air 
brake system and such system shall be charged with compressed air to 
initiate an emergency brake application in case of unintended 
uncoupling. Cars coupled to the locomotive on the same track on the 
opposite end of the roadway workers shall have sufficient braking 
capability to control their movement.
    (7) A railroad's procedure governing block register territory that 
prevents trains and other on-track equipment from occupying the track 
when the territory is under the control of a lone worker or roadway 
worker in charge. The roadway worker in charge or lone worker shall have 
the absolute right to render block register territory inaccessible under 
the other provisions of paragraph (a) of this section.
    (8) Railroad operating rules that prohibit train or engine or other 
on-track equipment movements on a main track within yard limits or 
restricted limits until the train or engine or on-track equipment 
receives notification of any working limits in effect and prohibit the 
train or engine or on-track equipment from entering working limits until 
permission is received by the roadway worker in charge. Such working 
limits shall be delineated with stop signs (flags), and where speeds are 
in excess of restricted speed and physical characteristics permit, also 
with advance signs (flags).

                                * * * * *



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.
    (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.

[[Page 207]]

    (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.

    Effective Date Note: At 81 FR 37889, June 10, 2016, Sec. 214.329 
was amended by revising paragraph (a), effective Apr. 1, 2017. For the 
convenience of the user, the revised text is set forth as follows:



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

                                * * * * *

    (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 authorized speed on that track can pass the location of the 
roadway worker. The place of safety to be occupied upon the approach of 
a train may not be on a track, unless working limits are established on 
that track.

                                * * * * *



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

[[Page 208]]

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 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.

    Effective Date Note: At 81 FR 37889, June 10, 2016, Sec. 214.331 
was amended by adding paragraph (e), effective Apr. 1, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 214.331  Definite train location.

                                * * * * *

    (e) Each on-track safety program that provides for the use of 
definite train location shall discontinue such use by June 12, 2017.



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.

    Effective Date Note: At 81 FR 37889, June 10, 2016, Sec. 214.333 
was amended by revising paragraph (c), effective Apr. 1, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 214.333  Informational line-ups of trains.

                                * * * * *

    (c) Each on-track safety program that provides for the use of 
informational line-ups shall discontinue such use by June 12, 2017.



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

    (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 Sec. Sec. 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.

[61 FR 65976, Dec. 16, 1996, as amended at 76 FR 74614, Nov. 30, 2011]

    Effective Date Note: At 81 FR 37889, June 10, 2016, Sec. 214.335 
was revised, effective Apr. 1, 2017. For the convenience of the user, 
the revised text is set forth as follows:



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

    (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 Sec. 214.319, Sec. 214.321, Sec. 
214.323, Sec. 214.325, Sec. 214.327, Sec. 214.329, Sec. 214.331, or 
Sec. 214.336.
    (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 in 
charge of the roadway work group that on-track safety is provided.



Sec. 214.336  On-track safety procedures for certain roadway work
groups and adjacent tracks.

    (a) Procedures; general. (1) General rule. Except as provided in 
paragraph (e) of this section, on-track safety is required for each 
adjacent controlled track when a roadway work group with at least one of 
the roadway workers on the ground is engaged in a common

[[Page 209]]

task with on-track, self-propelled equipment or coupled equipment on an 
occupied track. The required on-track safety shall be established 
through Sec. 214.319 (Working limits, generally) or Sec. 214.329 
(Train approach warning provided by watchmen/lookouts) and as more 
specifically described in this section.
    (2) Special circumstance arising in territories with at least three 
tracks, if an occupied track is between two adjacent controlled tracks. 
If an occupied track has two adjacent controlled tracks, and one of 
these adjacent controlled tracks has one or more train or other on-track 
equipment movements authorized or permitted at a speed of 25 mph or less 
(or 40 mph or less for one or more passenger train or other passenger 
on-track equipment movements), and the other adjacent controlled track 
has one or more concurrent train or other on-track equipment movements 
authorized or permitted at a speed over 25 mph (or over 40 mph for one 
or more passenger train or other passenger on-track equipment 
movements), the more restrictive procedures in paragraph (b) of this 
section apply.
    (3) Definitions. As used in this section--
    Adjacent controlled track means a controlled track whose track 
center is spaced 19 feet or less from the track center of the occupied 
track.
    Adjacent track means a controlled or non-controlled track whose 
track center is spaced less than 25 feet from the track center of the 
occupied track.
    Inter-track barrier means a continuous barrier of a permanent or 
semi-permanent nature that spans the entire work area, that is at least 
four feet in height, and that is of sufficient strength to prevent a 
roadway worker from fouling the adjacent track.
    Minor correction means one or more repairs of a minor nature, 
including, but not limited to, welding, spiking, anchoring, hand 
tamping, and joint bolt replacement, that are accomplished with hand 
tools or handheld, hand-supported, or hand-guided power tools. The term 
does not include machine spiking, machine tamping, or any similarly 
distracting repair.
    Occupied track means a track on which on-track, self-propelled 
equipment or coupled equipment is authorized or permitted to be located 
while engaged in a common task with a roadway work group with at least 
one of the roadway workers on the ground.
    (b) Procedures for adjacent-controlled-track movements over 25 mph 
(or over 40 mph if passenger movements). If a train or other on-track 
equipment is authorized to move on an adjacent controlled track at a 
speed greater than 25 mph, or at a speed greater than 40 mph for a 
passenger train or other passenger on-track equipment movement, each 
roadway worker in the roadway work group that is affected by such 
movement must comply with the following procedures:
    (1) Ceasing work and occupying a predetermined place of safety. 
Except for the work activities as described in paragraph (e) of this 
section, each affected roadway worker shall, as described in Table 1 of 
this section, cease all on-ground work and equipment movement that is 
being performed on or between the rails of the occupied track or on one 
or both sides of the occupied track, and occupy a predetermined place of 
safety upon receiving either a watchman/lookout warning or, 
alternatively, a notification that the roadway worker in charge intends 
to permit one or more train or other on-track equipment movements 
through the working limits on the adjacent controlled track.
    (2) Resuming work. (i) An affected roadway worker may resume on-
ground work and equipment movement (on or between the rails of the 
occupied track or on one or both sides of the occupied track as 
described in Table 1 of this section) only after the trailing-end of all 
trains or other on-track equipment moving on the adjacent controlled 
track (for which a warning or notification has been received in 
accordance with paragraph (b)(1) of this section) has passed and remains 
ahead of that roadway worker.
    (ii) If the train or other on-track equipment stops before its 
trailing-end has passed all of the affected roadway workers in the 
roadway work group, the work to be performed (on or between the rails of 
the occupied track or on one or both sides of the occupied track as 
described in Table 1 of this

[[Page 210]]

section) ahead of the trailing-end of the train or other on-track 
equipment on the adjacent controlled track may resume only--
    (A) If on-track safety through train approach warning (Sec. 
214.329) has been established on the adjacent controlled track; or
    (B) After the roadway worker in charge has communicated with a 
member of the train crew or the on-track equipment operator and 
established that further movements of such train or other on-track 
equipment shall be made only as permitted by the roadway worker in 
charge.
    (c) Procedures for adjacent-controlled-track movements 25 mph or 
less (or 40 mph or less if passenger movements). If a train or other on-
track equipment is authorized or permitted to move on an adjacent 
controlled track at a speed of 25 mph or less, or at a speed of 40 mph 
or less for a passenger train or other passenger on-track equipment 
movement, each roadway worker in the roadway work group that is affected 
by such movement must comply with the procedures listed in paragraph (b) 
of this section, except that equipment movement on the rails of the 
occupied track and on-ground work performed exclusively between the 
rails (i.e., not breaking the plane of the rails) of the occupied track 
may continue, provided that no on-ground work is performed within the 
areas 25 feet in front of and 25 feet behind any on-track, self-
propelled equipment or coupled equipment permitted to move on the 
occupied track.
    (d) Discretion of roadway worker in charge. Nothing in this subpart 
prohibits the roadway worker in charge from establishing on-track safety 
on one or more adjacent tracks as he or she deems necessary consistent 
with both the purpose and requirements of this subpart.
    (e) Exceptions to certain requirements for adjacent-controlled-track 
on-track safety. No on-track safety (other than that required by 
paragraph (f) of this section or provided under paragraph (d) of this 
section) is required by paragraphs (a) through (c) of this section for 
an adjacent controlled track during the times that the roadway work 
group is exclusively performing one or more of the following work 
activities:
    (1) On-ground work performed on a side of the occupied track meeting 
specified condition(s). A roadway work group with all of its on-ground 
roadway workers (other than those performing work in accordance with 
another exception in paragraph (e) of this section) performing work 
while exclusively positioned on a side of the occupied track as follows 
and as further specified in Table 1 of this section:
    (i) The side with no adjacent track;
    (ii) The side with one or more adjacent tracks, the closest of which 
has working limits on it and no movements permitted within such working 
limits by the roadway worker in charge; or
    (iii) The side with one or more adjacent tracks, provided that that 
it has an inter-track barrier between the occupied track and the closest 
adjacent track on that side.
    (2) Maintenance or repairs performed either alongside, or within the 
perimeter of, a roadway maintenance machine or coupled equipment on the 
occupied track. (i) One or more roadway workers performing maintenance 
or repairs alongside a roadway maintenance machine or coupled equipment, 
provided that such machine or equipment would effectively prevent the 
worker from fouling the adjacent controlled track on the other side of 
such equipment, and that such maintenance or repairs are performed while 
positioned on a side of the occupied track as described in paragraph 
(e)(1)(i), (ii), or (iii) and Table 1 of this section.
    (ii) One or more roadway workers on or under a roadway maintenance 
machine or coupled equipment performing maintenance or repairs within 
the perimeter of the machine or equipment, provided that no part of 
their person breaks the plane of the rail of the occupied track except 
when toward one of the sides of the occupied track as described in 
paragraph (e)(1)(i), (ii), or (iii) and Table 1 of this section. A boom 
or other equipment extending beyond the body of a roadway maintenance 
machine or coupled equipment toward an adjacent controlled track is not 
considered to be within the perimeter of the machine or coupled 
equipment.
    (3) Work activities involving certain equipment and purposes. One or 
more on-ground roadway workers engaged in

[[Page 211]]

a common task on an occupied track with on-track, self-propelled 
equipment or coupled equipment consisting exclusively of one or more of 
the types of equipment described in paragraphs (e)(3)(i) through (iii) 
of this section. If such a roadway work group (``excepted group'') is 
authorized or permitted to operate on the same occupied track and within 
the working limits of a separate roadway work group performing work that 
is subject to the requirements of this section (``non-excepted group'') 
or vice versa (i.e., a non-excepted group is authorized or permitted to 
operate on the same occupied track and within the working limits of an 
excepted group), the groups must conduct an on-track safety job briefing 
to determine if adjacent-controlled-track on-track safety is necessary 
for the excepted group. Such determination shall be made by the roadway 
worker in charge of the working limits; however, if the groups are in 
such proximity where the ability of the roadway workers in the excepted 
group to hear or see approaching trains and other on-track equipment is 
impaired by background noise, lights, sight obstructions or any other 
physical conditions caused by the equipment, then this exception does 
not apply, and adjacent-controlled-track on-track safety must be 
provided to both groups. This exception otherwise applies to work 
activities involving one or more of the following types of equipment:
    (i) A hi-rail vehicle or other rail-bound vehicle (other than a 
catenary maintenance tower vehicle) being used for inspection or minor 
correction purposes, provided that such vehicle is not coupled to one or 
more railroad cars. In accordance with Sec. 214.315(a), where multiple 
hi-rail or rail-bound vehicles being used for inspection or minor 
correction are engaged in a common task, the on-track safety job 
briefing shall include discussion of the nature of the work to be 
performed to determine if adjacent-controlled-track on-track safety is 
necessary.
    (ii) An automated inspection car being used for inspection or minor 
correction purposes.
    (iii) A catenary maintenance tower car or vehicle, provided that all 
of the on-ground workers engaged in the common task (other than those 
performing work in accordance with another exception in paragraph (e) of 
this section) are positioned within the gage of the occupied track for 
the sole purpose of applying or removing grounds.
    (f) Procedures for components of roadway maintenance machines 
fouling an adjacent controlled track. Except as provided for in Sec. 
214.341(c), a component of a roadway maintenance machine shall not foul 
an adjacent controlled track unless working limits have been established 
on the adjacent-controlled-track and there are no movements permitted 
within the working limits by the roadway worker in charge that would 
affect any of the roadway workers engaged in a common task with such 
machine.

[[Page 212]]



       Table 1--Summary of On-Track Safety Procedures for Certain Roadway Work Groups and Adjacent Tracks
----------------------------------------------------------------------------------------------------------------
                  ``Side A'' of the occupied track--the  On or between the   ``Side B'' of the occupied track--
                   side from the vertical plane of the      rails of the    either (1) the side with no adjacent
                    near running rail of the occupied      occupied track      track or (2) the side from the
                    track extending outward through to      (`` `No. 2'      vertical plane of the near running
                    the fouling space of the adjacent        track'' or     rail of the occupied track extending
 Example number/   controlled track (`` `No. 1' Track''    ``number 2''),   outward through to the fouling space
 diagram number               or ``No. 1'')                where on-track   of the adjacent controlled track (``
 (see figure 1)  ---------------------------------------     Safety Is       `number 3' track'' or ``number 3'')
                                                            Established
                                                          through Working  -------------------------------------
                  Method of On-Track     Requirement           Limits                            Method of on-
                   Safety on Side A                     -------------------    Requirements     track safety on
                                                            Requirements                             side B
----------------------------------------------------------------------------------------------------------------
1...............  Working limits or   Upon receiving a   Upon movement      Work \3\ is not    Not applicable (N/
                   train approach      notification or    notification or    required to        A), because
                   warning.            warning for        warning for No.    cease during       there is no
                                       movement(s)        1, cease work      movement(s) on     adjacent track.
                                       (``movement        and occupy a       No. 1.
                                       notification or    PPOS, except
                                       warning'') for     work may
                                       No. 1, cease       continue during
                                       work and occupy    movement(s) on
                                       a predetermined    No. 1 auth'd. at
                                       place of safety    25 mph or less
                                       (``PPOS'') \1\.    (or 40 mph or
                                                          less for
                                                          passenger train
                                                          movements) if
                                                          maintain 25
                                                          spacing \2\.
2...............  Working limits....  Upon movement      Upon movement      Upon movement      Working limits.
                                       notification for   notification for   notification for
                                       No. 1, cease       No. 1 or No. 3,    No. 3, cease
                                       work and occupy    cease work and     work and occupy
                                       a PPOS. Work \3\   occupy a PPOS,     a PPOS. Work \3\
                                       is not required    except work may    is not required
                                       to cease during    continue during    to cease during
                                       movement(s) on     movement(s) on     movement(s) on
                                       No. 3.             No. 1 or No. 3     No. 1.
                                                          auth'd. at 25
                                                          mph or less (or
                                                          at 40 mph or
                                                          less for
                                                          passenger train
                                                          movements) if
                                                          maintain 25
                                                          spacing \2\.
3...............  Working limits....  Upon movement      Upon movement      Upon movement      Train approach
                                       notification for   notification for   warning for No.    warning.
                                       No. 1, cease       No. 1 or warning   3 or
                                       work and occupy    for No. 3, cease   notification for
                                       a PPOS. Work \3\   work and occupy    No. 1, cease
                                       is not required    a PPOS, except     work and occupy
                                       to cease during    work may           a PPOS.
                                       movement(s) on     continue during
                                       No. 3.             movement(s) on
                                                          No. 1 or No. 3
                                                          auth'd. at 25
                                                          mph or less (or
                                                          at 40 mph or
                                                          less for
                                                          passenger train
                                                          movements) if
                                                          maintain 25
                                                          spacing \2\.
4...............  Train approach      Upon movement      Upon movement      Upon movement      Train approach
                   warning.            warning for No.    warning for No.    warning for No.    warning.
                                       1 or No. 3,        1 or No. 3,        3 or No. 1,
                                       cease work and     cease work and     cease work and
                                       occupy a PPOS.     occupy a PPOS,     occupy safety
                                                          except work may    PPOS.
                                                          continue during
                                                          movement(s) on
                                                          No. 1 or No. 3
                                                          auth'd. at 25
                                                          mph or less (or
                                                          at 40 mph or
                                                          less for
                                                          passenger train
                                                          movements) if
                                                          maintain 25
                                                          spacing \2\.
5...............  None, but with      Work is            Work is not        Work is not        N/A, because
                   inter-track         prohibited on      required to        required to        there is no
                   barrier.            No. 1 and up to    cease during       cease during       adjacent track.
                                       barrier (``Side    movement(s) on     movement(s) on
                                       A1''). Work is     No. 1.             No. 1.
                                       not required to
                                       cease btwn.
                                       barrier and near
                                       running rail of
                                       occupied track
                                       (``Side A2'')
                                       during
                                       movement(s) on
                                       No. 1.

[[Page 213]]

 
6...............  None, but with      Work is            Work is not        Upon movement      Working limits or
                   inter-track         prohibited on      required to        notification or    train approach
                   barrier.            Side A1. Work      cease during       warning for No.    warning.
                                       \3\ is not         movement(s) on     3, cease work
                                       required to        No. 1. Upon        and occupy a
                                       cease on Side A2   movement           PPOS. Work \3\
                                       during             notification or    is not required
                                       movement(s) on     warning for No.    to cease during
                                       No. 1 or No. 3.    3, cease work      movement(s) on
                                                          and occupy a       No. 1.
                                                          PPOS, except
                                                          work may
                                                          continue during
                                                          movement(s) on
                                                          No. 3 auth'd. at
                                                          25 mph or less
                                                          (or at 40 mph or
                                                          less for
                                                          passenger
                                                          trains) if
                                                          maintain 25
                                                          spacing \2\.
----------------------------------------------------------------------------------------------------------------
\1\ As used in the above table, a ``predetermined place of safety'' (or ``PPOS'') means a specific location that
  an affected roadway worker must occupy upon receiving a watchman/lookout's warning of approaching movement(s)
  (``warning'') or a roadway worker in charge's (``RWIC's'') notification of pending movement(s) on an adjacent
  track (``notification''), as designated during the on-track safety job briefing required by Sec. 214.315.
  The PPOS may not be on a track, unless the track has working limits on it and no movements permitted within
  such working limits by the RWIC. Thus, under these circumstances, the space between the rails of the occupied
  track (No. 2 in this table) may be designated as a place to remain in position or to otherwise occupy upon
  receiving a warning or notification. The RWIC must determine any change to a PPOS, and communicate such change
  to all affected roadway workers through an updated on-track safety job briefing.
\2\ On-ground work is prohibited in the areas 25 in front of and 25 behind equipment on the occupied track (No.
  2), and must not break the plane of a rail on No. 2 towards a side of No. 2 unless work is permitted on that
  side. Note, however, that per Sec. 214.336(a)(2), work would no longer be permitted to continue on or
  between the rails of the occupied track during movement(s) on an adjacent controlled track at 25 mph or less
  (or at 40 mph or less for passenger trains or other passenger on-track equipment movements) if there is a
  simultaneous movement on the other adjacent controlled track at more than 25 mph (or at more than 40 mph per
  hour for passenger train movements or other passenger on-track equipment movements).
\3\ Work that does not break the plane of the near running rail of the occupied track (No. 2) is not required to
  cease during such movements; work that breaks the plane of the near running rail of the occupied track may
  also continue: 1) during the times that work is permitted on or between the rails of the occupied track in
  accordance with Sec. 214.336(c) (Procedures for adjacent-controlled-track movements 25 mph or less, or 40
  mph or less for passenger train movements or other passenger on-track equipment movements); or 2) if such work
  is performed alongside or within the perimeter of a roadway maintenance machine or coupled equipment in
  accordance with Sec. 214.336(e)(2).


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[76 FR 74615, Nov. 30, 2011, as amended at 79 FR 1766, Jan. 10, 2014]



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

[[Page 217]]

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 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.

    Effective Date Note: At 81 FR 37889, June 10, 2016, Sec. 214.337 
was amended by revising paragraph (c)(3) and adding paragraph (g), 
effective Apr. 1, 2017. For the convenience of the user, the revised 
text is set forth as follows:



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

                                * * * * *

    (c) * * *
    (3) On track outside the limits of a manual interlocking, a 
controlled point (except those consisting of signals only), or a 
remotely controlled hump yard facility;

                                * * * * *

    (g) Individual train detection shall not be used to provide on-track 
safety for a lone worker using a roadway maintenance machine, equipment, 
or material that cannot be readily removed by hand.



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.

    Effective Date Note: At 81 FR 37889, June 10, 2016, Sec. 214.339 
was revised, effective Apr. 1, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 214.339  Audible warning from trains.

    (a) Each railroad shall have in effect and comply with written 
procedures that prescribe effective requirements for audible warning by 
horn and/or bell for trains and locomotives approaching any roadway 
workers or roadway maintenance machines that are either on the track on 
which the movement

[[Page 218]]

is occurring, or about the track if the roadway workers or roadway 
maintenance machines are at risk of fouling the track. At a minimum, 
such written procedures shall address:
    (1) Initial horn warning;
    (2) Subsequent warning(s); and
    (3) Alternative warnings in areas where sounding the horn adversely 
affects roadway workers (e.g., in tunnels and terminals).
    (b) 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 knowledge of the safety instructions applicable to that 
machine. For purposes of this paragraph, the safety instructions 
applicable to that machine means:
    (i) The manufacturer's instruction manual for that machine; or
    (ii) The safety instructions developed to replace the manufacturer's 
safety instructions when the machine has been adapted for a specific 
railroad use. Such instructions shall address all aspects of the safe 
operation of the crane and shall be as comprehensive as the 
manufacturer's safety instructions they replace.
    (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.

[61 FR 65976, Dec. 16, 1996, as amended at 79 FR 66501, Nov. 7, 2014]



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 their functions related to on-track safety through the 
training and qualification procedures prescribed by the

[[Page 219]]

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.

    Effective Date Note: At 81 FR 37889, June 10, 2016, Sec. 214.343 
was amended by revising paragraph (c), effective Apr. 1, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 214.343  Training and qualification, general.

                                * * * * *

    (c) Except as provided for in Sec. 214.353, 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 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.

                                * * * * *



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.

    Effective Date Note: At 81 FR 37889, June 10, 2016, Sec. 214.345 
was amended by revising the introductory text and adding paragraph (f), 
effective Apr. 1, 2017. For the convenience of the user, the added and 
revised text is set forth as follows:



Sec. 214.345  Training for all roadway workers.

    Consistent with Sec. 214.343(b), the training of all roadway 
workers shall include, as a minimum, the following:

                                * * * * *

    (f) Instruction on railroad safety rules adopted to comply with 
Sec. 214.317(b).



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.

    Effective Date Note: At 81 FR 37889, June 10, 2016, Sec. 214.347 
was amended by adding paragraph (a)(5) and revising paragraph (b), 
effective Apr. 1, 2017. For the convenience of the user, the added and 
revised text is set forth as follows:

[[Page 220]]



Sec. 214.347  Training and qualification for lone workers.

                                * * * * *

    (a) * * *
    (5) Alternative means to access the information in a railroad's on-
track safety manual when a lone worker's duties make it impracticable 
for the on-track safety manual to be readily available.
    (b) Initial and periodic (as specified by Sec. 243.201 of this 
chapter) 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.

    Effective Date Note: At 81 FR 37890, June 10, 2016, Sec. 214.349 
was amended by revising paragraph (b), effective Apr. 1, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 214.349  Training and qualification of watchmen/lookouts.

                                * * * * *

    (b) Initial and periodic (as specified by Sec. 243.201 of this 
chapter) 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.

    Effective Date Note: At 81 FR 37890, June 10, 2016, Sec. 214.351 
was amended by revising paragraph (b), effective Apr. 1, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 214.351  Training and qualification of flagmen.

                                * * * * *

    (b) Initial and periodic (as specified by Sec. 243.201 of this 
chapter) qualification of a flagman shall be evidenced by demonstrated 
proficiency.



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.

    Effective Date Note: At 81 FR 37890, June 10, 2016, Sec. 214.353 
was amended by revising the section heading and paragraphs (a) 
introductory text, (a)(1), and (b) and adding paragraph (a)(5), 
effective Apr. 1, 2017. For the convenience of the user, the added and 
revised text is set forth as follows:

[[Page 221]]



Sec. 214.353  Training and qualification of each roadway worker in 
          charge.

    (a) The training and qualification of each roadway worker in charge, 
or any other employee acting as a roadway worker in charge (e.g., a 
conductor or a brakeman), who provides for the on-track safety of 
roadway workers through establishment of working limits or the 
assignment and supervision of watchmen/lookouts or flagmen shall 
include, at a minimum:
    (1) All the on-track safety training and qualification required of 
the roadway workers to be supervised and protected, including the 
railroad's procedures governing good faith challenges in Sec. Sec. 
214.311(b) and (c) and 214.313(d).

                                * * * * *

    (5) The procedures required to ensure that the roadway worker in 
charge of the on-track safety of group(s) of roadway workers remains 
immediately accessible and available to all roadway workers being 
protected under the working limits or other provisions of on-track 
safety established by the roadway worker in charge.
    (b) Initial and periodic (as specified by Sec. 243.201 of this 
chapter) qualification of a roadway worker in charge shall be evidenced 
by demonstrated proficiency.



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.

    Effective Date Note: At 81 FR 37890, June 10, 2016, Sec. 214.355 
was amended by revising the section heading and paragraph (b), effective 
Apr. 1, 2017. For the convenience of the user, the revised text is set 
forth as follows:



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

                                * * * * *

    (b) Initial and periodic (as specified by Sec. 243.201 of this 
chapter) qualification of a roadway worker to operate roadway 
maintenance machines shall be evidenced by demonstrated proficiency.



Sec. 214.357  Training and qualification for operators of roadway 
maintenance machines equipped with a crane.

    (a) In addition to the general training and qualification 
requirements for operators of roadway maintenance machines set forth in 
Sec. Sec. 214.341 and 214.355 of this subpart, each employer shall 
adopt and comply with a training and qualification program for operators 
of roadway maintenance machines equipped with a crane to ensure the safe 
operation of such machines.
    (b) Each employer's training and qualification program for operators 
of roadway maintenance machines equipped with a crane shall require 
initial and periodic qualification of each operator of a roadway 
maintenance machine equipped with a crane and shall include:
    (1) Procedures for determining that the operator has the skills to 
safely operate each machine the person is authorized to operate; and
    (2) Procedures for determining that the operator has the knowledge 
to safely operate each machine the person is authorized to operate. Such 
procedures shall determine that either:
    (i) The operator has knowledge of the safety instructions (i.e., the 
manufacturer's instruction manual) applicable to that machine; or
    (ii) The operator has knowledge of the safety instructions developed 
to replace the manufacturer's safety instructions when the machine has 
been adapted for a specific railroad use. Such instructions shall 
address all aspects of the safe operation of the crane and shall be as 
comprehensive as the manufacturer's safety instructions they replace.
    (c) Each employer shall maintain records that form the basis of the

[[Page 222]]

training and qualification determinations of each operator of roadway 
maintenance machines equipped with a crane that it employs.
    (d) Availability of records: Each employer required to maintain 
records under this part shall make all records available for inspection 
and copying/photocopying to representatives of FRA, upon request during 
normal business hours.
    (e) Training conducted by an employer in accordance with operator 
qualification and certification required by the Department of Labor (29 
CFR 1926.1427) may be used to satisfy the training and qualification 
requirements of this section.

[79 FR 66501, Nov. 7, 2014]



  Subpart D_On-Track Roadway Maintenance Machines and Hi-Rail Vehicles

    Source: 68 FR 44407, July 28, 2003, unless otherwise noted.



Sec. 214.501  Purpose and scope.

    (a) The purpose of this subpart is to prevent accidents and 
casualties caused by the lawful operation of on-track roadway 
maintenance machines and hi-rail vehicles.
    (b) This subpart prescribes minimum safety standards for on-track 
roadway maintenance machines and hi-rail vehicles. An employer may 
prescribe additional or more stringent standards that are consistent 
with this subpart.
    (c) Any working condition that involves the protection of employees 
engaged in roadway maintenance duties covered by this subpart but is not 
within the subject matter addressed by this subpart, including employee 
exposure to noise, shall be governed by the regulations of the U.S. 
Department of Labor, Occupational Safety and Health Administration.



Sec. 214.503  Good-faith challenges; procedures for notification and
resolution.

    (a) An employee operating an on-track roadway maintenance machine or 
hi-rail vehicle shall inform the employer whenever the employee makes a 
good-faith determination that the machine or vehicle does not comply 
with FRA regulations or has a condition that inhibits its safe 
operation.
    (b) Any employee charged with operating an on-track roadway 
maintenance machine or hi-rail vehicle covered by this subpart may 
refuse to operate the machine or vehicle if the employee makes a good-
faith determination that it does not comply with the requirements of 
this subpart or has a condition that inhibits its safe operation. The 
employer shall not require the employee to operate the machine or 
vehicle until the challenge resulting from the good-faith determination 
is resolved.
    (c) Each employer shall have in place and follow written procedures 
to assure prompt and equitable resolution of challenges resulting from 
good-faith determinations made in accordance with this section. The 
procedures shall include specific steps to be taken by the employer to 
investigate each good-faith challenge, as well as procedures to follow 
once the employer finds a challenged machine or vehicle does not comply 
with this subpart or is otherwise unsafe to operate. The procedures 
shall also include the title and location of the employer's designated 
official.



Sec. 214.505  Required environmental control and protection systems 
for new on-track roadway maintenance machines with enclosed cabs.

    (a) The following new on-track roadway maintenance machines shall be 
equipped with enclosed cabs with operative heating systems, operative 
air conditioning systems, and operative positive pressurized ventilation 
systems:
    (1) Ballast regulators;
    (2) Tampers;
    (3) Mechanical brooms;
    (4) Rotary scarifiers;
    (5) Undercutters; and
    (6) Functional equivalents of any of the machines identified in 
paragraphs (a)(1) through (a)(5) of this section.
    (b) New on-track roadway maintenance machines, and existing on-track 
roadway maintenance machines specifically designated by the employer, of 
the types identified in paragraphs (a)(1) through (a)(5) of this 
section, or functionally equivalent thereto, shall be

[[Page 223]]

capable of protecting employees in the cabs of the machines from 
exposure to air contaminants, in accordance with 29 CFR 1910.1000.
    (c) An employer shall maintain a list of new and designated existing 
on-track roadway maintenance machines of the types identified in 
paragraphs (a)(1) through (a)(5) of this section, or functionally 
equivalent thereto. The list shall be kept current and made available to 
the Federal Railroad Administration and other Federal and State agencies 
upon request.
    (d) An existing roadway maintenance machine of the type identified 
in paragraphs (a)(1) through (a)(5) of this section, or functionally 
equivalent thereto, becomes ``designated'' when the employer adds the 
machine to the list required in paragraph (c) of this section. The 
designation is irrevocable, and the designated existing roadway 
maintenance machine remains subject to paragraph (b) of this section 
until it is retired or sold.
    (e) If the ventilation system on a new on-track roadway maintenance 
machine or a designated existing on-track roadway maintenance machine of 
the type identified in paragraphs (a)(1) through (a)(5) of this section, 
or functionally equivalent thereto, becomes incapable of protecting an 
employee in the cab of the machine from exposure to air contaminants in 
accordance with 29 CFR 1910.1000, personal respiratory protective 
equipment shall be provided for each such employee until the machine is 
repaired in accordance with Sec. 214.531.
    (f) Personal respiratory protective equipment provided under 
paragraph (e) of this section shall comply with 29 CFR 1910.134.
    (g) New on-track roadway maintenance machines with enclosed cabs, 
other than the types identified in paragraphs (a)(1) through (a)(5) of 
this section or functionally equivalent thereto, shall be equipped with 
operative heating and ventilation systems.
    (h) When new on-track roadway maintenance machines require operation 
from non-enclosed stations outside of the main cab, the non-enclosed 
stations shall be equipped, where feasible from an engineering 
standpoint, with a permanent or temporary roof, canopy, or umbrella 
designed to provide cover from normal rainfall and midday sun.



Sec. 214.507  Required safety equipment for new on-track roadway 
maintenance machines.

    (a) Each new on-track roadway maintenance machine shall be equipped 
with:
    (1) A seat for each operator, except as provided in paragraph (b) of 
this section;
    (2) A safe and secure position with handholds, handrails, or a 
secure seat for each roadway worker transported on the machine. Each 
position shall be protected from moving parts of the machine;
    (3) A positive method of securement for turntables, on machines 
equipped with a turntable, through engagement of pins and hooks that 
block the descent of turntable devices below the rail head when not in 
use;
    (4) A windshield with safety glass, or other material with similar 
properties, if the machine is designed with a windshield. Each new on-
track roadway maintenance machine designed with a windshield shall also 
have power windshield wipers or suitable alternatives that provide the 
machine operator an equivalent level of vision if windshield wipers are 
incompatible with the windshield material;
    (5) A machine braking system capable of effectively controlling the 
movement of the machine under normal operating conditions;
    (6) A first-aid kit that is readily accessible and complies with 29 
CFR 1926.50(d)(2); and
    (7) An operative and properly charged fire extinguisher of 5 BC 
rating or higher which is securely mounted and readily accessible to the 
operator from the operator's work station.
    (b) Each new on-track roadway maintenance machine designed to be 
operated and transported by the operator in a standing position shall be 
equipped with handholds and handrails to provide the operator with a 
safe and secure position.
    (c) Each new on-track roadway maintenance machine that weighs more 
than 32,500 pounds light weight and is operated in excess of 20 mph 
shall be

[[Page 224]]

equipped with a speed indicator that is accurate within 5 mph of the actual speed at speeds of 10 mph and above.
    (d) Each new on-track roadway maintenance machine shall have its as-
built light weight displayed in a conspicuous location on the machine.

[68 FR 44407, July 28, 2003, as amended at 69 FR 8839, Feb. 26, 2004]



Sec. 214.509  Required visual illumination and reflective devices for
new on-track roadway maintenance machines.

    Each new on-track roadway maintenance machine shall be equipped with 
the following visual illumination and reflective devices:
    (a) An illumination device, such as a headlight, capable of 
illuminating obstructions on the track ahead in the direction of travel 
for a distance of 300 feet under normal weather and atmospheric 
conditions;
    (b) Work lights, if the machine is operated during the period 
between one-half hour after sunset and one-half hour before sunrise or 
in dark areas such as tunnels, unless equivalent lighting is otherwise 
provided;
    (c) An operative 360-degree intermittent warning light or beacon 
mounted on the roof of the machine. New roadway maintenance machines 
that are not equipped with fixed roofs and have a light weight less than 
17,500 pounds are exempt from this requirement;
    (d) A brake light activated by the application of the machine 
braking system, and designed to be visible for a distance of 300 feet 
under normal weather and atmospheric conditions; and
    (e) Rearward viewing devices, such as rearview mirrors.



Sec. 214.511  Required audible warning devices for new on-track 
roadway maintenance machines.

    Each new on-track roadway maintenance machine shall be equipped 
with:
    (a) A horn or other audible warning device that produces a sound 
loud enough to be heard by roadway workers and other machine operators 
within the immediate work area. The triggering mechanism for the device 
shall be clearly identifiable and within easy reach of the machine 
operator; and
    (b) An automatic change-of-direction alarm which provides an audible 
signal that is at least three seconds long and is distinguishable from 
the surrounding noise. Change of direction alarms may be interrupted by 
the machine operator when operating the machine in the work mode if the 
function of the machine would result in a constant, or almost constant, 
sounding of the device. In any action brought by FRA to enforce the 
change-of-direction alarm requirement, the employer shall have the 
burden of proving that use of the change-of-direction alarm in a 
particular work function would cause a constant, or almost constant, 
sounding of the device.



Sec. 214.513  Retrofitting of existing on-track roadway maintenance 
machines; general.

    (a) Each existing on-track roadway maintenance machine shall have a 
safe and secure position with handholds, handrails, or a secure seat or 
bench position for each roadway worker transported on the machine. Each 
position shall be protected from moving parts of the machine.
    (b) By March 28, 2005, each existing on-track roadway maintenance 
machine shall be equipped with a permanent or portable horn or other 
audible warning device that produces a sound loud enough to be heard by 
roadway workers and other machine operators within the immediate work 
area. The triggering mechanism for the device shall be clearly 
identifiable and within easy reach of the machine operator.
    (c) By March 28, 2005, each existing on-track roadway maintenance 
machine shall be equipped with a permanent illumination device or a 
portable light that is securely placed and not hand-held. The 
illumination device or portable light shall be capable of illuminating 
obstructions on the track ahead for a distance of 300 feet under normal 
weather and atmospheric conditions when the machine is operated during 
the period between one-half hour after sunset and one-half hour before 
sunrise or in dark areas such as tunnels.

[68 FR 44407, July 28, 2003, as amended at 69 FR 8839, Feb. 26, 2004]

[[Page 225]]



Sec. 214.515  Overhead covers for existing on-track roadway maintenance
machines.

    (a) For those existing on-track roadway maintenance machines either 
currently or previously equipped with overhead covers for the operator's 
position, defective covers shall be repaired, and missing covers shall 
be reinstalled, by March 28, 2005 and thereafter maintained in 
accordance with the provisions of Sec. 214.531.
    (b) For those existing on-track roadway maintenance machines that 
are not already equipped with overhead covers for the operator's 
position, the employer shall evaluate the feasibility of providing an 
overhead cover on such a machine if requested in writing by the operator 
assigned to operate the machine or by the operator's designated 
representative. The employer shall provide the operator a written 
response to each request within 60 days. When the employer finds the 
addition of an overhead cover is not feasible, the response shall 
include an explanation of the reasoning used by the employer to reach 
that conclusion.
    (c) For purposes of this section, overhead covers shall provide the 
operator's position with cover from normal rainfall and midday sun.



Sec. 214.517  Retrofitting of existing on-track roadway maintenance
machines manufactured on or after January 1, 1991.

    In addition to meeting the requirements of Sec. 214.513, after 
March 28, 2005 each existing on-track roadway maintenance machine 
manufactured on or after January 1, 1991, shall have the following:
    (a) A change-of-direction alarm or rearview mirror or other rearward 
viewing device, if either device is feasible, given the machine's 
design, and if either device adds operational safety value, given the 
machine's function. In any action brought by FRA to enforce this 
requirement, the employer shall have the burden of proving that neither 
device is feasible or adds operational safety value, or both, given the 
machine's design or work function.
    (b) An operative heater, when the machine is operated at an ambient 
temperature less than 50 degrees Fahrenheit and is equipped with, or has 
been equipped with, a heater installed by the manufacturer or the 
railroad.
    (c) The light weight of the machine stenciled or otherwise clearly 
displayed on the machine, if the light weight is known.
    (d) Reflective material, or a reflective device, or operable brake 
lights.
    (e) Safety glass when its glass is normally replaced, except that 
replacement glass that is specifically intended for on-track roadway 
maintenance machines and is in the employer's inventory as of September 
26, 2003 may be utilized until exhausted.
    (f) A turntable restraint device, on machines equipped with a 
turntable, to prevent undesired lowering, or a warning light indicating 
that the turntable is not in the normal travel position.

[68 FR 44407, July 28, 2003, as amended at 69 FR 8839, Feb. 26, 2004]



Sec. 214.518  Safe and secure positions for riders.

    On or after March 1, 2004, a roadway worker, other than the machine 
operator, is prohibited from riding on any on-track roadway maintenance 
machine unless a safe and secure position for each roadway worker on the 
machine is clearly identified by stenciling, marking, or other written 
notice.

[69 FR 8839, Feb. 26, 2004]



Sec. 214.519  Floors, decks, stairs, and ladders of on-track roadway
maintenance machines.

    Floors, decks, stairs, and ladders of on-track roadway maintenance 
machines shall be of appropriate design and maintained to provide secure 
access and footing, and shall be free of oil, grease, or any obstruction 
which creates a slipping, falling, or fire hazard.



Sec. 214.521  Flagging equipment for on-track roadway maintenance
machines and hi-rail vehicles.

    Each on-track roadway maintenance machine and hi-rail vehicle shall 
have on board a flagging kit that complies with the operating rules of 
the railroad if:

[[Page 226]]

    (a) The equipment is operated over trackage subject to a railroad 
operating rule requiring flagging; and
    (b)(1) The equipment is not part of a roadway work group; or
    (2) The equipment is the lead or trailing piece of equipment in a 
roadway work group operating under the same occupancy authority.

[69 FR 8839, Feb. 26, 2004]



Sec. 214.523  Hi-rail vehicles.

    (a) The hi-rail gear of all hi-rail vehicles shall be inspected for 
safety at least annually and with no more than 14 months between 
inspections. Tram, wheel wear, and gage shall be measured and, if 
necessary, adjusted to allow the vehicle to be safely operated.
    (b) Each employer shall keep records pertaining to compliance with 
paragraph (a) of this section. Records may be kept on forms provided by 
the employer or by electronic means. The employer shall retain the 
record of each inspection until the next required inspection is 
performed. The records shall be made available for inspection and 
copying during normal business hours by representatives of FRA and 
States participating under part 212 of this chapter. The records may be 
kept on the hi-rail vehicle or at a location designated by the employer.
    (c) A new hi-rail vehicle shall be equipped with:
    (1) An automatic change-of-direction alarm or backup alarm that 
provides an audible signal at least three seconds long and 
distinguishable from the surrounding noise; and
    (2) An operable 360-degree intermittent warning light or beacon 
mounted on the outside of the vehicle.
    (d)(1) The operator of a hi-rail vehicle shall check the vehicle for 
compliance with this subpart, prior to using the vehicle at the start of 
the operator's work shift.
    (2) A non-complying condition that cannot be repaired immediately 
shall be tagged and dated in a manner prescribed by the employer and 
reported to the designated official.
    (3) Non-complying automatic change-of-direction alarms, backup 
alarms, and 360-degree intermittent warning lights or beacons shall be 
repaired or replaced as soon as practicable within seven calendar days.



Sec. 214.525  Towing with on-track roadway maintenance machines 
or hi-rail vehicles.

    (a) When used to tow pushcars or other maintenance-of-way equipment, 
each on-track roadway maintenance machine or hi-rail vehicle shall be 
equipped with a towing bar or other coupling device that provides a safe 
and secure attachment.
    (b) An on-track roadway maintenance machine or hi-rail vehicle shall 
not be used to tow pushcars or other maintenance-of-way equipment if the 
towing would cause the machine or hi-rail vehicle to exceed the 
capabilities of its braking system. In determining the limit of the 
braking system, the employer must consider the track grade (slope), as 
well as the number and weight of pushcars or other equipment to be 
towed.



Sec. 214.527  On-track roadway maintenance machines; inspection for
compliance and schedule for repairs.

    (a) The operator of an on-track roadway maintenance machine shall 
check the machine components for compliance with this subpart, prior to 
using the machine at the start of the operator's work shift.
    (b) Any non-complying condition that cannot be repaired immediately 
shall be tagged and dated in a manner prescribed by the employer and 
reported to the designated official.
    (c) The operation of an on-track roadway maintenance machine with a 
non-complying condition shall be governed by the following requirements:
    (1) An on-track roadway maintenance machine with headlights or work 
lights that are not in compliance may be operated for a period not 
exceeding 7 calendar days and only during the period between one-half 
hour before sunrise and one-half hour after sunset;
    (2) A portable horn may be substituted for a non-complying or 
missing horn for a period not exceeding seven calendar days;
    (3) A fire extinguisher readily available for use may temporarily 
replace a missing, defective or discharged fire

[[Page 227]]

extinguisher on a new on-track roadway maintenance machine for a period 
not exceeding 7 calendar days, pending the permanent replacement or 
repair of the missing, defective or used fire extinguisher;
    (4) Non-complying automatic change-of-direction alarms, backup 
alarms, and 360-degree intermittent warning lights or beacons shall be 
repaired or replaced as soon as practicable within 7 calendar days; and
    (5) A structurally defective or missing operator's seat shall be 
replaced or repaired within 24 hours or by the start of the machine's 
next tour of duty, whichever is later. The machine may be operated for 
the remainder of the operator's tour of duty if the defective or missing 
operator's seat does not prevent its safe operation.



Sec. 214.529  In-service failure of primary braking system.

    (a) In the event of a total in-service failure of its primary 
braking system, an on-track roadway maintenance machine may be operated 
for the remainder of its tour of duty with the use of a secondary 
braking system or by coupling to another machine, if such operations may 
be done safely.
    (b) If the total in-service failure of an on-track roadway 
maintenance machine's primary braking system occurs where other 
equipment is not available for coupling, the machine may, if it is safe 
to do so, travel to a clearance or repair point where it shall be placed 
out of service until repaired.



Sec. 214.531  Schedule of repairs; general.

    Except as provided in Sec. Sec. 214.527(c)(5), 214.529, and 
214.533, an on-track roadway maintenance machine or hi-rail vehicle that 
does not meet all the requirements of this subpart shall be brought into 
compliance as soon as practicable within seven calendar days. If repairs 
are not made within seven calendar days, the on-track roadway 
maintenance machine or hi-rail vehicle shall be placed out of on-track 
service.



Sec. 214.533  Schedule of repairs subject to availability of parts.

    (a) The employer shall order a part necessary to repair a non-
complying condition on an on-track roadway maintenance machine or a hi-
rail vehicle by the end of the next business day following the report of 
the defect.
    (b) When the employer cannot repair a non-complying condition as 
required by Sec. 214.531 because of the temporary unavailability of a 
necessary part, the employer shall repair the on-track roadway 
maintenance machine or hi-rail vehicle within seven calendar days after 
receiving the necessary part. The employer may continue to use the on-
track roadway maintenance machine or hi-rail vehicle with a non-
complying condition until receiving the necessary part(s) for repair, 
subject to the requirements of Sec. 214.503. However, if a non-
complying condition is not repaired within 30 days following the report 
of the defect, the employer shall remove the on-track roadway 
maintenance machine or hi-rail vehicle from on-track service until it is 
brought into compliance with this subpart.
    (c) If the employer fails to order a part necessary to repair the 
reported non-complying condition, or if it fails to install an available 
part within the required seven calendar days, the on-track roadway 
maintenance machine or hi-rail vehicle shall be removed from on-track 
service until brought into compliance with this subpart.
    (d) Each employer shall maintain records pertaining to compliance 
with this section. Records may be kept on forms provided by the employer 
or by electronic means. The employer shall retain each record for at 
least one year, and the records shall be made available for inspection 
and copying during normal business hours by representatives of FRA and 
States participating under part 212 of this chapter. The records may be 
kept on the on-track roadway maintenance machine or hi-rail vehicle or 
at a location designated by the employer.

[[Page 228]]



      Sec. 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
    (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...............................

[[Page 229]]

 
  (d) Roadway worker failing to notify          ...........        3,000
   employer of determination of improper on-
   track safety provisions....................
214.315 Supervision and communication:
  (a)(1) Complete failure of employer to              5,000       10,000
   provide on-track safety job briefing.......
    (2)-(4) Partial failure of employer to            2,000        4,000
     provide on-track safety job 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 a 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          3,000        6,000
     of 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                               1,500
     communicate 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............
  (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.............

[[Page 230]]

 
  (b) Member of roadway work group fouling a    ...........        2,000
   track without authority of employee in
   charge.....................................
214.336 On-track safety procedures for certain
 roadway work groups and adjacent tracks:
  (a)(1) Failure to establish on-track safety         5,000       10,000
   for each adjacent controlled track as
   required under this section................
    (2) Failure to implement the more                 1,500        3,000
     restrictive procedure required by
     paragraph (b) during special circumstance
     of concurrent movement(s) on two adjacent
     controlled tracks where one movement is
     authorized or permitted at a speed over
     25 mph (or over 40 mph for a passenger
     movement)................................
  (b)(1) Failure of roadway worker to cease           5,000       10,000
   work and occupy a predetermined place of
   safety upon receiving a warning or
   notification of train or other on-track
   equipment movement(s) on an adjacent
   controlled track...........................
     (2) Resumption of work before trailing-          5,000       10,000
     end of all applicable movements has
     passed the roadway worker................
  (c) Failure to maintain 25-foot spacing             2,000        4,000
   between on-track, self-propelled equipment
   or coupled equipment and roadway worker(s)
   on the occupied track during an adjacent-
   controlled-track movement at 25 mph or less
  (d) Failure to implement on-track safety            2,000        4,000
   procedures on an adjacent track when deemed
   necessary by the roadway worker in charge
   of providing on-track safety for a roadway
   work group.................................
  (e).........................................          (1)          (1)
  (f) Roadway maintenance machine component           5,000       10,000
   fouling an adjacent controlled track
   without working limits or with movements
   permitted within working limits............
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....................
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
    Subpart D--On-Track Roadway Maintenance
         Machines and Hi-Rail Vehicles
214.503 Good-faith challenges; procedures for
 notification and resolution:
    (a) Failure of employee to notify employer  ...........        4,000
     that the machine or vehicle does not
     comply with this subpart or has a
     condition inhibiting safe operation......
    (b) Roadway worker required to operate            5,000       10,000
     machine or vehicle when good-faith
     challenge not resolved...................
    (c) Failure of employer to have or follow         5,000       10,000
     written procedures to resolve good-faith
     challenges...............................
214.505 Required environmental control and
 protection systems for new on-track roadway
 maintenance machines with enclosed cabs:
    (a) Failure to equip new machines with            5,000       10,000
     required systems.........................
    (b) Failure of new or existing machines to        5,000       10,000
     protect employees from exposure to air
     contaminants.............................

[[Page 231]]

 
    (c) Failure of employer to maintain               2,000        4,000
     required list of machines or make list
     available................................
    (d) Removal of ``designated machine'' from        2,000        4,000
     list before retired or sold..............
    (e) Personal respiratory protective               5,000       10,000
     equipment not provided when ventilation
     system fails.............................
    (f) Personal respiratory protective               5,000       10,000
     equipment fails to meet required
     standards................................
    (g) Other new machines with enclosed cabs         5,000       10,000
     not equipped with operable heating and
     ventilation systems......................
    (h) Non-enclosed station not equipped with        5,000       10,000
     covering, where feasible.................
214.507 Required safety equipment for new on-
 track roadway maintenance machines:
    (a)(1)-(5) Failure to equip new machine or        5,000       10,000
     provide protection as specified in these
     paragraphs...............................
    (a)(6)-(7) Failure to equip new machine           2,500        5,000
     with first-aid kit or operative and
     charged fire extinguisher................
    (b) Position for operator to stand not            5,000       10,000
     properly equipped to provide safe and
     secure position..........................
    (c) New machine not equipped with accurate        2,500        5,000
     speed indicator, as required.............
    (d) As-built light weight not                     2,500        5,000
     conspicuously displayed on new machine...
214.509 Required visual illumination and              2,500        5,000
 reflective devices for new on-track roadway
 maintenance machines.........................
214.511 Required audible warning devices for          5,000       10,000
 new on-track roadway maintenance machines....
214.513 Retrofitting of existing on-track
 roadway maintenance machines; general:
    (a) Failure to provide safe and secure            5,000       10,000
     position and protection from moving parts
     2,000 4,000 inside cab for each roadway
     worker transported on machine............
    (b) Horn or other audible warning device          2,500        5,000
     is missing, inoperable, or has non-
     compliant triggering mechanism...........
    (c) Illumination device or portable light         2,500        5,000
     missing, inoperable, improperly secured,
     or incapable of illuminating track as
     required.................................
214.515 Overhead covers for existing on-track
 roadway maintenance machines:
    (a) Failure to repair, reinstall, or              5,000       10,000
     maintain overhead cover as required......
    (b) Failure to provide written response to        2,000        4,000
     operator's request within 60 days........
214.517 Retrofitting of existing on-track
 roadway maintenance machines manufactured on
 or after January 1, 1991:
    (a) Failure to equip machine with change-         5,000       10,000
     of-direction alarm or rearward viewing
     device...................................
    (b) Failure to equip machine with                 5,000       10,000
     operative heater.........................
    (c) Failure to display light weight of            2,500        5,000
     machine as required......................
    (d) Failure to equip machine with                 5,000       10,000
     reflective material, reflective device,
     or operable brake lights.................
    (e) Failure to install or replace safety          5,000       10,000
     glass as required........................
    (f) Failure to equip machine with                 5,000       10,000
     turntable restraint device or warning
     light as required........................
214.518 Safe and secure position for riders...        5,000       10,000
214.519 Floors, decks, stairs, and ladders for        5,000       10,000
 on-track roadway maintenance machines........
214.521 Flagging equipment for on-track               2,500        5,000
 roadway maintenance machines and hi-rail
 vehicles.....................................
214.523 Hi-rail vehicles:
    (a) Failure to inspect hi-rail gear               5,000       10,000
     annually.................................
    (b) Failure to maintain inspection record         2,000        4,000
     or make record available to FRA..........
    (c) Failure to equip new hi-rail vehicle          2,500        5,000
     with alarm and light or beacon as
     required.................................
    (d)(2) Failure of operator to tag, date or        2,000        4,000
     report non-complying condition...........
    (d)(3) Failure to repair or replace non-          2,500        5,000
     complying alarms, lights or beacons as
     required.................................
214.525 Towing with on-track roadway                  5,000       10,000
 maintenance machines or hi-rail vehicles.....
214.527 On-track roadway maintenance machines;
 inspection for compliance and schedule for
 repairs:
    (a) Failure of operator to check on-track         2,000        4,000
     roadway maintenance machine for
     compliance...............................
    (b) Failure of oeprator to tag, date, or          2,000        4,000
     report noncomplying condition............
    (c)(1)-(4) Failure to meet requirements           2,500        5,000
     for operating on-track roadway
     maintenance machine with non-complying
     headlights, work lights, horn, fire
     extinguisher, alarm, warning light, or
     beacon...................................
    (c)(5) Failure to repair or replace               5,000       10,000
     defective or missing operator's seat
     within required time period..............
214.529 In-service failure of primary braking         5,000       10,000
 system.......................................
214.531 Schedule of repairs; general..........        2,500        5,000
214.533 Schedule of repairs subject to
 availability of parts:
    (a)-(c) Failure to order necessary                2,500        5,000
     part(s), make repair(s), or remove on-
     track roadway maintenance machine or hi-
     rail vehicle from service as required....
    (d) Failure to maintain record or make            2,000        4,000
     record available to FRA..................
------------------------------------------------------------------------
\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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. Failure to observe any condition(s) of an
  exception set forth in paragraph (e) of Sec. 214.336 deprives the
  railroad or contractor of the benefit of the exception and makes the
  railroad or contractor, and any responsible individuals, liable for
  penalty under the particular regulatory provision(s) from which the
  exception would otherwise have granted relief.
\2\ The penalty schedule uses section numbers from 49 CFR part 214. If
  more than one item is listed as a type of violation of a given
  section, each item is also designated by a ``penalty code,'' which is
  used to facilitate assessment of civil penalties, and which may or may
  not correspond to any subsection designation(s). For convenience,
  penalty citations will cite the CFR section and the penalty code, if
  any. FRA reserves the right, should litigation become necessary, to
  substitute in its complaint the CFR citation in place of the combined
  CFR and penalty code citation, should they differ.


[[Page 232]]


[57 FR 28127, June 24, 1992, as amended at 61 FR 65981, Dec. 16, 1996; 
63 FR 11620, Mar. 10, 1998; 68 FR 44412, July 28, 2003; 69 FR 8839, Feb. 
26, 2004; 69 FR 30593, May 28, 2004; 73 FR 79701, Dec. 30, 2008; 77 FR 
24419, Apr. 24, 2012; 76 FR 74615, Nov. 30, 2011; 79 FR 1770, Jan. 10, 
2014; 81 FR 43109, July 1, 2016]

    Effective Date Note: At 81 FR 37890, June 10, 2016, appendix A to 
part 214 was amended by, adding footnote number 2 to the table heading 
``Section'' and, under subpart C, revising the entries for Sec. Sec. 
214.303(b), 214.307, 214.309, 214.315(a), 214.317, 214.319, 214.329(a), 
214,339, and 214.353 and adding entries for Sec. Sec. 214.318, 214.320, 
214.321(b)(4) and (e), 214.322, 214.323(c) and (d), 214.331(e), and 
214.337(g) , effective Apr. 1, 2017. For the convenience of the user, 
the added and revised text is set forth as follows:



      Sec. Appendix A to Part 214--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                                                               Willful
                  Section \2\                    Violation    violation
------------------------------------------------------------------------
 
                              * * * * * * *
------------------------------------------------------------------------
                Subpart C--Roadway Worker Protection Rule
------------------------------------------------------------------------
214.303 Railroad on-track safety programs,
 generally:
 
                              * * * * * * *
    (b) Failure of a railroad to include and          5,000       10,000
     use internal monitoring procedure........
 
                              * * * * * * *
214.307 On-track safety programs:
    (a)(i) Failure to adopt On-Track Safety          10,000       13,000
     Program..................................
    (ii) Failure to provide On-track Safety           1,000        5,000
     Program to FRA upon request..............
    (b) Failure to notify FRA of adoption or          1,000        5,000
     change to On-Track Safety Program........
    (c) Failure to amend or provide written          10,000       20,000
     response after disapproval of On-track
     Safety Program...........................
214.309 On-track safety manual:
    (a) On-track Safety Manual not provided to        2,000        5,000
     prescribed employees.....................
(b) Failure to establish provision for lone           5,000       10,000
 worker to have alternative access to On-track
 Safety Manual................................
(c) Failure to maintain entire set of on-track        2,000        5,000
 safety rules and instructions, including
 updates temporarily published in bulletins or
 notices, in one On-Track Safety Manual.......
 
                              * * * * * * *
214.315 Supervision and communication:
    (a)(1)Complete failure of employer to             5,000       10,000
     provide on-track safety job briefing.....
    (2)-(5) Partial failure of employer to            2,000        4,000
     provide on-track safety job briefing.....
 
                              * * * * * * *
214.317 On-track safety procedures, generally:
    (a) On-track safety rules conflict with           5,000       10,000
     this part................................
    (b) Failure to adopt or comply with rules         2,000        5,000
     governing safe crossing of track.........
        (3) Failure to establish on-track             2,000        5,000
         safety if required...................
    (c)(1) Failure to adopt or comply with            3,000        5,000
     operating procedure if this section is
     utilized in lieu of establishing working
     limits...................................
    (2) Failure to grant absolute right to            3,000        5,000
     establish working limits if requested by
     RWIC or lone worker......................
    (3) Except as permitted, roadway worker           3,000        5,000
     fouling track without on-track safety....
    (4) Roadway maintenance machine not               3,000        5,000
     properly equipped or utilized............
    (d)(1) Failure to inspect tunnel niche or         3,000        5,000
     clearing bay.............................
    (2) Lack of adequate sight distance.......        3,000        5,000
    (3) Failure to grant absolute right to            5,000       10,000
     establish other place of safety or to
     establish working limits if requested by
     RWIC or lone worker......................
214.318 Locomotive servicing and car shop
 repair track areas:
    (a)-(c)...................................        3,000        5,000
214.319 Working limits, generally:
    (a)(1)Non-qualified RWIC of working limits        5,000       10,000
    (a)(2) More than one RWIC of working              2,000        5,000
     limits on the same track segment.........
    (a)(3)(i) Working limits released without         5,000       10,000
     notifying all affected roadway workers...
    (a)(3)(ii) Working limits released before         5,000       10,000
     all affected roadway workers are
     otherwise protected......................
    (b)(1) Failure to adopt redundant                 5,000       10,000
     protections in on-track safety program...
    (b)(2) Failure to comply with redundant           5,000       10,000
     protections identified in on-track safety
     program when controlled track working
     limits are established...................
214.320 Roadway maintenance machine movements         5,000        7,500
 over signalized non-controlled track.........
214.321 Exclusive track occupancy:

[[Page 233]]

 
 
                              * * * * * * *
    (b) * * *.................................
    (4) (i) Failure to specify unique roadway         3,000        5,000
     work group number, employee name, or
     unique identifier........................
    (ii) Failure to adopt procedure requiring         3,000        5,000
     precise communication between RWIC or
     lone worker and trains or other on-track
     equipment................................
 
                              * * * * * * *
    (e)(1)-(4) Failure to comply with                 5,000       10,000
     occupancy behind requirements............
214.322 Exclusive track occupancy, electronic
 display:
    (a) Contents of authority electronically          3,000        5,000
     displayed not readily viewable...........
    (b) Failure to timely obtain written/             3,000        5,000
     printed authority or occupy place of
     safety if electronic display fails while
     authority is in effect...................
    (c)-(h)...................................        2,000        4,000
214.323 Foul time:
 
                              * * * * * * *
    (c) Train dispatcher or control operator          5,000       10,000
     permitting movement of trains or other on-
     track equipment into working limits prior
     to RWIC reporting clear of track.........
    (d) RWIC permitting movement of trains or         5,000       10,000
     on-track equipment into or within working
     limits...................................
 
                              * * * * * * *
214.329 Train approach warning provided by
 watchmen/lookouts:
    (a)(i) Failure to give timely warning of          5,000       10,000
     approaching train........................
    (ii) Failure to use maximum authorized            3,000        5,000
     speed in formulating sight distance......
    (iii) Use of another track as a place of          3,000        5,000
     safety without establishing working
     limits on that track.....................
 
                              * * * * * * *
214.331 Definite train location:
 
                              * * * * * * *
    (e) Failure to discontinue use of definite        9,500       13,000
     train location by required date..........
 
                              * * * * * * *
214.337 On-track safety procedures for lone
 workers:
 
                              * * * * * * *
    (g) Use of individual train detection             2,000        4,000
     while using machine, equipment, or
     material that cannot be readily removed
     by hand..................................
214.339 Audible warning from trains:
    (a)-(b) Failure to adopt or comply with           2,000        4,000
     audible warning procedures...............
 
                              * * * * * * *
214.353 Training and qualification of roadway         2,000        4,000
 workers in charge............................
 
                              * * * * * * *
------------------------------------------------------------------------
\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 $105,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. Failure to observe any condition(s) of an
  exception set forth in paragraph (e) of Sec. 214.336 deprives the
  railroad or contractor of the benefit of the exception and makes the
  railroad or contractor, and any responsible individuals, liable for
  penalty under the particular regulatory provision(s) from which the
  exception would otherwise have granted relief.
\2\ The penalty schedule uses section numbers from 49 CFR part 214. If
  more than one item is listed as a type of violation of a given
  section, each item is also designated by a ``penalty code,'' which is
  used to facilitate assessment of civil penalties, and which may or may
  not correspond to any subsection designation(s). For convenience,
  penalty citations will cite the CFR and the penalty code, if any. FRA
  reserves the right, should litigation become necessary, to substitute
  in its complaint the CFR citation in place of the combined CFR and
  penalty code citation, should they differ.



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.

[[Page 234]]

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; 28 U.S.C. 2461, note; and 49 CFR 
1.89.

    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 not used in revenue 
service and is stenciled in accordance with Sec. 215.305 of this part.
    (4) Operated in a passenger train and that is inspected, tested, 
maintained, and operated pursuant to the requirements contained in part 
238 of this chapter.

[44 FR 77340, Dec. 31, 1979, as amended at 65 FR 41305, July 3, 2000]



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

[[Page 235]]

    (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; 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 $839 and not more than $27,455 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 $109,819 
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; 69 FR 30593, May 28, 2004; 72 FR 51196, 
Sept. 6, 2007; 73 FR 79701, Dec. 30, 2008; 77 FR 24419, Apr. 24, 2012; 
81 FR 43109, July 1, 2016]



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

[[Page 236]]

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]



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,

[[Page 237]]

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;
    (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

[[Page 238]]

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--
    (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;

[[Page 239]]

    (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
    [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;

[[Page 240]]

    (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 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 241]]

[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 242]]

    (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.



Sec. 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; 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.

[44 FR 77340, Dec. 31, 1979, as amended at 74 FR 25172, May 27, 2009]



                          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.

[[Page 243]]

    (4) Bearings.
    (5) Truck.
    (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]



      Sec. 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 244]]

    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            2,500        5,000
             more than \13/16\.....
            (2) \13/16\ or less....        5,000        7,500
        (b) Flange height of:
            (1) 1\1/2\ or greater          2,500        5,000
             but less than 1\5/8\..
            (2) 1\5/8\ or more.....        5,000        7,500
        (c) Rim thickness of:
            (1) \11/16\ or less but        2,500        5,000
             more 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) 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         2,500        5,000
             less than 1\5/8\ in
             length; and \1/2\ or
             more but less than \5/8\ in width.....................
            (2) 1\5/8\ or more in          5,000        7,500
             length; or \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            5,000        7,500
             more in 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            2,500        5,000
             less than 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..............
        (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.....................

[[Page 245]]

 
        (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 derailment        2,500        5,000
         (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\           2,500        5,000
             but not 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\           2,500        5,000
         clearance 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....................
        (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

[[Page 246]]

 
    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 $27,455 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
  $109,819 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; 
69 FR 30593, May 28, 2004; 72 FR 51196, Sept. 6, 2007; 73 FR 79701, Dec. 
30, 2008; 77 FR 24419, Apr. 24, 2012; 81 FR 43109, July 1, 2016]



   Sec. 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.
    (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;

[[Page 247]]

    (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.
    (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.

[[Page 248]]

    (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.



     Sec. 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, as amended at 73 FR 79701, Dec. 30, 2008]



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.

                     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. 20102-20104, 20107, 20111, 20133, 20701-20702, 
21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    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--

[[Page 249]]

    (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 to the Docket Clerk, Office of Chief 
Counsel, Federal Railroad Administration, Washington, DC 20590.
    (c) The notices prescribed in Sec. Sec. 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; 74 FR 25172, May 27, 2009]



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 $839 and not more than $27,455 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 $109,819 
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; 
69 FR 30593, May 28, 2004; 72 FR 51196, Sept. 6, 2007; 73 FR 79701, Dec. 
30, 2008; 77 FR 24420, Apr. 24, 2012; 81 FR 43109, July 1, 2016]



                  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 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.

[[Page 250]]

    (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 Sec. Sec. 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 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.

[[Page 251]]

    (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. 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 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 FRA Regional Administrator 
notifies the railroad that the appeal has been denied.
    (b) A railroad whose appeal to the FRA Regional Administrator 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 FRA Regional Administrator.
    (c) The requirements of a Special Notice issued under this subpart 
shall remain in effect and be observed by a railroad pending appeal to 
the FRA Regional Administrator or to the Administrator.

[67 FR 19989, Apr. 23, 2002]



                     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 recommendation, the 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.

[67 FR 19989, Apr. 23, 2002]



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.

[[Page 252]]

    (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.
217.2 Preemptive effect.
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; 28 U.S.C. 2461, note; and 49 CFR 
1.89.

    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. 217.2  Preemptive effect.

    Normal State negligence standards apply where there is no Federal 
action covering the subject matter. Under 49 U.S.C. 20106 (section 
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 railroad safety or railroad 
security hazard; that is not incompatible with a law, regulation, or 
order of the United States Government; and that does not unreasonably 
burden interstate commerce. Section 20106 permits State tort actions 
arising from events or activities occurring on or after January 18, 
2002, for the following: violation of the Federal standard of care 
established by regulation or order issued by the Secretary of 
Transportation (with respect to railroad safety, such as these 
regulations) or the Secretary of Homeland Security (with respect to 
railroad security); a party's violation of, or failure to comply with, 
its own plan, rule, or standard that it created pursuant to a regulation 
or order issued by either of the two Secretaries; and a party's 
violation of a State standard that is necessary to eliminate or reduce 
an essentially local safety or security hazard, is not incompatible with 
a law, regulation, or order of the

[[Page 253]]

United States Government, and does not unreasonably burden interstate 
commerce. Nothing in section 20106 creates a Federal cause of action on 
behalf of an injured party or confers Federal question jurisdiction for 
such State law causes of action.

[73 FR 8495, Feb. 13, 2008]



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]



Sec. 217.4  Definitions.

    As used in this part--
    Associate Administrator for Safety means the Associate Administrator 
for Safety of the Federal Railroad Administration or that person's 
delegate as designated in writing.
    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.
    FRA means the Federal Railroad Administration.
    Qualified means that a person has successfully completed all 
instruction, training, and examination programs required by the railroad 
and this part and that the person, therefore, has actual knowledge or 
may reasonably be expected to have knowledge of the subject on which the 
person is expected to be competent.
    System headquarters means the location designated by the railroad as 
the general office for the railroad system.

[59 FR 43070, Aug. 22, 1994, as amended at 73 FR 8496, Feb. 13, 2008]



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 $839 and not more than $27,455 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 $109,819 
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; 69 FR 30593, May 28, 2004; 72 FR 51196, 
Sept. 6, 2007; 73 FR 79701, Dec. 30, 2008; 77 FR 24420, Apr. 24, 2012; 
81 FR 43109, July 1, 2016]



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

[[Page 254]]

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 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, specifically including tests and inspections sufficient to 
verify compliance with the requirements of subpart F of part 218 of this 
chapter, in accordance with a written program as required by paragraph 
(c) of this section.
    (b) Railroad and railroad testing officer responsibilities. The 
requirements of this paragraph (b) are applicable beginning January 1, 
2009.
    (1) Each railroad officer who conducts operational tests and 
inspections (railroad testing officer) shall:
    (i) Be qualified on the railroad's operating rules in accordance 
with Sec. 217.11 of this part;
    (ii) Be qualified on the operational testing and inspection program 
requirements and procedures relevant to the testing and inspections the 
officer will conduct;
    (iii) Receive appropriate field training, as necessary to achieve 
proficiency, on each operational test or inspection that the officer is 
authorized to conduct; and
    (iv) Conduct operational tests and inspections in accordance with 
the railroad's program of operational tests and inspections.
    (2) Written records documenting qualification of each railroad 
testing officer shall be retained at the railroad's system headquarters 
and at the division headquarters for each division where the officer is 
assigned and shall be made available to representatives of the FRA for 
inspection and copying during normal business hours.
    (c) Written program of operational tests and inspections. Every 
railroad shall have a written program of operational tests and 
inspections in effect. New railroads shall have such a program within 30 
days of commencing rail operations. The program shall--
    (1) Provide for operational testing and inspection under the various 
operating conditions on the railroad. As of January 1, 2009, the program 
shall address with particular emphasis those operating rules that cause 
or are likely to cause the most accidents or incidents, such as those 
accidents or incidents identified in the quarterly reviews, six month 
reviews, and the annual summaries as required under paragraphs (e) and 
(f) of this section, as applicable;
    (2) Require a minimum number of tests and inspections per year 
covering the requirements of part 218, subpart F of this chapter;
    (3) Describe each type of operational test and inspection required, 
including the means and procedures used to carry it out;
    (4) State the purpose of each type of operational test and 
inspection;

[[Page 255]]

    (5) State, according to operating divisions where applicable, the 
frequency with which each type of operational test and inspection is to 
be conducted;
    (6) As of January 1, 2009, identify the officer(s) by name, job 
title, and, division or system, who shall be responsible for ensuring 
that the program of operational tests and inspections is properly 
implemented. The responsibilities of such officer(s) shall include, but 
not be limited to, ensuring that the railroad's testing officers are 
directing their efforts in an appropriate manner to reduce accidents/
incidents and that all required reviews and summaries are completed. A 
railroad with divisions shall identify at least one officer at the 
system headquarters who is responsible for overseeing the entire program 
and the implementation by each division.
    (7) Include a schedule for making the program fully operative within 
210 days after it begins.
    (d) Records. (1) 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 and at each division headquarters where the tests and 
inspections 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 FRA for inspection and copying 
during normal business hours.
    (2) Each railroad 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 and at each division headquarters where the tests and 
inspections 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 FRA for inspection and copying 
during normal business hours.
    (e) Reviews of tests and inspections and adjustments to the program 
of operational tests. This paragraph (e) shall apply to each Class I 
railroad and the National Railroad Passenger Corporation beginning April 
1, 2009 and to all other railroads subject to this paragraph beginning 
July 1, 2009.
    (1) Reviews by railroads other than passenger railroads. Each 
railroad to which this part applies shall conduct periodic reviews and 
analyses as provided in this paragraph and shall retain, at each 
division headquarters, where applicable, and at its system headquarters, 
one copy of the following written reviews, provided however that this 
requirement does not apply to either a railroad with less than 400,000 
total employee work hours annually or a passenger railroad subject to 
paragraph (e)(2) of this section.
    (i) Quarterly review. The designated officer of each division 
headquarters, or system headquarters, if no division headquarters 
exists, shall conduct a written quarterly review of the accident/
incident data, the results of prior operational tests and inspections, 
and other pertinent safety data for that division or system to identify 
the relevant operating rules related to those accidents/incidents that 
occurred during the quarter. The review shall also include the name of 
each railroad testing officer, the number of tests and inspections 
conducted by each officer, and whether the officer conducted the minimum 
number of each type of test or inspection required by the railroad's 
program. Based upon the results of that review, the designated officer 
shall make any necessary adjustments to the tests and inspections 
required of railroad officers for the subsequent period(s). Quarterly 
reviews and adjustments shall be completed no later than 30 days after 
the quarter has ended.
    (ii) Six month review. The designated officer of each system 
headquarters office responsible for development and administration of 
the program of operational tests and inspections shall conduct a review 
of the program of operational tests and inspections on a six month basis 
to ensure that it is being utilized as intended, that the quarterly 
reviews provided for in this paragraph

[[Page 256]]

have been properly completed, that appropriate adjustments have been 
made to the distribution of tests and inspections required, and that the 
railroad testing officers are appropriately directing their efforts. Six 
month reviews shall be completed no later than 60 days after the review 
period has ended.
    (2) Reviews by passenger railroads. Not less than once every six 
months, the designated officer(s) of the National Railroad Passenger 
Corporation and of each railroad providing commuter service in a 
metropolitan or suburban area shall conduct periodic reviews and 
analyses as provided in this paragraph and shall retain, at each 
division headquarters, where applicable, and at its system headquarters, 
one copy of the reviews. Each such review shall be completed within 30 
days of the close of the period. The designated officer(s) shall conduct 
a written review of:
    (i) The operational testing and inspection data for each division, 
if any, or the system to determine compliance by the railroad testing 
officers with its program of operational tests and inspections required 
by paragraph (c) of this section. At a minimum, this review shall 
include the name of each railroad testing officer, the number of tests 
and inspections conducted by each officer, and whether the officer 
conducted the minimum number of each type of test or inspection required 
by the railroad's program;
    (ii) Accident/incident data, the results of prior operational tests 
and inspections, and other pertinent safety data for each division, if 
any, or the system to identify the relevant operating rules related to 
those accidents/incidents that occurred during the period. Based upon 
the results of that review, the designated officer(s) shall make any 
necessary adjustments to the tests and inspections required of railroad 
officers for the subsequent period(s); and
    (iii) Implementation of the program of operational tests and 
inspections from a system perspective, to ensure that it is being 
utilized as intended, that the other reviews provided for in this 
paragraph have been properly completed, that appropriate adjustments 
have been made to the distribution of tests and inspections required, 
and that the railroad testing officers are appropriately directing their 
efforts.
    (3) Records retention. The records of periodic reviews required in 
paragraphs (e)(1) and (e)(2) of this section shall be retained for a 
period of one year after the end of the calendar year to which they 
relate and shall be made available to representatives of FRA for 
inspection and copying during normal business hours.
    (f) Annual summary of 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 employee work hours 
annually, 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 calendar year 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 (c) 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 FRA for inspection and copying during normal business hours.
    (g) Electronic recordkeeping. Each railroad to which this part 
applies is authorized to retain by electronic recordkeeping the 
information prescribed in 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 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 257]]

    (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 FRA with immediate 
access to these records for inspection and copying during normal 
business hours and provides printouts of such records upon request.
    (h) Upon review of the program of operational tests and inspections 
required by this section, the Associate Administrator for Safety may, 
for cause stated, disapprove the program. Notification of such 
disapproval shall be made in writing and specify the basis for the 
disapproval decision. If the Associate Administrator for Safety 
disapproves the program,
    (1) The railroad has 35 days from the date of the written 
notification of such disapproval to:
    (i) Amend its program and submit it to the Associate Administrator 
for Safety for approval; or
    (ii) Provide a written response in support of the program to the 
Associate Administrator for Safety, who informs the railroad of FRA's 
final decision in writing; and
    (2) A failure to submit the program with the necessary revisions to 
the Associate Administrator for Safety in accordance with this paragraph 
will be considered a failure to implement a program under this part.

[73 FR 8496, Feb. 13, 2008, as amended at 73 FR 33902, June 16, 2008]



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(g)(1) through (5) of this part are satisfied.

[39 FR 41176, Nov. 25, 1974, as amended at 59 FR 43071, Aug. 22, 1994; 
73 FR 8497, Feb. 13, 2008]



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.

[[Page 258]]

    (3) Section 217.11.

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



      Sec. 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) Failure to implement a program........  $9,500-12,5  $13,000-16,
                                                         00          000
    (b) Railroad and railroad testing officer
     responsibilities:........................
        (1) Failure to provide instruction,           9,500       13,000
         examination, or field training, or
         failure to conduct tests in
         accordance with program..............
        (2) Records...........................        7,500       11,000
    (c) Record of program; program incomplete.  7,500-12,50  11,000-16,0
                                                          0           00
    (d) Records of individual tests and               7,500
     inspections..............................
    (e) Failure to retain copy of or conduct:.
        (1)(i) Quarterly review...............        9,500       13,000
        (1)(ii) and (2) Six month review......        9,500       13,000
        (3) Records...........................        7,500       11,000
    (f) Annual summary........................        7,500       11,000
    (h) Failure to timely or appropriately      9,500-12,50  13,000-16,0
     amend program after disapproval..........            0           00
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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[59 FR 43071, Aug. 22, 1994, as amended at 63 FR 11620, Mar. 10, 1998; 
69 FR 30593, May 28, 2004; 73 FR 8497, Feb. 13, 2008; 73 FR 79701, Dec. 
30, 2008; 77 FR 24420, Apr. 24, 2012; 81 FR 43109, July 1, 2016]



PART 218_RAILROAD OPERATING PRACTICES--Table of Contents



                            Subpart A_General

Sec.
218.1 Purpose.
218.3 Application.
218.4 Preemptive effect.
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.

[[Page 259]]

218.77 Remotely controlled switches.
218.79 Alternative methods of protection.
218.80 Movement of occupied camp cars.

        Subpart F_Handling Equipment, Switches, and Fixed Derails

218.91 Purpose and scope.
218.93 Definitions.
218.95 Instruction, training, and examination.
218.97 Good faith challenge procedures.
218.99 Shoving or pushing movements.
218.101 Leaving rolling and on-track maintenance-of-way equipment in the 
          clear.
218.103 Hand-operated switches, including crossover switches.
218.105 Additional operational requirements for hand-operated main track 
          switches.
218.107 Additional operational requirements for hand-operated crossover 
          switches.
218.109 Hand-operated fixed derails.

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
Appendix D to Part 218--Requirements and Considerations for Implementing 
          Technology Aided Point Protection

    Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 
1.89.

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



                            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. 218.4  Preemptive effect.

    Normal State negligence standards apply where there is no Federal 
action covering the subject matter. Under 49 U.S.C. 20106 (section 
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 railroad safety or railroad 
security hazard; that is not incompatible with a law, regulation, or 
order of the United States Government; and that does not unreasonably 
burden interstate commerce. Section 20106 permits State tort actions 
arising from events or activities occurring on or after January 18, 
2002, for the following: Violation of the Federal standard of care 
established by regulation or order issued the Secretary of 
Transportation (with respect to railroad safety, such as these 
regulations) or the Secretary of Homeland Security (with respect to 
railroad security); a party's violation of, or failure to comply with, 
its own plan, rule, or standard that it created pursuant to a regulation 
or order issued by either of the two Secretaries; and a party's 
violation of a State standard that is necessary to eliminate or reduce 
an essentially local safety or security hazard, is not incompatible with 
a law, regulation, or order of the United States Government, and does 
not unreasonably burden interstate commerce. Nothing in section 20106 
creates a Federal cause of action on behalf of an injured party or 
confers Federal question jurisdiction for such State law causes of 
action.

[73 FR 8498, Feb. 13, 2008]



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

[[Page 260]]

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 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 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, except for purposes of subpart F of this part, 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 Sec. Sec. 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

[[Page 261]]

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, 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; 73 
FR 8498, Feb. 13, 2008]



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 $839 and not more than $27,455 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 $109,819 
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; 69 FR 30593, May 28, 2004; 72 FR 51196, 
Sept. 6, 2007; 73 FR 79701, Dec. 30, 2008; 77 FR 24420, Apr. 24, 2012; 
81 FR 43109, July 1, 2016]



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

[[Page 262]]

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, 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 Sec. Sec. 
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 Sec. Sec. 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

[[Page 263]]

    (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 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

[[Page 264]]

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 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

[[Page 265]]

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 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).

[[Page 266]]

    (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 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 
and display one lighted fusee. The crew member may then return one-half 
of the distance to the crew member's train where the crew member must 
remain until the crew member has stopped the approaching train or is 
recalled. When recalled, the crew member must leave one lighted fusee 
and while returning to the crew member's train, the crew member 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, the crew member 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 the crew 
member's train against opposing movements by immediately going forward 
at least the distance prescribed by timetable or other instructions for 
the territory, 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; 73 
FR 8498, Feb. 13, 2008]



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

[[Page 267]]

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 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

[[Page 268]]

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.



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 Sec. Sec. 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

[[Page 269]]

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 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.



        Subpart F_Handling Equipment, Switches, and Fixed Derails

    Source: 73 FR 8498, Feb. 13, 2008, unless otherwise noted.



Sec. 218.91  Purpose and scope.

    (a) The purpose of this subpart is to prevent accidents and 
casualties that can result from the mishandling of equipment, switches, 
and fixed derails.

[[Page 270]]

    (b) This subpart prescribes minimum operating rule requirements for 
the handling of equipment, switches, and fixed derails. Each railroad 
may prescribe additional or more stringent requirements in its operating 
rules, timetables, timetable special instructions, and other 
instructions.



Sec. 218.93  Definitions.

    As used in this subpart--
    Associate Administrator for Safety means the Associate Administrator 
for Safety of the Federal Railroad Administration or that person's 
delegate as designated in writing.
    Clearance point means the location near a turnout beyond which it is 
unsafe for passage on an adjacent track(s). Where a person is permitted 
by a railroad's operating rules to ride the side of a car, a clearance 
point shall accommodate a person riding the side of a car.
    Correspondence of crossover switches means both crossover switches 
are lined for the crossover or both are lined for the straight tracks.
    Crossover means, for purposes of this subpart only, a track 
connection between two adjacent, but not necessarily parallel, tracks, 
consisting of two switches, which is intended to be used primarily for 
the purpose of crossing over from one track to another.
    Departure track means a track located in a classification yard where 
rolling equipment is placed and made ready for an outgoing train 
movement.
    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 subpart.
    Foul or fouling a track means rolling equipment or on-track 
maintenance-of-way equipment is located such that the end of the 
equipment is between the clearance point and the switch points leading 
to the track on which the equipment is standing.
    FRA means the Federal Railroad Administration.
    Hand-operated switch means any type of switch when operated by 
manual manipulation. For purposes of this subpart, a hand-operated 
switch does not include switches operated by push button or radio 
control when such switch is protected by distant switch indicators, 
switch point indicators, or other visual or audio verification that the 
switch points are lined for the intended route and fit properly.
    Highway-rail grade crossing means, for purposes of this subpart 
only, an at-grade crossing where a public highway, road, street, or 
private roadway, including associated sidewalks and pathways, crosses 
one or more railroad tracks at grade, and is identified by a U.S. DOT 
National Highway-Rail Grade Crossing Inventory Number, or is marked by 
crossbucks, stop signs, or other appropriate signage indicating the 
presence of an at-grade crossing.
    Industry track means a switching track, or series of tracks, serving 
the needs of a commercial industry other than a railroad.
    Lite locomotive consist means two or more locomotive units coupled 
without cars attached, regardless of whether the locomotive units are 
connected so that they may be operated from a single control stand.
    Locomotive means, for purposes of this subpart only, a piece of on-
track equipment (other than specialized roadway maintenance equipment or 
a dual purpose vehicle operating in accordance with Sec. 240.104(a)(2) 
of this chapter):
    (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.
    Pedestrian crossing means a separate designated sidewalk or pathway 
where pedestrians, but not vehicles, cross railroad tracks. Sidewalk 
crossings contiguous with, or separate but adjacent to, highway-rail 
grade crossings, are presumed to be part of the highway-rail grade 
crossings and are not considered pedestrian crossings.
    Qualified means that a person has successfully completed all 
instruction, training, and examination programs required by the railroad 
and this subpart and that the person, therefore, has actual knowledge or 
may reasonably be

[[Page 271]]

expected to have knowledge of the subject on which the person is 
expected to be competent.
    Remote control operator means a locomotive engineer, as defined in 
Sec. 240.7 of this chapter, certified by a railroad to operate remote 
control locomotives pursuant to Sec. 240.107 of this chapter.
    Remote control zone means one or more tracks within defined limits 
designated in the timetable special instructions, or other railroad 
publication, within which remote control locomotives, under certain 
circumstances specified in this part, may be operated without an 
employee assigned to protect the pull-out end of the remote control 
movement, i.e., the end on which the locomotive is located.
    Roadway maintenance activity means any work limited to the duties 
prescribed for a roadway worker by definition in this section, including 
movement of on-track maintenance-of-way equipment other than 
locomotives.
    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 Sec. 
214.7 of this chapter.
    Roadway worker in charge means a roadway worker who is qualified in 
accordance with Sec. 214.353 of this chapter for the purpose of 
establishing on-track safety for roadway work groups.
    Siding means an auxiliary track, adjacent and connected to a main 
track, used for meeting or passing trains.
    Signaled siding means a siding within traffic control system (TCS) 
territory or within interlocking limits where a signal indication 
authorizes the siding's use.
    Switchtender means a qualified employee assigned to handle switches 
at a specific location.
    Track is clear means:
    (1) The portion of the track to be used for the intended movement is 
unoccupied by rolling equipment, on-track maintenance-of-way equipment, 
and conflicting on-track movements;
    (2) Intervening public highway-rail grade crossings, private 
highway-rail grade crossings outside the physical confines of a railroad 
yard, pedestrian crossings outside of the physical confines of a 
railroad yard, and yard access crossings are protected as follows:
    (i) Crossing gates are in the fully lowered position, and are not 
known to be malfunctioning; or
    (ii) A designated and qualified employee is stationed at the 
crossing and has the ability to communicate with trains; or
    (iii) At crossings equipped only with flashing lights or passive 
warning devices, when it is clearly seen that no traffic is approaching 
or stopped at the crossing and the leading end of the movement over the 
crossing does not exceed 15 miles per hour;
    (3) Intervening switches and fixed derails are properly lined for 
the intended movement; and
    (4) The portion of the track to be used for the intended movement 
has sufficient room to contain the rolling equipment being shoved or 
pushed.
    Yard access crossing means a private highway-rail grade crossing 
that is located within the physical confines of a railroad yard and is 
either:
    (1) Open to unrestricted public access; or
    (2) Open to persons other than railroad employees going about their 
normal duties, e.g., business guests or family members.

[73 FR 8498, Feb. 13, 2008, as amended at 73 FR 33902, June 16, 2008]



Sec. 218.95  Instruction, training, and examination.

    (a) Program. Beginning January 1, 2009, each railroad shall maintain 
a written program of instruction, training, and examination of employees 
for compliance with operating rules implementing the requirements of 
this subpart to the extent these requirements are pertinent to the 
employee's duties. If all requirements of this subpart are satisfied, a 
railroad may consolidate any portion of the instruction, training or 
examination required by this subpart with the program of instruction 
required under Sec. 217.11 of this chapter.

[[Page 272]]

An employee who successfully completes all instruction, training, and 
examination required by this written program shall be considered 
qualified.
    (1) The written program of instruction, training, and examination 
shall address the requirements of this subpart, as well as consequences 
of noncompliance.
    (2) The written program of instruction, training, and examination 
shall include procedures addressing how the railroad qualifies employees 
in any technology necessary to accomplish work subject to the 
requirements of this subpart. Such procedures shall include, but are not 
limited to, those which explain:
    (i) The purpose for using the technology;
    (ii) How an employee will be expected to use the technology;
    (iii) How to detect malfunctioning equipment or deviations from 
proper procedures;
    (iv) How to respond when equipment malfunctions or deviations from 
proper procedures are detected; and
    (v) How to prevent unintentional interference with the proper 
functioning of the technology.
    (3) Implementation schedule for employees, generally. Each employee 
performing duties subject to the requirements in this subpart shall be 
initially qualified prior to July 1, 2009.
    (4) Beginning July 1, 2009, no employee shall perform work requiring 
compliance with the operating rules implementing the requirements of 
this subpart unless qualified on these rules within the previous three 
years.
    (5) The records of successful completion of instruction, examination 
and training required by this section shall document qualification of 
employees under this subpart.
    (b) Written records documenting successful completion of 
instruction, training, and examination of each employee required by this 
subpart shall be retained at its system headquarters and at the division 
headquarters for each division where the employee is assigned for three 
calendar years after the end of the calendar year to which they relate 
and made available to representatives of the FRA for inspection and 
copying during normal business hours. Each railroad to which this part 
applies is authorized to retain a program, or any records maintained to 
prove compliance with such a program, by electronic recordkeeping in 
accordance with Sec. Sec. 217.9(g) and 217.11(c) of this chapter.
    (c) Upon review of the program of instruction, training, and 
examination required by this section, the Associate Administrator for 
Safety may, for cause stated, disapprove the program. Notification of 
such disapproval shall be made in writing and specify the basis for the 
disapproval decision. If the Associate Administrator for Safety 
disapproves the program,
    (1) The railroad has 35 days from the date of the written 
notification of such disapproval to:
    (i) Amend its program and submit it to the Associate Administrator 
for Safety for approval; or
    (ii) Provide a written response in support of the program to the 
Associate Administrator for Safety, who informs the railroad of FRA's 
final decision in writing; and
    (2) A failure to submit the program with the necessary revisions to 
the Associate Administrator for Safety in accordance with this paragraph 
will be considered a failure to implement a program under this part.

[73 FR 8498, Feb. 13, 2008, as amended at 73 FR 33902, June 16, 2008]



Sec. 218.97  Good faith challenge procedures.

    (a) Employee responsibility. An employee shall inform the railroad 
or employer whenever the employee makes a good faith determination that 
the employee has been directed to either take actions that would violate 
FRA regulations regarding the handling of equipment, switches, and fixed 
derails as required by this subpart, or to take actions that would 
violate the railroad's operating rules implementing the requirements of 
this subpart.
    (b) General procedures. Each railroad or employer is responsible for 
the training of and compliance by its employees with the requirements of 
this subpart.
    (1) Each railroad or employer shall adopt and implement written 
procedures which guarantee each employee

[[Page 273]]

the right to challenge in good faith whether the procedures that will be 
used to accomplish a specific task comply with the requirements of this 
subpart or any operating rule relied upon to fulfill the requirements of 
this subpart. Each railroad or employer's written procedures shall 
provide for prompt and equitable resolution of challenges made in 
accordance with this subpart.
    (2) The written procedures required by this section shall indicate 
that the good faith challenge described in paragraph (b)(1) of this 
section is not intended to abridge any rights or remedies available to 
the employee under a collective bargaining agreement, or any Federal law 
including, but not limited to, 29 U.S.C. 651 et seq., 6 U.S.C. 1142, or 
49 U.S.C. 20109.
    (3) Each affected employee shall be instructed on the written 
procedures required by this paragraph as part of the training prescribed 
by Sec. 217.11 of this chapter.
    (4) A copy of the current written procedures shall be provided to 
each affected employee and made available for inspection and copying by 
representatives of the FRA during normal business hours.
    (c) The written procedures shall--
    (1) Grant each employee the right to challenge any directive which, 
based on the employee's good faith determination, would cause the 
employee to violate any requirement of this subpart or any operating 
rule relied upon to fulfill the requirements of this subpart;
    (2) Provide that the railroad or employer shall not require the 
challenging employee to comply with the directive until the challenge 
resulting from the good faith determination is resolved;
    (3) Provide that the railroad or employer may require the 
challenging employee to perform tasks unrelated to the challenge until 
the challenge is resolved;
    (4) Provide that the railroad or employer may direct an employee, 
other than the challenging employee, to perform the challenged task 
prior to the challenge being resolved as long as this other employee is 
informed of the challenge and does not also make a good faith 
determination that the challenged task would violate FRA regulations 
regarding the handling of equipment, switches, and fixed derails as 
required in this subpart, or a railroad's operating rules implementing 
the requirements of this subpart;
    (5) Provide that a challenge may be resolved by:
    (i) A railroad or employer officer's acceptance of the employee's 
request;
    (ii) An employee's acceptance of the directive;
    (iii) An employee's agreement to a compromise solution acceptable to 
the person issuing the directive; or
    (iv) As further determined under paragraph (d) of this section.
    (d) In the event that the challenge cannot be resolved because the 
person issuing the directive determines that the employee's challenge 
has not been made in good faith or there is no reasonable alternative to 
the direct order, the written procedures shall:
    (1) Provide for immediate review by at least one officer of the 
railroad or employer, except for each railroad with less than 400,000 
total employee work hours annually. This immediate review shall:
    (i) Not be conducted by the person issuing the challenged directive, 
or that person's subordinate; and
    (ii) Provide that a challenge may be resolved by using the same 
options available for resolving the challenge as the initial officer as 
well as the option described in paragraph (d)(2) of this section, except 
that the reviewing officer's decision shall not be subject to further 
immediate review, unless provided for in the railroad's or employer's 
written procedures;
    (2) Provide that if the officer making the railroad's or employer's 
final decision concludes that the challenged directive would not cause 
the employee to violate any requirement of this subpart or the 
railroad's or employer's operating rule relied upon to fulfill the 
requirements of this subpart and directs the employee to perform the 
challenged directive, the officer shall further explain to the employee 
that Federal law may protect the employee from retaliation if the 
employee refuses to do the work and if the employee's refusal is a 
lawful, good faith act;
    (3) Provide that the employee be afforded an opportunity to document

[[Page 274]]

electronically or in writing any protest to the railroad or employer's 
final decision before the tour of duty is complete. The employee shall 
be afforded the opportunity to retain a copy of the protest;
    (4) Provide that the employee, upon written request, has a right to 
further review by a designated railroad or employer officer, within 30 
days after the expiration of the month during which the challenge 
occurred, for the purpose of verifying the proper application of the 
regulation, law, procedure or rule in question. The verification 
decision shall be made in writing to the employee.
    (e) Recordkeeping and record retention. (1) A copy of the written 
procedures required by this section shall be retained at the employer or 
railroad's system headquarters and at each division headquarters, and 
made available to representatives of the FRA for inspection and copying 
during normal business hours.
    (2) A copy of any written good faith challenge verification 
decision, made in accordance with paragraph (d)(4) of this section, 
shall be retained at the employer or railroad's system headquarters and 
at the division headquarters to which the employee was working when the 
challenge was initiated, and made available to representatives of the 
FRA for inspection and copying during normal business hours for at least 
one calendar year after expiration of the year during which the decision 
was issued.
    (3) Each employer or railroad to which this subpart applies is 
authorized to retain by electronic recordkeeping the information 
prescribed in this subpart in accordance with the electronic 
recordkeeping standards set forth in Sec. 217.9(g)(1) through (5) of 
this chapter.



Sec. 218.99  Shoving or pushing movements.

    (a)(1) Each railroad shall adopt and comply with an operating rule 
which complies with the requirements of this section. When any person 
including, but not limited to, each railroad, railroad officer, 
supervisor, and employee violates any requirement of an operating rule 
which complies with the requirements of this section, that person shall 
be considered to have violated the requirements of this section.
    (2) The following requirements for shoving or pushing movements do 
not apply to rolling equipment intentionally shoved or pushed to permit 
the rolling equipment to roll without power attached, i.e., free rolling 
equipment, during switching activities known as kicking, humping, or 
dropping cars.
    (b) General movement requirements--(1) Job briefing. Rolling 
equipment shall not be shoved or pushed until the locomotive engineer 
participating in the move has been briefed by the employee who will 
direct the move. The job briefing shall include the means of 
communication to be used between the locomotive engineer and the 
employee directing the move and how point protection will be provided.
    (2) No unrelated tasks. During the shoving or pushing movement, the 
employee directing the movement shall not engage in any task unrelated 
to the oversight of the shoving or pushing movement.
    (3) Point protection. When rolling equipment or a lite locomotive 
consist is shoved or pushed, point protection shall be provided by a 
crewmember or other qualified employee by:
    (i) Visually determining that the track is clear. The determination 
that the track is clear may be made with the aid of monitored cameras or 
other technological means, provided that it and the procedures for use 
provide an equivalent level of protection to that of a direct visual 
determination by a crewmember or other qualified employee properly 
positioned to make the observation as prescribed in this section and 
appendix D to this part; and
    (ii) Giving signals or instructions necessary to control the 
movement.
    (c) Additional requirements for remote control movements. All remote 
control movements are considered shoving or pushing movements, except 
when the remote control operator controlling the movement is riding the 
leading end of the leading locomotive in a position to visually 
determine conditions in the direction of movement. In addition to the 
other requirements of this section,

[[Page 275]]

    (1) When initiating a remote control shoving or pushing movement:
    (i) The remote control operator shall visually determine the 
direction the equipment moves; or
    (ii) A member of the crew shall visually determine the direction the 
equipment moves and confirm the direction with the remote control 
operator. If no confirmation is received, the movement shall be 
immediately stopped; and
    (2) If technology is relied upon, whether primarily or as a 
safeguard, to provide pull-out protection by preventing the movement 
from exceeding the limits of a remote control zone, the technology shall 
be demonstrated
    (i) To be failsafe; or
    (ii) To provide suitable redundancy to prevent unsafe failure.
    (d) Remote control zone, exception to track is clear requirements. 
After an initial track is clear determination has been made in an 
activated remote control zone, it is not necessary to make a new 
determination prior to each subsequent shoving or pushing movement 
provided that:
    (1) The controlling locomotive of the remote control movement is on 
the leading end in the direction of movement, i.e., the movement occurs 
on the pull-out end;
    (2) The remote control zone is not jointly occupied; and
    (3) The initial determination was made by a crewmember of either:
    (i) The remote control crew;
    (ii) A relieved remote control crew who has transferred the remote 
control zone directly to the relieving crew; or
    (iii) The last jointly occupying crew who directly communicates, 
i.e., not through a third party, to a remote control crewmember that the 
remote control zone is no longer jointly occupied and meets the 
requirements for track is clear.
    (e) Operational exceptions. A railroad does not need to comply with 
paragraphs (b) through (d) of this section in the following 
circumstances:
    (1) Push-pull operations when operated from the leading end in the 
direction of movement, i.e., push mode;
    (2) Shoving or pushing operations with manned helper locomotives or 
distributed power locomotives assisting a train when the train is being 
operated from the leading end in the direction of movement;
    (3) During the performance of roadway maintenance activity under the 
direct control of a roadway worker performing work in accordance with 
railroad operating rules specific to roadway workers; or
    (4) When the leading end of a shoving movement is on a main track or 
signaled siding, under the following conditions:
    (i) The train dispatcher gives authority or permission to make the 
movement and verifies that:
    (A) Another movement or work authority is not in effect within the 
same or overlapping limits unless conflicting movements are protected; 
and
    (B) A main track is not removed from service by a work authority 
within the same or overlapping limits;
    (ii) Movement is limited to the train's authority;
    (iii) Movement shall not be made into or within yard limits, 
restricted limits, drawbridges, or work authority limits;
    (iv) Movement shall not enter or foul a highway-rail grade crossing 
or pedestrian crossing except when:
    (A) Crossing gates are in the fully lowered position; or
    (B) A designated and qualified employee is stationed at the crossing 
and has the ability to communicate with trains; or
    (C) At crossings equipped only with flashing lights or passive 
warning devices, when it is clearly seen that no traffic is approaching 
or stopped at the crossing and the leading end of the movement over the 
crossing does not exceed 15 miles per hour; and
    (v) Movement shall not be made into or within interlocking limits or 
controlled point limits unless the following conditions are met:
    (A) The signal governing movement is more favorable than restricting 
aspect;
    (B) Each signal governing movement into and through interlocking 
limits or controlled point limits shall be continuously observed by a 
member of that crew who is in a position to determine that the train's 
movement has occupied the circuit controlling that

[[Page 276]]

signal as evidenced by that signal assuming its most restrictive aspect; 
and
    (C) The movement does not exceed the train's length.
    (5) Shoving or pushing movements made in the direction of the 
circuited end of a designated departure track equipped with a shove 
light system, if all of the following conditions are met:
    (i) The shove light system is demonstrated to be failsafe;
    (ii) The shove light system is arranged to display a less favorable 
aspect when the circuited section of the track is occupied;
    (iii) Written procedures are adopted and complied with that provide 
for a reliable means of determining track occupancy prior to commencing 
a shoving or pushing movement;
    (iv) The track is designated in writing;
    (v) The track is under the exclusive and continuous control of a 
yardmaster or other qualified employee;
    (vi) The train crewmember or other qualified employee directing the 
shoving or pushing movement complies with the general movement 
requirements contained in paragraphs (b)(1) and (b)(2) of this section;
    (vii) All remote control shoving or pushing movements comply with 
the requirements contained in paragraph (c)(1) of this section; and
    (viii) The shove light system is continuously illuminated when the 
circuited section of the track is unoccupied.

[73 FR 8498, Feb. 13, 2008, as amended at 73 FR 33902, June 16, 2008]



Sec. 218.101  Leaving rolling and on-track maintenance-of-way 
equipment in the clear.

    (a) Each railroad shall adopt and comply with an operating rule 
which complies with the requirements of this section. When any person 
including, but not limited to, each railroad, railroad officer, 
supervisor, and employee violates any requirement of an operating rule 
which complies with the requirements of this section, that person shall 
be considered to have violated the requirements of this section.
    (b) Rolling and on-track maintenance-of-way equipment shall not be 
left where it will foul a connecting track unless:
    (1) The equipment is standing on a main track and a siding track 
switch that the equipment is fouling is lined for the main track on 
which the equipment is standing; or
    (2) The equipment is standing on a siding and a main track switch 
that the equipment is fouling is lined for the siding on which the 
equipment is standing; or
    (3) The equipment is standing on a yard switching lead track, and 
the yard track switch that the equipment is fouling is lined for the 
yard switching lead track on which the equipment is standing; or
    (4) The equipment is on an industry track beyond the clearance point 
of the switch leading to the industry.
    (c) Each railroad shall implement procedures that enable employees 
to identify clearance points and a means to identify locations where 
clearance points will not permit a person to safely ride on the side of 
a car.



Sec. 218.103  Hand-operated switches, including crossover switches.

    (a)(1) Each railroad shall adopt and comply with an operating rule 
which complies with the requirements of this section. When any person 
including, but not limited to, each railroad, railroad officer, 
supervisor, and employee violates any requirement of an operating rule 
which complies with the requirements of this section, that person shall 
be considered to have violated the requirements of this section.
    (2) Each railroad shall specify minimum requirements necessary for 
an adequate job briefing.
    (b) General. Employees operating or verifying the position of a 
hand-operated switch shall:
    (1) Conduct job briefings, before work is begun, each time a work 
plan is changed, and at completion of the work;
    (2) Be qualified on the railroad's operating rules relating to the 
operation of the switch;
    (3) Be individually responsible for the position of the switch in 
use;
    (4) Visually determine that switches are properly lined for the 
intended

[[Page 277]]

route and that no equipment is fouling the switches;
    (5) Visually determine that the points fit properly and the target, 
if so equipped, corresponds with the switch's position;
    (6) After operating a switch and before making movements in either 
direction over the switch, ensure that the switch is secured from 
unintentional movement of the switch points;
    (7) Ensure that a switch is not operated while rolling and on-track 
maintenance-of-way equipment is fouling the switch, or standing or 
moving over the switch; and
    (8) After operating a switch, ensure that when not in use, each 
switch is locked, hooked, or latched, if so equipped.
    (c) Rolling and on-track maintenance-of-way equipment shall not foul 
a track until all hand-operated switches connected with the movement are 
properly lined, or in the case of hand-operated switches designed and 
permitted to be trailed through, until the intended route is seen to be 
clear or the train has been granted movement authority. When a 
conflicting movement is approaching a hand-operated switch, the track 
shall not be fouled or the switch operated.
    (d) When rolling and on-track maintenance-of-way equipment has 
entered a track, the hand-operated switch to that track shall not be 
lined away from the track until the equipment has passed the clearance 
point of the track.



Sec. 218.105  Additional operational requirements for hand-operated
main track switches.

    (a) Each railroad shall adopt and comply with an operating rule 
which complies with the requirements of this section. When any person 
including, but not limited to, each railroad, railroad officer, 
supervisor, and employee violates any requirement of an operating rule 
which complies with the requirements of this section, that person shall 
be considered to have violated the requirements of this section.
    (b) Designating switch position. The normal position of a hand-
operated main track switch shall be designated by the railroad in 
writing and the switch shall be lined and locked in that position when 
not in use except when:
    (1) The train dispatcher directs otherwise with respect to the 
position of a hand-operated main track switch and the necessary 
protection is provided; or
    (2) The hand-operated switch is left in the charge of a crewmember 
of another train, a switchtender, or a roadway worker in charge.
    (c) Additional job briefing requirements for hand-operated main 
track switches. (1) Before a train or a train crew leaves the location 
where any hand-operated main track switch was operated, all crewmembers 
shall have verbal communication to confirm the position of the switch.
    (2) In the case of exclusive track occupancy authority established 
under Sec. 214.321, foul time under Sec. 214.323, or train 
coordination under Sec. 214.325, when a roadway worker qualified to 
operate hand-operated main track switches is granted permission by the 
roadway worker in charge to occupy or otherwise use the limits of the 
exclusive track occupancy, such employee receiving permission to occupy 
the working limits shall report the position of any such switches 
operated upon expiration of the authority limits to the roadway worker 
in charge or to a designated intermediary employee who shall convey the 
switch position to the roadway worker in charge.
    (d) Releasing authority limits. In non-signaled territory, before an 
employee releases the limits of a main track authority and a hand-
operated switch is used to clear the main track, and, prior to departing 
the switch's location, the following conditions are required:
    (1) The employee releasing the limits, after conducting a job 
briefing in accordance with this subpart, shall report to the train 
dispatcher that the hand-operated main track switch has been restored to 
its normal position and locked, unless the train dispatcher directs that 
the hand-operated main track switch be left lined and locked in the 
reverse position and the necessary protection is provided;
    (2) If the report of the switch position is correct, the train 
dispatcher shall repeat the reported switch position information to the 
employee releasing the

[[Page 278]]

limits and ask whether that is correct; and
    (3) The employee releasing the limits shall then confirm to the 
train dispatcher that this information is correct.



Sec. 218.107  Additional operational requirements for hand-operated
crossover switches.

    (a) Each railroad shall adopt and comply with an operating rule 
which complies with the requirements of this section. When any person 
including, but not limited to, each railroad, railroad officer, 
supervisor, and employee violates any requirement of an operating rule 
which complies with the requirements of this section, that person shall 
be considered to have violated the requirements of this section.
    (b) Hand-operated crossover switches, generally. Both hand-operated 
switches of a crossover shall be properly lined before rolling and on-
track maintenance-of-way equipment begins a crossover movement. A 
crossover movement shall be completed before either hand-operated 
crossover switch is restored to normal position.
    (c) Correspondence of hand-operated crossover switches. Hand-
operated crossover switches shall be left in corresponding position 
except when:
    (1) Used to provide blue signal protection under Sec. 218.27 of 
this part; or
    (2) Used for inaccessible track protection under Sec. 214.327 of 
this chapter; or
    (3) Performing maintenance, testing or inspection of crossover 
switches in traffic control system (TCS) territory; or
    (4) One crew is using both tracks connected by the crossover during 
continuous switching operations.



Sec. 218.109  Hand-operated fixed derails.

    (a)(1) Each railroad shall adopt and comply with an operating rule 
which complies with the requirements of this section. When any person 
including, but not limited to, each railroad, railroad officer, 
supervisor, and employee violates any requirement of an operating rule 
which complies with the requirements of this section, that person shall 
be considered to have violated the requirements of this section.
    (2) Each railroad shall specify minimum requirements necessary for 
an adequate job briefing.
    (b) General. (1) The normal position of fixed derails is in the 
derailing position except as provided in part 218, subpart B of this 
chapter, or the railroad's operating rules or special instructions.
    (2) Fixed derails shall be kept in the derailing position whether or 
not any rolling and on-track maintenance-of-way equipment is on the 
tracks they protect, except as provided in paragraph (b)(1) of this 
section or when changed to permit movement.
    (3) Movement must not be made over a fixed derail in the derailing 
position.
    (c) Employees operating or verifying the position of a fixed derail 
shall:
    (1) Conduct job briefings, before work is begun, each time a work 
plan is changed, and at completion of the work;
    (2) Be qualified on the railroad's operating rules relating to the 
operation of the derail;
    (3) Be individually responsible for the position of the derail in 
use;
    (4) Determine that the target, if so equipped, corresponds with the 
derail's position;
    (5) Determine that the derail is secured by:
    (i) Placing the throw lever in the latch stand, if so equipped;
    (ii) Placing the lock or hook in the hasp, if so equipped; and
    (iii) Testing such latches, locks or hooks; and
    (6) Ensure that when not in use, derails are locked, hooked, or 
latched in the normal position if so equipped.



      Sec. 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

[[Page 279]]

 
        (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........................
    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
Subpart F--Handling Equipment, Switches and
 Derails:
    218.95 Instruction, Training, and
     Examination:.............................
        (a) Program...........................  9,500-12,50  13,000-16,0
                                                          0           00
        (b) Records...........................        7,500       11,000
        (c) Failure to timely or appropriately  9,500-12,50  13,000-16,0
         amend program after disapproval......            0           00
    218.97 Good Faith Challenge Procedures:
        (a) Employee Responsibility Failure...  ...........        5,000
        (b) through (d) Failure to adopt or           7,500
         implement procedures.................
    218.99 Shoving or Pushing Movements:
        (a) Failure to implement required             9,500
         operating rule.......................
        (b) Failure to conduct job briefing,    7,500-9,500  11,000-13,0
         use a qualified employee, or                                 00
         establish proper protection..........
        (c) Failure to observe equipment              9,500       13,000
         direction............................
        (d) Failure to properly establish             9,500       13,000
         point protection within a remote
         control zone.........................
        (e) Failure to abide by operational           9,500       13,000
         exception requirements...............
    218.101 Leaving Equipment in the Clear:
        (a) Failure to implement required             9,500
         operating rule.......................
        (b) Equipment left improperly fouling.        9,500       13,000
        (c) Failure to implement procedures           9,500       13,000
         for identifying clearance points.....
    218.103 Hand-operated switches, including
     crossover switches:
        (a) Failure to implement required             9,500
         operating rule.......................
        (b) through (d) Railroad and employee         7,500
         failures.............................
    218.105 Additional operational
     requirements for hand-operated main track
     switches:
        (a) Failure to implement required             9,500
         operating rule.......................
        (b) and (c) Railroad and employee             7,500       11,000
         failures.............................
        (d) Failure to properly release              12,500
         authority limits.....................
    218.107 Additional operational
     requirements for hand-operated crossover
     switches:
        (a) Failure to implement required             9,500
         operating rule.......................
        (b) and (c) Railroad and employee             7,500       11,000
         failures.............................
    218.109 Hand-operated fixed derails:
        (a) Failure to implement required             9,500       13,000
         operating rule.......................

[[Page 280]]

 
        (b) and (c) Railroad and employee             7,500       11,000
         failures.............................
------------------------------------------------------------------------
\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 $109,819 for any
  violation where the circumstances warrant. See 49 CFR part 209,
  appendix A.


[53 FR 52928, Dec. 29, 1988, as amended at 54 FR 5492, Feb. 3, 1989; 58 
FR 43293, Aug. 16, 1993; 60 FR 11050, Mar. 1, 1995; 63 FR 11621, Mar. 
10, 1998; 72 FR 51196, Sept. 6, 2007; 73 FR 8503, Feb. 13, 2008; 73 FR 
79701, Dec. 30, 2008; 77 FR 24420, Apr. 24, 2012; 81 FR 43109, July 1, 
2016]



 Sec. 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 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]



 Sec. 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

[[Page 281]]

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 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

[[Page 282]]

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]



    Sec. Appendix D to Part 218--Requirements and Considerations for 
             Implementing Technology Aided Point Protection

                              Introduction

    This appendix provides further explanation and requirements for 
exercising the option to provide point protection with the aid of 
technology as permitted in Sec. 218.99(b)(3)(i). The regulation permits 
the visual determination necessary to provide point protection, i.e., a 
determination that the track is clear, for a shoving or pushing movement 
to ``be made with the aid of monitored cameras or other technological 
means, provided that it and the procedures for use provide an equivalent 
level of protection to that of a direct visual determination by a 
crewmember or other qualified employee properly positioned to make the 
observation as prescribed in this section and appendix D to this part.'' 
This appendix addresses the general requirements and considerations for 
all technology aided point protection as well as specific additional 
requirements for those operations involving remote control operations at 
public highway-rail grade crossings, private highway-rail grade 
crossings outside the physical confines of a railroad yard, pedestrian 
crossings outside the physical confines of a railroad yard, and yard 
Access Crossings.

               I. General Requirements and Considerations

    A. Although railroading is now one of the nation's older forms of 
mechanized transportation, equipment, components and operations all have 
evolved through new and improved technologies. Installing cameras in 
yards so that a location could be remotely monitored from somewhere else 
has become a railroading reality as cameras have become smaller, less 
expensive, and have increased resolution. It is possible to set up these 
cameras and monitors so that they provide at least an equivalent level 
of safety to that of an employee protecting the point. Part 218, subpart 
F permits such an operation to substitute for an employee's direct 
visual determination where the technology provides an equivalent level 
of protection to that of a direct visual determination. See Sec. 
218.99(b)(3)(i). Of course, to provide an equivalent level of 
protection, an employee needs to be properly qualified (see Sec. 
218.95(a)(2)) and the technology must work as intended. Most 
malfunctions of the technology should be detectable, and result in 
abandoning the use of the technology for determining point protection 
until the malfunction can be corrected.
    B. The substitution of such technology for a direct visual 
determination is dependent on many factors. Each situation will have its 
own particular factual circumstances that shall require consideration in 
determining whether an equivalent level of safety can be achieved. For 
instance, with regard to the basic camera setup, a railroad shall 
consider whether an operator must see in color (largely a necessity if 
viewing signals), the width of the angle of view, the size and location 
of the monitor, whether the technology is for day-time use only, and 
whether its use should be limited to fair weather conditions. However, 
under all circumstances, the monitor shall display sufficient 
information to enable the viewer to make a determination that the track 
ahead of the shoving or pushing move is clear pursuant to the definition 
of ``track is clear'' in Sec. 218.93.
    C. Each railroad that chooses to implement such camera/monitor 
setups shall implement attendant procedures and qualify each employee 
who will be utilizing the technology. Railroads shall ensure that any 
monitored camera has sufficient resolution and real time coverage to 
provide protection equal to a direct visual determination. See Sec. 
218.99(b)(3)(i). Concerning attendant procedures, one such procedure may 
be for an employee viewing a monitor to communicate updates to the 
locomotive engineer or controlling crewmember at appropriate intervals. 
FRA equates the employee monitoring the camera to the employee 
controlling the movement who must not engage in any task unrelated to 
the oversight of the movement;

[[Page 283]]

thus, each railroad utilizing such cameras shall implement attendant 
procedures limiting any of the monitoring employee's ancillary duties 
that might distract from the employee's ability to visually determine 
that the track is clear and provide continuous communication to the 
employee controlling the movement.
    D. There is also the consideration of whether the person viewing the 
monitor is the locomotive engineer, remote control operator, other 
crewmember or other qualified person, such as a yardmaster. If the 
monitor is not being viewed by the operator who is controlling the 
movement, then, there shall be a clear understanding and channel of 
communication between the operator and the employee who is viewing the 
monitor--as the latter would be protecting the movement. Providing an 
equivalent level of protection to that of a direct visual determination 
requires a thorough job briefing in which there is an understanding of 
who is observing the movement, what is the observer's range of vision, 
at what locomotive speed can the observation be made and how information 
will be conveyed to the operator/engineer, if that person is not the one 
viewing the monitor.
    E. There may be occasions when a railroad finds it advantageous to 
use a non-crewmember, e.g., a yardmaster, to provide point protection, 
line switches, or check the status of a derail for a remote control 
crew; however, several potential problems may result when non-
crewmembers are used to carry out some crewmember functions. Of foremost 
concern is the great potential for an error in communication or a 
misunderstanding between the non-crewmember and the crewmembers 
regarding the activity or status of equipment. A yardmaster who is 
occupied with his or her other responsibilities might not give the task 
the attention it deserves, or could be distracted and give an incorrect 
answer to a question by a crewmember (e.g., ``is the move lined?''). The 
result could be that the task does not get completed or there is an 
error in task execution. Further, the crewmembers might not have any 
alternative way of determining that there is a problem with the point 
protection provided by the non-crewmember until it is too late. 
Consequently, to the extent they will be called upon to perform these 
duties, each railroad shall include yardmasters and other non-
crewmembers in any operating rule promulgated in accordance with Sec. 
218.99(b)(2).

II. Additional Requirements for Remote Control Locomotive Operations at 
  Highway-Rail Grade Crossings, Pedestrian Crossings, and Yard Access 
                                Crossings

    A. In addition to the general requirements and considerations for 
all technology aided point protection in lieu of direct visual 
determinations, additional requirements are necessary to address 
concerns specific to the use of camera/monitor setups for remote control 
locomotive operations to protect the point at highway-rail grade 
crossings, pedestrian crossings, and yard access crossings. Railroad 
operating rules currently permit a movement to travel over a crossing 
without the physical presence of a crewmember if a crossing is equipped 
with gates, if it can be determined that the gates are in the fully 
lowered position, and if the crossing is clear of vehicles and 
pedestrians. Remote control movements at highway-rail grade crossings, 
pedestrian crossings, and yard access crossings that utilize camera/
monitor setups pose a greater direct risk to members of the general 
public than yard movements utilizing camera/monitor setups to check 
whether a track is clear. In addition, such setups can rapidly develop 
problems with motor vehicles and pedestrians unaccustomed to railroad 
operating rules and procedures. For these reasons, additional safeguards 
are necessary.
    B. In consideration of the dangers posed by the use of camera/
monitor setups for remote control locomotive operations at highway-rail 
grade crossings, pedestrian crossings, and yard access crossings, the 
following procedures shall be complied with in order to establish an 
equivalent means of safety in accordance with Sec. 218.99(b)(3)(i):
    1. Before camera-assisted remote control locomotive operations are 
permitted at highway-rail grade crossings, pedestrian crossings, and 
yard access crossings, a Crossing Diagnostic Team shall evaluate the 
crossing. The diagnostic team shall have representatives from the 
railroad, FRA, the State department of transportation (or another State 
agency having jurisdiction over the highway-rail grade crossing, 
pedestrian crossing, or yard access crossing), and local government 
authorities. The diagnostic team shall evaluate the suitability of each 
crossing for remote camera operations. Among the factors it shall 
consider are the following: the average annual daily traffic counts; the 
number of highway lanes; highway speed limits; the presence of adjacent 
signalized highway intersections; the number of railroad tracks; the 
angle of the roadway intersection; the volume of school bus, transit 
bus, emergency vehicle, commercial motor vehicle, and hazardous 
materials traffic over the crossing; the minimum remote control 
locomotive operator sight distances of roadway approaches to the 
crossing; and other relevant factors that could affect the safety of the 
crossing. The diagnostic team shall also consider the appropriate number 
of cameras and appropriate camera angles needed to provide for the 
remote operation of remote control locomotives over the crossing. The 
diagnostic team shall agree to a written diagnostic

[[Page 284]]

evaluation summary of the factors considered and shall provide the 
railroad with agreed upon parameters by which the camera-assisted remote 
control operation may continue in operation if the factors required for 
suitability change; thus, any change in the factors considered by the 
diagnostic team outside of the acceptable parameters shall require the 
railroad to receive a revised evaluation approval from a diagnostic team 
before continuing any such operation. In addition, any of the Federal, 
State, or local governmental authorities may trigger review of a prior 
evaluation approval at any time there is a question of the suitability 
of the operation. It is possible that, of the requirements listed below, 
requirements numbered 2, 4, 5, and 6 would be unnecessary at highway-
rail grade crossings or yard access crossings equipped with approved 
supplemental safety devices (see 49 CFR part 222, app. A) that prevent 
motorists from driving around lowered gates; under such circumstances, 
the diagnostic team shall make such determinations. If a Crossing 
Diagnostic Team, as described in this paragraph, evaluated a crossing 
for the factors described herein, prior to April 14, 2008, another 
diagnostic team evaluation is not required to comply with this rule; 
however, the requirements listed below shall still apply to any such 
remotely controlled movements over that crossing.
    2. Camera-assisted remote control locomotive operations shall only 
be permitted at crossings equipped with flashing lights, gates, and 
constant warning time train detection systems where appropriate, based 
on train speeds.
    3. A crewmember or other qualified employee shall not view the 
monitor in place of the remote control operator, as is permitted for 
other shoving or pushing movements. See Sec. 218.99(b)(3). For purposes 
of remote control locomotive operations with camera/monitor setups to 
protect the point at highway-rail grade crossings, pedestrian crossings, 
and yard access crossings, the remote control operator controlling the 
movement shall view the monitor during such operations.
    4. The cameras shall be arranged to give the remote control 
locomotive operator controlling the movement a view of the rail 
approaches to the crossing from each direction so that the operator can 
accurately judge the end of the movement's proximity to the crossing.
    5. The cameras shall be arranged to give the remote control 
locomotive operator a clear view to determine the speed and driver 
behavior (e.g., driving erratically) of any approaching motor vehicles.
    6. Either the camera resolution shall be sufficient to determine 
whether the flashing lights and gates are working as intended or the 
crossing shall be equipped with a remote health monitoring system that 
is capable of notifying the remote control locomotive operator 
immediately if the flashing lights and gates are not working as 
intended.
    7. The railroad shall notify the Associate Administrator for Safety 
in writing when this type of protection has been installed and activated 
at a crossing.

                             III. Conclusion

    The technology used to aid point protection will undoubtedly develop 
and improve over time. FRA encourages the use and development of this 
technology as is evidenced by the option in this rule to utilize such 
technology. Meanwhile, as a regulating body, FRA cannot determine 
whether a new technology to aid point protection provides an equivalent 
level of protection to that of a direct visual determination unless we 
are made aware of the new technology. Consequently, aside from the 
camera/monitor setups described in this appendix, each railroad that 
intends to implement a technology used to aid point protection shall 
notify the Associate Administrator for Safety in writing of the 
technology to be used prior to implementation.

[73 FR 8504, Feb. 13, 2008]



PART 219_CONTROL OF ALCOHOL AND DRUG USE--Table of Contents



                            Subpart A_General

Sec.
219.1 Purpose and scope.
219.3 Application.
219.4 Recognition of a foreign railroad's workplace testing program.
219.5 Definitions.
219.7 Waivers.
219.9 Responsibility for compliance.
219.10 Penalties.
219.11 General conditions for chemical tests.
219.12 Hours-of-service laws implications.
219.13-219.15 [Reserved]
219.17 Construction.
219.19 [Reserved]
219.21 Information collection.
219.23 Railroad policies.
219.25 Previous employer drug and alcohol checks.

                         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.

[[Page 285]]

              Subpart C_Post-Accident Toxicological Testing

219.201 Events for which testing is required.
219.203 Responsibilities of railroads and employees.
219.205 Specimen 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 specimen collection; time limitation.

             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 drug testing.
219.502 Pre-employment alcohol testing.
219.503 Notification; records.
219.505 Refusals.

           Subpart G_Random Alcohol and Drug Testing Programs

219.601 Railroad random drug testing programs.
219.602 FRA 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 FRA 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_Drug and Alcohol Testing Procedures

219.701 Standards for drug and alcohol testing.

                         Subpart I_Annual Report

219.800 Annual reports.
219.801-219.803 [Reserved]

                  Subpart J_Recordkeeping Requirements

219.901 Retention of alcohol testing records.
219.903 Retention of drug testing records.
219.905 Access to facilities and records.

                       Subpart K_Referral Programs

219.1001 Requirement for referral programs.
219.1003 Referral program conditions.
219.1005 Optional provisions.
219.1007 Alternate programs

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 Specimen Collection

    Authority: 49 U.S.C. 20102-20103, 20107, 20140, 21301, 21304, 21311; 
28 U.S.C. 2461, note; and 49 CFR 1.89.

    Source: 66 FR 41973, Aug. 9, 2001, unless otherwise noted.



                            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.

    Effective Date Note: At 81 FR 37922, June 10, 2016, Sec. 219.1 was 
amended by revising paragraph (a), effective June 12, 2017. For the 
convenience of the user, the revised text is set forth as follows:



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.

                                * * * * *



Sec. 219.3  Application.

    (a) General. Except as provided in paragraphs (b) and (c) of this 
section, 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

[[Page 286]]

    (2) Railroads that provide commuter or other short-haul rail 
passenger service in a metropolitan or suburban area (as described by 49 
U.S.C. 20102) in the United States.
    (b) Exceptions available to both domestic and foreign railroads. (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 of this part do not apply to a railroad 
that--
    (i) Has a total of 15 or fewer employees who are covered by the 
hours of service laws at 49 U.S.C. 21103, 21104, or 21105, or who would 
be subject to the hours of service laws at 49 U.S.C. 21103, 21104, or 
21105 if their services were performed in the United States; and
    (ii) Does not operate on the tracks in the United States of another 
railroad (or otherwise engage in joint operations in the United States 
with another railroad) except as necessary for purposes of interchange.
    (3) Subpart I of this part does not apply to a railroad that has 
fewer than 400,000 total employee hours, including hours worked by all 
employees of the railroad, regardless of occupation, not only while in 
the United States but also while outside the United States. For purposes 
of this paragraph, the term ``employees of the railroad'' includes 
individuals who perform service for the railroad, including not only 
individuals who receive direct monetary compensation from the railroad 
for performing a service for the railroad, but also such individuals as 
employees of a contractor to the railroad who perform a service for the 
railroad.
    (c) Exceptions available to foreign railroads only. (1) Subparts E, 
F and G of this part do not apply to train or dispatching service in the 
United States performed by an employee of a foreign railroad whose 
primary reporting point is outside the United States, on that portion of 
a rail line in the United States extending up to10 route miles from the 
point that the line crosses into the United States from Canada or 
Mexico.
    (2) Unless otherwise provided by paragraph (b) of this section, 
subparts A, B, C, D, H, I, and J of this part apply to signal service in 
the United States of a foreign railroad performed by an employee of the 
foreign railroad if the employee's primary place of reporting is located 
outside the United States. Subparts E, F, and G of this part do not 
apply to signal service in the United States of a foreign railroad 
performed by an employee of the foreign railroad if the employee's 
primary place of reporting is located outside the United States.
    (3) Unless otherwise excepted under paragraph (c)(1) of this 
section, on and after June 11, 2004, a foreign railroad shall conduct a 
pre-employment drug test on each of its final applicants for, and each 
of its employees seeking to transfer for the first time to, duties 
involving train or dispatching service in the United States while having 
his or her primary reporting point outside of the United States. The 
test shall be conducted in accordance with this part prior to the 
applicant or employee's performance of train or dispatching service in 
the United States.

[69 FR 19286, Apr. 12, 2004]

    Effective Date Note: At 81 FR 37922, June 10, 2016, Sec. 219.3 was 
revised, effective June 12, 2017. For the convenience of the user, the 
revised text is set forth as follows:



Sec. 219.3  Application.

    (a) General. This part applies to all railroads and contractors, 
except as provided in paragraphs (b), (c), and (d) of this section, and 
except for:
    (1) Railroads that operate only on track inside an installation that 
is not part of the general railroad system of transportation (i.e., 
plant railroads, as defined in Sec. 219.5);
    (2) Tourist, scenic, historic, or excursion operations that are not 
part of the general railroad system of transportation, as defined in 
Sec. 219.5; or
    (3) Rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    (b) Annual report requirements. (1) Subpart I of this part does not 
apply to any domestic or foreign railroad that has fewer than 400,000 
total annual employee work hours, including hours worked by all 
employees of the railroad, regardless of occupation, not only while in 
the United States, but also while outside the United States.
    (2) Subpart I of this part does not apply to any contractor that 
performs regulated service exclusively for railroads with fewer than 
400,000 total annual employee work hours, including hours worked by all 
employees of the railroad, regardless of occupation, not only

[[Page 287]]

while in the United States, but also while outside the United States.
    (3) When a contractor performs regulated service for at least one 
railroad with fewer than 400,000 total annual employee hours, including 
hours worked by all employees of the railroad, regardless of occupation, 
not only while in the United States, but also while outside the United 
States, subpart I of this part applies as follows:
    (i) A railroad with more than 400,000 total annual employee work 
hours must comply with subpart I regarding any contractor employees it 
integrates into its own alcohol and drug testing program under this 
part; and
    (ii) If a contractor establishes its own independent alcohol and 
drug testing program that meets the requirements of this part and is 
acceptable to the railroad, the contractor must comply with subpart I if 
it has 200 or more regulated employees.
    (c) Small railroad exception. (1) Subparts E and G of this part do 
not apply to small railroads, and a small railroad may not perform the 
Federal alcohol and drug testing authorized by these subparts. For 
purposes of this part, a small railroad means a railroad that:
    (i) Has a total of 15 or fewer employees who are covered by the 
hours of service laws at 49 U.S.C. 21103, 21104, or 21105, or who would 
be subject to the hours of service laws at 49 U.S.C. 21103, 21104, or 
21105 if their services were performed in the United States; and
    (ii) Does not have joint operations, as defined in Sec. 219.5, with 
another railroad that operates in the United States, except as necessary 
for purposes of interchange.
    (2) An employee performing only MOW activities, as defined in Sec. 
219.5, does not count towards a railroad's total number of covered 
employees for the purpose of determining whether it qualifies for the 
small railroad exception.
    (3) A contractor performing MOW activities exclusively for small 
railroads also qualifies for the small railroad exception (i.e., is 
excepted from the requirements of subparts E and G of this part). A 
contractor is not excepted if it performs MOW activities for at least 
one or more railroads that does not qualify for the small railroad 
exception under this section.
    (4) If a contractor is subject to all of part 219 of this chapter 
because it performs regulated service for multiple railroads, not all of 
which qualify for the small railroad exception, the responsibility for 
ensuring that the contractor complies with subparts E and G of this part 
is shared between the contractor and any railroad using the contractor 
that does not qualify for the small railroad exception.
    (d) Foreign railroad. (1) This part does not apply to the operations 
of a foreign railroad that take place outside the United States. A 
foreign railroad is required to conduct post-accident toxicological 
testing or reasonable suspicion testing only for operations that occur 
within the United States.
    (2) Subparts F, G, and K of this part do not apply to an employee of 
a foreign railroad whose primary reporting point is outside the United 
States if that employee is:
    (i) Performing train or dispatching service on that portion of a 
rail line in the United States extending up to 10 route miles from the 
point that the line crosses into the United States from Canada or 
Mexico; or
    (ii) Performing signal service in the United States.



Sec. 219.4  Recognition of a foreign railroad's workplace testing
program.

    (a) General. A foreign railroad may petition the FRA Associate 
Administrator for Safety for recognition of a workplace testing program 
promulgated under the laws of its home country as a compatible 
alternative to the return-to-service requirements in subpart B of this 
part and the requirements of subparts E, F, and G of this part with 
respect to its employees whose primary reporting point is outside the 
United States but who enter the United States to perform train or 
dispatching service and with respect to its final applicants for, or its 
employees seeking to transfer for the first time to, duties involving 
such service.
    (1) To be so considered, the petition must document that the foreign 
railroad's workplace testing program contains equivalents to subparts B, 
E, F, and G of this part:
    (i) Pre-employment drug testing;
    (ii) A policy dealing with co-worker and self-reporting of alcohol 
and drug abuse problems;
    (iii) Random drug and alcohol testing;
    (iv) Return-to-duty testing; and
    (v) Testing procedures and safeguards reasonably comparable in 
effectiveness to all applicable provisions of the United States 
Department of Transportation Procedures for Workplace Drug and Alcohol 
Testing Programs (part 40 of this title).
    (2) In approving a program under this section, the FRA Associate 
Administrator for Safety may impose conditions deemed necessary.
    (b) Alternative programs. (1) Upon FRA's recognition of a foreign 
railroad's workplace testing program as compatible with the return-to-
service

[[Page 288]]

requirements in subpart B and the requirements of subparts E, F, and G 
of this part, the foreign railroad must comply with either the 
enumerated provisions of part 219 or with the standards of the 
recognized program, and any imposed conditions, with respect to its 
employees whose primary reporting point is outside the United States and 
who perform train or dispatching service in the United States. The 
foreign railroad must also, with respect to its final applicants for, or 
its employees seeking to transfer for the first time to, duties 
involving such train or dispatching service in the United States, comply 
with either subpart E of this part or the standards of the recognized 
program.
    (2) The foreign railroad must comply with subparts A, B (other than 
the return-to-service provisions in Sec. 219.104(d)), C, reasonable 
suspicion testing in subpart D, and subparts I and J. Drug or alcohol 
testing required by these subparts must be conducted in compliance with 
all applicable provisions of the United States Department of 
Transportation Procedures for Workplace Drug and Alcohol Testing 
Programs (part 40 of this title).
    (c) Petitions for recognition of a foreign railroad's workplace 
testing programs. Each petition for recognition of a foreign workplace 
testing program 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 requirements of the foreign railroad workplace testing 
program to be considered for recognition;
    (3) Appropriate data or records, or both, for FRA to consider in 
determining whether the foreign railroad workplace testing program is 
equivalent to the minimum standards contained in this part and provides 
at least an equivalent level of safety.
    (d) Federal Register notice. FRA will publish a notice in the 
Federal Register concerning each petition under paragraph (c) of this 
section that it receives.
    (e) Comment. Not later than 30 days from the date of publication of 
the notice in the Federal Register concerning a petition under paragraph 
(c) of this section, any person may comment on the petition.
    (1) A 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) Any comment on a petition should reference the FRA docket and 
notice numbers. A commenter may submit a comment and related material by 
only one of the following methods:
    (i) Federal eRulemaking Portal: http://www.regulations.gov. Follow 
the instructions for submitting comments on the Federal Docket 
Management System electronic docket site.
    (ii) Fax. 1-202-493-2251.
    (iii) Mail. U.S. Department of Transportation, Docket Operations (M-
30), West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, 
SE., Washington, DC 20590-0001.
    (iv) Hand delivery. Room W12-140 on the ground floor of the West 
Building, 1200 New Jersey Avenue, SE., Washington, DC, between 9 a.m. 
and 5 p.m., Monday through Friday, except Federal Holidays.
    (3) The commenter shall certify that a copy of the comment was 
served on the petitioner. Note that all petitions received will be 
posted without change to http://www.regulations.gov including any 
personal information provided.
    (f) Disposition of petitions. (1) If FRA finds that the petition 
complies with the requirements of this section and that the foreign 
railroad's workplace testing program is compatible with the minimum 
standards of this part, 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 any petition. Following the 
approval of a petition, FRA may reopen consideration of the petition for 
cause.
    (2) If FRA finds that the petition does not comply with the 
requirements of this section or that the foreign railroad's workplace 
testing program is not compatible with the minimum standards of this 
part, the petition will be denied, normally within 90 days of its 
receipt.

[[Page 289]]

    (3) When FRA grants or denies a petition, or reopens consideration 
of the petition, written notice is sent to the petitioner and other 
interested parties.
    (g) Program recognition. If its program has been recognized, the 
foreign railroad shall maintain a letter on file indicating that it has 
elected to extend specified elements of the recognized program to its 
operations in the United States. Once granted, program recognition 
remains valid so long as the program retains these elements and the 
foreign railroad complies with the program requirements.

[69 FR 19286, Apr. 12, 2004, as amended at 74 FR 25172, 25173, May 27, 
2009]

    Effective Date Note: At 81 FR 37923, June 10, 2016, Sec. 219.4 was 
amended by revising paragraphs (a)(1), (b)(1), and (b)(2) , effective 
June 12, 2017. For the convenience of the user, the revised text is set 
forth as follows:



Sec. 219.4  Recognition of a foreign railroad's workplace testing 
          program.

    (a) * * *
    (1) To be so considered, the petition must document that the foreign 
railroad's workplace testing program contains equivalents to subparts B, 
F, G, and K of this part:

                                * * * * *

    (b) * * *
    (1) Upon FRA's recognition of a foreign railroad's workplace alcohol 
and drug use program as compatible with the return-to-service 
requirements in subpart B of this part and the requirements of subparts 
F, G, and K of this part, the foreign railroad must comply with either 
the specified provisions of Sec. 219.4 or with the standards of its 
recognized program, and any imposed conditions, with respect to its 
employees whose primary reporting point is outside the United States and 
who perform train or dispatching service in the United States. The 
foreign railroad must also, with respect to its final applicants for, or 
its employees seeking to transfer for the first time to, duties 
involving such train or dispatching service in the United States, comply 
with either subpart F of this part or the standards of its recognized 
program.
    (2) The foreign railroad must comply with subparts A (general), B 
(prohibitions, other than the return-to-service provisions in paragraph 
(d) of this section), C (post-accident toxicological testing), D 
(reasonable suspicion testing), I (annual report requirements), and J 
(recordkeeping requirements) of this part. Drug or alcohol testing 
required by these subparts (except for post-accident toxicological 
testing required by subpart C) must be conducted in compliance with all 
applicable provisions of the DOT Procedures for Workplace Drug and 
Alcohol Testing Programs (part 40 of this title).

                                * * * * *



Sec. 219.5  Definitions.

    As used in this part--
    Accident or incident reportable under part 225 does not include a 
case that is classified as ``covered data'' under Sec. 225.5 of this 
chapter (i.e., employee injury/illness cases reportable exclusively 
because a physician or other licensed health care professional either 
made a one-time topical application of a prescription-strength 
medication to the employee's injury or made a written recommendation 
that the employee: Take one or more days away from work when the 
employee instead reports to work (or would have reported had he or she 
been scheduled) and takes no days away from work in connection with the 
injury or illness; work restricted duty for one or more days when the 
employee instead works unrestricted (or would have worked unrestricted 
had he or she been scheduled) and takes no other days of restricted work 
activity in connection with the injury or illness; or take over-the-
counter medication at a dosage equal to or greater than the minimum 
prescription strength, whether or not the employee actually takes the 
medication).
    Class I, Class II, and Class III have the meaning assigned by 
regulations of the Surface Transportation Board (49 CFR part 1201; 
General Instructions 1-1).
    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 in the United States subject to the hours of service laws (49 
U.S.C. ch. 211) 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

[[Page 290]]

reason of being an employee for purposes of 49 U.S.C. 21106.) For the 
purposes of pre-employment testing only, the term ``covered employee'' 
includes a person applying to perform covered service in the United 
States.
    Covered service means service in the United States that is subject 
to the hours of service laws at 49 U.S.C. 21103, 21104, or 21105, but 
does not include any period the employee is relieved of all 
responsibilities and is free to come and go without restriction.
    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.
    Cross-border operation means a rail operation that crosses into the 
United States from Canada or Mexico.
    Domestic railroad means a railroad that is incorporated in the 
United States.
    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 655) 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.
    Foreign railroad means a railroad that is incorporated outside the 
United States.
    FRA means the Federal Railroad Administration, United States 
Department of Transportation.
    FRA representative means the Associate Administrator for Safety of 
FRA, the Associate Administrator's delegate (including a qualified State 
inspector acting under part 212 of this chapter), the Chief Counsel of 
FRA, or the Chief Counsel's delegate.
    General railroad system of transportation means the general railroad 
system of transportation in the United States.
    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 reporting threshold 
(see Sec. 225.19(e) of this chapter)) 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 specimens can be collected according to 
recognized professional standards.
    Medical practitioner means a physician or dentist licensed or 
otherwise authorized to practice by the state.
    Non-controlled substance means any substance (including prescription 
medications, over-the-counter products, dietary supplements, and herbal 
preparations) which is not currently regulated under 21 U.S.C. 801-971 
or 21 CFR part 1308.
    NTSB means the National Transportation Safety Board.
    Passenger train means a train transporting persons (other than 
employees,

[[Page 291]]

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 for random drug testing means the number of verified 
positive results for random drug tests conducted under this part plus 
the number of refusals of random drug tests required by this part, 
divided by the total number of random drug tests results (i.e., 
positives, negatives, and refusals) under 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 any form of nonhighway ground transportation that 
runs on rails or electromagnetic guideways, and any person providing 
such transportation, including--
    (1) 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
    (2) 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.
    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 
must be calculated as described in the FRA Guide for Preparing Accident/
Incident Reports. (See Sec. 225.21 of this chapter.) However, 
replacement of passenger equipment is calculated based on the cost of 
acquiring a new unit for comparable service.
    Reportable injury means an injury reportable under part 225 of this 
chapter except for an injury that is classified as ``covered data'' 
under Sec. 225.5 of this chapter (i.e., employee injury/illness cases 
reportable exclusively because a physician or other licensed health care 
professional either made a one-time topical application of a 
prescription-strength medication to the employee's injury or made a 
written recommendation that the employee: Take one or more days away 
from work when the employee instead reports to work (or would have 
reported had he or she been scheduled) and takes no days away from work 
in connection with the injury or illness; work restricted duty for one 
or more days when the employee instead works unrestricted (or would have 
worked unrestricted had he or she been scheduled) and takes no other 
days of restricted work activity in connection with the injury or 
illness; or take over-the-counter medication at a dosage equal to or 
greater than the minimum prescription strength, whether or not the 
employee actually takes the medication.
    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.
    State means a State of the United States of America or the District 
of Columbia.
    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), 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

[[Page 292]]

but in which railroad property damage does not exceed the reporting 
threshold.
    United States means all of the States.
    Violation rate for random alcohol testing means the number of 0.04 
and above random alcohol confirmation test results conducted under this 
part plus the number of refusals of random alcohol tests required by 
this part, divided by the total number of random alcohol screening tests 
(including refusals) conducted under this part.

[66 FR 41973, Aug. 9, 2001, as amended at 68 FR 10135, Mar. 3, 2003; 68 
FR 75463, Dec. 31, 2003; 69 FR 19287, Apr. 12, 2004; 78 FR 14224, Mar. 
5, 2013]

    Effective Date Note: At 81 FR 37923, June 10, 2016, Sec. 219.5 was 
amended, effective June 12, 2017, as follows:
    a. Revising the introductory text;
    b. Adding new definitions of ``Administrator'', ``Associate 
Administrator'', ``category of regulated employee'', and ``contractor'' 
in alphabetical order;
    c. Revising the definitions of ``covered employee'' and ``covered 
service'';
    d. Adding new definitions of ``DOT, The Department, or DOT agency'', 
``DOT-regulated employee'', ``DOT safety-sensitive duties or DOT safety-
sensitive functions'', ``Drug and Alcohol Counselor or DAC,'' 
``employee'', ``evacuation'', ``flagman or flagger'' and ``fouling a 
track'' in alphabetical order;
    e. Revising the definition of ``FRA representative'';
    f. Removing the definition of ``general railroad system of 
transportation'';
    g. Adding new definitions of ``highway-rail grade crossing'' and 
``highway-rail grade crossing accident/incident'' in alphabetical order;
    h. Revising the definition of ``impact accident'';
    i. Adding new definitions of ``joint operations'' and ``maintenance-
of-way employee or MOW employee'' in alphabetical order;
    j. Revising the definition of ``medical facility'';
    k. Adding new definitions of ``non-peer'', ``on-track or fouling 
equipment'', ``other impact accident'', ``person'', and ``plant 
railroad'' in alphabetical order;
    l. Revising the definition of ``railroad property damage or damage 
to railroad property'';
    m. Adding new definitions of ``raking collision'', ``regulated 
employee'', ``regulated service'', ``responsible railroad supervisor'', 
``side collision'', and ``tourist, scenic, historic, or excursion 
operations that are not part of the general railroad system of 
transportation'' in alphabetical order;
    n. Removing the definition of ``train'';
    o. Revising the definitions of ``train accident'' and ``train 
incident''; and
    p. Adding a new definition of ``watchman/lookout'' in alphabetical 
order.
    For the convenience of the user, the added and revised text is set 
forth as follows:



Sec. 219.5  Definitions.

    As used in this part only--

                                * * * * *

    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Associate Administrator means the Associate Administrator for 
Railroad Safety, Federal Railroad Administration, or the Associate 
Administrator's delegate.
    Category of regulated employee means a broad class of either covered 
service or maintenance-of-way employees (as defined in this section). 
For the purpose of determining random testing rates under Sec. 219.625, 
if an individual performs both covered service and maintenance-of-way 
activities, he or she belongs in the category of regulated employee that 
corresponds with the type of regulated service comprising more than 50 
percent of his or her regulated service.

                                * * * * *

    Contractor means a contractor or subcontractor performing functions 
for a railroad.

                                * * * * *

    Covered employee means an employee (as defined in this section to 
include an employee, volunteer, or probationary employee performing 
activities for a railroad or a contractor to a railroad) who is 
performing covered service under the hours of service laws at 49 U.S.C. 
21101, 21104, or 21105 or who is subject to performing such covered 
service, regardless of whether the person has performed or is currently 
performing covered service. (An employee is not a ``covered employee'' 
under this definition exclusively because he or she is an employee for 
purposes of 49 U.S.C. 21106.) For the purposes of pre-employment testing 
only, the term ``covered employee'' includes a person applying to 
perform covered service in the United States.
    Covered service means service in the United States as a train 
employee, a dispatching service employee, or a signal employee, as those 
terms are defined at 49 U.S.C. 21101, but does not include any period 
the employee is relieved of all responsibilities and is free to come and 
go without restriction.

                                * * * * *

    DOT, The Department, or DOT agency means all DOT agencies, 
including, but not limited

[[Page 293]]

to, the Federal Aviation Administration (FAA), the Federal Railroad 
Administration (FRA), the Federal Motor Carrier Safety Administration 
(FMCSA), the Federal Transit Administration (FTA), the National Highway 
Traffic Safety Administration (NHTSA), the Pipeline and Hazardous 
Materials Safety Administration (PHMSA), the United States Coast Guard 
(USCG) (for purposes of part 40 coverage only), and the Office of the 
Secretary (OST). These terms include any designee of a DOT agency.
    DOT-regulated employee means any person who is designated in a DOT 
agency regulation as subject to drug testing and/or alcohol testing. The 
term includes individuals currently performing DOT safety-sensitive 
functions designated in DOT agency regulations and applicants for 
employment subject to pre-employment testing. For purposes of drug 
testing conducted under the provisions of 49 CFR part 40, the term 
employee has the same meaning as the term ``donor'' as found on the 
Custody and Control Form and related guidance materials produced by the 
Department of Health and Human Services.
    DOT safety-sensitive duties or DOT-safety sensitive functions means 
functions or duties designated by a DOT agency, the performance of which 
makes an individual subject to the drug testing and/or alcohol testing 
requirements of that DOT agency. For purposes of this part, regulated 
service has been designated by FRA as a DOT safety-sensitive duty or 
function.

                                * * * * *

    Drug and Alcohol Counselor or DAC means a person who meets the 
credentialing and qualification requirements described in Sec. 242.7 of 
this chapter.
    Employee means any individual (including a volunteer or a 
probationary employee) performing activities for a railroad or a 
contractor to a railroad.
    Evacuation means the mandatory or voluntary relocation of at least 
one person who is not a railroad employee for the purpose of avoiding 
exposure to a hazardous material release. It does not include the 
closure of public transportation roadways for the purpose of containing 
a hazardous material release, unless the closure is accompanied by an 
evacuation order.
    Flagman or Flagger means any person designated by the railroad to 
direct or restrict the movement of trains past a point on a track to 
provide on-track safety for maintenance-of-way employees, while engaged 
solely in performing that function.

                                * * * * *

    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.

                                * * * * *

    FRA representative means the Associate Administrator for Railroad 
Safety of FRA and staff, the Associate Administrator's delegate 
(including a qualified State inspector acting under part 212 of this 
chapter), the Chief Counsel of FRA, the Chief Counsel's delegate, or 
FRA's Drug and Alcohol Program oversight contractor.

                                * * * * *

    Highway-rail grade crossing means:
    (1) A location where a public highway, road, or street, or a private 
roadway, including associated sidewalks, crosses one or more railroad 
tracks at grade; or
    (2) A location where a pathway explicitly authorized by a public 
authority or a railroad carrier that is dedicated for the use of non-
vehicular traffic, including pedestrians, bicyclists, and others that 
crosses one or more railroad tracks at grade. The term ``sidewalk'' 
means that portion of a street between the curb line, or the lateral 
line of a roadway, and the adjacent property line or, on easements of 
private property, that portion of a street that is paved or improved and 
intended for use by pedestrians.
    Highway-rail grade crossing accident/incident means any impact 
between railroad on-track equipment and a highway user at a highway-rail 
grade crossing. The term ``highway user'' includes pedestrians, as well 
as automobiles, buses, trucks, motorcycles, bicycles, farm vehicles, and 
all other modes of surface transportation motorized and un-motorized.
    Impact accident, (1) Impact accident means a train accident, as 
defined in this section, consisting either of--
    (i) A head-on or rear-end collision between on-track equipment;
    (ii) A side collision, derailment collision, raking collision, 
switching collision, or ``other impact accident,'' as defined by this 
section;
    (iii) Impact with a deliberately-placed obstruction, such as a 
bumping post (but not a derail); or
    (iv) Impact between on-track equipment and any railroad equipment 
fouling the track, such as an impact between a train and the boom of an 
off-rail vehicle.
    (2) The definition of ``impact accident'' does not include an impact 
with naturally-occurring obstructions such as fallen trees, rock or snow 
slides, livestock, etc.

                                * * * * *

[[Page 294]]

    Joint operations means rail operations conducted by more than one 
railroad on the same track (except for minimal joint operations 
necessary for the purpose of interchange), regardless of whether such 
operations are the result of contractual arrangements between the 
railroads, order of a governmental agency or a court of law, or any 
other legally binding directive. For purposes of this part only, minimal 
joint operations are considered necessary for the purpose of interchange 
when:
    (1) The maximum authorized speed for operations on the shared track 
does not exceed 20 mph;
    (2) 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;
    (3) The maximum distance for operations on the shared track does not 
exceed 3 miles; and
    (4) Any operations extending into another railroad's yard are for 
the sole purpose of setting out or picking up cars on a designated 
interchange track.
    Maintenance-of-way employee or MOW employee means a roadway worker 
as defined in Sec. 214.7 of this chapter.
    Medical facility means a hospital, clinic, physician's office, or 
laboratory where post-accident toxicological testing specimens can be 
collected according to recognized professional standards, and where an 
individual's post-accident medical needs can be attended to.

                                * * * * *

    Non-peer means a supervisor (other than a co-worker), labor 
organization representative, or family member of a regulated employee.
    On-track or fouling equipment means any railroad equipment that is 
positioned on the rails or that is fouling the track, and includes, but 
is not limited to, the following: A train, locomotive, cut of cars, 
single car, motorcar, yard switching train, work train, inspection 
train, track motorcar, highway-rail vehicle, push car, crane, or other 
roadway maintenance machine, such as a ballast tamping machine, if the 
machine is positioned on or over the rails or is fouling the track.
    Other impact accident means an accident or incident, not classified 
as a head-on, rear-end, side, derailment, raking, or switching 
collision, that involves contact between on-track or fouling equipment. 
This includes impacts in which single cars or cuts of cars are damaged 
during operations involving switching, train makeup, setting out, etc.

                                * * * * *

    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, such as a service agent performing functions under part 40 of 
this title; and any employee of such owner, manufacturer, lessor, 
lessee, or independent contractor.
    Plant railroad means a plant or installation that owns or leases a 
locomotive, uses that locomotive to switch cars throughout the plant or 
installation, and is moving goods solely for use in the facility's own 
industrial processes. The plant or installation could include track 
immediately adjacent to the plant or installation if the plant railroad 
leases the track from the general system railroad and the 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. A plant or installation 
that operates a locomotive to switch or move cars for other entities, 
even if solely within the confines of the plant or installation, rather 
than for its own purposes or industrial processes, will not be 
considered a plant railroad because the performance of such activity 
makes the operation part of the general railroad system of 
transportation.

                                * * * * *

    Railroad property damage or damage to railroad property means damage 
to railroad property (specifically, on-track equipment, signals, track, 
track structure, or roadbed) and must be calculated according to the 
provisions for calculating costs and reportable damage in the FRA Guide 
for Preparing Accident/Incident Reports (see Sec. 225.21 of this 
chapter for instructions on how to obtain a copy). Generally, railroad 
property damage includes labor costs and all other costs to repair or 
replace in-kind damaged on-track equipment, signals, track, track 
structures (including bridges and tunnels), or roadbed. (Labor costs 
that must be accounted for include hourly wages, transportation costs, 
and hotel expenses.) It does not include the cost of clearing a wreck; 
however, additional damage to the above-listed items caused while 
clearing the wreck must be included in the damage estimate. It also 
includes the cost of rental and/or operation of machinery such as cranes 
and bulldozers, including the services of contractors, to replace or 
repair the track right-of-way and associated structures. Railroad 
property damage does not include damage to lading. Trailers/containers 
on flatcars are considered to be lading and damage to these is not to be 
included in on-

[[Page 295]]

track equipment damage. Damage to a flat car carrying a trailer/
container, however, is included in railroad property damage. Railroads 
should refer directly to the FRA Guide for Preparing Accident/Incident 
Reports for additional guidance on what constitutes railroad property 
damage.
    Raking collision means a collision between parts or lading of a 
consist on an adjacent track, or with a structure such as a bridge.
    Regulated employee means a covered employee or maintenance-of-way 
employee who performs regulated service for a railroad subject to the 
requirements of this part.
    Regulated service means covered service or maintenance-of-way 
activities, the performance of which makes an employee subject to the 
requirements of this part.

                                * * * * *

    Responsible railroad supervisor means any responsible line 
supervisor (e.g., a trainmaster or road foreman of engines) or superior 
official in authority over the regulated employees to be tested.

                                * * * * *

    Side collision means a collision at a turnout where one consist 
strikes the side of another consist.

                                * * * * *

    Tourist, scenic, historic, or excursion operations that are not part 
of the general railroad system of transportation means a tourist, 
scenic, historic, or excursion operation conducted only on track used 
exclusively for that purpose (i.e., there is no freight, intercity 
passenger, or commuter passenger railroad operation on the track).
    Train accident means a rail equipment accident described in Sec. 
225.19(c) of this chapter involving damage in excess of the current 
reporting threshold (see Sec. 225.19(e) of this chapter), including an 
accident involving a switching movement. Rail equipment accidents 
include, but are not limited to, collisions, derailments, and other 
events involving the operations of on-track or fouling equipment 
(whether standing or moving).
    Train incident means an event involving the operation of railroad 
on-track or fouling equipment that results in a casualty but in which 
railroad property damage does not exceed the reporting threshold.

                                * * * * *

    Watchman/lookout means an employee who has been annually trained and 
qualified to provide warning of approaching trains or on-track 
equipment. Watchmen/lookouts must be properly equipped to provide visual 
and auditory warning by such means as a whistle, air horn, white disk, 
red flag, lantern, or 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 the arrival of 
trains/on-track equipment.



Sec. 219.7  Waivers.

    (a) A person subject to a requirement of this part may petition the 
FRA 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. 
A petition for waiver of the part 40 prohibition against stand down of 
an employee before the Medical Review Officer has completed the 
verification must also comply with Sec. 40.21 of this title.
    (c) If the FRA 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.
    (d) Special dispensation for employees performing train or 
dispatching service on existing cross-border operations. If a foreign 
railroad requests a waiver not later than August 10, 2004, for an 
existing cross-border operation, subparts E, F, and G of this part shall 
not apply to train or dispatching service on that operation in the 
United States performed by an employee of a foreign railroad whose 
primary reporting point is outside the United States, until the 
railroad's waiver request is acted upon by FRA.
    (e) Waiver requests for employees performing train or dispatching 
service on new or expanded cross-border operations. A foreign railroad 
seeking a waiver from subparts E, F, and G of this part for its 
employees performing train or dispatching service on a new cross-border 
operation that proceeds more than 10 route miles into the United States, 
or a formerly excepted cross-border operation that expands beyond the 10 
mile limited haul exception in paragraph (d) of this section, must file 
a petition not later than 90 days before commencing the subject 
operation. FRA will attempt to decide on such petitions within 90 days. 
If no action is taken on the petition within 90 days,

[[Page 296]]

the petition remains pending for decision and the cross-border crew 
assignments on the operation covered by the petition will be subject to 
subparts E, F, and G until FRA grants the petition should the petitioner 
commence the proposed operation.

[66 FR 41973, Aug. 9, 2001, as amended at 69 FR 19287, Apr. 12, 2004]



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 violation of any such requirement is subject to a civil 
penalty of at least $839 and not more than $27,455 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 $109,819 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 
must 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 constitutes 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 rests with the host railroad, and all affected employees must 
be responsive to direction from the host railroad consistent with this 
part. However, nothing in this paragraph (b)(1) restricts 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 of this part 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 must 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.

[66 FR 41973, Aug. 9, 2001, as amended at 69 FR 30593, May 28, 2004; 72 
FR 51196, Sept. 6, 2007; 73 FR 79701, Dec. 30, 2008; 77 FR 24420, Apr. 
24, 2012; 81 FR 43109, July 1, 2016]

    Effective Date Note: At 81 FR 37926, June 10, 2016, Sec. 219.9 was 
revised, effective June 12, 2017. For the convenience of the user, the 
revised text is set forth as follows:



Sec. 219.9  Responsibility for compliance.

    (a) General. Although the requirements of this part are stated in 
terms of the duty of a railroad, when any person, as defined by Sec. 
219.5, performs any function required by this part, that person (whether 
or not a railroad) shall perform that function in accordance with this 
part.
    (b) Joint operations. (1) In the case of joint operations, primary 
responsibility for compliance with subparts C, D, and E of this part 
rests with the host railroad, and all affected

[[Page 297]]

employees must be responsive to direction from the host railroad that is 
consistent with this part. However, nothing in this paragraph restricts 
railroads engaged in joint operations from appropriately assigning 
responsibility for compliance with this part amongst themselves through 
a joint operating agreement or other binding contract. FRA reserves the 
right to bring an enforcement action for noncompliance with this part 
against the host railroad, the employing railroad, or both.
    (2) When an employee of a railroad engaged in joint operations is 
required to participate in breath or body fluid testing under subpart C, 
D, or E of this part 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 engaged in the joint operations must be made available to the 
employee and his or her employing railroad on a reasonable basis.
    (c) Contractor responsibility for compliance. As provided by 
paragraph (a) of this section, any independent contractor or other 
entity that performs regulated service for a railroad, or any other 
services under this part or part 40 of this title, has the same 
responsibilities as a railroad under this part with respect to its 
employees who perform regulated service or other service required by 
this part or part 40 of this title for the railroad. The entity's 
responsibility for compliance with this part may be fulfilled either 
directly by that entity or by the railroad treating the entity's 
regulated employees as if they were the railroad's 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 a clear delineation of 
responsibility, FRA may hold the railroad and the other entity jointly 
and severally liable for compliance.



Sec. 219.10  Penalties.

    Any person, as defined by Sec. 219.5, who violates any requirement 
of this part or causes the violation of any such requirement is subject 
to a civil penalty of at least $650 and not more than $25,000 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 
$105,000 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 is 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 constitutes a 
separate offense. See Appendix A to this part for a statement of agency 
civil penalty policy.

[81 FR 37926, June 10, 2016]

    Effective Date Note: At 81 FR 37926, June 10, 2016, Sec. 219.10 was 
added, effective June 12, 2017.



Sec. 219.11  General conditions for chemical tests.

    (a) Any employee who performs covered service for a railroad is 
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 must 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 must be accorded priority over provision of the breath 
or body fluid specimen(s).
    (3) Failure to remain available following an accident or casualty as 
required by company rules (i.e., being absent without leave) is 
considered a refusal to participate in testing, without regard to any 
subsequent provision of specimens.
    (c) A covered employee who is required to be tested under subpart C 
or D of this part and who is taken to a medical facility for observation 
or treatment after an accident or incident is deemed to have consented 
to the release to FRA of the following:
    (1) The remaining portion of any body fluid specimen 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 specimen;
    (2) The results of any laboratory tests for alcohol or any drug 
conducted

[[Page 298]]

by or for the treating facility on such specimen;
    (3) The identity, dosage, and time of administration of any drugs 
administered by the treating facility prior to the time specimens were 
taken by the treating facility or prior to the time specimens were taken 
in compliance with this part; and
    (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 of this part (post-accident toxicological testing) or testing 
subject to subpart H of this part 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 specimens, 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 
may be construed to extend only to those actions specified in this 
section.
    (e) Nothing in this part may 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 is 
deemed to have consented to removal of body fluid and/or tissue 
specimens 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 of this part 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) 
must 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 must 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 may not be 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 specimens provided under this part. For purposes of 
this paragraph (h), all urine from a void constitutes a single specimen.
    (i) A railroad required or authorized to conduct testing under this 
part may conduct all such testing in the United States. A foreign 
railroad required to conduct testing under this part may conduct such 
tests in its home country, provided that it otherwise complies with the 
requirements of this part.

[66 FR 41973, Aug. 9, 2001, as amended at 69 FR 19288, Apr. 12, 2004]

    Effective Date Note: At 81 FR 37922, June 10, 2016, Sec. 219.11 was 
amended by revising paragraphs (a), (b)(1) and (2), and (c) through (h), 
effective June 12, 2017. For the convenience of the user, the revised 
text is set forth as follows:



Sec. 219.11  General conditions for chemical tests.

    (a)(1) Any regulated employee who is subject to performing regulated 
service for a railroad is deemed to have consented to testing as 
required in subparts B, C, D, E, F, G, and K of this part.
    (2) A regulated employee required to participate in alcohol and/or 
drug testing under this part must be on duty and subject to performing 
regulated service when the specimen

[[Page 299]]

collection is initiated and the alcohol testing/urine specimen 
collection is conducted (with the exception of pre-employment testing 
under subpart F of this part).
    (b)(1) Each regulated employee must participate in such testing, as 
required under the conditions set forth in this part and implemented by 
a representative of the railroad or employing contractor.
    (2) In any case where an employee is suffering a substantiated 
medical emergency and is subject to alcohol or drug testing under this 
part, necessary medical treatment must be accorded priority over 
provision of the breath or body fluid specimen(s). A medical emergency 
is an acute medical condition requiring immediate medical care. A 
railroad may require an employee to substantiate a medical emergency by 
providing verifiable documentation from a credible outside professional 
(e.g., doctor, dentist, hospital, or law enforcement officer) 
substantiating the medical emergency within a reasonable period of time.

                                * * * * *

    (c) A regulated employee who is required to be tested under subparts 
C, D, or E of this part and who is taken to a medical facility for 
observation or treatment after an accident or incident is deemed to have 
consented to the release to FRA of the following:
    (1) The remaining portion of any body fluid specimen taken by the 
medical 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 specimen;
    (2) The results of any laboratory tests for alcohol or any drug 
conducted by or for the medical facility on such specimen;
    (3) The identity, dosage, and time of administration of any drugs 
administered by the medical facility before the time specimens were 
taken by the medical facility or before the time specimens were taken in 
compliance with this part; and
    (4) The results of any breath tests for alcohol conducted by or for 
the medical facility.
    (d) Any person required to participate in body fluid testing under 
subpart C of this part (post-accident toxicological testing) shall, if 
requested by a representative of the railroad or the medical facility, 
evidence consent to the taking of specimens, 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. 
A regulated employee is not required to execute any document or clause 
waiving rights that the employee would otherwise have against the 
railroad, 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 may be construed to extend only to 
those actions specified in this section.
    (e)(1) A regulated employee who is notified of selection for testing 
under this part must cease to perform his or her assigned duties and 
proceed to the testing site either immediately or as soon as possible 
without adversely affecting safety.
    (2) A railroad must ensure that the absence of a regulated employee 
from his or her assigned duties to report for testing does not adversely 
affect safety.
    (3) Nothing in this part may be construed to authorize the use of 
physical coercion or any other deprivation of liberty to compel breath 
or body fluid testing.
    (f) Any employee performing duties for a railroad who is involved in 
a qualifying accident or incident described in subpart C of this part, 
and who dies within 12 hours of that accident or incident as the result 
thereof, is deemed to have consented to the removal of body fluid and/or 
tissue specimens necessary for toxicological analysis from the remains 
of such person, and this consent is implied by the performance of duties 
for the railroad (i.e., a consent form is not required). This consent 
provision applies to all employees performing duties for a railroad, and 
not just regulated employees.
    (g) Each supervisor responsible for regulated employees (except a 
working supervisor who is a co-worker as defined in Sec. 219.5) must 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, the major drug groups on the 
controlled substances list, and other impairing drugs. The program must 
also provide training on the qualifying criteria for post-accident 
toxicological 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.
    (h) Nothing in this subpart restricts any discretion available to 
the railroad to request or require that a regulated employee cooperate 
in additional breath or body fluid testing. However, no such testing may 
be performed on urine or blood specimens provided under this part. For 
purposes of this paragraph (h), all urine from a void constitutes a 
single specimen.

                                * * * * *

[[Page 300]]



Sec. 219.12  Hours-of-service laws implications.

    (a) A railroad is not excused from performing alcohol or drug 
testing under subpart C (post-accident toxicological testing) and 
subpart D (reasonable suspicion testing) of this part because the 
performance of such testing would violate the hours-of-service laws at 
49 U.S.C. ch. 211. If a railroad establishes that a violation of the 
hours-of-service laws is caused solely because it was required to 
conduct post-accident toxicological testing or reasonable suspicion 
testing, FRA will not take enforcement action for the violation if the 
railroad used reasonable due diligence in completing the collection and 
otherwise completed it within the time limitations of Sec. 219.203(d) 
(for post-accident toxicological testing) or Sec. 219.305 (for 
reasonable suspicion testing), although the railroad must still report 
any excess service to FRA.
    (b) A railroad may perform alcohol or drug testing authorized under 
subpart E (reasonable cause testing) of this part even if the 
performance of such testing would violate the hours-of-service laws at 
49 U.S.C. ch. 211. If a railroad establishes that a violation of the 
hours-of-service laws is caused solely by its decision to conduct 
authorized reasonable cause testing, FRA will not take enforcement 
action for the violation if the railroad used reasonable due diligence 
in completing the collection and otherwise completed it within the time 
limitations of Sec. 219.407, although the railroad must still report 
any excess service to FRA.
    (c) A railroad must schedule random alcohol and drug tests under 
subpart G of this part so that sufficient time is provided to complete 
the test within a covered employee's hours-of-service limitations under 
49 U.S.C. ch. 211. However, if a direct observation collection is 
required during a random test per the requirements of part 40 of this 
title, then the random test must be completed regardless of the hours-
of-service law limitations, although the railroad must still report any 
excess service to FRA. A railroad may not place a regulated employee on-
duty for the sole purpose of conducting a random alcohol or drug test 
under subpart G of this part.
    (d) A railroad must schedule follow-up tests under Sec. 219.104 so 
that sufficient time is provided to complete a test within a covered 
employee's hours-of-service limitations under 49 U.S.C. ch. 211. If a 
railroad is having a difficult time scheduling the required number of 
follow-up tests because a covered employee's work schedule is 
unpredictable, there is no prohibition against the railroad placing an 
employee (who is subject to being called to perform regulated service) 
on duty for the purpose of conducting the follow-up tests; except that 
an employee may be placed on duty for a follow-up alcohol test only if 
he or she is required to completely abstain from alcohol by a return-to-
duty agreement, as provided by Sec. 40.303(b) of this title. A railroad 
must maintain documentation establishing the need to place the employee 
on duty for the purpose of conducting the follow-up test and provide 
this documentation for review upon request of an FRA representative.

[81 FR 37927, June 12, 2016]

    Effective Date Note: At 81 FR 37927, June 10, 2016, Sec. 219.12 was 
added, effective June 12, 2017.



Sec. Sec. 219.13--219.15  [Reserved]



Sec. 219.17  Construction.

    Nothing in this part--
    (a) Restricts the power of FRA to conduct investigations under 
sections 20107, 20108, 20111, and 20112 of title 49, United States Code;
    (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; or
    (c) Impacts 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.

[78 FR 14225, Mar. 5, 2013]

[[Page 301]]



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: 219.7, 219.23, 219.104, 219.201, 219.203, 219.205, 
219.207, 219.209, 219.211, 219.213, 219.303, 219.401, 219.403, 219.405, 
219.407, 219.501, 219.502, 219.503, 219.601, 219.605, 219.701, 219.801, 
219.803, 219.901, and 219.903.



Sec. 219.23  Railroad policies.

    (a) Whenever a breath or body fluid test is required of an employee 
under this part, the railroad must provide clear and unequivocal written 
notice to the employee that the test is being required under FRA 
regulations. Use of the mandated DOT form for drug or alcohol testing 
satisfies the requirements of this paragraph (a).
    (b) Whenever a breath or body fluid test is required of an employee 
under this part, the railroad must 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 DOT alcohol or drug testing form indicating the 
basis of the test (prior to providing a copy to the employee) satisfies 
the requirement of this paragraph (b). Use of the DOT form for non-
Federal tests is prohibited.
    (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 must 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 must 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 hired for or transferred to a covered position.
    (2) Each railroad must 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 must 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 
Sec. Sec. 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.

[[Page 302]]

    (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 must be clearly and obviously 
described as being based on independent authority.

    Effective Date Note: At 81 FR 37927, June 10, 2016, Sec. 219.23 was 
revised, effective June 12, 2017. For the convenience of the user, the 
revised text is set forth as follows:



Sec. 219.23  Railroad policies.

    (a) Whenever a breath or body fluid test is required of an employee 
under this part, the railroad (either through a railroad employee or a 
designated agent, such as a contracted collector) must provide clear and 
unequivocal written notice to the employee that the test is being 
required under FRA regulations and is being conducted under Federal 
authority. The railroad must also provide the employee clear and 
unequivocal written notice of the type of test that is required (e.g., 
reasonable suspicion, reasonable cause, random selection, follow-up, 
etc.). These notice requirements are satisfied if:
    (1) For all FRA testing except mandatory post-accident toxicological 
testing under subpart C of this part, a railroad uses the mandated DOT 
alcohol or drug testing form, circles or checks off the box 
corresponding to the type of test, and shows this form to the employee 
before testing begins; or
    (2) For mandatory post-accident toxicological testing under subpart 
C of this part, a railroad uses the approved FRA form and shows this 
form to the employee before testing begins.
    (b) Use of the mandated DOT alcohol or drug testing forms for non-
Federal tests or mandatory post-accident toxicological testing under 
subpart C of this part is prohibited (except for post-accident breath 
alcohol testing permitted under Sec. 219.203(c)). Use of the approved 
FRA post-accident toxicological testing form for any testing other than 
that mandated under subpart C is prohibited.
    (c) Each railroad must develop and publish educational materials, 
specifically designed for regulated employees that clearly explain the 
requirements of this part, as well as the railroad's policies and 
procedures with respect to meeting those requirements. The railroad must 
ensure that a copy of these materials is distributed to each regulated 
employee hired for or transferred to a position that requires alcohol 
and drug testing under this part. (This requirement does not apply to an 
applicant for a regulated service position who either refuses to provide 
a specimen for pre-employment testing or who has a pre-employment test 
with a result indicating a violation of the alcohol or drug prohibitions 
of this part.) A railroad may satisfy this requirement by either--
    (1)(i) Continually posting the materials in a location that is 
easily visible to all regulated employees going on duty at their 
designated reporting place and, if applicable, providing a copy of the 
materials to any employee labor organization representing a class or 
craft of regulated employees of the railroad; or
    (ii) Providing a copy of the materials in some other manner that 
will ensure regulated employees can find and access these materials 
explaining the critical aspects of the program (e.g., by posting the 
materials on a company Web site that is accessible to all regulated 
employees); or
    (2) For a minimum of three years after June 12, 2017, also ensuring 
that a hard copy of these materials is provided to each maintenance-of-
way employee.
    (d) Required content. The materials to be made available to 
regulated employees under paragraph (c) of this section must, at a 
minimum, include clear and detailed discussion of the following:
    (1) The position title, name, and means of contacting the person(s) 
the railroad designates to answer employee questions about the 
materials;

[[Page 303]]

    (2) The specific classes or crafts of employees who are subject to 
the provisions of this part, such as engineers, conductors, MOW 
employees, signal maintainers, or train dispatchers;
    (3) Sufficient information about the regulated service functions 
those employees perform to make clear that the period of the work day 
the regulated employee is required to be in compliance with the alcohol 
prohibitions of this part is that period when the employee is on duty 
and is required to perform or is available to perform regulated service;
    (4) Specific information concerning regulated employee conduct that 
is prohibited under subpart B of this part (e.g., the minimum 
requirements of Sec. Sec. 219.101, 219.102, and 219.103);
    (5) The requirement that a railroad utilizing the reasonable cause 
testing authority provided by subpart E of this part must give prior 
notice to regulated employees of the circumstances under which they will 
be subject to reasonable cause testing;
    (6) The circumstances under which a regulated employee will be 
tested under this part;
    (7) The procedures used to test for the presence of alcohol and 
controlled substances, protect the regulated 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 regulated 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 a regulated employee found to have 
violated subpart B of this part, including the requirement that the 
employee be removed immediately from regulated service, and the 
responsive action requirements of Sec. 219.104;
    (11) The consequences for a regulated employee who has a Federal 
alcohol test indicating an alcohol concentration of 0.02 or greater but 
less than 0.04; and
    (12) Information concerning the effects of alcohol and drug misuse 
on an individual's health, work, and personal life; signs and symptoms 
of an alcohol or drug problem (the employee's or a co-worker's); and 
available methods of evaluating and resolving problems associated with 
the misuse of alcohol and drugs, and the names, addresses, and telephone 
numbers of DACs and counseling and treatment programs.
    (e) 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 company authority independent of this part. Any 
such additional policies or consequences must be clearly and obviously 
described as being based on the railroad's independent company 
authority.



Sec. 219.25  Previous employer drug and alcohol checks.

    (a) As required by Sec. 219.701(a) and (b), a railroad must conduct 
drug or alcohol testing under this part in compliance with part 40 of 
this title (except for post-accident toxicological testing under subpart 
C of this part). A railroad must therefore comply with Sec. 40.25 of 
this title by checking the alcohol and drug testing record of any direct 
regulated employee (a regulated employee who is not employed by a 
contractor to the railroad) it intends to use for regulated service 
before the employee performs such service for the first time. A railroad 
is not required to check the alcohol and drug testing record of 
contractor employees performing regulated service on its behalf (the 
alcohol and drug testing record of those contractor employees must be 
checked by their direct employers).
    (b) When determining whether a person may become or remain certified 
as a locomotive engineer or a conductor, a railroad must comply with the 
requirements in Sec. 240.119(c) (for engineers) or Sec. 242.115(e) 
(for conductors) of this chapter regarding the consideration of Federal 
alcohol and drug violations that occurred within a period of 60 
consecutive months before the review of the person's records.

[81 FR 37928, June 10, 2016]

    Effective Date Note: At 81 FR 37928, June 10, 2016, Sec. 219.25 was 
added, effective June 12, 2017.



                         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--

[[Page 304]]

    (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:
    (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 may perform or continue to perform covered service functions 
for a railroad, nor may 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 
must be considered negative and is not evidence of alcohol misuse. A 
railroad may 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. 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 may 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 may it be construed to restrict a railroad from 
prohibiting such presence under its own rules.

    Effective Date Note: At 81 FR 37928, June 10, 2016, Sec. 219.101 
was amended by revising paragraph (a), effective June 12, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 219.101  Alcohol and drug use prohibited.

    (a) Prohibitions. Except as provided in Sec. 219.103--
    (1) No regulated employee may use or possess alcohol or any 
controlled substance when the employee is on duty and subject to 
performing regulated service for a railroad.
    (2) No regulated employee may report for regulated service, or go or 
remain on duty in regulated service, while--
    (i) Under the influence of or impaired by alcohol;
    (ii) Having 0.04 or more alcohol concentration in the breath or 
blood; or
    (iii) Under the influence of or impaired by any controlled 
substance.
    (3) No regulated employee may use alcohol for whichever is the 
lesser of the following periods:
    (i) Within four hours of reporting for regulated service; or
    (ii) After receiving notice to report for regulated service.
    (4)(i) No regulated employee tested under the provisions of this 
part whose Federal test result indicates an alcohol concentration of 
0.02 or greater but less than 0.04 may perform or continue to perform 
regulated service for a railroad, nor may a railroad permit the 
regulated employee to perform or continue to perform regulated service, 
until the start of the regulated employee's next regularly scheduled 
duty period, but not less than eight hours following administration of 
the test.
    (ii) Nothing in this section prohibits a railroad from taking 
further action under its own independent company authority when a 
regulated employee tested under the provisions of this part has a 
Federal test result indicating an alcohol concentration of 0.02 or 
greater, but less than 0.04. However, while a Federal test result of 
0.02 or greater but less

[[Page 305]]

than 0.04 is a positive test and may be a violation of a railroad's 
operating rules, it is not a violation of this section and cannot be 
used to decertify an engineer under part 240 of this chapter or a 
conductor under part 242 of this chapter.
    (5) If an employee tested under the provisions of this part has a 
test result indicating an alcohol concentration below 0.02, the test is 
negative and is not evidence of alcohol misuse. A railroad may 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. 
An independent basis for subsequent company authority testing will exist 
only when, after having a negative Federal reasonable suspicion alcohol 
test result, the employee exhibits additional or continuing signs and 
symptoms of alcohol use. If a company authority test then indicates a 
violation of the railroad's operating rules, this result is independent 
of the Federal test result and must stand on its own merits.

                                * * * * *



Sec. 219.102  Prohibition on abuse of controlled substances.

    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.

    Effective Date Note: At 81 FR 37929, June 10, 2016, Sec. 219.102 
was revised, effective June 12, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 219.102  Prohibition on abuse of controlled substances.

    No regulated employee may use a controlled substance at any time, 
whether on duty or off duty, except as permitted by Sec. 219.103.



Sec. 219.103  Prescribed and over-the-counter drugs.

    (a) This subpart does not prohibit the use of a controlled substance 
(on Schedules 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.



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 must immediately remove the employee from covered service and 
the procedures described in paragraphs (b) through (e) of this section 
apply.
    (2) If an employee refuses to provide breath or a body fluid 
specimen or specimens when required to by the railroad under a mandatory 
provision of this part, the railroad must immediately remove the 
employee from covered service, and the procedures described in 
paragraphs (b) through (e) of this section 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 test or who have a pre-employment test with a result 
indicating the misuse of alcohol or controlled substances.
    (b) Notice. Prior to or upon withdrawing the employee from covered

[[Page 306]]

service under this section, the railroad must provide notice to the 
employee 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 must 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 must make 
separate findings as to compliance with Sec. Sec. 219.101 and 219.102.
    (2) The hearing must 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 sec. 3 of the Railway Labor 
Act (49 U.S.C. 153), satisfies the procedural requirements of this 
paragraph (c).
    (4) Nothing in this part may 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 restricts 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) The railroad must comply with the return-to-service and follow-
up testing requirements, and the Substance Abuse Professional conflict-
of-interest prohibitions, contained in Sec. Sec. 40.305, 40.307, and 
40.299 of this title, respectively.

    Effective Date Note: At 81 FR 37929, June 10, 2016, Sec. 219.104 
was revised, effective June 12, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 219.104  Responsive action.

    (a) Removal from regulated service. (1) If a railroad determines 
that a regulated employee has violated Sec. 219.101 or Sec. 219.102, 
or the alcohol or controlled substances misuse rule of another DOT 
agency, the railroad must immediately remove the employee from regulated 
service and the procedures described in paragraphs (b) through (d) of 
this section apply.
    (2) If a regulated employee refuses to provide a breath or body 
fluid specimen or specimens when required to by the railroad under a 
provision of this part, a railroad must immediately remove the regulated 
employee from regulated service, and the procedures described in 
paragraphs (b) through (d) of this section apply. This provision also 
applies to Federal reasonable cause testing under subpart E of this part 
(if the railroad has elected to conduct this testing under Federal 
authority).
    (b) Notice. Before or upon removing a regulated employee from 
regulated service under this section, a railroad must provide written 
notice to the employee of the reason for this action. A railroad may 
provide a regulated employee with an initial verbal notice so long as it 
provides a follow-up written notice to the employee as soon as possible. 
In addition to the reason for the employee's withdrawal from regulated 
service, the written notice must also inform the regulated employee that 
he may not perform any DOT safety-sensitive duties until he completes 
the return-to-duty process of part 40.
    (c) Hearing procedures. (1) Except as provided in paragraph (e)(5) 
of this section, if a regulated employee denies that a test result or 
other information is valid evidence of a Sec. 219.101 or Sec. 219.102 
violation, the regulated employee may demand and must 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 must make separate findings as to compliance with 
Sec. Sec. 219.101 and 219.102.

[[Page 307]]

    (2) The hearing must be convened within the period specified in the 
applicable collective bargaining agreement. In the absence of an 
agreement provision, the regulated employee may demand that the hearing 
be convened within 10 calendar days of the employee's suspension or, in 
the case of a regulated employee who is unavailable due to injury, 
illness, or other sufficient cause, within 10 days of the date the 
regulated employee becomes available for the 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 sec. 3 of the Railway Labor 
Act (49 U.S.C. 153), satisfies the procedural requirements of this 
paragraph (c).
    (4) With respect to a removal or other adverse action taken as a 
consequence of a positive test result or refusal in a test authorized or 
required by this part, nothing in this part may be deemed to abridge any 
procedural rights or remedies consistent with this part that are 
available to a regulated employee under a collective bargaining 
agreement, the Railway Labor Act, or (with respect to employment at 
will) at common law.
    (5) Nothing in this part restricts the discretion of a railroad to 
treat a regulated employee's denial of prohibited alcohol or drug use as 
a waiver of any privilege the regulated 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) A railroad must comply with the requirements for Substance Abuse 
Professional evaluations, the return-to-duty process, and follow-up 
testing contained in part 40 of this title.
    (1) Post-accident toxicology testing exception. If a regulated 
employee has a post-accident toxicology test result under subpart C of 
this part that is positive for a drug not listed in Sec. 40.5's 
definition of ``Drugs,'' a railroad may conduct the employee's return-
to-duty and follow-up tests under part 40, or may conduct the employee's 
return-to-duty and follow-up tests under its own authority to comply 
with the requirements of paragraph (d) of this section, so long as its 
testing procedures are otherwise identical to those of part 40, and 
include the specific drug for which the violation occurred, on an 
expanded drug testing panel.
    (e) Applicability. (1) 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, testing for cause wholly 
independent of the subpart E Federal authority of this part, or testing 
under a labor agreement).
    (2) This section does not apply to Federal alcohol tests indicating 
an alcohol concentration of less than 0.04.
    (3) This section does not apply to a locomotive engineer or 
conductor who has an off-duty conviction for, or a completed state 
action to cancel, revoke, suspend, or deny a motor vehicle driver's 
license for operating while under the influence of or impaired by 
alcohol or a controlled substance. (However, this information remains 
relevant for the purpose of locomotive engineer or conductor 
certification, according to the requirements of parts 240 or 242 of this 
chapter.)
    (4) This section does not apply to an applicant who declines to be 
subject to pre-employment testing and withdraws an application for 
employment before the test begins. The determination of when a drug or 
alcohol test begins is made according to the provisions found in 
subparts E and L of part 40 of this title.
    (5) Paragraph (c) of this section does not apply to an applicant who 
tests positive or refuses a DOT pre-employment test.
    (6) As provided by Sec. 40.25(j) of this title, paragraph (d) of 
this section applies to any DOT-regulated employer seeking to hire for 
DOT safety-sensitive functions an applicant who tested positive or who 
refused a DOT pre-employment test.



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 must 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. Sec. 219.101 and 219.102 by each covered employee.

    Effective Date Note: At 81 FR 37930, June 10, 2016, Sec. 219.105 
was revised, effective June 12, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 219.105  Railroad's duty to prevent violations.

    (a) A railroad may not, with actual knowledge, permit a regulated 
employee to go or remain on duty in regulated service in violation of 
the prohibitions of Sec. 219.101 or Sec. 219.102. As used in this 
section, the actual knowledge imputed to the railroad is limited

[[Page 308]]

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 regulated employee's chain of 
command. A railroad management or supervisory employee has actual 
knowledge of a violation when he or she:
    (1) Personally observes a regulated employee use or possess alcohol 
or use drugs in violation of this subpart. It is not sufficient for 
actual knowledge if the supervisory or management employee merely 
observes the signs and symptoms of alcohol or drug use that require a 
reasonable suspicion test under Sec. 219.301;
    (2) Receives information regarding a violation of this subpart from 
a previous employer of a regulated employee, in response to a background 
information request required by Sec. 40.25 of this title; or
    (3) Receives a regulated employee's admission of prohibited alcohol 
possession or prohibited alcohol or drug use.
    (b) A railroad must exercise due diligence to assure compliance with 
Sec. Sec. 219.101 and 219.102 by each regulated employee.
    (c) A railroad's alcohol and/or drug use education, prevention, 
identification, intervention, and rehabilitation programs and policies 
must be designed and implemented in such a way that they do not 
circumvent or otherwise undermine the requirements, standards, and 
policies of this part. Upon FRA's request, a railroad must make 
available for FRA review all documents, data, or other records related 
to such programs and policies.
    (d) Each year, a railroad's supervisors must conduct and record a 
number of ``Rule G'' employee observations at a minimum equal to twice 
the railroad's total number of regulated employees. Each ``Rule G'' 
observation must be made sufficiently close to an individual regulated 
employee to determine whether the employee is displaying signs and 
symptoms indicative of a violation of the prohibitions of this part.



Sec. 219.107  Consequences of unlawful refusal.

    (a) An employee who refuses to provide breath or a body fluid 
specimen or specimens when required to by the railroad under a mandatory 
provision of this part must 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 must provide notice of the reason for 
this action, and the procedures described in Sec. 219.104(c) apply.
    (c) The disqualification required by this section applies 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 must be subject to follow-up tests, as provided by that 
section.

    Effective Date Note: At 81 FR 37930, June 10, 2016, Sec. 219.107 
was revised, effective June 12, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 219.107  Consequences of refusal.

    (a) A regulated employee who refuses to provide a breath or body 
fluid specimen or specimens when required to by the railroad under a 
provision of this part must be withdrawn from regulated service for a 
period of nine (9) months. Per the requirements of part 40 of this 
title, a regulated employee who provides an adulterated or substituted 
specimen is deemed to have refused to provide the required specimen and 
must be withdrawn from regulated service in accordance with this 
section.
    (b) Notice. Before or upon withdrawing a regulated employee from 
regulated service under this section, a railroad must provide written 
notice to the employee of the reason for this action, and the procedures 
described in Sec. 219.104(c) apply. A railroad may provide a regulated 
employee with an initial verbal notice so long as it provides a follow-
up written notice as soon as possible.
    (c) The withdrawal required by this section applies only to an 
employee's performance of regulated service for any railroad with notice 
of such withdrawal. During the period of withdrawal, a railroad with 
notice of such withdrawal must not authorize or permit the employee to 
perform any regulated service for the railroad.
    (d) The requirement of withdrawal 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 nine month period described in this 
section, a railroad may permit an employee to return to regulated 
service only under the conditions specified in Sec. 219.104(d), and the 
regulated employee must be subject to return-to-duty and follow-up 
tests, as provided by that section.

[[Page 309]]



              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 must 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) 
that involves one or more of the following:
    (i) A fatality;
    (ii) A 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) that involves 
damage in excess of the current reporting threshold, 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) involving a passenger train.
    (b) Exceptions. No test may be required in the case of a collision 
between railroad rolling stock and a motor vehicle or other highway 
conveyance at a rail/highway grade crossing. No test may 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 must 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 must 
consider the need to obtain specimens 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 may 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 must 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 must 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 must 
be affirmed by the decision maker and must be provided to FRA within 72 
hours of the request. The report must 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 
at the scene must be based on descriptions of specific physical damage 
provided by the on-scene railroad representative.

[[Page 310]]

    (v) In the case of an accident involving passenger equipment, a host 
railroad may rely upon 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 must 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 this part).
    (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 specimen analysis, 
reporting, and other purposes.
    (5) In the event specimens are collected following an event 
determined by FRA not to be a qualifying event within the meaning of 
this section, FRA directs its designated laboratory to destroy any 
specimen material submitted and to refrain from disclosing to any person 
the results of any analysis conducted.

    Effective Date Note: At 81 FR 37930, June 10, 2016, Sec. 219.201 
was amended by revising paragraphs (a) and (b), effective June 12, 2017. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec. 219.201  Events for which testing is required.

    (a) List of events. Except as provided in paragraph (b) of this 
section, FRA post-accident toxicological tests must be conducted after 
any event that involves one or more of the circumstances described in 
paragraphs (a)(1) through (5) 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) 
that involves one or more of the following:
    (i) A fatality to any person;
    (ii) A 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 $1,500,000 or more.
    (2) Impact accident. Any impact accident (i.e., a rail equipment 
accident defined as an ``impact accident'' in Sec. 219.5) that involves 
damage in excess of the current reporting threshold, 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 an on-duty employee (as defined in Sec. 219.5) who dies 
within 12 hours of the incident as a result of the operation of on-track 
equipment, regardless of whether that employee was performing regulated 
service.
    (4) Passenger train accident. Any train accident (i.e., a rail 
equipment accident involving damage in excess of the current reporting 
threshold) involving a passenger train and a reportable injury to any 
person.
    (5) Human-factor highway-rail grade crossing accident/incident. A 
highway-rail grade crossing accident/incident when it involves:
    (i) A regulated employee who interfered with the normal functioning 
of a grade crossing signal system, in testing or otherwise, without 
first taking measures to provide for the safety of highway traffic that 
depends on the normal functioning of such system, as prohibited by Sec. 
234.209 of this chapter;
    (ii) A train crewmember who was, or who should have been, flagging 
highway traffic to stop due to an activation failure of the grade 
crossing system, as provided by Sec. 234.105(c)(3) of this chapter;
    (iii) A regulated employee who was performing, or should have been 
performing, the duties of an appropriately equipped flagger (as defined 
in Sec. 234.5 of this chapter) due to an activation failure, partial 
activation, or false activation of the grade crossing signal system, as 
provided by Sec. 234.105(c)(1) and (2), Sec. 234.106, or Sec. 
234.107(c)(1)(i) of this chapter;

[[Page 311]]

    (iv) A fatality to any regulated employee performing duties for the 
railroad, regardless of fault; or
    (v) A regulated employee who violated an FRA regulation or railroad 
operating rule and whose actions may have played a role in the cause or 
severity of the accident/incident.
    (b) Exceptions. Except for a human-factor highway-rail grade 
crossing accident/incident described in paragraph (a)(5) of this 
section, no test may be required in the case of a collision between 
railroad rolling stock and a motor vehicle or other highway conveyance 
at a highway/rail grade crossing. No test may be required for 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.

                                * * * * *



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) must take all 
practicable steps to assure that all covered employees of the railroad 
directly involved in the accident or incident provide blood and urine 
specimens for toxicological testing by FRA. Such employees must 
cooperate in the provision of specimens as described in this part and 
Appendix C to this part.
    (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 part 40 of this title and in 
this part, if such testing does not interfere with timely collection of 
required specimens.
    (2) Such employees must 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 must also be required to provide specimens.
    (3) An employee must 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) (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 must consider any such information 
immediately available at the time the qualifying event determination is 
made under Sec. 219.201.
    (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 specimen collection. (1) The railroad must make every 
reasonable effort to assure that specimens are provided as soon as 
possible after the accident or incident.
    (2) This paragraph (b) must 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 must 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 must consider the safety and convenience of 
passengers in determining whether the crew is immediately available for 
testing. A relief crew must be called to relieve the train crew as soon 
as possible.
    (4) Covered employees who may be subject to testing under this 
subpart must 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 specimen 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

[[Page 312]]

railroad, except that an employee may 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);
    (ii) The railroad's preliminary investigation (contemporaneous with 
the determination required by Sec. 219.201) 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 specimen collection. (1) Employees must be transported 
to an independent medical facility where the specimens must be obtained. 
The railroad must pre-designate for such testing one or more such 
facilities in reasonable proximity to any location where the railroad 
conducts operations. Designation must be made on the basis of the 
willingness of the facility to conduct specimen collection and the 
ability of the facility to complete specimen collection promptly, 
professionally, and in accordance with pertinent requirements of this 
part. In all cases blood may 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 must request 
the treating medical facility to obtain the specimens.
    (d) Obtaining cooperation of facility. (1) In seeking the 
cooperation of a medical facility in obtaining a specimen 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 specimens after having been acquainted with the 
requirements of this subpart, the railroad must immediately notify the 
duty officer at the National Response Center (NRC) at (800) 424-8801 or 
(800) 424-8802, 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 specimen.
    (e) Discretion of physician. Nothing in this subpart may be 
construed to limit the discretion of a physician to determine whether 
drawing a blood specimen 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.

    Effective Date Note: At 81 FR 37931, June 10, 2016, Sec. 219.203 
was revised, effective June 12, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 219.203  Responsibilities of railroads and employees.

    (a) Employees tested. A regulated employee subject to post-accident 
toxicological testing under this subpart must cooperate in the provision 
of specimens as described in this part and appendix C to this part.
    (1) General. Except as otherwise provided for by this section, 
following each qualifying event described in Sec. 219.201, a regulated 
employee directly involved in a qualifying event under this subpart must 
provide blood and urine specimens for toxicological testing by FRA. This 
includes any regulated employee who may not have been present or on-duty 
at the time or location of the event, but whose actions may have played 
a role in its cause or severity, including, but not limited to, an 
operator, dispatcher, or signal maintainer.
    (2) Fatalities. Testing of the remains of an on-duty employee (as 
defined in Sec. 219.5) who is fatally injured in a qualifying event 
described in Sec. 219.201 is required, regardless of

[[Page 313]]

fault, if the employee dies within 12 hours of the qualifying event as a 
result of such qualifying event.
    (3) Major train accidents. For an accident or incident meeting the 
criteria of a major train accident in Sec. 219.201(a)(1)--
    (i) All assigned crew members of all trains or other on-track 
equipment involved in the qualifying event must be subjected to post-
accident toxicological testing, regardless of fault.
    (ii) Other surviving regulated employees who are not assigned crew 
members of an involved train or other on-track equipment (e.g., a 
dispatcher or a signal maintainer) must be tested if a railroad 
representative can immediately determine, on the basis of specific 
information, that the employee may have had a role in the cause or 
severity of the accident/incident. In making this determination, the 
railroad representative must consider any such information that is 
immediately available at the time the qualifying event determination is 
made under Sec. 219.201.
    (4) Fatal train incidents. For a fatal train incident under Sec. 
219.201(a)(3), the remains of any on-duty employee (as defined in Sec. 
219.5) performing duties for a railroad who is fatally injured in the 
event are always subject to post-accident toxicological testing, 
regardless of fault.
    (5) Human-factor highway-rail grade crossing accident/incidents. (i) 
For a human-factor highway-rail grade crossing accident/incident under 
Sec. 219.201(a)(5)(i), only a regulated employee who interfered with 
the normal functioning of a grade crossing signal system and whose 
actions may have contributed to the cause or severity of the event is 
subject to testing.
    (ii) For a human-factor highway-rail grade crossing accident/
incident under Sec. 219.201(a)(5)(ii), only a regulated employee who 
was a train crew member responsible for flagging highway traffic to stop 
due to an activation failure of a grade crossing system (or who was on-
site and directly responsible for ensuring that flagging was being 
performed), but who failed to do so, and whose actions may have 
contributed to the cause or severity of the event, is subject to 
testing.
    (iii) For a human-factor highway-rail grade crossing accident/
incident under Sec. 219.201(a)(5)(iii), only a regulated employee who 
was responsible for performing the duties of an appropriately equipped 
flagger (as defined in Sec. 234.5 of this chapter), but who failed to 
do so, and whose actions may have contributed to the cause or severity 
of the event is subject to testing.
    (iv) For a human-factor highway-rail grade crossing accident/
incident under Sec. 219.201(a)(5)(iv), only the remains of any fatally-
injured employee(s) (as defined in Sec. 219.5) performing regulated 
service for the railroad are subject to testing.
    (v) For a human-factor highway-rail grade crossing accident/incident 
under Sec. 219.201(a)(5)(v), only a regulated employee who violated an 
FRA regulation or railroad operating rule and whose actions may have 
contributed to the cause or severity of the event is subject to testing.
    (6) Exception. For a qualifying impact accident, passenger train 
accident, fatal train incident, or human-factor highway-rail grade 
crossing accident/incident under Sec. 219.201(a)(2) through (5), a 
surviving crewmember or other regulated employee must be excluded from 
testing if the railroad representative can immediately determine, on the 
basis of specific information, that the employee had no role in the 
cause or severity of the accident/incident. In making this 
determination, the railroad representative must consider any information 
that is immediately available at the time the qualifying event 
determination is made under Sec. 219.201.
    (i) This exception is not available for assigned crew members of all 
involved trains if the qualifying event also meets the criteria for a 
major train accident under Sec. 219.201(a)(1) (e.g., this exception is 
not available for an Impact Accident that also qualifies as a major 
train accident because it results in damage to railroad property of 
$1,500,000 or more).
    (ii) This exception is not available for any on-duty employee who is 
fatally-injured in a qualifying event.
    (b) Railroad responsibility. (1) A railroad must take all 
practicable steps to ensure that all surviving regulated employees of 
the railroad who are subject to FRA post-accident toxicological testing 
under this subpart provide blood and urine specimens for the 
toxicological testing required by FRA. This includes any regulated 
employee who may not have been present or on-duty at the time or 
location of the event, but whose actions may have played a role in its 
cause or severity, including, but not limited to, an operator, 
dispatcher, or signal maintainer.
    (2) A railroad must take all practicable steps to ensure that tissue 
and fluid specimens taken from fatally injured employees are subject to 
FRA post-accident toxicological testing under this subpart.
    (3) FRA post-accident toxicological testing under this subpart takes 
priority over toxicological testing conducted by state or local law 
enforcement officials.
    (c) Alcohol testing. Except as provided for in paragraph (e)(4) of 
this section, if the conditions for mandatory post-accident 
toxicological testing exist, a railroad may also require an employee to 
provide breath for testing in accordance with the procedures set forth 
in part 40 of this title and in this part, if such testing does not 
interfere with timely collection of required urine and blood specimens.

[[Page 314]]

    (d) Timely specimen collection. (1) A railroad must make every 
reasonable effort to assure that specimens are provided as soon as 
possible after the accident or incident, preferably within four hours. 
Specimens that are not collected within four hours after a qualifying 
accident or incident must be collected as soon thereafter as 
practicable. If a specimen is not collected within four hours of a 
qualifying event, the railroad must immediately notify the FRA Drug and 
Alcohol Program Manager at 202-493-6313 and provide detailed information 
regarding the failure (either verbally or via a voicemail). The railroad 
must also submit a concise, written narrative report of the reasons for 
such a delay to the FRA Drug and Alcohol Program Manager, 1200 New 
Jersey Ave. SE., Washington, DC 20590. The report must be submitted 
within 30 days after the expiration of the month during which the 
accident or incident occurred. This report may also be submitted via 
email to an email address provided by the FRA Drug and Alcohol Program 
Manager.
    (2) The requirements of paragraph (d) of this section must not be 
construed to inhibit an employee who is required to be post-accident 
toxicological tested from performing, in the immediate aftermath of an 
accident or incident, any duties that may be necessary for the 
preservation of life or property. Where practical, however, a railroad 
must utilize other employees to perform such duties.
    (3) If a passenger train is in proper condition to continue to the 
next station or its destination after an accident or incident, the 
railroad must consider the safety and convenience of passengers in 
determining whether the crew should be made immediately available for 
post-accident toxicological testing. A relief crew must be called to 
relieve the train crew as soon as possible.
    (4) A regulated employee who may be subject to post-accident 
toxicological testing under this subpart must 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 specimen 
collection.
    (e) Recall of employees for testing. (1) Except as otherwise 
provided for in paragraph (e)(2) of this section, a regulated 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. An 
employee who has been transported to receive medical care is not 
released from duty for purposes of this section. Furthermore, nothing in 
this section prohibits the subsequent testing of an employee who has 
failed to remain available for testing as required (e.g., an employee 
who is absent without leave). However, subsequent testing does not 
excuse a refusal by the employee to provide the specimens in a timely 
manner.
    (2) A railroad must immediately recall and place on duty a regulated 
employee for post-accident drug testing, if--
    (i) The employee could not be retained in duty status because the 
employee went off duty under normal railroad procedures before 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 he or she went off duty); 
and
    (ii) The railroad's preliminary investigation (contemporaneous with 
the determination required by Sec. 219.201) indicates a clear 
probability that the employee played a role in the cause or severity of 
the accident/incident.
    (3) If the criteria in paragraph (e)(2) of this section are met, a 
regulated employee must be recalled for post-accident drug testing 
regardless of whether the qualifying event happened or did not happen 
during the employee's tour of duty. However, an employee may not be 
recalled for testing if more than 24 hours have passed since the 
qualifying event. An employee who has been recalled must be placed on 
duty for the purpose of accomplishing the required post-accident drug 
testing.
    (4) Urine and blood specimens must be collected from an employee who 
is recalled for testing in accordance with this section. If the employee 
left railroad property before being recalled, however, the specimens 
must be tested for drugs only. A railroad is prohibited from requiring a 
recalled employee to provide breath specimens for alcohol testing, 
unless the regulated employee has remained on railroad property since 
the time of the qualifying event and the railroad has a company policy 
completely prohibiting the use of alcohol on railroad property.
    (5) A railroad must document its attempts to contact an employee 
subject to the recall provisions of this section. If a railroad is 
unable, as a result of the non-cooperation of an employee or for any 
other reason, to obtain specimen(s) from an employee subject to 
mandatory recall within the 24-hour period after a qualifying event and 
to submit specimen(s) to FRA as required by this subpart, the railroad 
must contact FRA and prepare a concise narrative report according to the 
requirements of paragraph (d)(1) of this section. The report must also 
document the railroad's good faith attempts to contact and recall the 
employee.
    (f) Place of specimen collection. (1) With the exception of Federal 
breath testing for alcohol (when conducted as authorized under this 
subpart), an employee must be transported to an independent medical 
facility for specimen collection. In all cases, blood may be

[[Page 315]]

drawn only by a qualified medical professional or by a qualified 
technician subject to the supervision of a qualified medical 
professional (e.g., a phlebotomist). A collector contracted by a 
railroad or medical facility may collect and/or assist in the collection 
of specimens at the medical facility if the medical facility does not 
object and the collector is qualified to do so.
    (2) If an employee has been injured, a railroad must ask the 
treating medical facility to obtain the specimens. Urine may be 
collected from an injured employee (conscious or unconscious) who has 
already been catheterized for medical purposes, but an employee may not 
be catheterized solely for the purpose of providing a specimen under 
this subpart. Under Sec. 219.11(a), an employee is deemed to have 
consented to FRA post-accident toxicological testing by the act of being 
subject to performing regulated service for a railroad.
    (g) Obtaining cooperation of facility. (1) In seeking the 
cooperation of a medical facility in obtaining a specimen under this 
subpart, a railroad must, as necessary, make specific reference to the 
requirements of this subpart and the instructions in FRA's post-accident 
toxicological shipping kit.
    (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 and/or urine specimens after having been 
informed of the requirements of this subpart, the railroad must 
immediately notify the duty officer at the National Response Center 
(NRC) at (800) 424-8802, stating the employee's name, the name and 
location of the medical facility, 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 specimens.
    (h) Discretion of physician. Nothing in this subpart may be 
construed to limit the discretion of a medical professional to determine 
whether drawing a blood specimen 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.



Sec. 219.205  Specimen collection and handling.

    (a) General. Urine and blood specimens must 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 specimens, 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 must 
complete the information required by Form FRA 6180.73 (revised) for 
shipping with the specimens. Each employee subject to testing must 
cooperate in completion of the required information on Form FRA F 
6180.74 (revised) for inclusion in the shipping kit and processing of 
the specimens. The railroad representative must request an appropriate 
representative of the medical facility to complete the remaining portion 
of the information on each Form 6180.74. One Form 6180.73 must be 
forwarded in the shipping kit with each group of specimens. One Form 
6180.74 must be forwarded in the shipping kit for each employee who 
provides specimens. Forms 6180.73 and 6180.74 may be ordered from the 
laboratory specified in appendix B to this part; the forms are also 
provided to railroads free of charge in the shipping kit. (See paragraph 
(c) of this section.)
    (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 
specimens under this subpart. Whenever possible, specimens must be 
placed in the shipping kit prepared for shipment according to the 
instructions provided in the kit and Appendix C to this part.
    (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's possession, rather than 
maintaining such kits on its property.
    (d) Shipment. Specimens must 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 must request the medical facility to 
transfer the sealed

[[Page 316]]

toxicology kit directly to the express courier for transportation. If 
courier pickup is not available at the medical facility where the 
specimens are collected or for any other reason prompt transfer by the 
medical facility cannot be assured, the railroad must promptly transport 
the sealed shipping kit holding the specimens to the most expeditious 
point of shipment via air express, air freight or equivalent means. The 
railroad must 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 to this part.

    Effective Date Note: At 81 FR 37933, June 10, 2016, Sec. 219.205 
was revised, effective June 12, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 219.205  Specimen collection and handling.

    (a) General. Urine and blood specimens must be obtained, marked, 
preserved, handled, and made available to FRA consistent with the 
requirements of this subpart, the instructions provided inside the FRA 
post-accident toxicological shipping kit, and the technical 
specifications set forth in appendix C to this part.
    (b) Information requirements. Basic information concerning the 
accident/incident and any treatment administered after the accident/
incident is necessary to process specimens, analyze the significance of 
laboratory findings, and notify railroads and employees of test results. 
Accordingly, the railroad representative must complete the information 
required by Form FRA 6180.73 (revised) for shipping with the specimens. 
Each employee subject to testing must cooperate in completion of the 
required information on Form FRA F 6180.74 (revised) for inclusion in 
the shipping kit and processing of the specimens. The railroad 
representative must ask an appropriate representative of the medical 
facility to complete the remaining portion of the information on each 
Form 6180.74. A Form 6180.73 must be forwarded in the shipping kit with 
each group of specimens. A Form 6180.74 must be forwarded in the 
shipping kit for each employee who provides specimens. A Form 6180.73 
and either a Form 6180.74 or a Form 6180.75 (for fatalities) are 
included in the shipping kit. (See paragraph (c) of this section.)
    (c) Shipping kits. (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 post-accident 
toxicological specimens under this subpart. Specimens must be placed in 
the shipping kit and prepared for shipment according to the instructions 
provided in the kit and appendix C to this part.
    (2) Standard shipping kits may be ordered directly from the 
laboratory designated in appendix B to this part by first requesting an 
order form from FRA's Drug and Alcohol Program Manager at 202-493-6313. 
In addition to the standard kit for surviving employees, FRA also has 
distributed a post-mortem shipping kit to Class I, II, and commuter 
railroads. The post-mortem kit may not be ordered by other railroads. If 
a smaller railroad has a qualifying event involving a fatality to an on-
duty employee, the railroad should advise the NRC at 1-800-424-8802 of 
the need for a post-mortem kit, and FRA will send one overnight to the 
medical examiner's office or assist the railroad in obtaining one from a 
nearby railroad.
    (d) Shipment. Specimens must be shipped as soon as possible by pre-
paid air express (or other means adequate to ensure delivery within 24 
hours from time of shipment) to the laboratory designated in appendix B 
to this part. However, if delivery cannot be ensured within 24 hours due 
to a suspension in air express delivery services, the specimens must be 
held in a secure refrigerator until delivery can be accomplished. In no 
circumstances may specimens be held for more than 72 hours. Where 
express courier pickup is available, the railroad must ask 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 specimens are collected or if for any other 
reason a prompt transfer by the medical facility cannot be assured, the 
railroad must promptly transport the sealed shipping kit holding the 
specimens to the most expeditious point of shipment via air express. The 
railroad must maintain and document a secure chain of custody of the 
kit(s) from its release by the medical facility to its delivery for 
transportation, as described in appendix C to this part.
    (e) Specimen security. After a specimen kit or transportation box 
has been sealed, no entity other than the laboratory designated in 
appendix B to this part may open it. If the railroad or medical facility 
discovers an error with either the specimens or the chain of custody 
form after the kit or transportation box has been sealed, the railroad 
or medical facility must make a contemporaneous written record of that 
error and send it to the laboratory, preferably with the transportation 
box.



Sec. 219.206  FRA access to breath test results.

    Documentation of breath test results must be made available to FRA 
consistent with the requirements of this

[[Page 317]]

subpart, and the technical specifications set forth in appendix C to 
this part.



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 specimens must be 
obtained from the remains of the employee for toxicological testing. To 
ensure that specimens are timely collected, the railroad must 
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 specimens. The 
railroad must 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 specimens, the railroad must 
immediately notify the duty officer at the National Response Center 
(NRC) at (800) 424-8801 or (800) 424-8802 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 specimens 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 FRA Administrator under sections 20107 and 
20108 of title 49, United States Code (but not the agent of the 
Secretary for purposes of the Federal Tort Claims Act (chapter 171 of 
title 28, United States Code). 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 this part.
    (d) Appendix C to this part specifies body fluid and tissue 
specimens required for toxicological analysis in the case of a fatality.

    Effective Date Note: At 81 FR 37933, June 10, 2016, Sec. 219.207 
was amended, effective June 12, 2017, as follows:
    a. In paragraph (a), removing the word ``and/or'' and adding, in its 
place, the word ``and''; removing the words ``timely collected'' and 
adding, in their place, ``collected in a timely fashion''; removing the 
word ``shipping'' and adding, in its place, ``post-mortem shipping''; 
and removing the words ``if a person'' and adding, in their place, ``if 
the custodian is someone'';
    b. In the introductory text of paragraph (b), removing ``(800) 424-
8801 or'';
    c. In paragraph (c), removing the word ``and/or'' and adding, in its 
place, the word ``and''; and
    d. In paragraph (d), removing the word ``specifies'' and adding, in 
its place, the words ``and the instructions included inside the shipping 
kits specify''.



Sec. 219.209  Reports of tests and refusals.

    (a)(1) A railroad that has experienced one or more events for which 
specimens were obtained must provide prompt telephonic notification 
summarizing such events. Notification must 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) 493-6313.
    (2) Each telephonic report must 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 specimen and cause it to 
be provided to FRA as required by this subpart, the railroad must 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 must be appended to the report of the accident/incident 
required

[[Page 318]]

to be submitted under part 225 of this chapter.
    (c) If a test required by this section is not administered within 
four hours following the accident or incident, the railroad must prepare 
and maintain on file a record stating the reasons the test was not 
promptly administered. Records must be submitted to FRA upon request of 
the FRA Associate Administrator for Safety.

    Effective Date Note: At 81 FR 37933, June 10, 2016, Sec. 219.209 
was amended by revising paragraphs (a)(2)(iv), (a)(2)(v), and (b), and 
removing paragraph (c)3, effective June 12, 2017. For the convenience of 
the user, the revised text is set forth as follows:



Sec. 219.209  Reports of tests and refusals.

    (a) * * *
    (2) * * *
    (iv) Brief summary of the circumstances of the accident/incident, 
including basis for testing (e.g., impact accident with a reportable 
injury); and
    (v) Number of employees tested.
    (b) If a railroad is unable, as a result of non-cooperation of an 
employee or for any other reason, to obtain a specimen and provide it to 
FRA as required by this subpart, the railroad must immediately notify 
the FRA Drug and Alcohol Program Manager at 202-493-6313 and provide 
detailed information regarding the failure (either verbally or via a 
voicemail). The railroad must also provide a concise narrative written 
report of the reason for such failure and, if appropriate, any action 
taken in response to the cause of such failure. This report must be 
appended to the report of the accident/incident required to be submitted 
under part 225 of this chapter and must also be mailed to the FRA Drug 
and Alcohol Program Manager at 1200 New Jersey Avenue SE., Washington, 
DC 20590.



Sec. 219.211  Analysis and follow-up.

    (a) The laboratory designated in appendix B to this part undertakes 
prompt analysis of provided under this subpart, consistent with the need 
to develop all relevant information and produce a complete report. 
Specimens are analyzed for alcohol, controlled substances, and non-
controlled substances specified by FRA under protocols specified by FRA. 
These substances may be tested for in any form, whether naturally or 
synthetically derived. Specimens may be analyzed for other impairing 
substances specified by FRA as necessary to the particular accident 
investigation.
    (b) Results of post-accident toxicological testing for controlled 
substances conducted under this subpart are reported to the railroad's 
Medical Review Officer and the employee. The MRO and the railroad must 
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 must 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) that could account for the laboratory 
findings. The Medical Review Officer must promptly report the results of 
each review to the Associate Administrator for Safety, FRA, Washington, 
DC 20590. Such report must be in writing and must reference the 
employing railroad, accident/incident date, and location, and the 
envelope must be marked ``ADMINISTRATIVELY CONFIDENTIAL: ATTENTION 
ALCOHOL/DRUG PROGRAM MANAGER.'' The report must 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 may not disclose to FRA the 
underlying physical condition for which any medication was authorized or 
administered. The FRA is not 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.

[[Page 319]]

    (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 may do so by 
letter addressed to the Alcohol/Drug Program Manager, Office of Safety, 
FRA, 1200 New Jersey Avenue, SE., Washington, DC 20590 within 45 days of 
receipt of the test results. Any such submission must refer to the 
accident date, railroad and location, must state the position occupied 
by the employee on the date of the accident/incident, and must 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 will 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) With the exception of post-accident test results for non-
controlled substances, the toxicology report is a part of the report of 
the accident/incident and therefore subject to the limitation of 49 
U.S.C. 20903 (prohibiting use of the report for any purpose in a civil 
action for damages resulting from a matter mentioned in the report).
    (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, may not be deemed to run as to any offense involving the 
accident or incident (i.e., such periods must be tolled).
    (2) This provision may 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 specimen (including each split specimen) 
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 specimen 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 his or her split specimen be tested by 
the designated laboratory or by another laboratory certified by Health 
and Human Services under 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,

[[Page 320]]

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, Federal Railroad 
Administration, Washington, DC 20590, and be designated 
``ADMINISTRATIVELY CONFIDENTIAL: ATTENTION ALCOHOL/DRUG PROGRAM 
MANAGER.'' The expense of any employee-requested split specimen test at 
a laboratory other than the laboratory designated under this subpart 
shall be borne by the employee.

[66 FR 41973, Aug. 9, 2001, as amended at 74 FR 25172, May 27, 2009; 78 
FR 14225, Mar. 5, 2013]

    Effective Date Note: At 81 FR 37934, June 10, 2016, Sec. 219.211 
was amended by adding a sentence at the end of paragraph (b) and by 
revising the second sentence of paragraph (c), the second sentence of 
paragraph (e), and paragraph (g)(3), effective June 12, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 219.211  Analysis and follow-up.

                                * * * * *

    (b) * * * An employer is prohibited from temporarily removing an 
employee from the performance of regulated service based only on a 
report from the laboratory to the MRO of a confirmed positive test for a 
drug or drug metabolite, an adulterated test, or a substituted test, 
before the MRO has completed verification of the test result.
    (c) * * * The Medical Review Officer must promptly report the 
results of each review to the Associate Administrator for Railroad 
Safety, FRA, 1200 New Jersey Avenue SE., Washington, DC 20590. * * *
    (e) * * * An employee wishing to respond may do so by email or 
letter addressed to the Drug and Alcohol Program Manager, Office of 
Railroad Safety, FRA, 1200 New Jersey Avenue SE., Washington, DC 20590 
within 45 days of receipt of the test results. * * *

                                * * * * *

    (g) * * *
    (3) This provision does not authorize holding any employee out of 
service pending receipt of PAT testing results. It also does not 
restrict a railroad from taking such action based on the employee's 
underlying conduct, so long as it is consistent with the railroad's 
disciplinary policy and is taken under the railroad's own authority.

                                * * * * *



Sec. 219.213  Unlawful refusals; consequences.

    (a) Disqualification. An employee who refuses to cooperate in 
providing breath, blood or urine specimens following an accident or 
incident specified in this subpart must be withdrawn from covered 
service and must 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 must provide notice of 
the reason for this action and an opportunity for hearing before a 
presiding officer other than the charging official. The employee is 
entitled to the procedural protection set out in Sec. 219.104(d).
    (c) Subject of hearing. The hearing required by this section must 
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.

    Effective Date Note: At 81 FR 37922, June 10, 2016, in Sec. 
219.213, paragraphs (a) and (b) were amended by revising all references 
to ``covered service'' to read ``regulated service,'' and paragraph (b), 
by adding ``written'' in front of the word ``notice,'' effective June 
12, 2017.



                       Subpart D_Testing for Cause

    Effective Date Note: At 81 FR 37922, June 10, 2016, subpart D was 
revised, effective June

[[Page 321]]

12, 2017. For the convenience of the user, the revised text follows the 
supart.



Sec. 219.300  Mandatory reasonable suspicion testing.

    (a) Requirements. (1) A railroad must 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 must require a covered employee to submit to a 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 
must 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 drug test, the required observations must be 
made by two supervisors, at least one of whom is trained in accordance 
with Sec. 219.11(g).
    (c) Nothing in this section may be construed to require the conduct 
of alcohol testing or 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 
must 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 must cease attempts to administer an alcohol test and must 
state in the record the reasons for not administering the test. Records 
must be submitted to FRA upon request of the FRA Administrator.
    (2) [Reserved]



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 body fluid testing, or 
both, to determine compliance with Sec. Sec. 219.101 and 219.102 or a 
railroad rule implementing the requirements of Sec. Sec. 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 specimen 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 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 chapter, 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:

[[Page 322]]

    (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 of this chapter (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 drug 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 alcohol testing 
also constitutes cause with respect to drug testing.
    (d) [Reserved]
    (e) Limitation for subpart C events. The compulsory drug 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. 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 specimens under subpart C 
of this part.



Sec. 219.302  Prompt specimen 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 may be required to participate in alcohol or 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 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 drug testing specimens within that period.
    (f) [Reserved]
    (g) Section 219.23 prescribes the notice to an employee that is 
required to

[[Page 323]]

provide breath or a body fluid specimen under this part.

    Effective Date Note: At 81 FR 37934, June 10, 2016, subpart D was 
revised, effective June 12, 2017. For the convenience of the user, the 
revised text is set forth as follows:



                 Subpart D_Reasonable Suspicion Testing



Sec. 219.301  Mandatory reasonable suspicion testing.

    (a) Each railroad must require a regulated employee to submit to a 
breath alcohol test when the railroad has reasonable suspicion to 
believe that the regulated 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 regulated 
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. A Federal reasonable 
suspicion alcohol test is not required to confirm the on-duty possession 
of alcohol.
    (b) Each railroad must require a regulated employee to submit to a 
drug test when the railroad has reasonable suspicion to believe that the 
regulated 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 regulated 
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.
    (c) Reasonable suspicion observations made under this section must 
comply with the requirements of Sec. 219.303.
    (d) As provided by Sec. 219.11(b)(2), in any case where an employee 
is suffering a substantiated medical emergency and is subject to alcohol 
or drug testing under this subpart, necessary medical treatment must be 
accorded priority over provision of the breath or body fluid specimens. 
However, when the employee's condition is stabilized, reasonable 
suspicion testing must be completed if within the eight-hour limit 
provided for in Sec. 219.305.



Sec. 219.303  Reasonable suspicion observations.

    (a) With respect to an alcohol test, the required observations must 
be made by a responsible railroad supervisor (defined by Sec. 219.5) 
trained in accordance with Sec. 219.11(g). The supervisor who makes the 
determination that reasonable suspicion exists may not conduct the 
reasonable suspicion testing on that regulated employee.
    (b) With respect to a drug test, the required observations must be 
made by two responsible railroad supervisors (defined by Sec. 219.5), 
at least one of whom must be both on site and trained in accordance with 
Sec. 219.11(g). If one of the supervisors is off site, the on-site 
supervisor must communicate with the off-site supervisor, as necessary, 
to provide him or her the information needed to make the required 
observation. This communication may be performed via telephone, but not 
via radio or any other form of electronic communication.
    (c) This subpart does not authorize holding any employee out of 
service pending receipt of toxicological analysis for reasonable 
suspicion testing, nor does it restrict a railroad from taking such 
action based on the employee's underlying conduct, provided it is 
consistent with the railroad's policy and taken under the railroad's own 
authority.
    (d) The railroad must maintain written documentation that 
specifically describes the observed signs and symptoms upon which the 
determination that reasonable suspicion exists is based. This 
documentation must be completed promptly by the trained supervisor.



Sec. 219.305  Prompt specimen collection; time limitations.

    (a) Consistent with the need to protect life and property, testing 
under this subpart must be conducted promptly following the observations 
upon which the testing decision is based.
    (b) If a test required by this subpart is not administered within 
two hours following a determination made under this section, the 
railroad must prepare and maintain on file a record stating the reasons 
the test was not administered within that time period. If an alcohol or 
drug test required by this subpart is not administered within eight 
hours of a determination made under this subpart, the railroad must 
cease attempts to administer the test and must record the reasons for 
not administering the test. The eight-hour requirement is satisfied if 
the individual has been delivered to the collection site (where the 
collector is present) and the request has been made to commence 
collection of the specimens within that period. The records required by 
this section must be submitted to FRA upon request of the FRA Drug and 
Alcohol Program Manager.
    (c) A regulated employee may not be tested under this subpart if 
that individual has been released from duty under the normal procedures 
of a railroad. An individual 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

[[Page 324]]

failed to remain available for testing as required (i.e., who is absent 
without leave).



             Subpart E_Identification of Troubled Employees

    Effective Date Note: At 81 FR 37935, June 10, 2016, subpart E was 
revised, effective June 12, 2017. For the convenience of the user, the 
revised text follows the supart.



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 must 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 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 
Sec. Sec. 219.403 and 219.405 or by complying with Sec. 219.407.
    (d) If a railroad complies with this part by adopting, publishing 
and implementing policies consistent with Sec. Sec. 219.403 and 
219.405, the railroad must make such policies, and publications 
announcing such policies, available for inspection and copying by FRA.
    (e) Nothing in this subpart may 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. Sec. 219.101 and 219.102.
    (b) Required provisions. A voluntary referral policy must 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 must 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 section, 
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

[[Page 325]]

abuse professional. Approval to return to service may not be 
unreasonably withheld.
    (5) With respect to a certified locomotive engineer or a candidate 
for certification, the railroad must meet the requirements of Sec. 
240.119(e) of this chapter.
    (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 (co-worker report policy).
    (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 Sec. Sec. 219.101 and 219.102.
    (b) Employment relationship. A co-worker report policy must provide 
that a covered employee may maintain an employment relationship with the 
railroad following an alleged first offense under this part 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 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.

[[Page 326]]

    (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 must 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 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 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 have 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 applies in lieu 
of the policy required by Sec. 219.403, Sec. 219.405, or both.
    (c) The railroad must file the agreement or other document described 
in paragraph (b) of this section with the Associate Administrator for 
Safety, FRA. If the alternate policy is amended or revoked, the railroad 
must 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 Sec. Sec. 219.403 
and 219.405 with respect to any group of covered employees not within 
the coverage of an appropriate alternate policy.

    Effective Date Note: At 81 FR 37935, June 10, 2016, subpart E was 
revised, effective June 12, 2017. For the convenience of the user, the 
revised text is set forth as follows:



                   Subpart E_Reasonable Cause Testing



Sec. 219.401  Authorization for reasonable cause testing.

    (a) Each railroad may, at its own discretion, elect to conduct 
Federal reasonable cause testing authorized by this subpart. If a 
railroad chooses to do so, the railroad must use only Federal authority 
for all reasonable cause testing that meets the criteria of Sec. 
219.403. In addition, the railroad must notify its regulated employees 
of its decision to use Federal reasonable cause testing authority in the 
employee educational policy required by Sec. 219.23(e)(5). The railroad 
must also provide written notification of its decision to FRA's Drug and 
Alcohol Program Manager, 1200 New Jersey Ave. SE., Washington, DC 20590.
    (b) If a railroad elects to conduct reasonable cause testing under 
the authority of this subpart, the railroad may, under the conditions 
specified in this subpart, require any regulated employee, as a 
condition of employment in regulated service, to cooperate with breath 
or body fluid testing, or both, to determine compliance with Sec. Sec. 
219.101 and 219.102 or a railroad rule implementing the requirements of 
Sec. Sec. 219.101 and 219.102.

[[Page 327]]

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. 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.



Sec. 219.403  Requirements for reasonable cause testing.

    Each railroad's decision process regarding whether reasonable cause 
testing is authorized must be completed before the reasonable cause 
testing is performed and documented according to the requirements of 
Sec. 219.405. The following circumstances constitute reasonable cause 
for the administration of alcohol and/or drug tests under the authority 
of this subpart.
    (a) Train accident or train incident. A regulated employee has been 
involved in a train accident or train incident (as defined in Sec. 
219.5) reportable under part 225 of this chapter, and a responsible 
railroad supervisor (as defined in Sec. 219.5) has a reasonable belief, 
based on specific, articulable facts, that the individual employee's 
acts or omissions contributed to the occurrence or severity of the 
accident; or
    (b) Rule violation. A regulated employee has been directly involved 
in one or more of the following railroad or FRA rule violations or other 
errors:
    (1) Noncompliance with a train order, track warrant, track bulletin, 
track permit, stop and flag order, timetable, signal indication, special 
instruction or other directive with respect to movement of railroad on-
track equipment that involves--
    (i) Occupancy of a block or other segment of track to which entry 
was not authorized;
    (ii) Failure to clear a track to permit opposing or following 
movements to pass;
    (iii) Moving across a railroad crossing at grade without 
authorization; or
    (iv) Passing an absolute restrictive signal or passing a restrictive 
signal without stopping (if required);
    (2) Failure to protect on-track equipment, including leaving on-
track equipment fouling an adjacent track;
    (3) Operation of a train or other speedometer-equipped on-track 
equipment at a speed that exceeds the maximum authorized speed by at 
least 10 miles per hour or by 50% of such maximum authorized speed, 
whichever is less;
    (4) Alignment of a switch in violation of a railroad rule, failure 
to align a switch as required for movement, operation of a switch under 
on-track equipment, or unauthorized running through a switch;
    (5) Failure to restore and secure a main track switch as required;
    (6) Failure to apply brakes or stop short of a derail as required;
    (7) Failure to secure a hand brake or failure to secure sufficient 
hand brakes, as required;
    (8) Entering a crossover before both switches are lined for movement 
or restoring either switch to normal position before the crossover 
movement is completed;
    (9) Failure to provide point protection by visually determining that 
the track is clear and giving the signals or instructions necessary to 
control the movement of on-track equipment when engaged in a shoving or 
pushing movement;
    (10) In the case of a person performing a dispatching function or 
block operator function, issuance of a mandatory directive or 
establishment of a route that fails to provide proper protection for on-
track equipment;
    (11) Interference with the normal functioning of any grade crossing 
signal system or any signal or train control device without first taking 
measures to provide for the safety of highway traffic or train 
operations which depend on the normal functioning of such a device. Such 
interference includes, but is not limited to, failure to provide 
alternative methods of maintaining safety for highway traffic or train 
operations while testing or performing work on the devices or on track 
and other railroad systems or structures which may affect the integrity 
of the system;
    (12) Failure to perform stop-and-flag duties necessary as a result 
of a malfunction of a grade crossing signal system;
    (13) Failure of a machine operator that results in a collision 
between a roadway maintenance machine and on-track equipment or a 
regulated employee;
    (14) Failure of a roadway worker-in-charge to notify all affected 
employees when releasing working limits;
    (15) Failure of a flagman or watchman/lookout to notify employees of 
an approaching train or other on-track equipment;
    (16) Failure to ascertain that provision was made for on-track 
safety before fouling a track;
    (17) Improper use of individual train detection in a manual 
interlocking or control point; or
    (18) Failure to apply three point protection (fully apply the 
locomotive and train brakes, center the reverser, and place the 
generator field switch in the off position) that results in a reportable 
injury to a regulated employee.



Sec. 219.405  Documentation requirements.

    (a) Each railroad must maintain written documentation that 
specifically describes the basis for each reasonable cause test it

[[Page 328]]

performs under Federal authority. This documentation must be completed 
promptly by the responsible railroad supervisor; although it does not 
need to be completed before the reasonable cause testing is conducted.
    (b) For a rule violation, the documentation must include the type of 
rule violation and the involvement of each tested regulated employee. 
For a train accident or train incident reportable under part 225 of this 
chapter, a railroad must describe either the amount of railroad property 
damage or the reportable casualty and the basis for the supervisor's 
belief that the employee's acts or omissions contributed to the 
occurrence or severity of the train accident or train incident.



Sec. 219.407  Prompt specimen collection; time limitations.

    (a) Consistent with the need to protect life and property, testing 
under this subpart must be conducted promptly following the observations 
upon which the testing decision is based.
    (b) If a test conducted pursuant to the authority of this subpart is 
not administered within two hours following the observations upon which 
the testing decision is based, the railroad must prepare and maintain on 
file a record stating the reasons the test was not conducted within that 
time period. If an alcohol or drug test authorized by this subpart is 
not administered within eight hours of the event under this subpart, the 
railroad must cease attempts to administer the test and must record the 
reasons for not administering the test. The eight-hour time period 
begins at the time a responsible railroad supervisor receives notice of 
the train accident, train incident, or rule violation. 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 specimen(s) within that period. The 
records required by this section must be submitted to FRA upon request 
of the FRA Drug and Alcohol Program Manager.
    (c) A regulated employee may not be tested under this subpart if 
that individual has been released from duty under the normal procedures 
of the railroad. An individual 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 a regulated 
employee who has failed to remain available for testing as required 
(i.e., who is absent without leave).



Sec. 219.409  Limitations on authority.

    (a) The alcohol and/or drug testing authority conferred by this 
subpart does not apply with respect to any event that meets the criteria 
for post-accident toxicological testing required under subpart C of this 
part.
    (b) This subpart does not authorize holding an employee out of 
service pending receipt of toxicological analysis for reasonable cause 
testing because meeting the testing criteria is only a basis to inquire 
whether alcohol or drugs may have played a role in the accident or rule 
violation. However, this subpart does not restrict a railroad from 
holding an employee out of service based on the employee's underlying 
conduct, so long as it is consistent with the railroad's policy and the 
action is taken under the railroad's own authority.
    (c) When determining whether reasonable cause testing is justified, 
a railroad must consider the involvement of each crewmember in the 
qualifying event, not the involvement of the crew as a whole.



                     Subpart F_Pre-Employment Tests



Sec. 219.501  Pre-employment drug testing.

    (a) Prior to the first time a covered employee performs covered 
service for a railroad, the employee must undergo testing for drugs. No 
railroad may allow a covered employee to perform covered service, unless 
the employee has been administered a test for drugs with a result that 
did not indicate the misuse of controlled substances. This requirement 
applies to final applicants for employment and to employees seeking to 
transfer for the first time from non-covered service to duties involving 
covered service.
    (b) As used in subpart H of this part 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 may be maintained of the declination.

    Effective Date Note: At 81 FR 37936, June 10, 2016, Sec. 219.501 
was revised, effective June 12, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 219.501  Pre-employment drug testing.

    (a) Before an individual performs regulated service the first time 
for a railroad, the railroad must ensure that the individual undergoes 
testing for drugs in accordance with the regulations of a DOT agency. No 
railroad may allow a direct employee (a railroad employee who is not 
employed by a contractor to the railroad) to perform regulated service, 
unless that railroad has conducted a DOT

[[Page 329]]

pre-employment test for drugs on that individual with a result that did 
not indicate the misuse of controlled substance. This requirement 
applies both to a final applicant for direct employment and to a direct 
employee seeking to transfer for the first time from non-regulated 
service to duties involving regulated service. A regulated employee must 
have a negative DOT pre-employment drug test for each railroad for which 
he or she performs regulated service as the result of a direct 
employment relationship.
    (b) Each railroad must ensure that each employee of a contractor who 
performs regulated service on the railroad's behalf has a negative DOT 
pre-employment drug test on file with his or her employer. The railroad 
must also maintain documentation indicating that it had verified that 
the contractor employee had a negative DOT pre-employment drug test on 
file with his or her direct employer. A contractor employee who performs 
regulated service for more than one railroad does not need to have a DOT 
pre-employment drug test for each railroad for which he or she provides 
service.
    (c) If a railroad has already conducted a DOT pre-employment test 
resulting in a negative for a regulated service applicant under the 
rules and regulations of another DOT agency (such as the Federal Motor 
Carrier Safety Administration), FRA will accept the result of that 
negative DOT pre-employment test for purposes of the requirements of 
this subpart.
    (d) As used in subpart H of this part with respect to a test 
required under this subpart, the term regulated employee includes an 
applicant for pre-employment testing only. If an applicant declines to 
be tested and withdraws an application for employment before the pre-
employment testing process commences, no record may be maintained of the 
declination.
    (e) The pre-employment drug testing requirements of this section do 
not apply to covered employees of railroads qualifying for the small 
railroad exception (see Sec. 219.3(c)) or maintenance-of-way employees 
who were performing duties for a railroad before June 12, 2017. However, 
a grandfathered employee must have a negative pre-employment drug test 
before performing regulated service for a new employing railroad after 
June 12, 2017.



Sec. 219.502  Pre-employment alcohol testing.

    (a) A railroad may, but is not required to, conduct pre-employment 
alcohol testing under this part. If a railroad chooses to conduct pre-
employment alcohol testing, the railroad must comply with the following 
requirements:
    (1) It must conduct a pre-employment alcohol test before the first 
performance of safety-sensitive functions by every covered employee 
(whether a new employee or someone who has transferred to a position 
involving the performance of safety-sensitive functions).
    (2) It must treat all safety-sensitive employees performing safety-
sensitive functions the same for the purpose of pre-employment alcohol 
testing (i.e., it must not test some covered employees and not others).
    (3) It must conduct the pre-employment tests after making a 
contingent offer of employment or transfer, subject to the employee 
passing the pre-employment alcohol test.
    (4) It must conduct all pre-employment alcohol tests using the 
alcohol testing procedures of part 40 of this title.
    (5) It must not allow a covered employee to begin performing safety-
sensitive functions unless the result of the employee's test indicates 
an alcohol concentration of less than 0.04.
    (b) As used in subpart H of this part, with respect to a test 
authorized 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 may be maintained of the declination.

    Effective Date Note: At 81 FR 37936, June 10, 2016, Sec. 219.502 
was amended by revising paragraphs (a) introductory text, (a)(1), 
(a)(2), (a)(5), and (b), effective June 12, 2017. For the convenience of 
the user, the revised text is set forth as follows:



Sec. 219.502  Pre-employment alcohol testing.

    (a) A railroad may, but is not required to, conduct pre-employment 
alcohol testing under this part. If a railroad chooses to conduct pre-
employment alcohol testing, the railroad must comply with the following 
requirements:
    (1) The railroad must conduct a pre-employment alcohol test before 
the first performance of regulated service by an employee, regardless of 
whether he or she is a new employee or a first-time transfer to a 
position involving the performance of regulated service.
    (2) The railroad must treat all employees performing regulated 
service the same for

[[Page 330]]

the purpose of pre-employment alcohol testing (i.e., a railroad must not 
test some regulated employees and not others.)

                                * * * * *

    (5) If a regulated employee's Federal pre-employment test indicates 
an alcohol concentration of 0.04 or greater, a railroad may not allow 
him or her to begin performing regulated service until he or she has 
completed the Federal return-to-duty process under Sec. 219.104(d).
    (b) As used in subpart H of this part with respect to a test 
authorized under this subpart, the term regulated employee includes an 
applicant for pre-employment testing only. If an applicant declines to 
be tested before the testing process commences, no record may be 
maintained of the declination. The determination of when an alcohol test 
commences must be made according to the provisions of Sec. 40.243(a) of 
this title.



Sec. 219.503  Notification; records.

    The railroad must provide for medical review of drug test results as 
provided in subpart H of this part. The railroad must notify the 
applicant of the results of the drug and alcohol tests in the same 
manner as provided for employees in subpart H of this part. Records must 
be maintained confidentially and be retained in the same manner as 
required under subpart J of this part 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.

    Effective Date Note: At 81 FR 37937, June 10, 2016, Sec. 219.503 
was revised, effective June 12, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 219.503  Notification; records.

    Each railroad must provide for medical review of drug test results 
according to the requirements of part 40 of this title, as provided in 
subpart H of this part. The railroad must also notify the applicant in 
writing of the results of any Federal drug and/or alcohol test that is a 
positive, adulteration, substitution, or refusal in the same manner as 
provided for employees in part 40 of this title and subpart H of this 
part. Records must be maintained confidentially and be retained in the 
same manner as required under subpart J of this part for employee test 
records, except that such records need not reflect the identity of an 
applicant who withdrew an application to perform regulated service 
before the commencement of the testing process.



Sec. 219.505  Refusals.

    An applicant who has refused to submit to pre-employment testing 
under this section may 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.

    Effective Date Note: At 81 FR 37937, June 10, 2016, Sec. 219.505 
was revised, effective June 12, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 219.505  Non-negative tests and refusals.

    An applicant who has tested positive or refused to submit to pre-
employment testing under this section may not perform regulated service 
for any railroad until he or she has completed the Federal return-to-
duty process under Sec. 219.104(d). An applicant may also not perform 
DOT safety-sensitive functions for any other employer regulated by a DOT 
agency until he or she has completed the Federal return-to-duty process 
under Sec. 219.104(d). 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.



           Subpart G_Random Alcohol and Drug Testing Programs

    Effective Date Note: At 81 FR 37937, June 10, 2016, subpart G was 
revised, effective June 12, 2017. For the convenience of the user, the 
revised text follows this subpart.



Sec. 219.601  Railroad random drug testing programs.

    (a) Submission. Each railroad must submit for FRA approval a random 
testing program meeting the requirements of this subpart. A railroad 
commencing operations must submit such a program not later than 30 days 
prior to such commencement. The program must be submitted to the 
Associate Administrator for Safety, FRA, for review and approval by the 
FRA Administrator. If, after approval, a railroad desires to amend the 
random testing program implemented under this subpart,

[[Page 331]]

the railroad must file with FRA a notice of such amendment at least 30 
days prior to the intended effective date of such action. A railroad 
already subject to this subpart that becomes subject to this subpart 
with respect to one or more additional employees must amend its program 
not later than 60 days after these employees become subject to this 
subpart and 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 may not be implemented prior to approval.
    (b) Form of programs. Random testing programs submitted by or on 
behalf of each railroad under this subpart must meet the following 
criteria, and the railroad and its managers, supervisors, officials and 
other employees and agents must conform to such criteria in implementing 
the program:
    (1) Selection of covered employees for testing must 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 must be capable of verification with respect to the 
randomness of the selection process, and any records necessary to 
document random selection must be retained for not less than 24 months 
from the date upon which the particular specimens were collected.
    (2)(i) The program must select for testing a sufficient number of 
employees so that, during the first 12 months--
    (A) The random testing program is spread reasonably through the 12-
month period.
    (B) [Reserved]
    (ii) To calculate the total number of covered employees eligible for 
random testing throughout the year, as a railroad, you must add the 
total number of covered employees eligible for testing during each 
random testing period for the year and divide that total by the number 
of random testing periods. Covered employees, and only covered 
employees, are to be in a railroad's random testing pool, and all 
covered employees must be in the random pool. If you are a railroad 
conducting random testing more often than once per month (e.g., you 
select daily, weekly, bi-weekly), you do not need to compute this total 
number of covered employees rate more than on a once per month basis.
    (iii) As a railroad, you may use a service agent (e.g., C/TPA) to 
perform random selections for you, and your covered employees may be 
part of a larger random testing pool of covered employees. However, you 
must ensure that the service agent you use is testing at the appropriate 
percentage established for your industry and that only covered employees 
are in the random testing pool.
    (3) Railroad random testing programs must ensure to the maximum 
extent practicable that each employee perceives the possibility that a 
random test may be required on any day the employee reports for work.
    (4) Notice of an employee's selection may 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 must include testing procedures and safeguards, and 
procedures for action based on positive test results, consistent with 
this part.
    (6) An employee must be subject to testing only while on duty. Only 
employees who perform covered service for the railroad are 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 must specify the extent to which, and the circumstances under 
which they are to 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 must provide that employees are subject 
to the possibility of random testing on any day they actually perform 
covered service.

[[Page 332]]

    (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, FRA, 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 must 
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 must publish to each of its covered 
employees, individually, a written notice that he or she will be subject 
to random drug testing under this part. Such notice must state the date 
for commencement of the program, must state that the selection of 
employees for testing will be on a strictly random basis, must describe 
the consequences of a determination that the employee has violated Sec. 
219.102 or any applicable railroad rule, and must inform the employee of 
the employee's rights under subpart E of this part. A copy of the notice 
must 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 (d)(1) creates a defense to a 
violation of Sec. 219.102.
    (2) A railroad commencing operations must submit a random testing 
program 60 days after doing so. The railroad must implement its approved 
random testing program not later than the expiration of 60 days from 
approval by the Administrator.

[66 FR 41973, Aug. 9, 2001, as amended at 68 FR 75463, Dec. 31, 2003]



Sec. 219.602  FRA 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 must 
be 50 percent of covered employees.
    (b) The FRA 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. 219.800 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. 219.800 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 must 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

[[Page 333]]

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 must be capable of verification with 
respect to the randomness of the selection process.
    (f) The railroad must 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 agency drug testing rule.
    (g) Each railroad must 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 must be subject to random 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.

[66 FR 41973, Aug. 9, 2001, as amended at 68 FR 75463, Dec. 31, 2003]



Sec. 219.603  Participation in drug 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 urine testing to determine 
compliance with Sec. 219.102, and the employee must provide the 
required specimen and complete the required paperwork and 
certifications. Compliance by the employee may be excused only in the 
case of a documented medical or family emergency.



Sec. 219.605  Positive drug test results; procedures.

    (a) [Reserved]
    (b) Procedures for administrative handling by the railroad in the 
event a specimen provided under this subpart is reported as positive by 
the MRO are set forth in Sec. 219.104. The responsive action required 
in Sec. 219.104 is not stayed pending the result of a retest or split 
specimen test.



Sec. 219.607  Railroad random alcohol testing programs.

    (a) Each railroad must submit for FRA approval a random alcohol 
testing program meeting the requirements of this subpart. A railroad 
commencing operations must submit a random alcohol testing program not 
later than 30 days prior to such commencement. The program must 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 
must 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 may 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 must meet the following 
criteria, and the railroad and its managers, supervisors, officials and 
other employees and agents must conform to such criteria in implementing 
the program:
    (1) As a railroad, to calculate the total number of covered 
employees eligible for random testing throughout the year, you must add 
the total number of covered employees eligible for

[[Page 334]]

testing during each random testing period for the year and divide that 
total by the number of random testing periods. Covered employees, and 
only covered employees, are to be in a railroad's random testing pool, 
and all covered employees must be in the random pool. If you are a 
railroad conducting random testing more often than once per month (e.g., 
you select daily, weekly, bi-weekly), you do not need to compute this 
total number of covered employees rate more than on a once per month 
basis.
    (i) As a railroad, you may use a service agent (e.g., C/TPA) to 
perform random selections for you, and your covered employees may be 
part of a larger random testing pool of covered employees. However, you 
must ensure that the service agent you use is testing at the appropriate 
percentage established for your industry and that only covered employees 
are in the random testing pool.
    (ii) [Reserved]
    (2) The program must 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 must 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 must ensure to the maximum extent practicable that 
each covered employee perceives 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 may be subject to testing only while on duty. Only 
employees who perform covered service for the railroad may 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 may specify the extent to which, and the circumstances under 
which they are 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 must provide that employees are subject 
to the possibility of random testing on any day they actually perform 
covered service.
    (6) Testing must be conducted promptly, as provided in Sec. 
219.701(b)(1).
    (7) Each time an employee is notified for random alcohol testing the 
employee must be informed that selection was made on a random basis.
    (8) Each railroad must 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 must 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 must publish to each of its 
covered employees, individually, a written notice that the employee will 
be subject to random alcohol testing under this part. Such notice must 
state the date for commencement of the program, must state that the 
selection of employees for testing will be on a strictly random basis, 
must describe the consequences of a determination that the employee has 
violated Sec. 219.101 or any applicable railroad rule, and must inform 
the employee of the employee's rights under subpart E of this part. A 
copy of the notice must 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 (c)(1) 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) A railroad commencing operations must submit a random testing 
program 60 days after doing so. The railroad must implement its approved 
random testing program not later than the expiration of 60 days from 
approval by the Administrator.

[66 FR 41973, Aug. 9, 2001, as amended at 68 FR 75464, Dec. 31, 2003]

[[Page 335]]



Sec. 219.608  FRA 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 
must 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. 219.800 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. 219.800 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. 219.800 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. 219.800 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 must 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 agency 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.

[66 FR 41973, Aug. 9, 2001, as amended at 68 FR 75464, Dec. 31, 2003]



Sec. 219.609  Participation in alcohol testing.

    A railroad must, 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

[[Page 336]]

Sec. 219.101, and the employee must provide the required breath and 
complete the required paperwork and certifications. Compliance by the 
employee may be excused only in the case of a documented medical or 
family emergency.



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.

    Effective Date Note: At 81 FR 37937, June 10, 2016, subpart G was 
revised, effective June 12, 2017. For the convenience of the user, the 
revised text is set forth as follows:



           Subpart G_Random Alcohol and Drug Testing Programs



Sec. 219.601  Purpose and scope of random testing programs.

    (a) Purpose. The purpose of random alcohol and drug testing is to 
promote safety by deterring regulated employees from misusing drugs and 
abusing alcohol.
    (b) Regulated employees. Each railroad must ensure that a regulated 
employee is subject to being selected for random testing as required by 
this subpart whenever the employee performs regulated service on the 
railroad's behalf.
    (c) Contractor employees and volunteers. A regulated employee who is 
a volunteer or an employee of a contractor to a railroad may be 
incorporated into the random testing program of more than one railroad 
if:
    (1) The contractor employee or volunteer is not already part of a 
random testing program that meets the requirements of this subpart and 
has been accepted by the railroad for which he or she performs regulated 
service (as described in Sec. 219.609); or
    (2) The railroad for which the contractor employee or volunteer 
performs regulated service is unable to verify that the individual is 
part of a random testing program acceptable to the railroad that meets 
the requirements of this subpart.
    (d) Multiple DOT agencies. (1) If a regulated employee performs 
functions subject to the random testing requirements of more than one 
DOT agency, a railroad must ensure that the employee is subject to 
selection for random drug and alcohol testing at or above the current 
minimum annual testing rate set by the DOT agency that regulates more 
than 50 percent of the employee's DOT-regulated functions.
    (2) A railroad may not include a regulated employee in more than one 
DOT random testing pool for regulated service performed on its behalf, 
even if the regulated employee is subject to the random testing 
requirements of more than one DOT agency.



Sec. 219.603  General requirements for random testing programs.

    (a) General. To the extent possible, each railroad must ensure that 
its FRA random testing program is designed and implemented so that each 
employee performing regulated service on its behalf should reasonably 
anticipate that he or she may be called for a random test without 
advance warning at any time while on duty and subject to performing 
regulated service.
    (b) Prohibited selection bias. A random testing program may not have 
a selection bias or an appearance of selection bias, or appear to 
provide an opportunity for a regulated employee to avoid complying with 
this section.
    (c) Plans. As required by Sec. Sec. 219.603 through 219.609, each 
railroad must submit for FRA approval a random testing plan meeting the 
requirements of this subpart. The plan must address all regulated 
employees, as defined in Sec. 219.5.
    (d) Pools. Each railroad must construct and maintain random testing 
pools in accordance with Sec. 219.611.
    (e) Selections. Each railroad must conduct random testing selections 
in accordance with Sec. 219.613.
    (f) Collections. Each railroad must perform random testing 
collections in accordance with Sec. 219.615.
    (g) Cooperation. Each railroad and its regulated employees must 
cooperate with and participate in random testing in accordance with 
Sec. 219.617.
    (h) Responsive action. Each railroad must handle positive random 
tests and verified refusals to test in accordance with Sec. 219.619.
    (i) Service agents. Each railroad may use a service agent to perform 
its random testing responsibilities in accordance with Sec. 219.621.
    (j) Records. Each railroad must maintain records required by this 
subpart in accordance with Sec. 219.623.



Sec. 219.605  Submission and approval of random testing plans.

    (a) Plan submission. (1) Each railroad must submit for review and 
approval a random testing plan meeting the requirements of Sec. Sec. 
219.607 and 219.609 to the FRA Drug and Alcohol Program Manager, 1200 
New Jersey Ave. SE., Washington, DC 20590. A railroad commencing start-
up operations must submit its plan no later than 30 days before its date 
of commencing operations. A railroad that must comply with this subpart 
because it no longer qualifies for the small railroad exception under 
Sec. 219.3 (due to a change in

[[Page 337]]

operations or its number of covered employees) must submit its plan no 
later than 30 days after it becomes subject to the requirements of this 
subpart. A railroad may not implement a Federal random testing plan or 
any substantive amendment to that plan before FRA approval.
    (2) A railroad may submit separate random testing plans for each 
category of regulated employees (as defined in Sec. 219.5), combine all 
categories into a single plan, or amend its current FRA-approved plan to 
add additional categories of regulated employees, as defined by this 
part.
    (b) Plan approval notification. FRA will notify a railroad in 
writing whether its plan is approved. If the plan is not approved 
because it does not meet the requirements of this subpart, FRA will 
inform the railroad of its non-approval, with specific explanations of 
any required revisions. The railroad must resubmit its plan with the 
required revisions within 30 days of the date of FRA's written notice. 
Failure to resubmit the plan with the necessary revisions will be a 
failure to submit a plan under this part.
    (c) Plan implementation. Each railroad must implement its random 
testing plan no later than 30 days from the date of FRA approval.
    (d) Plan amendments. (1) Each railroad must submit to FRA a 
substantive amendment to an approved plan at least 30 days before its 
intended effective date. A railroad may not implement any substantive 
amendment before FRA approval.
    (2) Each railroad must provide a non-substantive amendment to an 
approved plan (such as the replacement or addition of service providers) 
to the FRA Drug and Alcohol Program Manager in writing (by letter or 
email) before its effective date. However, FRA pre-approval is not 
required.
    (e) Previously approved plans. A railroad is not required to 
resubmit a random testing plan that FRA had approved before June 12, 
2017, unless the railroad must amend the plan to comply with the 
requirements of this subpart. A railroad must submit new plans, combined 
plans, or amended plans incorporating new categories of regulated 
employees (i.e., maintenance-of-way employees) for FRA approval at least 
30 days before June 12, 2017.



Sec. 219.607  Requirements for random testing plans.

    (a) General. A random testing plan that a railroad submits under 
this subpart must address and comply with the requirements of this 
subpart. The railroad must also comply with these requirements in 
implementing the plan.
    (b) Model random testing plan. A railroad (or a contractor or 
service agent that submits a part 219-compliant random testing plan to a 
railroad for submission as a part of the railroad's random testing plan) 
may complete, modify if necessary, and submit a plan based on the FRA 
model random testing plan that can be downloaded from FRA's Drug and 
Alcohol Program Web site.
    (c) Specific plan requirements. Each random testing plan must 
contain the following items of information, each of which must be 
contained in a separate, clearly identified section:
    (1) Total number of covered employees, including covered service 
contractor employees and volunteers;
    (2) Total number of maintenance-of-way employees, including 
maintenance-of-way contractor employees and volunteers;
    (3) Names of any contractors who perform regulated service for the 
railroad, with contact information;
    (4) Method used to ensure that any regulated service contractor 
employees and volunteers are subject to the requirements of this 
subpart, as required by Sec. 219.609;
    (5) Name, address, and contact information for the railroad's 
Designated Employer Representative (DER) and any alternates (if 
applicable);
    (6) Name, address, and contact information for any service 
providers, including the railroad's Medical Review Officers (MROs), 
Substance Abuse and Mental Health Services Administration (SAMHSA) 
certified drug testing laboratory(ies), Drug and Alcohol Counselors 
(DACs), Substance Abuse Professionals (SAPs), and C/TPA or collection 
site management companies. Individual collection sites do not have to be 
identified;
    (7) Number of random testing pools and the proposed general pool 
entry assignments for each pool. If using a C/TPA, a railroad must 
identify whether its regulated employees are combined into one pool, 
contained in separate pools, or combined in a larger pool with other FRA 
or other DOT agency regulated employees, or both.
    (8) Target random testing rates;
    (9) Method used to make random selections, including a detailed 
description of the computer program or random number table selection 
process employed;
    (10) Selection unit(s) for each random pool (e.g., employee name or 
ID number, job assignment, train symbol) and whether the individual 
selection unit(s) will be selected for drugs, alcohol, or both;
    (11) If a railroad makes alternate selections, under what limited 
circumstances these alternate selections will be tested (see Sec. 
219.613);
    (12) Frequency of random selections (e.g., monthly);
    (13) Designated testing window. A designated testing window extends 
from the beginning to the end of the designated testing period 
established in the railroad's FRA-approved random plan (see Sec. 
219.603), after which time any individual selections for that designated 
testing window that have not

[[Page 338]]

been collected are no longer active (valid); and
    (14) Description of how the railroad will notify a regulated 
employee that he or she has been selected for random testing.



Sec. 219.609  Inclusion of contractor employees and volunteers in 
          random testing plans.

    (a) Each railroad's random testing plan must demonstrate that all of 
its regulated service contractor employees and volunteers are subject to 
random testing that meets the requirements of this subpart. A railroad 
can demonstrate that its regulated service contractor employees and 
volunteers are in compliance with this subpart by either:
    (1) Directly including regulated service contractor employees and 
volunteers in its own random testing plan and ensuring that they are 
tested according to that plan; or
    (2) Indicating in its random testing plan that its regulated service 
contractor employees and volunteers are part of a random testing program 
which is compliant with the requirements of this subpart, e.g., 
conducted by a contractor or C/TPA (``non-railroad random testing 
program''). If a railroad chooses this option, the railroad must append 
to its own random testing plan one or more addenda describing the method 
it will use to ensure that the non-railroad random testing program is 
testing its regulated service contractor employees and volunteers 
according to the requirements of this subpart. A railroad may comply 
with this requirement by appending the non-railroad random testing 
program or a detailed description of the program and how it complies 
with this subpart.
    (b) Each railroad's random testing plan(s) and any addenda must 
contain sufficient detail to fully document that the railroad is meeting 
the requirements of this subpart for all personnel performing regulated 
service on its behalf.
    (c) If a railroad chooses to use regulated service contractor 
employees and volunteers who are part of a non-railroad random testing 
program, the railroad remains responsible for ensuring that the non-
railroad program is testing the regulated service contractor employees 
and volunteers according to the requirements of this subpart.
    (d) FRA does not pre-approve contractor or service agent random 
testing plans, but may accept them as part of its approval process of a 
railroad's plan.



Sec. 219.611  Random alcohol and drug testing pools.

    (a) General. Each railroad must ensure that its random testing pools 
include all regulated employees who perform regulated service on its 
behalf, except that a railroad's random testing pools do not have to 
include regulated employees who are part of a non-railroad random 
testing program that is compliant with the requirements of this subpart 
and that has been accepted by the railroad.
    (b) Pool entries. Each railroad must clearly indicate who will be 
tested when a specific pool entry is selected.
    (1) Pool entries may be employee names or identification numbers, 
train symbols, or specific job assignments, although all the entries in 
a single pool must be of generally consistent sizes and types.
    (2) Pool entries must not allow a field manager or field supervisor 
to have discretion over which employee is to be tested when an entry is 
selected.
    (3) Pool entries must be constructed and maintained so that all 
regulated employees have an equal chance of being selected for random 
testing for each selection draw.
    (c) Minimum number of pool entries. A railroad (including a service 
agent used by a railroad to carry out its responsibilities under this 
subpart) may not maintain a random testing pool with less than four pool 
entries. Placeholder pool entries (entries that do not represent 
legitimate selections of regulated employees) are not permitted. A 
railroad or contractor with less than four regulated employees can 
comply with this requirement by having its regulated employees 
incorporated into a railroad or non-railroad random testing pool that 
contains more than four entries.
    (d) Pool construction. (1) An individual who is not subject to the 
random testing requirements of FRA or another DOT agency may not be 
placed in the same pool as a regulated employee.
    (2) A railroad may not include a regulated employee in more than one 
random testing pool established under the regulations of a DOT agency.
    (3) A regulated employee may be placed in a random testing pool with 
employees subject to the random testing requirements of another DOT 
agency, only if all entries in the pool are subject to testing at the 
highest minimum random testing rate required by the regulations of a DOT 
agency for any single member in the pool.
    (4) A regulated employee does not have to be placed in separate 
pools for random drug and random alcohol testing selection.
    (5) A regulated employee must be incorporated into a random testing 
pool as soon as possible after his or her hire or first transfer into 
regulated service.
    (e) Frequency of regulated service. (1) A railroad may not place a 
person in a random testing pool for any selection period in which he or 
she is not expected to perform regulated service.
    (2) A railroad employee who performs regulated service on average 
less than once a quarter is a de minimis safety concern for random 
testing purposes, and does not have to be in a random testing program. A 
railroad that chooses to random test de minimis

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employees must place them in a separate random testing pool from 
employees who perform regulated service on a regular basis (e.g., 
engineers, conductors, dispatchers, and signal maintainers).
    (3) A railroad must make a good faith effort to determine the 
frequency of an employee's performance of regulated service and must 
evaluate the employee's likelihood of performing regulated service in 
each upcoming selection period.
    (f) Pool maintenance. Pool entries must be updated at least monthly, 
regardless of how often selections are made, and a railroad must ensure 
that each of its random testing pools is complete and does not contain 
outdated or inappropriate entries.
    (g) Multiple random testing pools. A railroad may maintain more than 
one random testing pool if it can demonstrate that its random testing 
program is not adversely impacted by the number and types of pools or 
the construction of pool entries, and that selections from each pool 
will meet the requirements of this subpart.



Sec. 219.613  Random testing selections.

    (a) General. Each railroad must ensure that each regulated employee 
has an equal chance of being selected for random testing whenever 
selections are made. A railroad may not increase or decrease an 
employee's chance of being selected by weighting an entry or pool.
    (b) Method of selection. (1) Each railroad must use a selection 
method that is acceptable to FRA and meets the requirements of this 
subpart, such as a computer selection program, proper use of a random 
number table, or an alternative method which FRA has approved as part of 
the railroad's random testing plan.
    (2) A selection method must be free of bias or apparent bias and 
employ objective, neutral criteria to ensure that every regulated 
employee has an equal statistical chance of being selected within a 
specified time frame. The selection method may not utilize subjective 
factors that permit a railroad to manipulate or control selections in an 
effort to either target or protect any employee, job, or operational 
unit from testing.
    (3) The randomness of a selection method must be verifiable, and, as 
required by Sec. 219.623, any records necessary to document the 
randomness of a selection must be retained for not less than two years 
from the date the designated testing window for that selection expired.
    (c) Minimum random testing rate. (1) Each railroad must distribute 
random tests reasonably throughout the calendar year and make sufficient 
selections to ensure that each random testing pool meets the 
Administrator's minimum annual random testing rates as established 
according to Sec. 219.625.
    (2) Each railroad must continually monitor changes in its workforce 
to ensure that the required number of selections and tests are conducted 
each year.
    (d) Selection frequency. Each railroad must select at least one 
entry from each of its random testing pools every three months.
    (e) Discarded selection draws. Each selection draw must identify who 
will be subject to random testing. A railroad cannot discard a selection 
draw without an acceptable explanation (e.g., the selection was drawn 
from an incomplete or inaccurate pool). A railroad must document and 
retain records for all discarded selection draws, including the specific 
reason the selection draw was not used, as required by Sec. 219.623.
    (f) Increasing random selections. A railroad that is unable to 
complete a collection for each selection made during a designated 
testing period may increase the number of selections in a subsequent 
selection period to ensure that it meets the annual minimum random 
testing rate for the calendar year.
    (g) Selection snapshots. Each railroad must capture and maintain an 
electronic or hard copy snapshot of each random testing pool at the time 
it makes a testing selection. A railroad must not re-create pool entries 
from records after the time of the original selection. The railroad must 
maintain this snapshot for a period of two years, as required by subpart 
J of this part.
    (h) Multiple DOT agencies. Each railroad must ensure that each 
regulated employee who performs functions subject to the random testing 
requirements of more than one DOT agency is subject to random selection 
at or above the current minimum annual testing rate set by the DOT 
agency that regulates more than 50 percent of the employee's DOT-
regulated functions.



Sec. 219.615  Random testing collections.

    (a) Minimum random testing rates. Each railroad must complete a 
sufficient number of random alcohol and drug testing collections from 
each of its random testing pools to meet the Administrator's minimum 
annual testing rates established in accordance with Sec. 219.625.
    (b) Designated testing window. Each railroad must complete the 
collection for a selected pool entry within the FRA-approved designated 
testing window for that selection. Once a designated testing window has 
closed, any selections not collected during that window are no longer 
valid and may not be subject to random testing.
    (c) Collection timing. (1) A regulated employee may be subject to 
random testing only while on duty and subject to performing regulated 
service.
    (2) Each railroad's random alcohol and drug testing collections must 
be unannounced and spread reasonably throughout the calendar year. 
Collections must also be distributed unpredictably throughout the

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designated testing window and must reasonably cover all operating days 
of the week (including operating weekends and holidays), shifts, and 
locations.
    (3) Random alcohol test collections must be performed unpredictably 
and in sufficient numbers at either end of an operating shift to attain 
an acceptable level of deterrence throughout the entire shift. At a 
minimum, a railroad must perform 10% of its random alcohol tests at the 
beginning of shifts and 10% of its random alcohol tests at the end of 
shifts.
    (4) If a regulated employee has been selected for both random drug 
and alcohol testing, a railroad may conduct these tests separately, so 
long as both required collections can be completed by the end of the 
employee's shift and the railroad does not inform the employee that an 
additional collection will occur later.
    (d) Collection scheduling. While pool entries must be selected 
randomly, a railroad may schedule each random test collection during a 
designated testing window according to its approved plan.
    (1) A railroad may schedule a collection based on the availability 
of the selected pool entry, the logistics of performing the collection, 
and any other requirements of this subpart.
    (2) If a selected pool entry does not identify the selection by name 
(i.e., train crews or job functions), a railroad may not use its 
scheduling discretion to deliberately target or protect a particular 
employee or work crew. Unless otherwise approved in a random testing 
plan, railroad field supervisors or field management personnel may not 
use discretion to choose or to change collection dates or times if that 
choice could intentionally alter who is to be tested.
    (e) Notification requirements. (1) A railroad may notify a regulated 
employee that he or she has been selected for random testing only during 
the duty tour in which the collection is to be conducted, and only so 
far in advance as is reasonably necessary to ensure the employee's 
presence at the scheduled collection time and place.
    (2) A railroad must make collections as soon as possible. Each 
collection must begin within two hours after the railroad has notified 
the employee of his or her selection for random testing, unless the 
railroad has an acceptable reason for the delay. A railroad should 
monitor each employee after notification and, whenever possible, arrange 
for the employee to be immediately escorted by supervisory or management 
personnel to the collection location.
    (3) A railroad must inform an regulated employee that he or she has 
been selected for random testing at the time the employee is notified. 
Completion of the Federal Drug Testing Custody and Control Form (CCF) or 
the DOT Alcohol Testing Form (ATF) indicating the basis of the test 
satisfies this requirement, so long as the employee has been shown and 
directed to sign the CCF or ATF as required by Sec. Sec. 40.73 and 
40.241 of this title.
    (f) Incomplete collections. A railroad must use due diligence to 
ensure that a random testing collection is completed for each selected 
pool entry, unless it has an acceptable explanation for not conducting 
the collection. All reasons for incomplete collections must be fully 
documented and are subject to inspection by FRA upon request.
    (g) Hours-of-service limitations. (1) Except as provided by 
paragraph (g)(2) of this section, a railroad must immediately terminate 
a random collection and may not reschedule it if the collection is not 
completed within a covered employee's hours-of-service limitations.
    (2) If a random collection requires a direct observation collection 
under Sec. 40.67 of this title, the directly observed collection must 
immediately proceed until completed. A railroad must submit an excess 
service report, as required by part 228 of this chapter, if completion 
of the directly observed collection causes the covered employee to 
exceed his or her hours-of-service limitations.



Sec. 219.617  Participation in random alcohol and drug testing.

    (a) Railroad responsibility. (1) A railroad must, under the 
conditions specified in this subpart and subpart H of this part, require 
a regulated employee selected for random testing to cooperate in alcohol 
and/or drug testing.
    (2) If an employee is performing regulated service at the time he or 
she is notified of his or her selection for random testing, the railroad 
must ensure that the employee immediately ceases to perform regulated 
service and proceeds to the collection site without adversely affecting 
safety. A railroad must also ensure that the absence of an employee from 
his or her assigned duties to report for testing does not adversely 
affect safety. Once an employee begins the testing process, he or she 
may not be returned to regulated service until the testing process is 
complete.
    (3) A railroad may excuse an employee who has been notified of or 
her selection for random testing only if the employee can substantiate 
that a medical emergency involving the employee or an immediate family 
member (e.g., birth, death, or medical emergency) supersedes the 
requirement to complete the test. A medical emergency is defined in this 
part as an acute medical condition requiring immediate emergency care. 
To be eligible for exclusion from random testing, the employee must 
provide verifiable documentation of the emergency situation from a 
credible outside professional within a reasonable period of time (e.g., 
a doctor, dentist, hospital, law enforcement officer, or school 
authority). A railroad

[[Page 341]]

may not test an employee who has been excused from testing under the 
same random selection.
    (b) Employee responsibility. (1) A regulated employee subject to the 
random testing requirements of this subpart must cooperate with the 
selection and testing process, and must proceed to the testing site upon 
notification that he or she has been selected for random testing.
    (2) A regulated employee must fully cooperate and comply with the 
urine drug collection and/or breath alcohol testing procedures required 
by subpart H of this part, and provide the required specimen(s), and 
must, upon request, complete the required paperwork and certifications.



Sec. 219.619  Positive alcohol and drug test results and refusals; 
          procedures.

    Section 219.104 contains the procedures for administrative handling 
by the railroad or contractor in the event a urine specimen provided 
under this subpart is reported as a verified positive by the Medical 
Review Officer, a breath alcohol specimen is reported at 0.04 or greater 
by the Breath Alcohol Technician, or a refusal to test has occurred. The 
responsive action required in Sec. 219.104 is not stayed pending the 
result of the testing of a split urine specimen or a challenge to any 
part of the testing process or procedure.



Sec. 219.621  Use of service agents.

    (a) A railroad may use a service agent (such as a consortium/third 
party administrator (C/TPA)) to act as its agent to carry out any role 
in random testing specifically permitted under subpart Q of part 40 of 
this title, such as maintaining random pools, conducting random 
selections, and performing random urine drug collections and breath 
alcohol tests.
    (b) A railroad may not use a service agent to notify a regulated 
employee that he or she has been selected for random testing. A 
regulated employee who has been selected for random testing must 
otherwise be notified of the selection by his or her employer. A service 
agent may also not perform any role that Sec. 40.355 of this title 
specifically reserves to an employer, which, for purposes of this 
subpart, is defined as a railroad or a contractor performing railroad-
accepted testing.
    (c) A railroad is primarily responsible for compliance with the 
random alcohol and drug testing of this subpart, but FRA reserves the 
right to bring an enforcement action for noncompliance against the 
railroad, its service agents, its contractors, and/or its employees.
    (d) If a railroad conducts random drug and/or alcohol testing 
through a C/TPA, the number of employees required to be tested may be 
calculated for each individual railroad belonging to the C/TPA, or may 
be based on the total number of regulated employees covered by the C/TPA 
in a larger combined railroad or DOT agency random pool. Selections from 
combined railroad random pools must meet or exceed the highest minimum 
annual percentage rate established under this subpart or any DOT agency 
drug testing rule that applies to any member of that pool.



Sec. 219.623  Records.

    (a) As provided by Sec. 219.901, each railroad is required to 
maintain records related to random testing for a minimum of two years.
    (b) Contractors and service agents performing random testing 
responsibilities under this subpart must provide records required by 
this subpart whenever requested by the contracting railroad or by FRA. A 
railroad remains responsible for maintaining records demonstrating that 
it is in compliance with the requirements of this subpart.



Sec. 219.625  FRA Administrator's determination of random alcohol and 
          drug testing rates.

    (a) Notice. Each year, the Administrator publishes a Federal 
Register notice announcing the minimum annual random alcohol and drug 
testing rates which take effect on January 1 of the following calendar 
year. These rates are based on the railroad industry's random testing 
violation rates for the preceding two consecutive calendar years, which 
are determined using annual railroad alcohol and drug program data 
required to be submitted to the FRA's Management Information System 
(MIS) under Sec. 219.800.
    (b) Information. Data from MIS reports provide the information used 
for this determination. In order to ensure reliability of the data, the 
Administrator may consider the quality and completeness of the reported 
data, obtain additional information or reports from railroads, or make 
appropriate modifications in calculating the industry positive rate.
    (c) Initial minimum annual random testing rates. The Administrator 
has established an initial minimum annual random testing rate of 50 
percent for drugs and 25 percent for alcohol for any new category of 
regulated employees added to those already being tested under this part.
    (1) These initial testing rates are subject to amendment by the 
Administrator in accordance with paragraphs (d) and (e) of this section 
after at least 18 months of MIS data have been compiled for the new 
category of regulated employees.
    (2) The Administrator will determine separate minimum annual random 
testing rates for each added category of regulated employees for a 
minimum of three calendar years after that category is incorporated into 
random testing under this part.

[[Page 342]]

    (3) The Administrator may move to combine categories of regulated 
employees requiring separate determinations into a single determination 
once the categories' testing rates are identical for two consecutive 
years.
    (d) Drug testing rate. The Administrator may set the minimum annual 
random drug testing rate for the railroad industry at either 50 percent 
or 25 percent.
    (1) When the minimum annual percentage rate for random drug testing 
is 50 percent, the Administrator may lower the rate to 25 percent if the 
Administrator determines that the MIS data for two consecutive calendar 
years show that the reported random testing positive rate is less than 
1.0 percent.
    (2) When the minimum annual percentage rate for random drug testing 
is 25 percent, and the MIS data for any calendar year show that the 
reported random testing 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.
    (e) Alcohol testing rate. The Administrator may set the minimum 
annual random alcohol testing rate for the railroad industry at 50 
percent, 25 percent, or 10 percent.
    (1) When the minimum annual percentage rate for random alcohol 
testing is 50 percent or 25 percent, the Administrator may lower this 
rate to 10 percent if the Administrator determines that the MIS data for 
two consecutive calendar years show that the random testing 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 the rate to 25 
percent if the Administrator determines that the MIS data for two 
consecutive calendar years show that the random testing violation rate 
is less than 1.0 percent but equal to or greater than 0.5 percent.
    (3) When the minimum annual percentage rate for random alcohol 
testing is 25 percent, and the MIS data for that calendar year show that 
the random testing violation rate for drugs 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 drug testing to 50 
percent.
    (4) When the minimum annual percentage rate for random alcohol 
testing is 10 percent or 25 percent, and the MIS data for any calendar 
year show that the random testing 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.



              Subpart H_Drug and Alcohol Testing Procedures



Sec. 219.701  Standards for drug and alcohol testing.

    (a) Drug testing required or authorized by subparts B, D, F, and G 
of this part must be conducted in compliance with all applicable 
provisions of the Department of Transportation Procedures for 
Transportation Workplace Drug and Alcohol Testing Programs (part 40 of 
this title).
    (b) Alcohol testing required or authorized by subparts B, D, F, and 
G of this part must be conducted in compliance with all applicable 
provisions of the Department of Transportation Procedures for 
Transportation Workplace Drug and Alcohol Testing Programs (part 40 of 
this title).
    (c) Each covered employee who is notified of selection for testing 
and who is not performing covered service at the time of notification 
must proceed to the testing site immediately. The railroad must 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.

    Effective Date Note: At 81 FR 37942, June 10, 2016, Sec. 219.701 
was amended in paragraphs (a) and (b), by removing the phrase ``B, D, F, 
and G'' wherever it appeared and adding, in its place, ``B, D, E, F, G, 
and K (but only for co-worker or non-peer referrals that involve a 
violation of the prohibitions of this subpart)''; and by removing 
paragraph (c), effective June 12, 2017.



                         Subpart I_Annual Report



Sec. 219.800  Annual reports.

    (a) Each railroad that has a total of 400,000 or more employee hours 
(including hours worked by all employees of the railroad, regardless of 
occupation, not only while in the United States but also while outside 
the United States) must 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. As used in this 
paragraph, the term ``employees of the railroad'' includes individuals 
who perform service for the

[[Page 343]]

railroad, including not only individuals who receive direct monetary 
compensation from the railroad for performing a service for the 
railroad, but also such individuals as employees of a contractor to the 
railroad who perform a service for the railroad.
    (b) As a railroad, you must use the Management Information System 
(MIS) form and instructions as required by 49 CFR part 40 (at Sec. 
40.25 and appendix H to part 40). You may also use the electronic 
version of the MIS form provided by the DOT. The Administrator may 
designate means (e.g., electronic program transmitted via the Internet), 
other than hard-copy, for MIS form submission to FRA. For information on 
where to submit MIS forms and for the electronic version of the form, 
see: http://www.fra.dot.gov/Content3.asp?P = 504.
    (c) Each railroad shall ensure the accuracy and timeliness of each 
report submitted.
    (d) As a railroad, if you have a covered employee who performs 
multi-DOT agency functions (e.g., an employee drives a commercial motor 
vehicle and performs switchman duties for you), count the employee only 
on the MIS report for the DOT agency under which he or she is random 
tested. Normally, this will be the DOT agency under which the employee 
performs more than 50% of his or her duties. Railroads may have to 
explain the testing data for these employees in the event of a DOT 
agency inspection or audit.
    (e) A service agent (e.g., a consortium/third party administrator) 
may prepare the MIS report on behalf of a railroad. However, a railroad 
official (e.g., a designated employee representative) must certify the 
accuracy and completeness of the MIS report, no matter who prepares it.

[68 FR 75464, Dec. 31, 2003, as amended at 69 FR 19288, Apr. 12, 2004]

    Effective Date Note: At 81 FR 37942, June 10, 2016, Sec. 219.800 
was amended revising the last sentence of paragraph (b) and the first 
sentence of paragraph (d) and by adding a paragraph (f), effective June 
12, 2017. For the convenience of the user, the added and revised text is 
set forth as follows:



Sec. 219.800  Annual reports.

                                * * * * *

    (b) * * * For information on where to submit MIS forms and for the 
electronic version of the form, see: http://www.fra.dot.gov/eLib/
details/L02639.

                                * * * * *

    (d) As a railroad, if you have a regulated employee who performs 
multi-DOT agency functions (e.g., an employee drives a commercial motor 
vehicle and performs switchman duties for you), count the employee only 
on the MIS report for the DOT agency under which he or she is random 
tested. * * *

                                * * * * *

    (f) A railroad required to submit an MIS report under this section 
must submit separate reports for covered employees and MOW employees.



Sec. Sec. 219.801-219.803  [Reserved]



                  Subpart J_Recordkeeping Requirements



Sec. 219.901  Retention of alcohol testing records.

    (a) General requirement. In addition to the records required to be 
kept by part 40 of this title, each railroad must maintain alcohol 
misuse prevention program records in a secure location with controlled 
access as set out in this section.
    (b) Each railroad must maintain the following records for a minimum 
of five years:
    (1) A summary record of each covered employee's test results; and
    (2) A copy of the annual report summarizing the results of its 
alcohol misuse prevention program (if required to submit the report 
under Sec. 219.801(a)).
    (c) Each railroad must maintain the following records for a minimum 
of two years:
    (1) Records related to the collection process:
    (i) Collection logbooks, if used.
    (ii) Documents relating to the random selection process.
    (iii) Documents generated in connection with decisions to administer 
reasonable suspicion alcohol tests.

[[Page 344]]

    (iv) Documents generated in connection with decisions on post-
accident testing.
    (v) Documents verifying the existence of a medical explanation of 
the inability of a covered employee to provide an adequate specimen.
    (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 employee training:
    (i) Materials on alcohol abuse awareness, including a copy of the 
railroad's policy on alcohol abuse.
    (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.

    Effective Date Note: At 81 FR 37942, June 10, 2016, Sec. 219.901 
was revised, effective June 12, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 219.901  Retention of alcohol and drug testing records.

    (a) General. (1) In addition to the records part 40 of this title 
requires keeping, a railroad must also maintain alcohol and drug misuse 
prevention program records in a secure location with controlled access 
under this section's requirements.
    (2) A railroad must maintain for two years, rather than one year, 
the records to which Sec. 40.333(a)(4) of this title applies (i.e., 
records of negative and cancelled drug test results and alcohol test 
results with a concentration of less than 0.02). A railroad may maintain 
legible and accessible scanned or electronic copies of these records for 
the second year.
    (b) Records maintained for a minimum of five years. Each railroad 
must maintain the following records for a minimum of five years:
    (1) A summary record or the individual files of each regulated 
employee's test results; and
    (2) A copy of the annual report summarizing the results of its 
alcohol and drug misuse prevention program (if required to submit the 
report under Sec. 219.800(a)).
    (c) Records maintained for a minimum of two years. Each railroad 
must maintain the following records for a minimum of two years:
    (1) Records related to the collection process:
    (i) Collection logbooks, if used;
    (ii) Documents relating to the random selection process, including 
the railroad's approved random testing plan and FRA's approval letter 
for that plan;
    (iii) Documents generated in connection with decisions to administer 
Federal reasonable suspicion or reasonable cause alcohol or drug tests;
    (iv) Documents generated in connection with decisions on post-
accident testing; and
    (v) Documents verifying the existence of a medical explanation for 
the inability of a regulated employee to provide an adequate specimen;
    (2) Records related to test results:
    (i) The railroad's copy of the alcohol test form, including the 
results of the test;
    (ii) The railroad's copy of the drug test custody and control form, 
including the results of the test;
    (iii) Documents related to any regulated employee's refusal to 
submit to an alcohol or drug test required under this part; and
    (iv) Documents a regulated employee presented to dispute the result 
of an alcohol or drug test administered under this part;
    (3) Records related to other violations of this part; and
    (4) Records related to employee training:
    (i) Materials on alcohol and drug abuse awareness, including a copy 
of the railroad's policy on alcohol and drug abuse;
    (ii) Documentation of compliance with the requirements of Sec. 
219.23; and
    (iii) Documentation of training (including attendance records and 
training materials) the railroad provided to supervisors for the purpose 
of qualifying the supervisors to make a determination concerning the 
need for reasonable suspicion or post-accident alcohol and drug testing.



Sec. 219.903  Retention of drug testing records.

    (a) General requirement. In addition to the records required to be 
kept by part 40 of this title, each railroad must maintain drug abuse 
prevention program records in a secure location with controlled access 
as set forth in this section.

[[Page 345]]

    (b) (1) Each railroad must maintain the following records for a 
minimum of five years:
    (i) A summary record of each covered employee's test results; and
    (ii) 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) Each railroad must maintain the following records for a minimum 
of two years.
    (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.
    (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 specimen.
    (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 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 employee training:
    (i) Materials on drug abuse awareness, including a copy of the 
railroad's policy on drug abuse.
    (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.

    Effective Date Note: At 81 FR 37942, June 10, 2016, Sec. 219.903 
was revised, effective June 12, 2017. For the convenience of the user, 
the revised text is set forth as follows:



Sec. 219.903  Access to facilities and records.

    (a) Release of regulated employee information contained in records 
required to be maintained under Sec. 219.901 must be in accordance with 
part 40 of this title and with this section. (For purposes of this 
section only, urine drug testing records are considered equivalent to 
breath alcohol testing records.)
    (b) Each railroad must grant access to all facilities used to comply 
with this part to the Secretary of Transportation, United States 
Department of Transportation, or any DOT agency with regulatory 
authority over the railroad or any of its regulated employees.
    (c) Each railroad must make available copies of all results for its 
drug and alcohol 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 regulated 
employee.



Sec. 219.905  Access to facilities and records.

    (a) Release of covered employee information contained in records 
required to be maintained under Sec. Sec. 219.901 and 219.903 must be 
in accordance with part 40 of this title and with this section. (For 
purposes of this section only, urine drug testing records are considered 
equivalent to breath alcohol testing records.)
    (b) Each railroad must permit access to all facilities utilized in 
complying with the requirements of this part to the Secretary of 
Transportation, United States Department of Transportation, or any DOT 
agency with regulatory authority over the railroad or any of its covered 
employees.
    (c) Each railroad must 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.

    Effective Date Note: At 81 FR 37942, June 10, 2016, Sec. 219.905 
was removed, effective June 12, 2017.

[[Page 346]]



                       Subpart K_Referral Programs

    Effective Date Note: At 81 FR 37942, June 10, 2016, subpart K was 
added, effective June 12, 2017.



Sec. 219.1001  Requirement for referral programs.

    (a) The purpose of this subpart is to help prevent the adverse 
effects of drug and alcohol abuse in connection with regulated 
employees.
    (b) A railroad must adopt, publish, and implement the following 
programs:
    (1) Self-referral program. A program designed to encourage and 
facilitate the identification of a regulated employee who abuses drugs 
or alcohol by providing the employee the opportunity to obtain 
counseling or treatment before the employee's drug or alcohol abuse 
manifests itself in a detected violation of this part; and
    (2) Co-worker referral program. A program designed to encourage co-
worker participation in preventing violations of this part.
    (c) A railroad may adopt, publish, and implement the following 
programs:
    (1) Non-peer referral program. A program designed to encourage non-
peer participation in preventing violations of this part; and
    (2) Alternate program(s). An alternate program or programs meeting 
the specific requirements of Sec. 219.1003 or complying with Sec. 
219.1007, or both.
    (d) Nothing in this subpart may be construed to:
    (1) Require payment of compensation for any period a regulated 
employee is restricted from performing regulated service under a 
voluntary, co-worker, or non-peer referral program;
    (2) Require a railroad to adhere to a voluntary, co-worker, or non-
peer referral program when the referral is made for the purpose, or with 
the effect, of anticipating or avoiding the imminent and probable 
detection of a rule violation by a supervising employee;
    (3) Interfere with the subpart D requirement for Federal reasonable 
suspicion testing when a regulated employee is on duty and a supervisor 
determines the employee is exhibiting signs and symptoms of alcohol and/
or drug use;
    (4) Interfere with the requirements in Sec. 219.104(d) for 
responsive action when a violation of Sec. 219.101 or Sec. 219.102 is 
substantiated; or
    (5) Limit the discretion of a railroad to dismiss or otherwise 
discipline a regulated employee for specific rule violations or criminal 
offenses, except as this subpart specifically provides.



Sec. 219.1003  Referral program conditions.

    (a) General. A referral program must specify the allowances, 
conditions, and procedures under which a self-referral, co-worker 
referral, and, if adopted, a non-peer referral, can occur, as follows:
    (1) For a self-referral, a railroad must identify one or more 
designated DAC contacts (including telephone number and email (if 
available)) and any expectations regarding when the referral is allowed 
to take place (such as during non-duty hours, or while the employee is 
unimpaired, or both, as Sec. 219.1005 permits);
    (2) For a co-worker referral, a railroad may accept a referral under 
this subpart only if it alleges that the regulated employee was 
apparently unsafe to work with or in violation of this part or the 
railroad's drug and alcohol abuse rules. The employee must waive 
investigation of the rule charge and must contact the DAC within a 
reasonable period of time;
    (3) For a non-peer referral, a railroad may remove a regulated 
employee from service only if a railroad representative confirms that 
the employee is unsafe to work with or in violation of this part or the 
railroad's drug and alcohol abuse rules. The employee must waive 
investigation of the rule charge and must contact the DAC within a 
reasonable period of time.
    (b) Employment maintained. A regulated employee who is affected by a 
drug or alcohol abuse problem may maintain an employment relationship 
with a railroad if:
    (1) The employee seeks assistance through the railroad's voluntary 
referral program for his or her drug or alcohol abuse problem or a co-
worker or a non-peer refers the employee for such assistance; and
    (2) The employee successfully completes the education, counseling, 
or

[[Page 347]]

treatment program a DAC specifies under this subpart.
    (c) Employment action. If a regulated employee does not choose to 
seek assistance through a referral program, or fails to cooperate with a 
DAC's recommended program, the disposition of the employee's 
relationship with the railroad is subject to normal employment action.
    (d) Qualified DAC evaluation. (1) A DAC acceptable to the railroad 
must evaluate a regulated employee entering a self-referral, co-worker 
referral, or non-peer referral program;
    (2) The DAC must meet any applicable state standards and comply with 
this subpart; and
    (3) The DAC must determine the appropriate level of care (education, 
counseling, or treatment, or all three) necessary to resolve any 
identified drug or alcohol abuse problems.
    (e) Removal from regulated service. A referral program must 
stipulate that a regulated employee a DAC has evaluated as having an 
active drug abuse disorder may not perform regulated service until the 
DAC can report that safety is no longer affected.
    (f) Confidentiality maintained. Except as provided under paragraph 
(l) of this section, a railroad must treat a regulated employee's 
referral and subsequent handling (including education, counseling, and 
treatment) as confidential. Only personnel who administer the railroad's 
referral programs may have access to the identities of the individuals 
in these programs.
    (g) Leave of absence. A railroad must grant a regulated employee the 
minimum leave of absence the DAC recommends to complete a primary 
education, counseling, or treatment program and to establish control 
over the employee's drug or alcohol abuse problem.
    (h) Return to regulated service. (1) Except as Sec. Sec. 
219.1001(d)(4) and 219.1005 may provide, a railroad must return an 
regulated employee to regulated service upon the DAC's recommendation 
that the employee has established control over his or her drug or 
alcohol abuse problem, has a low risk to return to drug or alcohol 
abuse, and has complied with any recommended return-to-service 
requirements.
    (2) The DAC determines the appropriate number and frequency of 
required follow-up tests. The railroad determines the dates of testing.
    (3) The railroad may condition an employee's return to regulated 
service on successful completion of a return-to-service medical 
evaluation.
    (4) A railroad must return an employee to regulated service within 
five working days of the DAC's notification to the railroad that the 
employee is fit to return to regulated service, unless the employee has 
a disqualifying medical condition. (i.e., the employee is at a low risk 
to return to drug or alcohol abuse).
    (i) Rehabilitation plan. No person--whether an employing railroad, 
managed care provider, service agent, individual, or any person other 
than the DAC who conducted the initial evaluation--may change in any way 
the DAC's evaluation or recommendations for assistance. The DAC who made 
the initial evaluation may modify the employee's initial evaluation and 
follow-up recommendation(s) based on new or additional information.
    (j) Locomotive engineers and conductors. Consistent with Sec. Sec. 
240.119(e) and 242.115(g) of this chapter, for a certified locomotive 
engineer, certified conductor, or a candidate for engineer or conductor 
certification, the referral program must state that confidentiality is 
waived (to the extent the railroad receives from a DAC official notice 
of the active drug abuse disorder and suspends or revokes the 
certification, as appropriate) if the employee at any time refuses to 
cooperate in a recommended course of counseling or treatment.
    (k) Contacting a DAC. If a regulated employee does not contact a DAC 
within the railroad's specified time limits, the railroad may begin an 
investigation to assess the employee's cooperation and compliance with 
its referral program.
    (l) Time requirements for DAC evaluations. Once a regulated employee 
has contacted the designated DAC, the DAC's evaluation must be completed 
within 10 working days. If the employee needs more than one evaluation, 
the evaluations must be completed within 20 working days.

[[Page 348]]

    (m) Time limitations on follow-up treatment, care, or testing. Any 
follow-up treatment, care, or testing established under a referral 
program must not exceed 24 months beyond an regulated employee's initial 
removal from regulated service, unless the regulated employee's entry 
into the program involved a substantiated part 219 violation.



Sec. 219.1005  Optional provisions.

    A railroad's referral program may include any of the following 
provisions at the option of the railroad and with the approval of the 
labor organization(s) affected:
    (a) The program may provide that the rule of confidentiality is 
waived if:
    (1) The regulated employee at any time refuses to cooperate in a 
DAC's recommended course of education, counseling, or treatment; or
    (2) The railroad determines, after investigation, that the regulated 
employee has been involved in a drug- or alcohol-related disciplinary 
offense growing out of subsequent conduct.
    (b) The program may require successful completion of a return-to-
service medical examination as a further condition of reinstatement in 
regulated service.
    (c) The program may provide that it does not apply to a regulated 
employee whom the railroad has previously assisted under a program 
substantially consistent with this section.
    (d) The program may provide that, in order to invoke its benefits, 
the regulated employee must report to the railroad's designated contact 
either:
    (1) During non-duty hours (i.e., at a time when the regulated 
employee is off duty); or
    (2) While unimpaired and otherwise in compliance with the railroad's 
drug and alcohol rules consistent with this subpart.



Sec. 219.1007  Alternate programs.

    (a) Instead of the referral programs required under Sec. 219.1001, 
a railroad is permitted to develop, publish, and implement alternate 
programs that meet the standards established in Sec. 219.1001. Such 
programs must have the written concurrence of the recognized 
representatives of the regulated employees. Nothing in this subpart 
restricts a railroad or labor organization from adopting, publishing, 
and implementing programs that afford more favorable conditions to 
regulated employees troubled by drug or alcohol abuse problems, 
consistent with a railroad's responsibility to prevent violations of 
Sec. Sec. 219.101, 219.102, and 219.103.
    (b) The concurrence of the recognized representatives of the 
regulated employees in an alternate program may be evidenced by a 
collective bargaining agreement or any other document describing the 
class or craft of employees to which the alternate program applies. The 
agreement or other document must make express reference to this subpart 
and to the intention of the railroad and employee representatives that 
the alternate program applies instead of the program required by this 
subpart.
    (c) The railroad must file the agreement or other document described 
in paragraph (b) of this section along with the requested alternate 
program it submits for approval with the FRA Drug and Alcohol Program 
Manager. FRA will base its approval on whether the alternative program 
meets the Sec. 219.1001 objectives. The alternative program does not 
have to include each Sec. 219.1001 component, but must meet the general 
standards and intent of Sec. 219.1001. If a railroad amends or revokes 
an approved alternate policy, the railroad must file a notice with FRA 
of such amendment or revocation at least 30 days before the effective 
date of such action.
    (d) This section does not excuse a railroad from adopting, 
publishing, and implementing the programs Sec. 219.1001 requires for 
any group of regulated employees not falling within the coverage of an 
appropriate, approved alternate program.
    (e) Consistent with Sec. 219.105(c), FRA has the authority to 
inspect the aggregate data of any railroad alcohol and/or drug use 
education, prevention, identification, and rehabilitation program or 
policy, including alternate peer support programs, to ensure that they 
are not designed or implemented in such a way that they circumvent or 
otherwise

[[Page 349]]

undermine Federal requirements, including the requirements in this part 
regarding peer support programs.



        Sec. Appendix A to Part 219--Schedule of Civil Penalties

    The following chart lists the schedule of civil penalties:

                          Penalty Schedule \1\
------------------------------------------------------------------------
                                                              Willful
               Section \2\                   Violation       violation
------------------------------------------------------------------------
           Subpart A--General
 
219.3 Application:
    Railroad does not have required               $5,000          $7,500
     program............................
219.11 General conditions for chemical
 tests:
    (b)(1) Employee unlawfully refuses             2,500           5,000
     to participate in testing..........
    (b)(2) Employer fails to give                  3,000           8,000
     priority to medical treatment......
    (b)(3) Employee fails to remain                2,500           5,000
     available..........................
    (b)(4) Employee tampers with                   2,500           5,000
     specimen...........................
    (d) Employee unlawfully required to            2,500           5,000
     execute a waiver of rights.........
    (e) Railroad used or authorized the   ..............           7,500
     use of coercion to obtain specimens
    (g) Failure to meet supervisory                2,500           5,000
     training requirements or program of
     instruction not available or
     program not complete...............
    (h) Urine or blood specimens                   2,500           5,000
     provided for Federal testing were
     used for non-authorized testing....
219.23 Railroad policies:
    (a) Failure to provide written                 1,000           4,000
     notice of FRA test.................
    (b) Failure to provide written                 1,000           4,000
     notice of basis for FRA test.......
    (c) Use of subpart C form for other            1,000           4,000
     test...............................
    (d) Failure to provide educational             1,000           4,000
     materials..........................
    (e) Educational materials fail to              1,000           4,000
     explain requirements of this part
     and/or include required content....
    (f) Non-Federal provisions are                 1,000           4,000
     clearly described as independent
     authority..........................
 
         Subpart B--Prohibitions
 
219.101 Alcohol and drug use prohibited:
    Employee violates prohibition(s)....          10,000  ..............
219.103 Prescribed and over-the-counter
 drugs:
    (a) Failure to train employee                  2,500           5,000
     properly on requirements...........
219.104 Responsive action:
    (a) Failure to remove employee from            3,000           8,000
     covered service immediately........
    (b) Failure to provide notice for              1,000           4,000
     removal............................
    (c) Failure to provide prompt                  2,000           7,000
     hearing............................
    (d) Employee improperly returned to            2,000           7,000
     service............................
219.105 Railroad's duty to prevent
 violations:
    (a) Employee improperly permitted to           7,000          10,000
     remain in covered service..........
    (b) Failure to exercise due                    2,500           5,000
     diligence to assure compliance with
     prohibition........................
219.107 Consequences of unlawful
 refusal:
    (a) Failure to disqualify an                   5,000           7,500
     employee for nine months following
     a refusal..........................
    (e) Employee unlawfully returned to            5,000           7,500
     service............................
 
 Subpart C--Post-Accident Toxicological
                 Testing
 
219.201 Events for which testing is
 required:
    (a) Failure to test after qualifying           5,000           7,500
     event (each employee not tested is
     a violation).......................
    (c)(1)(i) Failure to make good faith           2,500           5,000
     determination......................
    (c)(1)(ii) Failure to provide                  1,000           3,000
     requested decision report to FRA...
    (c)(2) Testing performed after non-            5,000          10,000
     qualifying event...................
219.203 Responsibilities of railroads
 and employees:
    (a)(1)(i) and (a)(2)(i) Failure to             2,500           5,000
     properly test/exclude from testing.
    (a)(1)(ii) and (a)(2)(ii) Non-                 2,500           5,000
     covered service employee tested....
    (b)(1) Delay in obtaining specimens            2,500           5,000
     due to failure to make every
     reasonable effort..................
    (c) Independent medical facility not           2,500           5,000
     utilized...........................
    (d) Failure to report event or                 1,000           3,000
     contact FRA when intervention
     required...........................
219.205 Specimen collection and
 handling:
    (a) Failure to observe requirements            2,500           5,000
     with respect to specimen
     collection, marking and handling...
    (b) Failure to provide properly                2,500           5,000
     prepared forms with specimens......
    (d) Failure to promptly or properly            2,500           5,000
     forward specimens..................
219.207 Fatality:
    (a) Failure to test.................           5,000           7,500
    (a)(1) Failure to ensure timely                2,500           5,000
     collection and shipment of required
     specimens..........................
    (b) Failure to request assistance              2,500           5,000
     when necessary.....................
219.209 Reports of tests and refusals:

[[Page 350]]

 
    (a)(1) Failure to provide telephonic           1,000           2,000
     report.............................
    (b) Failure to provide written                 1,000           2,000
     report of refusal to test..........
    (c) Failure to maintain report                 1,000           2,000
     explaining why test not conducted
     within 4 hours.....................
219.211 Analysis and follow-up:
    (c) Failure of MRO to report review            2,500           5,000
     of positive results to FRA.........
 
      Subpart D--Testing for Cause
 
219.300 Mandatory reasonable suspicion
 testing:
    (a)(1) Failure to test when                    5,000           7,500
     reasonable suspicion criteria met..
    (a)(2) Tested when reasonable                  5,000           7,500
     suspicion criteria not met.........
219.301 Testing for reasonable cause:
    (a) Event did not occur during daily           2,500           5,000
     tour...............................
    (b)(2) Tested when accident/incident           5,000           7,500
     criteria not met...................
    (b)(3) Tested when operating rules             5,000           7,500
     violation criteria not met.........
219.302 Prompt specimen collection:
    (a) Specimen collection not                    2,500           5,000
     conducted promptly.................
 
  Subpart E--Identification of Troubled
                Employees
 
219.401 Requirement for policies:
    (b) Failure to publish and/or                  2,500           5,000
     implement required policy..........
219.407 Alternate policies:
    (c) Failure to file agreement or               2,500           5,000
     other document or provide timely
     notice or revocation...............
 
     Subpart F--Pre-Employment Tests
 
219.501 Pre-employment tests:
    (a) Failure to perform pre-                    2,500           5,000
     employment drug test before first
     time employee performs covered
     service............................
 
   Subpart G--Random Testing Programs
 
219.601 Railroad random drug programs:
    (a)(1) Failure to file a random                2,500           5,000
     program............................
    (a)(2) Failure to file amendment to            2,500           5,000
     program............................
    (b) Failure to meet random testing             2,500           5,000
     criteria...........................
    (b)(1)(i) Failure to use a neutral             2,500           5,000
     selection process..................
    (b)(2)(i)(B) Testing not spread                2,500           5,000
     throughout the year................
    (b)(3) Testing not distributed                 2,500           5,000
     throughout the day.................
    (b)(4) Advance notice provided to              2,500           5,000
     employee...........................
    (b)(6) Testing when employee not on            2,500           5,000
     duty...............................
219.601A Failure to include covered                2,500           5,000
 service employee in pool...............
219.602 Administrator's determination of
 drug testing rate:
    (f) Total number of tests below                2,500           5,000
     minimum random drug testing rate...
219.603 Participation in drug testing:
    Failure to document reason for not             2,500           5,000
     testing selected employee..........
219.607 Railroad random alcohol
 programs:
    (a)(1) Failure to file a random                2,500           5,000
     alcohol program....................
    (a)(2) Failure to file amendment to            2,500           5,000
     program............................
    (b) Failure to meet random testing             2,500           5,000
     criteria...........................
    (b)(1) Failure to use a neutral                2,500           5,000
     selection process..................
    (b)(5) Testing when employee not on            2,500           5,000
     duty...............................
    (b)(8) Advance notice provided to              2,500           5,000
     employee...........................
219.607A Failure to include covered                2,500           5,000
 service employee in pool...............
219.608 Administrator's determination of
 random alcohol testing rate:
    (e) Total number of tests below                2,500           5,000
     minimum random alcohol testing rate
219.609 Participation in alcohol
 testing:
    Failure to document reason for not             2,500           5,000
     testing selected employee..........
 
   Subpart H--Drug and Alcohol Testing
               Procedures
 
219.701 Standards for drug and alcohol
 testing:
    (a) Failure to comply with part 40             5,000           7,500
     procedures in subpart B, D, F, or G
     testing............................
    (b) Testing not performed in a                 2,500           5,000
     timely manner......................
 
        Subpart I--Annual Report
 
219.801 Reporting alcohol misuse
 prevention program results in a
 management information system:
    (a) Failure to submit MIS report on            2,500           5,000
     time...............................
    (c) Failure to submit accurate MIS             2,500           5,000
     report.............................
    (d) Failure to include required data           2,500           5,000
219.803 Reporting drug misuse prevention
 program results in a management
 information system:
    (c) Failure to submit accurate MIS             2,500           5,000
     report.............................
    (d) Failure to submit MIS report on            2,500           5,000
     report.............................
    (e) Failure to include required data           2,500           5,000
 
  Subpart J--Recordkeeping Requirements
 
219.901 Retention of Alcohol Testing
 Records:

[[Page 351]]

 
    (a) Failure to maintain records                2,500           5,000
     required to be kept by Part 40.....
    (b) Failure to maintain records                2,500           5,000
     required to be kept for five years.
    (c) Failure to maintain records                2,500           5,000
     required to be kept for two years..
219.903 Retention of Drug Testing
 Records:
    (a) Failure to maintain records                2,500           5,000
     required to be kept by Part 40.....
    (b) Failure to maintain records                2,500           5,000
     required to be kept for five years.
    (c) Failure to maintain records                2,500           5,000
     required to be kept for two years..
219.905 Access to facilities and
 records:
    (a) Failure to release records in              2,500           5,000
     this subpart in accordance with
     Part 40............................
    (b) Failure to permit access to                2,500           5,000
     facilities.........................
    (c) Failure to provide access to               2,500           5,000
     results of railroad alcohol and
     drug testing programs..............
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The FRA Administrator reserves the right to assess a
  penalty of up to $109,819 for any violation, including ones not listed
  in this penalty schedule, where circumstances warrant. See 49 CFR part
  209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 219; and
  if more than one item is listed as a type of violation of a given
  section, each item is also designated by a ``penalty code'' (e.g.,
  ``A''), which is used to facilitate assessment of civil penalties. For
  convenience, penalty citations will cite the CFR section and the
  penalty code, if any (e.g., `` Sec. 219.11A'') FRA reserves the
  right, should litigation become necessary, to substitute in its
  complaint the CFR citation in place of the combined CFR and penalty
  code citation.


[66 FR 41973, Aug. 9, 2001, as amended at 69 FR 30593, May 28, 2004; 73 
FR 79702, Dec. 30, 2008; 77 FR 24420, Apr. 24, 2012; 81 FR 43109, July 
1, 2016]

    Effective Date Note: At 81 FR 37944, June 10, 2016, appendix A to 
part 219 was revised, effective June 12, 2017. For the convenience of 
the user, the revised text is set forth as follows:



           Sec. Appendix A to Part 219--Schedule of Penalties

    The following chart lists the schedule of civil penalties:

                          Penalty Schedule \1\
------------------------------------------------------------------------
                                                              Willful
               Section \2\                   Violation       violation
------------------------------------------------------------------------
                           Subpart A--General
------------------------------------------------------------------------
219.3 Application:
    (a) Railroad or contractor does not           $5,000          $7,500
     have required program..............
    (c) Railroad or contractor                     2,500           5,000
     improperly tests under subpart E or
     G of this part.....................
219.9 Responsibility for compliance:
    (b)(1) Host railroad failed to take            5,000           7,500
     responsibility for compliance or
     other railroad or contractor did
     not take responsive action of
     direction of host railroad during
     joint operations...................
219.11 General conditions for chemical
 tests:
    (b)(1) Employee unlawfully refuses             2,500           5,000
     to participate in testing..........
    (b)(2) Employer fails to give                  3,000           8,000
     priority to medical treatment......
    (b)(3) Employee fails to remain                2,500           5,000
     available..........................
    (d) Employee unlawfully required to            2,500           5,000
     execute a waiver of rights.........
    (e)(1) Failure to direct employee to           2,500           5,000
     proceed to collection site as soon
     as possible without affecting
     safety.............................
    (e)(3) Railroad used or authorized             5,000           7,500
     the use of coercion to obtain
     specimens..........................
    (g) Failure to meet supervisory                2,500           5,000
     training requirements or program of
     instruction not available or
     program not complete...............
    (h) Urine or blood specimens                   2,500           5,000
     provided for Federal testing were
     used for non-authorized testing....
219.12 Hours-of-service laws
 implications:
    (a)-(d) Failure to exceed Hours of             2,500           5,000
     Service to conduct required testing
     or exceeding HOS when not
     authorized to conduct testing......
219.23 Railroad policies:
    (a) Failure to provide written                 1,000           4,000
     notice of FRA test.................
    (a)(1) Failure to provide written              1,000           4,000
     notice of basis for FRA test.......
    (a)(2) Use of a non-approved FRA               1,000           4,000
     form for mandatory post-accident
     toxicological testing..............
    (b) Improper use of Federal drug or            1,000           4,000
     alcohol testing form or use of
     Subpart C form for other test......
    (c) Failure to make required                   2,500           5,000
     educational materials available....
    (d) Failure to provide required                2,500           5,000
     minimum educational content........
    (e) Non-Federal provisions are not             2,500           5,000
     clearly described as independent
     authority..........................
219.25 Previous employer drug and
 alcohol checks:

[[Page 352]]

 
    (a)(1)Failure to conduct previous              2,500           5,000
     employer drug and alcohol check or
     failure to provide response to
     previous employer when requested...
    (a)(2) Failure to perform and                  2,500           5,000
     complete FRA and DOT-required
     background checks in a timely
     manner.............................
    (a)(3) Failure to document due                 2,500           5,000
     diligence in completing FRA and DOT-
     required background checks.........
    (b) Failure to comply with Sec. 2,500           5,000
     240.119(c) (for engineers) or Sec.
      242.115(e) (for conductors) of
     this chapter regarding the
     consideration of Federal alcohol
     and drug violations that occurred
     within a period of 60 consecutive
     months prior to the review of the
     person's records...................
------------------------------------------------------------------------
                         Subpart B--Prohibitions
------------------------------------------------------------------------
219.101 Alcohol and drug use prohibited:
    (a) Railroad with actual knowledge    ..............          10,000
     of use, possession or impairment
     from alcohol or controlled
     substances permits employee to go
     on duty or remain on duty..........
219.103 Prescribed and over-the-counter
 drugs:
    (a) Failure to train employee                  2,500           5,000
     properly on requirements...........
219.104 Responsive action:
    (a) Failure to remove employee from            5,000           7,500
     regulated service immediately......
    (b) Failure to provide written                 2,500           5,000
     notice for removal.................
    (c) Failure to provide prompt                  2,500           5,000
     hearing within 10 calendar days....
    (d) Employee improperly returned to            5,000           7,500
     regulated service..................
    (e) Failure to ensure certified                2,500           5,000
     locomotive engineers and conductors
     received required follow-up testing
     minimums as per Sec.
     240.119(d)(2) and Sec.
     242.115(f)(2) of this chapter......
219.105 Railroad's duty to prevent
 violations:
    (a) Employee improperly permitted to           7,500          10,000
     remain in regulated service........
    (b) Failure to exercise due                    5,000           7,500
     diligence to assure compliance with
     prohibition........................
    (d) Failure to conduct and record              2,500           5,000
     minimum number of Rule G
     observations.......................
219.107 Consequences of unlawful
 refusal:
    (a) Failure to disqualify an                   5,000           7,500
     employee for nine months following
     a refusal..........................
    (b) Fail to provide written notice             2,500           5,000
     of withdrawal to employee..........
    (c) Employee unlawfully returned to            5,000           7,500
     service............................
------------------------------------------------------------------------
             Subpart C--Post-Accident Toxicological Testing
------------------------------------------------------------------------
219.201 Events for which testing is
 required:
    (a) Failure to test after qualifying           5,000           7,500
     event (each regulated employee not
     tested is a violation).............
    (c)(1)(i) Failure to make good faith           5,000           7,500
     determination......................
    (c)(1)(ii) Failure to provide                  2,500           5,000
     requested decision report to FRA...
    (c)(2) Testing performed after non-            5,000          10,000
     qualifying event...................
219.203 Responsibilities of railroads
 and employees:
    (a)(1)(i) and (a)(2)(i) Failure to             5,000           7,500
     properly test/exclude from testing.
    (a)(1)(ii) and (a)(2)(ii) Non-                 5,000           7,500
     regulated service employee tested..
    (b)(1) Delay in obtaining specimens            2,500           5,000
     due to failure to make every
     reasonable effort..................
    (c) Independent medical facility not           2,500           5,000
     utilized...........................
    (d) Failure to report event or                 1,000           3,000
     contact FRA when intervention
     required...........................
    (d)(1) Failure to collect specimens            2,500           5,000
     in a timely manner.................
    (e)(2) Failure to recall employee              2,500           5,000
     for testing when conditions met....
    (e)(5) Failure to document why                 2,500           5,000
     employee could not be recalled.....
    (f)(1) Specimen collection not                 2,500           5,000
     completed at an independent medical
     facility...........................
219.205 Specimen collection and
 handling:
    (a) Failure to observe requirements            2,500           5,000
     with respect to specimen
     collection, marking and handling...
    (b) Failure to provide properly                2,500           5,000
     prepared forms with specimens......
    (d) Failure to promptly or properly            2,500           5,000
     forward specimens..................
219.207 Fatality:
    (a) Failure to collect specimens....           5,000           7,500
    (a)(1) Failure to ensure timely                2,500           5,000
     collection and shipment of required
     specimens..........................
    (b) Failure to request assistance              2,500           5,000
     when necessary.....................
219.209 Reports of tests and refusals:
    (a)(1) Failure to provide telephonic           1,000           2,000
     report.............................
    (b) Failure to provide written                 1,000           2,000
     report of refusal to test..........
    (c) Failure to maintain report                 1,000           2,000
     explaining why test not conducted
     within 4 hours.....................
219.211 Analysis and follow-up:
    (c) Failure of the MRO to report MRO           2,500           5,000
     downgrades and/or verified non-
     negative results to FRA in a timely
     manner.............................
    (g)(3) Unauthorized withholding of             2,500           5,000
     regulated employee out of regulated
     service pending receipt of PAT
     testing results....................
------------------------------------------------------------------------

[[Page 353]]

 
                 Subpart D--Reasonable Suspicion Testing
------------------------------------------------------------------------
219.301 Mandatory reasonable suspicion
 testing:
    (a) Failure to conduct breath                  5,000           7,500
     alcohol test when reasonable
     suspicion testing criteria met or
     conduct breath alcohol test under
     reasonable suspicion when criteria
     not met............................
    (b) Failure to conduct drug test               5,000           7,500
     when reasonable suspicion testing
     criteria met or conduct drug test
     under reasonable suspicion when
     criteria not met...................
219.303 Testing when reasonable
 suspicion criteria not met:
    (a) Failure to use a trained                   2,500           5,000
     supervisor when conducting a
     reasonable suspicion determination
     for alcohol........................
    (b) Failure to use two supervisors,            2,500           5,000
     one of which must have been
     trained, when conducting a
     reasonable suspicion determination
     for drugs..........................
    (c) Improperly holding employee out            2,500           5,000
     of service.........................
    (d) Failure to provide adequate                2,500           5,000
     written documentation for the
     reasons for a reasonable suspicion
     test...............................
219.305 Prompt specimen collections;
 time limitations:
    (a) Fail to promptly conduct test...           2,500           5,000
    (b) Failure to document why test not           2,500           5,000
     administered within time limits....
    (c) Improper recall of employee.....           2,500           5,000
------------------------------------------------------------------------
                   Subpart E--Reasonable Cause Testing
------------------------------------------------------------------------
219.401 Authorization for reasonable
 cause testing:
    (a) Failure to declare which                   2,500           5,000
     authority (Federal or company) is
     being used for reasonable cause
     testing............................
    (b) Testing conducted after                    2,500           5,000
     regulated employee is released from
     duty...............................
219.403 Requirements for reasonable
 cause testing:
    (a) Testing when event did not meet            2,500           5,000
     the criteria for train accident or
     train incident.....................
    (b) Testing when event did not meet            2,500           5,000
     the criteria for rule violation....
219.405 Documentation requirements:
    (a) Failure to provide adequate                1,000           2,500
     written documentation for the
     reasons for a reasonable cause test
    (b) Failure to document specific               1,000           2,500
     type of rule violation and the
     involvement of each tested
     regulated employee.................
219.407 Prompt Specimen Collection; Time
 Limitations:
    (a) Failure to perform a test in a             2,500           5,000
     timely.............................
    (b) Failure to document why test not           1,000           2,500
     administered within time limits....
    (c) Improper recall of employee.....           2,500           5,000
219.409 Limitations on authority:
    (b) Improper withholding of                    2,500           5,000
     regulated employee from regulated
     service pending test results.......
------------------------------------------------------------------------
                     Subpart F--Pre-Employment Tests
------------------------------------------------------------------------
219.501 Pre-employment drug testing:
    (a) Failure to conduct a Federal pre-          2,500           5,000
     employment test before a final
     applicant or employee transfer
     performs regulated service.........
    (b) Failure to conduct a Federal pre-          2,500           5,000
     employment test before an employee
     of a contractor performs regulated
     service............................
    (e) Pre-employment testing of                  1,000           2,500
     grandfathered regulated employee...
219.502 Pre-employment alcohol testing:
    (a)(1) Failure to conduct alcohol              2,500           5,000
     testing of a regulated employee
     after choosing to perform Federal
     pre-employment alcohol testing.....
    (a)(2) Failure to treat all                    2,500           5,000
     regulated employees the same for
     purposes of Federal pre-employment
     alcohol testing....................
219.503 Notification; records:
    Failure to notify the applicant in             1,000           2,500
     writing of non-negative test
     results or refusal.................
------------------------------------------------------------------------
           Subpart G--Random Alcohol and Drug Testing Programs
------------------------------------------------------------------------
219.601 Purpose and scope of random
 testing programs:
    (b) Failure to ensure regulated                2,500           5,000
     employee is subject to random
     testing............................
    (c) Contractor or volunteer not                2,500           5,000
     included in random testing while
     subject to performing regulated
     service............................
    (d)(1) Regulated employee not                  2,500           5,000
     subject to random testing at
     minimum rate set by agency covering
     more than 50% of employee's
     regulated functions................
219.605 Submission and approval of
 random testing plans:
    (a)(1) Failure to obtain FRA                   2,500           5,000
     approval of random testing program.
    (c) Failure to implement random                2,500           5,000
     testing plan within 30 days of
     notification of FRA approval.......

[[Page 354]]

 
    (d)(1) Failure to implement                    2,500           5,000
     substantive plan amendment within
     30 days of notification of FRA
     approval, or failure to obtain FRA
     approval before implementing
     substantive plan amendment before
     implementation.....................
    (d)(2) Failure to submit non-                  2,500           5,000
     substantive plan amendment before
     implementation.....................
219.607 Requirements for random testing
 plans:
    (a) Railroad implementation failed             2,500           5,000
     to comply with approved plan.......
    (c) Failure to contain required plan           2,500           5,000
     elements...........................
219.609 Inclusion of contractor
 employees and volunteers in random
 testing plans:
    (a) Failure to demonstrate that                2,500           5,000
     regulated service contractor
     employees and volunteers are
     subject to random testing..........
    (c) Failure to ensure regulated                2,500           5,000
     service contractor and volunteers
     are tested in accordance with this
     subpart............................
219.611 Random drug and alcohol and drug
 testing pools:
    (a) Failure of railroad to ensure              2,500           5,000
     that all regulated employees
     including contractors and
     volunteers are included in random
     testing pools......................
    (b)(2) Improper criteria for pool              2,500           5,000
     entries which allows for employer
     discretion over who is to be tested
    (b)(3) Failure to construct and                2,500           5,000
     maintain pool entries that will
     ensure regulated employees have an
     equal chance of being selected
     randomly for each draw.............
    (c) Maintaining a random testing               2,500           5,000
     pool with less than four pool
     entries............................
    (d)(1) Failure to ensure that pools            2,500           5,000
     do not contain non-regulated
     employees..........................
    (d)(2) Regulated employee included             2,500           5,000
     in more than one DOT random pool...
    (d)(3) Failure to maintain pools and/          2,500           5,000
     or pool entries that meet FRA/DOT
     regulations........................
    (d)(5) Failure to add or remove                2,500           5,000
     regulated employees to or from the
     proper random pool in a timely
     manner.............................
    (e)(2) Failure to remove employees             2,500           5,000
     who perform de minimis service from
     pools which include employees who
     perform regulated service on a
     regular basis......................
    (f) Failure to have an effective               2,500           5,000
     mechanism to update and maintain
     pools..............................
219.613 Random testing selections:
    (b)(1) Failure to use an FRA-                  2,500           5,000
     acceptable selection procedure.....
    (b)(2) Failure to ensure every                 2,500           5,000
     regulated employee has an equal
     chance at being selected at each
     draw...............................
    (b)(3) Failure to have necessary               2,500           5,000
     documentation verifying the
     selection process for testing
     window.............................
    (c)(1) Failure to select pool                  2,500           5,000
     entries at a rate which ensures
     compliance with FRA required random
     rates or fail to reasonably
     distribute selections throughout
     the selection year.................
    (d) Railroad failed to select at               2,500           5,000
     least one entry from each of its
     random testing pools every three
     months.............................
    (e) Railroad discarded selection               2,500           5,000
     draws without an acceptable
     explanation........................
    (g) Failure to capture and maintain            2,500           5,000
     electronic or hard copy snapshot of
     each random testing pool at the
     time it makes a testing selection..
219.615 Random testing collections:
    (a) Failure to comply with minimum             2,500           5,000
     annual random collection testing
     rates..............................
    (b) Failure to test selections                 2,500           5,000
     within the approved testing window.
    (c)(1) Testing a regulated employee            2,500           5,000
     while not on duty or testing a
     regulated employee not randomly
     selected or testing a non-regulated
     employee...........................
    (c)(2) Failure to distribute                   2,500           5,000
     collections reasonably throughout
     all shifts, days of the week, weeks
     of the month, and months of the
     year...............................
    (c)(3) Failure to perform at least             2,500           5,000
     10% of its random alcohol tests at
     the beginning of shifts and at
     least 10% of random alcohol tests
     at the end of shifts...............
    (e)(1) Advance notification given to           2,500           5,000
     employees selected for testing.....
    (e)(2) Fail to begin collection                2,500           5,000
     within two hours of notice of
     random selection without an
     acceptable reason for the delay....
    (f) Failure to test a selection                2,500           5,000
     without an FRA-acceptable reason...
    (g)(1) Fail to immediately terminate           2,500           5,000
     random collection due to hours of
     service expiration.................
219.617 Participation in random alcohol
 and drug testing:
    (a)(1) Failure to test regulated               2,500           5,000
     employee when properly selected for
     random test........................
    (a)(2) Failure to restrict regulated           2,500           5,000
     employee from performing regulated
     service prior to completion of
     random testing.....................
    (a)(3) Improperly excused without              2,500           5,000
     substantiated medical emergency....
219.621 Use of Service Agents:
    (g) Improper use a service agent to            2,500           5,000
     notify a regulated employee that
     they have been selected for random
     testing............................
219.623 Records
    (a) Failure of railroads to meet               2,500           5,000
     recordkeeping requirements.........
    (g) Failure of contractors and                 2,500           5,000
     service agents to provide required
     random testing records when
     requested by the contracting
     railroad or FRA....................
219.625 FRA Administrator's
 determination of random alcohol and
 drug rates
    (d) Failure to meet the required FRA           2,500           5,000
     random testing rate for drugs......

[[Page 355]]

 
    (e) Failure to meet the required FRA           2,500           5,000
     random testing rate for alcohol....
------------------------------------------------------------------------
             Subpart H--Drug and Alcohol Testing Procedures
------------------------------------------------------------------------
219.701 Standards for drug and alcohol
 testing:
    (a) Failure to comply with part 40             5,000           7,500
     procedures in subpart B, D, E, F, G
     and K testing......................
------------------------------------------------------------------------
                        Subpart I--Annual Report
------------------------------------------------------------------------
219.800 Annual Reports:
    (a) Failure to submit MIS report on            2,500           5,000
     time...............................
    (c) Failure to submit accurate MIS             2,500           5,000
     report.............................
    (d) Failure to include required data           2,500           5,000
------------------------------------------------------------------------
                  Subpart J--Recordkeeping Requirements
------------------------------------------------------------------------
219.901 Retention of alcohol and drug
 testing records:
    (a) Failure to maintain records                2,500           5,000
     required to be kept by part 40 of
     this chapter.......................
    (b) Failure to maintain records                2,500           5,000
     required to be kept for five years.
    (c) Failure to maintain records                2,500           5,000
     required to be kept for two years..
219.903 Access to facilities and
 records:
    (a) Failure to release records in              2,500           5,000
     this subpart in accordance with
     part 40 of this chapter............
    (b) Failure to permit access to                2,500           5,000
     facilities.........................
    (c) Failure to provide access to               2,500           5,000
     results of railroad alcohol and
     drug testing programs..............
------------------------------------------------------------------------
                      Subpart K--Referral Programs
------------------------------------------------------------------------
219.1001 Requirement for referral
 programs:
    (b)(1) Failure to adopt or implement           2,500           5,000
     required self-referral program or
     alternate program that meets the
     requirements of this subpart.......
    (b)(2) Failure to adopt or implement           2,500           5,000
     required co-worker referral program
     or alternate program that meets the
     requirements of subpart K of this
     part...............................
    (d) Violation of referral program              2,500           5,000
     prohibitions.......................
219.1003 Referral program conditions:
    (a) Failure to comply with referral            2,500           5,000
     program conditions.................
    (b) Failure to maintain employment..           2,500           5,000
    (c) Failure to disqualify regulated            2,500           5,000
     employee when referral conditions
     not met............................
    (d) Use of unqualified DAC..........           2,500           5,000
    (e) Allowing person evaluated as               2,500           5,000
     having active substance abuse
     disorder to perform regulated
     service............................
(f) Breach of confidentiality                      2,500           5,000
    (g) Failure to allow recommended               2,500           5,000
     leave of absence...................
    (h)(1)-(3) Failure to meet return to           2,500           5,000
     service conditions.................
    (h)(4) Failure to return to service            2,500           5,000
     when conditions met................
    (i) Improper modification to                   2,500           5,000
     rehabilitation plan................
    (l) Failure to complete DAC                    2,500           5,000
     evaluation within time limit.......
    (m) Exceeding 24 month time limit on           2,500           5,000
     aftercare when not associated with
     a substantiated part 219 violation.
219.1007 Alternate programs:
    (c) Failure to obtain FRA approval             2,500           5,000
     of alternate program...............
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The FRA Administrator reserves the right to assess a
  penalty of up to $105,000 for any violation, including ones not listed
  in this penalty schedule, where circumstances warrant. See 49 CFR part
  209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 219; and
  if more than one item is listed as a type of violation of a given
  section, each item is also designated by a ``penalty code,'' which is
  used to facilitate assessment of civil penalties. For convenience,
  penalty citations will cite the CFR section and the penalty code, if
  any. FRA reserves the right, should litigation become necessary, to
  substitute in its complaint the CFR citation in place of the combined
  CFR and penalty code citation.



Sec. 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: Quest 
Diagnostics, 1777 Montreal Circle, Tucker, GA 30084, Telephone: (800) 
729-6432.

[78 FR 14224, Mar. 5, 2013]



 Sec. Appendix C to Part 219--Post-Accident Testing Specimen Collection

    1.0 General.

[[Page 356]]

    This appendix prescribes procedures for collection of specimens for 
mandatory post-accident testing pursuant to subpart C of this part. 
Collection of blood and urine specimens 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 specimens from surviving employees involved in train 
accidents and train incidents, as required by subpart C of this part. 
Subpart C specifies qualifying events and employees required to be 
tested.
    2.1 Collection Procedures; General.
    a. All forms and supplies necessary for collection and transfer of 
blood and urine specimens 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.
    b. 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.
    2.1.1 Responsibility of the Railroad Representative.
    a. 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 
specimens 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 specimens according to the procedures set out.
    b. The railroad representative shall undertake the following 
additional responsibilities--
    1. Complete Form FRA 6180.73 (revised), Accident Information 
Required for Post-Accident Toxicological Testing (49 CFR part 219), 
describing the testing event and identifying the employees whose 
specimens are to be deposited in the shipping box.
    2. As necessary to verify the identity of individual employees, 
affirm the identity of each employee to the medical facility personnel.
    3. 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 specimen 
containers, bottles or tubes (empty or full). Do not become part of the 
collection process.
    2.1.2 Employee Responsibility.
    a. 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:
    1. Provide a blood specimen, which a qualified medical professional 
or technician will draw using a single-use sterile syringe. The employee 
should be seated for this procedure.
    2. Provide, in the privacy of an enclosure, a urine specimen into a 
plastic collection cup. Deliver the cup to the collector.
    3. Do not let the blood and urine specimens that you provided leave 
your sight until they have been properly sealed and initialed by you.
    4. Certify the statement in Step 4 of the Post-Accident Testing 
Blood/Urine Custody and Control Form (49 CFR part 219) (Form FRA F 
6180.74 (revised)).
    5. If required by the medical facility, complete a separate consent 
form for taking of the specimens 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 specimens 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 
specimens for shipment.
(Post Mortem Collection)

    3.0 Fatality.
    This unit provides procedures for collecting post-accident body 
fluid/tissue specimens from the remains of employees killed in train 
accidents and train incidents, as required by subpart C of this part. 
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 of this part, 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 specimens as indicated.


[[Page 357]]


(Surviving Employees and Fatalities)

    4.0 Shipment.
    a. The railroad is responsible for arranging overnight 
transportation of the sealed shipping box containing the specimens. When 
possible without incurring delay, the box should be delivered directly 
from the collection personnel providing the specimens 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 Specimens: 
              Mandatory Post-Accident Toxicological Testing

                               A. Purpose

    These instructions are for the use of personnel of collection 
facilities conducting collection of blood and urine specimens 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

    a. Railroad employees have consented to provision of specimens for 
analysis by the Federal Railroad Administration as a condition of 
employment (49 CFR 219.11). A private, controlled area should be 
designated for collection of specimens and completion of paperwork.
    b. Only one specimen 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 specimen has been labeled, sealed 
and documented.
    c. Please remember two critical rules for the collections:
    d. All labeling and sealing must be done in the sight of the donor, 
with the specimen never having left the donor's presence until the 
specimen has been labeled, sealed and initialed by the donor.
    e. Continuous custody and control of blood and urine specimens must 
be maintained and documented on the forms provided. In order to do this, 
it is important for the paperwork and the specimens to stay together.
    f. 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.
    g. 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

    a. The employee donor must provide photo identification to each 
collector, or lacking this, be identified by the railroad 
representative.
    b. The donor should remove all unnecessary outer garments such as 
coats or jackets, but may retain valuables, including a wallet. Donors 
should not be asked to disrobe, unless necessary for a separate physical 
examination required by the attending physician.

                              D. Draw Blood

    a. Assemble the materials for collecting blood from each employee: 
two 10 ml grey-stoppered blood tubes and the Control Form.
    b. Ask the donor to complete STEP 1 on the Control Form.
    c. 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.
    d. Once both tubes are filled and the site of venipuncture is 
protected, immediately--
    1. Seal and label each tube by placing a numbered blood specimen 
label from the label set on the Control Form over the top of the tube 
and securing it down the sides.
    2. 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.
    3. As collector, sign and date each blood tube label at the place 
provided.
    4. 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 
specimens from the donor.
    5. Complete STEP 2 on the form.
    6. Return the blood tubes into the individual kit. Keep the 
paperwork and specimens together. If another collector will be 
collecting the urine specimen from this employee, transfer both the form 
and the individual kit with blood tubes to that person,

[[Page 358]]

showing the transfer of the blood tubes on the second line of STEP 5 
(the chain of custody block).

                            E. Collect Urine

    a. 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 specimen 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 specimens 
already collected must remain in the collector's custody and control 
during this procedure.
    b. 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.
    c. 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 specimen, the collector 
should monitor the provision of the specimen 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.
    d. The collector should then proceed as follows:
    e. Unwrap the collection cup in the employee's presence and hand it 
to the employee (or allow the employee to unwrap it).
    f. Ask the employee to void at least 60 ml into the collection cup 
(at least to the line marked).
    g. Leave the private enclosure.

IF THERE IS A PROBLEM WITH URINATION OR Specimen QUANTITY, SEE THE 
``TROUBLE BOX'' AT THE BACK OF THESE INSTRUCTIONS.

    h. Once the void is complete, the employee should exit the private 
enclosure and deliver the specimen to the collector. Both the collector 
and the employee must proceed immediately to the labeling/sealing area, 
with the specimen never leaving the sight of the employee before being 
sealed and labeled.
    i. Upon receipt of the specimen, proceed as follows:
    1. In the full view of the employee, remove the wrapper from the two 
urine specimen bottles. Transfer the urine from the collection cup into 
the specimen bottles (at least 30 ml in bottle A and at least 15 ml in 
bottle B).
    2. As you pour the specimen into the specimen 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.
    3. 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 Specimen, SEE THE ``TROUBLE BOX'' 
AT THE BACK OF THESE INSTRUCTIONS.

    4. 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.
    5. 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.
    6. As collector, sign and date each urine label.
    7. Skip to STEP 5 and initiate chain-of-custody by showing receipt 
of the urine specimens 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 specimens'' under purpose, 
``Donor'' under ``released by,'' check under ``urine'' and place your 
name, signature and date in the space provided.)
    8. Complete the remainder of STEP 3 on the Control Form.
    9. Have the employee complete STEP 4 on the Control Form.
    10. Place the filled urine bottles in the individual employee kit. 
Keep the paperwork and specimens together. If another collector will be 
collecting the blood specimen from this employee, transfer both the form 
and the kit to that person, showing the transfer of the urine specimens 
on the next available line of STEP 5 (the chain of custody block).

                   F. Seal the Individual Employee Kit

    a. The blood and urine specimens have now been collected for this 
employee. The blood/urine specimens will now be sealed into the 
individual employee kit, while all paperwork will be retained for 
further completion. After rechecking to see that each specimen is 
properly labeled and initialed, 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.
    b. Before collecting specimens 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

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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

    a. 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:
    1. Inspect STEP 5 of each Control Form to ensure chain-of-custody is 
continuous and complete for each fluid (showing specimens released for 
shipment). Retain the medical facility copy of each Control Form and the 
Accident Information form for your records.
    2. 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.
    3. Affix the mailing label provided to the outside of the shipping 
box.

                             I. Ship the Box

    a. 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.
    b. Where courier pickup is not immediately available at the 
collection facility where the specimens are taken, the railroad is 
required to transport the shipping box for expeditious shipment by air 
express, air freight or equivalent means.
    c. 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 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 
specimens 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 
specimen.
    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 Specimen 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 specimen (e.g., 
substitute urine in plain view, blue dye in specimen presented, etc.) 
and a collection site supervisor or the railroad representative agrees 
that the circumstances indicate an attempt to tamper with the specimen.
    Action (for either Problem No. 3 or Problem No. 4): Document the 
problem on the Control Form.
    i. If the collection site supervisor or railroad representative 
concurs that the temperature of the specimen, or other clear and 
unequivocal evidence, indicates a possible attempt to substitute or 
alter the specimen, another void must be taken under direct observation 
by a collector of the same gender.
    ii. If a collector of the same sex is not available, do NOT proceed 
with this step.
    iii. 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 specimen should be marked ``Void'' 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 Specimens: 
             Employee Killed in a Railroad Accident/Incident

    To the Medical Examiner, Coroner, or Pathologist:
    a. In compliance with Federal safety regulations (49 CFR Part 219), 
a railroad representative has requested that you obtain specimens 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 specimens, as a matter of Federal law, by performing service on the 
railroad (49 CFR 219.11(f)).

[[Page 360]]

    b. 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.

                              A. 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.

             B. Specimens requested, in order of preference:

    a. 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 specimen 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 specimen on 
label of tube.

    b. Urine--as much as 100 milliliters, if available. Deposit into 
plastic bottles provided.
    c. 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 specimen and preservative.
    d. 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. Specimens should be individually 
deposited into zip-lock bags or other clean, single use containers 
suitable for forensic specimens.
    e. If vitreous or urine is not available, please provide--
    1. 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,
    2. Gastric content--up to 100 milliliters, as available, into 
plastic bottle.

                         C. Specimen collection:

    a. 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.
    b. Blood specimens should be taken by sterile syringe and deposited 
directly into evacuated tube, if possible, to avoid contamination of 
specimen or dissipation of volatiles (ethyl alcohol).

    Note: If only cavity fluid is available, please open cavity to 
collect specimen. Note condition of cavity.

    c. Please use smallest tubes available to accommodate available 
quantity of fluid specimen (with 1% sodium fluoride).

                  D. Specimen identification, sealing:

    a. As each specimen 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 (49 CFR part 219) (Form FRA F 
6180.74 (revised)). Make sure the unique identification number on the 
labels match the pre-printed number on the Control Form. Please label 
other specimens with name and specimen set identification numbers. You 
may use labels and seals from any of the extra forms, but annotate them 
accordingly.
    b. Annotate each label with specimen description and source (as 
appropriate) (e.g., blood, femoral vein).
    c. Please provide copy of any written documentation regarding 
condition of body and/or sampling procedure that is available at the 
time specimens are shipped.

                              E. Handling:

    a. If specimens cannot be shipped immediately as provided below, 
specimens other than blood may be immediately frozen. Blood specimens 
should be refrigerated, but not frozen.
    b. All specimens and documentation should be secured from 
unauthorized access pending delivery for transportation.

                             F. Information:

    a. 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 specimens provided, providing any further 
information under ``Remarks'' or at the bottom of the form. If it is 
necessary to transfer custody of the specimens from the person taking 
the specimens prior to preparing the box for shipment, please use the 
blocks provided in STEP 5 to document transfer of custody.
    b. The railroad representative will also provide Accident 
Information Required for Post-Accident Toxicological Testing (49 CFR 
part 219), Form FRA 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.

                      G. Packing the shipping box:

    a. 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

[[Page 361]]

may use additional kits for each tissue specimen, being careful to 
identify specimen 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.
    b. 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.
    c. Affix the mailing label to the outside of the box.

                          H. Shipping the box:

    a. 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.
    b. 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.
    c. 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.

                                I. Other:

    FRA requests that the person taking the specimens 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.



PART 220_RAILROAD COMMUNICATIONS--Table of Contents



                            Subpart A_General

Sec.
220.1 Scope.
220.2 [Reserved]
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.

                      Subpart C_Electronic Devices

220.301 Purpose and application.
220.302 Operating rules implementing the requirements of this subpart.
220.303 General use of electronic devices.
220.305 Use of personal electronic devices.
220.307 Use of railroad-supplied electronic devices.
220.309 Permitted uses; exceptions to other restrictions.
220.311 Railroad operating employees in deadhead status.
220.313 Instruction.
220.315 Operational tests and inspections; further restrictions on use 
          of electronic devices.

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. 20102-20103, 20103, note, 20107, 21301-21302, 
20701-20703, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    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. In 
addition, this part sets forth prohibitions, restrictions, and 
requirements that apply

[[Page 362]]

to the use of personal and railroad-supplied cellular telephones and 
other electronic devices. So long as these minimum requirements are met, 
railroads may adopt additional or more stringent requirements.

[75 FR 59601, Sept. 27, 2010]



Sec. 220.2  [Reserved]



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.
    Associate Administrator for Railroad Safety/Chief Safety Officer 
means either the Associate Administrator for Railroad Safety/Chief 
Safety Officer, Federal Railroad Administration, 1200 New Jersey Ave., 
SE., Washington, DC 20590 or that person's delegate.
    Authorized business purpose means a purpose directly related to the 
tasks that a crewmember is expected to perform during the current tour 
of duty as specified by the railroad in writing.
    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.
    Earpiece means a small speaker that is inserted in, or held next to, 
the ear for use in transmitting sounds related to an electronic device.
    Electronic device means an electronic or electrical device used to 
conduct oral, written, or visual communication; place or receive a 
telephone call; send or read an electronic mail message or text message; 
look at pictures; read a book or other written material; play a game; 
navigate the Internet; navigate the physical world; play, view, or 
listen to a video; play, view, or listen to a television broadcast; play 
or listen to a radio broadcast other than a radio broadcast by a 
railroad; play or listen to music; execute a computational function; or, 
perform any other function that is not necessary for the health or 
safety of the person and that entails the risk of distracting the 
employee or another railroad operating employee from a safety-related 
task. This term does not include--
    (1) Electronic control systems and information displays within the 
locomotive cab (whether the displays or systems be fixed or portable) or 
on a remote control transmitter necessary to operate a train or conduct 
switching operations; or
    (2) A digital watch whose only purpose is as a timepiece.
    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.
    Fouling a track means the placement of an individual in such 
proximity to a track that the individual could be struck by a moving 
train or other on-track equipment, or in any case is within four feet of 
the nearest rail.
    FRA means the Federal Railroad Administration.
    Immediate access to a radio means a radio on the employee's person, 
or sufficiently close to the employee to allow the employee to make and 
receive radio transmissions.
    In deadhead status means awaiting or in deadhead transport from one 
point to another as a result of a railroad-issued verbal or written 
directive.
    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.

[[Page 363]]

    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.
    Medical device means an instrument, apparatus, implement, machine, 
contrivance, implant, or other similar or related article (including a 
component part), or accessory that is intended for use in the diagnosis 
of disease or other conditions, or in the cure, mitigation, treatment, 
or prevention of disease or other conditions.
    Personal electronic device means an electronic device that was not 
provided to the railroad operating employee by the employing railroad 
for a business purpose.
    Railroad operating employee means a person performing duties subject 
to--
    (1) An individual engaged in or connected with the movement of a 
train, including a hostler, as defined in 49 U.S.C. 21101(5), who is 
subject to 49 U.S.C. 21103 effective July 16, 2009;
    (2) A train employee providing commuter rail passenger 
transportation or intercity rail passenger transportation as defined in 
49 U.S.C. 24102 who, pursuant to 49 U.S.C. 21102(c), is subject to 49 
U.S.C. 21103 as it was in effect on October 15, 2008; or
    (3) An individual subject to any Federal Railroad Administration 
regulations prescribed pursuant to 49 U.S.C. 21109 governing the hours 
of service of train employees.
    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.
    Railroad-supplied electronic device means an electronic device 
provided to a railroad operating employee by the employing railroad for 
an authorized business purpose. A railroad-supplied device will be 
considered a personal electronic device when it is being used by the 
employee for a purpose other than an authorized business purpose.
    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.
    Switching operation means the classification of rail 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.
    System headquarters means the location designated by the railroad as 
the general office for the railroad system.
    Train, for purposes of subparts A and B of this part, means one or 
more locomotives coupled with or without cars, requiring an air brake 
test in accordance with 49 CFR part 232 or part 238, 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. The term, for purposes of subpart C of this part, 
means--
    (1) A single locomotive,
    (2) Multiple locomotives coupled together, or
    (3) One or more locomotives coupled with one or more cars.
    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:

[[Page 364]]

    (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.

[63 FR 47195, Sept. 4, 1998, as amended at 65 FR 41305, July 3, 2000; 75 
FR 59601, Sept. 27, 2010]



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 $839 and not more than $27,455 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 $109,819 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 
shall constitute a separate offense. (See appendix C to this part for a 
statement of agency civil penalty policy.)

[63 FR 47195, Sept. 4, 1998, as amended at 69 FR 30593, May 28, 2004; 72 
FR 51196, Sept. 6, 2007; 73 FR 79702, Dec. 30, 2008; 77 FR 24420, Apr. 
24, 2012; 81 FR 43110, July 1, 2016]



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

[[Page 365]]

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, 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

[[Page 366]]

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 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,''

[[Page 367]]

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.
    (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 Sec. Sec. 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.

[[Page 368]]



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 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.

[[Page 369]]

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.



                      Subpart C_Electronic Devices

    Source: 75 FR 59602, Sept. 27, 2010, unless otherwise noted.



Sec. 220.301  Purpose and application.

    (a) The purpose of this subpart is to reduce safety risks resulting 
from railroad operating employees being distracted by the inappropriate 
use of electronic devices, such as mobile telephones (cell phones or 
cellular phones) and laptop computers.
    (b) The applicability of this subpart is governed by Sec. 220.3; 
this subpart, however, does not affect the use of working wireless 
communications pursuant to subparts A and B of this part.
    (c) The restrictions of this subpart C do not apply--
    (1) To the working radio; or
    (2) When a working radio failure occurs and an electronic device is 
used in accordance with railroad rules.



Sec. 220.302  Operating rules implementing the requirements of this 
subpart.

    Each railroad shall adopt operating rules that implement the 
requirements of this subpart.



Sec. 220.303  General use of electronic devices.

    A railroad operating employee shall not use an electronic device if 
that use would interfere with the employee's or another railroad 
operating employee's performance of safety-related duties. No individual 
in the cab of a controlling locomotive shall use an electronic device if 
that use would interfere with a railroad operating employee's 
performance of safety-related duties.



Sec. 220.305  Use of personal electronic devices.

    A railroad operating employee must have each personal electronic 
device turned off with any earpiece removed from the ear--
    (a) When on a moving train;
    (b) When any member of the crew is--
    (1) On the ground, or
    (2) Riding rolling equipment during a switching operation; or
    (c) When any railroad employee is assisting in preparation of the 
train for movement.



Sec. 220.307  Use of railroad-supplied electronic devices.

    (a) General restriction. A railroad operating employee may use a 
railroad-supplied electronic device only for an authorized business 
purpose as specified by the railroad in writing. An authorized business 
purpose involving the taking of a photograph or video must be approved 
by FRA. A railroad subject to this subpart must submit to FRA's 
Associate Administrator for Railroad Safety/Chief Safety Officer a 
document specifying in writing the authorized business purpose(s) 
involving the taking of a photograph or video for which a railroad-
supplied electronic device

[[Page 370]]

may be used by the carrier's railroad operating employees.
    (b) Use by locomotive engineers operating controls. A locomotive 
engineer operating the controls of a train shall not use a railroad-
supplied electronic device--
    (1) When on a moving train;
    (2) When any member of the crew is--
    (i) On the ground, or
    (ii) Riding rolling equipment during a switching operation; or
    (3) When any railroad employee is assisting in preparation of the 
train for movement.
    (c) Use in freight and passenger locomotive cabs generally. In 
addition to the restrictions on locomotive engineers described in 
paragraph (b) of this section, a railroad operating employee who is not 
in deadhead status shall not use a railroad-supplied electronic device 
in the cab of a controlling locomotive unless--
    (1) A safety briefing that includes all crewmembers is held; and
    (2) All crewmembers agree that it is safe to use the device.
    (d) Use outside freight locomotive cabs. A freight train crewmember 
who is not in deadhead status may use a railroad-supplied electronic 
device outside the cab of a controlling freight locomotive only if all 
of the following conditions are met:
    (1) The crewmember is not fouling a track; and
    (2) All crewmembers agree it is safe to use the device.



Sec. 220.309  Permitted uses; exceptions to other restrictions.

    Notwithstanding any other limitations in this subpart, a railroad 
operating employee may use the following, if that use does not interfere 
with any employee's performance of safety-related duties--
    (a) The digital storage and display function of an electronic device 
to refer to a railroad rule, special instruction, timetable, or other 
directive, if such use is authorized under a railroad operating rule or 
instruction.
    (b) An electronic device as necessary to respond to an emergency 
situation involving the operation of the railroad or encountered while 
performing a duty for the railroad.
    (c) An electronic device to take a photograph of a safety hazard or 
a violation of a rail safety law, regulation, order, or standard, 
provided that--
    (1) A camera that is part of a cell phone or other similar multi-
functional electronic device is not included in this exception unless it 
is a railroad-supplied device and is used for an authorized business 
purpose;
    (2) The camera, unless otherwise permitted, is turned off 
immediately after the documentation has been made; and
    (3) If the camera is used in the cab of a moving train, the use is 
only by a crewmember other than the locomotive engineer.
    (d) A stand-alone calculator if used for an authorized business 
purpose.
    (e) A medical device that is consistent with the railroad's 
standards for medical fitness for duty.
    (f) A wireless communication device to conduct train or switching 
operations if the railroad operating employee is part of a crew assigned 
to a train that is exempt under Sec. 220.9(b) from the requirement of a 
working radio when the employing railroad has fewer than 400,000 annual 
employee work hours.



Sec. 220.311  Railroad operating employees in deadhead status.

    (a) Notwithstanding any other restrictions in this subpart, a 
railroad operating employee who is in deadhead status and not inside the 
cab of a controlling locomotive may use an electronic device only if the 
employee is not using the device in such a way that interferes with any 
railroad operating employee's personal safety or performance of safety-
related duties.
    (b) A railroad operating employee who is in deadhead status and 
located inside the cab of a controlling locomotive must have each 
electronic device turned off with any earpiece removed from the ear--
    (1) When on a moving train;
    (2) When any member of the crew is--
    (i) On the ground, or
    (ii) Riding rolling equipment during a switching operation; or
    (3) When any railroad employee is assisting in preparation of the 
train for movement.

[[Page 371]]



Sec. 220.313  Instruction.

    (a) Program. Beginning December 27, 2010, each railroad shall 
maintain a written program of instruction and examination of each 
railroad operating employee and each supervisor of the railroad 
operating employee on the meaning and application of the railroad's 
operating rules implementing the requirements of this subpart if these 
requirements are pertinent to the employee's duties. If all requirements 
of this subpart are satisfied, a railroad may consolidate any portion of 
the instruction or examination required by this subpart with the program 
of instruction required under Sec. 217.11 of this chapter.
    (1) The written program of instruction and examination shall address 
the requirements of this subpart, as well as consequences of 
noncompliance.
    (2) The written program of instruction and examination shall 
include, but is not limited to, an explanation of the following:
    (i) When a railroad operating employee must have personal electronic 
devices turned off with the earpiece removed from the ear as required by 
this subpart.
    (ii) If a railroad supplies an electronic device to its railroad 
operating employees, when a railroad operating employee may use such a 
device. The employee must be instructed on what constitutes an 
authorized business purpose.
    (iii) The potential penalties and other consequences of committing a 
violation of this subpart, both those imposed by the Federal Railroad 
Administration (FRA) and those imposed by the railroad, as well as any 
distinction between the requirements of this subpart and any more 
stringent requirements imposed by the railroad and the related 
distinction between the two sets of potential consequences.
    (b) Implementation schedule. Each employee performing duties subject 
to the requirements in this subpart shall be initially instructed prior 
to March 28, 2011.
    (1) Beginning March 28, 2011, no employee shall perform work 
requiring compliance with the operating rules implementing the 
requirements of this subpart unless the employee has been instructed on 
requirements of this subpart within the previous three years.
    (2) The records of successful completion of instruction and 
examination required by this section shall document the instruction of 
each employee under this subpart.
    (c) Records. Written records documenting successful completion of 
instruction and examination of each employee and of his or her 
supervisors shall be made and shall be retained at the railroad's system 
headquarters and at the division headquarters for each division where 
the employee is assigned for three calendar years after the end of the 
calendar year to which they relate and made available to representatives 
of FRA for inspection and copying during normal business hours. Each 
railroad to which this part applies is authorized to retain a program, 
or any records maintained to prove compliance with such a program, by 
electronic recordkeeping in accordance with Sec. Sec. 217.9(g) and 
217.11(c) of this chapter.
    (d) Approval process. Upon review of the program of instruction and 
examination required by this section, the Associate Administrator for 
Railroad Safety/Chief Safety Officer may, for cause stated, disapprove 
the program. Notification of such disapproval shall be made in writing 
and specify the basis for the disapproval.
    (1) If the Associate Administrator for Railroad Safety/Chief Safety 
Officer disapproves the program, the railroad has 35 days from the date 
of the written notification of such disapproval to--
    (i) Amend its program and submit it to the Associate Administrator 
for Railroad Safety/Chief Safety Officer for approval; or
    (ii) Provide a written response in support of the program to the 
Associate Administrator for Railroad Safety/Chief Safety Officer, who 
informs the railroad of FRA's final decision in writing.
    (2) A failure to submit the program with the necessary revisions to 
the Associate Administrator for Railroad Safety/Chief Safety Officer in 
accordance with this paragraph is considered a failure to implement a 
program under this subpart.

[[Page 372]]



Sec. 220.315  Operational tests and inspections; further restrictions
on use of electronic devices.

    (a) The railroad's program of operational tests and inspections 
under part 217 of this chapter shall be revised as necessary to include 
this subpart and shall specifically include a minimum number of 
operational tests and inspections, subject to adjustment as appropriate.
    (b) When conducting a test or inspection under part 217 of this 
chapter, a railroad officer, manager, or supervisor is prohibited from 
calling the personal electronic device or the railroad-supplied 
electronic device used by a railroad operating employee while the 
railroad officer, manager, or supervisor knows or should have known 
that--
    (1) The train to which the employee is assigned is moving;
    (2) The employee is--
    (i) On the ground;
    (ii) Riding rolling equipment during switching operations; or
    (iii) Assisting in preparation of the train to which the employee is 
assigned for movement.



       Sec. 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
    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 
does not exist in 49 CFR parts 200 to 399, revised as of Oct. 1, 1997.



   Sec. 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 \2\                    Violation    violation
------------------------------------------------------------------------
220.9 Requirements for trains.................       $5,000       $7,500
220.11 Requirements for roadway workers.......        5,000        7,500
220.21 Railroad Operating rules; radio
 communications
    (a).......................................        5,000        7,500

[[Page 373]]

 
    (b).......................................        2,500        5,000
220.23 Publication of radio information.......        2,500        5,000
220.25 Instruction of employees...............        5,000        7,500
220.27 Identification.........................        1,000        2,000
220.29 Statement of letters and numbers.......        1,000        2,000
220.31 Initiating a transmission..............        1,000        2,000
220.33 Receiving a transmission...............        1,000        2,000
220.35 Ending a transmission..................        1,000        2,000
220.37 Voice test.............................        5,000        7,500
220.39 Continuous monitoring..................        2,500        5,000
220.41 [Reserved].............................  ...........  ...........
220.43 Communication consistent with the rules        2,500        5,000
220.45 Complete communications................        2,500        5,000
220.47 Emergencies............................        2,500        5,000
220.49 Switching, backing or pushing..........        5,000        7,500
220.51 Signal indications.....................        5,000        7,500
220.61 Radio transmission of mandatory                5,000        7,500
 directives...................................
         Subpart C--Electronic Devices
220.302 Operating rules.......................        9,500       17,000
220.303 General; interfering with safety-             9,500       17,000
 related duties...............................
220.305 Personal electronic device turned on          5,500       10,000
 while prohibited
    (a)-(c) Personal device in use while              9,500       17,000
     prohibited...............................
220.307 Railroad-supplied device turned on            5,500       10,000
 while prohibited
    (a) Use not authorized by railroad in             9,500       17,000
     writing..................................
    (b)-(d) Railroad-supplied devices in use          9,500       17,000
     while prohibited.........................
220.311 Railroad operating employees in
 deadhead status:
    (a).......................................        9,500       17,000
    (b) Devices turned on while prohibited; or        5,500       10,000
    device in use while prohibited............        9,500       17,000
220.313 Program of instruction:
    (a)-(d)...................................        9,500       17,000
220.315 Operational tests and inspections:
    (a)-(b)...................................        9,500       17,000
------------------------------------------------------------------------
\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
  $109,819 for any violation where circumstances warrant. See 49 CFR
  part 209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 220. If
  more than one item is listed as a type of violation of a given
  section, each item is also designated by a ``penalty code,'' which is
  used to facilitate assessment of civil penalties, and which may or may
  not correspond to any subsection designation(s). For convenience,
  penalty citations will cite the CFR section and the penalty code, if
  any. FRA reserves the right, should litigation become necessary, to
  substitute in its complaint the CFR citation in place of the combined
  CFR and penalty code citation, should they differ.


[63 FR 47195, Sept. 4, 1998, as amended at 69 FR 30593, May 28, 2004; 73 
FR 79702, Dec. 30, 2008; 75 FR 59604, Sept. 27, 2010; 77 FR 24420, Apr. 
24, 2012; 81 FR 43110, July 1, 2016]



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; 28 U.S.C. 2461, note; and 49 CFR 
1.89.

    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

[[Page 374]]

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 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 $839 and not more than $27,455 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

[[Page 375]]

penalty not to exceed $109,819 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; 69 FR 30593, May 28, 2004; 72 FR 51197, 
Sept. 6, 2007; 73 FR 79702, Dec. 30, 2008; 77 FR 24420, Apr. 24, 2012; 
81 FR 43110, July 1, 2016]



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.
    (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

[[Page 376]]

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]



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.



Sec. 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

[[Page 377]]

be obtained from the Office of Safety, Federal Railroad Administration, 
1200 New Jersey Avenue, SE., 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 15 degree points 
in the horizontal plane, the beam candela at the 5 
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 light 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, the on-axis beam candela, the beam 
candela at the 15 degree points in the horizontal 
plane, the beam candela at the 15 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 
with the Office of Standards and Procedures, Office of Safety, Federal 
Railroad Administration, 1200

[[Page 378]]

New Jersey Avenue, SE., Washington, DC 20590.

[42 FR 62004, Dec. 8, 1977, as amended at 74 FR 25173, May 27, 2009]



     Sec. 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., \1\ 40 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]



      Sec. 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
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 $109,819 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, as amended at 69 FR 62818, Oct. 28, 2004; 
73 FR 79702, Dec. 30, 2008; 77 FR 24420, Apr. 24, 2012; 81 FR 43110, 
July 1, 2016]



PART 222_USE OF LOCOMOTIVE HORNS AT PUBLIC HIGHWAY-RAIL GRADE CROSSINGS
--Table of Contents



                            Subpart A_General

Sec.
222.1 What is the purpose of this regulation?
222.3 What areas does this regulation cover?
222.5 What railroads does this regulation apply to?
222.7 What is this regulation's effect on State and local laws and 
          ordinances?
222.9 Definitions.
222.11 What are the penalties for failure to comply with this 
          regulation?
222.13 Who is responsible for compliance?
222.15 How does one obtain a waiver of a provision of this regulation?
222.17 How can a State agency become a recognized State agency?

                    Subpart B_Use of Locomotive Horns

222.21 When must a locomotive horn be used?
222.23 How does this regulation affect sounding of a horn during an 
          emergency or other situations?

[[Page 379]]

222.25 How does this rule affect private highway-rail grade crossings?
222.27 How does this rule affect pedestrian grade crossings?

         Subpart C_Exceptions to the Use of the Locomotive Horn

222.31 [Reserved]

                 Silenced Horns at Individual Crossings

222.33 Can locomotive horns be silenced at an individual public highway-
          rail grade crossing which is not within a quiet zone?

           Silenced Horns at Groups of Crossings--Quiet Zones

222.35 What are minimum requirements for quiet zones?
222.37 Who may establish a quiet zone?
222.38 Can a quiet zone be created in the Chicago Region?
222.39 How is a quiet zone established?
222.41 How does this rule affect Pre-Rule Quiet Zones and Pre-Rule 
          Partial Quiet Zones?
222.42 How does this rule affect Intermediate Quiet Zones and 
          Intermediate Partial Quiet Zones?
222.43 What notices and other information are required to create or 
          continue a quiet zone?
222.45 When is a railroad required to cease routine sounding of 
          locomotive horns at crossings?
222.47 What periodic updates are required?
222.49 Who may file Grade Crossing Inventory Forms?
222.51 Under what conditions will quiet zone status be terminated?
222.53 What are the requirements for supplementary and alternative 
          safety measures?
222.55 How are new supplementary or alternative safety measures 
          approved?
222.57 Can parties seek review of the Associate Administrator's actions?
222.59 When may a wayside horn be used?

Appendix A to Part 222--Approved Supplementary Safety Measures
Appendix B to Part 222--Alternative Safety Measures
Appendix C to Part 222--Guide to Establishing Quiet Zones
Appendix D to Part 222--Determining Risk Levels
Appendix E to Part 222--Requirements for Wayside Horns
Appendix F to Part 222--Diagnostic Team Considerations
Appendix G to Part 222--Excess Risk Estimates for Public Highway-Rail 
          Grade Crossings
Appendix H to Part 222--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107, 20153, 21301, 21304; 28 U.S.C. 
2461, note; and 49 CFR 1.89.

    Source: 71 FR 47634, Aug. 17, 2006, unless otherwise noted.



                            Subpart A_General



Sec. 222.1  What is the purpose of this regulation?

    The purpose of this part is to provide for safety at public highway-
rail grade crossings by requiring locomotive horn use at public highway-
rail grade crossings except in quiet zones established and maintained in 
accordance with this part.



Sec. 222.3  What areas does this regulation cover?

    (a) This part prescribes standards for sounding locomotive horns 
when locomotives approach and pass through public highway-rail grade 
crossings. This part also provides standards for the creation and 
maintenance of quiet zones within which locomotive horns need not be 
sounded.
    (b) The provisions of this part are separate and severable from one 
another. If any provision is stayed or determined to be invalid, it is 
the intent of FRA that the remaining provisions shall continue in 
effect.
    (c) This part does not apply to any Chicago Region highway-rail 
grade crossing where the railroad was excused from sounding the 
locomotive horn by the Illinois Commerce Commission, and where the 
railroad did not sound the horn, as of December 18, 2003.



Sec. 222.5  What railroads does this regulation apply to?

    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) Passenger railroads that operate only on track which is not part 
of the general railroad system of transportation and that operate at a 
maximum speed of 15 miles per hour over public highway-rail grade 
crossings; and
    (c) Rapid transit operations within an urban area that are not 
connected

[[Page 380]]

to the general railroad system of transportation. See 49 CFR part 209, 
appendix A for the definitive statement of the meaning of the preceding 
sentence.



Sec. 222.7  What is this regulation's effect on State and local laws
and ordinances?

    (a) Except as provided in paragraph (b) of this section, issuance of 
this part preempts any State law, rule, regulation, or order governing 
the sounding of the locomotive horn at public highway-rail grade 
crossings, in accordance with 49 U.S.C. 20106.
    (b) This part does not preempt any State law, rule, regulation, or 
order governing the sounding of locomotive audible warning devices at 
any highway-rail grade crossing described in Sec. 222.3(c) of this 
part.
    (c) Except as provided in Sec. Sec. 222.25 and 222.27, this part 
does not preempt any State law, rule, regulation, or order governing the 
sounding of locomotive horns at private highway-rail grade crossings or 
pedestrian crossings.
    (d) Inclusion of SSMs and ASMs in this part or approved subsequent 
to issuance of this part does not constitute federal preemption of State 
law regarding whether those measures may be used for traffic control. 
Individual states may continue to determine whether specific SSMs or 
ASMs are appropriate traffic control measures for that State, consistent 
with Federal Highway Administration regulations and the MUTCD. However, 
except for the SSMs and ASMs implemented at highway-rail grade crossings 
described in Sec. 222.3(c) of this part, inclusion of SSMs and ASMs in 
this part does constitute federal preemption of State law concerning the 
sounding of the locomotive horn in relation to the use of those 
measures.
    (e) Issuance of this part does not constitute federal preemption of 
administrative procedures required under State law regarding the 
modification or installation of engineering improvements at highway-rail 
grade crossings.



Sec. 222.9  Definitions.

    As used in this part--
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Alternative safety measures (ASM) means a safety system or 
procedure, other than an SSM, established in accordance with this part 
which is provided by the appropriate traffic control authority or law 
enforcement authority and which, after individual review and analysis by 
the Associate Administrator, is determined to be an effective substitute 
for the locomotive horn in the prevention of highway-rail casualties at 
specific highway-rail grade crossings. Appendix B to this part lists 
such measures.
    Associate Administrator means the Associate Administrator for Safety 
of the Federal Railroad Administration or the Associate Administrator's 
delegate.
    Channelization device means a traffic separation system made up of a 
raised longitudinal channelizer, with vertical panels or tubular 
delineators, that is placed between opposing highway lanes designed to 
alert or guide traffic around an obstacle or to direct traffic in a 
particular direction. ``Tubular markers'' and ``vertical panels'', as 
described in the MUTCD, are acceptable channelization devices for 
purposes of this part. Additional design specifications are determined 
by the standard traffic design specifications used by the governmental 
entity constructing the channelization device.
    Chicago Region means the following six counties in the State of 
Illinois: Cook, DuPage, Lake, Kane, McHenry and Will.
    Crossing Corridor Risk Index means a number reflecting a measure of 
risk to the motoring public at public grade crossings along a rail 
corridor, calculated in accordance with the procedures in appendix D of 
this part, representing the average risk at each public crossing within 
the corridor. This risk level is determined by averaging among all 
public crossings within the corridor, the product of the number of 
predicted collisions per year and the predicted likelihood and severity 
of casualties resulting from those collisions at each public crossing 
within the corridor.
    Diagnostic team as used in this part, means a group of knowledgeable 
representatives of parties of interest in a

[[Page 381]]

highway-rail grade crossing, organized by the public authority 
responsible for that crossing, who, using crossing safety management 
principles, evaluate conditions at a grade crossing to make 
determinations or recommendations for the public authority concerning 
safety needs at that crossing.
    Effectiveness rate means a number between zero and one which 
represents the reduction of the likelihood of a collision at a public 
highway-rail grade crossing as a result of the installation of an SSM or 
ASM when compared to the same crossing equipped with conventional active 
warning systems of flashing lights and gates. Zero effectiveness means 
that the SSM or ASM provides no reduction in the probability of a 
collision, while an effectiveness rating of one means that the SSM or 
ASM is totally effective in eliminating collision risk. Measurements 
between zero and one reflect the percentage by which the SSM or ASM 
reduces the probability of a collision.
    FRA means the Federal Railroad Administration.
    Grade Crossing Inventory Form means the U.S. DOT National Highway-
Rail Grade Crossing Inventory Form, FRA Form F6180.71. This form is 
available through the FRA's Office of Safety, or on FRA's Web site at 
http://www.fra.dot.gov.
    Intermediate Partial Quiet Zone means a segment of a rail line 
within which is situated one or a number of consecutive public highway-
rail grade crossings at which State statutes or local ordinances 
restricted the routine sounding of locomotive horns for a specified 
period of time during the evening or nighttime hours, or at which 
locomotive horns did not sound due to formal or informal agreements 
between the community and the railroad or railroads for a specified 
period of time during the evening and/or nighttime hours, and at which 
such statutes, ordinances or agreements were in place and enforced or 
observed as of December 18, 2003, but not as of October 9, 1996.
    Intermediate Quiet Zone means a segment of a rail line within which 
is situated one or a number of consecutive public highway-rail grade 
crossings at which State statutes or local ordinances restricted the 
routine sounding of locomotive horns, or at which locomotive horns did 
not sound due to formal or informal agreements between the community and 
the railroad or railroads, and at which such statutes, ordinances or 
agreements were in place and enforced or observed as of December 18, 
2003, but not as of October 9, 1996.
    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.
    Locomotive audible warning device means a horn, whistle, siren, or 
bell affixed to a locomotive that is capable of producing an audible 
signal.
    Locomotive horn means a locomotive air horn, steam whistle, or 
similar audible warning device (see 49 CFR 229.129) mounted on a 
locomotive or control cab car. The terms ``locomotive horn'', ``train 
whistle'', ``locomotive whistle'', and ``train horn'' are used 
interchangeably in the railroad industry. For purposes of this part, 
locomotive horns used in rapid transit operations must be suitable for 
street usage and/or designed in accordance with State law requirements.
    Median means the portion of a divided highway separating the travel 
ways for traffic in opposite directions.
    MUTCD means the Manual on Uniform Traffic Control Devices published 
by the Federal Highway Administration.
    Nationwide Significant Risk Threshold means a number reflecting a 
measure of risk, calculated on a nationwide basis, which reflects the 
average level of risk to the motoring public at public highway-rail 
grade crossings equipped with flashing lights and gates and at which 
locomotive horns are sounded. For purposes of this rule, a risk level 
above the Nationwide Significant Risk Threshold represents a significant 
risk with respect to loss of life or serious

[[Page 382]]

personal injury. The Nationwide Significant Risk Threshold is calculated 
in accordance with the procedures in appendix D of this part. Unless 
otherwise indicated, references in this part to the Nationwide 
Significant Risk Threshold reflect its level as last published by FRA in 
the Federal Register.
    New Partial Quiet Zone means a segment of a rail line within which 
is situated one or a number of consecutive public highway-rail crossings 
at which locomotive horns are not routinely sounded between the hours of 
10 p.m. and 7 a.m., but are routinely sounded during the remaining 
portion of the day, and which does not qualify as a Pre-Rule Partial 
Quiet Zone or an Intermediate Partial Quiet Zone.
    New Quiet Zone means a segment of a rail line within which is 
situated one or a number of consecutive public highway-rail grade 
crossings at which routine sounding of locomotive horns is restricted 
pursuant to this part and which does not qualify as either a Pre-Rule 
Quiet Zone or Intermediate Quiet Zone.
    Non-traversable curb means a highway curb designed to discourage a 
motor vehicle from leaving the roadway. Non-traversable curbs are used 
at locations where highway speeds do not exceed 40 miles per hour and 
are at least six inches high. Additional design specifications are 
determined by the standard traffic design specifications used by the 
governmental entity constructing the curb.
    Partial Quiet Zone means a segment of a rail line within which is 
situated one or a number of consecutive public highway-rail grade 
crossings at which locomotive horns are not routinely sounded for a 
specified period of time during the evening and/or nighttime hours.
    Pedestrian grade crossing means, for purposes of this part, a 
separate designed sidewalk or pathway where pedestrians, but not 
vehicles, cross railroad tracks. Sidewalk crossings contiguous with, or 
separate but adjacent to, public highway-rail grade crossings are 
presumed to be part of the public highway-rail grade crossing and are 
not considered pedestrian grade crossings.
    Power-out indicator means a device which is capable of indicating to 
trains approaching a grade crossing equipped with an active warning 
system whether commercial electric power is activating the warning 
system at that crossing. This term includes remote health monitoring of 
grade crossing warning systems if such monitoring system is equipped to 
indicate power status.
    Pre-existing Modified Supplementary Safety Measure (Pre-existing 
Modified SSM) means a safety system or procedure that is listed in 
appendix A to this Part, but is not fully compliant with the standards 
set forth therein, which was installed before December 18, 2003 by the 
appropriate traffic control or law enforcement authority responsible for 
safety at the highway-rail grade crossing. The calculation of risk 
reduction credit for pre-existing modified SSMs is addressed in appendix 
B of this part.
    Pre-existing Supplementary Safety Measure (Pre-existing SSM) means a 
safety system or procedure established in accordance with this part 
before December 18, 2003 which was provided by the appropriate traffic 
control or law enforcement authority responsible for safety at the 
highway-rail grade crossing. These safety measures must fully comply 
with the SSM requirements set forth in appendix A of this part. The 
calculation of risk reduction credit for qualifying pre-existing SSMs is 
addressed in appendix A.
    Pre-Rule Partial Quiet Zone means a segment of a rail line within 
which is situated one or a number of consecutive public highway-rail 
crossings at which State statutes or local ordinances restricted the 
routine sounding of locomotive horns for a specified period of time 
during the evening and/or nighttime hours, or at which locomotive horns 
did not sound due to formal or informal agreements between the community 
and the railroad or railroads for a specified period of time during the 
evening and/or nighttime hours, and at which such statutes, ordinances 
or agreements were in place and enforced or observed as of October 9, 
1996 and on December 18, 2003.
    Pre-Rule Quiet Zone means a segment of a rail line within which is 
situated

[[Page 383]]

one or a number of consecutive public highway-rail crossings at which 
State statutes or local ordinances restricted the routine sounding of 
locomotive horns, or at which locomotive horns did not sound due to 
formal or informal agreements between the community and the railroad or 
railroads, and at which such statutes, ordinances or agreements were in 
place and enforced or observed as of October 9, 1996 and on December 18, 
2003.
    Private highway-rail grade crossing means, for purposes of this 
part, a highway-rail grade crossing which is not a public highway-rail 
grade crossing.
    Public authority means the public entity responsible for traffic 
control or law enforcement at the public highway-rail grade or 
pedestrian crossing.
    Public highway-rail grade crossing means, for purposes of this part, 
a location where a public highway, road, or street, including associated 
sidewalks or pathways, crosses one or more railroad tracks at grade. If 
a public authority maintains the roadway on both sides of the crossing, 
the crossing is considered a public crossing for purposes of this part.
    Quiet zone means a segment of a rail line, within which is situated 
one or a number of consecutive public highway-rail crossings at which 
locomotive horns are not routinely sounded.
    Quiet Zone Risk Index means a measure of risk to the motoring public 
which reflects the Crossing Corridor Risk Index for a quiet zone, after 
adjustment to account for increased risk due to lack of locomotive horn 
use at the crossings within the quiet zone (if horns are presently 
sounded at the crossings) and reduced risk due to implementation, if 
any, of SSMs and ASMs with the quiet zone. The calculation of the Quiet 
Zone Risk Index, which is explained in appendix D of this part, does not 
differ for partial quiet zones.
    Railroad means any form of non-highway ground transportation that 
runs on rails or electromagnetic guideways and any entity providing such 
transportation, including:
    (1) 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
    (2) 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.
    Recognized State agency means, for purposes of this part, a State 
agency, responsible for highway-rail grade crossing safety or highway 
and road safety, that has applied for and been approved by FRA as a 
participant in the quiet zone development process.
    Relevant collision means a collision at a highway-rail grade 
crossing between a train and a motor vehicle, excluding the following: a 
collision resulting from an activation failure of an active grade 
crossing warning system; a collision in which there is no driver in the 
motor vehicle; or a collision in which the highway vehicle struck the 
side of the train beyond the fourth locomotive unit or rail car. With 
respect to Pre-Rule Partial Quiet Zones, a relevant collision shall not 
include collisions that occur during the time period within which the 
locomotive horn is routinely sounded.
    Risk Index With Horns means a measure of risk to the motoring public 
when locomotive horns are routinely sounded at every public highway-rail 
grade crossing within a quiet zone. In Pre-Rule Quiet Zones and Pre-Rule 
Partial Quiet Zones, the Risk Index With Horns is determined by 
adjusting the Crossing Corridor Risk Index to account for the decreased 
risk that would result if locomotive horns were routinely sounded at 
each public highway-rail grade crossing.
    Supplementary safety measure (SSM) means a safety system or 
procedure established in accordance with this part which is provided by 
the appropriate traffic control authority or law enforcement authority 
responsible for safety at the highway-rail grade crossing, that is 
determined by the Associate Administrator to be an effective substitute 
for the locomotive horn in

[[Page 384]]

the prevention of highway-rail casualties. Appendix A of this part lists 
such SSMs.
    Waiver means a temporary or permanent modification of some or all of 
the requirements of this part as they apply to a specific party under a 
specific set of facts. Waiver does not refer to the process of 
establishing quiet zones or approval of quiet zones in accordance with 
the provisions of this part.
    Wayside horn means a stationary horn located at a highway rail grade 
crossing, designed to provide, upon the approach of a locomotive or 
train, audible warning to oncoming motorists of the approach of a train.



Sec. 222.11  What are the penalties for failure to comply with this
regulation?

    Any person who violates any requirement of this part or causes the 
violation of any such requirement is subject to a civil penalty of least 
$839 and not more than $27,455 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 $109,819 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. Appendix H of this part contains a schedule of civil 
penalty amounts used in connection with this part.

[71 FR 47634, Aug. 17, 2006, as amended at 72 FR 51197, Sept. 6, 2007; 
73 FR 79702, Dec. 30, 2008; 74 FR 46394, Sept. 9, 2009; 77 FR 24420, 
Apr. 24, 2012; 81 FR 43110, July 1, 2016]



Sec. 222.13  Who is responsible for compliance?

    Any person, including but not limited to a railroad, contractor for 
a railroad, or a local or State governmental entity that performs any 
function covered by this part, must perform that function in accordance 
with this part.



Sec. 222.15  How does one obtain a waiver of a provision of this 
regulation?

    (a) Except as provided in paragraph (b) of this section, two parties 
must jointly file a petition (request) for a waiver. They are the 
railroad owning or controlling operations over the railroad tracks 
crossing the public highway-rail grade crossing and the public authority 
which has jurisdiction over the roadway crossing the railroad tracks.
    (b) If the railroad and the public authority cannot reach agreement 
to file a joint petition, either party may file a request for a waiver; 
however, the filing party must specify in its petition the steps it has 
taken in an attempt to reach agreement with the other party, and explain 
why applying the requirement that a joint submission be made in that 
instance would not be likely to contribute significantly to public 
safety. If the Associate Administrator determines that applying the 
requirement for a jointly filed submission to that particular petition 
would not be likely to significantly contribute to public safety, the 
Associate Administrator shall waive the requirement for joint submission 
and accept the petition for consideration. The filing party must also 
provide the other party with a copy of the petition filed with FRA.
    (c) Each petition for waiver must be filed in accordance with 49 CFR 
part 211.
    (d) If the Administrator finds that a waiver of compliance with a 
provision of this part is in the public interest and consistent with the 
safety of highway and railroad users, the Administrator may grant the 
waiver subject to any conditions the Administrator deems necessary.



Sec. 222.17  How can a State agency become a recognized State agency?

    (a) Any State agency responsible for highway-rail grade crossing 
safety and/or highway and road safety may become a recognized State 
agency by submitting an application to the Associate Administrator that 
contains:
    (1) A detailed description of the proposed scope of involvement in 
the quiet zone development process;
    (2) The name, address, and telephone number of the person(s) who may 
be

[[Page 385]]

contacted to discuss the State agency application; and
    (3) A statement from State agency counsel which affirms that the 
State agency is authorized to undertake the responsibilities proposed in 
its application.
    (b) The Associate Administrator will approve the application if, in 
the Associate Administrator's judgment, the proposed scope of State 
agency involvement will facilitate safe and effective quiet zone 
development. The Associate Administrator may include in any decision of 
approval such conditions as he/she deems necessary and appropriate.



                    Subpart B_Use of Locomotive Horns



Sec. 222.21  When must a locomotive horn be used?

    (a) Except as provided in this part, the locomotive horn on the lead 
locomotive of a train, lite locomotive consist, individual locomotive or 
lead cab car shall be sounded when such locomotive or lead cab car is 
approaching a public highway-rail grade crossing. Sounding of the 
locomotive horn with two long blasts, one short blast and one long blast 
shall be initiated at a location so as to be in accordance with 
paragraph (b) of this section and shall be repeated or prolonged until 
the locomotive occupies the crossing. This pattern may be varied as 
necessary where crossings are spaced closely together.
    (b)(1) Railroads to which this part applies shall comply with all 
the requirements contained in this paragraph (b) beginning on December 
15, 2006. On and after June 24, 2005, but prior to December 15, 2006, a 
railroad shall, at its option, comply with this section or shall sound 
the locomotive horn in the manner required by State law, or in the 
absence of State law, in the manner required by railroad operating rules 
in effect immediately prior to June 24, 2005.
    (2) Except as provided in paragraphs (b)(3) and (d) of this section, 
or when the locomotive horn is defective and the locomotive is being 
moved for repair consistent with section 229.9 of this chapter, the 
locomotive horn shall begin to be sounded at least 15 seconds, but no 
more than 20 seconds, before the locomotive enters the crossing. It 
shall not constitute a violation of this section if, acting in good 
faith, a locomotive engineer begins sounding the locomotive horn not 
more than 25 seconds before the locomotive enters the crossing, if the 
locomotive engineer is unable to precisely estimate the time of arrival 
of the train at the crossing for whatever reason.
    (3) Trains, locomotive consists and individual locomotives traveling 
at speeds in excess of 60 mph shall not begin sounding the horn more 
than one-quarter mile (1,320 feet) in advance of the nearest public 
highway-rail grade crossing, even if the advance warning provided by the 
locomotive horn will be less than 15 seconds in duration.
    (c) As stated in Sec. 222.3(c) of this part, this section does not 
apply to any Chicago Region highway-rail grade crossing at which 
railroads were excused from sounding the locomotive horn by the Illinois 
Commerce Commission, and where railroads did not sound the horn, as of 
December 18, 2003.
    (d) Trains, locomotive consists and individual locomotives that have 
stopped in close proximity to a public highway-rail grade crossing may 
approach the crossing and sound the locomotive horn for less than 15 
seconds before the locomotive enters the highway-rail grade crossing, if 
the locomotive engineer is able to determine that the public highway-
rail grade crossing is not obstructed and either:
    (1) The public highway-rail grade crossing is equipped with 
automatic flashing lights and gates and the gates are fully lowered; or
    (2) There are no conflicting highway movements approaching the 
public highway-rail grade crossing.
    (e) Where State law requires the sounding of a locomotive audible 
warning device other than the locomotive horn at public highway-rail 
grade crossings, that locomotive audible warning device shall be sounded 
in accordance with paragraphs (b) and (d) of this section.

[[Page 386]]



Sec. 222.23  How does this regulation affect sounding of a horn during
an emergency or other situations?

    (a)(1) Notwithstanding any other provision of this part, a 
locomotive engineer may sound the locomotive horn to provide a warning 
to animals, vehicle operators, pedestrians, trespassers or crews on 
other trains in an emergency situation if, in the locomotive engineer's 
sole judgment, such action is appropriate in order to prevent imminent 
injury, death, or property damage.
    (2) Notwithstanding any other provision of this part, including 
provisions addressing the establishment of a quiet zone, limits on the 
length of time in which a horn may be sounded, or installation of 
wayside horns within quiet zones, this part does not preclude the 
sounding of locomotive horns in emergency situations, nor does it impose 
a legal duty to sound the locomotive horn in such situations.
    (b) Nothing in this part restricts the use of the locomotive horn in 
the following situations:
    (1) When a wayside horn is malfunctioning;
    (2) When active grade crossing warning devices have malfunctioned 
and use of the horn is required by one of the following sections of this 
chapter: Sec. Sec. 234.105, 234.106, or 234.107;
    (3) When grade crossing warning systems are temporarily out of 
service during inspection, maintenance, or testing of the system; or
    (4) When SSMs, modified SSMs or engineering SSMs no longer comply 
with the requirements set forth in appendix A of this part or the 
conditions contained within the Associate Administrator's decision to 
approve the quiet zone in accordance with section 222.39(b) of this 
part.
    (c) Nothing in this part restricts the use of the locomotive horn 
for purposes other than highway-rail crossing safety (e.g., to announce 
the approach of a train to roadway workers in accordance with a program 
adopted under part 214 of this chapter, or where required for other 
purposes under railroad operating rules).



Sec. 222.25  How does this rule affect private highway-rail grade
crossings?

    This rule does not require the routine sounding of locomotive horns 
at private highway-rail grade crossings. However, where State law 
requires the sounding of a locomotive horn at private highway-rail grade 
crossings, the locomotive horn shall be sounded in accordance with Sec. 
222.21 of this part. Where State law requires the sounding of a 
locomotive audible warning device other than the locomotive horn at 
private highway-rail grade crossings, that locomotive audible warning 
device shall be sounded in accordance with Sec. Sec. 222.21(b) and (d) 
of this part.
    (a) Private highway-rail grade crossings located within the 
boundaries of a quiet zone must be included in the quiet zone.
    (b)(1) Private highway-rail grade crossings that are located in New 
Quiet Zones or New Partial Quiet Zones and allow access to the public, 
or which provide access to active industrial or commercial sites, must 
be evaluated by a diagnostic team and equipped or treated in accordance 
with the recommendations of such diagnostic team.
    (2) The public authority shall provide the State agency responsible 
for grade crossing safety and all affected railroads an opportunity to 
participate in the diagnostic team review of private highway-rail grade 
crossings.
    (c)(1) At a minimum, each approach to every private highway-rail 
grade crossing within a New Quiet Zone or New Partial Quiet Zone shall 
be marked by a crossbuck and a ``STOP'' sign, which are compliant with 
MUTCD standards unless otherwise prescribed by State law, and shall be 
equipped with advance warning signs in compliance with Sec. 222.35(c) 
of this part.
    (2) At a minimum, each approach to every private highway-rail grade 
crossing within a Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone 
shall, by June 24, 2008, be marked by a crossbuck and a ``STOP'' sign, 
which are compliant with MUTCD standards unless otherwise prescribed by 
State law, and shall be equipped with advance warning signs in 
compliance with Sec. 222.35(c) of this part.

[[Page 387]]



Sec. 222.27  How does this rule affect pedestrian grade crossings?

    This rule does not require the routine sounding of locomotive horns 
at pedestrian grade crossings. However, where State law requires the 
sounding of a locomotive horn at pedestrian grade crossings, the 
locomotive horn shall be sounded in accordance with Sec. 222.21 of this 
part. Where State law requires the sounding of a locomotive audible 
warning device other than the locomotive horn at pedestrian grade 
crossings, that locomotive audible warning device shall be sounded in 
accordance with Sec. Sec. 222.21(b) and (d) of this part.
    (a) Pedestrian grade crossings located within the boundaries of a 
quiet zone must be included in the quiet zone.
    (b) Pedestrian grade crossings that are located in New Quiet Zones 
or New Partial Quiet Zones must be evaluated by a diagnostic team and 
equipped or treated in accordance with the recommendations of such 
diagnostic team.
    (c) The public authority shall provide the State agency responsible 
for grade crossing safety and all affected railroads an opportunity to 
participate in diagnostic team reviews of pedestrian grade crossings.
    (d) Advance warning signs. (1) Each approach to every pedestrian 
grade crossing within a New Quiet Zone shall be equipped with a sign 
that advises the pedestrian that train horns are not sounded at the 
crossing. Such sign shall conform to the standards contained in the 
MUTCD.
    (2) Each approach to every pedestrian grade crossing within a New 
Partial Quiet Zone shall be equipped with a sign that advises the 
pedestrian that train horns are not sounded at the crossing or that 
train horns are not sounded at the crossing between the hours of 10 p.m. 
and 7 a.m., whichever is applicable. Such sign shall conform to the 
standards contained in the MUTCD.
    (3) Each approach to every pedestrian grade crossing within a Pre-
Rule Quiet Zone shall be equipped by June 24, 2008 with a sign that 
advises the pedestrian that train horns are not sounded at the crossing. 
Such sign shall conform to the standards contained in the MUTCD.
    (4) Each approach to every pedestrian grade crossing within a Pre-
Rule Partial Quiet Zone shall be equipped by June 24, 2008 with a sign 
that advises the pedestrian that train horns are not sounded at the 
crossing or that train horns are not sounded at the crossing for a 
specified period of time, whichever is applicable. Such sign shall 
conform to the standards contained in the MUTCD.



         Subpart C_Exceptions to the Use of the Locomotive Horn



Sec. 222.31  [Reserved]

                 Silenced Horns at Individual Crossings



Sec. 222.33  Can locomotive horns be silenced at an individual public
highway-rail grade crossing which is not within a quiet zone?

    (a) A railroad operating over an individual public highway-rail 
crossing may, at its discretion, cease the sounding of the locomotive 
horn if the locomotive speed is 15 miles per hour or less and train crew 
members, or appropriately equipped flaggers, as defined in 49 CFR 234.5, 
flag the crossing to provide warning of approaching trains to motorists.
    (b) This section does not apply where active grade crossing warning 
devices have malfunctioned and use of the horn is required by 49 CFR 
234.105, 234.106, or 234.107.

           Silenced Horns at Groups of Crossings--Quiet Zones



Sec. 222.35  What are the minimum requirements for quiet zones?

    The following requirements apply to quiet zones established in 
conformity with this part.
    (a) Minimum length. (1)(i) Except as provided in paragraph 
(a)(1)(ii) of this section, the minimum length of a New Quiet Zone or 
New Partial Quiet Zone established under this part shall be one-half 
mile along the length of railroad right-of-way.
    (ii) The one-half mile minimum length requirement shall be waived 
for any New Quiet Zone or New Partial Quiet Zone that is added onto an 
existing quiet zone, provided there is no

[[Page 388]]

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

[[Page 389]]

shall conform to the standards contained in the MUTCD.
    (4) Each highway approach to every public and private highway-rail 
grade crossing within a Pre-Rule Partial Quiet Zone shall be equipped by 
June 24, 2008 with an advance warning sign that advises the motorist 
that train horns are not sounded at the crossing or that train horns are 
not sounded at the crossing for a specified period of time, whichever is 
applicable. Such sign shall conform to the standards contained in the 
MUTCD.
    (5) This paragraph (c) does not apply to public and private highway-
rail grade crossings equipped with wayside horns that conform to the 
requirements set forth in Sec. 222.59 and appendix E of this part.
    (d) Bells. (1) Each public highway-rail grade crossing in a New 
Quiet Zone or New Partial Quiet Zone that is subjected to pedestrian 
traffic and equipped with one or more automatic bells shall retain those 
bells in working condition.
    (2) Each public highway-rail grade crossing in a Pre-Rule Quiet Zone 
or Pre-Rule Partial Quiet Zone that is subjected to pedestrian traffic 
and equipped with one or more automatic bells shall retain those bells 
in working condition.
    (e) All private highway-rail grade crossings within the quiet zone 
must be treated in accordance with this section and Sec. 222.25 of this 
part.
    (f) All pedestrian grade crossings within a quiet zone must be 
treated in accordance with Sec. 222.27 of this part.
    (g) All public highway-rail grade crossings within the quiet zone 
must be in compliance with the requirements of the MUTCD.



Sec. 222.37  Who may establish a quiet zone?

    (a) A public authority may establish quiet zones that are consistent 
with the provisions of this part. If a proposed quiet zone includes 
public highway-rail grade crossings under the authority and control of 
more than one public authority (such as a county road and a State 
highway crossing the railroad tracks at different crossings), both 
public authorities must agree to establishment of the quiet zone, and 
must jointly, or by delegation provided to one of the authorities, take 
such actions as are required by this part.
    (b) A public authority may establish quiet zones irrespective of 
State laws covering the subject matter of sounding or silencing 
locomotive horns at public highway-rail grade crossings. Nothing in this 
part, however, is meant to affect any other applicable role of State 
agencies or the Federal Highway Administration in decisions regarding 
funding or construction priorities for grade crossing safety projects, 
selection of traffic control devices, or engineering standards for 
roadways or traffic control devices.
    (c) A State agency may provide administrative and technical services 
to public authorities by advising them, acting on their behalf, or 
acting as a central contact point in dealing with FRA; however, any 
public authority eligible to establish a quiet zone under this part may 
do so.



Sec. 222.38  Can a quiet zone be created in the Chicago Region?

    Public authorities that are eligible to establish quiet zones under 
this part may create New Quiet Zones or New Partial Quiet Zones in the 
Chicago Region, provided the New Quiet Zone or New Partial Quiet Zone 
does not include any highway-rail grade crossing described in Sec. 
222.3(c) of this part.



Sec. 222.39  How is a quiet zone established?

    (a) Public authority designation. This paragraph (a) describes how a 
quiet zone may be designated by a public authority without the need for 
formal application to, and approval by, FRA. If a public authority 
complies with either paragraph (a)(1), (a)(2), or (a)(3) of this 
section, and complies with the information and notification provisions 
of Sec. 222.43 of this part, a public authority may designate a quiet 
zone without the necessity for FRA review and approval.
    (1) A quiet zone may be established by implementing, at every public 
highway-rail grade crossing within the quiet zone, one or more SSMs 
identified in appendix A of this part.
    (2) A quiet zone may be established if the Quiet Zone Risk Index is 
at, or

[[Page 390]]

below, the Nationwide Significant Risk Threshold, as follows:
    (i) If the Quiet Zone Risk Index is already at, or below, the 
Nationwide Significant Risk Threshold without being reduced by 
implementation of SSMs; or
    (ii) If SSMs are implemented which are sufficient to reduce the 
Quiet Zone Risk Index to a level at, or below, the Nationwide 
Significant Risk Threshold.
    (3) A quiet zone may be established if SSMs are implemented which 
are sufficient to reduce the Quiet Zone Risk Index to a level at or 
below the Risk Index With Horns.
    (b) Public authority application to FRA. (1) A public authority may 
apply to the Associate Administrator for approval of a quiet zone that 
does not meet the standards for public authority designation under 
paragraph (a) of this section, but in which it is proposed that one or 
more safety measures be implemented. Such proposed quiet zone may 
include only ASMs, or a combination of ASMs and SSMs at various 
crossings within the quiet zone. Note that an engineering improvement 
which does not fully comply with the requirements for an SSM under 
appendix A of this part, is considered to be an ASM. The public 
authority's application must:
    (i) Contain an accurate, complete and current Grade Crossing 
Inventory Form for each public, private and pedestrian grade crossing 
within the proposed quiet zone;
    (ii) Contain sufficient detail concerning the present safety 
measures at each public, private and pedestrian grade crossing proposed 
to be included in the quiet zone to enable the Associate Administrator 
to evaluate their effectiveness;
    (iii) Contain detailed information about diagnostic team reviews of 
any crossing within the proposed quiet zone, including a membership list 
and a list of recommendations made by the diagnostic team;
    (iv) Contain a statement describing efforts taken by the public 
authority to address comments submitted by each railroad operating the 
public highway-rail grade crossings within the quiet zone, the State 
agency responsible for highway and road safety, and the State agency 
responsible for grade crossing safety in response to the Notice of 
Intent. This statement shall also list any objections to the proposed 
quiet zone that were raised by the railroad(s) and State agencies;
    (v) Contain detailed information as to which safety improvements are 
proposed to be implemented at each public, private, or pedestrian grade 
crossing within the proposed quiet zone;
    (vi) Contain a commitment to implement the proposed safety 
improvements within the proposed quiet zone; and
    (vii) Demonstrate through data and analysis that the proposed 
implementation of these measures will reduce the Quiet Zone Risk Index 
to a level at, or below, either the Risk Index With Horns or the 
Nationwide Significant Risk Threshold.
    (2) If the proposed quiet zone contains newly established public or 
private highway-rail grade crossings, the public authority's application 
for approval must also include five-year projected vehicle and rail 
traffic counts for each newly established grade crossing;
    (3) 60-day comment period. (i) The public authority application for 
FRA approval of the proposed quiet zone shall be provided, by certified 
mail, return receipt requested, to: all railroads operating over the 
public highway-rail grade crossings within the quiet zone; the highway 
or traffic control or law enforcement authority having jurisdiction over 
vehicular traffic at grade crossings within the quiet zone; the 
landowner having control over any private highway-rail grade crossings 
within the quiet zone; the State agency responsible for highway and road 
safety; the State agency responsible for grade crossing safety; and the 
Associate Administrator.
    (ii) Except as provided in paragraph (b)(3)(iii) of this section, 
any party that receives a copy of the public authority application may 
submit comments on the public authority application to the Associate 
Administrator during the 60-day period after the date on which the 
public authority application was mailed.
    (iii) If the public authority application for FRA approval contains 
written

[[Page 391]]

statements from each railroad operating over the public highway-rail 
grade crossings within the quiet zone, the highway or traffic control 
authority or law enforcement authority having jurisdiction over 
vehicular traffic at grade crossings within the quiet zone, the State 
agency responsible for grade crossing safety, and the State agency 
responsible for highway and road safety stating that the railroad, 
vehicular traffic authority and State agencies have waived their rights 
to provide comments on the public authority application, the 60-day 
comment period under paragraph (b)(3)(ii) of this section shall be 
waived.
    (4)(i) After reviewing any comments submitted under paragraph 
(b)(3)(ii) of this section, the Associate Administrator will approve the 
quiet zone if, in the Associate Administrator's judgment, the public 
authority is in compliance with paragraphs (b)(1) and (b)(2) of this 
section and has satisfactorily demonstrated that the SSMs and ASMs 
proposed by the public authority result in a Quiet Zone Risk Index that 
is either:
    (A) At or below the Risk Index With Horns or
    (B) At or below the Nationwide Significant Risk Threshold.
    (ii) The Associate Administrator may include in any decision of 
approval such conditions as may be necessary to ensure that the proposed 
safety improvements are effective. If the Associate Administrator does 
not approve the quiet zone, the Associate Administrator will describe, 
in the decision, the basis upon which the decision was made. Decisions 
issued by the Associate Administrator on quiet zone applications shall 
be provided to all parties listed in paragraph (b)(3)(i) of this section 
and may be reviewed as provided in Sec. Sec. 222.57(b) and (d) of this 
part.
    (c) Appendix C of this part contains guidance on how to create a 
quiet zone.



Sec. 222.41  How does this rule affect Pre-Rule Quiet Zones and 
Pre-Rule Partial Quiet Zones?

    (a) Pre-Rule Quiet Zones that will be established by automatic 
approval. (1) A Pre-Rule Quiet Zone may be established by automatic 
approval and remain in effect, subject to Sec. 222.51, if the Pre-Rule 
Quiet Zone is in compliance with Sec. Sec. 222.35 (minimum requirements 
for quiet zones) and 222.43 of this part (notice and information 
requirements) and:
    (i) The Pre-Rule Quiet Zone has at every public highway-rail grade 
crossing within the quiet zone one or more SSMs identified in appendix A 
of this part; or
    (ii) The Quiet Zone Risk Index is at, or below, the Nationwide 
Significant Risk Threshold, as last published by FRA in the Federal 
Register; or
    (iii) The Quiet Zone Risk Index is above the Nationwide Significant 
Risk Threshold, as last published by FRA in the Federal Register, but 
less than twice the Nationwide Significant Risk Threshold and there have 
been no relevant collisions at any public highway-rail grade crossing 
within the quiet zone since April 27, 2000 or
    (iv) The Quiet Zone Risk Index is at, or below, the Risk Index with 
Horns.
    (2) The public authority shall provide Notice of Quiet Zone 
Establishment, in accordance with Sec. 222.43 of this part, no later 
than December 24, 2005.
    (b) Pre-Rule Partial Quiet Zones that will be established by 
automatic approval. (1) A Pre-Rule Partial Quiet Zone may be established 
by automatic approval and remain in effect, subject to Sec. 222.51, if 
the Pre-Rule Partial Quiet Zone is in compliance with Sec. Sec. 222.35 
(minimum requirements for quiet zones) and 222.43 of this part (notice 
and information requirements) and:
    (i) The Pre-Rule Partial Quiet Zone has at every public highway-rail 
grade crossing within the quiet zone one or more SSMs identified in 
appendix A of this part; or
    (ii) The Quiet Zone Risk Index is at, or below, the Nationwide 
Significant Risk Threshold, as last published by FRA in the Federal 
Register; or
    (iii) The Quiet Zone Risk Index is above the Nationwide Significant 
Risk Threshold, as last published by FRA in the Federal Register, but 
less than twice the Nationwide Significant Risk Threshold and there have 
been no relevant collisions at any public highway-rail grade crossing 
within the quiet zone since April 27, 2000. With respect

[[Page 392]]

to Pre-Rule Partial Quiet Zones, collisions that occurred during the 
time period within which the locomotive horn was routinely sounded shall 
not be considered ``relevant collisions''; or
    (iv) The Quiet Zone Risk Index is at, or below, the Risk Index with 
Horns.
    (2) The public authority shall provide Notice of Quiet Zone 
Establishment, in accordance with Sec. 222.43 of this part, no later 
than December 24, 2005.
    (c) Pre-Rule Quiet Zones and Pre-Rule Partial Quiet Zones that will 
not be established by automatic approval. (1) If a Pre-Rule Quiet Zone 
or Pre-Rule Partial Quiet Zone will not be established by automatic 
approval under paragraph (a) or (b) of this section, existing 
restrictions may, at the public authority's discretion, remain in place 
until June 24, 2008, if a Notice of Quiet Zone Continuation is provided 
in accordance with Sec. 222.43 of this part.
    (2)(i) Existing restrictions on the routine sounding of the 
locomotive horn may remain in place until June 24, 2010, if:
    (A) Notice of Intent is mailed, in accordance with Sec. 222.43 of 
this part, by February 24, 2008; and
    (B) A detailed plan for quiet zone improvements is filed with the 
Associate Administrator by June 24, 2008. The detailed plan shall 
include a detailed explanation of, and timetable for, the safety 
improvements that will be implemented at each public, private and 
pedestrian grade crossing located within the Pre-Rule Quiet Zone or Pre-
Rule Partial Quiet Zone which are necessary to comply with Sec. Sec. 
222.25, 222.27, 222.35 and 222.39 of this part.
    (ii) In the event that the safety improvements planned for the quiet 
zone require approval of FRA under Sec. 222.39(b) of this part, the 
public authority should apply for such approval prior to December 24, 
2007, to ensure that FRA has ample time in which to review such 
application prior to the end of the extension period.
    (3) Locomotive horn restrictions may continue for an additional 
three years beyond June 24, 2010, if:
    (i) Prior to June 24, 2008, the appropriate State agency provides to 
the Associate Administrator: A comprehensive State-wide implementation 
plan and funding commitment for implementing improvements at Pre-Rule 
Quiet Zones and Pre-Rule Partial Quiet Zones which, when implemented, 
would enable them to qualify as quiet zones under this part; and
    (ii) Prior to June 24, 2009, either safety improvements are 
initiated at a portion of the crossings within the quiet zone, or the 
appropriate State agency has participated in quiet zone improvements in 
one or more Pre-Rule Quiet Zones or Pre-Rule Partial Quiet Zones 
elsewhere within the State.
    (4) A public authority may establish a Pre-Rule Quiet Zone or Pre-
Rule Partial Quiet Zone upon compliance with:
    (A) The Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone 
requirements contained within Sec. Sec. 222.25, 222.27, and 222.35 of 
this part;
    (B) The quiet zone standards set forth in Sec. 222.39 of this part; 
and
    (C) All applicable notification and filing requirements contained 
within this paragraph (c) and Sec. 222.43 of this part.
    (d) Pre-Rule Partial Quiet Zones that will be converted to 24-hour 
New Quiet Zones. A Pre-Rule Partial Quiet Zone may be converted into a 
24-hour New Quiet Zone, if:
    (1) The quiet zone is brought into compliance with the New Quiet 
Zone requirements set forth in Sec. Sec. 222.25, 222.27, and 222.35 of 
this part;
    (2) The quiet zone is brought into compliance with the quiet zone 
standards set forth in Sec. 222.39 of this part; and
    (3) The public authority complies with all applicable notification 
and filing requirements contained within this paragraph (c) and Sec. 
222.43 of this part.



Sec. 222.42  How does this rule affect Intermediate Quiet Zones
and Intermediate Partial Quiet Zones?

    (a)(1) Existing restrictions may, at the public authority's 
discretion, remain in place within the Intermediate Quiet Zone or 
Intermediate Partial Quiet Zone until June 24, 2006, if the public 
authority provides Notice of Quiet Zone Continuation, in accordance with 
Sec. 222.43 of this part.
    (2) A public authority may continue locomotive horn sounding 
restrictions beyond June 24, 2006 by establishing a New Quiet Zone or 
New Partial Quiet Zone. A public authority may establish

[[Page 393]]

a New Quiet Zone or New Partial Quiet Zone if:
    (i) Notice of Intent is mailed, in accordance with Sec. 222.43 of 
this part;
    (ii) The quiet zone complies with the standards set forth in Sec. 
222.39 of this part;
    (iii) The quiet zone complies with the New Quiet Zone standards set 
forth in Sec. Sec. 222.25, 222.27, and 222.35 of this part;
    (iv) Notice of Quiet Zone Establishment is mailed, in accordance 
with Sec. 222.43 of this part, by June 3, 2006.
    (b) Conversion of Intermediate Partial Quiet Zones into 24-hour New 
Quiet Zones. An Intermediate Partial Quiet Zone may be converted into a 
24-hour New Quiet Zone if:
    (1) Notice of Intent is mailed, in accordance with Sec. 222.43 of 
this part;
    (2) The quiet zone complies with the standards set forth in Sec. 
222.39 of this part;
    (3) The quiet zone is brought into compliance with the New Quiet 
Zone requirements set forth in Sec. Sec. 222.25, 222.27, and 222.35 of 
this part; and
    (4) Notice of Quiet Zone Establishment is mailed, in accordance with 
Sec. 222.43 of this part, by June 3, 2006.



Sec. 222.43  What notices and other information are required to create
or continue a quiet zone?

    (a)(1) The public authority shall provide written notice, by 
certified mail, return receipt requested, of its intent to create a New 
Quiet Zone or New Partial Quiet Zone under Sec. 222.39 of this part or 
to implement new SSMs or ASMs within a Pre-Rule Quiet Zone or Pre-Rule 
Partial Quiet Zone under Sec. 222.41(c) or (d) of this part. Such 
notification shall be provided to: All railroads operating over the 
public highway-rail grade crossings within the quiet zone; the State 
agency responsible for highway and road safety; and the State agency 
responsible for grade crossing safety.
    (2) The public authority shall provide written notification, by 
certified mail, return receipt requested, to continue a Pre-Rule Quiet 
Zone or Pre-Rule Partial Quiet Zone under Sec. 222.41 of this part or 
to continue an Intermediate Quiet Zone or Intermediate Partial Quiet 
Zone under Sec. 222.42 of this part. Such notification shall be 
provided to: All railroads operating over the public highway-rail grade 
crossings within the quiet zone; the highway or traffic control or law 
enforcement authority having jurisdiction over vehicular traffic at 
grade crossings within the quiet zone; the landowner having control over 
any private highway-rail grade crossings within the quiet zone; the 
State agency responsible for highway and road safety; the State agency 
responsible for grade crossing safety; and the Associate Administrator.
    (3) The public authority shall provided written notice, by certified 
mail, return receipt requested, of the establishment of a quiet zone 
under Sec. 222.39 or Sec. 222.41 of this part. Such notification shall 
be provided to: All railroads operating over the public highway-rail 
grade crossings within the quiet zone; the highway or traffic control or 
law enforcement authority having jurisdiction over vehicular traffic at 
grade crossings within the quiet zone; the landowner having control over 
any private highway-rail grade crossings within the quiet zone; the 
State agency responsible for highway and road safety; the State agency 
responsible for grade crossing safety; and the Associate Administrator.
    (b) Notice of Intent--(1) Timing. (i) The Notice of Intent shall be 
mailed at least 60 days before the mailing of the Notice of Quiet Zone 
Establishment, unless the public authority obtains written comments and/
or ``no-comment'' statements from each railroad operating over public 
highway-rail grade crossings within the quiet zone, the State agency 
responsible for grade crossing safety, and the State agency responsible 
for highway and road safety, in accordance with paragraph (b)(3)(ii) of 
this section.
    (ii) The Notice of Intent shall be mailed no later than February 24, 
2008 for all Pre-Rule Quiet Zones and Pre-Rule Partial Quiet Zones 
governed by Sec. Sec. 222.41(c) and (d) of this part, in order to 
continue existing locomotive horn sounding restrictions beyond June 24, 
2008 without interruption.
    (2) Required Contents. The Notice of Intent shall include the 
following:
    (i) A list of each public, private, and pedestrian grade crossing 
within the quiet zone, identified by both U.S. DOT

[[Page 394]]

National Highway-Rail Grade Crossing Inventory Number and street or 
highway name, if applicable.
    (ii) A statement of the time period within which restrictions would 
be imposed on the routine sounding of the locomotive horn (i.e., 24 
hours or from 10 p.m. until 7 a.m.).
    (iii) A brief explanation of the public authority's tentative plans 
for implementing improvements within the proposed quiet zone.
    (iv) The name and title of the person who will act as point of 
contact during the quiet zone development process and the manner in 
which that person can be contacted.
    (v) A list of the names and addresses of each party that will 
receive notification in accordance with paragraph (a)(1) of this 
section.
    (3) 60-day comment period. (i) A party that receives a copy of the 
public authority's Notice of Intent may submit information or comments 
about the proposed quiet zone to the public authority during the 60-day 
period after the date on which the Notice of Intent was mailed.
    (ii) The 60-day comment period established under paragraph (b)(3)(i) 
of this section may terminate when the public authority obtains from 
each railroad operating over public highway-rail grade crossings within 
the proposed quiet zone, the State agency responsible for grade crossing 
safety, and the State agency responsible for highway and road safety:
    (A) Written comments; or
    (B) Written statements that the railroad and State agency do not 
have any comments on the Notice of Intent (``no-comment statements'').
    (c) Notice of Quiet Zone Continuation--(1) Timing. (i) In order to 
prevent the resumption of locomotive horn sounding on June 24, 2005, the 
Notice of Quiet Zone Continuation under Sec. 222.41 or Sec. 222.42 of 
this part shall be served no later than June 3, 2005.
    (ii) If the Notice of Quiet Zone Continuation under Sec. 222.41 or 
Sec. 222.42 of this part is mailed after June 3, 2005, the Notice of 
Quiet Zone Continuation shall state on which date locomotive horn use at 
grade crossings within the quiet zone shall cease, but in no event shall 
that date be earlier than 21 days after the date of mailing.
    (2) Required contents. The Notice of Quiet Zone Continuation shall 
include the following:
    (i) A list of each public, private, and pedestrian grade crossing 
within the quiet zone, identified by both U.S. DOT National Highway-Rail 
Grade Crossing Inventory Number and street or highway name.
    (ii) A specific reference to the regulatory provision that provides 
the basis for quiet zone continuation, citing as appropriate, Sec. 
222.41 or Sec. 222.42 of this part.
    (iii) A statement of the time period within which restrictions on 
the routine sounding of the locomotive horn will be imposed (i.e., 24 
hours or nighttime hours only.)
    (iv) An accurate and complete Grade Crossing Inventory Form for each 
public, private, and pedestrian grade crossing within the quiet zone 
that reflects conditions currently existing at the crossing.
    (v) The name and title of the person responsible for monitoring 
compliance with the requirements of this part and the manner in which 
that person can be contacted.
    (vi) A list of the names and addresses of each party that will 
receive notification in accordance with paragraph (a)(2) of this 
section.
    (vii) A statement signed by the chief executive officer of each 
public authority participating in the continuation of the quiet zone, in 
which the chief executive officer certifies that the information 
submitted by the public authority is accurate and complete to the best 
of his/her knowledge and belief.
    (d) Notice of Quiet Zone Establishment--(1) Timing. (i) The Notice 
of Quiet Zone Establishment shall provide the date upon which the quiet 
zone will be established, but in no event shall the date be earlier than 
21 days after the date of mailing.
    (ii) If the public authority was required to provide a Notice of 
Intent, in accordance with paragraph (a)(1) of this section, the Notice 
of Quiet Zone Establishment shall not be mailed less than 60 days after 
the date on which the Notice of Intent was mailed, unless

[[Page 395]]

the Notice of Quiet Zone Establishment contains a written statement 
affirming that written comments and/or ``no-comment'' statements have 
been received from each railroad operating over public highway-rail 
grade crossings within the proposed quiet zone, the State agency 
responsible for grade crossing safety, and the State agency responsible 
for highway and road safety, in accordance with paragraph (b)(3)(ii) of 
this section.
    (2) Required contents. The Notice of Quiet Zone Establishment shall 
include the following:
    (i) A list of each public, private, and pedestrian grade crossing 
within the quiet zone, identified by both U.S. DOT National Highway-Rail 
Grade Crossing Inventory Number and street or highway name, if 
applicable.
    (ii) A specific reference to the regulatory provision that provides 
the basis for quiet zone establishment, citing as appropriate, Sec. 
222.39(a)(1), 222.39(a)(2)(i), 222.39(a)(2)(ii), 222.39(a)(3), 
222.39(b), 222.41(a)(1)(i), Sec. 222.41(a)(1)(ii), 222.41(a)(1)(iii), 
222.41(a)(1)(iv), 222.41(b)(1)(i), 222.41(b)(1)(ii), 222.41(b)(1)(iii), 
or 222.41(b)(1)(iv) of this part.
    (A) If the Notice contains a specific reference to Sec. 
222.39(a)(2)(i), 222.39(a)(2)(ii), 222.39(a)(3), Sec. 222.41(a)(1)(ii), 
222.41(a)(1)(iii), 222.41(a)(1)(iv), 222.41(b)(1)(ii), 
222.41(b)(1)(iii), or 222.41(b)(1)(iv) of this part, it shall include a 
copy of the FRA Web page that contains the quiet zone data upon which 
the public authority is relying (http://www.fra.dot.gov/us/content/
1337).
    (B) If the Notice contains a specific reference to Sec. 222.39(b) 
of this part, it shall include a copy of FRA's notification of approval.
    (iii) If a diagnostic team review was required under Sec. 222.25 or 
Sec. 222.27 of this part, the Notice shall include a statement 
affirming that the State agency responsible for grade crossing safety 
and all affected railroads were provided an opportunity to participate 
in the diagnostic team review. The Notice shall also include a list of 
recommendations made by the diagnostic team.
    (iv) A statement of the time period within which restrictions on the 
routine sounding of the locomotive horn will be imposed (i.e., 24 hours 
or from 10 p.m. until 7 a.m.).
    (v) An accurate and complete Grade Crossing Inventory Form for each 
public, private, and pedestrian grade crossing within the quiet zone 
that reflects the conditions existing at the crossing before any new 
SSMs or ASMs were implemented.
    (vi) An accurate, complete and current Grade Crossing Inventory Form 
for each public, private, and pedestrian grade crossing within the quiet 
zone that reflects SSMs and ASMs in place upon establishment of the 
quiet zone. SSMs and ASMs that cannot be fully described on the 
Inventory Form shall be separately described.
    (vii) If the public authority was required to provide a Notice of 
Intent, in accordance with paragraph (a)(1) of this section, the Notice 
of Quiet Zone Establishment shall contain a written statement affirming 
that the Notice of Intent was provided in accordance with paragraph 
(a)(1) of this section. This statement shall also state the date on 
which the Notice of Intent was mailed.
    (viii) If the public authority was required to provide a Notice of 
Intent, in accordance with paragraph (a)(1) of this section, and the 
Notice of Intent was mailed less than 60 days before the mailing of the 
Notice of Quiet Zone Establishment, the Notice of Quiet Zone 
Establishment shall also contain a written statement affirming that 
written comments and/or ``no-comment'' statements have been received 
from each railroad operating over public highway-rail grade crossings 
within the proposed quiet zone, the State agency responsible for grade 
crossing safety, and the State agency responsible for highway and road 
safety, in accordance with paragraph (b)(3)(ii) of this section.
    (ix) The name and title of the person responsible for monitoring 
compliance with the requirements of this part and the manner in which 
that person can be contacted.
    (x) A list of the names and addresses of each party that shall be 
notified in accordance with paragraph (a)(3) of this section.
    (xi) A statement signed by the chief executive officer of each 
public authority participating in the establishment

[[Page 396]]

of the quiet zone, in which the chief executive officer shall certify 
that the information submitted by the public authority is accurate and 
complete to the best of his/her knowledge and belief.



Sec. 222.45  When is a railroad required to cease routine sounding
of locomotive horns at crossings?

    On the date specified in a Notice of Quiet Zone Continuation or 
Notice of Quiet Zone Establishment that complies with the requirements 
set forth in Sec. 222.43 of this part, a railroad shall refrain from, 
or cease, routine sounding of the locomotive horn at all public, private 
and pedestrian grade crossings identified in the Notice.



Sec. 222.47  What periodic updates are required?

    (a) Quiet zones with SSMs at each public crossing. This paragraph 
addresses quiet zones established pursuant to Sec. Sec. 222.39(a)(1), 
222.41(a)(1)(i), and 222.41(b)(1)(i) (quiet zones with an SSM 
implemented at every public crossing within the quiet zone) of this 
part. Between 4\1/2\ and 5 years after the date of the quiet zone 
establishment notice provided by the public authority under Sec. 222.43 
of this part, and between 4\1/2\ and 5 years after the last affirmation 
under this section, the public authority must:
    (1) Affirm in writing to the Associate Administrator that the SSMs 
implemented within the quiet zone continue to conform to the 
requirements of appendix A of this part. Copies of such affirmation must 
be provided by certified mail, return receipt requested, to the parties 
identified in Sec. 222.43(a)(3) of this part; and
    (2) Provide to the Associate Administrator an up-to-date, accurate, 
and complete Grade Crossing Inventory Form for each public highway-rail 
grade crossing, private highway-rail grade crossing, and pedestrian 
crossing within the quiet zone.
    (b) Quiet zones which do not have a supplementary safety measure at 
each public crossing. This paragraph addresses quiet zones established 
pursuant to Sec. Sec. 222.39(a)(2) and (a)(3), 222.39(b), 
222.41(a)(1)(ii), (a)(1)(iii), and (a)(1)(iv), and 222.41(b)(1)(ii), 
(b)(1)(iii), and (b)(1)(iv) (quiet zones which do not have an SSM at 
every public crossing within the quiet zone) of this part. Between 2\1/
2\ and 3 years after the date of the quiet zone establishment notice 
provided by the public authority under Sec. 222.43 of this part, and 
between 2\1/2\ and 3 years after the last affirmation under this 
section, the public authority must:
    (1) Affirm in writing to the Associate Administrator that all SSMs 
and ASMs implemented within the quiet zone continue to conform to the 
requirements of appendices A and B of this part or the terms of the 
Quiet Zone approval. Copies of such notification must be provided to the 
parties identified in Sec. 222.43(a)(3) of this part by certified mail, 
return receipt requested; and
    (2) Provide to the Associate Administrator an up-to-date, accurate, 
and complete Grade Crossing Inventory Form for each public highway-rail 
grade crossing, private highway-rail grade crossing, and pedestrian 
grade crossing within the quiet zone.



Sec. 222.49  Who may file Grade Crossing Inventory Forms?

    (a) Grade Crossing Inventory Forms required to be filed with the 
Associate Administrator in accordance with Sec. Sec. 222.39, 222.43 and 
222.47 of this part may be filed by the public authority if, for any 
reason, such forms are not timely submitted by the State and railroad.
    (b) Within 30 days after receipt of a written request of the public 
authority, the railroad owning the line of railroad that includes public 
or private highway rail grade crossings within the quiet zone or 
proposed quiet zone shall provide to the State and public authority 
sufficient current information regarding the grade crossing and the 
railroad's operations over the grade crossing to enable the State and 
public authority to complete the Grade Crossing Inventory Form.



Sec. 222.51  Under what conditions will quiet zone status be 
terminated?

    (a) New Quiet Zones--Annual risk review. (1) FRA will annually 
calculate the Quiet Zone Risk Index for each quiet zone established 
pursuant to Sec. Sec. 222.39(a)(2) and 222.39(b) of this part, and in 
comparison to the Nationwide Significant Risk Threshold. FRA will

[[Page 397]]

notify each public authority of the Quiet Zone Risk Index for the 
preceding calendar year. FRA will not conduct annual risk reviews for 
quiet zones established by having an SSM at every public crossing within 
the quiet zone or for quiet zones established by reducing the Quiet Zone 
Risk Index to the Risk Index With Horns.
    (2) Actions to be taken by public authority to retain quiet zone. If 
the Quiet Zone Risk Index is above the Nationwide Significant Risk 
Threshold, the quiet zone will terminate six months from the date of 
receipt of notification from FRA that the Quiet Zone Risk Index exceeds 
the Nationwide Significant Risk Threshold, unless the public authority 
takes the following actions:
    (i) Within six months after the date of receipt of notification from 
FRA that the Quiet Zone Risk Index exceeds the Nationwide Significant 
Risk Threshold, provide to the Associate Administrator a written 
commitment to lower the potential risk to the traveling public at the 
crossings within the quiet zone to a level at, or below, the Nationwide 
Significant Risk Threshold or the Risk Index With Horns. Included in the 
commitment statement shall be a discussion of the specific steps to be 
taken by the public authority to increase safety at the crossings within 
the quiet zone; and
    (ii) Within three years after the date of receipt of notification 
from FRA that the Quiet Zone Risk Index exceeds the Nationwide 
Significant Risk Threshold, complete implementation of SSMs or ASMs 
sufficient to reduce the Quiet Zone Risk Index to a level at, or below, 
the Nationwide Significant Risk Threshold, or the Risk Index With Horns, 
and receive approval from the Associate Administrator, under the 
procedures set forth in Sec. 222.39(b) of this part, for continuation 
of the quiet zone. If the Quiet Zone Risk Index is reduced to the Risk 
Index With Horns, the quiet zone will be considered to have been 
established pursuant to Sec. 222.39(a)(3) of this part and subsequent 
annual risk reviews will not be conducted for that quiet zone.
    (iii) Failure to comply with paragraph (a)(2)(i) of this section 
shall result in the termination of the quiet zone six months after the 
date of receipt of notification from FRA that the Quiet Zone Risk Index 
exceeds the Nationwide Significant Risk Threshold. Failure to comply 
with paragraph (a)(2)(ii) of this section shall result in the 
termination of the quiet zone three years after the date of receipt of 
notification from FRA that the Quiet Zone Risk Index exceeds the 
Nationwide Significant Risk Threshold.
    (b) Pre-Rule Quiet Zones--Annual risk review. (1) FRA will annually 
calculate the Quiet Zone Risk Index for each Pre-Rule Quiet Zone and 
Pre-Rule Partial Quiet Zone that qualified for automatic approval 
pursuant to Sec. Sec. 222.41(a)(1)(ii), 222.41(a)(1)(iii), 
222.41(b)(1)(ii), and 222.41(b)(1)(iii) of this part. FRA will notify 
each public authority of the Quiet Zone Risk Index for the preceding 
calendar year. FRA will also notify each public authority if a relevant 
collision occurred at a grade crossing within the quiet zone during the 
preceding calendar year.
    (2) Pre-Rule Quiet Zones and Pre-Rule Partial Quiet Zones authorized 
under Sec. Sec. 222.41(a)(1)(ii) and 222.41(b)(1)(ii). (i) If a Pre-
Rule Quiet Zone or Pre-Rule Partial Quiet Zone originally qualified for 
automatic approval because the Quiet Zone Risk Index was at, or below, 
the Nationwide Significant Risk Threshold, the quiet zone may continue 
unchanged if the Quiet Zone Risk Index as last calculated by the FRA 
remains at, or below, the Nationwide Significant Risk Threshold.
    (ii) If the Quiet Zone Risk Index as last calculated by FRA is above 
the Nationwide Significant Risk Threshold, but is lower than twice the 
Nationwide Significant Risk Threshold and no relevant collisions have 
occurred at crossings within the quiet zone within the five years 
preceding the annual risk review, then the quiet zone may continue as 
though it originally received automatic approval pursuant to Sec. 
222.41(a)(1)(iii) or 222.41(b)(1)(iii) of this part.
    (iii) If the Quiet Zone Risk Index as last calculated by FRA is at, 
or above, twice the Nationwide Significant Risk Threshold, or if the 
Quiet Zone Risk Index is above the Nationwide Significant Risk 
Threshold, but is lower than twice the Nationwide Significant Risk

[[Page 398]]

Threshold and a relevant collision occurred at a crossing within the 
quiet zone within the preceding five calendar years, the quiet zone will 
terminate six months after the date of receipt of notification from FRA 
of the Nationwide Significant Risk Threshold level, unless the public 
authority takes the actions specified in paragraph (b)(4) of this 
section.
    (3) Pre-Rule Quiet Zones and Pre-Rule Partial Quiet Zones authorized 
under Sec. Sec. 222.41(a)(1)(iii) and 222.41(b)(1)(iii). (i) If a Pre-
Rule Quiet Zone or Pre-Rule Partial Quiet Zone originally qualified for 
automatic approval because the Quiet Zone Risk Index was above the 
Nationwide Significant Risk Threshold, but below twice the Nationwide 
Significant Risk Threshold, and no relevant collisions had occurred 
within the five-year qualifying period, the quiet zone may continue 
unchanged if the Quiet Zone Risk Index as last calculated by FRA remains 
below twice the Nationwide Significant Risk Threshold and no relevant 
collisions occurred at a public grade crossing within the quiet zone 
during the preceding calendar year.
    (ii) If the Quiet Zone Risk Index as last calculated by FRA is at, 
or above, twice the Nationwide Significant Risk Threshold, or if a 
relevant collision occurred at a public grade crossing within the quiet 
zone during the preceding calendar year, the quiet zone will terminate 
six months after the date of receipt of notification from FRA that the 
Quiet Zone Risk Index is at, or exceeds twice the Nationwide Significant 
Risk Threshold or that a relevant collision occurred at a crossing 
within the quiet zone, unless the public authority takes the actions 
specified in paragraph (b)(4) of this section.
    (4) Actions to be taken by the public authority to retain a quiet 
zone. (i) Within six months after the date of FRA notification, the 
public authority shall provide to the Associate Administrator a written 
commitment to lower the potential risk to the traveling public at the 
crossings within the quiet zone by reducing the Quiet Zone Risk Index to 
a level at, or below, the Nationwide Significant Risk Threshold or the 
Risk Index With Horns. Included in the commitment statement shall be a 
discussion of the specific steps to be taken by the public authority to 
increase safety at the public crossings within the quiet zone; and
    (ii) Within three years of the date of FRA notification, the public 
authority shall complete implementation of SSMs or ASMs sufficient to 
reduce the Quiet Zone Risk Index to a level at, or below, the Nationwide 
Significant Risk Threshold, or the Risk Index With Horns, and receive 
approval from the Associate Administrator, under the procedures set 
forth in Sec. 222.39(b) of this part, for continuation of the quiet 
zone. If the Quiet Zone Risk Index is reduced to a level that fully 
compensates for the absence of the train horn, the quiet zone will be 
considered to have been established pursuant to Sec. 222.39(a)(3) of 
this part and subsequent annual risk reviews will not be conducted for 
that quiet zone.
    (iii) Failure to comply with paragraph (b)(4)(i) of this section 
shall result in the termination of the quiet zone six months after the 
date of receipt of notification from FRA. Failure to comply with 
paragraph (b)(4)(ii) of this section shall result in the termination of 
the quiet zone three years after the date of receipt of notification 
from FRA.
    (c) Review at FRA's initiative. (1) The Associate Administrator may, 
at any time, review the status of any quiet zone.
    (2) If the Associate Administrator makes any of the following 
preliminary determinations, the Associate Administrator will provide 
written notice to the public authority, all railroads operating over 
public highway-rail grade crossings within the quiet zone, the highway 
or traffic control authority or law enforcement authority having control 
over vehicular traffic at the crossings within the quiet zone, the 
landowner having control over any private crossings within the quiet 
zone, the State agency responsible for grade crossing safety, and the 
State agency responsible for highway and road safety and will publish a 
notice of the determination in the Federal Register:
    (i) Safety systems and measures implemented within the quiet zone do 
not fully compensate for the absence of the

[[Page 399]]

locomotive horn due to a substantial increase in risk;
    (ii) Documentation relied upon to establish the quiet zone contains 
substantial errors that may have an adverse impact on public safety; or
    (iii) Significant risk with respect to loss of life or serious 
personal injury exists within the quiet zone.
    (3) After providing an opportunity for comment, the Associate 
Administrator may require that additional safety measures be taken or 
that the quiet zone be terminated. The Associate Administrator will 
provide a copy of his/her decision to the public authority and all 
parties listed in paragraph (c)(2) of this section. The public authority 
may appeal the Associate Administrator's decision in accordance with 
Sec. 222.57(c) of this part. Nothing in this section is intended to 
limit the Administrator's emergency authority under 49 U.S.C. 20104 and 
49 CFR part 211.
    (d) Termination by the public authority. (1) Any public authority 
that participated in the establishment of a quiet zone under the 
provisions of this part may, at any time, withdraw its quiet zone 
status.
    (2) A public authority may withdraw its quiet zone status by 
providing written notice of termination, by certified mail, return 
receipt requested, to all railroads operating the public highway-rail 
grade crossings within the quiet zone, the highway or traffic control 
authority or law enforcement authority having control over vehicular 
traffic at the crossings within the quiet zone, the landowner having 
control over any private crossings within the quiet zone, the State 
agency responsible for grade crossing safety, the State agency 
responsible for highway and road safety, and the Associate 
Administrator.
    (3)(i) If the quiet zone that is being withdrawn was part of a 
multi-jurisdictional quiet zone, the remaining quiet zones may remain in 
effect, provided the public authorities responsible for the remaining 
quiet zones provide statements to the Associate Administrator certifying 
that the Quiet Zone Risk Index for each remaining quiet zone is at, or 
below, the Nationwide Significant Risk Threshold or the Risk Index With 
Horns. These statements shall be provided, no later than six months 
after the date on which the notice of quiet zone termination was mailed, 
to all parties listed in paragraph (d)(2) of this section.
    (ii) If any remaining quiet zone has a Quiet Zone Risk Index in 
excess of the Nationwide Significant Risk Threshold and the Risk Index 
With Horns, the public authority responsible for the quiet zone shall 
submit a written commitment, to all parties listed in paragraph (d)(2) 
of this section, to reduce the Quiet Zone Risk Index to a level at or 
below the Nationwide Significant Risk Threshold or the Risk Index With 
Horns within three years. Included in the commitment statement shall be 
a discussion of the specific steps to be taken by the public authority 
to reduce the Quiet Zone Risk Index. This commitment statement shall be 
provided to all parties listed in paragraph (d)(2) of this section no 
later than six months after the date on which the notice of quiet zone 
termination was mailed.
    (iii) Failure to comply with paragraphs (d)(3)(i) and (d)(3)(ii) of 
this section shall result in the termination of the remaining quiet 
zone(s) six months after the date on which the notice of quiet zone 
termination was mailed by the withdrawing public authority in accordance 
with paragraph (d)(2) of this section.
    (iv) Failure to complete implementation of SSMs and/or ASMs to 
reduce the Quiet Zone Risk Index to a level at, or below, the Nationwide 
Significant Risk Index or the Risk Index With Horns, in accordance with 
the written commitment provided under paragraph (d)(3)(ii) of this 
section, shall result in the termination of quiet zone status three 
years after the date on which the written commitment was received by 
FRA.
    (e) Notification of termination. (1) In the event that a quiet zone 
is terminated under the provisions of this section, it shall be the 
responsibility of the public authority to immediately provide written 
notification of the termination by certified mail, return receipt 
requested, to all railroads operating over public highway-rail grade 
crossings within the quiet zone, the highway or traffic control 
authority or

[[Page 400]]

law enforcement authority having control over vehicular traffic at the 
crossings within the quiet zone, the landowner having control over any 
private crossings within the quiet zone, the State agency responsible 
for grade crossing safety, the State agency responsible for highway and 
road safety, and the Associate Administrator.
    (2) Notwithstanding paragraph (e)(1) of this section, if a quiet 
zone is terminated under the provisions of this section, FRA shall also 
provide written notification to all parties listed in paragraph (e)(1) 
of this section.
    (f) Requirement to sound the locomotive horn. Upon receipt of 
notification of quiet zone termination pursuant to paragraph (e) of this 
section, railroads shall, within seven days, and in accordance with the 
provisions of this part, sound the locomotive horn when approaching and 
passing through every public highway-rail grade crossing within the 
former quiet zone.



Sec. 222.53  What are the requirements for supplementary and
alternative safety measures?

    (a) Approved SSMs are listed in appendix A of this part. Approved 
SSMs can qualify for quiet zone risk reduction credit in the manner 
specified in appendix A of this part.
    (b) Additional ASMs that may be included in a request for FRA 
approval of a quiet zone under Sec. 222.39(b) of this part are listed 
in appendix B of this part. Modified SSMs can qualify for quiet zone 
risk reduction credit in the manner specified in appendix B of this 
part.
    (c) The following do not, individually or in combination, constitute 
SSMs or ASMs: Standard traffic control device arrangements such as 
reflectorized crossbucks, STOP signs, flashing lights, or flashing 
lights with gates that do not completely block travel over the line of 
railroad, or traffic signals.



Sec. 222.55  How are new supplementary or alternative safety measures
approved?

    (a) The Associate Administrator may add new SSMs and standards to 
appendix A of this part and new ASMs and standards to appendix B of this 
part when the Associate Administrator determines that such measures or 
standards are an effective substitute for the locomotive horn in the 
prevention of collisions and casualties at public highway-rail grade 
crossings.
    (b) Interested parties may apply for approval from the Associate 
Administrator to demonstrate proposed new SSMs or ASMs to determine 
whether they are effective substitutes for the locomotive horn in the 
prevention of collisions and casualties at public highway-rail grade 
crossings.
    (c) The Associate Administrator may, after notice and opportunity 
for comment, order railroad carriers operating over a public highway-
rail grade crossing or crossings to temporarily cease the sounding of 
locomotive horns at such crossings to demonstrate proposed new SSMs or 
ASMs, provided that such proposed new SSMs or ASMs have been subject to 
prior testing and evaluation. In issuing such order, the Associate 
Administrator may impose any conditions or limitations on such use of 
the proposed new SSMs or ASMs which the Associate Administrator deems 
necessary in order to provide the level of safety at least equivalent to 
that provided by the locomotive horn.
    (d) Upon completion of a demonstration of proposed new SSMs or ASMs, 
interested parties may apply to the Associate Administrator for their 
approval. Applications for approval shall be in writing and shall 
include the following:
    (1) The name and address of the applicant;
    (2) A description and design of the proposed new SSM or ASM;
    (3) A description and results of the demonstration project in which 
the proposed SSMs or ASMs were tested;
    (4) Estimated costs of the proposed new SSM or ASM; and
    (5) Any other information deemed necessary.
    (e) If the Associate Administrator is satisfied that the proposed 
safety measure fully compensates for the absence of the warning provided 
by the locomotive horn, the Associate Administrator will approve its use 
as an SSM to be used in the same manner as the measures listed in 
appendix A of this part, or the Associate Administrator

[[Page 401]]

may approve its use as an ASM to be used in the same manner as the 
measures listed in appendix B of this part. The Associate Administrator 
may impose any conditions or limitations on use of the SSMs or ASMs 
which the Associate Administrator deems necessary in order to provide 
the level of safety at least equivalent to that provided by the 
locomotive horn.
    (f) If the Associate Administrator approves a new SSM or ASM, the 
Associate Administrator will: Notify the applicant, if any; publish 
notice of such action in the Federal Register; and add the measure to 
the list of approved SSMs or ASMs.
    (g) A public authority or other interested party may appeal to the 
Administrator from a decision by the Associate Administrator granting or 
denying an application for approval of a proposed SSM or ASM, or the 
conditions or limitations imposed on its use, in accordance with Sec. 
222.57 of this part.



Sec. 222.57  Can parties seek review of the Associate Administrator's
actions?

    (a) A public authority or other interested party may petition the 
Administrator for review of any decision by the Associate Administrator 
granting or denying an application for approval of a new SSM or ASM 
under Sec. 222.55 of this part. The petition must be filed within 60 
days of the decision to be reviewed, specify the grounds for the 
requested relief, and be served upon the following parties: All 
railroads ordered to temporarily cease sounding of the locomotive horn 
over public highway-rail grade crossings for the demonstration of the 
proposed new SSM or ASM , the highway or traffic control authority or 
law enforcement authority having control over vehicular traffic at the 
crossings affected by the new SSM/ASM demonstration, the State agency 
responsible for grade crossing safety, the State agency responsible for 
highway and road safety, and the Associate Administrator. Unless the 
Administrator specifically provides otherwise, and gives notice to the 
petitioner or publishes a notice in the Federal Register, the filing of 
a petition under this paragraph does not stay the effectiveness of the 
action sought to be reviewed. The Administrator may reaffirm, modify, or 
revoke the decision of the Associate Administrator without further 
proceedings and shall notify the petitioner and other interested parties 
in writing or by publishing a notice in the Federal Register.
    (b) A public authority may request reconsideration of a decision by 
the Associate Administrator to deny an application by that authority for 
approval of a quiet zone, or to require additional safety measures, by 
filing a petition for reconsideration with the Associate Administrator. 
The petition must specify the grounds for asserting that the Associate 
Administrator improperly exercised his/her judgment in finding that the 
proposed SSMs and ASMs would not result in a Quiet Zone Risk Index that 
would be at or below the Risk Index With Horns or the Nationwide 
Significant Risk Threshold. The petition shall be filed within 60 days 
of the date of the decision to be reconsidered and be served upon all 
parties listed in Sec. 222.39(b)(3) of this part. Upon receipt of a 
timely and proper petition, the Associate Administrator will provide the 
petitioner an opportunity to submit additional materials and to request 
an informal hearing. Upon review of the additional materials and 
completion of any hearing requested, the Associate Administrator shall 
issue a decision on the petition that will be administratively final.
    (c) A public authority may request reconsideration of a decision by 
the Associate Administrator to terminate quiet zone status by filing a 
petition for reconsideration with the Associate Administrator. The 
petition must be filed within 60 days of the date of the decision, 
specify the grounds for the requested relief, and be served upon all 
parties listed in Sec. 222.51(c)(2) of this part. Unless the Associate 
Administrator publishes a notice in the Federal Register that 
specifically stays the effectiveness of his/her decision, the filing of 
a petition under this paragraph will not stay the termination of quiet 
zone status. Upon receipt of a timely and proper petition, the Associate 
Administrator will provide the petitioner an opportunity to submit 
additional materials and to request an informal hearing. Upon review of 
the additional materials and completion of

[[Page 402]]

any hearing requested, the Associate Administrator shall issue a 
decision on the petition that will be administratively final. A copy of 
this decision shall be served upon all parties listed in Sec. 
222.51(c)(2) of this part.
    (d) A railroad may request reconsideration of a decision by the 
Associate Administrator to approve an application for approval of a 
proposed quiet zone under Sec. 222.39(b) of this part by filing a 
petition for reconsideration with the Associate Administrator. The 
petition must specify the grounds for asserting that the Associate 
Administrator improperly exercised his/her judgment in finding that the 
proposed SSMs and ASMs would result in a Quiet Zone Risk Index that 
would be at or below the Risk Index With Horns or the Nationwide 
Significant Risk Threshold. The petition shall be filed within 60 days 
of the date of the decision to be reconsidered, and be served upon all 
parties listed in Sec. 222.39(b)(3) of this part. Upon receipt of a 
timely and proper petition, the Associate Administrator will provide the 
petitioner an opportunity to submit additional materials and to request 
an informal hearing. Upon review of the additional materials and 
completion of any hearing requested, the Associate Administrator shall 
issue a decision that will be administratively final.



Sec. 222.59  When may a wayside horn be used?

    (a)(1) A wayside horn conforming to the requirements of appendix E 
of this part may be used in lieu of a locomotive horn at any highway-
rail grade crossing equipped with an active warning system consisting 
of, at a minimum, flashing lights and gates.
    (2) A wayside horn conforming to the requirements of appendix E of 
this part may be installed within a quiet zone. For purposes of 
calculating the length of a quiet zone, the presence of a wayside horn 
at a highway-grade crossing within a quiet zone shall be considered in 
the same manner as a grade crossing treated with an SSM. A grade 
crossing equipped with a wayside horn shall not be considered in 
calculating the Quiet Zone Risk Index or Crossing Corridor Risk Index.
    (b) A public authority installing a wayside horn at a grade crossing 
within a quiet zone shall provide written notice that a wayside horn is 
being installed to all railroads operating over the public highway-rail 
grade crossings within the quiet zone, the highway or traffic control 
authority or law enforcement authority having control over vehicular 
traffic at the crossings within the quiet zone, the landowner having 
control over any private crossings within the quiet zone, the State 
agency responsible for grade crossing safety, the State agency 
responsible for highway and road safety, and the Associate 
Administrator. This notice shall provide the date on which the wayside 
horn will be operational and identify the grade crossing at which the 
wayside horn shall be installed by both the U.S. DOT National Highway-
Rail Grade Crossing Inventory Number and street or highway name. The 
railroad or public authority shall provide notification of the 
operational date at least 21 days in advance.
    (c) A railroad or public authority installing a wayside horn at a 
grade crossing located outside a quiet zone shall provide written notice 
that a wayside horn is being installed to all railroads operating over 
the public highway-rail grade crossing, the highway or traffic control 
authority or law enforcement authority having control over vehicular 
traffic at the crossing, the State agency responsible for grade crossing 
safety, the State agency responsible for highway and road safety, and 
the Associate Administrator. This notice shall provide the date on which 
the wayside horn will be operational and identify the grade crossing at 
which the wayside horn shall be installed by both the U.S. DOT National 
Highway-Rail Grade Crossing Inventory Number and street or highway name. 
The railroad or public authority shall provide notification of the 
operational date at least 21 days in advance.
    (d) A railroad operating over a grade crossing equipped with an 
operational wayside horn installed within a quiet zone pursuant to this 
section shall cease routine locomotive horn use at the grade crossing. A 
railroad operating over a grade crossing that is

[[Page 403]]

equipped with a wayside horn and located outside of a quiet zone shall 
cease routine locomotive horn use at the grade crossing on the 
operational date specified in the notice required by paragraph (c) of 
this section.



   Sec. Appendix A to Part 222--Approved Supplementary Safety Measures

    A. Requirements and Effectiveness Rates for Supplementary Safety 
                                Measures

    This section provides a list of approved supplementary safety 
measures (SSMs) that may be installed at highway-rail grade crossings 
within quiet zones for risk reduction credit. Each SSM has been assigned 
an effectiveness rate, which may be subject to adjustment as research 
and demonstration projects are completed and data is gathered and 
refined. Sections B and C govern the process through which risk 
reduction credit for pre-existing SSMs can be determined.
    1. Temporary Closure of a Public Highway-Rail Grade Crossing: Close 
the crossing to highway traffic during designated quiet periods. (This 
SSM can only be implemented within Partial Quiet Zones.)
    Effectiveness: 1.0.
    Because an effective closure system prevents vehicle entrance onto 
the crossing, the probability of a collision with a train at the 
crossing is zero during the period the crossing is closed. Effectiveness 
would therefore equal 1. However, analysis should take into 
consideration that traffic would need to be redistributed among adjacent 
crossings or grade separations for the purpose of estimating risk 
following the silencing of train horns, unless the particular 
``closure'' was accomplished by a grade separation.
    Required:
    a. The closure system must completely block highway traffic on all 
approach lanes to the crossing.
    b. The closure system must completely block adjacent pedestrian 
crossings.
    c. Public highway-rail grade crossings located within New Partial 
Quiet Zones shall be closed from 10 p.m. until 7 a.m. every day. Public 
highway-rail grade crossings located within Pre-Rule Partial Quiet Zones 
may only be closed during one period each 24 hours.
    d. Barricdes and signs used for closure of the roadway shall conform 
to the standards contained in the MUTCD.
    e. Daily activation and deactivation of the system is the 
responsibility of the public authority responsible for maintenance of 
the street or highway crossing the railroad tracks. The public authority 
may provide for third party activation and deactivation; however, the 
public authority shall remain fully responsible for compliance with the 
requirements of this part.
    f. The system must be tamper and vandal resistant to the same extent 
as other traffic control devices.
    g. The closure system shall be equipped with a monitoring device 
that contains an indicator which is visible to the train crew prior to 
entering the crossing. The indicator shall illuminate whenever the 
closure device is deployed.
    Recommended:
    Signs for alternate highway traffic routes should be erected in 
accordance with MUTCD and State and local standards and should inform 
pedestrians and motorists that the streets are closed, the period for 
which they are closed, and that alternate routes must be used.
    2. Four-Quadrant Gate System: Install gates at a crossing sufficient 
to fully block highway traffic from entering the crossing when the gates 
are lowered, including at least one gate for each direction of traffic 
on each approach.
    Effectiveness:
    Four-quadrant gates only, no presence detection: .82.
    Four-quadrant gates only, with presence detection: .77.
    Four-quadrant gates with traffic of at least 60 feet (with or 
without presence detection): .92.

    Note: The higher effectiveness rate for four-quadrant gates without 
presence detection does not mean that they are inherently safer than 
four-quadrant gates with presence detection. Four-quadrant gates with 
presence detection have been assigned a lower effectiveness rate because 
motorists may learn to delay the lowering of the exit gates by driving 
onto the opposing lane of traffic immediately after an opposing car has 
driven over the grade crossing. Since the presence detection will keep 
the exit gate raised, other motorists at the crossing who observe this 
scenario may also be tempted to take advantage of the raised exit gate 
by driving around the lowered entrance gates, thus increasing the 
potential for a crossing collision.
    It should, however, be noted that there are site-specific 
circumstances (such as nearby highway intersections that could cause 
traffic to back up and stop on the grade crossing), under which the use 
of presence detection would be advisable. For this reason, the various 
effectiveness rates assigned to four-quadrant gate systems should not be 
the sole determining factor as to whether presence detection would be 
advisable. A site-specific study should be performed to determine the 
best application for each proposed installation. Please refer to 
paragraphs (f) and (g) for more information.

    Required:

[[Page 404]]

    Four-quadrant gate systems shall conform to the standards for four-
quadrant gates contained in the MUTCD and shall, in addition, comply 
with the following:
    a. When a train is approaching, all highway approach and exit lanes 
on both sides of the highway-rail crossing must be spanned by gates, 
thus denying to the highway user the option of circumventing the 
conventional approach lane gates by switching into the opposing 
(oncoming) traffic lane in order to enter the crossing and cross the 
tracks.
    b. Crossing warning systems must be activated by use of constant 
warning time devices unless existing conditions at the crossing would 
prevent the proper operation of the constant warning time devices.
    c. Crossing warning systems must be equipped with power-out 
indicators.

    Note: Requirements b and c apply only to New Quiet Zones or New 
Partial Quiet Zones. Constant warning time devices and power-out 
indicators are not required to be added to existing warning systems in 
Pre-Rule Quiet Zones and Pre-Rule Partial Quiet Zones. However, if 
existing automatic warning device systems in Pre-Rule Quiet Zones and 
Pre-Rule Partial Quiet Zones are renewed, or new automatic warning 
device systems are installed, power-out indicators and constant warning 
time devices are required, unless existing conditions at the crossing 
would prevent the proper operation of the constant warning devices.

    d. The gap between the ends of the entrance and exit gates (on the 
same side of the railroad tracks) when both are in the fully lowered, or 
down, position must be less than two feet if no median is present. If 
the highway approach is equipped with a median or a channelization 
device between the approach and exit lanes, the lowered gates must reach 
to within one foot of the median or channelization device, measured 
horizontally across the road from the end of the lowered gate to the 
median or channelization device or to a point over the edge of the 
median or channelization device. The gate and the median top or 
channelization device do not have to be at the same elevation.
    e. ``Break-away'' channelization devices must be frequently 
monitored to replace broken elements.
    Recommendations for new installations only:
    f. Gate timing should be established by a qualified traffic engineer 
based on site specific determinations. Such determination should 
consider the need for and timing of a delay in the descent of the exit 
gates (following descent of the conventional entrance gates). Factors to 
be considered may include available storage space between the gates that 
is outside the fouling limits of the track(s) and the possibility that 
traffic flows may be interrupted as a result of nearby intersections.
    g. A determination should be made as to whether it is necessary to 
provide vehicle presence detectors (VPDs) to open or keep open the exit 
gates until all vehicles are clear of the crossing. VPD should be 
installed on one or both sides of the crossing and/or in the surface 
between the rails closest to the field. Among the factors that should be 
considered are the presence of intersecting roadways near the crossing, 
the priority that the traffic crossing the railroad is given at such 
intersections, the types of traffic control devices at those 
intersections, and the presence and timing of traffic signal preemption.
    h. Highway approaches on one or both sides of the highway-rail 
crossing may be provided with medians or channelization devices between 
the opposing lanes. Medians should be defined by a non-traversable curb 
or traversable curb, or by reflectorized channelization devices, or by 
both.
    i. Remote monitoring (in addition to power-out indicators, which are 
required) of the status of these crossing systems is preferable. This is 
especially important in those areas in which qualified railroad signal 
department personnel are not readily available.
    3. Gates With Medians or Channelization Devices: Install medians or 
channelization devices on both highway approaches to a public highway-
rail grade crossing denying to the highway user the option of 
circumventing the approach lane gates by switching into the opposing 
(oncoming) traffic lane and driving around the lowered gates to cross 
the tracks.
    Effectiveness:
    Channelization devices--.75.
    Non-traversable curbs with or without channelization devices-- .80.
    Required:
    a. Opposing traffic lanes on both highway approaches to the crossing 
must be separated by either: (1) medians bounded by non-traversable 
curbs or (2) channelization devices.
    b. Medians or channelization devices must extend at least 100 feet 
from the gate arm, or if there is an intersection within 100 feet of the 
gate, the median or channelization device must extend at least 60 feet 
from the gate arm.
    c. Intersections of two or more streets, or a street and an alley, 
that are within 60 feet of the gate arm must be closed or relocated. 
Driveways for private, residential properties (up to four units) within 
60 feet of the gate arm are not considered to be intersections under 
this part and need not be closed. However, consideration should be given 
to taking steps to ensure that motorists exiting the driveways are not 
able to move against the flow of traffic to circumvent the purpose of 
the median and drive around lowered gates. This may be accomplished by 
the posting of

[[Page 405]]

``no left turn'' signs or other means of notification. For the purpose 
of this part, driveways accessing commercial properties are considered 
to be intersections and are not allowed. It should be noted that if a 
public authority can not comply with the 60 feet or 100 feet 
requirement, it may apply to FRA for a quiet zone under Sec. 222.39(b), 
``Public authority application to FRA.'' Such arrangement may qualify 
for a risk reduction credit in calculation of the Quiet Zone Risk Index. 
Similarly, if a public authority finds that it is feasible to only 
provide channelization on one approach to the crossing, it may also 
apply to FRA for approval under Sec. 222.39(b). Such an arrangement may 
also qualify for a risk reduction credit in calculation of the Quiet 
Zone Risk Index.
    d. Crossing warning systems must be activated by use of constant 
warning time devices unless existing conditions at the crossing would 
prevent the proper operation of the constant warning time devices.
    e. Crossing warning systems must be equipped with power-out 
indicators. Note: Requirements d and e apply only to New Quiet Zones and 
New Partial Quiet Zones. Constant warning time devices and power-out 
indicators are not required to be added to existing warning systems in 
Pre-Rule Quiet Zones or Pre-Rule Partial Quiet Zones. However, if 
existing automatic warning device systems in Pre-Rule Quiet Zones and 
Pre-Rule Partial Quiet Zones are renewed, or new automatic warning 
device systems are installed, power-out indicators and constant warning 
time devices are required, unless existing conditions at the crossing 
would prevent the proper operation of the constant warning devices.
    f. The gap between the lowered gate and the curb or channelization 
device must be one foot or less, measured horizontally across the road 
from the end of the lowered gate to the curb or channelization device or 
to a point over the curb edge or channelization device. The gate and the 
curb top or channelization device do not have to be at the same 
elevation.
    g. ``Break-away'' channelization devices must be frequently 
monitored to replace broken elements.
    4. One Way Street with Gate(s): Gate(s) must be installed such that 
all approaching highway lanes to the public highway-rail grade crossing 
are completely blocked.
    Effectiveness: .82.
    Required:
    a. Gate arms on the approach side of the crossing should extend 
across the road to within one foot of the far edge of the pavement. If a 
gate is used on each side of the road, the gap between the ends of the 
gates when both are in the lowered, or down, position must be no more 
than two feet.
    b. If only one gate is used, the edge of the road opposite the gate 
mechanism must be configured with a non-traversable curb extending at 
least 100 feet.
    c. Crossing warning systems must be activated by use of constant 
warning time devices unless existing conditions at the crossing would 
prevent the proper operation of the constant warning time devices.
    d. Crossing warning systems must be equipped with power-out 
indicators.

    Note: Requirements c and d apply only to New Quiet Zones and New 
Partial Quiet Zones. Constant warning time devices and power-out 
indicators are not required to be added to existing warning systems in 
Pre-Rule Quiet Zones or Pre-Rule Partial Quiet Zones. If automatic 
warning systems are, however, installed or renewed in a Pre-Rule Quiet 
or Pre-Rule Partial Quiet Zone, power-out indicators and constant 
warning time devices shall be installed, unless existing conditions at 
the crossing would prevent the proper operation of the constant warning 
time devices.

    5. Permanent Closure of a Public Highway-Rail Grade Crossing: 
Permanently close the crossing to highway traffic.
    Effectiveness: 1.0.
    Required:
    a. The closure system must completely block highway traffic from 
entering the grade crossing.
    b. Barricades and signs used for closure of the roadway shall 
conform to the standards contained in the MUTCD.
    c. The closure system must be tamper and vandal resistant to the 
same extent as other traffic control devices.
    d. Since traffic will be redistributed among adjacent crossings, the 
traffic counts for adjacent crossings shall be increased to reflect the 
diversion of traffic from the closed crossing.

B. Credit for Pre-Existing SSMs in New Quiet Zones and New Partial Quiet 
                                  Zones

    A community that has implemented a pre-existing SSM at a public 
grade crossing can receive risk reduction credit by inflating the Risk 
Index With Horns as follows:
    1. Calculate the current risk index for the grade crossing that is 
equipped with a qualifying, pre-existing SSM. (See appendix D. FRA's 
web-based Quiet Zone Calculator may be used to complete this 
calculation.)
    2. Adjust the risk index by accounting for the increased risk that 
was avoided by implementing the pre-existing SSM at the public grade 
crossing. This adjustment can be made by dividing the risk index by one 
minus the SSM effectiveness rate. (For example, the risk index for a 
crossing equipped with pre-existing channelization devices would be 
divided by .25.)
    3. Add the current risk indices for the other public grade crossings 
located within the proposed quiet zone and divide by the

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number of crossings. The resulting risk index will be the new Risk Index 
With Horns for the proposed quiet zone.

  C. Credit for Pre-Existing SSMs in Pre-Rule Quiet Zones and Pre-Rule 
                           Partial Quiet Zones

    A community that has implemented a pre-existing SSM at a public 
grade crossing can receive risk reduction credit by inflating the Risk 
Index With Horns as follows:
    1. Calculate the current risk index for the grade crossing that is 
equipped with a qualifying, pre-existing SSM. (See appendix D. FRA's 
web-based Quiet Zone Calculator may be used to complete this 
calculation.)
    2. Reduce the current risk index for the grade crossing to reflect 
the risk reduction that would have been achieved if the locomotive horn 
was routinely sounded at the crossing. The following list sets forth the 
estimated risk reduction for certain types of crossings:
    a. Risk indices for passive crossings shall be reduced by 43%;
    b. Risk indices for grade crossings equipped with automatic flashing 
lights shall be reduced by 27%; and
    c. Risk indices for gated crossings shall be reduced by 40%.
    3. Adjust the risk index by accounting for the increased risk that 
was avoided by implementing the pre-existing SSM at the public grade 
crossing. This adjustment can be made by dividing the risk index by one 
minus the SSM effectiveness rate. (For example, the risk index for a 
crossing equipped with pre-existing channelization devices would be 
divided by .25.)
    4. Adjust the risk indices for the other crossings that are included 
in the Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone by reducing 
the current risk index to reflect the risk reduction that would have 
been achieved if the locomotive horn was routinely sounded at each 
crossing. Please refer to step two for the list of approved risk 
reduction percentages by crossing type.
    5. Add the new risk indices for each crossing located within the 
proposed quiet zone and divide by the number of crossings. The resulting 
risk index will be the new Risk Index With Horns for the quiet zone.



        Sec. Appendix B to Part 222--Alternative Safety Measures

                              Introduction

    A public authority seeking approval of a quiet zone under public 
authority application to FRA (Sec. 222.39(b)) may include ASMs listed 
in this appendix in its proposal. This appendix addresses three types of 
ASMs: Modified SSMs, Non-Engineering ASMs, and Engineering ASMs. 
Modified SSMs are SSMs that do not fully comply with the provisions 
listed in appendix A. As provided in section I.B. of this appendix, 
public authorities can obtain risk reduction credit for pre-existing 
modified SSMs under the final rule. Non-engineering ASMs consist of 
programmed enforcement, public education and awareness, and photo 
enforcement programs that may be used to reduce risk within a quiet 
zone. Engineering ASMs consist of engineering improvements that address 
underlying geometric conditions, including sight distance, that are the 
source of increased risk at crossings.

                            I. Modified SSMs

        A. Requirements and Effectiveness Rates for Modified SSMs

    1. If there are unique circumstances pertaining to a specific 
crossing or number of crossings which prevent SSMs from being fully 
compliant with all of the SSM requirements listed in appendix A, those 
SSM requirements may be adjusted or revised. In that case, the SSM, as 
modified by the public authority, will be treated as an ASM under this 
appendix B, and not as a SSM under appendix A. After reviewing the 
estimated safety effect of the modified SSM and the proposed quiet zone, 
FRA will approve the proposed quiet zone if FRA finds that the Quiet 
Zone Risk Index will be reduced to a level at or below either the Risk 
Index With Horns or the Nationwide Significant Risk Threshold.
    2. The public authority must provide estimates of effectiveness. 
These estimates may be based upon adjustments from the effectiveness 
levels provided in appendix A or from actual field data derived from the 
crossing sites. The specific crossing and applied mitigation measure 
will be assessed to determine the effectiveness of the modified SSM. FRA 
will continue to develop and make available effectiveness estimates and 
data from experience under the final rule.
    3. If one or more of the requirements associated with an SSM as 
listed in appendix A is revised or deleted, data or analysis supporting 
the revision or deletion must be provided to FRA for review. The 
following engineering types of ASMs may be included in a proposal for 
approval by FRA for creation of a quiet zone: (1) Temporary Closure of a 
Public Highway-Rail Grade Crossing, (2) Four-Quadrant Gate System, (3) 
Gates With Medians or Channelization Devices, and (4) One-Way Street 
With Gate(s).

  B. Credit for Pre-Existing Modified SSMs in New Quiet Zones and New 
                           Partial Quiet Zones

    A community that has implemented a pre-existing modified SSM at a 
public grade crossing can receive risk reduction credit by inflating the 
Risk Index With Horns as follows:
    1. Calculate the current risk index for the grade crossing that is 
equipped with a pre-existing modified SSM. (See appendix D.

[[Page 407]]

FRA's web-based Quiet Zone Calculator may be used to complete this 
calculation.)
    2. Obtain FRA approval of the estimated effectiveness rate for the 
pre-existing modified SSM. Estimated effectiveness rates may be based 
upon adjustments from the SSM effectiveness rates provided in appendix A 
or actual field data derived from crossing sites.
    3. Adjust the risk index by accounting for the increased risk that 
was avoided by implementing the pre-existing modified SSM at the public 
grade crossing. This adjustment can be made by dividing the risk index 
by one minus the FRA-approved modified SSM effectiveness rate.
    4. Add the current risk indices for the other public grade crossings 
located within the proposed quiet zone and divide by the number of 
crossings. The resulting risk index will be the new Risk Index With 
Horns for the proposed quiet zone.

  C. Credit for Pre-Existing Modified SSMs in Pre-Rule Quiet Zones and 
                      Pre-Rule Partial Quiet Zones

    A community that has implemented a pre-existing modified SSM at a 
public grade crossing can receive risk reduction credit by inflating the 
Risk Index With Horns as follows:
    1. Calculate the current risk index for the grade crossing that is 
equipped with a pre-existing modified SSM. (See appendix D. FRA's web-
based Quiet Zone Calculator may be used to complete this calculation.)
    2. Reduce the current risk index for the grade crossing to reflect 
the risk reduction that would have been achieved if the locomotive horn 
was routinely sounded at the crossing. The following list sets forth the 
estimated risk reduction for certain types of crossings:
    a. Risk indices for passive crossings shall be reduced by 43%;
    b. Risk indices for grade crossings equipped with automatic flashing 
lights shall be reduced by 27%; and
    c. Risk indices for gated crossings shall be reduced by 40%.
    3. Obtain FRA approval of the estimated effectiveness rate for the 
pre-existing modified SSM. Estimated effectiveness rates may be based 
upon adjustments from the SSM effectiveness rates provided in appendix A 
or actual field data derived from crossing sites.
    4. Adjust the risk index by accounting for the increased risk that 
was avoided by implementing the pre-existing modified SSM at the public 
grade crossing. This adjustment can be made by dividing the risk index 
by one minus the FRA-approved modified SSM effectiveness rate.
    5. Adjust the risk indices for the other crossings that are included 
in the Pre-Rule Quiet Zone or Pre-Rule Partial Quiet Zone by reducing 
the current risk index to reflect the risk reduction that would have 
been achieved if the locomotive horn was routinely sounded at each 
crossing. Please refer to step two for the list of approved risk 
reduction percentages by crossing type.
    6. Add the new risk indices for each crossing located within the 
proposed quiet zone and divide by the number of crossings. The resulting 
risk index will be the new Risk Index With Horns for the quiet zone.

                        II. Non-Engineering ASMs

    A. The following non-engineering ASMs may be used in the creation of 
a Quiet Zone: (The method for determining the effectiveness of the non-
engineering ASMs, the implementation of the quiet zone, subsequent 
monitoring requirements, and dealing with an unacceptable effectiveness 
rate is provided in paragraph B.)
    1. Programmed Enforcement: Community and law enforcement officials 
commit to a systematic and measurable crossing monitoring and traffic 
law enforcement program at the public highway-rail grade crossing, alone 
or in combination with the Public Education and Awareness ASM.
    Required:
    a. Subject to audit, a statistically valid baseline violation rate 
must be established through automated or systematic manual monitoring or 
sampling at the subject crossing(s); and
    b. A law enforcement effort must be defined, established and 
continued along with continual or regular monitoring that provides a 
statistically valid violation rate that indicates the effectiveness of 
the law enforcement effort.
    c. The public authority shall retain records pertaining to 
monitoring and sampling efforts at the grade crossing for a period of 
not less than five years. These records shall be made available, upon 
request, to FRA as provided by 49 U.S.C. 20107.
    2. Public Education and Awareness: Conduct, alone or in combination 
with programmed law enforcement, a program of public education and 
awareness directed at motor vehicle drivers, pedestrians and residents 
near the railroad to emphasize the risks associated with public highway-
rail grade crossings and applicable requirements of state and local 
traffic laws at those crossings.
    Requirements:
    a. Subject to audit, a statistically valid baseline violation rate 
must be established through automated or systematic manual monitoring or 
sampling at the subject crossing(s); and
    b. A sustainable public education and awareness program must be 
defined, established and continued along with continual or regular 
monitoring that provides a statistically valid violation rate that 
indicates the effectiveness of the public education and

[[Page 408]]

awareness effort. This program shall be provided and supported primarily 
through local resources.
    c. The public authority shall retain records pertaining to 
monitoring and sampling efforts at the grade crossing for a period of 
not less than five years. These records shall be made available, upon 
request, to FRA as provided by 49 U.S.C. 20107.
    3. Photo Enforcement: This ASM entails automated means of gathering 
valid photographic or video evidence of traffic law violations at a 
public highway-rail grade crossing together with follow-through by law 
enforcement and the judiciary.
    Requirements:
    a. State law authorizing use of photographic or video evidence both 
to bring charges and sustain the burden of proof that a violation of 
traffic laws concerning public highway-rail grade crossings has 
occurred, accompanied by commitment of administrative, law enforcement 
and judicial officers to enforce the law;
    b. Sanction includes sufficient minimum fine (e.g., $100 for a first 
offense, ``points'' toward license suspension or revocation) to deter 
violations;
    c. Means to reliably detect violations (e.g., loop detectors, video 
imaging technology);
    d. Photographic or video equipment deployed to capture images 
sufficient to document the violation (including the face of the driver, 
if required to charge or convict under state law).

    Note: This does not require that each crossing be continually 
monitored. The objective of this option is deterrence, which may be 
accomplished by moving photo/video equipment among several crossing 
locations, as long as the motorist perceives the strong possibility that 
a violation will lead to sanctions. Each location must appear identical 
to the motorist, whether or not surveillance equipment is actually 
placed there at the particular time. Surveillance equipment should be in 
place and operating at each crossing at least 25 percent of each 
calendar quarter.

    e. Appropriate integration, testing and maintenance of the system to 
provide evidence supporting enforcement;
    f. Public awareness efforts designed to reinforce photo enforcement 
and alert motorists to the absence of train horns;
    g. Subject to audit, a statistically valid baseline violation rate 
must be established through automated or systematic manual monitoring or 
sampling at the subject crossing(s); and
    h. A law enforcement effort must be defined, established and 
continued along with continual or regular monitoring.
    i. The public authority shall retain records pertaining to 
monitoring and sampling efforts at the grade crossing for a period of 
not less than five years. These records shall be made available, upon 
request, to FRA as provided by 49 U.S.C. 20107.
    B. The effectiveness of an ASM will be determined as follows:
    1. Establish the quarterly (three months) baseline violation rates 
for each crossing in the proposed quiet zone.
    a. A violation in this context refers to a motorist not complying 
with the automatic warning devices at the crossing (not stopping for the 
flashing lights and driving over the crossing after the gate arms have 
started to descend, or driving around the lowered gate arms). A 
violation does not have to result in a traffic citation for the 
violation to be considered.
    b. Violation data may be obtained by any method that can be shown to 
provide a statistically valid sample. This may include the use of video 
cameras, other technologies (e.g., inductive loops), or manual 
observations that capture driver behavior when the automatic warning 
devices are operating.
    c. If data is not collected continuously during the quarter, 
sufficient detail must be provided in the application in order to 
validate that the methodology used results in a statistically valid 
sample. FRA recommends that at least a minimum of 600 samples (one 
sample equals one gate activation) be collected during the baseline and 
subsequent quarterly sample periods.
    d. The sampling methodology must take measures to avoid biases in 
their sampling technique. Potential sampling biases could include: 
Sampling on certain days of the week but not others; sampling during 
certain times of the day but not others; sampling immediately after 
implementation of an ASM while the public is still going through an 
adjustment period; or applying one sample method for the baseline rate 
and another for the new rate.
    e. The baseline violation rate should be expressed as the number of 
violations per gate activations in order to normalize for unequal gate 
activations during subsequent data collection periods.
    f. All subsequent quarterly violation rate calculations must use the 
same methodology as stated in this paragraph unless FRA authorizes 
another methodology.
    2. The ASM should then be initiated for each crossing. Train horns 
are still being sounded during this time period.
    3. In the calendar quarter following initiation of the ASM, 
determine a new quarterly violation rate using the same methodology as 
in paragraph (1) above.
    4. Determine the violation rate reduction for each crossing by the 
following formula:

Violation rate reduction = (new rate - baseline rate)/baseline rate


[[Page 409]]


    5. Determine the effectiveness rate of the ASM for each crossing by 
multiplying the violation rate reduction by .78.
    6. Using the effectiveness rates for each grade crossing treated by 
an ASM, determine the Quiet Zone Risk Index. If and when the Quiet Zone 
Risk Index for the proposed quiet zone has been reduced to a level at, 
or below, the Risk Index With Horns or the Nationwide Significant Risk 
Threshold, the public authority may apply to FRA for approval of the 
proposed quiet zone. Upon receiving written approval of the quiet zone 
application from FRA, the public authority may then proceed with 
notifications and implementation of the quiet zone.
    7. Violation rates must be monitored for the next two calendar 
quarters and every second quarter thereafter. If, after five years from 
the implementation of the quiet zone, the violation rate for any quarter 
has never exceeded the violation rate that was used to determine the 
effectiveness rate that was approved by FRA, violation rates may be 
monitored for one quarter per year.
    8. In the event that the violation rate is ever greater than the 
violation rate used to determine the effectiveness rate that was 
approved by FRA, the public authority may continue the quiet zone for 
another quarter. If, in the second quarter the violation rate is still 
greater than the rate used to determine the effectiveness rate that was 
approved by FRA, a new effectiveness rate must be calculated and the 
Quiet Zone Risk Index re-calculated using the new effectiveness rate. If 
the new Quiet Zone Risk Index indicates that the ASM no longer fully 
compensates for the lack of a train horn, or that the risk level is 
equal to, or exceeds the National Significant Risk Threshold, the 
procedures for dealing with unacceptable effectiveness after 
establishment of a quiet zone should be followed.

                          III. Engineering ASMs

    A. Engineering improvements, other than modified SSMs, may be used 
in the creation of a Quiet Zone. These engineering improvements, which 
will be treated as ASMs under this appendix, may include improvements 
that address underlying geometric conditions, including sight distance, 
that are the source of increased risk at the crossing.
    B. The effectiveness of an Engineering ASM will be determined as 
follows:
    1. Establish the quarterly (three months) baseline violation rate 
for the crossing at which the Engineering ASM will be applied.
    a. A violation in this context refers to a motorist not complying 
with the automatic warning devices at the crossing (not stopping for the 
flashing lights and driving over the crossing after the gate arms have 
started to descend, or driving around the lowered gate arms). A 
violation does not have to result in a traffic citation for the 
violation to be considered.
    b. Violation data may be obtained by any method that can be shown to 
provide a statistically valid sample. This may include the use of video 
cameras, other technologies (e.g. inductive loops), or manual 
observations that capture driver behavior when the automatic warning 
devices are operating.
    c. If data is not collected continuously during the quarter, 
sufficient detail must be provided in the application in order to 
validate that the methodology used results in a statistically valid 
sample. FRA recommends that at least a minimum of 600 samples (one 
sample equals one gate activation) be collected during the baseline and 
subsequent quarterly sample periods.
    d. The sampling methodology must take measures to avoid biases in 
their sampling technique. Potential sampling biases could include: 
Sampling on certain days of the week but not others; sampling during 
certain times of the day but not others; sampling immediately after 
implementation of an ASM while the public is still going through an 
adjustment period; or applying one sample method for the baseline rate 
and another for the new rate.
    e. The baseline violation rate should be expressed as the number of 
violations per gate activations in order to normalize for unequal gate 
activations during subsequent data collection periods.
    f. All subsequent quarterly violation rate calculations must use the 
same methodology as stated in this paragraph unless FRA authorizes 
another methodology.
    2. The Engineering ASM should be initiated at the crossing. Train 
horns are still being sounded during this time period.
    3. In the calendar quarter following initiation of the Engineering 
ASM, determine a new quarterly violation rate using the same methodology 
as in paragraph (1) above.
    4. Determine the violation rate reduction for the crossing by the 
following formula:

Violation rate reduction = (new rate - baseline rate)/baseline rate

    5. Using the Engineering ASM effectiveness rate, determine the Quiet 
Zone Risk Index. If and when the Quiet Zone Risk Index for the proposed 
quiet zone has been reduced to a risk level at or below the Risk Index 
With Horns or the Nationwide Significant Risk Threshold, the public 
authority may apply to FRA for approval of the quiet zone. Upon 
receiving written approval of the quiet zone application from FRA, the 
public authority may then proceed with notifications and implementation 
of the quiet zone.
    6. Violation rates must be monitored for the next two calendar 
quarters. Unless otherwise provided in FRA's notification of quiet zone 
approval, if the violation rate for these two calendar quarters does not 
exceed

[[Page 410]]

the violation rate that was used to determine the effectiveness rate 
that was approved by FRA, the public authority can cease violation rate 
monitoring.
    7. In the event that the violation rate over either of the next two 
calendar quarters are greater than the violation rate used to determine 
the effectiveness rate that was approved by FRA, the public authority 
may continue the quiet zone for a third calendar quarter. However, if 
the third calendar quarter violation rate is also greater than the rate 
used to determine the effectiveness rate that was approved by FRA, a new 
effectiveness rate must be calculated and the Quiet Zone Risk Index re-
calculated using the new effectiveness rate. If the new Quiet Zone Risk 
Index exceeds the Risk Index With Horns and the Nationwide Significant 
Risk Threshold, the procedures for dealing with unacceptable 
effectiveness after establishment of a quiet zone should be followed.



     Sec. Appendix C to Part 222--Guide to Establishing Quiet Zones

                              Introduction

    This Guide to Establishing Quiet Zones (Guide) is divided into five 
sections in order to address the variety of methods and conditions that 
affect the establishment of quiet zones under this rule.
    Section I of the Guide provides an overview of the different ways in 
which a quiet zone may be established under this rule. This includes a 
brief discussion on the safety thresholds that must be attained in order 
for train horns to be silenced and the relative merits of each. It also 
includes the two general methods that may be used to reduce risk in the 
proposed quiet zone, and the different impacts that the methods have on 
the quiet zone implementation process. This section also discusses 
Partial (e.g. night time only quiet zones) and Intermediate Quiet Zones. 
An Intermediate Quiet Zone is one where horn restrictions were in place 
after October 9, 1996, but as of December 18, 2003.
    Section II of the Guide provides information on establishing New 
Quiet Zones. A New Quiet Zone is one at which train horns are currently 
being sounded at crossings. The Public Authority Designation and Public 
Authority Application to FRA methods will be discussed in depth.
    Section III of the Guide provides information on establishing Pre-
Rule Quiet Zones. A Pre-Rule Quiet Zone is one where train horns were 
not routinely sounded as of October 9, 1996 and December 18, 2003. The 
differences between New and Pre-Rule Quiet Zones will be explained. 
Public Authority Designation and Public Authority Application to FRA 
methods also apply to Pre-Rule Quiet Zones.
    Section IV of the Guide deals with the required notifications that 
must be provided by public authorities when establishing both New and 
continuing Pre-Rule or Intermediate Quiet Zones.
    Section V of the Guide provides examples of quiet zone 
implementation.

                           Section I--Overview

    In order for a quiet zone to be qualified under this rule, it must 
be shown that the lack of the train horn does not present a significant 
risk with respect to loss of life or serious personal injury, or that 
the significant risk has been compensated for by other means. The rule 
provides four basic ways in which a quiet zone may be established. 
Creation of both New Quiet Zones and Pre-Rule Quiet Zones are based on 
the same general guidelines; however, there are a number of differences 
that will be noted in the discussion on Pre-Rule Quiet Zones.

                        A. Qualifying Conditions

    (1) One of the following four conditions or scenarios must be met in 
order to show that the lack of the train horn does not present a 
significant risk, or that the significant risk has been compensated for 
by other means:
    a. One or more SSMs as identified in appendix A are installed at 
each public crossing in the quiet zone; or
    b. The Quiet Zone Risk Index is equal to, or less than, the 
Nationwide Significant Risk Threshold without implementation of 
additional safety measures at any crossings in the quiet zone; or
    c. Additional safety measures are implemented at selected crossings 
resulting in the Quiet Zone Risk Index being reduced to a level equal 
to, or less than, the Nationwide Significant Risk Threshold; or
    d. Additional safety measures are taken at selected crossings 
resulting in the Quiet Zone Risk Index being reduced to at least the 
level of the Risk Index With Horns (that is, the risk that would exist 
if train horns were sounded at every public crossing in the quiet zone).
    (2) It is important to consider the implications of each approach 
before deciding which one to use. If a quiet zone is qualified based on 
reference to the Nationwide Significant Risk Threshold (i.e. the Quiet 
Zone Risk Index is equal to, or less than, the Nationwide Significant 
Risk Threshold--see the second and third scenarios above), then an 
annual review will be done by FRA to determine if the Quiet Zone Risk 
Index remains equal to, or less than, the Nationwide Significant Risk 
Threshold. Since the Nationwide Significant Risk Threshold and the Quiet 
Zone Risk Index may change from year to year, there is no guarantee that 
the quiet zone will remain qualified. The circumstances that cause the 
disqualification

[[Page 411]]

may not be subject to the control of the public authority. For example, 
an overall national improvement in safety at gated crossings may cause 
the Nationwide Significant Risk Threshold to fall. This may cause the 
Quiet Zone Risk Index to become greater than the Nationwide Significant 
Risk Threshold. If the quiet zone is no longer qualified, then the 
public authority will have to take additional measures, and may incur 
additional costs that might not have been budgeted, to once again lower 
the Quiet Zone Risk Index to at least the Nationwide Significant Risk 
Threshold in order to retain the quiet zone. Therefore, while the 
initial cost to implement a quiet zone under the second or third 
scenario may be lower than the other options, these scenarios also carry 
a degree of uncertainty about the quiet zone's continued existence.
    (3) The use of the first or fourth scenarios reduces the risk level 
to at least the level that would exist if train horns were sounding in 
the quiet zone. These methods may have higher initial costs because more 
safety measures may be necessary in order to achieve the needed risk 
reduction. Despite the possibility of greater initial costs, there are 
several benefits to these methods. The installation of SSMs at every 
crossing will provide the greatest safety benefit of any of the methods 
that may be used to initiate a quiet zone. With both of these methods 
(first and fourth scenarios), the public authority will never need to be 
concerned about the Nationwide Significant Risk Threshold, annual 
reviews of the Quiet Zone Risk Index, or failing to be qualified because 
the Quiet Zone Risk Index is higher than the Nationwide Significant Risk 
Threshold. Public authorities are strongly encouraged to carefully 
consider both the pros and cons of all of the methods and to choose the 
method that will best meet the needs of its citizens by providing a 
safer and quieter community.
    (4) For the purposes of this Guide, the term ``Risk Index with 
Horns'' is used to represent the level of risk that would exist if train 
horns were sounded at every public crossing in the proposed quiet zone. 
If a public authority decides that it would like to fully compensate for 
the lack of a train horn and not install SSMs at each public crossing in 
the quiet zone, it must reduce the Quiet Zone Risk Index to a level that 
is equal to, or less than, the Risk Index with Horns. The Risk Index 
with Horns is similar to the Nationwide Significant Risk Threshold in 
that both are targets that must be reached in order to establish a quiet 
zone under the rule. Quiet zones that are established by reducing the 
Quiet Zone Risk Index to at least the level of the Nationwide 
Significant Risk Threshold will be reviewed annually by FRA to determine 
if they still qualify under the rule to retain the quiet zone. Quiet 
zones that are established by reducing the Quiet Zone Risk Index to at 
least the level of the Risk Index with Horns will not be subject to 
annual reviews.
    (5) The use of FRA's web-based Quiet Zone Calculator is recommended 
to aid in the decision making process (http://www.fra.dot.gov/us/
content/1337). The Quiet Zone Calculator will allow the public authority 
to consider a variety of options in determining which SSMs make the most 
sense. It will also perform the necessary calculations used to determine 
the existing risk level and whether enough risk has been mitigated in 
order to create a quiet zone under this rule.

                        B. Risk Reduction Methods

    FRA has established two general methods to reduce risk in order to 
have a quiet zone qualify under this rule. The method chosen impacts the 
manner in which the quiet zone is implemented.
    1. Public Authority Designation (SSMs)--The Public Authority 
Designation method (Sec. 222.39(a)) involves the use of SSMs (see 
appendix A) at some or all crossings within the quiet zone. The use of 
only SSMs to reduce risk will allow a public authority to designate a 
quiet zone without approval from FRA. If the public authority installs 
SSMs at every crossing within the quiet zone, it need not demonstrate 
that they will reduce the risk sufficiently in order to qualify under 
the rule since FRA has already assessed the ability of the SSMs to 
reduce risk. In other words, the Quiet Zone Calculator does not need to 
be used. However, if only SSMs are installed within the quiet zone, but 
not at every crossing, the public authority must calculate that 
sufficient risk reduction will be accomplished by the SSMs. Once the 
improvements are made, the public authority must make the required 
notifications (which includes a copy of the report generated by the 
Quiet Zone Calculator showing that the risk in the quiet zone has been 
sufficiently reduced), and the quiet zone may be implemented. FRA does 
not need to approve the plan as it has already assessed the ability of 
the SSMs to reduce risk.
    2. Public Authority Application to FRA (ASMs)--The Public Authority 
Application to FRA method (Sec. 222.39(b)) involves the use ASMs (see 
appendix B). ASMs include modified SSMs that do not fully comply with 
the provisions found in appendix A (e.g., shorter than required traffic 
channelization devices), non-engineering ASMs (e.g., programmed law 
enforcement), and engineering ASMs (i.e., engineering improvements other 
than modified SSMs). If the use of ASMs (or a combination of ASMs and 
SSMs) is elected to reduce risk, then the public authority must provide 
a Notice of Intent and then apply to FRA for approval of the quiet zone. 
The application must contain sufficient data and analysis to confirm 
that the proposed ASMs do indeed provide the necessary risk

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reduction. FRA will review the application and will issue a formal 
approval if it determines that risk is reduced to a level that is 
necessary in order to comply with the rule. Once FRA approval has been 
received and the safety measures fully implemented, the public authority 
would then provide a Notice of Quiet Zone Establishment and the quiet 
zone may be implemented. The use of non-engineering ASMs will require 
continued monitoring and analysis throughout the existence of the quiet 
zone to ensure that risk continues to be reduced.
    3. Calculating Risk Reduction--The following should be noted when 
calculating risk reductions in association with the establishment of a 
quiet zone. This information pertains to both New Quiet Zones and Pre-
Rule Quiet Zones and to the Public Authority Designation and Public 
Authority Application to FRA methods.
    Crossing closures: If any public crossing within the quiet zone is 
proposed to be closed, include that crossing when calculating the Risk 
Index with Horns. The effectiveness of a closure is 1.0. However, be 
sure to increase the traffic counts at other crossings within the quiet 
zone and recalculate the risk indices for those crossings that will 
handle the traffic diverted from the closed crossing. It should be noted 
that crossing closures that are already in existence are not considered 
in the risk calculations.

    Example: A proposed New Quiet Zone contains four crossings: A, B, C 
and D streets. A, B and D streets are equipped with flashing lights and 
gates. C Street is a passive crossbuck crossing with a traffic count of 
400 vehicles per day. It is decided that C Street will be closed as part 
of the project. Compute the risk indices for all four streets. The 
calculation for C Street will utilize flashing lights and gates as the 
warning device. Calculate the Crossing Corridor Risk Index by averaging 
the risk indices for all four of the crossings. This value will also be 
the Risk Index with Horns since train horns are currently being sounded. 
To calculate the Quiet Zone Risk Index, first re-calculate the risk 
indices for B and D streets by increasing the traffic count for each 
crossing by 200. (Assume for this example that the public authority 
decided that the traffic from C Street would be equally divided between 
B and D streets.) Increase the risk indices for A, B and D streets by 
66.8% and divide the sum of the three remaining crossings by four. This 
is the initial Quiet Zone Risk Index and accounts for the risk reduction 
caused by closing C Street.

    Grade Separation: Grade separated crossings that were in existence 
before the creation of a quiet zone are not included in any of the 
calculations. However, any public crossings within the quiet zone that 
are proposed to be treated by grade separation should be treated in the 
same manner as crossing closures. Highway traffic that may be diverted 
from other crossings within the quiet zone to the new grade separated 
crossing should be considered when computing the Quiet Zone Risk Index.

    Example: A proposed New Quiet Zone contains four crossings: A, B, C 
and D streets. All streets are equipped with flashing lights and gates. 
C Street is a busy crossing with a traffic count of 25,000 vehicles per 
day. It is decided that C Street will be grade separated as part of the 
project and the existing at-grade crossing closed. Compute the risk 
indices for all four streets. Calculate the Crossing Corridor Risk 
Index, which will also be the Risk Index with Horns, by averaging the 
risk indices for all four of the crossings. To calculate the Quiet Zone 
Risk Index, first re-calculate the risk indices for B and D streets by 
decreasing the traffic count for each crossing by 1,200. (The public 
authority decided that 2,400 motorists will decide to use the grade 
separation at C Street in order to avoid possible delays caused by 
passing trains.) Increase the risk indices for A, B and D streets by 
66.8% and divide the sum of the three remaining crossings by four. This 
is the initial Quiet Zone Risk Index and accounts for the risk reduction 
caused by the grade separation at C Street.

    Pre-Existing SSMs: Risk reduction credit may be taken by a public 
authority for a SSM that was previously implemented and is currently in 
place in the quiet zone. If an existing improvement meets the criteria 
for a SSM as provided in appendix A, the improvement is deemed a Pre-
Existing SSM. Risk reduction credit is obtained by inflating the Risk 
Index With Horns to show what the risk would have been at the crossing 
if the pre-existing SSM had not been implemented. Crossing closures and 
grade separations that occurred prior to the implementation of the quiet 
zone are not Pre-Existing SSMs and do not receive any risk reduction 
credit.

    Example 1. A proposed New Quiet Zone has one crossing that is 
equipped with flashing lights and gates and has medians 100 feet in 
length on both sides of the crossing. The medians conform to the 
requirements in appendix A and qualify as a Pre-Existing SSM. The risk 
index as calculated for the crossing is 10,000. To calculate the Risk 
Index With Horns for this crossing, you divide the risk index by 
difference between one and the effectiveness rate of the pre-existing 
SSM (10,000 / (1-0.75) = 40,000). This value (40,000) would then be 
averaged in with the risk indices of the other crossings to determine 
the proposed quiet zone's Risk Index With Horns. To calculate the Quiet 
Zone Risk Index, the original risk index is increased by 66.8% to 
account for the additional risk attributed to the absence of the train 
horn (10,000 x 1.668 = 16,680). This value (16,680) is then averaged

[[Page 413]]

into the risk indices of the other crossings that have also been 
increased by 66.8%. The resulting average is the Quiet Zone Risk Index.
    Example 2. A Pre-Rule Quiet Zone consisting of four crossings has 
one crossing that is equipped with flashing lights and gates and has 
medians 100 feet in length on both sides of the crossing. The medians 
conform to the requirements in appendix A and qualify as a Pre-Existing 
SSM. The risk index as calculated for the crossing is 20,000. To 
calculate the Risk Index With Horns for this crossing, first reduce the 
risk index by 40 percent to reflect the risk reduction that would be 
achieved if train horns were routinely sounded (20,000 x 0.6 = 12,000). 
Next, divide the resulting risk index by difference between one and the 
effectiveness rate of the pre-existing SSM (12,000 / (1 - 0.75) = 
48,000). This value (48,000) would then be averaged with the adjusted 
risk indices of the other crossings to determine the pre-rule quiet 
zone's Risk Index With Horns. To calculate the Quiet Zone Risk Index, 
the original risk index (20,000) is then averaged into the risk original 
indices of the other crossings. The resulting average is the Quiet Zone 
Risk Index.

    Pre-Existing Modified SSMs: Risk reduction credit may be taken by a 
public authority for a modified SSM that was previously implemented and 
is currently in place in the quiet zone. Modified SSMs are Alternative 
Safety Measures which must be approved by FRA. If an existing 
improvement is approved by FRA as a modified SSM as provided in appendix 
B, the improvement is deemed a Pre-Existing Modified SSM. Risk reduction 
credit is obtained by inflating the Risk Index With Horns to show what 
the risk would have been at the crossing if the pre-existing SSM had not 
been implemented. The effectiveness rate of the modified SSM will be 
determined by FRA. The public authority may provide information to FRA 
to be used in determining the effectiveness rate of the modified SSM. 
Once an effectiveness rate has been determined, follow the procedure 
previously discussed for Pre-Existing SSMs to determine the risk values 
that will be used in the quiet zone calculations.
    Wayside Horns: Crossings with wayside horn installations will be 
treated as a one for one substitute for the train horn and are not to be 
included when calculating the Crossing Corridor Risk Index, the Risk 
Index with Horns or the Quiet Zone Risk Index.

    Example: A proposed New Quiet Zone contains four crossings: A, B, C 
and D streets. All streets are equipped with flashing lights and gates. 
It is decided that C Street will have a wayside horn installed. Compute 
the risk indices for A, B and D streets. Since C Street is being treated 
with a wayside horn, it is not included in the calculation of risk. 
Calculate the Crossing Corridor Risk Index by averaging the risk indices 
for A, B and D streets. This value is also the Risk Index with Horns. 
Increase the risk indices for A, B and D streets by 66.8% and average 
the results. This is the initial Quiet Zone Risk Index for the proposed 
quiet zone.

                         C. Partial Quiet Zones

    A Partial Quiet Zone is a quiet zone in which locomotive horns are 
not routinely sounded at public crossings for a specified period of time 
each day. For example, a quiet zone during only the nighttime hours 
would be a partial quiet zone. Partial quiet zones may be either New or 
Pre-Rule and follow the same rules as 24 hour quiet zones. New Partial 
Quiet Zones must be in effect during the hours of 10 p.m. to 7 a.m. All 
New Partial Quiet Zones must comply with all of the requirements for New 
Quiet Zones. For example, all public grade crossings that are open 
during the time that horns are silenced must be equipped with flashing 
lights and gates that are equipped with constant warning time (where 
practical) and power out indicators. Risk is calculated in exactly the 
same manner as for New Quiet Zones. The Quiet Zone Risk Index is 
calculated for the entire 24-hour period, even though the train horn 
will only be silenced during the hours of 10 p.m. to 7 a.m.
    A Pre-Rule Partial Quiet Zone is a partial quiet zone at which train 
horns were not sounding as of October 9, 1996 and on December 18, 2003. 
All of the regulations that pertain to Pre-Rule Quiet Zones also pertain 
to Pre-Rule Partial Quiet Zones. The Quiet Zone Risk Index is calculated 
for the entire 24-hour period for Pre-Rule Partial Quiet Zones, even 
though train horns are only silenced during the nighttime hours. Pre-
Rule Partial Quiet Zones may qualify for automatic approval in the same 
manner as Pre-Rule Quiet Zones with one exception. If the Quiet Zone 
Risk Index is less than twice the National Significant Risk Threshold, 
and there have been no relevant collisions during the time period when 
train horns are silenced, then the Pre-Rule Partial Quiet Zone is 
automatically qualified. In other words, a relevant collision that 
occurred during the period of time that train horns were sounded will 
not disqualify a Pre-Rule Partial Quiet Zone that has a Quiet Zone Risk 
Index that is less than twice the National Significant Risk Index. Pre-
Rule Partial Quiet Zones must provide the notification as required in 
Sec. 222.43 in order to keep train horns silenced. A Pre-Rule Partial 
Quiet Zone may be converted to a 24 hour New Quiet Zone by complying 
with all of the New Quiet Zone regulations.

[[Page 414]]

                       D. Intermediate Quiet Zones

    An Intermediate Quiet Zone is one where horn restrictions were in 
place after October 9, 1996, but as of December 18, 2003 (the 
publication date of the Interim Final Rule). Intermediate Quiet Zones 
and Intermediate Partial Quiet Zones will be able to keep train horns 
silenced until June 24, 2006, provided notification is made per Sec. 
222.43. This will enable public authority to have additional time to 
make the improvement necessary to come into compliance with the rule. 
Intermediate Quiet Zones must conform to all the requirements for New 
Quiet Zones by June 24, 2006. Other than having the horn silenced for an 
additional year, Intermediate Quiet Zones are treated exactly like New 
Quiet Zones.

                       Section II--New Quiet Zones

    FRA has established several approaches that may be taken in order to 
establish a New Quiet Zone under this rule. Please see the preceding 
discussions on ``Qualifying Conditions'' and ``Risk Reduction Methods'' 
to assist in the decision-making process on which approach to take. This 
following discussion provides the steps necessary to establish New Quiet 
Zones and includes both the Public Authority Designation and Public 
Authority Application to FRA methods. It must be remembered that in a 
New Quiet Zone all public crossings must be equipped with flashing 
lights and gates. The requirements are the same regardless of whether a 
24-hour or partial quiet zone is being created.

    A. Requirements for Both Public Authority Designation and Public 
                          Authority Application

    The following steps are necessary when establishing a New Quiet 
Zone. This information pertains to both the Public Authority Designation 
and Public Authority Application to FRA methods.
    1. The public authority must provide a written Notice of Intent 
(Sec. 222.43(a)(1) and Sec. 222.43(b)) to the railroads that operate 
over the proposed quiet zone, the State agency responsible for highway 
and road safety and the State agency responsible for grade crossing 
safety. The purpose of this Notice of Intent is to provide an 
opportunity for the railroads and the State agencies to provide comments 
and recommendations to the public authority as it is planning the quiet 
zone. They will have 60 days to provide these comments to the public 
authority. The quiet zone cannot be created unless the Notice of Intent 
has been provided. FRA encourages public authorities to provide the 
required Notice of Intent early in the quiet zone development process. 
The railroads and State agencies can provide an expertise that very well 
may not be present within the public authority. FRA believes that it 
will be very useful to include these organizations in the planning 
process. For example, including railroads and State agencies in the 
inspections of the crossing will help ensure accurate Inventory 
information for the crossings. The railroad can provide information on 
whether the flashing lights and gates are equipped with constant warning 
time and power out indicators. Pedestrian crossings and private 
crossings with public access, industrial or commercial use that are 
within the quiet zone must have a diagnostic team review and be treated 
according to the team's recommendations. Railroads and the State agency 
responsible for grade crossing safety must be invited to the diagnostic 
team review. Note: Please see Section IV for details on the requirements 
of a Notice of Intent.
    2. Determine all public, private and pedestrian at-grade crossings 
that will be included within the quiet zone. Also, determine any 
existing grade-separated crossings that fall within the quiet zone. Each 
crossing must be identified by the U.S. DOT Crossing Inventory number 
and street or highway name. If a crossing does not have a U.S. DOT 
Crossing Inventory number, then contact FRA's Office of Safety (202-493-
6299) for assistance.
    3. Ensure that the quiet zone will be at least one-half mile in 
length. (Sec. 222.35(a)(1)) If more than one New Quiet Zone or New 
Partial Quiet Zone will be created within a single political 
jurisdiction, ensure that each New Quiet Zone or New Partial Quiet Zone 
will be separated by at least one public highway-rail grade crossing. 
(Sec. 222.35(a)(1)(iii))
    4. A complete and accurate Grade Crossing Inventory Form must be on 
file with FRA for all crossings (public, private and pedestrian) within 
the quiet zone. An inspection of each crossing in the proposed quiet 
zone should be performed and the Grade Crossing Inventory Forms updated, 
as necessary, to reflect the current conditions at each crossing.
    5. Every public crossing within the quiet zone must be equipped with 
active warning devices comprising both flashing lights and gates. The 
warning devices must be equipped with power out indicators. Constant 
warning time circuitry is also required unless existing conditions would 
prevent the proper operation of the constant warning time circuitry. FRA 
recommends that these automatic warning devices also be equipped with at 
least one bell to provide an audible warning to pedestrians. If the 
warning devices are already equipped with a bell (or bells), the bells 
may not be removed or deactivated. The plans for the quiet zone may be 
made assuming that flashing lights and gates are at all public 
crossings; however the quiet zone may not be implemented until all 
public crossings are actually equipped with the flashing lights and 
gates. (Sec. Sec. 222.35(b)(1) and 222.35(b)(2))

[[Page 415]]

    6. Private crossings must have cross-bucks and ``STOP'' signs on 
both approaches to the crossing. Private crossings with public access, 
industrial or commercial use must have a diagnostic team review and be 
treated according to the team's recommendations. The public authority 
must invite the State agency responsible for grade crossing safety and 
all affected railroads to participate in the diagnostic review. 
(Sec. Sec. 222.25(b) and (c))
    7. Each highway approach to every public and private crossing must 
have an advance warning sign (in accordance with the MUTCD) that advises 
motorists that train horns are not sounded at the crossing, unless the 
public or private crossing is equipped with a wayside horn. (Sec. 
222.35(c))
    8. Each pedestrian crossing must be reviewed by a diagnostic team 
and equipped or treated in accordance with the recommendation of the 
diagnostic team. The public authority must invite the State agency 
responsible for grade crossing safety and all affected railroads to 
participate in the diagnostic review. At a minimum, each approach to 
every pedestrian crossing must be equipped with a sign that conforms to 
the MUTCD and advises pedestrians that train horns are not sounded at 
the crossing. (Sec. 222.27)

            B. New Quiet Zones--Public Authority Designation

    Once again it should be remembered that all public crossings must be 
equipped with automatic warning devices consisting of flashing lights 
and gates in accordance with Sec. 222.35(b). In addition, one of the 
following conditions must be met in order for a public authority to 
designate a new quiet zone without FRA approval:
    a. One or more SSMs as identified in appendix A are installed at 
each public crossing in the quiet zone (Sec. 222.39(a)(1)); or
    b. The Quiet Zone Risk Index is equal to, or less than, the 
Nationwide Significant Risk Threshold without SSMs installed at any 
crossings in the quiet zone (Sec. 222.39(a)(2)(i)); or
    c. SSMs are installed at selected crossings, resulting in the Quiet 
Zone Risk Index being reduced to a level equal to, or less than, the 
Nationwide Significant Risk Threshold (Sec. 222.39(a)(2)(ii)); or
    d. SSMs are installed at selected crossings, resulting in the Quiet 
Zone Risk Index being reduced to a level of risk that would exist if the 
horn were sounded at every crossing in the quiet zone (i.e., the Risk 
Index with Horns) (Sec. 222.39(a)(3)).
    Steps necessary to establish a New Quiet Zone using the Public 
Authority Application to FRA method:
    1. If one or more SSMs as identified in appendix A are installed at 
each public crossing in the quiet zone, the requirements for a public 
authority designation quiet zone will have been met. It is not necessary 
for the same SSM to be used at each crossing. However, before any 
improvements are implemented, the public authority must provide a Notice 
of Intent, which will trigger a 60-day comment period. During the 60-day 
comment period, railroads operating within the proposed quiet zone and 
State agencies responsible for grade crossing, highway and road safety 
may submit comments on the proposed quiet zone improvements to the 
public authority. Once the necessary improvements have been installed, 
Notice of Quiet Zone Establishment shall be provided and the quiet zone 
implemented in accordance with the rule. If SSMs are not installed at 
each public crossing, proceed on to Step 2 and use the risk reduction 
method.
    2. To begin, calculate the risk index for each public crossing 
within the quiet zone (See appendix D. FRA's web-based Quiet Zone 
Calculator may be used to do this calculation). If flashing lights and 
gates have to be installed at any public crossings, calculate the risk 
indices for such crossings as if lights and gates were installed. (Note: 
Flashing lights and gates must be installed prior to initiation of the 
quiet zone.) If the Inventory record does not reflect the actual 
conditions at the crossing, be sure to use the conditions that currently 
exist when calculating the risk index. Note: Private crossings and 
pedestrian crossings are not included when computing the risk for the 
proposed quiet zone.
    3. The Crossing Corridor Risk Index is then calculated by averaging 
the risk index for each public crossing within the proposed quiet zone. 
Since train horns are routinely being sounded for crossings in the 
proposed quiet zone, this value is also the Risk Index with Horns.
    4. In order to calculate the initial Quiet Zone Risk Index, first 
adjust the risk index at each public crossing to account for the 
increased risk due to the absence of the train horn. The absence of the 
horn is reflected by an increased risk index of 66.8% at gated 
crossings. The initial Quiet Zone Risk Index is then calculated by 
averaging the increased risk index for each public crossing within the 
proposed quiet zone. At this point the Quiet Zone Risk Index will equal 
the Risk Index with Horns multiplied by 1.668.
    5. Compare the Quiet Zone Risk Index to the Nationwide Significant 
Risk Threshold. If the Quiet Zone Risk Index is equal to, or less than, 
the Nationwide Significant Risk Threshold, then the public authority may 
decide to designate a quiet zone and provide the Notice of Intent, 
followed by the Notice of Quiet Zone Establishment. With this approach, 
FRA will annually recalculate the Nationwide Significant Risk Threshold 
and the Quiet Zone Risk Index. If the Quiet Zone Risk Index for the 
quiet zone rises above the Nationwide Significant Risk Threshold, FRA

[[Page 416]]

will notify the Public Authority so that appropriate measures can be 
taken. (See Sec. 222.51(a)).
    6. If the Quiet Zone Risk Index is greater than the Nationwide 
Significant Risk Threshold, then select an appropriate SSM for a 
crossing. Reduce the inflated risk index calculated in Step 4 for that 
crossing by the effectiveness rate of the chosen SSM. (See appendix A 
for the effectiveness rates for the various SSMs). Recalculate the Quiet 
Zone Risk Index by averaging the revised inflated risk index with the 
inflated risk indices for the other public crossings. If this new Quiet 
Zone Risk Index is equal to, or less than, the Nationwide Significant 
Risk Threshold, the quiet zone would qualify for public authority 
designation. If the Quiet Zone Risk Index is still higher than the 
Nationwide Significant Risk Threshold, treat another public crossing 
with an appropriate SSM and repeat the process until the Quiet Zone Risk 
Index is equal to, or less than, the Nationwide Significant Risk 
Threshold. Once this result is obtained, the quiet zone will qualify for 
establishment by public authority designation. Early in the quiet zone 
development process, a Notice of Intent should be provided by the public 
authority, which will trigger a 60-day comment period. During this 60-
day comment period, railroads operating within the proposed quiet zone 
and State agencies responsible for grade crossing, highway and road 
safety may provide comments on the proposed quiet zone improvements 
described in the Notice of Intent. Once all the necessary safety 
improvements have been implemented, Notice of Quiet Zone Establishment 
must be provided. With this approach, FRA will annually recalculate the 
Nationwide Significant Risk Threshold and the Quiet Zone Risk Index. If 
the Quiet Zone Risk Index for the quiet zone rises above the Nationwide 
Significant Risk Threshold, FRA will notify the public authority so that 
appropriate measures can be taken. (See Sec. 222.51(a)).
    7. If the public authority wishes to reduce the risk of the quiet 
zone to the level of risk that would exist if the horn were sounded at 
every crossing within the quiet zone, the public authority should 
calculate the initial Quiet Zone Risk Index as in Step 4. The objective 
is to now reduce the Quiet Zone Risk Index to the level of the Risk 
Index with Horns by adding SSMs at the crossings. The difference between 
the Quiet Zone Risk Index and the Risk Index with Horns is the amount of 
risk that will have to be reduced in order to fully compensate for lack 
of the train horn. The use of the Quiet Zone Calculator will aid in 
determining which SSMs may be used to reduce the risk sufficiently. 
Follow the procedure stated in Step 6, except that the Quiet Zone Risk 
Index must be equal to, or less than, the Risk Index with Horns instead 
of the Nationwide Significant Risk Threshold. Once this risk level is 
attained, the quiet zone will qualify for establishment by public 
authority designation. Early in the quiet zone development process, a 
Notice of Intent should be provided by the public authority, which will 
trigger a 60-day comment period. During this 60-day comment period, 
railroads operating within the proposed quiet zone and State agencies 
responsible for grade crossing, highway and road safety may provide 
comments on the proposed quiet zone improvements described in the Notice 
of Intent. Once all the necessary safety improvements have been 
implemented, Notice of Quiet Zone Establishment must be provided. One 
important distinction with this option is that the public authority will 
never need to be concerned with the Nationwide Significant Risk 
Threshold or the Quiet Zone Risk Index. The rule's intent is to make the 
quiet zone as safe as if the train horns were sounding. If this is 
accomplished, the public authority may designate the crossings as a 
quiet zone and need not be concerned with possible fluctuations in the 
Nationwide Significant Risk Threshold or annual risk reviews.

         C. New Quiet Zones--Public Authority Application to FRA

    A public authority must apply to FRA for approval of a quiet zone 
under three conditions. First, if any of the SSMs selected for the quiet 
zone do not fully conform to the design standards set forth in appendix 
A. These are referred to as modified SSMs in appendix B. Second, when 
programmed law enforcement, public education and awareness programs, or 
photo enforcement is used to reduce risk in the quiet zone, these are 
referred to as non-engineering ASMs in appendix B. It should be 
remembered that non-engineering ASMs will require periodic monitoring as 
long as the quiet zone is in existence. Third, when engineering ASMs are 
used to reduce risk. Please see appendix B for detailed explanations of 
ASMs and the periodic monitoring of non-engineering ASMs.
    The public authority is strongly encouraged to submit the 
application to FRA for review and comment before the appendix B 
treatments are initiated. This will enable FRA to provide comments on 
the proposed ASMs to help guide the application process. If non-
engineering ASMs or engineering ASMs are proposed, the public authority 
also may wish to confirm with FRA that the methodology it plans to use 
to determine the effectiveness rates of the proposed ASMs is 
appropriate. A quiet zone that utilizes a combination of SSMs from 
appendix A and ASMs from appendix B must make a Public Authority 
Application to FRA. A complete and thoroughly documented application 
will help to expedite the approval process.

[[Page 417]]

    The following discussion is meant to provide guidance on the steps 
necessary to establish a new quiet zone using the Public Authority 
Application to FRA method. Once again it should be remembered that all 
public crossings must be equipped with automatic warning devices 
consisting of flashing lights and gates in accordance with Sec. 
222.35(b).
    1. Gather the information previously mentioned in the section on 
``Requirements for both Public Authority Designation and Public 
Authority Application.''
    2. Calculate the risk index for each public crossing as directed in 
Step 2--Public Authority Designation.
    3. Calculate the Crossing Corridor Risk Index, which is also the 
Risk Index with Horns, as directed in Step 3--Public Authority 
Designation.
    4. Calculate the initial Quiet Zone Risk Index as directed in Step 
4--Public Authority Designation.
    5. Begin to reduce the Quiet Zone Risk Index through the use of ASMs 
and SSMs. Follow the procedure provided in Step 6--Public Authority 
Designation until the Quiet Zone Risk Index has been reduced to equal 
to, or less than, either the Nationwide Significant Risk Threshold or 
the Risk Index with Horns. (Remember that the public authority may 
choose which level of risk reduction is the most appropriate for its 
community.) Effectiveness rates for ASMs should be provided as follows:
    a. Modified SSMs--Estimates of effectiveness for modified SSMs may 
be based upon adjustments from the effectiveness rates provided in 
appendix A or from actual field data derived from the crossing sites. 
The application must provide an estimated effectiveness rate and the 
rationale for the estimate.
    b. Non-engineering ASMs--Effectiveness rates are to be calculated in 
accordance with the provisions of appendix B, paragraph II B.
    c. Engineering ASMs--Effectiveness rates are to be calculated in 
accordance with the provisions of appendix B, paragraph III B.
    6. Once it has been determined through analysis that the Quiet Zone 
Risk Index will be reduced to a level equal to, or less than, either the 
Nationwide Significant Risk Threshold or the Risk Index with Horns, the 
public authority must provide a Notice of Intent. The mailing of the 
Notice of Intent will trigger a 60-day comment period, during which 
railroads operating within the proposed quiet zone and State agencies 
responsible for grade crossing, highway and road safety may provide 
comments on the proposed quiet zone improvements. After reviewing any 
comments received, the public authority may make application to FRA for 
a quiet zone under Sec. 222.39(b). FRA will review the application to 
determine the appropriateness of the proposed effectiveness rates, and 
whether or not the proposed application demonstrates that the quiet zone 
meets the requirements of the rule. When submitting the application to 
FRA for approval, the application must contain the following (Sec. 
222.39(b)(1)):
    a. Sufficient detail concerning the present safety measures at all 
crossings within the proposed quiet zone. This includes current and 
accurate crossing inventory forms for each public, private, and 
pedestrian grade crossing.
    b. Detailed information on the safety improvements that are proposed 
to be implemented at public, private and pedestrian grade crossings 
within the proposed quiet zone.
    c. Membership and recommendations of the diagnostic team (if any) 
that reviewed the proposed quiet zone.
    d. Statement of efforts taken to address comments submitted by 
affected railroads, the State agency responsible for grade crossing 
safety, and the State agency responsible for highway and road safety, 
including a list of any objections raised by the railroads or State 
agencies.
    e. A commitment to implement the proposed safety measures.
    f. Demonstrate through data and analysis that the proposed measures 
will reduce the Quiet Zone Risk Index to a level equal to, or less than, 
either the Nationwide Significant Risk Threshold or the Risk Index with 
Horns.
    g. A copy of the application must be provided to: All railroads 
operating over the public highway-rail grade crossings within the quiet 
zone; the highway or traffic control or law enforcement authority having 
jurisdiction over vehicular traffic at grade crossings within the quiet 
zone; the landowner having control over any private crossings within the 
quiet zone; the State agency responsible for highway and road safety; 
the State agency responsible for grade crossing safety; and the 
Associate Administrator. (Sec. 222.39(b)(3))
    7. Upon receiving written approval from FRA of the quiet zone 
application, the public authority may then provide the Notice of Quiet 
Zone Establishment and implement the quiet zone. If the quiet zone is 
qualified by reducing the Quiet Zone Risk Index to a level at, or below, 
the Nationwide Significant Risk Threshold, FRA will annually recalculate 
the Nationwide Significant Risk Threshold and the Quiet Zone Risk Index. 
If the Quiet Zone Risk Index for the quiet zone rises above the 
Nationwide Significant Risk Threshold, FRA will notify the public 
authority so that appropriate measures can be taken. (See Sec. 
222.51(a))

    Note: The provisions stated above for crossing closures, grade 
separations, wayside horns, pre-existing SSMs and pre-existing

[[Page 418]]

modified SSMs apply for Public Authority Application to FRA as well.

                    Section III--Pre-Rule Quiet Zones

    Pre-Rule Quiet Zones are treated slightly differently from New Quiet 
Zones in the rule. This is a reflection of the statutory requirement to 
``take into account the interest of communities that have in effect 
restrictions on the sounding of a locomotive horn at highway-rail grade 
crossings. * * *'' (49 U.S.C. 20153(i)) It also recognizes the 
historical experience of train horns not being sounded at Pre-Rule Quiet 
Zones.

                                Overview

    Pre-Rule Quiet Zones that are not established by automatic approval 
(see discussion that follows) must meet the same requirements as New 
Quiet Zones as provided in Sec. 222.39. In other words, risk must be 
reduced through the use of SSMs or ASMs so that the Quiet Zone Risk 
Index for the quiet zone has been reduced to either the risk level which 
would exist if locomotive horns sounded at all crossings in the quiet 
zone (i.e. the Risk Index with Horns) or to a risk level equal to, or 
less than, the Nationwide Significant Risk Threshold. There are four 
differences in the requirements between Pre-Rule Quiet Zones and New 
Quiet Zones that must be noted.
    (1) First, since train horns have not been routinely sounded in the 
Pre-Rule Quiet Zone, it is not necessary to increase the risk indices of 
the public crossings to reflect the additional risk caused by the lack 
of a train horn. Since the train horn has already been silenced, the 
added risk caused by the lack of a horn is reflected in the actual 
collision history at the crossings. Collision history is an important 
part in the calculation of the severity risk indices. In other words, 
the Quiet Zone Risk Index is calculated by averaging the existing risk 
index for each public crossing without the need to increase the risk 
index by 66.8%. For Pre-Rule Quiet Zones, the Crossing Corridor Risk 
Index and the initial Quiet Zone Risk Index have the same value.
    (2) Second, since train horns have been silenced at the crossings, 
it will be necessary to mathematically determine what the risk level 
would have been at the crossings if train horns had been routinely 
sounded. These revised risk levels then will be used to calculate the 
Risk Index with Horns. This calculation is necessary to determine how 
much risk must be eliminated in order to compensate for the lack of the 
train horn. This will allow the public authority to have the choice to 
reduce the risk to at least the level of the Nationwide Significant Risk 
Threshold or to fully compensate for the lack of the train horn.
    To calculate the Risk Index with Horns, the first step is to divide 
the existing severity risk index for each crossing by the appropriate 
value as shown in Table 1. This process eliminates the risk that was 
caused by the absence of train horns. The table takes into account that 
the train horn has been found to produce different levels of 
effectiveness in preventing collisions depending on the type of warning 
device at the crossing. (Note: FRA's web-based Quiet Zone Calculator 
will perform this computation automatically for Pre-Rule Quiet Zones.) 
The Risk Index with Horns is the average of the revised risk indices. 
The difference between the calculated Risk Index with Horns and the 
Quiet Zone Risk Index is the amount of risk that would have to be 
reduced in order to fully compensate for the lack of train horns.

                   Table 1--Risk Index Divisor Values
------------------------------------------------------------------------
                                                   Flashing    Lights &
                                        Passive     lights       gates
------------------------------------------------------------------------
U.S.................................      1.749       1.309       1.668
------------------------------------------------------------------------

    (3) The third difference is that credit is given for the risk 
reduction that is brought about through the upgrading of the warning 
devices at public crossings (Sec. 222.35(b)(3)). For New Quiet Zones, 
all crossings must be equipped with automatic warning devices consisting 
of flashing lights and gates. Crossings without gates must have gates 
installed. The severity risk index for that crossing is then calculated 
to establish the risk index that is used in the Risk Index with Horns. 
The Risk Index with Horns is then increased by 66.8% to adjust for the 
lack of the train horn. The adjusted figure is the initial Quiet Zone 
Risk Index. There is no credit received for the risk reduction that is 
attributable to warning device upgrades in New Quiet Zones.
    For Pre-Rule Quiet Zones, the Risk Index with Horns is calculated 
from the initial risk indices which use the warning devices that are 
currently installed. If a public authority elects to upgrade an existing 
warning device as part of its quiet zone plan, the accident prediction 
value for that crossing will be re-calculated based on the upgraded 
warning device. (Once again, FRA's web-based Quiet Zone Calculator can 
do the actual computation.) The new accident prediction value is then 
used in the severity risk index formula to determine the risk index for 
the crossing. This adjusted risk index is then used to compute the new 
Quiet Zone Risk Index. This computation allows the risk reduction 
attributed to the warning device upgrades to be used in establishing a 
quiet zone.
    (4) The fourth difference is that Pre-Rule Quiet Zones have 
different minimum requirements under Sec. 222.35. A Pre-Rule Quiet Zone 
may be less than one-half mile in length if that was its length as of 
October 9,

[[Page 419]]

1996 (Sec. 222.35(a)(2)). A Pre-Rule Quiet Zone does not have to have 
automatic warning devices consisting of flashing lights and gates at 
every public crossing (Sec. 222.35(b)(3)). The existing crossing safety 
warning systems in place as of December 18, 2003 may be retained but 
cannot be downgraded. It also is not necessary for the automatic warning 
devices to be equipped with constant warning time devices or power out 
indicators; however, when the warning devices are upgraded, constant 
warning time and power out indicators will be required if reasonably 
practical (Sec. 222.35(b)(3)). Advance warning signs that notify the 
motorist that train horns are not sounded do not have to be installed on 
each approach to public, private, and pedestrian grade crossings within 
the quiet zone until June 24, 2008. (Sec. Sec. 222.27(d) and 222.35(c)) 
Similarly, STOP signs and crossbucks do not have to be installed on each 
approach to private crossings within the quiet zone until June 24, 2008. 
(Sec. 222.25(c)).

    A. Requirements for Both Public Authority Designation and Public 
               Authority Application--Pre-Rule Quiet Zones

    The following is necessary when establishing a Pre-Rule Quiet Zone. 
This information pertains to Automatic Approval, the Public Authority 
Designation and Public Authority Application to FRA methods.
    1. Determine all public, private and pedestrian at-grade crossings 
that will be included within the quiet zone. Also determine any existing 
grade separated crossings that fall within the quiet zone. Each crossing 
must be identified by the U.S. DOT Crossing Inventory number and street 
name. If a crossing does not have a U.S. DOT crossing number, then 
contact FRA for assistance.
    2. Document the length of the quiet zone. It is not necessary that 
the quiet zone be at least one-half mile in length. Pre-Rule Quiet Zones 
may be shorter than one-half mile. However, the addition of a new 
crossing that is not a part of an existing Pre-Rule Quiet Zone to a 
quiet zone nullifies its pre-rule status, and the resulting New Quiet 
Zone must be at least one-half mile. The deletion of a crossing from a 
Pre-Rule Quiet Zone (except through closure or grade separation) must 
result in a quiet zone that is at least one-half mile in length. It is 
the intent of the rule to allow adjacent Pre-Rule Quiet Zones to be 
combined into one large pre-rule quiet zone if the respective public 
authorities desire to do so. (Sec. 222.35(a)(2))
    3. A complete and accurate Grade Crossing Inventory Form must be on 
file with FRA for all crossings (public, private and pedestrian) within 
the quiet zone. An inspection of each crossing in the proposed quiet 
zone should be performed and the Grade Crossing Inventory Forms updated, 
as necessary, to reflect the current conditions at each crossing.
    4. Pre-Rule Quiet Zones must retain, and may upgrade, the existing 
grade crossing safety warning systems. Unlike New Quiet Zones, it is not 
necessary that every public crossing within a Pre-Rule Quiet Zone be 
equipped with active warning devices comprising both flashing lights and 
gates. Existing warning devices need not be equipped with power out 
indicators and constant warning time circuitry. If warning devices are 
upgraded to flashing lights, or flashing lights and gates, the upgraded 
equipment must include, as is required for New Quiet Zones, power out 
indicators and constant warning time devices (if reasonably practical). 
(Sec. 222.35(b)(3))
    5. By June 24, 2008, private crossings must have cross-bucks and 
``STOP'' signs on both approaches to the crossing. (Sec. 222.25(c))
    6. By June 24, 2008, each approach to a public, private, and 
pedestrian crossing must be equipped with an advance warning sign that 
conforms to the MUTCD and advises pedestrians and motorists that train 
horns are not sounded at the crossing. (Sec. Sec. 222.27(d), 222.35(c))
    7. It will be necessary for the public authority to provide a Notice 
of Quiet Zone Continuation in order to prevent the resumption of 
locomotive horn sounding when the rule becomes effective. A detailed 
discussion of the requirements of Sec. 222.43(c) is provided in Section 
IV of this appendix. The Notice of Quiet Zone Continuation must be 
provided to the appropriate parties by all Pre-Rule Quiet Zones that 
have not established quiet zones by automatic approval. This should be 
done no later than June 3, 2005 to ensure that train horns will not 
start being sounded on June 24, 2005. A Pre-Rule Quiet Zone may provide 
a Notice of Quiet Zone Continuation before it has determined whether or 
not it qualifies for automatic approval. Once it has been determined 
that the Pre-Rule Quiet Zone will be established by automatic approval, 
the Public Authority must provide the Notice of Quiet Zone 
Establishment. This must be accomplished no later than December 24, 
2005. If the Pre-Rule Quiet Zone will not be established by automatic 
approval, the Notice of Quiet Zone Continuation will enable the train 
horns to be silenced until June 24, 2008. (Please refer to Sec. 
222.41(c) for more information.)

               B. Pre-Rule Quiet Zones--Automatic Approval

    In order for a Pre-Rule Quiet Zone to be established under this rule 
(Sec. 222.41(a)), one of the following conditions must be met:
    a. One or more SSMs as identified in appendix A are installed at 
each public crossing in the quiet zone;
    b. The Quiet Zone Risk Index is equal to, or less than, the 
Nationwide Significant Risk Threshold;
    c. The Quiet Zone Risk Index is above the Nationwide Significant 
Risk Threshold but

[[Page 420]]

less than twice the Nationwide Significant Risk Threshold and there have 
been no relevant collisions at any public grade crossing within the 
quiet zone for the preceding five years; or
    d. The Quiet Zone Risk Index is equal to, or less than, the Risk 
Index With Horns.
    Additionally, the Pre-Rule Quiet Zone must be in compliance with the 
minimum requirements for quiet zones (Sec. 222.35) and the notification 
requirements in Sec. 222.43.
    The following discussion is meant to provide guidance on the steps 
necessary to determine if a Pre-Rule Quiet Zone qualifies for automatic 
approval.
    1. All of the items listed in Requirements for Both Public Authority 
Designation and Public Authority Application--Pre-Rule Quiet Zones 
previously mentioned are to be accomplished. Remember that a Pre-Rule 
Quiet Zone may be less than one-half mile in length if that was its 
length as of October 9, 1996. Also, a Pre-Rule Quiet Zone does not have 
to have automatic warning devices consisting of flashing lights and 
gates at every public crossing.
    2. If one or more SSMs as identified in appendix A are installed at 
each public crossing in the quiet zone, the quiet zone qualifies and the 
public authority may provide the Notice of Quiet Zone Establishment. If 
the Pre-Rule Quiet Zone does not qualify by this step, proceed on to the 
next step.
    3. Calculate the risk index for each public crossing within the 
quiet zone (See appendix D.) Be sure that the risk index is calculated 
using the formula appropriate for the type of warning device that is 
actually installed at the crossing. Unlike New Quiet Zones, it is not 
necessary to calculate the risk index using flashing lights and gates as 
the warning device at every public crossing. (FRA's web-based Quiet Zone 
Calculator may be used to simplify the calculation process). If the 
Inventory record does not reflect the actual conditions at the crossing, 
be sure to use the conditions that currently exist when calculating the 
risk index.
    4. The Quiet Zone Risk Index is then calculated by averaging the 
risk index for each public crossing within the proposed quiet zone. 
(Note: The initial Quiet Zone Risk Index and the Crossing Corridor Risk 
Index are the same for Pre-Rule Quiet Zones.)
    5. Compare the Quiet Zone Risk Index to the Nationwide Significant 
Risk Threshold. If the Quiet Zone Risk Index is equal to, or less than, 
the Nationwide Significant Risk Threshold, then the quiet zone 
qualifies, and the public authority may provide the Notice of Quiet Zone 
Establishment. With this approach, FRA will annually recalculate the 
Nationwide Significant Risk Threshold and the Quiet Zone Risk. If the 
Quiet Zone Risk Index for the quiet zone is found to be above the 
Nationwide Significant Risk Threshold, FRA will notify the public 
authority so that appropriate measures can be taken (See Sec. 
222.51(b)). If the Pre-Rule Quiet Zone is not established by this step, 
proceed on to the next step.
    6. If the Quiet Zone Risk Index is above the Nationwide Significant 
Risk Threshold but less than twice the Nationwide Significant Risk 
Threshold and there have been no relevant collisions at any public grade 
crossing within the quiet zone for the preceding five years, then the 
quiet zone qualifies for automatic approval. However, in order to 
qualify on this basis, the public authority must provide a Notice of 
Quiet Zone Establishment by December 24, 2005. (Note: A relevant 
collision means a collision at a highway-rail grade crossing between a 
train and a motor vehicle, excluding the following: a collision 
resulting from an activation failure of an active grade crossing warning 
system; a collision in which there is no driver in the motor vehicle; or 
a collision where the highway vehicle struck the side of the train 
beyond the fourth locomotive unit or rail car.) With this approach, FRA 
will annually recalculate the Nationwide Significant Risk Threshold and 
the Quiet Zone Risk. If the Quiet Zone Risk Index for the quiet zone is 
above two times the Nationwide Significant Risk Threshold, or a relevant 
collision has occurred during the preceding year, FRA will notify the 
public authority so that appropriate measures can be taken (See Sec. 
222.51(b)).
    If the Pre-Rule Quiet Zone is not established by automatic approval, 
continuation of the quiet zone may require implementation of SSMs or 
ASMs to reduce the Quiet Zone Risk Index for the quiet zone to a risk 
level equal to, or below, either the risk level which would exist if 
locomotive horns sounded at all crossings in the quiet zone (i.e. the 
Risk Index with Horns) or the Nationwide Significant Risk Threshold. 
This is the same methodology used to create New Quiet Zones with the 
exception of the four differences previously noted. A review of the 
previous discussion on the two methods used to establish quiet zones may 
prove helpful in determining which would be the most beneficial to use 
for a particular Pre-Rule Quiet Zone.

          C. Pre-Rule Quiet Zones--Public Authority Designation

    The following discussion is meant to provide guidance on the steps 
necessary to establish a Pre-Rule Quiet Zone using the Public Authority 
Designation method.
    1. The public authority must provide a Notice of Intent (Sec. Sec. 
222.43(a)(1) and 222.43(b)) to the railroads that operate within the 
proposed quiet zone, the State agency responsible for highway and road 
safety and the State agency responsible for grade crossing safety. This 
notice must be mailed by February 24, 2008, in order to continue 
existing locomotive horn restrictions beyond June 24, 2008 without 
interruption. The purpose of

[[Page 421]]

this Notice of Intent is to provide an opportunity for the railroads and 
the State agencies to provide comments and recommendations to the public 
authority as it is planning the quiet zone. They will have 60 days to 
provide these comments to the public authority. The Notice of Intent 
must be provided, if new SSMs or ASMs will be implemented within the 
quiet zone. FRA encourages public authorities to provide the required 
Notice of Intent early in the quiet zone development process. The 
railroads and State agencies can provide an expertise that very well may 
not be present within the public authority. FRA believes that it will be 
very useful to include these organizations in the planning process. For 
example, including them in the inspections of the crossing will help 
ensure accurate Inventory information for the crossings. Note: Please 
see Section IV for details on the requirements of a Notice of Intent.
    2. All of the items listed in ``Requirements for Both Public 
Authority Designation and Public Authority Application--Pre-Rule Quiet 
Zones'' previously mentioned are to be accomplished. Remember that a 
Pre-Rule Quiet Zone may be less than one-half mile in length if that was 
its length as of October 9, 1996. Also, a Pre-Rule Quiet Zone does not 
have to have automatic warning devices consisting of flashing lights and 
gates at every public crossing.
    3. Calculate the risk index for each public crossing within the 
quiet zone as in Step 3--Pre-Rule Quiet Zones--Automatic Approval.
    4. The Crossing Corridor Risk Index is then calculated by averaging 
the risk index for each public crossing within the proposed quiet zone. 
Since train horns are not being sounded for crossings, this value is 
actually the initial Quiet Zone Risk Index.
    5. Calculate Risk Index with Horns by the following:
    a. For each public crossing, divide the risk index that was 
calculated in Step 2 by the appropriate value in Table 1. This produces 
the risk index that would have existed had the train horn been sounded.
    b. Average these reduced risk indices together. The resulting 
average is the Risk Index with Horns.
    6. Begin to reduce the Quiet Zone Risk Index through the use of SSMs 
or by upgrading existing warning devices. Follow the procedure provided 
in Step 6--Public Authority Designation until the Quiet Zone Risk Index 
has been reduced to a level equal to, or less than, either the 
Nationwide Significant Risk Threshold or the Risk Index with Horns. A 
public authority may elect to upgrade an existing warning device as part 
of its Pre-Rule Quiet Zone plan. When upgrading a warning device, the 
accident prediction value for that crossing must be re-calculated for 
the new warning device. Determine the new risk index for the upgraded 
crossing by using the new accident prediction value in the severity risk 
index formula. This new risk index is then used to compute the new Quiet 
Zone Risk Index. (Remember that FRA's web-based Quiet Zone Calculator 
will be able to do the actual computations.) Once the Quiet Zone Risk 
Index has been reduced to a level equal to, or less than, either the 
Nationwide Significant Risk Threshold or the Risk Index with Horns, the 
quiet zone may be established by the Public Authority Designation 
method, and the public authority may provide the Notice of Quiet Zone 
Establishment once all the necessary improvements have been installed. 
If the quiet zone is established by reducing the Quiet Zone Risk Index 
to a risk level equal to, or less than, the Nationwide Significant Risk 
Threshold, FRA will annually recalculate the Nationwide Significant Risk 
Threshold and the Quiet Zone Risk Index. If the Quiet Zone Risk Index 
for the quiet zone rises above the Nationwide Significant Risk 
Threshold, FRA will notify the public authority so that appropriate 
measures can be taken (See Sec. 222.51(b)).
    7. If the Pre-Rule Quiet Zone will not be established before June 
24, 2008, the public authority must file a detailed plan for quiet zone 
improvements with the Associate Administrator by June 24, 2008. By 
providing a Notice of Intent (see Step 1 above) and a detailed plan for 
quiet zone improvements, existing locomotive horn restrictions may 
continue until June 24, 2010. (If a comprehensive State-wide 
implementation plan and funding commitment are also provided and safety 
improvements are initiated within at least one Pre-Rule Quiet Zone or 
Pre-Rule Partial Quiet Zone, existing locomotive horn restrictions may 
continue until June 24, 2013.) (See Sec. 222.41(c) for more 
information.)

    Note: The provisions stated above for crossing closures, grade 
separations, wayside horns, pre-existing SSMs and pre-existing modified 
SSMs apply for Public Authority Application to FRA as well.

      D. Pre-Rule Quiet Zones--Public Authority Application to FRA

    The following discussion is meant to provide guidance on the steps 
necessary to establish a Pre-Rule Quiet Zone using the Public Authority 
Application to FRA method.
    1. The public authority must provide a Notice of Intent (Sec. Sec. 
222.43(a)(1) and 222.43(b)) to the railroads that operate within the 
proposed quiet zone, the State agency responsible for highway and road 
safety and the State agency responsible for grade crossing safety. This 
notice must be mailed by February 24, 2008, in order to continue 
existing locomotive horn restrictions beyond June 24, 2008 without 
interruption. The purpose of

[[Page 422]]

this Notice of Intent is to provide an opportunity for the railroads and 
the State agencies to provide comments and recommendations to the public 
authority as it is planning the quiet zone. They will have 60 days to 
provide these comments to the public authority. The Notice of Intent 
must be provided, if new SSMs or ASMs will be implemented within the 
quiet zone. FRA encourages public authorities to provide the required 
Notice of Intent early in the quiet zone development process. The 
railroads and State agencies can provide an expertise that very well may 
not be present within the public authority. FRA believes that it will be 
very useful to include these organizations in the planning process. For 
example, including them in the inspections of the crossing will help 
ensure accurate Inventory information for the crossings. Note: Please 
see Section IV for details on the requirements of a Notice of Detailed 
Plan.
    2. All of the items listed in ``Requirements for both Public 
Authority Designation and Public Authority Application--Pre-Rule Quiet 
Zones'' previously mentioned are to be accomplished. Remember that a 
Pre-Rule Quiet Zone may be less than one-half mile in length if that was 
its length as of October 9, 1996. Also, a Pre-Rule Quiet Zone does not 
have to have automatic warning devices consisting of flashing lights and 
gates at every public crossing.
    3. Calculate the risk index for each public crossing within the 
quiet zone (See appendix D. FRA's web-based Quiet Zone Calculator may be 
used to simplify the calculation process). If the Inventory record does 
not reflect the actual conditions at the crossing, be sure to use the 
conditions that currently exist when calculating the risk index.
    4. The Crossing Corridor Risk Index is then calculated by averaging 
the risk index for each public crossing within the proposed quiet zone. 
Since train horns are not being sounded for crossings, this value is 
actually the initial Quiet Zone Risk Index.
    5. Calculate Risk Index with Horns by the following:
    a. For each public crossing, divide its risk index that was 
calculated in Step 2 by the appropriate value in Table 1. This produces 
the risk index that would have existed had the train horn been sounded.
    b. Average these reduced risk indices together. The resulting 
average is the Risk Index with Horns.
    6. Begin to reduce the Quiet Zone Risk Index through the use of ASMs 
and/or SSMs. Follow the procedure provided in Step 6--New Quiet Zones 
Public Authority Designation--until the Quiet Zone Risk Index has been 
reduced to a level equal to, or less than, either the Nationwide 
Significant Risk Threshold or the Risk Index with Horns. A public 
authority may elect to upgrade an existing warning device as part of its 
Pre-Rule Quiet Zone plan. When upgrading a warning device, the accident 
prediction value for that crossing must be re-calculated for the new 
warning device. Determine the new risk index for the upgraded crossing 
by using the new accident prediction value in the severity risk index 
formula. (Remember that FRA's web-based quiet zone risk calculator will 
be able to do the actual computations.) This new risk index is then used 
to compute the new Quiet Zone Risk Index. Effectiveness rates for ASMs 
should be provided as follows:
    a. Modified SSMs--Estimates of effectiveness for modified SSMs may 
be based upon adjustments from the benchmark levels provided in appendix 
A or from actual field data derived from the crossing sites. The 
application must provide an estimated effectiveness rate and the 
rationale for the estimate.
    b. Non-engineering ASMs--Effectiveness rates are to be calculated in 
accordance with the provisions of appendix B, section II B.
    c. Engineering ASMs--Effectiveness rates are to be calculated in 
accordance with the provisions of appendix B, section III B.
    7. Once it has been determined through analysis that the Quiet Zone 
Risk Index will be reduced to a level equal to, or less than, either the 
Nationwide Significant Risk Threshold or the Risk Index with Horns, the 
public authority may make application to FRA for a quiet zone under 
Sec. 222.39(b). FRA will review the application to determine the 
appropriateness of the proposed effectiveness rates, and whether or not 
the proposed application demonstrates that the quiet zone meets the 
requirements of the rule. When submitting the application to FRA for 
approval, it should be remembered that the application must contain the 
following (Sec. 222.39(b)(1)):
    a. Sufficient detail concerning the present safety measures at all 
crossings within the proposed quiet zone to enable the Associate 
Administrator to evaluate their effectiveness. This includes current and 
accurate crossing Inventory forms for each public, private and 
pedestrian grade crossing.
    b. Detailed information on the safety improvements, including 
upgraded warning devices that are proposed to be implemented at public, 
private, and pedestrian grade crossings within the proposed quiet zone.
    c. Membership and recommendations of the diagnostic team (if any) 
that reviewed the proposed quiet zone.
    d. Statement of efforts taken to address comments submitted by 
affected railroads, the State agency responsible for grade crossing 
safety, and the State agency responsible for highway and road safety, 
including a list of any objections raised by the railroads or State 
agencies.
    e. A commitment to implement the proposed safety measures.
    f. Demonstrate through data and analysis that the proposed measures 
will reduce the

[[Page 423]]

Quiet Zone Risk Index to a level at, or below, either the Nationwide 
Significant Risk Threshold or the Risk Index with Horns.
    g. A copy of the application must be provided to all railroads 
operating over the public highway-rail grade crossings within the quiet 
zone; the highway or traffic control or law enforcement authority having 
jurisdiction over vehicular traffic at grade crossings within the quiet 
zone; the landowner having control over any private crossings within the 
quiet zone; the State agency responsible for highway and road safety; 
the State agency responsible for grade crossing safety; and the 
Associate Administrator. (Sec. 222.39(b)(3))
    8. Upon receiving written approval from FRA of the quiet zone 
application, the public authority may then provide the Notice of Quiet 
Zone Establishment and implement the quiet zone. If the quiet zone is 
established by reducing the Quiet Zone Risk Index to a level equal to, 
or less than, the Nationwide Significant Risk Threshold, FRA will 
annually recalculate the Nationwide Significant Risk Threshold and the 
Quiet Zone Risk. If the Quiet Zone Risk Index for the quiet zone is 
above the Nationwide Significant Risk Threshold, FRA will notify the 
public authority so that appropriate measures can be taken (See Sec. 
222.51(b)).

    Note: The provisions stated above for crossing closures, grade 
separations, wayside horns, pre-existing SSMs and pre-existing modified 
SSMs apply for Public Authority Application to FRA as well.

                   Section IV--Required Notifications

                             A. Introduction

    The public authority is responsible for providing notification to 
parties that will be affected by the quiet zone. There are several 
different types of notifications and a public authority may have to make 
more than one notification during the entire process of complying with 
the regulation. The notification process is to ensure that interested 
parties are made aware in a timely manner of the establishment or 
continuation of quiet zones. It will also provide an opportunity for 
State agencies and affected railroads to provide input to the public 
authority during the development of quiet zones. Specific information is 
to be provided so that the crossings in the quiet zone can be 
identified. Providing the appropriate notification is important because 
once the rule becomes effective, railroads will be obligated to sound 
train horns when approaching all public crossings unless notified in 
accordance with the rule that a New Quiet Zone has been established or 
that a Pre-Rule or Intermediate Quiet Zone is being continued.

                  B. Notice of Intent--Sec. 222.43(b)

    The purpose of the Notice of Intent is to provide notice to the 
railroads and State agencies that the public authority is planning on 
creating a New Quiet Zone or implementing new SSMs or ASMs within a Pre-
Rule Quiet Zone. The Notice of Intent provides an opportunity for the 
railroad and the State agencies to give input to the public authority 
during the quiet zone development process. The State agencies and 
railroads will be given sixty days to provide information and comments 
to the public agency.
    The Notice of Intent must be provided under the following 
circumstances:
    1. A New Quiet Zone or New Partial Quiet Zone is under 
consideration.
    2. An Intermediate Quiet Zone or Intermediate Partial Quiet Zone 
that will be converted into a New Quiet Zone or New Partial Quiet Zone. 
Please note that Notice of Intent must be mailed by April 3, 2006, in 
order prevent the resumption of locomotive horn sounding on June 24, 
2006.
    3. The implementation of SSMs or ASMs within a Pre-Rule Quiet Zone 
or Pre-Rule Partial Quiet Zone is under consideration. Please note that 
Notice of Intent must be mailed by February 24, 2008, in order to 
continue existing restrictions on locomotive horn sounding beyond June 
24, 2008 without interruption. Each public authority that is creating a 
New Quiet Zone must provide written notice, by certified mail, return 
receipt requested, to the following:
    1. All railroads operating within the proposed quiet zone
    2. State agency responsible for highway and road safety
    3. State agency responsible for grade crossing safety
    The Notice of Intent must contain the following information:
    1. A list of each public highway-rail grade crossing, private 
highway-rail grade crossing, and pedestrian crossings within the 
proposed quiet zone. The crossings are to be identified by both the U.S. 
DOT Crossing Inventory Number and the street or highway name.
    2. A statement of the time period within which the restrictions 
would be in effect on the routine sounding of train horns (i.e., 24 
hours or from 10 p.m. to 7 a.m.).
    3. A brief explanation of the public authority's tentative plans for 
implementing improvements within the proposed quiet zone.
    4. The name and title of the person who will act as the point of 
contact during the quiet zone development process and how that person 
can be contacted.
    5. A list of the names and addresses of each party that will receive 
a copy of the Notice of Intent.

[[Page 424]]

    The parties that receive the Notice of Intent will be able to submit 
information or comments to the public authority for 60 days. The public 
authority will not be able to establish the quiet zone during the 60 day 
comment period unless each railroad and State agency that receives the 
Notice of Intent provides either written comments to the public 
authority or a written statement waiving its right to provide comments 
on the Notice of Intent. The public authority must provide an 
affirmation in the Notice of Quiet Zone Establishment that each of the 
required parties was provided the Notice of Intent and the date it was 
mailed. If the quiet zone is being established within 60 days of the 
mailing of the Notice of Intent, the public authority also must affirm 
each of the parties have provided written comments or waived its right 
to provide comments on the Notice of Intent.

          C. Notice of Quiet Zone Continuation--Sec. 222.43(c)

    The purpose of the Notice of Quiet Zone Continuation is to provide a 
means for the public authority to formally advise affected parties that 
an existing quiet zone is being continued after the effective date of 
the rule. All Pre-Rule, Pre-Rule Partial, Intermediate and Intermediate 
Partial Quiet Zones must provide this Notice of Quiet Zone Continuation 
no later than June 3, 2005 to ensure that train horns are not sounded at 
public crossings when the rule becomes effective on June 24, 2005. This 
will enable railroads to properly comply with the requirements of the 
Final Rule.
    Each public authority that is continuing an existing Pre-Rule, Pre-
Rule Partial, Intermediate and Intermediate Partial Quiet Zone must 
provide written notice, by certified mail, return receipt requested, to 
the following:
    1. All railroads operating over the public highway-rail grade 
crossings within the quiet zone;
    2. The highway or traffic control or law enforcement authority 
having jurisdiction over vehicular traffic at grade crossings within the 
quiet zone;
    3. The landowner having control over any private crossings within 
the quiet zone;
    4. The State agency responsible for highway and road safety;
    5. The State agency responsible for grade crossing safety; and
    6. The Associate Administrator.
    The Notice of Quiet Zone Continuation must contain the following 
information:
    1. A list of each public highway-rail grade crossing, private 
highway-rail grade crossing, and pedestrian crossing within the quiet 
zone, identified by both U.S. DOT National Highway-Rail Grade Crossing 
Inventory Number and street or highway name.
    2. A specific reference to the regulatory provision that provides 
the basis for quiet zone continuation, citing as appropriate, Sec. 
222.41 or 222.42.
    3. A statement of the time period within which restrictions on the 
routine sounding of the locomotive horn will be imposed (i.e., 24 hours 
or nighttime hours only.)
    4. An accurate and complete Grade Crossing Inventory Form for each 
public highway-rail grade crossing, private highway-rail grade crossing, 
and pedestrian crossing within the quiet zone that reflects conditions 
currently existing at the crossing.
    5. The name and title of the person responsible for monitoring 
compliance with the requirements of this part and the manner in which 
that person can be contacted.
    6. A list of the names and addresses of each party that will receive 
the Notice of Quiet Zone Continuation.
    7. A statement signed by the chief executive officer of each public 
authority participating in the continuation of the quiet zone, in which 
the chief executive officer certifies that the information submitted by 
the public authority is accurate and complete to the best of his/her 
knowledge and belief.
    Public authorities should remember that this notice is required to 
ensure that train horns will remain silent. Even if a public authority 
has not been able to determine whether its Pre-Rule or Pre-Rule Partial 
Quiet Zone qualifies for automatic approval under the rule, it should 
issue a Notice of Quiet Zone Continuation to keep the train horns silent 
after the effective date of the rule.

         E. Notice of Quiet Zone Establishment--Sec. 222.43(d)

    The purpose of the Notice of Quiet Zone Establishment is to provide 
a means for the public authority to formally advise affected parties 
that a quiet zone is being established. Notice of Quiet Zone 
Establishment must be provided under the following circumstances:
    1. A New Quiet Zone or New Partial Quiet Zone is being created.
    2. A Pre-Rule Quiet Zone or a Pre-Rule Partial Quiet Zone that 
qualifies for automatic approval under the rule is being established.
    3. An Intermediate Quiet Zone or Intermediate Partial Quiet Zone 
that is creating a New Quiet Zone under the rule. Please note that 
Notice of Quiet Zone Establishment must be provided by June 3, 2006, in 
order to prevent the resumption of locomotive horn sounding on June 24, 
2006.
    4. A Pre-Rule Quiet Zone or a Pre-Rule Partial Quiet Zone that was 
not established by automatic approval and has since implemented 
improvements to establish a quiet zone in accordance to the rule.


[[Page 425]]


    Each public authority that is establishing a quiet zone under the 
above circumstances must provide written notice, by certified mail, 
return receipt requested, to the following:
    1. All railroads operating over the public highway-rail grade 
crossings within the quiet zone;
    2. The highway or traffic control or law enforcement authority 
having jurisdiction over vehicular traffic at grade crossings within the 
quiet zone;
    3. The landowner having control over any private crossings within 
the quiet zone;
    4. The State agency responsible for highway and road safety;
    5. The State agency responsible for grade crossing safety; and
    6. The Associate Administrator.

    The Notice of Quiet Establishment must contain the following 
information:
    1. A list of each public highway-rail grade crossing, private 
highway-rail grade crossing, and pedestrian crossing within the quiet 
zone, identified by both U.S. DOT National Highway-Rail Grade Crossing 
Inventory Number and street or highway name.
    2. A specific reference to the regulatory provision that provides 
the basis for quiet zone establishment, citing as appropriate, Sec. 
222.39(a)(1), 222.39(a)(2)(i), 222.39(a)(2)(ii), 222.39(a)(3), 
222.39(b), 222.41(a)(1)(i), 222.41(a)(1)(ii), 222.41(a)(1)(iii), 
222.41(a)(1)(iv), 222.41(b)(1)(i), 222.41(b)(1)(ii), 222.41(b)(1)(iii), 
or 222.41(b)(1)(iv).
    (a) If the Notice of Quiet Establishment contains a specific 
reference to Sec. 222.39(a)(2)(i), 222.39(a)(2)(ii), 222.39(a)(3), 
222.41(a)(1)(ii), 222.41(a)(1)(iii), 222.41(a)(1)(iv), 222.41(b)(1)(ii), 
222.41(b)(1)(iii), or 222.41(b)(1)(iv), it shall include a copy of the 
FRA web page that contains the quiet zone data upon which the public 
authority is relying.
    (b) If the Notice of Quiet Establishment contains a specific 
reference to Sec. 222.39(b), it shall include a copy of FRA's 
notification of approval.
    3. If a diagnostic team review was required under Sec. 222.25 
(private crossings) or Sec. 222.27 (pedestrian crossings), the Notice 
of Quiet Establishment shall include a statement affirming that the 
State agency responsible for grade crossing safety and all affected 
railroads were provided an opportunity to participate in the diagnostic 
team review. The Notice of Quiet Establishment shall also include a list 
of recommendations made by the diagnostic team.
    4. A statement of the time period within which restrictions on the 
routine sounding of the locomotive horn will be imposed (i.e., 24 hours 
or from 10 p.m. until 7 a.m.)
    5. An accurate and complete Grade Crossing Inventory Form for each 
public highway-rail grade crossing, private highway-rail grade crossing, 
and pedestrian crossing within the quiet zone that reflects the 
conditions existing at the crossing before any new SSMs or ASMs were 
implemented.
    6. An accurate, complete and current Grade Crossing Inventory Form 
for each public highway-rail grade crossing, private highway-rail grade 
crossing, and pedestrian crossing within the quiet zone that reflects 
SSMs and ASMs in place upon establishment of the quiet zone. SSMs and 
ASMs that cannot be fully described on the Inventory Form shall be 
separately described.
    7. If the public authority was required to provide a Notice of 
Intent:
    (a) The Notice of Quiet Zone Establishment shall contain a statement 
affirming that the Notice of Intent was provided in accordance with the 
rule. This statement shall also state the date on which the Notice of 
Intent was mailed.
    (b) If the Notice of Quiet Zone Establishment will be mailed less 
than 60 days after the date on which the Notice of Intent was mailed, 
the Notice of Quiet Zone Establishment shall also contain a written 
statement affirming that comments and/or written waiver statements have 
been received from each railroad operating over public grade crossings 
within the proposed quiet zone, the State agency responsible for grade 
crossing safety, and the State agency responsible for highway and road 
safety.
    8. The name and title of the person responsible for monitoring 
compliance with the requirements of this part and the manner in which 
that person can be contacted.
    9. A list of the names and addresses of each party that is receiving 
a copy of the Notice of Quiet Establishment.
    10. A statement signed by the chief executive officer of each public 
authority participating in the establishment of the quiet zone, in which 
the chief executive officer shall certify that the information submitted 
by the public authority is accurate and complete to the best of his/her 
knowledge and belief.

            Section V--Examples of Quiet Zone Implementations

                        Example 1--New Quiet Zone

    (a) A public authority wishes to create a New Quiet Zone over four 
public crossings. All of the crossings are equipped with flashing lights 
and gates, and the length of the quiet zone is 0.75 mile. There are no 
private crossings within the proposed zone.
    (b) The tables that follow show the street name in the first column, 
and the existing risk index for each crossing with the horn sounding 
(``Crossing Risk Index w/ Horns'') in the second. The third column, 
``Crossing Risk Index w/o Horns'', is the risk index for each crossing 
after it has been inflated by 66.8% to account for the lack of train 
horns.

[[Page 426]]

The fourth column, ``SSM Eff'', is the effectiveness of the SSM at the 
crossing. A zero indicates that no SSM has been applied. The last 
column, ``Crossing Risk Index w/o Horns Plus SSM'', is the inflated risk 
index for the crossing after being reduced by the implementation of the 
SSM. At the bottom of the table are two values. The first is the Risk 
Index with Horns (``RIWH'') which represents the average initial amount 
of risk in the proposed quiet zone with the train horn sounding. The 
second is the Quiet Zone Risk Index (``QZRI''), which is the average 
risk in the proposed quiet zone taking into consideration the increased 
risk caused by the lack of train horns and the reductions in risk 
attributable to the installation of SSMs. For this example it is assumed 
that the Nationwide Significant Risk Threshold is 17,030. In order for 
the proposed quiet zone to qualify under the rule, the Quiet Zone Risk 
Index must be reduced to a level at, or below, the Nationwide 
Significant Risk Threshold (17,030) or the Risk Index with Horns.
    (c) Table 2 shows the existing conditions in the proposed quiet 
zone. SSMs have not yet been installed. The Risk Index with Horns for 
the proposed quiet zone is 11,250. The Quiet Zone Risk Index without any 
SSMs is 18,765.

                                                     Table 2
----------------------------------------------------------------------------------------------------------------
                                                                   Crossing risk                   Crossing risk
                     Street                        Crossing risk     index w/o        SSM EFF        index w/o
                                                   index w/horns       horns                      horns plus SSM
----------------------------------------------------------------------------------------------------------------
A...............................................           12000           20016               0           20016
B...............................................           10000           16680               0           16680
C...............................................            8000           13344               0           13344
D...............................................           15000           25020               0           25020
                                                            RIWH  ..............  ..............            QZRI
                                                           11250  ..............  ..............           18765
----------------------------------------------------------------------------------------------------------------

    (d) The public authority decides to install traffic channelization 
devices at D Street. Reducing the risk at the crossing that has the 
highest severity risk index will provide the greatest reduction in risk. 
The effectiveness of traffic channelization devices is 0.75. Table 3 
shows the changes in the proposed quiet zone corridor that would occur 
when traffic channelization devices are installed at D Street. The Quiet 
Zone Risk Index has been reduced to 14,073.75. This reduction in risk 
would qualify the quiet zone as the risk has been reduced lower than the 
Nationwide Significant Risk Threshold which is 17,030.

                                                     Table 3
----------------------------------------------------------------------------------------------------------------
                                                                   Crossing risk                   Crossing risk
                     Street                        Crossing risk     index w/o        SSM EFF        index w/o
                                                   index w/horns       horns                      horns plus SSM
----------------------------------------------------------------------------------------------------------------
A...............................................           12000           20016               0           20016
B...............................................           10000           16680               0           16680
C...............................................            8000           13344               0           13344
D...............................................           15000           25020            0.75            6255
                                                            RIWH  ..............  ..............            QZRI
                                                           11250  ..............  ..............        14073.75
----------------------------------------------------------------------------------------------------------------

    (e) The public authority realizes that reducing the Quiet Zone Risk 
Index to a level below the Nationwide Significant Risk Threshold will 
result in an annual re-calculation of the Quiet Zone Risk Index and 
comparison to the Nationwide Significant Risk Threshold. As the Quiet 
Zone Risk Index is close to the Nationwide Significant Risk Threshold 
(14,074 to 17,030), there is a reasonable chance that the Quiet Zone 
Risk Index may some day exceed the Nationwide Significant Risk 
Threshold. This would result in the quiet zone no longer being qualified 
and additional steps would have to be taken to keep the quiet zone. 
Therefore, the public authority decides to reduce the risk further by 
the use of traffic channelization devices at A Street. Table 4 shows the 
results of this change. The Quiet Zone Risk Index is now 10,320.75 which 
is less than the Risk Index with Horns of 11,250. The quiet zone now 
qualifies by fully compensating for the loss of train horns and will not 
have to undergo annual reviews of the Quiet Zone Risk Index.

[[Page 427]]



                                                     Table 4
----------------------------------------------------------------------------------------------------------------
                                                                   Crossing risk                   Crossing risk
                     Street                        Crossing risk     index w/o        SSM EFF        index w/o
                                                   index w/horns       horns                      horns plus SSM
----------------------------------------------------------------------------------------------------------------
A...............................................           12000           20016            0.75            5004
B...............................................           10000           16680               0           16680
C...............................................            8000           13344               0           13344
D...............................................           15000           25020            0.75            6255
                                                            RIWH  ..............  ..............            QZRI
                                                           11250  ..............  ..............        10320.75
----------------------------------------------------------------------------------------------------------------

                     Example 2--Pre-Rule Quiet Zone

    (a) A public authority wishes to qualify a Pre-Rule Quiet Zone which 
did not meet the requirements for Automatic Approval because the Quiet 
Zone Risk Index is greater than twice the Nationwide Significant Risk 
Threshold. There are four public crossings in the Pre-Rule Quiet Zone. 
Three of the crossings are equipped with flashing lights and gates, and 
the fourth (Z Street) is passively signed with a STOP sign. The length 
of the quiet zone is 0.6 mile, and there are no private crossings within 
the proposed zone.
    (b) The tables that follow are very similar to the tables in Example 
1. The street name is shown in the first column, and the existing risk 
index for each crossing (``Crossing Risk Index w/o Horns'') in the 
second. This is a change from the first example because the risk is 
calculated without train horns sounding because of the existing ban on 
whistles. The third column, ``Crossing Risk Index w/ Horns'', is the 
risk index for each crossing after it has been adjusted to reflect what 
the risk would have been had train horns been sounding. This is 
mathematically done by dividing the existing risk index for the three 
gated crossing by 1.668. The risk at the passive crossing at Z Street is 
divided by 1.749. (See the above discussion in ``Pre-Rule Quiet Zones--
Establishment Overview'' for more information.) The fourth column, ``SSM 
Eff'', is the effectiveness of the SSM at the crossing. A zero indicates 
that no SSM has been applied. The last column, ``Crossing Risk Index w/o 
Horns Plus SSM'', is the risk index without horns for the crossing after 
being reduced for the implementation of the SSM. At the bottom of the 
table are two values. The first is the Risk Index with Horns (RIWH), 
which represents the average initial amount of risk in the proposed 
quiet zone with the train horn sounding. The second is the Quiet Zone 
Risk Index (``QZRI''), which is the average risk in the proposed quiet 
zone taking into consideration the increased risk caused by the lack of 
train horns and reductions in risk attributable to the installation of 
SSMs. Once again it is assumed that the Nationwide Significant Risk 
Threshold is 17,030. The Quiet Zone Risk Index must be reduced to either 
the Nationwide Significant Risk Threshold (17,030) or to the Risk Index 
with Horns in order to qualify under the rule.
    (c) Table 5 shows the existing conditions in the proposed quiet 
zone. SSMs have not yet been installed. The Risk Index with Horns for 
the proposed quiet zone is 18,705.83. The Quiet Zone Risk Index without 
any SSMs is 31,375. Since the Nationwide Significant Risk Threshold is 
less than the calculated Risk Index with Horns, the public authority's 
goal will be to reduce the risk to at least value of the Risk Index with 
Horns. This will qualify the Pre-Rule Quiet Zone under the rule.

                                                     Table 5
----------------------------------------------------------------------------------------------------------------
                                                   Crossing risk                                   Crossing risk
                     Street                          index w/o     Crossing risk      SSM EFF        index w/o
                                                       horns      index w/ horns                  horns plus SSM
----------------------------------------------------------------------------------------------------------------
W...............................................          35,000       20,983.21               0          35,000
X...............................................          42,000       25,179.86               0          42,000
Y...............................................          33,500       20,083.93               0          33,500
Z...............................................          15,000        8,576.33               0          15,000
                                                            RIWH  ..............  ..............            QZRI
                                                       18,705.83  ..............  ..............          31,375
----------------------------------------------------------------------------------------------------------------

    (d) The Z Street crossing is scheduled to have flashing lights and 
gates installed as part of the state's highway-rail grade crossing 
safety improvement plan (Section 130). While this upgrade is not 
directly a part of the plan to authorize a quiet zone, the public 
authority may take credit for the risk reduction achieved by the 
improvement from a

[[Page 428]]

passive STOP sign crossing to a crossing equipped with flashing lights 
and gates. Unlike New Quiet Zones, upgrades to warning devices in Pre-
Rule Quiet Zones do contribute to the risk reduction necessary to 
qualify under the rule. Table 6 shows the quiet zone corridor after 
including the warning device upgrade at Z Street. The Quiet Zone Risk 
Index has been reduced to 29,500.

                                                     Table 6
----------------------------------------------------------------------------------------------------------------
                                                   Crossing risk                                   Crossing risk
                     Street                          index w/o     Crossing risk      SSM EFF        index w/o
                                                       horns      index w/ horns                  horns plus SSM
----------------------------------------------------------------------------------------------------------------
W...............................................          35,000       20,983.21               0          35,000
X...............................................          42,000       25,179.86               0          42,000
Y...............................................          33,500       20,083.93               0          33,500
Z...............................................           7,500        8,576.33               0           7,500
                                                            RIWH  ..............  ..............            QZRI
                                                       18,705.83  ..............  ..............          29,500
----------------------------------------------------------------------------------------------------------------

    (e) The public authority elects to install four-quadrant gates 
without vehicle presence detection at X Street. As shown in Table 7, 
this reduces the Quiet Zone Risk Index to 20,890. This risk reduction is 
not sufficient to quality as quiet zone under the rule.

                                                     Table 7
----------------------------------------------------------------------------------------------------------------
                                                   Crossing risk                                   Crossing risk
                     Street                          index w/o     Crossing risk      SSM EFF        index w/o
                                                       horns      index w/ horns                  horns plus SSM
----------------------------------------------------------------------------------------------------------------
W...............................................       35,000          20,983.21            0             35,000
X...............................................       42,000          25,179.86            0.82           7,560
Y...............................................       33,500          20,083.93            0             33,500
Z...............................................        7,500           8,576.33            0              7,500
                                                         RIWH     ..............  ..............            QZRI
                                                       18,705.83  ..............  ..............          20,890
----------------------------------------------------------------------------------------------------------------

    (f) The public authority next decides to use traffic channelization 
devices at W Street. Table 8 shows that the Quiet Zone Risk Index is now 
reduced to 14,327.5. This risk reduction fully compensates for the loss 
of the train horn as it is less than the Risk Index with Horns. The 
quiet zone is qualified under the rule.

                                                     Table 8
----------------------------------------------------------------------------------------------------------------
                                                   Crossing risk                                   Crossing risk
                     Street                          index w/o     Crossing risk      SSM EFF        index w/o
                                                       horns      index w/ horns                  horns plus SSM
----------------------------------------------------------------------------------------------------------------
W...............................................           35000        20983.21            0.75            8750
X...............................................           42000        25179.86            0.82            7560
Y...............................................           33500        20083.93               0           33500
Z...............................................            7500         8576.33               0            7500
                                                            RIWH  ..............  ..............            QZRI
                                                        18705.83  ..............  ..............         14327.5
----------------------------------------------------------------------------------------------------------------



          Sec. Appendix D to Part 222--Determining Risk Levels

                              Introduction

    The Nationwide Significant Risk Threshold, the Crossing Corridor 
Risk Index, and the Quiet Zone Risk Index are all measures of collision 
risk at public highway-rail grade crossings that are weighted by the 
severity of the associated casualties. Each crossing can be assigned a 
risk index.
    (a) The Nationwide Significant Risk Threshold represents the average 
severity weighted collision risk for all public highway-rail grade 
crossings equipped with lights and gates nationwide where train horns 
are routinely sounded. FRA developed this index to serve as a threshold 
of permissible risk for quiet zones established under this rule.

[[Page 429]]

    (b) The Crossing Corridor Risk Index represents the average severity 
weighted collision risk for all public highway-rail grade crossings 
along a defined rail corridor.
    (c) The Quiet Zone Risk Index represents the average severity 
weighted collision risk for all public highway-rail grade crossings that 
are part of a quiet zone.

                         The Prediction Formulas

    (a) The Prediction Formulas were developed by DOT as a guide for 
allocating scarce traffic safety budgets at the State level. They allow 
users to rank candidate crossings for safety improvements by collision 
probability. There are three formulas, one for each warning device 
category:
    1. automatic gates with flashing lights;
    2. flashing lights with no gates; and
    3. passive warning devices.
    (b) The prediction formulas can be used to derive the following for 
each crossing:
    1. the predicted collisions (PC)
    2. the probability of a fatal collision given that a collision 
occurs (P(FC|C))
    3. the probability of a casualty collision given that a collision 
occurs (P(CC|C))
    (c) The following factors are the determinants of the number of 
predicted collisions per year:
    1. average annual daily traffic
    2. total number of trains per day
    3. number of highway lanes
    4. number of main tracks
    5. maximum timetable train speed
    6. whether the highway is paved or not
    7. number of through trains per day during daylight hours
    (d) The resulting basic prediction is improved in two ways. It is 
enriched by the particular crossing's collision history for the previous 
five years and it is calibrated by resetting normalizing constants. The 
normalizing constants are reset so that the sum of the predicted 
accidents in each warning device group (passive, flashing lights, gates) 
for the top twenty percent most hazardous crossings exactly equals the 
number of accidents which occurred in a recent period for the top twenty 
percent of that group. This adjustment factor allows the formulas to 
stay current with collision trends. The calibration also corrects for 
errors such as data entry errors. The final output is the predicted 
number of collisions (PC).
    (e) The severity formulas answer the question, ``What is the chance 
that a fatality (or casualty) will happen, given that a collision has 
occurred?'' The fatality formula calculates the probability of a fatal 
collision given that a collision occurs (i.e., the probability of a 
collision in which a fatality occurs) P(FC|C). Similarly, the casualty 
formula calculates the probability of a casualty collision given that a 
collision occurs P(CC|C). As casualties consist of both fatalities and 
injuries, the probability of a non-fatal injury collision is found by 
subtracting the probability of a fatal collision from the probability of 
a casualty collision. To convert the probability of a fatal or casualty 
collision to the number of expected fatal or casualty collisions, that 
probability is multiplied by the number of predicted collisions (PC).
    (f) For the prediction and severity index formulas, please see the 
following DOT publications: Summary of the DOT Rail-Highway Crossings 
Resource Allocation Procedure--Revised, June 1987, and the Rail-Highway 
Crossing Resource Allocation Procedure: User's Guide, Third Edition, 
August 1987. Both documents are in the docket for this rulemaking and 
also available through the National Technical Information Service 
located in Springfield, Virginia 22161.

                               Risk Index

    (a) The risk index is basically the predicted cost to society of the 
casualties that are expected to result from the predicted collisions at 
a crossing. It incorporates three outputs of the DOT prediction 
formulas. The two components of a risk index are:

1. Predicted Cost of Fatalities = PC x P(FC|C) x (Average Number of 
          Fatalities Observed In Fatal Collisions) x $3 million
2. Predicted Cost of Injuries = PC x (P(CC|C)--P(FC|C)) x (Average 
          Number of Injuries in Collisions Involving Injuries) x 
          $1,167,000

PC, P(CC|C), and P(FC|C) are direct outputs of the DOT prediction 
          formulas.
    (b) The average number of fatalities observed in fatal collisions 
and the average number of injuries in collisions involving injuries are 
calculated by FRA as described in paragraphs (c) through (e).
    (c) FRA will match the highway-rail incident files for the past five 
years against a data file containing the list of grade crossings where 
the train horn was not routinely sounded over that five-year period to 
identify two types of collisions involving trains and motor vehicles: 
(1) Those that occurred at crossings where the train horn was not 
routinely sounded during the period, and (2) those that occurred at 
crossings equipped with automatic gates where the train horn was 
routinely sounded. Certain records will be excluded, including records 
pertaining to incidents where the driver was not in the motor vehicle or 
where the motor vehicle struck the train beyond the fourth locomotive or 
rail car that entered the crossing. FRA believes that sounding the train 
horn would not be very effective at preventing such incidents. \1\
---------------------------------------------------------------------------

    \1\ The data used to make these exclusions is contained in blocks 
18--Position of Car Unit in Train; 19--Circumstance: Rail Equipment 
Struck/Struck by Highway User; 28--Number of Locomotive Units; and 29--
Number of Cars on the current FRA Form 6180-57 Highway-Rail Grade 
Crossing Accident/Incident Report.

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

[[Page 430]]

    (d) Collisions in the group containing the gated crossings 
nationwide where horns were routinely sounded will then be identified as 
fatal, injury only or no casualty. Collisions will be identified as 
fatal if one or more deaths occurred, regardless of whether injuries 
were also sustained. Collisions will be identified as injury only when 
injuries, but no fatalities, resulted.
    (e) The collisions (incidents) will be summarized by year for the 
five-year period preceding the year in which the risk index is being 
updated. The fatality rate for each year will be calculated by dividing 
the number of fatalities by the number of fatal incidents. The injury 
rate will be calculated by dividing the number of injuries in injury 
only incidents by the number of injury only incidents. FRA will publish 
updated fatality and injury rates on an annual basis in the Federal 
Register.
    (f) Per guidance from DOT, $3 million is the value placed on 
preventing a fatality. The Abbreviated Injury Scale (AIS) developed by 
the Association for the Advancement of Automotive Medicine categorizes 
injuries into six levels of severity. Each AIS level is assigned a value 
of injury avoidance as a fraction of the value of avoiding a fatality . 
FRA rates collisions that occur at train speeds in excess of 25 mph as 
an AIS level 5 ($2,287,500) and injuries that result from collisions 
involving trains traveling under 25 mph as an AIS level 2 ($46,500). 
About half of grade crossing collisions occur at speeds greater than 25 
mph. Therefore, FRA estimates that the value of preventing the average 
injury resulting from a grade crossing collision is $1,167,000 (the 
average of an AIS-5 injury and an AIS-2 injury).
    (g) Notice that the quantity [PC*P(FC|C)] represents the expected 
number of fatal collisions. Similarly, {PC*[P(CC|C)-P(FC|C)]{time}  
represents the expected number of injury collisions. These are then 
multiplied by their respective average number of fatalities and injuries 
(from the table above) to develop the number of expected casualties. The 
final parts of the expressions attach the dollar values for these 
casualties.
    (h) The Risk Index for a Crossing is the integer sum of the 
Predicted Cost of Fatalities and the Predicted Cost of Injuries.

                  Nationwide Significant Risk Threshold

    The Nationwide Significant Risk Threshold is simply an average of 
the risk indexes for all of the gated public crossings nationwide where 
train horns are routinely sounded. This value will be recalculated 
annually and published in a notice in the Federal Register. For the most 
recent value of the Nationwide Significant Risk Threshold, please visit 
FRA's public Web site at http://www.fra.dot.gov.

                      Crossing Corridor Risk Index

    The Crossing Corridor Risk Index is the average of the risk indexes 
of all the public crossings in a defined rail corridor.

                          Quiet Zone Risk Index

    The Quiet Zone Risk Index is the average of the risk indexes of all 
the public crossings in a Quiet Zone. It takes into consideration the 
absence of the horn sound and any safety measures that may have been 
installed.

[71 FR 47634, Aug. 17, 2006, as amended at 72 FR 44792, Aug. 9, 2007]



       Sec. Appendix E to Part 222--Requirements for Wayside Horns

    This appendix sets forth the following minimum requirements for 
wayside horn use at highway-rail grade crossings:
    1. Highway-rail crossing must be equipped with constant warning time 
device, if reasonably practical, and power-out indicator;
    2. Horn system must be equipped with an indicator or other system to 
notify the locomotive engineer as to whether the wayside horn is 
operating as intended in sufficient time to enable the locomotive 
engineer to sound the locomotive horn for at least 15 seconds prior to 
arrival at the crossing in the event the wayside horn is not operating 
as intended;
    3. The railroad must adopt an operating rule, bulletin or special 
instruction requiring that the train horn be sounded if the wayside horn 
indicator is not visible approaching the crossing or if the wayside horn 
indicator, or an equivalent system, indicates that the system is not 
operating as intended;
    4. Horn system must provide a minimum sound level of 92 dB(A) and a 
maximum of 110 dB(A) when measured 100 feet from the centerline of the 
nearest track;
    5. Horn system must sound at a minimum of 15 seconds prior to the 
train's arrival at the crossing and while the lead locomotive is 
traveling across the crossing. It is permissible for the horn system to 
begin to sound simultaneously with activation of the flashing lights or 
descent of the crossing arm; arm
    6. Horn shall be directed toward approaching traffic.



       Sec. Appendix F to Part 222--Diagnostic Team Considerations

    For purposes of this part, a diagnostic team is a group of 
knowledgeable representatives of parties of interest in a highway-rail

[[Page 431]]

grade crossing, organized by the public authority responsible for that 
crossing who, using crossing safety management principles, evaluate 
conditions at a grade crossing to make determinations or recommendations 
for the public authority concerning the safety needs at that crossing. 
Crossings proposed for inclusion in a quiet zone should be reviewed in 
the field by a diagnostic team composed of railroad personnel, public 
safety or law enforcement, engineering personnel from the State agency 
responsible for grade crossing safety, and other concerned parties.
    This diagnostic team, using crossing safety management principles, 
should evaluate conditions at a grade crossing to make determinations 
and recommendations concerning safety needs at that crossing. The 
diagnostic team can evaluate a crossing from many perspectives and can 
make recommendations as to what safety measures authorized by this part 
might be utilized to compensate for the silencing of the train horns 
within the proposed quiet zone.

               All Crossings Within a Proposed Quiet Zone

    The diagnostic team should obtain and review the following 
information about each crossing within the proposed quiet zone:
    1. Current highway traffic volumes and percent of trucks;
    2. Posted speed limits on all highway approaches;
    3. Maximum allowable train speeds, both passenger and freight;
    4. Accident history for each crossing under consideration;
    5. School bus or transit bus use at the crossing; and
    6. Presence of U.S. DOT grade crossing inventory numbers clearly 
posted at each of the crossings in question.
    The diagnostic team should obtain all inventory information for each 
crossing and should check, while in the field, to see that inventory 
information is up-to-date and accurate. Outdated inventory information 
should be updated as part of the quiet zone development process.
    When in the field, the diagnostic team should take note of the 
physical characteristics of each crossing, including the following 
items:
    1. Can any of the crossings within the proposed quiet zone be closed 
or consolidated with another adjacent crossing? Crossing elimination 
should always be the preferred alternative and it should be explored for 
crossings within the proposed quiet zone.
    2. What is the number of lanes on each highway approach? Note the 
pavement condition on each approach, as well as the condition of the 
crossing itself.
    3. Is the grade crossing surface smooth, well graded and free 
draining?
    4. Does the alignment of the railroad tracks at the crossing create 
any problems for road users on the crossing? Are the tracks in 
superelevation (are they banked on a curve?) and does this create a 
conflict with the vertical alignment of the crossing roadway?
    5. Note the distance to the nearest intersection or traffic signal 
on each approach (if within 500 feet or so of the crossing or if the 
signal or intersection is determined to have a potential impact on 
highway traffic at the crossing because of queuing or other special 
problems).
    6. If a roadway that runs parallel to the railroad tracks is within 
100 feet of the railroad tracks when it crosses an intersecting road 
that also crosses the tracks, the appropriate advance warning signs 
should be posted as shown in the MUTCD.
    7. Is the posted highway speed (on each approach to the crossing) 
appropriate for the alignment of the roadway and the configuration of 
the crossing?
    8. Does the vertical alignment of the crossing create the potential 
for a ``hump crossing'' where long, low-clearance vehicles might get 
stuck on the crossing?
    9. What are the grade crossing warning devices in place at each 
crossing? Flashing lights and gates are required for each public 
crossing in a New Quiet Zone. Are all required warning devices, signals, 
pavement markings and advance signing in place, visible and in good 
condition for both day and night time visibility?
    10. What kind of train detection is in place at each crossing? Are 
these systems old or outmoded; are they in need of replacement, 
upgrading, or refurbishment?
    11. Are there sidings or other tracks adjacent to the crossing that 
are often used to store railroad cars, locomotives, or other equipment 
that could obscure the vision of road users as they approach the 
crossings in the quiet zone? Clear visibility may help to reduce 
automatic warning device violations.
    12. Are motorists currently violating the warning devices at any of 
the crossings at an excessive rate?
    13. Do collision statistics for the corridor indicate any potential 
problems at any of the crossings?
    14. If school buses or transit buses use crossings within the 
proposed quiet zone corridor, can they be rerouted to use a single 
crossing within or outside of the quiet zone?

             Private Crossings Within a Proposed Quiet Zone

    In addition to the items discussed above, a diagnostic team should 
note the following issues when examining any private crossings within a 
proposed quiet zone:
    1. How often is the private crossing used?
    2. What kind of signing or pavement markings are in place at the 
private crossing?

[[Page 432]]

    3. What types of vehicles use the private crossing?
    School buses
    Large trucks
    Hazmat carriers
    Farm equipment
    4. What is the volume, speed and type of train traffic over the 
crossing?
    5. Do passenger trains use the crossing?
    6. Do approaching trains sound the horn at the private crossing?
    State or local law requires it?
    Railroad safety rule requires it?
    7. Are there any nearby crossings where train horns sound that might 
also provide some warning if train horns were not sounded at the private 
crossing?
    8. What are the approach (corner) sight distances?
    9. What is the clearing sight distance for all approaches?
    10. What are the private roadway approach grades?
    11. What are the private roadway pavement surfaces?

            Pedestrian Crossings Within a Proposed Quiet Zone

    In addition to the items discussed in the section titled, ``All 
crossings within a proposed quiet zone'', a diagnostic team should note 
the following issues when examining any pedestrian crossings within a 
proposed quiet zone:
    1. How often is the pedestrian crossing used?
    2. What kind of signing or pavement markings are in place at the 
pedestrian crossing?
    3. What is the volume, speed, and type of train traffic over the 
crossing?
    4. Do approaching trains sound the horn at the pedestrian crossing?
    State or local law requires it?
    Railroad safety rule requires it?
    5. Are there any crossings where train horns sound that might also 
provide some warning if train horns were not sounded at the pedestrian 
crossing?
    6. What are the approach sight distances?
    7. What is the clearing sight distance for all approaches?



 Sec. Appendix G to Part 222--Excess Risk Estimates for Public Highway-
                          Rail Grade Crossings

                  Ban Effects/Train Horn Effectiveness
                             [Summary table]
------------------------------------------------------------------------
               Warning type                     Excess risk estimate
------------------------------------------------------------------------
Nation (Except Florida East Coast Railway and Chicago Region Crossings)
------------------------------------------------------------------------
Passive...................................  74.9.
Flashers only.............................  30.9.
Flashers with gates.......................  66.8.
------------------------------------------------------------------------
Florida East Coast Railway Crossings
------------------------------------------------------------------------
Flashers with gates.......................  90.9.
------------------------------------------------------------------------
Chicago Region Crossings
------------------------------------------------------------------------
Passive...................................  To be determined.
Flashers only.............................  To be determined.
Flashers with gates.......................  To be determined.
------------------------------------------------------------------------

    Note One: The warning type column reflects primary warning device 
types. FRA is aware that a variety of arrangements are in place at 
individual crossings.
    Note Two: The ``excess risk estimate'' is a figure that represents 
the amount by which collision frequency has been estimated to increase 
when routine locomotive horn sounding is restricted at public highway-
rail grade crossings.

[74 FR 46394, Sept. 9, 2009]

         Appendix H to Part 222--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
Subpart B--Use of Locomotive Horns
 
Sec. 222.21 Use of locomotive horn
(a) Failure to sound horn at grade                $5,000          $7,500
 crossing...............................
    Failure to sound horn in proper                1,000           3,000
     pattern............................
(b) Failure to sound horn at least 15              5,000           7,500
 seconds and less than \1/4\-mile before
 crossing...............................
    Sounding the locomotive horn more              1,000           2,000
     than 25 seconds before crossing....
    Sounding the locomotive horn more              1,000           2,000
     than \1/4\-mile in advance of
     crossing...........................
Sec. 222.33 Failure to sound horn when           5,000           7,500
 conditions of Sec. 222.33 are not met
Sec. 222.45 Routine sounding of the              5,000           7,500
 locomotive horn at quiet zone crossing
Sec. 222.49 (b) Failure to provide               2,500           5,000
 Grade Crossing Inventory Form
 information
Sec. 222.59 (d) Routine sounding of              5,000           7,500
 the locomotive horn at a grade crossing
 equipped with wayside horn
------------------------------------------------------------------------
\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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[[Page 433]]


[71 FR 47634, Aug. 17, 2006, as amended at 73 FR 79702, Dec. 30, 2008. 
Redesignated at 74 FR 46394, Sept. 9, 2009 as amended at77 FR 24420, 
Apr. 24, 2012; 81 FR 43110, July 1, 2016]



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 [Reserved]

Appendix A to Part 223--Certification of Glazing Materials
Appendix B to Part 223--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20102-20103, 20133, 20701-20702, 21301-21302, 
21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.



                            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) Except as provided in paragraph (c) of this section:
    (i) Locomotives, cabooses, and passenger cars that are historic or 
more than 50 years old and, except for incidental freight service, are 
used only for excursion, educational, recreational, or private 
transportation purposes; and
    (ii) Cabooses and passenger cars in a railroad's fleet on April 11, 
2016 that are used only for the railroad's private transportation 
purposes. Each such railroad caboose or car that is equipped with 
glazing that complies with the glazing requirements contained in 
appendix A to this part as of February 9, 2016, must remain in 
compliance with those requirements.
    (4) Locomotives that are used exclusively in designated service as 
defined in Sec. 223.5.
    (c) Except as provided in paragraph (b)(3) of this section, this 
paragraph (c) applies, as specified, to each locomotive, passenger car, 
and caboose built after 1945 that is more than 50 years old and is used 
only for excursion, educational, recreational, or private transportation 
purposes.
    (1) Each such passenger car must comply with the emergency window 
requirements contained in Sec. 223.9(c) or Sec. 223.15(c), as 
appropriate, when it is occupied and operates in an intercity passenger 
or commuter train subject to part 238 of this chapter. A tool or other 
instrument may be used to remove or break an emergency window if the 
tool or other instrument is clearly marked and legible and 
understandable instructions are provided for its use.
    (2) Each such locomotive, passenger car, and caboose that is 
equipped with glazing that complies with the glazing requirements 
contained in appendix A to this part as of February 9, 2016, must remain 
in compliance with those requirements.

[44 FR 77352, Dec. 31, 1979, as amended at 53 FR 28600, July 28, 1988; 
81 FR 6789, Feb. 9, 2016]

[[Page 434]]



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 window means the segment of a side-facing glazing panel 
that has been designed to permit rapid and easy removal from inside a 
passenger car in an emergency situation.
    End facing glazing location means any exterior 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, including a dome or observation car, except 
for: The coupled ends of multiple-unit (MU) locomotives or other 
equipment that is semi-permanently connected to each other in a train 
consist; and end doors of passenger cars at locations other than the cab 
end of a cab car or MU locomotive. Any location which, due to curvature 
of the glazing material, can meet the criteria for either an end facing 
location or a side facing location shall be considered an end facing 
location.
    FRA means the Federal Railroad Administration.
    Incidental freight service means the occasional and irregular use of 
a locomotive in freight service that is more than 50 years old and used 
primarily for excursion, educational, recreational, or private 
transportation purposes.
    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.
    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

[[Page 435]]

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 any plane of the glazing material makes an angle of 
more than 50 degrees with the centerline of the locomotive, caboose or 
passenger car. A side facing glazing location also means a location at 
the coupled ends of MU locomotives or other equipment that is semi-
permanently connected to each other in a train consist, and a location 
at end doors other than at the cab end of a cab car or MU locomotive.
    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, as amended at 73 
FR 6399, Feb. 1, 2008; 81 FR 6789, Feb. 9, 2016]



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 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 $839 and not more than $27,455 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 $109,819 
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; 69 FR 30595, May 28, 2004; 72 FR 51197, 
Sept. 6, 2007; 73 FR 79702, Dec. 30, 2008; 77 FR 24420, Apr. 24, 2012; 
81 FR 43110, July 1, 2016]



                     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 windows.

[44 FR 77352, Dec. 31, 1979, as amended at 45 FR 49271, July 24, 1980; 
63 FR 24675, May 4, 1998; 73 FR 6399, Feb. 1, 2008]



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

[[Page 436]]

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.
    (d) Except for yard locomotives, each locomotive that has a 
locomotive cab window that is broken or damaged so that the window fails 
to permit good visibility shall be--
    (1) Placed in Designated Service within 48 hours of the time of 
breakage or damage; or
    (2) Removed from service until the broken or damaged window is 
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; 81 FR 6790, Feb. 9, 2016]



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) of this section, cabooses built or rebuilt prior 
to July 1, 1980, shall be equipped with certified glazing in all 
windows.
    (d) Except for yard cabooses, each caboose that has a window that is 
broken or damaged so that the window fails to permit good visibility 
shall be removed from service until the broken or damaged window is 
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))

[44 FR 77352, Dec. 31, 1979, as amended at 48 FR 24083, May 31, 1983; 48 
FR 56956, Dec. 27, 1983; 81 FR 6790, Feb. 9, 2016]



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 437]]

replace sidefacing glazing material that is broken or damaged.
    (c) Except for passenger cars described in paragraphs (a) and (b) of 
this section, 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.
    (d) Each passenger car that has a window that is broken or damaged 
so that the window fails to permit good visibility shall be removed from 
service until the broken or damaged window is 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))

[44 FR 77352, Dec. 31, 1979, as amended at 48 FR 24083, May 31, 1983; 48 
FR 56956, Dec. 27, 1983; 81 FR 6790, Feb. 9, 2016]



Sec. 223.17  [Reserved]



     Sec. 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 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.

[[Page 438]]

    (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.



      Sec. 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
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
------------------------------------------------------------------------
\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 $109,819 for any violation where circumstances warrant. See 49
  U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. If more than one
  item is listed as a type of violation of a given section, each item is
  also designated by a ``penalty code,'' which is used to facilitate
  assessment of civil penalties, and which may or may not correspond to
  any subsection designation(s). For convenience, penalty citations will
  cite the CFR section and the penalty code, if any. FRA reserves the
  right, should litigation become necessary, to substitute in its
  complaint the CFR citation in place of the combined CFR and penalty
  code citation, should they differ.


[63 FR 24676, May 4, 1998, as amended at 69 FR 30594, May 28, 2004; 73 
FR 6400, Feb. 1, 2008; 73 FR 79702, Dec. 30, 2008; 77 FR 24420, Apr. 24, 
2012; 81 FR 6790, Feb. 9, 2016; 81 FR 43110, July 1, 2016]



PART 224_REFLECTORIZATION OF RAIL FREIGHT ROLLING STOCK--
Table of Contents



                            Subpart A_General

Sec.
224.1 Purpose and scope.
224.3 Applicability.
224.5 Definitions.
224.7 Waivers.
224.9 Responsibility for compliance.
224.11 Penalties.
224.13 Preemptive effect.
224.15 Special approval procedures.

 Subpart B_Application, Inspection, and Maintenance of Retroreflective 
                                Material

224.101 General requirements.
224.103 Characteristics of retroreflective sheeting.
224.105 Sheeting dimensions and quantity.
224.106 Location of retroreflective sheeting.
224.107 Implementation schedule.
224.109 Inspection, repair, and replacement.
224.111 Renewal.

Appendix A to Part 224--Schedule of Civil Penalties
Appendix B to Part 224--Form Reflectorization Implementation Compliance 
          Report

[[Page 439]]

Appendix C to Part 224--Guidelines for Submitting Reflectorization 
          Implementation Compliance Reports

    Authority: 49 U.S.C. 20103, 20107, 20148 and 21301; 28 U.S.C. 2461, 
note; and 49 CFR 1.89.

    Source: 70 FR 62176, Oct. 28, 2005, unless otherwise noted.



                            Subpart A_General



Sec. 224.1  Purpose and scope.

    (a) The purpose of this part is to reduce highway-rail grade 
crossing accidents and deaths, injuries, and property damage resulting 
from those accidents, by enhancing the conspicuity of rail freight 
rolling stock so as to increase its detectability by motor vehicle 
operators at night and under conditions of poor visibility.
    (b) In order to achieve cost-effective mitigation of collision risk 
at highway-rail grade crossings, this part establishes the duties of 
freight rolling stock owners (including those who manage maintenance of 
freight rolling stock, supply freight rolling stock for transportation, 
or offer freight rolling stock in transportation) and railroads to 
progressively apply retroreflective material to freight rolling stock, 
and to periodically inspect and maintain that material. Freight rolling 
stock owners, however, are under no duty to install, clean or otherwise 
maintain, or repair reflective material except as specified in this 
part.
    (c) This part establishes a schedule for the application of 
retroreflective material to rail freight rolling stock and prescribes 
standards for the application, inspection, and maintenance of 
retroreflective material to rail freight rolling stock for the purpose 
of enhancing its detectability at highway-rail grade crossings. This 
part does not restrict a freight rolling stock owner or railroad from 
applying retroreflective material to freight rolling stock for other 
purposes if not inconsistent with the recognizable pattern required by 
this part.



Sec. 224.3  Applicability.

    This part applies to all railroad freight cars and locomotives that 
operate over a public or private highway-rail grade crossing and are 
used for revenue or work train service, except:
    (a) Freight rolling stock that operates only on track inside an 
installation that is not part of the general railroad system of 
transportation;
    (b) Rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation;
    (c) Locomotives and passenger cars used exclusively in passenger 
service; or
    (d) Freight rolling stock that is subject to a reflectorization 
requirement promulgated by another Federal agency.



Sec. 224.5  Definitions.

    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Associate Administrator means the Associate Administrator for 
Safety, Federal Railroad Administration, or the Associate 
Administrator's delegate.
    Damaged means scratched, broken, chipped, peeled, or delaminated.
    Flat car means a car having a flat floor or deck on the underframe 
with no sides, ends or roof (including spine cars, articulated and mult-
unit intermodal cars).
    Freight rolling stock means:
    (1) Any locomotive subject to part 229 of this chapter used to haul 
or switch freight cars (whether in revenue or work train service); and
    (2) Any railroad freight car (whether used in revenue or work train 
service).
    Freight rolling stock owner means any person who owns freight 
rolling stock, is a lessee of freight rolling stock, manages the 
maintenance or use of freight rolling stock on behalf of an owner or one 
or more lessors or lessees, or otherwise controls the maintenance or use 
of freight rolling stock.
    Locomotive has the meaning assigned by Sec. 229.5 of this chapter, 
but for purposes of this part applies only to a locomotive used in the 
transportation of freight or the operation of a work train.
    Obscured means concealed or hidden (i.e., covered up, as where a 
layer of paint or dense chemical residue blocks all incoming light); 
this term does not refer to ordinary accumulations of dirt,

[[Page 440]]

grime, or ice resulting from the normal railroad operating environment.
    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 an owner, manufacturer, lessor, 
lessee, or independent contractor.
    Railroad means all forms of non-highway ground transportation that 
run on rails or electromagnetic guideways, including high speed ground 
transportation systems that connect metropolitan areas, without regard 
to whether they use new technologies not associated with traditional 
railroads.
    Railroad freight car has the meaning assigned by Sec. 215.5 of this 
chapter.
    Tank car means a rail car, the body of which consists of a tank for 
transporting liquids.
    Universal Machine Language Equipment Register means the database 
containing information on rail equipment maintained by the Association 
of American Railroads.
    Unqualified Retroreflective Sheeting means engineering grade 
sheeting, super engineering grade sheeting (enclosed lens) or high-
intensity type sheeting (ASTM Type I, II, III, or IV Sheeting) as 
described in ASTM International Standard D-4956-04, ``Standard 
Specification for Retroreflective Sheeting for Traffic Control.''
    Work train means a non-revenue service train used for the 
maintenance and upkeep service of the railroad.



Sec. 224.7  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 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 that the 
Administrator deems necessary.



Sec. 224.9  Responsibility for compliance.

    (a) Freight rolling stock owners, railroads, and (with respect to 
certification of material) manufacturers of retroreflective material, 
are primarily responsible for compliance with this part. However, any 
person that performs any function or task required by this part 
(including any employee, agent, or contractor of the aforementioned), 
must perform that function in accordance with this part.
    (b) Any person performing any function or task required by this part 
shall be deemed to have consented to FRA inspection of the person's 
facilities and records to the extent necessary to determine whether the 
function or task is being performed in accordance with the requirements 
of this part.



Sec. 224.11  Penalties.

    (a) 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 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 $839, but not more than $27,455 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 $109,819 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 part.

[[Page 441]]

    (b) Any person who knowingly and willfully falsifies a record or 
report required by this part is subject to criminal penalties under 49 
U.S.C. 21311.

[70 FR 62176, Oct. 28, 2005, as amended at 72 FR 51197, Sept. 6, 2007; 
73 FR 79702, Dec. 30, 2008; 77 FR 24420, Apr. 24, 2012; 81 FR 43110, 
July 1, 2016]



Sec. 224.13  Preemptive effect.

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



Sec. 224.15  Special approval procedures.

    (a) General. The following procedures govern consideration and 
action upon requests for special approval of alternative standards under 
Sec. 224.103(e).
    (b) Petitions. (1) Each petition for special approval of an 
alternative standard shall contain--
    (i) The name, title, address, and telephone number of the primary 
person to be contacted with regard to the petition;
    (ii) The alternative proposed, in detail, to be substituted for the 
particular requirements of this part; and
    (iii) Appropriate data and analysis establishing that the 
alternative will provide at least an equivalent level of safety and meet 
the requirements of Sec. 224.103(e).
    (2) Each petition for special approval of an alternative standard 
shall be submitted to the Docket Clerk, Office of Chief Counsel, Federal 
Railroad Administration, RCC-10, Mail Stop 10, 1200 New Jersey Avenue, 
SE., Washington, DC 20590.
    (c) Notice. FRA will publish a notice in the Federal Register 
concerning each petition under paragraph (b) of this section.
    (d) Public comment. FRA will provide a period of not less than 30 
days from the date of publication of the notice in the Federal Register 
during which 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) Each comment shall be submitted to the U.S. Department of 
Transportation, Docket Operations (M-30), West Building Ground Floor, 
Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590, and 
shall contain the assigned docket number which appears in the Federal 
Register for that proceeding. The form of such submission may be in 
written or electronic form consistent with the standards and 
requirements established by the Federal Docket Management System and 
posted on its Web site at http://www.regulations.gov.
    (3) In the event FRA determines that it requires additional 
information to appropriately consider the petition, FRA will conduct a 
hearing on the petition in accordance with the procedures provided in 
Sec. 211.25 of this chapter.
    (e) Disposition of petitions. (1) If FRA finds that the petition 
complies with the requirements of this section and that the proposed 
alternative standard is acceptable or changes are justified, or both, 
the petition will be granted, normally within 90 days of its receipt. 
The Associate Administrator may determine the applicability of other 
technical requirements of this part when rendering a decision on the 
petition. 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.
    (2) If FRA finds that the petition does not comply with the 
requirements of this section, or that the proposed alternative standard 
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.

[[Page 442]]

    (3) When FRA grants or denies a petition, or reopens consideration 
of a petition, written notice is sent to the petitioner and other 
interested parties and a copy of the notice is placed in the electronic 
docket of the proceeding.

[70 FR 62176, Oct. 28, 2005, as amended at 74 FR 25173, May 27, 2009]



 Subpart B_Application, Inspection, and Maintenance of Retroreflective 
                                Material



Sec. 224.101  General requirements.

    All rail freight rolling stock subject to this part shall be 
equipped with retroreflective sheeting that conforms to the requirements 
of this part. Notwithstanding any other provision of this chapter, the 
application, inspection, and maintenance of that sheeting shall be 
conducted in accordance with this subpart or in accordance with an 
alternative standard providing at least an equivalent level of safety 
after special approval of FRA under Sec. 224.15.



Sec. 224.103  Characteristics of retroreflective sheeting.

    (a) Construction. Retroreflective sheeting applied pursuant to this 
part shall consist of a smooth, flat, transparent exterior film with 
microprismatic retroreflective elements embedded in or suspended beneath 
the film so as to form a non-exposed retroreflective optical system.
    (b) Color. Retroreflective sheeting applied pursuant to this part 
shall be yellow, fluorescent yellow, or white as specified by the 
chromaticity coordinates of ASTM International's Standard D 4956-04, 
``Standard Specification for Retroreflective Sheeting for Traffic 
Control.'' The Director of the Federal Register approves the 
incorporation by reference of this standard in this section in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy 
of the incorporated standard from ASTM International, 100 Barr Harbor 
Drive, P.O. Box C700, West Conshohocken, PA 19428-2959 or at http://
www.astm.org. You may inspect a copy of the incorporated standard at the 
Federal Railroad Administration, Docket Clerk, 1200 New Jersey Avenue, 
SE., Washington, DC 20590 or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
    (c) Performance. Retroreflective sheeting applied pursuant to this 
part shall meet the requirements of ASTM D 4956-04, for Type V Sheeting 
if metalized or Type VII Sheeting if non-metalized, except for the 
initial minimum values of the coefficient of retroreflection, and shall, 
as initially applied, meet the minimum values for the coefficient of 
retroreflection specified in Table 1 of this subpart.

[70 FR 62176, Oct. 28, 2005, as amended at 74 FR 25173, May 27, 2009]



     Sec. Table 1 to Subpart B of Part 224--Minimum Coefficient of 
 Retroreflection (RA) (in Candela/Lux/Meter\2\) Requirement 
     for Retroreflective Sheeting (Minimum Photometric Performance 
                              Requirements)

----------------------------------------------------------------------------------------------------------------
                                                                         Observation angle
                                                 ---------------------------------------------------------------
                                                            0.2 Degree                      0.5 Degree
                 Entrance angle                  ---------------------------------------------------------------
                                                     Yellow or                       Yellow or
                                                    fluorescent        White        fluorescent        White
                                                      yellow                          yellow
----------------------------------------------------------------------------------------------------------------
-4..............................................             400             600             100             160
30..............................................             220             350              45              75
----------------------------------------------------------------------------------------------------------------

    (d) Certification. The characters ``FRA-224'', constituting the 
manufacturer's certification that the retroreflective sheeting conforms 
to the requirements of paragraphs (a) through (c) of this section, shall 
appear at least once on the exposed surface of each piece of sheeting in 
the final application. The characters shall be a minimum of three 
millimeters high, and shall be permanently stamped, etched, molded, or 
printed within

[[Page 443]]

the product and each certification shall be spaced no more than four 
inches apart.
    (e) Alternative standards. Upon petition by a freight rolling stock 
owner or railroad under Sec. 224.15, the Associate Administrator may 
approve an alternative technology as providing equivalent safety. Any 
such petition shall provide data and analysis sufficient to establish 
that the technology will result in conspicuity and durability at least 
equal to sheeting described in paragraphs (a) through (c) applied in 
accordance with this part and will present a recognizable visual target 
that is suitably consistent with freight rolling stock equipped with 
retroreflective sheeting meeting the technical requirements of this part 
to provide the intended warning to motorists.



Sec. 224.105  Sheeting dimensions and quantity.

    Retroreflective sheeting shall be applied along the length of each 
railroad freight car and locomotive side as described in Sec. 224.106. 
Unless otherwise specified, retroreflective sheeting applied under this 
part shall be applied in strips 4 inches wide and 18 or 36 inches long, 
as practicable. The amount of retroreflective sheeting to be applied to 
each car or locomotive subject to this part is dependent on the length 
of the car or locomotive and the color of the sheeting. For purposes of 
this part, the length of a railroad freight car or locomotive is 
measured from endsill to endsill, exclusive of the coupler and draft 
gear. Each side of a railroad freight car subject to this part, 
including each unit of multi-unit cars, and each side of a locomotive 
subject to this part must be equipped with at least the minimum amount 
of retroreflective sheeting specified in Table 2 of this subpart.



Sec. Table 2 to Subpart B of Part 224--Minimum Quantity Requirement for 
            Retroreflective Sheeting on Freight Rolling Stock

----------------------------------------------------------------------------------------------------------------
                                                             Minimum area of               Minimum area of
                                                        retroreflective sheeting      retroreflective sheeting
          Freight car or locomotive length            required (per car/locomotive  required (per car/locomotive
                                                       side)--yellow sheeting (ft     side)--white sheeting (ft
                                                                  \2\)                          \2\)
----------------------------------------------------------------------------------------------------------------
Less than 50 ft.                                                               3.5                           4.0
Over 50 ft. to 60 ft.                                                          4.0                           5.0
Over 60 ft. to 70 ft.                                                          4.5                           5.5
Over 70 ft. to 80 ft.                                                          5.0                           6.0
Over 80 ft. to 90 ft.                                                          5.5                           7.0
Over 90 ft. to 100 ft. \1\..........................                           6.0                          7.5
----------------------------------------------------------------------------------------------------------------
\1\ Freight cars or locomotives over 100 ft. in length must be equipped with an additional one-half a square
  foot of sheeting on each side for every additional 10 feet of length.



Sec. 224.106  Location of retroreflective sheeting.

    (a) Railroad freight cars. The retroreflective sheeting shall be 
applied along the length of each railroad freight car side in the manner 
provided by a uniform industry standard accepted by the Associate 
Administrator that provides for distribution of material along the 
length of each car and as close as practicable to 42 inches above the 
top of rail. In the event such a standard is not proffered by industry 
or accepted by the Associate Administrator, the criteria set forth in 
this subpart shall apply. Retroreflective sheeting applied under this 
part must be located clear of appurtenances and devices such as ladders 
and other safety appliances, pipes, or other attachments that may 
obscure its visibility. Retroreflective sheeting need not be applied to 
discontinuous surfaces such as bolts, rivets, door hinges, or other 
irregularly shaped areas that may prevent the sheeting from adhering to 
the car sides. In addition, retroreflective sheeting need not be applied 
over existing or required car stencils and markings. If necessary to 
avoid appurtenances, discontinuous surfaces, or existing or required car 
markings or stencils, 4x18 and 4x36 inch strips of retroreflective 
material may be divided into 4x9 inch strips and applied on either side 
of the appurtenance, discontinuous surface, or car markings or stencils, 
as practicable. Unless otherwise specified, retroreflective sheeting 
shall be applied along the sides of

[[Page 444]]

freight rolling stock at intervals not to exceed every 12 feet, as 
practicable. If it is not practicable to apply retroreflective sheeting 
every 12 feet because of existing stencils, appurtenances, or 
discontinuous surfaces, the sheeting shall be applied at the next 
smallest interval practicable.
    (1) General rule. On railroad freight cars other than flat cars and 
tank cars, retroreflective sheeting shall be applied in either a 
vertical or horizontal pattern along the length of the car sides, with 
the bottom edge of the sheeting as close as practicable to 42 inches 
above the top of rail. Retroreflective sheeting shall not be applied 
below the side sill.
    (i) Vertical application. If retroreflective sheeting is applied in 
a vertical pattern, at least one 4x36 inch strip or two 4x18 inch 
strips, one above the other, shall be applied as close to each end of 
the car as practicable. Between these two vertical end strips, a minimum 
of one 4x18 inch strip shall be applied at least every 12 feet, as 
practicable. See Figures 1, 2 and 3.

[[Page 445]]

[GRAPHIC] [TIFF OMITTED] TR28OC05.000


[[Page 446]]


[GRAPHIC] [TIFF OMITTED] TR28OC05.001


[[Page 447]]


[GRAPHIC] [TIFF OMITTED] TR28OC05.002

    (ii) Horizontal application. If retroreflective sheeting is applied 
in a horizontal pattern, at least one 4x36 inch strip, or two 4x18 inch 
strips, one above or next to the other, shall be applied as close to 
each end of the car as practicable. Between these end strips, a minimum 
of one 4x18 inch strip shall be

[[Page 448]]

applied at least every 12 feet, as practicable. See Figures 4, 5, and 6.
[GRAPHIC] [TIFF OMITTED] TR28OC05.003


[[Page 449]]


[GRAPHIC] [TIFF OMITTED] TR28OC05.004


[[Page 450]]


[GRAPHIC] [TIFF OMITTED] TR28OC05.005

    (2) Tank cars. On tank cars, retroreflective sheeting shall be 
applied vertically to each car side and centered on the horizontal 
centerline of the tank, or as near as practicable. If it is not 
practicable to safely apply the sheeting centered vertically about the 
horizontal centerline of the tank,

[[Page 451]]

the sheeting may be applied vertically with its top edge no lower than 
the horizontal centerline of the tank. A minimum of either one 4x36 inch 
strip or two 4x18 inch strips, one above the other, shall be applied as 
close to each end of the car as practicable. Between these two end 
strips, a minimum of one 4x18 inch strip shall be applied at least every 
12 feet, as practicable. Retroreflective sheeting applied under this 
part shall not be located in the spillage area directly beneath the 
manway used to load and unload the tank. See Figures 7 and 8.

[[Page 452]]

[GRAPHIC] [TIFF OMITTED] TR28OC05.006


[[Page 453]]


[GRAPHIC] [TIFF OMITTED] TR28OC05.007

    (3) Flat cars. On flat cars, retroreflective sheeting shall be 
applied in a horizontal pattern along the length of the side sill with 
the bottom edge of the sheeting no lower than the bottom of the side 
sill and the top edge of the sheeting no higher than the top of the car 
deck or floor. At least two

[[Page 454]]

4x18 inch strips, one above the other, shall be applied as close to each 
end of the car as practicable. If the side sill is less than 8 inches 
wide, one 4x36 inch strip, or two 4x18 inch strips may be applied one 
next to the other, dividing the strips into nine inch segments as 
necessary in accordance with paragraph (a) of this section. Between the 
two end strips, a minimum of one 4x18 inch strip shall be applied at 
least every 12 feet, as practicable. See Figure 9. If a car has a 
separate rack structure, retroreflective sheeting may be applied to the 
flat car portion only in accordance with the requirements of this 
section. For cars without continuous side sills, retroreflective 
sheeting may be applied to other surfaces inboard of the sides, such as 
the center sill, provided that the sheeting is not obscured by other 
components.

[[Page 455]]

[GRAPHIC] [TIFF OMITTED] TR28OC05.008

    (4) Cars of special construction. This paragraph applies to any car 
the design of which is not compatible with the patterns of application 
otherwise provided in this section. Retroreflective sheeting shall 
conform as closely as practicable to the requirements of paragraphs 
(a)(1) through (a)(3) of this

[[Page 456]]

section and shall have the minimum amount of sheeting described in Sec. 
224.105 distributed along the length of each car side.
    (b) Locomotives. Locomotives subject to this part shall be equipped 
with at least the minimum amounts of retroreflective sheeting required 
by Sec. 224.105 either in strips four inches wide and 18 or 36 inches 
long and spaced as uniformly as practicable along the length of the 
locomotive sides, or in one continuous strip, at least four inches wide, 
along the length of the locomotive. Retroreflective sheeting applied to 
locomotive sides shall be applied as close as practicable to 42 inches 
from the top of the rail.



Sec. 224.107  Implementation schedule.

    (a) Railroad freight cars. All railroad freight cars subject to this 
part must be equipped with retroreflective sheeting conforming to this 
part by November 28, 2015. If a car already has reflective material 
applied that does not meet the standards of this part, it is not 
necessary to remove the material unless its placement interferes with 
the placement of the sheeting required by this part.
    (1) New cars. Retroreflective sheeting conforming to this part must 
be applied to all cars constructed after January 26, 2006, before the 
cars are placed in service.
    (2) Existing cars without retroreflective sheeting. (i) If, as of 
October 28, 2005, a car subject to this part is not equipped on each 
side with at least one square foot of retroreflective sheeting as 
specified in paragraph (a)(3) of this section, retroreflective sheeting 
conforming to this part must be applied to the car at the earliest of 
the following two occasions occurring after November 28, 2005 or in 
accordance with paragraph (a)(2)(ii) of this section:
    (A) When the car is repainted or rebuilt; or
    (B) Within nine months (270 calendar days) after the car first 
undergoes a single car air brake test as prescribed by 49 CFR 232.305.
    (ii) A freight rolling stock owner may elect not to follow the 
schedule in paragraph (a)(2)(i) of this section if, not later than 
January 26, 2006 the freight rolling stock owner submits to FRA a 
completed Reflectorization Implementation Compliance Report certifying 
that the cars in the owner's fleet subject to this part will be equipped 
with retroreflective sheeting as required by this part in accordance 
with the schedule specified in Table 3 of this section. See Appendix B 
of this part for Reflectorization Implementation Compliance Report form.



    Sec. Table 3 to Subpart B of Part 224--Alternative Schedule for 
   Application of Retroreflective Material to Freight Cars per Sec. 
                            224.107(a)(2)(ii)

------------------------------------------------------------------------
                                                                 (B)
                          (A) \1\                             (percent)
------------------------------------------------------------------------
November 28, 2007..........................................           20
November 28, 2008..........................................           30
November 28, 2009..........................................           40
November 28, 2010..........................................           50
November 28, 2011..........................................           60
November 28, 2012..........................................           70
November 28, 2013..........................................           80
November 28, 2014..........................................           90
November 28, 2015..........................................         100
------------------------------------------------------------------------
\1\ Column (A) indicates the date by which the minimum percentage of an
  owner's freight cars specified in column (B) must be equipped with
  retroreflective sheeting conforming to this part.

    Thereafter,
    (A) The designated fleet shall be equipped with retroreflective 
sheeting according to the schedule specified in Table 3 of this section;
    (B) No later than January 28, 2008, the freight rolling stock owner 
shall submit to FRA an updated Reflectorization Implementation 
Compliance Report showing which cars of the fleet subject to this part 
were equipped with retroreflective sheeting as required by this part 
during the initial 24-month implementation period. Thereafter, updated 
Reflectorization Implementation Compliance Reports shall be submitted 
annually, no later than December 31 of each year for the duration of the 
10-year implementation period. See Appendix B of this part.
    (C) If, following the conclusion of the initial 24-month period or 
any 12-month period thereafter, the percentage requirements of this 
section have not been met--
    (1) The freight rolling stock owner shall be considered in violation 
of this part;
    (2) The freight rolling stock owner shall, within 60 days after the 
close of the period, report the failure to the Associate Administrator;
    (3) The requirements of paragraph (a)(2)(i) shall apply to all 
railroad freight cars subject to this part in the freight rolling stock 
owner's fleet; and

[[Page 457]]

    (4) The fleet owner shall take such additional action as may be 
necessary to achieve future compliance.
    (D) Cars to be retired shall be included in the fleet total until 
they are retired.
    (3) Existing cars with retroreflective sheeting. If as of October 
28, 2005, a car is equipped on each side with at least one square foot 
of retroreflective sheeting, uniformly distributed over the length of 
each side, that car shall be considered in compliance with this part 
through November 28, 2015, provided the sheeting is not unqualified 
retroreflective sheeting, and provided the freight rolling stock owner 
files a completed Reflectorization Implementation Compliance Report with 
FRA no later than January 26, 2006 identifying the cars already so 
equipped. See Appendix B of this part for Reflectorization 
Implementation Compliance form.
    (b) Locomotives. Except as provided in paragraph (b)(4) of this 
section, all locomotives subject to this part must be equipped with 
conforming retroreflective sheeting by November 28, 2010. If a 
locomotive already has reflective material applied that does not meet 
the standards of this part, it is not necessary to remove the material 
unless its placement interferes with the placement of the sheeting 
required by this part.
    (1) New locomotives. Retroreflective sheeting conforming to this 
part must be applied to all locomotives constructed after January 26, 
2006, before they are placed in service.
    (2) Existing locomotives without retroreflective sheeting.
    (i) If as of October 28, 2005 a locomotive subject to this part is 
not equipped with the minimum amount of retroreflective sheeting 
specified in paragraph (b)(3) of this section, retroreflective sheeting 
conforming to this part must be applied to the locomotive not later than 
nine months after the first biennial inspection performed pursuant to 49 
CFR 229.29 occurring after November 28, 2005.
    (ii) A freight rolling stock owner may elect not to follow the 
schedule in paragraph (b)(2)(i) of this section, if not later than 
January 26, 2006, the freight rolling stock owner submits to FRA a 
Reflectorization Implementation Compliance Report certifying that the 
locomotives in the owner's fleet subject to this part will be equipped 
with retroreflective sheeting as required by this part in accordance 
with the schedule specified in Table 4 of this section. See Appendix B 
of this part.



    Sec. Table 4 to Subpart B of Part 224--Alternative Schedule for 
    Application of Retroreflective Material to Locomotives per Sec. 
                            224.107(b)(2)(ii)

------------------------------------------------------------------------
                                                                 (B)
                          (A) \1\                             (percent)
------------------------------------------------------------------------
November 28, 2007..........................................           40
November 28, 2008..........................................           60
November 28, 2009..........................................           80
November 28, 2010..........................................         100
------------------------------------------------------------------------
 \1\Column (A) indicates the date by which the minimum percentage of an
  owner's locomotives specified in column (B) must be equipped with
  retroreflective sheeting conforming to this part.

    Thereafter,
    (A) The designated locomotive fleet shall be equipped with 
retroreflective sheeting according to the requirements of this paragraph 
(b)(2)(ii);
    (B) No later than January 28, 2008, the freight rolling stock owner 
shall submit to FRA an updated Reflectorization Implementation 
Compliance Report showing which locomotives of the fleet subject to this 
part were equipped with retroreflective sheeting as required by this 
part during the initial 24 month implementation period. Updated 
Reflectorization Implementation Compliance Reports shall be submitted 
annually, no later than December 31 of each year, for the duration of 
the 5-year implementation period. See Appendix B of this part.
    (C) If, following the conclusion of the initial 24-month period or 
any 12-month period thereafter, the percentage requirements of this 
section have not been met--
    (1) The freight rolling stock owner shall be considered in violation 
of this part;
    (2) The freight rolling stock owner shall, within 60 days after the 
close of the period, report the failure to the Associate Administrator;
    (3) The requirements of paragraph (b)(2)(i) shall apply to all 
locomotives subject to this part in the freight rolling stock owner's 
fleet; and
    (4) The fleet owner shall take such additional action as may be 
necessary to achieve future compliance.
    (D) Locomotives to be retired shall be included in the fleet total 
until they are retired.
    (3) Existing locomotives with retroreflective sheeting. If as of 
October 28, 2005, a locomotive is equipped on each side with at least 
one square foot of retroreflective sheeting, that locomotive shall be 
considered in compliance with this part for through November 28, 2015, 
provided the existing material is not unqualified retroreflective 
sheeting, and provided the freight rolling stock owner files a 
Reflectorization Implementation Compliance Report with FRA no later than 
January 26, 2006, identifying the cars already so

[[Page 458]]

equipped. See appendix B of this part. If, as of October 28, 2005, a 
locomotive is equipped with unqualified retroreflective sheeting, the 
locomotive will be considered in compliance with this part through 
November 28, 2015, provided the locomotive is equipped with a minimum of 
3 square feet of retroreflective material on each side and provided the 
freight rolling stock owner files a Reflectorization Implementation 
Compliance Report with FRA no later than January 26, 2006, identifying 
the locomotives already so equipped. See appendix B of this part.
    (4) Each railroad that has fewer than 400,000 annual employee work 
hours as of the end of calendar year 2004, and does not share locomotive 
power with another railroad with 400,000 or more annual employee work 
hours, may bring its locomotive fleet into compliance according to the 
following schedule: fifty percent of the railroad's locomotives must be 
retrofitted pursuant to Sec. 224.106(b) by October 28, 2010, and one 
hundred percent must be retrofitted pursuant to Sec. 224.106(b) by 
October 28, 2015. If a railroad with fewer than 400,000 annual employee 
work hours shares locomotive power with a railroad with 400,000 or more 
annual employee work hours, the smaller railroad must comply with the 
requirements of paragraphs (b)(2) and (3) of this section.



Sec. 224.109  Inspection, repair, and replacement.

    (a) Railroad freight cars. Retroreflective sheeting on railroad 
freight cars subject to this part must be visually inspected for 
presence and condition whenever a car undergoes a single car air brake 
test required under 49 CFR 232.305. If at the time of inspection less 
than 80 percent of the amount of sheeting required under Sec. 224.105 
(Sec. 224.107 in the case of freight cars subject to Sec. 
224.107(a)(3)) on either side of a car is present, not damaged, and not 
obscured, the inspecting railroad or contractor shall promptly notify 
the person responsible for the reporting mark, as indicated in the 
Universal Machine Language Equipment Register, of the damaged, obscured, 
or missing sheeting (unless the inspecting railroad or contractor is the 
person responsible for the reporting mark). The inspecting railroad or 
contractor shall retain a written or electronic copy of each such 
notification made for at least two years from the date of the notice and 
shall make these records available for inspection and copying by the FRA 
upon request. Any person notified of a defect under this section shall 
have nine months (270 calendar days) from the date of notification to 
repair or replace the damaged, obscured, or missing sheeting. Where the 
inspecting railroad or contractor is the person responsible for the 
reporting mark, the person shall have nine months (270 calendar days) 
from the date of the inspection to repair or replace the damaged, 
obscured, or missing sheeting.
    (b) Locomotives. Retroreflective sheeting must be visually inspected 
for presence and condition when the locomotive receives the annual 
inspection required under 49 CFR 229.27. If at the time of inspection 
less than 80 percent of the amount of sheeting required under Sec. 
224.105 (Sec. 224.107 in the case of locomotives subject to Sec. 
224.107(b)(3)) on either side of a locomotive is present, not damaged, 
and not obscured, the damaged, obscured, or missing sheeting must be 
repaired or replaced within nine months (270 calendar days) from the 
date of inspection, provided a record of the defect is maintained in the 
locomotive cab or in a secure and accessible electronic database to 
which FRA is provided access on request.



Sec. 224.111  Renewal.

    Regardless of condition, retroreflective sheeting required under 
this part must be replaced with new sheeting no later than ten years 
after the date of initial installation. At the time of replacement, it 
is not necessary to remove the old sheeting unless it interferes with 
the placement of the new sheeting, but the old sheeting shall not be 
considered in calculating the amount of retroreflective material 
required under this part. For purposes of this section, November 28, 
2005, shall be considered the initial date of installation for freight 
cars and locomotives covered by Sec. 224.107(a)(3) or 224.107(b)(3).



       Sec. Appendix A to Part 224--Schedule of Civil Penalties\1\

 Subpart B--Application, Inspection, and Maintenance of Retroreflective 
                                Material

[[Page 459]]



------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
Sec. 224.103 Characteristics of
 retroreflective sheeting:
    (a)-(d) Retroreflective sheeting applied         $2,500       $5,000
     does not meet the requirements of Sec.
     224.103..................................
Sec. 224.105 Sheeting dimensions and
 quantity:
    Failure to apply minimum amount of                2,500        5,000
     retroreflective sheeting in accordance
     with Table 2.............................
    Applying retroreflective sheeting of wrong        2,500        5,000
     dimensions...............................
Sec. 224.106 Location of retroreflective
 sheeting:
    (a), (b)Applying retroreflective sheeting         2,000        4,000
     in nonconforming pattern.................
Sec. 224.107 Implementation schedule:
    (a)(1), (b)(1) Failure to apply                   5,000        7,500
     retroreflective sheeting to new freight
     car or locomotive before equipment placed
     in service...............................
    (a)(2), (b)(2), (b)(4) Failure to apply           5,000        7,500
     retroreflective sheeting to existing
     freight car or locomotive in accordance
     with minimum schedule of paragraphs
     (a)(2), (b)(2), or (b)(4)................
Sec. 224.109 Inspection, repair, and
 replacement:
    (a) Failure to perform inspection.........        5,000        7,500
    Failure to properly notify car owner of           2,500        5,000
     defect...................................
    Failure to retain written notification of         1,500        2,500
     defect for two years.....................
    Failure to repair defect after                    5,000        7,500
     notification.............................
    (b) Failure to perform inspection.........        5,000        7,500
    Failure to repair defect..................        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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[70 FR 62176, Oct. 28, 2005, as amended at 73 FR 79702, Dec. 30, 2008; 
77 FR 24420, Apr. 24, 2012; 81 FR 43110, July 1, 2016]

[[Page 460]]

   Appendix B to Part 224--Reflectorization Implementation Compliance 
                                 Report
[GRAPHIC] [TIFF OMITTED] TR28OC05.009


[[Page 461]]


[GRAPHIC] [TIFF OMITTED] TR28OC05.010


[[Page 462]]





  Sec. Appendix C to Part 224--Guidelines for Electronic Submission of 
           Reflectorization Implementation Compliance Reports
[GRAPHIC] [TIFF OMITTED] TR28OC05.011


[[Page 463]]


[GRAPHIC] [TIFF OMITTED] TR28OC05.012

[GRAPHIC] [TIFF OMITTED] TR28OC05.013


[[Page 464]]





PART 225_RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION,
AND INVESTIGATIONS--Table of Contents



Sec.
225.1 Purpose.
225.3 Applicability.
225.5 Definitions.
225.6 Consolidated reporting.
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.
225.15 Accidents/incidents not to be reported.
225.17 Doubtful cases; alcohol or drug involvement.
225.18 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 Optical media transfer and electronic submission.
225.39 FRA policy on covered data.
225.41 Suicide data.

Appendix A to Part 225--Schedule of Civil Penalties
Appendix B to Part 225--Procedure for Determining Reporting Threshold

    Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-02, 21301, 
21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    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. Any State may 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.

[75 FR 68903, Nov. 9, 2010]



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 (a)(11) 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

[[Page 465]]

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, 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; 
75 FR 68903, Nov. 9, 2010]



Sec. 225.5  Definitions.

    As used in this part--
    Accident/incident means:
    (1) Any impact between railroad on-track equipment and a highway 
user at a highway-rail grade crossing. The term ``highway user'' 
includes automobiles, buses, trucks, motorcycles, bicycles, farm 
vehicles, pedestrians, and all other modes of surface transportation 
motorized and un-motorized;
    (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) Each death, injury, or occupational illness that is a new case 
and meets the general reporting criteria listed in Sec. 225.19(d)(1) 
through (d)(6) if an event or exposure arising from the operation of a 
railroad is a discernable cause of the resulting condition or a 
discernable cause of a significant aggravation to a pre-existing injury 
or illness. The event or exposure arising from the operation of a 
railroad need only be one of the discernable causes; it need not be the 
sole or predominant cause.
    (4) Occupational illness.
    Accountable injury or illness means any abnormal condition or 
disorder of a railroad employee that causes or requires the railroad 
employee to be examined or treated by a qualified health care 
professional, regardless of whether or not it meets the general 
reporting criteria listed in Sec. 225.19(d)(1) through (d)(6), and the 
railroad employee claims that, or the railroad otherwise has knowledge 
that, an event or exposure arising from the operation of the railroad is 
a discernable cause of the abnormal condition or disorder.
    Accountable rail equipment accident/incident means
    (1) Any derailment regardless of whether or not it causes any damage 
or
    (2) Any collision, highway-rail grade crossing accident/incident, 
obstruction accident, other impact, fire or violent rupture, explosion-
detonation, act of God, or other accident/incident involving the 
operation of railroad on-track equipment (standing or moving) that 
results in damage to the railroad on-track equipment (standing or 
moving), signals, track, track structures or roadbed and that damage 
impairs the functioning or safety of the railroad on-track equipment 
(standing or moving), signals, track, track structures or roadbed.
    Covered data means information that must be reported to FRA under 
this part concerning a railroad employee injury or illness case that is 
reportable exclusively because a physician or other licensed health care 
professional--
    (1) Recommended in writing that--
    (i) The employee take one or more days away from work when the 
employee instead reports to work (or would have reported had he or she 
been scheduled) and takes no days away from work in connection with the 
injury or illness,
    (ii) The employee work restricted duty for one or more days when the 
employee instead works unrestricted (or would have worked unrestricted 
had he or she been scheduled) and takes no days of restricted work 
activity in connection with the injury or illness, or
    (iii) The employee take over-the-counter medication at a dosage 
equal to or greater than the minimum prescription strength, whether or 
not the

[[Page 466]]

employee actually takes the medication; or
    (2) Made a one-time topical application of a prescription-strength 
medication to the employee's injury.
    Day away from work means a day away from work as described in 
paragraph (1) of this definition or, if paragraph (1) does not apply, a 
day away from work solely for reporting purposes as described in 
paragraph (2) of this definition. For purposes of this definition, the 
count of days includes all calendar days, regardless of whether the 
employee would normally be scheduled to work on those days (e.g., 
weekend days, holidays, rest days, and vacation days), and begins on the 
first calendar day after the railroad employee has been examined by a 
physician or other licensed health care professional (PLHCP) and 
diagnosed with a work-related injury or illness. In particular, the term 
means--
    (1) Each calendar day that the employee, for reasons associated with 
his or her condition, does not report to work (or would have been unable 
to report had he or she been scheduled) if not reporting results from:
    (i) A PLHCP's written recommendation not to work, or
    (ii) A railroad's instructions not to work, if the injury or illness 
is otherwise reportable; or
    (2) A minimum of one calendar day if a PLHCP, for reasons associated 
with the employee's condition, recommends in writing that the employee 
take one or more days away from work, but the employee instead reports 
to work (or would have reported had he or she been scheduled). This 
paragraph is intended to take into account ``covered data'' cases and 
also those non-covered data cases that are independently reportable for 
some other reason (e.g., ``medical treatment'' or ``day of restricted 
work activity''). The requirement to report ``a minimum of one calendar 
day'' is intended to give a railroad the discretion to report up to the 
total number of days recommended by the PLHCP.
    Day of restricted work activity means a day of restricted work 
activity as described in paragraph (1) of this definition or, if 
paragraph (1) does not apply, a day of restricted work activity solely 
for reporting purposes as described in paragraph (2) of this definition; 
in both cases, the work restriction must affect one or more of the 
employee's routine job functions (i.e., those work activities regularly 
performed at least once per week) or prevent the employee from working 
the full workday that he or she would otherwise have worked. For 
purposes of this definition, the count of days includes all calendar 
days, regardless of whether the employee would normally be scheduled to 
work on those days (e.g., weekend days, holidays, rest days, and 
vacation days), and begins on the first calendar day after the railroad 
employee has been examined by a physician or other licensed health care 
professional (PLHCP) and diagnosed with a work-related injury or 
illness. In particular, the term means--
    (1) Each calendar day that the employee, for reasons associated with 
his or her condition, works restricted duty (or would have worked 
restricted duty had he or she been scheduled) if the restriction results 
from:
    (i) A PLHCP's written recommendation to work restricted duty, or
    (ii) A railroad's instructions to work restricted duty, if the 
injury or illness is otherwise reportable; or
    (2) A minimum of one calendar day if a PLHCP, for reasons associated 
with the employee's condition, recommends in writing that the employee 
work restricted duty for one or more days, but the employee instead 
works unrestricted (or would have worked unrestricted had he or she been 
scheduled). This paragraph is intended to take into account ``covered 
data'' cases and also those non-covered data cases that are 
independently reportable for some other reason (e.g., ``medical 
treatment'' or ``day of restricted work activity''). The requirement to 
report ``a minimum of one calendar day'' is intended to give a railroad 
the discretion to report up to the total number of days recommended by 
the PLHCP.
    Discernable cause means a causal factor capable of being recognized 
by the senses or the understanding. An event or exposure arising from 
the operation of a railroad is a discernable cause of (i.e., discernably 
caused) an injury or illness if, considering the circumstances, it is 
more likely than not

[[Page 467]]

that the event or exposure is a cause of the injury or illness. The 
event or exposure arising from the operation of a railroad need not be a 
sole, predominant or significant cause of the injury or illness, so long 
as it is a cause (i.e., a contributing factor).
    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.
    Event or exposure includes an incident, activity, or occurrence.
    Event or exposure arising from the operation of a railroad means--
    (1) With respect to a person who is not an employee of the railroad:
    (i) A person who is on property owned, leased, maintained or 
operated by the railroad, an event or exposure that is related to the 
performance of the railroad's rail transportation business; or
    (ii) A person who is not on property owned, leased, maintained or 
operated over by the railroad, an event or exposure directly resulting 
from one or more of the following railroad operations:
    (A) A train accident or a train incident involving the railroad; or
    (B) A release of a hazardous material from a railcar in the 
possession of the railroad or of another dangerous commodity that is 
related to the performance of the railroad's rail transportation 
business.
    (2) With respect to a person who is an employee of the railroad, an 
event or exposure that is work-related.
    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.
    General reporting criteria means the criteria listed in Sec. 
225.19(d)(1) through (6).
    Highway-rail grade crossing means:
    (1) A location where a public highway, road, or street, or a private 
roadway, including associated sidewalks, crosses one or more railroad 
tracks at grade; or
    (2) A location where a pathway explicitly authorized by a public 
authority or a railroad carrier that is dedicated for the use of non-
vehicular traffic, including pedestrians, bicyclists, and others, that 
is not associated with a public highway, road, or street, or a private 
roadway, crosses one or more railroad tracks at grade. The term 
``sidewalk'' means that portion of a street between the curb line, or 
the lateral line of a roadway, and the adjacent property line or, on 
easements of private property, that portion of a street that is paved or 
improved and intended for use by pedestrians.
    Injury or illness means an abnormal condition or disorder. Injuries 
include cases such as, but not limited to, a cut, fracture, sprain, or 
amputation. Illnesses include both acute and chronic illnesses, such as 
but not limited to, a skin disease, respiratory disorder, or poisoning. 
A musculoskeletal disorder is also an injury or illness. Pain is an 
injury or illness when it is sufficiently severe to meet the general 
reporting criteria listed in Sec. 225.19(d)(1) through (6).
    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.

[[Page 468]]

    Medical removal means medical removal under the medical surveillance 
requirements of the Occupational Safety and Health Administration 
standard in 29 CFR part 1910 in effect during calendar year 2002, even 
if the case does not meet one of the general reporting criteria.
    Medical treatment means 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 counseling.
    Musculoskeletal disorder (MSD) means a disorder of the muscles, 
nerves, tendons, ligaments, joints, cartilage, and spinal discs. The 
term does not include disorders caused by slips, trips, falls, motor 
vehicle accidents, or other similar accidents. Examples of MSDs include: 
Carpal tunnel syndrome, Rotator cuff syndrome, De Quervain's disease, 
Trigger finger, Tarsal tunnel syndrome, Sciatica, Epicondylitis, 
Tendinitis, Raynaud's phenomenon, Carpet layers knee, Herniated spinal 
disc, and Low back pain.
    Needlestick or sharps injury means a cut, laceration, puncture, or 
scratch from a needle or other sharp object that involves contamination 
with another person's blood or other potentially infectious material, 
even if the case does not meet one of the general reporting criteria.
    New case means a case in which either the injured or ill person has 
not previously experienced a reported injury or illness of the same type 
that affects the same part of the body, or the injured or ill person 
previously experienced a reported injury or illness of the same type 
that affected the same part of the body but had recovered completely 
(all signs and/or symptoms disappeared) from the previous injury or 
illness, and an event or exposure arising from the operation of a 
railroad discernably caused the signs and/or symptoms to reappear.
    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 hearing loss means a diagnosis of occupational hearing 
loss by a physician or other licensed health care professional, where 
the employee's audiogram reveals a work-related Standard Threshold Shift 
(STS) (i.e., at least a 10-decibel change in hearing threshold, relative 
to the baseline audiogram for that employee) in hearing in one or both 
ears, and the employee's total hearing level is 25 decibels or more 
above audiometric zero (averaged at 2000, 3000, and 4000 Hz) in the same 
ear(s) as the STS.
    Occupational illness means any abnormal condition or disorder, as 
diagnosed by a physician or other licensed health care professional, of 
any person who falls under the definition for the classification of 
Worker on Duty--Employee, other than one resulting from injury, 
discernably caused by an environmental factor 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.
    Occupational tuberculosis means the occupational exposure of an 
employee to anyone with a known case of active tuberculosis if the 
employee subsequently develops a tuberculosis infection, as evidenced by 
a positive skin test or diagnosis by a physician or other licensed 
health care professional, even if the case does not meet one of the 
general reporting criteria.
    Privacy concern case is any occupational injury or illness in the 
following list:
    (1) Any injury or illness to an intimate body part or the 
reproductive system;
    (2) An injury or illness resulting from a sexual assault;
    (3) Mental illnesses;
    (4) HIV infection, hepatitis, or tuberculosis;
    (5) Needlestick and sharps injuries; and
    (6) Other injuries or illnesses, if the employee independently and 
voluntarily requests in writing to the railroad reporting officer that 
his or her injury or illness not be posted.
    Person includes all categories of entities covered under 1 U.S.C. 1, 
including, but not limited to, a railroad; any

[[Page 469]]

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. In addition to licensed physicians, the term includes 
members of other occupations associated with patient care and treatment 
such as chiropractors, podiatrists, physicians assistants, 
psychologists, and dentists.
    Railroad means a railroad carrier.
    Railroad carrier 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.
    Significant aggravation of a pre-existing injury or illness means 
aggravation of a pre-existing injury or illness that is discernably 
caused by an event or exposure arising from the operation of a railroad 
that results in:
    (1) With respect to any person:
    (i) Death, provided that the pre-existing injury or illness would 
likely not have resulted in death but for the event or exposure;
    (ii) Loss of consciousness, provided that the pre-existing injury or 
illness would likely not have resulted in loss of consciousness but for 
the event or exposure; or
    (iii) Medical treatment in a case where no medical treatment was 
needed for the injury or illness before the event or exposure, or a 
change in the course of medical treatment that was being provided before 
the event or exposure.
    (2) With respect to a railroad employee, one or more days away from 
work, or days of restricted work, or days of job transfer that otherwise 
would not have occurred but for the event or exposure.
    Significant change in the damage costs for reportable rail equipment 
accidents/incidents means at least a ten-percent variance between the 
damage amount reported to FRA and current cost figures.
    Significant change in the number of reportable days away from work 
or days restricted means at least a ten-percent variance in the number 
of actual reportable days away from work or days restricted compared to 
the number of days already reported.
    Significant illness means an illness involving cancer or a chronic 
irreversible disease such as byssinosis or silicosis, if the disease 
does not result in death, a day away from work, restricted work, job 
transfer, medical treatment, or loss of consciousness.
    Significant injury means an injury involving a fractured or cracked 
bone or a punctured eardrum, if the injury does not result in death, a 
day away from work, restricted work, job transfer, medical treatment, or 
loss of consciousness.
    Suicide data means data regarding the death of an individual due to 
the individual's commission of suicide as determined by a coroner, 
public police officer or other public authority or injury to an 
individual due to that individual's attempted commission of suicide as 
determined by a public police office or other public authority. Only the 
death of, or injury to, the individual who committed the suicidal act is 
suicide data. Therefore, casualties to a person caused by the suicidal 
act of another person are not considered suicide data.
    Train accident means any collision, derailment, fire, explosion, act 
of God, or other event involving operation of railroad on-track 
equipment (standing

[[Page 470]]

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 means the establishment and other locations where 
one or more railroad employees are working or present as a condition of 
their employment. The work environment includes not only physical 
locations, but also the equipment or materials processed or used by an 
employee during the course of his or her work, 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 an event or exposure occurring within 
the work environment. An injury or illness is presumed work-related if 
an event or exposure occurring in the work environment is a discernable 
cause of the resulting condition or a discernable cause of a significant 
aggravation to a pre-existing injury or illness. The causal event or 
exposure need not be peculiarly occupational so long as it occurs at 
work. For example, a causal event or exposure may be outside the 
employer's control, such as a lightning strike; involve activities that 
occur at work but are not directly productive, such as horseplay; or 
involve activities that are not peculiar to work, such as walking on a 
level floor, bending down, climbing stairs or sneezing. Such activities, 
along with other normal body movements, are considered events. So long 
as the event or exposure occurred at work and is a discernable cause of 
the injury or illness, the injury or illness is work-related. It does 
not matter whether there are other or bigger causes as well, or that the 
activity at work is no different from actions performed outside work. If 
an injury is within the presumption of work-relatedness, the employer 
can rebut work-relatedness only by showing that the case falls within an 
exception listed in Sec. 225.15. In cases where it is not obvious 
whether a precipitating event or exposure occurred at work or outside 
work, the employer must evaluate the employee's work duties and 
environment and decide whether it is more likely than not that an event 
or exposure at work was at least one of the causes of the injury of the 
injury or illness.

[61 FR 30968, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
61 FR 67490, Dec. 23, 1996; 68 FR 10136, Mar. 3, 2003; 75 FR 68903, Nov. 
9, 2010; 76 FR 30863, May 27, 2011]



Sec. 225.6  Consolidated reporting.

    A parent corporation may request in writing that FRA treat its 
commonly controlled railroad carriers, which operate as a single, 
seamless, integrated United States rail system, as a single railroad 
carrier for purposes of this part.
    (a) The written request must include the following:
    (1) A list of the subsidiary railroads controlled by the parent 
corporation; and
    (2) An explanation as to how the subsidiary railroads operate as a 
single, seamless, integrated United States railroad system.
    (b) The request must be sent to the FRA Docket Clerk, Federal 
Railroad Administration, U.S. Department of Transportation, RCC-10, Mail 
Stop 10, West Building 3rd Floor, Room W31-109, 1200 New Jersey Avenue, 
SE., Washington, DC 20590. Each request received shall be acknowledged 
in writing. The acknowledgment shall contain the docket number assigned 
to the request and state the date the request was received.
    (c) FRA will notify the applicant parent corporation of the agency's 
decision within 90 days of receipt of the application.
    (d) If FRA approves the request, the parent corporation must enter 
into a written agreement with FRA specifying which subsidiaries are 
included in its railroad system, agreeing to assume responsibility for 
compliance with this part for all named subsidiaries making up the 
system, and consenting to guarantee any monetary penalty assessments or 
other liabilities owed to the United States government that are incurred 
by the named subsidiaries for violating Federal accident/incident 
reporting requirements. Any change in

[[Page 471]]

the subsidiaries making up the railroad system requires immediate 
notification to FRA and execution of an amended agreement. Executed 
agreements will be published in the docket.

[75 FR 68905, Nov. 9, 2010]



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 
U.S. Department of Transportation, Federal Railroad Administration, 
Office of Safety, West Building 3rd Floor, 1200 New Jersey Avenue, SE., 
Washington, DC 20590. Written requests for a copy of a report should be 
addressed to the Freedom of Information Act Coordinator, Office of Chief 
Counsel, Federal Railroad Administration, U.S. Department of 
Transportation, RCC-10, Mail Stop 10, West Building 3rd Floor, Room W33-
437, 1200 New Jersey Avenue, SE., 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 
``FOIA Request for Accident/Incident Report.'' For additional 
information on submitting a FOIA request to FRA see FRA's Web site at 
http://www.fra.dot.gov/us/foia.
    (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; 75 FR 68905, Nov. 9, 2010]



Sec. 225.9  Telephonic reports of certain accidents/incidents and 
other events.

    (a) Types of accidents/incidents and other events to be reported--
(1) Certain deaths or injuries. Each railroad must report immediately, 
as prescribed in paragraphs (b) through (d) of this section, whenever it 
learns of the occurrence of an accident/incident arising from the 
operation of the railroad, or an event or exposure that may have arisen 
from the operation of the railroad, that results in the--
    (i) Death of a rail passenger or a railroad employee;
    (ii) Death of an employee of a contractor to a railroad performing 
work for the railroad on property owned, leased, or maintained by the 
contracting railroad; or
    (iii) Death or injury of five or more persons.
    (2) Certain train accidents or train incidents. Each railroad must 
report immediately, as prescribed in paragraphs (b) through (d) of this 
section, whenever it learns of the occurrence of any of the following 
events that arose from the operation of the railroad:
    (i) A train accident that results in serious injury to two or more 
train crewmembers or passengers requiring their admission to a hospital;
    (ii) A train accident resulting in evacuation of a passenger train;
    (iii) A fatality resulting from a train accident or train incident 
at a highway-rail grade crossing when death occurs within 24 hours of 
the accident/incident;
    (iv) A train accident resulting in damage (based on a preliminary 
gross estimate) of $150,000 or more to railroad and nonrailroad 
property; or
    (v) A train accident resulting in damage of $25,000 or more to a 
passenger train, including railroad and nonrailroad property.
    (3) Train accidents on or fouling passenger service main lines. The 
dispatching railroad must report immediately, as prescribed in 
paragraphs (b) through (d) of this section, whenever it learns of the 
occurrence of any train accident reportable as a rail equipment 
accident/incident under Sec. Sec. 225.11 and 225.19(c)--

[[Page 472]]

    (i) That involves a collision or derailment on a main line that is 
used for scheduled passenger service; or
    (ii) That fouls a main line used for scheduled passenger service.
    (b) Method of reporting. (1) Telephonic reports required by this 
section shall be made by toll-free telephone to the National Response 
Center, Area Code 800-424-8802 or 800-424-0201.
    (2) Through one of the same telephone numbers (800-424-0201), the 
National Response Center (NRC) also receives notifications of rail 
accidents for the National Transportation Safety Board (49 CFR part 840) 
and the Research and Special Programs Administration of the U.S. 
Department of Transportation (Hazardous Materials Regulations, 49 CFR 
171.15). FRA Locomotive Safety Standards require certain locomotive 
accidents to be reported by telephone to the NRC at the same toll-free 
number (800-424-0201). 49 CFR 229.17.
    (c) Contents of report. 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 the accident/incident;
    (4) Circumstances of the accident/incident;
    (5) Number of persons killed or injured; and
    (6) Available estimates of railroad and non-railroad property 
damage.
    (d) Timing of report. (1) To the extent that the necessity to report 
an accident/incident depends upon a determination of fact or an estimate 
of property damage, a report will be considered immediate if made as 
soon as possible following the time that the determination or estimate 
is made, or could reasonably have been made, whichever comes first, 
taking into consideration the health and safety of those affected by the 
accident/incident, including actions to protect the environment.
    (2) NTSB has other specific requirements regarding the timeliness of 
reporting. See 49 CFR part 840.

[68 FR 10138, Mar. 3, 2003, as amended at 75 FR 68905, Nov. 9, 2010]



Sec. 225.11  Reporting of accidents/incidents.

    (a) Each railroad subject to this part shall submit to FRA a monthly 
report of all railroad accidents/incidents described below:
    (1) Highway-rail grade crossing accidents/incidents described in 
Sec. 225.19;
    (2) Rail equipment accidents/incidents described in Sec. 225.19; 
and
    (3) Death, injury and occupational illness accidents/incidents 
described in Sec. 225.19.
    (b) The report shall be made on the forms prescribed in Sec. 225.21 
in hard copy or, alternatively, by means of optical media or electronic 
submission via the Internet, 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. A copy of the FRA Guide may be obtained from the 
U.S. Department of Transportation, Federal Railroad Administration, 
Office of Safety Analysis, RRS-22, Mail Stop 25 West Building 3rd Floor, 
Room W33-107, 1200 New Jersey Avenue, SE., Washington, DC 20590 or 
downloaded from FRA's Office of Safety Analysis Web site at http://
safetydata.fra.dot.gov/officeofsafety/, and click on ``Click Here for 
Changes in Railroad Accident/Incident Recordkeeping and Reporting.''

[75 FR 68905, Nov. 9, 2010]



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

[[Page 473]]

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 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

[[Page 474]]

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, ``Notice to Railroad 
Employee Involved in Rail Equipment Accident/Incident Attributed to 
Employee Human Factor; Employee Statement Supplementing Railroad 
Accident Report''), but rather provide such confidential information by 
other means, such as a letter to the employee's collective bargaining 
representative, or to the U.S. Department of Transportation, Federal 
Railroad Administration, Office of Safety Analysis, RRS-22, Mail Stop 25 
West Building 3rd Floor, Room W 33-306, 1200 New Jersey Avenue, SE., 
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; 75 FR 68905, Nov. 9, 2010]



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 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.

    The following accidents/incidents are not reportable:
    (a) With respect to persons other than railroad employees. A 
railroad is not to report injuries that occur at highway-

[[Page 475]]

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) With respect to railroad employees on duty. A railroad is not to 
report the following injuries to or illnesses of a railroad employee as 
Worker on Duty--Employee (Class A), if any of the conditions in this 
paragraph (b) are met. (These exceptions apply only to Worker on Duty--
Employee (Class A) and do not affect a railroad's obligation to report 
these injuries and illnesses as other types of persons (Employee Not On 
Duty (Class B); Passenger on Trains (Class C); Nontrespassers-On 
Railroad Property (Class D); Trespassers (Class E)), or a railroad's 
obligation to maintain a ``Railroad Employee Injury/Illness Record'' 
(Form FRA F 6180.98 or alternative railroad-designed form)).
    (1) The injury or illness occurred in or about living quarters and 
an event or exposure not arising from the operation of a railroad was 
the cause;
    (2) At the time of the injury or illness, the employee was present 
in the work environment as a member of the general public rather than as 
an employee; or
    (3) The injury or illness is caused by a motor vehicle accident and 
occurs on a company parking lot or company access road while the 
employee is commuting to or from work.
    (c) With respect to railroad employees on or off duty. A railroad is 
not to report the following injuries to or illnesses of a railroad 
employee, Worker on Duty--Employee (Class A) or Employee Not on Duty 
(Class B), if any of the following conditions in this paragraph (c) are 
met:
    (1) The injury or illness involves signs or symptoms that surface at 
work but result solely from a non-work-related event or exposure that 
occurs outside the work environment;
    (2) The injury or illness results solely from voluntary 
participation in a wellness program or in a medical, fitness, or 
recreational activity such as blood donation, physical examination, flu 
shot, exercise class, racquetball, or baseball;
    (3) The injury or illness is solely the result of an employee 
eating, drinking, or preparing food or drink for personal consumption. 
However, if the employee is made ill by ingesting food contaminated by 
workplace contaminants (such as lead), or gets food poisoning from food 
supplied by the employer, the case would be considered work-related and 
reported as either a Worker on Duty--Employee (Class A) or Employee Not 
on Duty (Class B) depending on the employees duty status;
    (4) The injury or illness is solely the result of an employee doing 
personal tasks (unrelated to their employment) at the establishment 
outside of the employee's assigned working hours;
    (5) The injury or illness is solely the result of personal grooming, 
self medication for a non-work-related condition, or is intentionally 
self-inflicted (except that for FRA reporting purposes a railroad shall 
not exclude an accountable or reportable injury or illness that is the 
result of a suicide or attempted suicide);
    (6) The illness is the common cold or flu (Note: contagious diseases 
such as tuberculosis, brucellosis, hepatitis A, or plague are considered 
work-related if the employee is infected at work); or
    (7) The illness is a mental illness. Mental illness will not be 
considered work-related unless the employee voluntarily provides the 
employer with an opinion from a physician or other licensed health care 
professional with appropriate training and experience (psychiatrist, 
psychologist, psychiatric nurse practitioner, etc.) stating that the 
employee has a mental illness that is work-related.
    (d) With respect to contractors and volunteers. A railroad is not to 
report injuries to contractors and volunteers that are listed in 
paragraphs (b) and (c) of this section. For purposes of this paragraph 
only, an exception listed in paragraphs (b) and (c) referencing ``work 
environment'' is construed to mean for contractors and volunteers only, 
on property owned, leased, operated over or maintained by the railroad.
    (e) With respect to rail equipment accidents/incidents. A railroad 
is not to report rail equipment accidents/incidents if the conditions in 
this paragraph are met. (This exception does not affect a railroad's 
obligation to maintain

[[Page 476]]

records of accidents/incidents as required by Sec. 225.25 (Form FRA F 
6180.97, ``Initial Rail Equipment Accident/Incident Record'')).
    (1) Cars derailed on industry tracks by non-railroad employees or 
non-railroad employee vandalism, providing there is no involvement of 
railroad employees; and
    (2) Damage to out of service cars resulting from high water or 
flooding (e.g., empties placed on a storage or repair track). This 
exception does not apply if such cars are placed into a moving consist 
and as a result of this damage a reportable rail equipment accident 
results.

[75 FR 68906, Nov. 9, 2010]



Sec. 225.17  Doubtful cases; alcohol or drug involvement.

    (a) The reporting officer of 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.

[39 FR 43224, Dec. 11, 1974, as amended at 50 FR 31579, Aug. 2, 1985; 54 
FR 53279, Dec. 27, 1989; 75 FR 68906, Nov. 9, 2010]



Sec. 225.18  Alcohol or drug involvement.

    (a) In preparing Form FRA F 6180.54, ``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. 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.
    (b) For any train accident within the requirement for post-accident 
testing under Sec. 219.201 of this chapter, the railroad shall append 
to the Form FRA F 6180.54, ``Rail Equipment Accident/Incident Report,'' 
any report required by 49 CFR 219.209(b) (pertaining to failure to 
obtain samples for post-accident toxicological testing).
    (c) 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.
    (d) In providing information required by this section, 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.

[75 FR 68906, Nov. 9, 2010]



Sec. 225.19  Primary groups of accidents/incidents.

    (a) For reporting purposes reportable railroad accidents/incidents 
are divided into three groups:

Group I--Highway-Rail Grade Crossing;
Group II--Rail Equipment;

[[Page 477]]

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, and other 
events involving the operation of on-track equipment (standing or 
moving) that result in damages higher than the current reporting 
threshold (i.e., $6,700 for calendar years 2002 through 2005, $7,700 for 
calendar year 2006, $8,200 for calendar year 2007, $8,500 for calendar 
year 2008, $8,900 for calendar year 2009, $9,200 for calendar year 2010, 
$9,400 for calendar year 2011, $9,500 for calendar year 2012, $9,900 for 
calendar year 2013, $10,500 for calendar year 2014, $10,500 for calendar 
year 2015, and $10,500 for calendar year 2016) to railroad on-track 
equipment, signals, tracks, track structures, or roadbed, including 
labor costs and the costs for acquiring new equipment and material. 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, 
if necessary, will be adjusted every year.
    (d) Group III--Death, injury, or occupational illness. Each death, 
injury, or occupational illness that is a new case and meets the general 
reporting criteria listed in paragraphs (d)(1) through (6) of this 
section shall be reported to FRA on Form FRA F 6180.55a, ``Railroad 
Injury and Illness Summary (Continuation Sheet)'' if an event or 
exposure arising from the operation of a railroad is a discernable cause 
of the resulting condition or a discernable cause of a significant 
aggravation to a pre-existing injury or illness. The event or exposure 
arising from the operation of a railroad need only be one of the 
discernable causes; it need not be the sole or predominant cause. The 
general injury/illness reporting criteria are as follows:
    (1) Death to any person;
    (2) Injury to any person that results in:
    (i) Medical treatment;
    (ii) Significant injury diagnosed by a physician or other licensed 
health care professional even if it does not result in death, medical 
treatment or loss of consciousness of any person; or
    (iii) Loss of consciousness;
    (3) Injury to a railroad employee that results in:
    (i) A day away from work;
    (ii) Restricted work activity or job transfer; or
    (iii) Significant injury diagnosed by a physician or other licensed 
health care professional even if it does not result in death, medical 
treatment, loss of consciousness, a day away from work, restricted work 
activity or job transfer of a railroad employee;
    (4) Occupational illness of a railroad employee that results in:
    (i) A day away from work;
    (ii) Restricted work activity or job transfer;
    (iii) Loss of consciousness; or
    (iv) Medical treatment;
    (5) Significant illness of a railroad employee diagnosed by a 
physician or other licensed health care professional even if it does not 
result in death, a day away from work, restricted work activity or job 
transfer, medical treatment, or loss of consciousness;
    (6) Illness or injury that:
    (i) Meets the application of any of the following specific case 
criteria:
    (A) Needlestick or sharps injury to a railroad employee;
    (B) Medical removal of a railroad employee;
    (C) Occupational hearing loss of a railroad employee;

[[Page 478]]

    (D) Occupational tuberculosis of a railroad employee;
    (E) Musculoskeletal disorder of a railroad employee if this disorder 
is reportable under one or more of the general reporting criteria; or
    (ii) Is a covered data case.
    (e) The reporting threshold is $6,700 for calendar years 2002 
through 2005, $7,700 for calendar year 2006, $8,200 for calendar year 
2007, $8,500 for calendar year 2008, $8,900 for calendar year 2009, 
$9,200 for calendar year 2010, $9,400 for calendar year 2011, $9,500 for 
calendar year 2012, $9,900 for calendar year 2013, $10,500 for calendar 
year 2014, $10,500 for calendar year 2015, and $10,500 for calendar year 
2016. The procedure for determining the reporting threshold for calendar 
years 2006 and beyond appears as paragraphs 1-8 of 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]

    Editorial Note: For Federal Register citations affecting Sec. 
225.19, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



Sec. 225.21  Forms.

    The following forms and copies of the ``FRA Guide for Preparing 
Accident/Incident Reports'' may be obtained from the U.S. Department of 
Transportation, Federal Railroad Administration, Office of Safety 
Analysis, RRS-22, Mail Stop 25 West Building 3rd Floor, Room W33-107, 
1200 New Jersey Avenue, SE., Washington, DC 20590 or downloaded from 
FRA's Office of Safety Analysis Web site at http://
safetydata.fra.dot.gov/officeofsafety/, and click on ``Click Here for 
Changes in Railroad Accident/Incident Recordkeeping and Reporting.''
    (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 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

[[Page 479]]

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.
    (j) Form FRA F 6180.107--Alternative Record for Illnesses Claimed to 
be Work-Related. Form FRA F 6180.107 or an alternative railroad-designed 
record may be used by a railroad in lieu of Form FRA F 6180.98, 
``Railroad Employee Injury and/or Illness Record'' (described in 
paragraph (h) of this section), to record each illness claimed by an 
employee to be work-related that is reported to the railroad for which 
there is insufficient information for the railroad to determine whether 
the illness is work-related. This record shall be completed and retained 
in accordance with the requirements set forth in Sec. 225.25 and Sec. 
225.27.
    (k) Form FRA F 6180.150--Highway User Injury Inquiry Form.--Form FRA 
F 6180.150 shall be sent to every potentially injured highway user, or 
their representative, involved in a highway-rail grade crossing 
accident/incident. If a highway user died as a result of the highway-
rail grade crossing accident/incident, a railroad must not send this 
form to any person. The railroad shall hand deliver or send by first 
class mail the letter within a reasonable time period following the date 
of the highway-rail grade crossing accident/incident. The form shall be 
sent along with a cover letter and a prepaid preaddressed return 
envelope. The form and cover letter shall be completed in accordance 
with instructions contained in the current ``FRA Guide for Preparing 
Accident/Incident Reports.'' Any response from a highway user is 
voluntary and not mandatory. A railroad shall use any response from a 
highway user to comply with part 225's accident/incident reporting and 
recording requirements.

[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; 68 FR 10138, Mar. 3, 2003; 75 FR 68907, Nov. 9, 
2010]



Sec. 225.23  Joint operations.

    (a) Any reportable death, injury, or illness of 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

[[Page 480]]

is involved. Any person found unconscious or dead, if such condition 
arose 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; 68 
FR 10138, Mar. 3, 2003]



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 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) Employee identification number;
    (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, illness, or 
condition 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 481]]

    (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 one or more days away from work, provide the number of days 
away and the 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;
    (xi) Significant injury or illness of a railroad employee;
    (xii) Needlestick or sharps injury to a railroad employee, medical 
removal of a railroad employee, occupational hearing loss of a railroad 
employee, occupational tuberculosis of a railroad employee, or 
musculoskeletal disorder of a railroad employee which musculoskeletal 
disorder is reportable under one or more of the general reporting 
criteria.
    (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 railroad shall identify the preparer's name; title; 
telephone number with area code; and the date the record was initially 
signed/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;

[[Page 482]]

    (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) County and nearest city or town;
    (9) State;
    (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, persons killed, and employees with an 
occupational illness, 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 record was initially signed/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

[[Page 483]]

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. 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 
occupational injury or illness that is a privacy concern case.
    (i) Claimed occupational illnesses. (1) Each railroad may maintain a 
Form FRA F 6180.107, ``Alternative Records for Illnesses Claimed to be 
Work-Related,'' or an alternate railroad-designed record as described in 
paragraph (j) of this section, in place of Form FRA F 6180.98, 
``Railroad Employee Injury and/or Illness Record,'' only for those 
claimed occupational illnesses for which the railroad has not received 
information sufficient to determine whether the occupational illness is 
work-related.
    (2) Each railroad shall enter each illness claimed to be work-
related on the appropriate record, as required by paragraph (i)(1) of 
this section, as early as practicable, but no later than seven working 
days after receiving information or acquiring knowledge that an employee 
is claiming they have incurred an occupational illness.
    (3) When a railroad does not receive information sufficient to 
determine whether a claimed occupational illness case is accountable or 
reportable, the railroad shall make a good faith effort

[[Page 484]]

to obtain the necessary information by December 1 of the next calendar 
year.
    (4) Within 15 calendar days of receiving additional information 
regarding a claimed occupational illness case, each railroad shall 
document receipt of the information, including date received and type of 
document/information received, in narrative block 19 of Form FRA F 
6180.107, ``Alternative Record for Illnesses Claimed to be Work-
Related.''
    (5) Within 45 calendar days of receiving additional information 
regarding a claimed occupational illness, each railroad shall re-
evaluate the claimed occupational illness to determine work-relatedness, 
taking into account the new information, and document any findings 
resulting from the re-evaluation in narrative block 19 of Form FRA F 
6180.107, ``Alternative Record for Illnesses Claimed to be Work-
Related.''
    (6) For any claimed occupational illness case determined to be 
accountable or reportable, each railroad shall:
    (i) Complete a Form FRA F 6180.98, ``Railroad Employee Injury and/or 
Illness Record'' or alternative railroad-designed form within seven days 
of making such determination;
    (ii) Retain the Form FRA F 6180.98, ``Railroad Employee Injury and/
or Illness Record,'' in accordance with Sec. 225.27; and
    (iii) Report the occupational illness, as applicable, in accordance 
with Sec. 225.11.
    (7) For any claimed occupational illness case determined not to be 
accountable or reportable, each railroad shall include the following 
information in narrative block 19 of Form FRA F 6180.107, ``Alternative 
Record for Illnesses Claimed to be Work-Related'' or alternative 
railroad-designed form:
    (i) Why the case does not meet reporting criteria;
    (ii) The basis upon which the railroad made this determination; and
    (iii) The most authoritative information the railroad relied upon to 
make the determination.
    (8) Although Form FRA 6180.107, ``Alternative Record for Illnesses 
Claimed to be Work-Related'' (or the alternate railroad-designed form), 
may not include all supporting documentation, such as medical records, 
the alternative record shall note the custodian of those documents and 
where the supporting documents are located so that they are readily 
accessible to FRA upon request.
    (j) An alternative railroad-designed record may be used in lieu of 
the Form FRA F 6180.107, ``Alternative Record for Illnesses Claimed to 
be Work-Related.'' Any such alternative record shall contain all of the 
information required on the Form FRA F 6180.107. Although this 
information may be displayed in a different order from that on Form FRA 
F 6180.107, 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 all of the railroad's reporting establishments. 
Railroads may list additional information in the alternative record 
beyond the information required on Form FRA F 6180.107. The alternative 
record shall contain, at a minimum, the following information:
    (1) Name of Reporting Railroad;
    (2) Case/Incident Number;
    (3) Employee's Name (first, middle, last);
    (4) Employee's Date of Birth (mm/dd/yy);
    (5) Employee's Gender;
    (6) Employee Identification Number;
    (7) Date Employee was Hired (mm/dd/yy);
    (8) Employee's Home Address (include street address, city, State and 
Zip code);
    (9) Employee's Home Telephone Number (with area code);
    (10) Name of Facility Where Railroad Employee Normally Reports to 
Work;
    (11) Location, or Last Know Facility, Where Employee Reports to 
Work;
    (12) Job Title of Railroad Employee;
    (13) Department to Which Employee is Assigned;
    (14) Date on Which Employee or Representative Notified Company 
Personnel of Condition (mm/dd/yy);
    (15) Name of Railroad Official Notified;
    (16) Title of Railroad Official Notified;
    (17) Nature of Claimed Illness;
    (18) Supporting Documentation;
    (19) Custodian of Documents (Name, Title, and Address);

[[Page 485]]

    (20) Location of Supporting Documentation;
    (21) Narrative;
    (22) Preparer's Name;
    (23) Preparer's Title;
    (24) Preparer's Telephone Number (with area code); and
    (25) Date the record was initially signed/completed (mm/dd/yy).

[61 FR 30970, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
61 FR 67491, Dec. 23, 1996; 68 FR 10139, Mar. 3, 2003; 75 FR 68907, Nov. 
9, 2010]



Sec. 225.27  Retention of records.

    (a)(1) Five-year retention period. Each railroad shall retain the 
following forms for at least five years after the end of the calendar 
year to which they relate:
    (i) Form FRA F 6180.98, ``Railroad Employee Injury and/or Illness 
Record;''
    (ii) Form FRA F 6180.107, ``Alternative Record for Illnesses Claimed 
to be Work-Related;''
    (iii) Monthly List of Injuries and Illnesses required by Sec. 
225.25; and
    (iv) Form FRA F 6180.150, ``Highway User Injury Inquiry Form.''
    (2) Two-year retention period. Each railroad shall retain the 
following forms for at least two years after the end of the calendar 
year to which they relate:
    (i) Form FRA F 6180.97, ``Initial Rail Equipment Accident/Incident 
Record,'' required by Sec. 225.25;
    (ii) The Employee Human Factor Attachments (Form FRA F 6180.81, 
``Employee Human Factor Attachment'') required by Sec. 225.12, that 
have been received by the railroad;
    (iii) The written notices to employees required by Sec. 225.12 
(Part I 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''), that have 
been received by the railroad; and
    (iv) The Employee Statements Supplementing Railroad Accident Reports 
described in Sec. 225.12(g) (Part II 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''), that have been received by the railroad.
    (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.
    (c) Each railroad shall retain the original hard copy of each 
completed and signed Form FRA F 6180.55, ``Railroad Injury and Illness 
Summary,'' that the railroad submits to FRA on optical media (CD-ROM) or 
electronically via the Internet to [email protected] for at least 
five years after the calendar year to which it relates. If the railroad 
opts to submit the report to FRA electronically via the internet, the 
railroad must also retain a hard copy print out of FRA's electronic 
notice acknowledging receipt of the railroad's submission for a period 
of five years after the calendar year to which the report acknowledged 
relates.
    (d) Railroads may retain accident/incident records as required by 
paragraphs (a) and (b) of this section in hard copy format or in 
electronic format. After October 31, 2011, accident/incident records, 
retained by railroads as required by paragraphs (a) and (b) of this 
section, in hard copy format or electronic format are subject to the 
following system requirements:
    (1) Design Requirements. Any electronic record keeping system used 
to retain a record required to be retained by this part shall meet the 
following design parameters:
    (i) The electronic record system shall be designed such that the 
integrity of each record is retained 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;
    (ii) The electronic system shall ensure that each record cannot be 
modified, or replaced, once the record is submitted to FRA;
    (iii) Any amendment to a record shall be electronically stored apart 
from the record which it amends. Each amendment to a record shall 
uniquely identify the person making the amendment and the date the 
amendment was made;

[[Page 486]]

    (iv) The electronic system shall provide for the maintenance of 
reports as originally submitted to FRA without corruption or loss of 
data; and
    (v) Policies and procedures must be in place to prevent persons from 
altering electronic records, or otherwise interfering with the 
electronic system.
    (2) Accessibility and availability. Any electronic record system 
used to create, maintain, or transfer a record required to be maintained 
by this part shall meet the following access and availability 
parameters:
    (i) Paper copies of electronic records and amendments to those 
records that may be necessary to document compliance with this part 
shall be provided to any representative of the FRA or of a State agency 
participating in investigative and/or surveillance activities under part 
212 of this chapter or any other authorized representative for 
inspection and photocopying upon request in accordance with Sec. 
225.35; and
    (ii) Paper copies provided to FRA or of a State agency participating 
in investigative and/or surveillance activities under part 212 of this 
chapter or any other authorized representative shall be produced in a 
readable text format and all data shall be identified by narrative 
descriptions (e.g., ``accident/incident number,'' ``number of days away 
from work,'' ``date of occurrence,'' etc.).

[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; 75 FR 68908, 
Nov. 9, 2010]



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 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 $839 and not more than $27,455 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 $109,819 
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; 69 FR 30594, May 
28, 2004; 72 FR 51197, Sept. 6, 2007; 73 FR 79702, Dec. 30, 2008; 77 FR 
24421, Apr. 24, 2012; 81 FR 43110, July 1, 2016]



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.

[[Page 487]]

    (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 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

[[Page 488]]

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.
    (11) In the case of the Form FRA F 6180.107 or the alternate 
railroad-designed form, a statement that specifies the name(s), title(s) 
and address(es) of the custodian(s) of these records, all supporting 
documentation, such as medical records, and where the documents are 
located.
    (b) [Reserved]

[61 FR 30972, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
61 FR 67491, Dec. 23, 1996; 68 FR 10139, Mar. 3, 2003; 75 FR 68909, Nov. 
9, 2010]



Sec. 225.35  Access to records and reports.

    (a) 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.
    (b) Each railroad subject to this part shall also provide to any 
representative of the Federal Railroad Administration or of a State 
agency participating in 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. 
The Form FRA F 6180.107 or the alternate railroad-designed form need not 
be provided at any railroad establishment within 4 hours of a request. 
Rather, the Form FRA F 6180.107 or the alternate railroad-designed form 
must be provided upon request, within five business days, and may be 
kept at a central location, in either paper or electronic format. 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. Sec. Sec. 20107 and 20902 and Sec. Sec. 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; 
68 FR 10139, Mar. 3, 2003]



Sec. 225.37  Optical media transfer and electronic submission.

    (a) A railroad has the option of submitting the following reports, 
updates, and amendments by way of optical media (CD-ROM), or by means of 
electronic submission via the Internet:
    (1) The Rail Equipment Accident/Incident Report (Form FRA F 
6180.54);

[[Page 489]]

    (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 Employee Human Factor Attachment (Form FRA F 6180.81) (the 
Employee Human Factor Attachment must be in .pdf or .jpg format only).
    (b) Each railroad utilizing the optical media option shall submit to 
FRA a computer CD-ROM containing the following:
    (1) An electronic image of the completed and signed hard copy of the 
Railroad Injury and Illness Summary (Form FRA F 6180.55) in .pdf or .jpg 
format only; and
    (2) The completed accident/incident report submissions.
    (c) (1) Each railroad utilizing the electronic submission via the 
Internet option shall submit to FRA at [email protected]:
    (i) An electronic image of the completed and signed hard copy of the 
Railroad Injury and Illness Summary (Form FRA F 6180.55) in .pdf or .jpg 
format only; and
    (ii) The completed accident/incident report submissions.
    (2) FRA will provide to the railroad an electronic notice 
acknowledging receipt of submissions filed electronically via the 
Internet.
    (d) Each railroad employing either the optical media or electronic 
submission via the Internet 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.
    (e) A railroad choosing to use optical media or electronic 
submission via the internet must use one of the approved formats 
specified in the Companion Guide. FRA will reject submissions that do 
not adhere to the required formats, which may result in the issuance of 
one or more civil penalty assessments against a railroad for failing to 
provide timely submissions of required reports as required by Sec. 
225.11.

[75 FR 68909, Nov. 9, 2010]



Sec. 225.39  FRA policy on covered data.

    FRA will not include covered data (as defined in Sec. 225.5) in its 
periodic summaries of data on the number of occupational injuries and 
illnesses.

[68 FR 10139, Mar. 3, 2003]



Sec. 225.41  Suicide data.

    FRA does not include suicide data (as defined in Sec. 225.5) in its 
periodic summaries of data on the number of injuries and illnesses 
associated with railroad operations. FRA will maintain suicide data in a 
database that is not publicly accessible. Suicide data will not be 
available on FRA's Web site for individual reports or downloads. Suicide 
data will be available to the public in aggregate format on FRA's Web 
site and via requests under the Freedom of Information Act.

[75 FR 68909, Nov. 9, 2010]



      Sec. Appendix A to Part 225--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                                                               Willful
                  Section \2\                    Violation    Violation
------------------------------------------------------------------------
225.6: Failure to comply with consolidated           $2,500       $5,000
 reporting requirements.......................
225.9:
    (1) Failure to report.....................        2,500        5,000
    (2) Failure to immediately report.........        1,000        2,000
    (3) Failure to accurately report..........        1,000        2,000
225.11:
    (1) Failure to report accident/incident...        2,500        5,000
        (a) Highway-rail grade crossing.......
        (b) Rail Equipment....................
        (c) Death, Injury, or occupational
         illness..............................
    (2) Report is incomplete..................        1,000        2,000
225.12: Failure to file Railroad Employee             2,500        5,000
 Human Factor form............................
    (a) Failure to file Railroad Employee
     Human Factor Attachment correctly:
        (1) Employee identified...............        2,500        5,000
        (2) No employee identified............        1,000        2,000

[[Page 490]]

 
    (b)
        (1) Failure to notify employee                2,500        5,000
         properly.............................
        (2) Notification of employee not              2,500        5,000
         involved in accident.................
    (c) Failure of employing railroad to              1,000        2,000
     provide requested information properly...
    (d)
        (1) Failure to revise report..........        2,500        5,000
        (2) Failure to notify after late              2,500        5,000
         identification.......................
    (f) Submission of notice if employee dies         2,500        5,000
     as result of the reported accident.......
    (g) Willfully false accident statement by   ...........        5,000
     employee.................................
225.13:
    (1) Failure to Late reports...............        2,500        5,000
    (2) Failure to Review Employee Statement..        2,500        5,000
    (3) Failure to Amend Report...............        1,000        2,000
225.18: Alcohol or drug involvement...........        2,500        5,000
225.23: Joint operations......................        (\1\)        (\1\)
225.25:
    (1) Recordkeeping.........................        2,500        5,000
    (2) Failure to post list..................        1,000        2,000
    (3) Posting Prohibited Information........        1,000        2,000
    (4) Missing fields........................        1,000        2,000
225.27:
    (1) Failure to retain records.............        1,000        2,000
    (2) Failure to retain electronic receipt..        1,000        2,000
    (3) Failure to comply with electronic             1,000        2,000
     recordkeeping requirements...............
    (4) Failure to provide access to records..        1,000        2,000
225.33:
    (1) Failure to adopt Internal Control Plan        2,500        5,000
     or more than two missing/outdated/
     incorrect components.....................
    (2) Internal Control Plan with less than          1,000        2,000
     three missing/outdated/incorrect
     components...............................
    (3) Failure to comply with Internal               2,500        5,000
     Control Plan.............................
    (4) Failure to comply with the                    2,500        5,000
     intimidation/harassment policy in
     Internal Control Plan....................
    (5) Failure to comply with requirements           2,500        5,000
     associated with Form FRA F 6180.150......
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 $109,819 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 Sec. Sec.
  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.
\2\ The penalty schedule uses section numbers from 49 CFR part 225. If
  more than one item is listed as a type of violation of a given
  section, each item is also designated by a ``penalty code,'' which is
  used to facilitate assessment of civil penalties, and which may or may
  not correspond to any subsection designation(s). For convenience,
  penalty citations will cite the CFR section and the penalty code, if
  any. FRA reserves the right, should litigation become necessary, to
  substitute in its complaint the CFR citation in place of the combined
  CFR and penalty code citation, should they differ.


[75 FR 68909, Nov. 9, 2010, as amended at 77 FR 24421, Apr. 24, 2012; 81 
FR 43110, July 1, 2016]



    Sec. Appendix B to Part 225--Procedure for Determining Reporting 
                                Threshold

    1. Wage data used in the calculation are collected from railroads by 
the Surface Transportation Board (STB) on Form A--STB Wage Statistics. 
Rail equipment 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 has two components: 
(a) The average hourly earnings of certain railroad maintenance 
employees as reported to the STB by the Class I railroads and Amtrak; 
and (b) an overall rail equipment cost index determined by the BLS. The 
wage component is weighted by 40% and the equipment component by 60%.
    2. For the wage component, the average of the data from Form A--STB 
Wage Statistics for Group No. 300 (Maintenance of Way and Structures) 
and Group No. 400 (Maintenance of Equipment and Stores) employees 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, second-quarter wage data are obtained 
from the STB. For equipment costs, the corresponding BLS railroad 
equipment indices for the second quarter are obtained. As the equipment 
index is reported monthly rather than quarterly, the average for the 
months of April, May and June is used for the threshold calculation.
    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.

[[Page 491]]

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 weightings result from using STB wage data and BLS equipment 
cost data to produce a reasonable estimation of the reporting threshold 
that was calculated using the threshold formula in effect immediately 
before calendar year 2006, a formula that assumed damage repair costs, 
at levels at or near the threshold, were split approximately evenly 
between labor and materials.
    8. Formula:

New Threshold = Prior Threshold x [1 + 0.4(Wnew--Wprior)/Wprior + 
          0.6(Enew - Eprior)/100]

Where:

Wnew = New average hourly wage rate ($).
Wprior = Prior average hourly wage rate ($).
Enew = New equipment average PPI value.
Eprior = Prior equipment average PPI value.

[70 FR 75417, Dec. 20, 2005]



PART 227_OCCUPATIONAL NOISE EXPOSURE--Table of Contents



                            Subpart A_General

Sec.
227.1 Purpose and scope.
227.3 Application.
227.5 Definitions.
227.7 Preemptive effect.
227.9 Penalties.
227.11 Responsibility for compliance.
227.13 Waivers.
227.15 Information collection.

 Subpart B_Occupational Noise Exposure for Railroad Operating Employees

227.101 Scope and applicability.
227.103 Noise monitoring program.
227.105 Protection of employees.
227.107 Hearing conservation program.
227.109 Audiometric testing program.
227.111 Audiometric test requirements.
227.113 Noise operational controls.
227.115 Hearing protectors.
227.117 Hearing protector attenuation.
227.119 Training program.
227.121 Recordkeeping.

Appendix A to Part 227--Noise Exposure Computation
Appendix B to Part 227--Methods for Estimating the Adequacy of Hearing 
          Protector Attenuation
Appendix C to Part 227--Audiometric Baseline Revision
Appendix D to Part 227--Audiometric Test Rooms
Appendix E to Part 227--Use of Insert Earphones for Audiometric Testing
Appendix F to Part 227--Calculations and Application of Age Corrections 
          to Audiograms
Appendix G to Part 227--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20103, note, 20701-20702; 28 U.S.C. 
2461, note; and 49 CFR 1.89.

    Source: 71 FR 63123, Oct. 27, 2006, unless otherwise noted.



                            Subpart A_General



Sec. 227.1  Purpose and scope.

    (a) The purpose of this part is to protect the occupational health 
and safety of employees whose predominant noise exposure occurs in the 
locomotive cab.
    (b) This part prescribes minimum Federal health and safety noise 
standards for locomotive cab occupants. This part does not restrict a 
railroad or railroad contractor from adopting and enforcing additional 
or more stringent requirements.



Sec. 227.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all railroads and contractors to railroads.
    (b) This part does not apply to--
    (1) A railroad that operates only on track inside an installation 
that is not part of the general railroad system of transportation;
    (2) A rapid transit operation in an urban area that is not connected 
to the general railroad system of transportation;
    (3) A rapid transit operation in an urban area that is connected to 
the general system and operates under a shared use waiver;
    (4) A railroad that operates tourist, scenic, historic, or excursion 
operations, whether on or off the general railroad system of 
transportation; or
    (5) Foreign railroad operations that meet the following conditions: 
Employees of the foreign railroad have a primary reporting point outside 
of the U.S. but are operating trains or conducting switching operations 
in the U.S.; and the government of that foreign railroad has implemented 
requirements for hearing conservation for

[[Page 492]]

railroad employees; the foreign railroad undertakes to comply with those 
requirements while operating within the U.S.; and FRA's Associate 
Administrator for Safety determines that the foreign requirements are 
consistent with the purpose and scope of this part. A ``foreign 
railroad'' refers to a railroad that is incorporated in a place outside 
the U.S. and is operated out of a foreign country but operates for some 
distance in the U.S.



Sec. 227.5  Definitions.

    As used in this part--
    Action level means an eight-hour time-weighted-average sound level 
(TWA) of 85 dB(A), or, equivalently, a dose of 50 percent, integrating 
all sound levels from 80 dB(A) to 140 dB(A).
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Artifact means any signal received or recorded by a noise measuring 
instrument that is not related to occupational noise exposure and may 
adversely impact the accuracy of the occupational noise measurement.
    Audiogram means a record of audiometric testing, showing the 
thresholds of hearing sensitivity measured at discrete frequencies, as 
well as other recordkeeping information.
    Audiologist means a professional, who provides comprehensive 
diagnostic and treatment/rehabilitative services for auditory, 
vestibular, and related impairments and who
    (1) Has a Master's degree or doctoral degree in audiology and
    (2) Is licensed as an audiologist by a State; or in the case of an 
individual who furnishes services in a State which does not license 
audiologists, has successfully completed 350 clock hours of supervised 
clinical practicum (or is in the process of accumulating such supervised 
clinical experience), performed not less than 9 months of supervised 
full-time audiology services after obtaining a master's or doctoral 
degree in audiology or a related field, and successfully completed a 
national examination in audiology approved by the Secretary of the U.S. 
Department of Health and Human Services.
    Audiometry means the act or process of measuring hearing sensitivity 
at discrete frequencies. Audiometry can also be referred to as 
audiometric testing.
    Baseline audiogram means an audiogram, recorded in accordance with 
Sec. 227.109, against which subsequent audiograms are compared to 
determine the extent of change of hearing level.
    Class I, Class II, and Class III railroads have the meaning assigned 
by the regulations of the Surface Transportation Board (49 CFR part 120; 
General Instructions 1-1).
    Continuous noise means variations in sound level that involve maxima 
at intervals of 1 second or less.
    Decibel (dB) means a unit of measurement of sound pressure levels.
    dB(A) means the sound pressure level in decibels measured on the A-
weighted scale.
    Employee means any 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.
    Exchange rate means the change in sound level, in decibels, which 
would require halving or doubling of the allowable exposure time to 
maintain the same noise dose. For purposes of this part, the exchange 
rate is 5 decibels.
    FRA means the Federal Railroad Administration.
    Hearing protector means any device or material, which is capable of 
being worn on the head, covering the ear canal or inserted in the ear 
canal; is designed wholly or in part to reduce the level of sound 
entering the ear; and has a scientifically accepted indicator of its 
noise reduction value.
    Hertz (Hz) means a unit of measurement of frequency numerically 
equal to cycles per second.
    Medical pathology means a condition or disease affecting the ear 
which is medically or surgically treatable.
    Noise operational controls means a method used to reduce noise 
exposure, other than hearing protectors or equipment modifications, by 
reducing the time a person is exposed to excessive noise.
    Occasional service means service of not more than a total of 20 days 
in a calendar year.

[[Page 493]]

    Otolaryngologist means a physician specializing in diagnosis and 
treatment of disorders of the ear, nose, and throat.
    Periodic audiogram is a record of follow-up audiometric testing 
conducted at regular intervals after the baseline audiometric test.
    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; an 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; an independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor.
    Professional Supervisor of the Audiometric Monitoring Program in a 
hearing conservation program means an audiologist, otolaryngologist, or 
a physician with experience and expertise in hearing and hearing loss.
    Qualified Technician is a person who is certified by the Council for 
Accreditation in Occupational Hearing Conservation or equivalent 
organization; or who has satisfactorily demonstrated competence in 
administering audiometric examinations, obtaining valid audiograms, and 
properly using, maintaining, and checking calibration and proper 
functioning of the audiometers used; and is responsible to the 
Professional Supervisor of the Audiometric Testing Program.
    Railroad means any form of non-highway ground transportation that 
runs on rails or electromagnetic guide-ways and any entity providing 
such transportation, including:
    (1) 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
    (2) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads. The term 
``railroad'' is also intended to mean a person that provides 
transportation by railroad, whether directly or by contracting out 
operation of the railroad to another person. The term does not include 
rapid transit operations in an urban area that are not connected to the 
general railroad system of transportation.
    Representative personal sampling means measurement of an employee's 
noise exposure that is representative of the exposures of other 
employees who operate similar equipment under similar conditions.
    Sound level or Sound pressure level means ten times the common 
logarithm of the ratio of the square of the measured A-weighted sound 
pressure to the square of the standard reference pressure of twenty 
micropascals, measured in decibels. For purposes of this regulation, 
SLOW time response, in accordance with ANSI S1.43-1997 (Reaffirmed 
2002), ``Specifications for Integrating-Averaging Sound Level Meters,'' 
is required. The Director of the Federal Register approves this 
incorporation by reference of this standard in this section in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy 
of the incorporated standard from the American National Standards 
Institute at 1819 L Street, NW., Washington, DC 20036 or http://
www.ansi.org. You may inspect a copy of the incorporated standard at the 
Federal Railroad Administration, Docket Room, 1200 New Jersey Avenue, 
SE., Washington, DC 20590, or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
    Standard threshold shift (STS) means a change in hearing sensitivity 
for the worse, relative to the baseline audiogram, or relative to the 
most recent revised baseline (where one has been established), of an 
average of 10 dB or more at 2000, 3000, and 4000 Hz in either ear.
    Time-weighted-average eight-hour (or 8-hour TWA) means the sound 
level, which, if constant over 8 hours, would result in the same noise 
dose as is measured. For purposes of this part, the exchange rate is 5 
decibels.
    Tourist, scenic, historic, or excursion operations means railroad 
operations

[[Page 494]]

that carry passengers, often using antiquated equipment, with the 
conveyance of the passengers to a particular destination not being the 
principal purpose.

[71 FR 63123, Oct. 27, 2006, as amended at 74 FR 25173, May 27, 2009]



Sec. 227.7  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 does not impose an unreasonable burden on interstate 
commerce.



Sec. 227.9  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 $839 and not more than $27,455 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 $109,819 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix G 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.

[71 FR 63123, Oct. 27, 2006, as amended at 73 FR 79702, Dec. 30, 2008; 
77 FR 24421, Apr. 24, 2012; 81 FR 43110, July 1, 2016]



Sec. 227.11  Responsibility for compliance.

    Although the duties imposed by this part are generally stated in 
terms of the duty of a railroad, any person, including a contractor for 
a railroad, who performs any function covered by this part must perform 
that function in accordance with this part.



Sec. 227.13  Waivers.

    (a) A 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 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, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary.



Sec. 227.15  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 1980 (44 U.S.C. 3501 et seq.) and are 
assigned OMB control number 2130-NEW.
    (b) The information collection requirements are found in the 
following sections: Sec. Sec. 227.13, 227.103, 227.107, 227.109, 
227.111, 227.117, 227.119, and 227.121.



 Subpart B_Occupational Noise Exposure for Railroad Operating Employees.



Sec. 227.101  Scope and applicability.

    (a) This subpart shall apply to the noise-related working conditions 
of--
    (1) Any person who regularly performs service subject to the 
provisions of the hours of service laws governing ``train employees'' 
(see 49 U.S.C. 21101(5) and 21103), but, subject to a railroad's 
election in paragraph (a)(3) of this section, does not apply to:
    (i) Employees who move locomotives only within the confines of 
locomotive repair or servicing areas, as provided in Sec. Sec. 218.5 
and 218.29(a) of this chapter, or
    (ii) Employees who move 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, or

[[Page 495]]

    (iii) Contractors who operate historic equipment in occasional 
service, provided that the contractors have been provided with hearing 
protectors and, where necessary, are required to use the hearing 
protectors while operating the historic equipment;
    (2) Any direct supervisor of the persons described in paragraph 
(a)(1) of this section whose duties require frequent work in the 
locomotive cab; and
    (3) At the election of the railroad, any other person (including a 
person excluded by paragraph (a)(1) of this section) whose duties 
require frequent work in the locomotive cab and whose primary noise 
exposure is reasonably expected to be experienced in the cab, if the 
position occupied by such person is designated in writing by the 
railroad, as required by Sec. 227.121(d).
    (b) Occupational noise exposure and hearing conservation for 
employees not covered by this subpart is governed by the appropriate 
occupational noise exposure regulation of the U.S. Department of Labor, 
Occupational Safety and Health Administration located at 29 CFR 1910.95.



Sec. 227.103  Noise monitoring program.

    (a) Schedule. A railroad shall develop and implement a noise 
monitoring program to determine whether any employee covered by the 
scope of this subpart may be exposed to noise that may equal or exceed 
an 8-hour TWA of 85 dB(A), in accordance with the following schedule:
    (1) Class 1, passenger, and commuter railroads no later than 
February 26, 2008.
    (2) Railroads with 400,000 or more annual employee hours that are 
not Class 1, passenger, or commuter railroads no later than August 26, 
2008.
    (3) Railroads with fewer than 400,000 annual employee hours no later 
than August 26, 2009.
    (b) Sampling strategy. (1) In its monitoring program, the railroad 
shall use a sampling strategy that is designed to identify employees for 
inclusion in the hearing conservation program and to enable the proper 
selection of hearing protection.
    (2) Where circumstances such as high worker mobility, significant 
variations in sound level, or a significant component of impulse noise 
make area monitoring generally inappropriate, the railroad shall use 
representative personal sampling to comply with the monitoring 
requirements of this section, unless the railroad can show that area 
sampling produces equivalent results.
    (c) Noise measurements. (1) All continuous, intermittent, and 
impulse sound levels from 80 decibels to 140 decibels shall be 
integrated into the noise measurements.
    (2) Noise measurements shall be made under typical operating 
conditions using:
    (i) A sound level meter conforming, at a minimum, to the 
requirements of ANSI S1.4-1983 (Reaffirmed 2001) (incorporated by 
reference, see Sec. 227.103(h)), Type 2, and set to an A-weighted SLOW 
response;
    (ii) An integrated sound level meter conforming, at a minimum, to 
the requirements of ANSI S1.43-1997 (Reaffirmed 2002) (incorporated by 
reference, see Sec. 227.103(h)), Type 2, and set to an A-weighted slow 
response ; or
    (iii) A noise dosimeter conforming, at a minimum, to the 
requirements of ANSI S1.25-1991 (Reaffirmed 2002) (incorporated by 
reference, see Sec. 227.103(h)) and set to an A-weighted SLOW response.
    (3) All instruments used to measure employee noise exposure shall be 
calibrated to ensure accurate measurements.
    (d) The railroad shall repeat noise monitoring, consistent with the 
requirements of this section, whenever a change in operations, process, 
equipment, or controls increases noise exposures to the extent that:
    (1) Additional employees may be exposed at or above the action 
level; or
    (2) The attenuation provided by hearing protectors being used by 
employees may be inadequate to meet the requirements of Sec. 227.103.
    (e) In administering the monitoring program, the railroad shall take 
into consideration the identification of work environments where the use 
of hearing protectors may be omitted.
    (f) Observation of monitoring. The railroad shall provide affected 
employees

[[Page 496]]

or their representatives with an opportunity to observe any noise dose 
measurements conducted pursuant to this section.
    (g) Reporting of monitoring results. (1) The railroad shall notify 
each monitored employee of the results of the monitoring.
    (2) The railroad shall post the monitoring results at the 
appropriate crew origination point for a minimum of 30 days. The posting 
should include sufficient information to permit other crews to 
understand the meaning of the results in the context of the operations 
monitored.
    (h) Incorporation by reference. The materials listed in this section 
are incorporated by reference in the corresponding sections noted. These 
incorporations by reference were 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 materials from the American National 
Standards Institute at 1819 L Street, NW., Washington, DC 20036 or 
http://www.ansi.org. You may inspect a copy of the incorporated 
standards at the Federal Railroad Administration, Docket Room, 1200 New 
Jersey Avenue, SE., Washington, DC 20590, or at the National Archives 
and Records Administration (NARA). For information on the availability 
of this material at NARA, call 202-741-6030, or go to http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (1) ANSI S1.4-1983 (Reaffirmed 2001), Specification for Sound Level 
Meters, incorporation by reference (IBR) approved for Sec. 
227.103(c)(2)(i).
    (2) ANSI S1.43-1997 (Reaffirmed 2002), Specifications for 
Integrating-Averaging Sound Level Meters, IBR approved for Sec. 
227.103(c)(2)(ii).
    (3) ANSI S1.25-1991 (Reaffirmed 2002), Specification for Personal 
Noise Dosimeters, IBR approved for Sec. 227.103(c)(2)(iii).

[71 FR 63123, Oct. 27, 2006, as amended at 74 FR 25173, May 27, 2009]



Sec. 227.105  Protection of employees.

    (a) A railroad shall provide appropriate protection for its 
employees who are exposed to noise, as measured according to Sec. 
227.103, that exceeds the limits specified in appendix A of this part.
    (b) In assessing whether exposures exceed 115 dB(A), as set forth in 
paragraph (a) of this section and appendix A to this part, the apparent 
source of the noise exposures shall be observed and documented and 
measurement artifacts may be removed.
    (c) Except as set forth in paragraph (d) of this section, exposure 
to continuous noise shall not exceed 115dB(A).
    (d) Exposures to continuous noise greater than 115 dB(A) and equal 
to or less than 120 dB(A) are permissible, provided that the total daily 
duration does not exceed 5 seconds.



Sec. 227.107  Hearing conservation program.

    (a) Consistent with the requirements of the noise monitoring program 
required by Sec. 227.103, the railroad shall administer a continuing, 
effective hearing conservation program, as set forth in Sec. Sec. 
227.109 through 227.121, for all employees exposed to noise at or above 
the action level.
    (b) For purposes of the hearing conservation program, employee noise 
exposure shall be computed in accordance with the tables in appendix A 
of this part, and without regard to any attenuation provided by the use 
of hearing protectors.



Sec. 227.109  Audiometric testing program.

    (a) Each railroad shall establish and maintain an audiometric 
testing program as set forth in this section and include employees who 
are required to be included in a hearing conservation program pursuant 
to Sec. 227.107.
    (b) Cost. The audiometric tests shall be provided at no cost to 
employees.
    (c) Tests. Audiometric tests shall be performed by:
    (1) An audiologist, otolaryngologist, or other physician who has 
experience and expertise in hearing and hearing loss; or
    (2) A qualified technician.
    (d) [Reserved]
    (e) Baseline audiogram. This paragraph (e) applies to employees who 
are required by Sec. 227.107 to be included in a hearing conservation 
program.

[[Page 497]]

    (1) New employees. (i) Except as provided in paragraph (e)(1)(ii), 
for employees hired after February 26, 2007, the railroad shall 
establish a valid baseline audiogram within 6 months of the new 
employee's first tour of duty.
    (ii) Where mobile test vans are used to meet the requirement in 
paragraph (e)(1)(i), the railroad shall establish a valid baseline 
audiogram within one year of the new employee's first tour of duty.
    (2) Existing employees. (i) For all employees without a baseline 
audiogram as of February 26, 2007, Class 1, passenger, and commuter 
railroads, and railroads with 400,000 or more annual employee hours 
shall establish a valid baseline audiogram by February 26, 2009; and 
railroads with less than 400,000 annual employee hours shall establish a 
valid baseline audiogram by February 26, 2010.
    (ii) If an employee has had a baseline audiogram as of February 26, 
2007, and it was obtained under conditions that satisfy the requirements 
found in 29 CFR 1910.95(h), the railroad must use that baseline 
audiogram.
    (iii) If the employee has had a baseline audiogram as of February 
26, 2007, and it was obtained under conditions that satisfy the 
requirements in 29 CFR 1910.95(h)(1), but not the requirements found in 
29 CFR 1910.95(h)(2) through (5), the railroad may elect to use that 
baseline audiogram provided that the Professional Supervisor of the 
Audiometric Monitoring Program makes a reasonable determination that the 
baseline audiogram is valid and is clinically consistent with other 
materials in the employee's medical file.
    (3) Testing to establish a baseline audiogram shall be preceded by 
at least 14 hours without exposure to occupational noise in excess of 
the action level. Hearing protectors may be used as a substitute for the 
requirement that baseline audiograms be preceded by 14 hours without 
exposure to occupational noise.
    (4) The railroad shall notify its employees of the need to avoid 
high levels of non-occupational noise exposure during the 14-hour period 
immediately preceding the audiometric examination.
    (f) Periodic audiogram. (1) The railroad shall offer an audiometric 
test to each employee included in the hearing conservation program at 
least once each calendar year. The interval between the date offered to 
any employee for a test in a calendar year and the date offered in the 
subsequent calendar year shall be no more than 450 days and no less than 
280 days.
    (2) The railroad shall require each employee included in the hearing 
conservation program to take an audiometric test at least once every 
1095 days.
    (g) Evaluation of audiogram. (1) Each employee's periodic audiogram 
shall be compared to that employee's baseline audiogram to determine if 
the audiogram is valid and to determine if a standard threshold shift 
has occurred. This comparison may be done by a qualified technician.
    (2) If the periodic audiogram demonstrates a standard threshold 
shift, a railroad may obtain a retest within 90 days. The railroad may 
consider the results of the retest as the periodic audiogram.
    (3) The audiologist, otolaryngologist, or physician shall review 
problem audiograms and shall determine whether there is a need for 
further evaluation. A railroad shall provide all of the following 
information to the person performing this review:
    (i) The baseline audiogram of the employee to be evaluated;
    (ii) The most recent audiogram of the employee to be evaluated;
    (iii) Measurements of background sound pressure levels in the 
audiometric test room as required in appendix D of this part: 
Audiometric Test Rooms; and
    (iv) Records of audiometer calibrations required by Sec. 227.111.
    (h) Follow-up procedures. (1) If a comparison of the periodic 
audiogram to the baseline audiogram indicates that a standard threshold 
shift has occurred, the railroad shall inform the employee in writing 
within 30 days of the determination.
    (2) Unless a physician or audiologist determines that the standard 
threshold shift is not work-related or aggravated by occupational noise 
exposure, the

[[Page 498]]

railroad shall ensure that the following steps are taken:
    (i) Employees not using hearing protectors shall be fitted with 
hearing protectors, shall be trained in their use and care, and shall be 
required to use them.
    (ii) Employees already provided with hearing protectors shall be 
refitted, shall be retrained in the use of hearing protectors offering 
greater attenuation, if necessary, and shall be required to use them.
    (iii) If subsequent audiometric testing is necessary or if the 
railroad suspects that a medical pathology of the ear is caused or 
aggravated by the wearing of hearing protectors, the railroad shall 
refer the employee for a clinical audiological evaluation or an 
otological examination.
    (iv) If the railroad suspects that a medical pathology of the ear 
unrelated to the use of hearing protectors is present, the railroad 
shall inform the employee of the need for an otological examination.
    (3) If subsequent audiometric testing of an employee, whose exposure 
to noise is less than an 8-hour TWA of 90 dB, indicates that a standard 
threshold shift is not persistent, the railroad shall inform the 
employee of the new audiometric interpretation and may discontinue the 
required use of hearing protectors for that employee.
    (i) Revised baseline. A railroad shall use the following methods for 
revising baseline audiograms:
    (1) Periodic audiograms from audiometric tests conducted through 
February 26, 2009, may be substituted for the baseline measurement by 
the Professional Supervisor of the Audiometric Monitoring Program who is 
evaluating the audiogram if:
    (i) The standard threshold shift revealed by the audiogram is 
persistent; or
    (ii) The hearing threshold shown in the periodic audiogram indicates 
significant improvement over the baseline audiogram.
    (2) Baseline audiograms from audiometric tests conducted after 
February 26, 2009, shall be revised in accordance with the method 
specified in appendix C of this part: Audiometric Baseline Revision.
    (j) Standard threshold shift. In determining whether a standard 
threshold shift has occurred, allowance may be made for the contribution 
of aging (presbycusis) to the change in hearing level by correcting the 
annual audiogram according to the procedure described in appendix F of 
this part: Calculation and Application of Age Correction to Audiograms.



Sec. 227.111  Audiometric test requirements.

    (a) Audiometric tests shall be pure tone, air conduction, hearing 
threshold examinations, with test frequencies including 500, 1000, 2000, 
3000, 4000, 6000, and 8000 Hz. Tests at each frequency shall be taken 
separately for each ear.
    (b) Audiometric tests shall be conducted with audiometers (including 
microprocessor audiometers) that meet the specifications of and are 
maintained and used in accordance with ANSI S3.6-2004 ``Specification 
for Audiometers.'' The Director of the Federal Register approves the 
incorporation by reference of this standard in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. You may obtain a copy of the incorporated 
standard from the American National Standards Institute at 1819 L 
Street, NW., Washington, DC 20036 or http://www.ansi.org. You may 
inspect a copy of the incorporated standard at the Federal Railroad 
Administration, Docket Room, 1200 New Jersey Avenue, SE., Washington, DC 
20590, Washington, DC 20005, or at the National Archives and Records 
Administration (NARA). For more information on the availability of this 
material at NARA, call 202-741-6030, or go to http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
    (1) Pulsed-tone audiometers should be used with the following on and 
off times: F-J and J-K shall each have values of 225 35 milliseconds (ms).
    (2) Use of insert earphones shall be consistent with the 
requirements listed in appendix E of this part: Use of Insert Earphones 
for Audiometric Testing.
    (c) Audiometric examinations shall be administered in a room meeting 
the requirements listed in appendix D of this part: Audiometric Test 
Rooms.

[[Page 499]]

    (d) Audiometer calibration. (1) The functional operation of the 
audiometer shall be checked before each day's use by testing a person 
with known, stable hearing thresholds or by appropriate calibration 
device, and by listening to the audiometer's output to make sure that 
the output is free from distorted or unwanted sounds. Deviations of 10 
decibels or greater require an acoustic calibration.
    (2) Audiometer calibration shall be checked acoustically at least 
annually according to the procedures described in ANSI S3.6-2004. 
Frequencies below 500 Hz and above 8000 Hz may be omitted from this 
check. The audiometer must meet the sound pressure accuracy requirements 
of section 7.2 of ANSI S3.6-2004 of 3 dB at any test frequency between 
500 and 5000 Hz and 5 dB at any test frequency 6000 Hz and higher for 
the specific type of transducer used. For air-conduction supra-aural 
earphones, the specifications in Table 6 of ANSI S3.6-2004 shall apply. 
For air-conduction insert earphones, the specifications in Table 7 of 
ANSI S3.6-2004 shall apply. Audiometers that do not meet these 
requirements must undergo an exhaustive calibration.
    (3) Exhaustive Calibration. An exhaustive calibration shall be 
performed in accordance with ANSI S3.6-2004, according to the following 
schedule:
    (i) At least once every two years on audiometers not used in mobile 
test vans. Test frequencies below 500 Hz and above 6000 Hz may be 
omitted from this calibration.
    (ii) At least annually on audiometers used in mobile test vans.

[71 FR 63123, Oct. 27, 2006, as amended at 74 FR 25173, May 27, 2009]



Sec. 227.113  Noise operational controls.

    (a) Railroads may use noise operational controls at any sound level 
to reduce exposures to levels below those required by Table A-1 of 
appendix A of this part.
    (b) Railroads are encouraged to use noise operational controls when 
employees are exposed to sound exceeding an 8-hour TWA of 90 dB(A).



Sec. 227.115  Hearing protectors.

    (a) General requirements for hearing protectors. (1) The railroad 
shall provide hearing protectors to employees at no cost to the 
employee.
    (2) The railroad shall replace hearing protectors as necessary.
    (3) When offering hearing protectors, a railroad shall consider an 
employee's ability to understand and respond to voice radio 
communications and audible warnings.
    (4) The railroad shall give employees the opportunity to select 
their hearing protectors from a variety of suitable hearing protectors. 
The selection shall include devices with a range of attenuation levels.
    (5) The railroad shall provide training in the use and care of all 
hearing protectors provided to employees.
    (6) The railroad shall ensure proper initial fitting and supervise 
the correct use of all hearing protectors.
    (b) Availability of hearing protectors. A railroad shall make 
hearing protectors available to all employees exposed to sound levels 
that meet or exceed the action level.
    (c) Required use at action level. A railroad shall require the use 
of hearing protectors when an employee is exposed to sound levels that 
meet or exceed the action level, and the employee has:
    (1) Not yet had a baseline audiogram established pursuant to Sec. 
227.109; or
    (2) Experienced a standard threshold shift and is required to use 
hearing protectors under Sec. 227.109(h).
    (d) Required use for TWA of 90 dB(A). The railroad shall require the 
use of hearing protectors when an employee is exposed to sound levels 
equivalent to an 8-hour TWA of 90 dB(A) or greater. The hearing 
protectors should be used to reduce sound levels to within those levels 
required by appendix A of this part.



Sec. 227.117  Hearing protector attenuation.

    (a) A railroad shall evaluate hearing protector attenuation for the 
specific noise environments in which the protector will be used. The 
railroad shall use one of the evaluation methods described in appendix B 
of this part; ``Methods for Estimating the Adequacy of Hearing Protector 
Attenuation.''
    (b) Hearing protectors shall attenuate employee exposure to an 8-
hour

[[Page 500]]

TWA of 90 decibels or lower, as required by Sec. 227.115.
    (c) For employees who have experienced a standard threshold shift, 
hearing protectors must attenuate employee exposure to an 8-hour time-
weighted average of 85 decibels or lower.
    (d) The adequacy of hearing protector attenuation shall be re-
evaluated whenever employee noise exposures increase to the extent that 
the hearing protectors provided may no longer provide adequate 
attenuation. A railroad shall provide more effective hearing protectors 
where necessary.



Sec. 227.119  Training program.

    (a) The railroad shall institute an occupational noise and hearing 
conservation training program for all employees included in the hearing 
conservation program.
    (1) The railroad shall offer the training program to each employee 
included in the hearing conservation program at least once each calendar 
year. The interval between the date offered to any employee for the 
training in a calendar year and the date offered in the subsequent 
calendar year shall be no more than 450 days and no less than 280 days.
    (2) The railroad shall require each employee included in the hearing 
conservation program to complete the training at least once every 1095 
days.
    (b) The railroad shall provide the training required by paragraph 
(a) of this section in accordance with the following:
    (1) For employees hired after February 26, 2007, within six months 
of the employee's first tour of duty in a position identified within the 
scope of this part.
    (2) For employees hired on or before February 26, 2007, by Class 1, 
passenger, and commuter railroads, and railroads with 400,000 or more 
annual employee hours, by no later than February 26, 2009;
    (3) For employees hired on or before February 26, 2007, by railroads 
with fewer than 400,000 annual employee hours, by no later than February 
26, 2010.
    (c) The training program shall include and the training materials 
shall reflect, at a minimum, information on all of the following:
    (1) The effects of noise on hearing;
    (2) The purpose of hearing protectors;
    (3) The advantages, disadvantages, and attenuation of various types 
of hearing protectors;
    (4) Instructions on selection, fitting, use, and care of hearing 
protectors;
    (5) The purpose of audiometric testing, and an explanation of the 
test procedures;
    (6) An explanation of noise operational controls, where used;
    (7) General information concerning the expected range of workplace 
noise exposure levels associated with major categories of railroad 
equipment and operations (e.g., switching and road assignments, hump 
yards near retarders, etc.) and appropriate reference to requirements of 
the railroad concerning use of hearing protectors;
    (8) The purpose of noise monitoring and a general description of 
monitoring procedures;
    (9) The availability of a copy of this part, an explanation of the 
requirements of this part as they affect the responsibilities of 
employees, and employees' rights to access records under this part;
    (10) How to determine what can trigger an excessive noise report, 
pursuant to Sec. 229.121(b); and
    (11) How to file an excessive noise report, pursuant to Sec. 
229.121(b).



Sec. 227.121  Recordkeeping.

    (a) General requirements--(1) Availability of records. Each railroad 
required to maintain and retain records under this part shall:
    (i) Make all records available for inspection and copying/
photocopying to representatives of the FRA, upon request;
    (ii) Make an employee's records available for inspection and 
copying/photocopying to that employee, former employee, or such person's 
representative upon written authorization by such employee;
    (iii) Make exposure measurement records for a given run or yard 
available for inspection and copying/photocopying to all employees who

[[Page 501]]

were present in the locomotive cab during the given run and/or who work 
in the same yard; and
    (iv) Make exposure measurement records for specific locations 
available to regional or national labor representatives, upon request. 
These reports shall not contain identifying information of an employee 
unless an employee authorizes the release of such information in 
writing.
    (2) Electronic records. All records required by this part may be 
kept in electronic form by the railroad. A railroad may maintain and 
transfer records through electronic transmission, storage, and retrieval 
provided that:
    (i) 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;
    (ii) The electronic system shall ensure that each record cannot be 
modified in any way, or replaced, once the record is transmitted and 
stored;
    (iii) 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;
    (iv) The electronic system shall provide for the maintenance of 
records as originally submitted without corruption or loss of data; and
    (v) 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/photocopying by 
representatives of the FRA.
    (3) Transfer of records. If a railroad ceases to do business, it 
shall transfer to the successor employer all records required to be 
maintained under this subpart, and the successor employer shall retain 
them for the remainder of the period prescribed in this part.
    (b) Exposure measurements records. The railroad shall:
    (1) Maintain an accurate record of all employee exposure 
measurements required by Sec. 227.103; and
    (2) Retain these records for the duration of the covered employee's 
employment plus thirty years.
    (c) Audiometric test records. The railroad shall:
    (1) Maintain employee audiometric test records required by Sec. 
227.109, including:
    (i) The name and job classification of the employee;
    (ii) The date of the audiogram;
    (iii) The examiner's name;
    (iv) The date of the last acoustic or exhaustive calibration of the 
audiometer;
    (v) Accurate records of the measurements of the background sound 
pressure levels in audiometric test rooms;
    (vi) The model and serial number of the audiometer used for testing; 
and
    (2) Retain the records required by Sec. 227.107 for the duration of 
the covered employee's employment plus thirty years.
    (d) Positions and persons designated records. The railroad shall:
    (1) Maintain a record of all positions or persons or both designated 
by the railroad to be placed in a Hearing Conservation Program pursuant 
to Sec. 227.107; and
    (2) Retain these records for the duration of the designation.
    (e) Training program materials records. The railroad shall:
    (1) Maintain copies of all training program materials used to comply 
with Sec. 227.119(c) and a record of employees trained; and
    (2) Retain these copies and records for three years.
    (f) Standard threshold shift records. The railroad shall:
    (1) Maintain a record of all employees who have been found to have 
experienced a standard threshold shift within the prior calendar year 
and include all of the following information for each employee on the 
record:
    (i) Date of the employee's baseline audiogram;
    (ii) Date of the employee's most recent audiogram;
    (iii) Date of the establishment of a standard threshold shift;
    (iv) The employee's job code; and
    (v) An indication of how many standard threshold shifts the employee 
has experienced in the past, if any; and

[[Page 502]]

    (2) Retain these records for five years.



         Sec. Appendix A to Part 227--Noise Exposure Computation

    This appendix is mandatory.

                I. Computation of Employee Noise Exposure

    A. Noise dose is computed using Table A-1 as follows:
    1. When the sound level, L, is constant over the entire work day, 
the noise dose, D, in percent, is given by: D = 100 C/T, where C is the 
total length of the work day, in hours, and T is the duration permitted 
corresponding to the measured sound level, L, as given in Table A-1.
    2. When the work day noise exposure is composed of two or more 
periods of noise at different levels, the total noise dose over the work 
day is given by:

D = 100 (C1/T1 + C2/T2 + . . . + Cn/Tn), where Cn indicates the total 
time of exposure at a specific noise level, and Tn indicates the 
duration permitted for that level as given by Table A-1.

    B. The eight-hour TWA in dB may be computed from the dose, in 
percent, by means of the formula: TWA = 16.61 log10 (D/100) + 90. For an 
eight-hour work day with the noise level constant over the entire day, 
the TWA is equal to the measured sound level.
    C. Exposure to impulsive or impact noise should not exceed 140 dB 
peak sound pressure level.
    D. Any time that an employee spends deadheading shall be included in 
the calculation of the noise dose.
    E. A table relating dose and TWA is given in Section II of this 
Appendix.

                              Table A-1 \1\
------------------------------------------------------------------------
                                                              Duration
            A-weighted sound level, L (decibel)              permitted T
                                                               (hour)
------------------------------------------------------------------------
80........................................................        32
81........................................................        27.9
82........................................................        24.3
83........................................................        21.1
84........................................................        18.4
85........................................................        16
86........................................................        13.9
87........................................................        12.1
88........................................................        10.6
89........................................................         9.2
90........................................................         8
91........................................................         7.0
92........................................................         6.1
93........................................................         5.3
94........................................................         4.6
95........................................................         4
96........................................................         3.5
97........................................................         3.0
98........................................................         2.6
99........................................................         2.3
100.......................................................         2
101.......................................................         1.7
102.......................................................         1.5
103.......................................................         1.3
104.......................................................         1.1
105.......................................................         1
106.......................................................         0.87
107.......................................................         0.76
108.......................................................         0.66
109.......................................................         0.57
110.......................................................         0.5
111.......................................................         0.44
112.......................................................         0.38
113.......................................................         0.33
114.......................................................         0.29
115.......................................................         0.25
116.......................................................         0.22
117.......................................................         0.19
118.......................................................         0.16
119.......................................................         0.14
120.......................................................         0.125
121.......................................................         0.11
122.......................................................         0.095
123.......................................................         0.082
124.......................................................         0.072
125.......................................................         0.063
126.......................................................         0.054
127.......................................................         0.047
128.......................................................         0.041
129.......................................................         0.036
130.......................................................         0.031
140.......................................................         0.078
------------------------------------------------------------------------
\1\ Numbers above 115 dB(A) are italicized to indicate that they are
  noise levels that are not permitted. The italicized numbers are
  included only because they are sometimes necessary for the computation
  of noise dose.

    In the above table the duration permitted, T, is computed by
    [GRAPHIC] [TIFF OMITTED] TR27OC06.004
    
where L is the measured A-weighted sound level.

  II. Conversion Between ``Dose'' and ``8-Hour Time-Weighted Average'' 
                               Sound Level

    A. Compliance with subpart B of part 227 is determined by the amount 
of exposure to noise in the workplace. The amount of such exposure is 
usually measured with a dosimeter which gives a readout in terms of 
``dose.'' In order to better understand the requirements of the 
regulation, dosimeter readings can be converted to an ``8-hour TWA.''
    B. In order to convert the reading of a dosimeter into TWA, see 
Table A-2, below. This table applies to dosimeters that are set by the 
manufacturer to calculate dose or percent exposure according to the 
relationships in Table A-1. So, for example, a dose of 91 percent over 
an eight-hour day results in a

[[Page 503]]

TWA of 89.3 dB, and a dose of 50 percent corresponds to a TWA of 85 dB.
    C. If the dose as read on the dosimeter is less than or greater than 
the values found in Table A-2, the TWA may be calculated by using the 
formula: TWA = 16.61 log10 (D/100) + 90 where TWA = 8-hour time-weighted 
average sound level and D = accumulated dose in percent exposure.

Table A-2--Conversion From ``Percent Noise Exposure'' or ``Dose'' to ``8-
             Hour Time-Weighted Average Sound Level'' (TWA)
------------------------------------------------------------------------
                Dose or percent noise exposure                     TWA
------------------------------------------------------------------------
10............................................................      73.4
15............................................................      76.3
20............................................................      78.4
25............................................................      80.0
30............................................................      81.3
35............................................................      82.4
40............................................................      83.4
45............................................................      84.2
50............................................................      85.0
55............................................................      85.7
60............................................................      86.3
65............................................................      86.9
70............................................................      87.4
75............................................................      87.9
80............................................................      88.4
81............................................................      88.5
82............................................................      88.6
83............................................................      88.7
84............................................................      88.7
85............................................................      88.8
86............................................................      88.9
87............................................................      89.0
88............................................................      89.1
89............................................................      89.2
90............................................................      89.2
91............................................................      89.3
92............................................................      89.4
93............................................................      89.5
94............................................................      89.6
95............................................................      89.6
96............................................................      89.7
97............................................................      89.8
98............................................................      89.9
99............................................................      89.9
100...........................................................      90.0
101...........................................................      90.1
102...........................................................      90.1
103...........................................................      90.2
104...........................................................      90.3
105...........................................................      90.4
106...........................................................      90.4
107...........................................................      90.5
108...........................................................      90.6
109...........................................................      90.6
110...........................................................      90.7
111...........................................................      90.8
112...........................................................      90.8
113...........................................................      90.9
114...........................................................      90.9
115...........................................................      91.1
116...........................................................      91.1
117...........................................................      91.1
118...........................................................      91.2
119...........................................................      91.3
120...........................................................      91.3
125...........................................................      91.6
130...........................................................      91.9
135...........................................................      92.2
140...........................................................      92.4
145...........................................................      92.7
150...........................................................      92.9
155...........................................................      93.2
160...........................................................      93.4
165...........................................................      93.6
170...........................................................      93.8
175...........................................................      94.0
180...........................................................      94.2
185...........................................................      94.4
190...........................................................      94.6
195...........................................................      94.8
200...........................................................      95.0
210...........................................................      95.4
220...........................................................      95.7
230...........................................................      96.0
240...........................................................      96.3
250...........................................................      96.6
260...........................................................      96.9
270...........................................................      97.2
280...........................................................      97.4
290...........................................................      97.7
300...........................................................      97.9
310...........................................................      98.2
320...........................................................      98.4
330...........................................................      98.6
340...........................................................      98.8
350...........................................................      99.0
360...........................................................      99.2
370...........................................................      99.4
380...........................................................      99.6
390...........................................................      99.8
400...........................................................     100.0
410...........................................................     100.2
420...........................................................     100.4
430...........................................................     100.5
440...........................................................     100.7
450...........................................................     100.8
460...........................................................     101.0
470...........................................................     101.2
480...........................................................     101.3
490...........................................................     101.5
500...........................................................     101.6
510...........................................................     101.8
520...........................................................     101.9
530...........................................................     102.0
540...........................................................     102.2
550...........................................................     102.3
560...........................................................     102.4
570...........................................................     102.6
580...........................................................     102.7
590...........................................................     102.8
600...........................................................     102.9
610...........................................................     103.0
620...........................................................     103.2
630...........................................................     103.3
640...........................................................     103.4
650...........................................................     103.5
660...........................................................     103.6
670...........................................................     103.7
680...........................................................     103.8
690...........................................................     103.9
700...........................................................     104.0
710...........................................................     104.1
720...........................................................     104.2

[[Page 504]]

 
730...........................................................     104.3
740...........................................................     104.4
750...........................................................     104.5
760...........................................................     104.6
770...........................................................     104.7
780...........................................................     104.8
790...........................................................     104.9
800...........................................................     105.0
810...........................................................     105.1
820...........................................................     105.2
830...........................................................     105.3
840...........................................................     105.4
850...........................................................     105.4
860...........................................................     105.5
870...........................................................     105.6
880...........................................................     105.7
890...........................................................     105.8
900...........................................................     105.8
910...........................................................     105.9
920...........................................................     106.0
930...........................................................     106.1
940...........................................................     106.2
950...........................................................     106.2
960...........................................................     106.3
970...........................................................     106.4
980...........................................................     106.5
990...........................................................     106.5
999...........................................................     106.6
------------------------------------------------------------------------



  Sec. Appendix B to Part 227--Methods for Estimating the Adequacy of 
                      Hearing Protector Attenuation

    This appendix is mandatory.
    Employers must select one of the following three methods by which to 
estimate the adequacy of hearing protector attenuation.

                            I. Derate by Type

    Derate the hearing protector attenuation by type using the following 
requirements:
    A. Subtract 7 dB from the published Noise Reduction Rating (NRR).
    B. Reduce the resulting amount by:
    1. 20% for earmuffs,
    2. 40% for form-able earplugs, or
    3. 60% for all other earplugs.
    C. Subtract the remaining amount from the A-weighted TWA. You will 
have the estimated A-weighted TWA for that hearing protector.

           II. Method B From ANSI S12.6-1997 (Reaffirmed 2002)

    Use Method B, which is found in ANSI S12.6-1997 (Reaffirmed 2002) 
``Methods for Measuring the Real-Ear Attenuation of Hearing 
Protectors.'' The Director of the Federal Register approves the 
incorporation by reference of this standard in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. You may obtain a copy of the incorporated 
standard from the American National Standards Institute at 1819 L 
Street, NW., Washington, DC 20036, or http://www.ansi.org. You may 
inspect a copy of the incorporated standard at the Federal Railroad 
Administration, Docket Room, 1200 New Jersey Avenue, SE., Washington, DC 
20590, or at the National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.

                       III. Objective Measurement

    Use actual measurements of the level of noise exposure (as an A-
weighted SLOW response dose) inside the hearing protector when the 
employee wears the hearing protector in the actual work environment.

[71 FR 63123, Oct. 27, 2006, as amended at 74 FR 25173, May 27, 2009]



       Sec. Appendix C to Part 227--Audiometric Baseline Revision

    This appendix is mandatory beginning on February 26, 2009.

                               I. General

    A. A professional reviewer (audiologist, otolaryngologist, or 
physician) shall use these procedures when revising baseline audiograms.
    B. Although these procedures can be programmed by a computer to 
identify records for potential revision, the final decision for revision 
rests with a human being. Because the goal of the guidelines is to 
foster consistency among different professional reviewers, human 
override of the guidelines must be justified by specific concrete 
reasons.
    C. These procedures do not apply to: The identification of standard 
threshold shifts (STS) other than an FRA STS \1\ or to the calculation 
of the 25-dB average shifts that are reportable on the Form FRA F 
6180.55a.
---------------------------------------------------------------------------

    \1\ OSHA and FRA use the same definition for Standard Threshold 
Shift (STS). FRA's definition is located in Sec. 227.5. OSHA's 
definition is located in 29 CFR 1910.95(g)(10)(i).
---------------------------------------------------------------------------

    D. Initially, the baseline is the latest audiogram obtained before 
entry into the hearing conservation program. If no appropriate pre-entry 
audiogram exists, the baseline is the first audiogram obtained after 
entry into the hearing conservation program. Each subsequent audiogram 
is reviewed to detect improvement in the average (average of thresholds 
at 2, 3, and 4 kHz) and to detect an FRA STS. The two ears are examined 
separately and independently for improvement and for worsening. If one 
ear meets the criteria for revision of baseline,

[[Page 505]]

then the baseline is revised for that ear only. Therefore, if the two 
ears show different hearing trends, the baseline for the left ear may be 
from one test date, while the baseline for the right ear may be from a 
different test date.
    E. Age corrections do not apply in considering revisions for 
improvement (Rule 1). The FRA-allowed age corrections from appendix F of 
Part 227 \2\ may be used, if desired, before considering revision for 
persistent STS. Rule 2 operates in the same way, whether age corrections 
are used or not.
---------------------------------------------------------------------------

    \2\ FRA and OSHA use the same age-correction provisions. FRA's is 
found in appendix F of part 227 and OSHA's in appendix F of 29 CFR 
1910.95.
---------------------------------------------------------------------------

             II. Rule 1: Revision for Persistent Improvement

    If the average of the thresholds for 2, 3, and 4 kHz for either ear 
shows an improvement of 5 dB or more from the baseline value, and the 
improvement is present on one test and persistent on the next test, then 
the record should be identified for review by the audiologist, 
otolaryngologist, or physician for potential revision of the baseline 
for persistent improvement. The baseline for that ear should be revised 
to the test which shows the lower (more sensitive) value for the average 
of thresholds at 2, 3, and 4 kHz unless the audiologist, 
otolaryngologist, or physician determines and documents specific reasons 
for not revising. If the values of the three-frequency average are 
identical for the two tests, then the earlier test becomes the revised 
baseline.

      III. Rule 2: Revision for Persistent Standard Threshold Shift

    A. If the average of thresholds for 2, 3, and 4 kHz for either ear 
shows a worsening of 10 dB or more from the baseline value, and the STS 
persists on the next periodic test (or the next test given at least 6 
months later), then the record should be identified for review by the 
audiologist, otolaryngologist, or physician for potential revision of 
the baseline for persistent worsening. Unless the audiologist, 
otolaryngologist, or physician determines and documents specific reasons 
for not revising, the baseline for that ear should be revised to the 
test which shows the lower (more sensitive) value for the average of 
thresholds at 2, 3, and 4 kHz. If both tests show the same numerical 
value for the average of 2, 3, and 4 kHz, then the audiologist, 
otolaryngologist, or physician should revise the baseline to the earlier 
of the two tests, unless the later test shows better (more sensitive) 
thresholds for other test frequencies.
    B. Following an STS, a retest within 90 days of the periodic test 
may be substituted for the periodic test if the retest shows better 
(more sensitive) results for the average threshold at 2, 3, and 4 kHz.
    C. If the retest is used in place of the periodic test, then the 
periodic test is retained in the record, but it is marked in such a way 
that it is no longer considered in baseline revision evaluations. If a 
retest within 90 days of periodic test confirms an FRA STS shown on the 
periodic test, the baseline will not be revised at that point because 
the required six-month interval between tests showing STS persistence 
has not been met. The purpose of the six-month requirement is to prevent 
premature baseline revision when STS is the result of temporary medical 
conditions affecting hearing.
    D. Although a special retest after six months could be given, if 
desired, to assess whether the STS is persistent, in most cases, the 
next annual audiogram would be used to evaluate persistence of the STS.



           Sec. Appendix D to Part 227--Audiometric Test Rooms

    This appendix is mandatory.
    A. Rooms used for audiometric testing shall not have background 
sound pressure levels exceeding those in Table D-1 when measured by 
equipment conforming at least to the Type 2 requirements of ANSI S1.4-
1983 (Reaffirmed 2001) and to the Class 2 requirements of ANSI S1.11-
2004, ``Specification for Octave-Band and Fractional-Octave-Band Analog 
and Digital Filters.''
    B. The Director of the Federal Register approves the incorporation 
by reference of ANSI S1.4-1983 (Reaffirmed 2001) and S.1.11-2004 in this 
section in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may 
obtain a copy of the incorporated standard from the American National 
Standards Institute at 1819 L Street, NW., Washington, DC 20036 or 
http://www.ansi.org. You may inspect a copy of the incorporated standard 
at the Federal Railroad Administration, Docket Room, 1200 New Jersey 
Avenue, SE., Washington, DC 20590, or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.

[[Page 506]]



            Table D-1--Maximum Allowable Octave-Band Sound Pressure Levels for Audiometric Test Rooms
----------------------------------------------------------------------------------------------------------------
          Octave-band center frequency (Hz)               500        1000        2000        4000        8000
----------------------------------------------------------------------------------------------------------------
Sound pressure levels--supra-aural earphones........          40          40          47          57          62
Sound pressure levels--insert earphones.............          50          47          49          50          56
----------------------------------------------------------------------------------------------------------------


[71 FR 63123, Oct. 27, 2006, as amended at 74 FR 25173, May 27, 2009]



  Sec. Appendix E to Part 227--Use of Insert Earphones for Audiometric 
                                 Testing

    This appendix is mandatory.
    Section 227.111(d) allows railroads to use insert earphones for 
audiometric testing. Railroads are not required to use insert earphones, 
however, where they elect to use insert earphones, they must comply with 
the requirements of this appendix.

                            I. Acceptable Fit

    A. The audiologist, otolaryngologist, or other physician responsible 
for conducting the audiometric testing, shall identify ear canals that 
prevent achievement of an acceptable fit with insert earphones, or shall 
assure that any technician under his/her authority who conducts 
audiometric testing with insert earphones has the ability to identify 
such ear canals.
    B. Technicians who conduct audiometric tests must be trained to 
insert the earphones correctly into the ear canals of test subjects and 
to recognize conditions where ear canal size prevents achievement of an 
acceptable insertion depth (fit).
    C. Insert earphones shall not be used for audiometric testing of 
employees with ear canal sizes that prevent achievement of an acceptable 
insertion depth (fit).

                             II. Proper Use

    The manufacturer's guidelines for proper use of insert earphones 
must be followed.

                       III. Audiometer Calibration

    A. Audiometers used with insert earphones must be calibrated in 
accordance with ANSI S3.6-2004, ``Specification for Audiometers.'' The 
Director of the Federal Register approves the incorporation by reference 
of this standard in this section in accordance with 5 U.S.C. 552(a) and 
1 CFR part 51. You may obtain a copy of the incorporated standard from 
the American National Standards Institute at 1819 L Street, NW., 
Washington, DC 20036 or http://www.ansi.org. You may inspect a copy of 
the incorporated standard at the Federal Railroad Administration, Docket 
Room, 1200 New Jersey Avenue, SE., Washington, DC 20590, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html.
    B. Audiometers used with insert earphones must be calibrated using 
one of the couplers listed in Table 7 of ANSI S3.6-2004.
    C. The acoustical calibration shall be conducted annually.
    D. The functional calibration must be conducted before each day's 
use of the audiometer.

                       IV. Background Noise Levels

    Testing shall be conducted in a room where the background ambient 
noise octave-band sound pressures levels meet appendix D to this part.

                V. Conversion From Supra Aural Earphones

    At the time of conversion from supra-aural to insert earphones, 
testing must be performed with both types of earphones.
    A. The test subject must have a quiet period of at least 14 hours 
before testing. Hearing protectors may be used as a substitute for the 
quiet period.
    B. The supra-aural earphone audiogram shall be compared to the 
baseline audiogram, or the revised baseline audiogram if appropriate, to 
check for a Standard Threshold Shift (STS). In accordance with Sec. 
227.109(f)(2), if the audiogram shows an STS, retesting with supra-aural 
earphones must be performed within 90 days. If the resulting audiogram 
confirms the STS, then it is adopted as the current test instead of the 
prior one.
    C. If retesting with supra-aural earphones is performed, then 
retesting with insert earphones must be performed at that time to 
establish the baseline for future audiometric tests using the insert 
earphones.

                     VI. Revised Baseline Audiograms

    A. If an STS is confirmed by the re-test with supra-aural earphones, 
the audiogram may become the revised baseline audiogram per the 
requirements of Sec. 227.109(i) for all future hearing tests with 
supra-aural earphones. The insert-earphone audiogram will become the new 
reference baseline audiogram for all future hearing tests performed with 
insert earphones.
    B. If an STS is not indicated by the test with supra-aural 
earphones, the baseline

[[Page 507]]

audiogram remains the reference baseline audiogram for all future supra-
aural earphone tests, until such time as an STS is observed. In this 
case, the insert-earphone audiogram taken at the same time will become 
the new reference baseline audiogram for all future hearing tests 
performed with insert earphones.
    C. Transitioning Employees with Partial Shifts. Employers must 
account for the workers who are in the process of developing an STS 
(e.g., demonstrate a 7 dB average shift), but who at the time of the 
conversion to insert earphones do not have a 10 dB average shift. 
Employers who want to use insert earphones must enter the 7 dB shift 
information in the employee's audiometric test records although it is 
not an ``STS''. When the next annual audiogram using insert earphones 
shows an average threshold shift at 2000, 3000 and 4000 Hz of 3 dB, 
completing the full shift (7 dB + 3 dB), employers must then label that 
average shift as an STS. This triggers the follow-up procedures at Sec. 
227.109(h).

                              VII. Records

    All audiograms (including both those produced through the use of 
insert earphones and supra-aural headsets), calculations, pure-tone 
individual and average threshold shifts, full STS migrations, and 
audiometric acoustical calibration records, are to be preserved as 
records and maintained according to Sec. 227.121(c).

[71 FR 63123, Oct. 27, 2006, as amended at 74 FR 25173, May 27, 2009]



    Sec. Appendix F to Part 227--Calculations and Application of Age 
                        Corrections to Audiograms

    This appendix is non-mandatory.
    In determining whether a standard threshold shift (STS) has 
occurred, allowance may be made for the contribution of aging to the 
change in hearing level by adjusting the most recent audiogram. If the 
employer chooses to adjust the audiogram, the employer shall follow the 
procedure described below. This procedure and the age correction tables 
were developed by the National Institute for Occupational Safety and 
Health in a criteria document. See ``Criteria for a Recommended 
Standard: Occupational Exposure to Noise,'' Department of Health and 
Human Services (NIOSH) Publication No. 98-126. For each audiometric test 
frequency:
    I. Determine from Tables F-1 or F-2 the age correction values for 
the employee by:
    A. Finding the age at which the most recent audiogram was taken and 
recording the corresponding values of age corrections at 1000 Hz through 
6000 Hz;
    B. Finding the age at which the baseline audiogram was taken and 
recording the corresponding values of age corrections at 1000 Hz through 
6000 Hz.
    II. Subtract the values found in step (I)(B) from the value found in 
step (I)(A).
    III. The differences calculated in step (II) represented that 
portion of the change in hearing that may be due to aging.

    Example: Employee is a 32-year-old male. The audiometric history for 
his right ear is shown in decibels below.

----------------------------------------------------------------------------------------------------------------
                                                                    Audiometric test frequency (Hz)
                   Employee's age                    -----------------------------------------------------------
                                                         1000        2000        3000        4000        6000
----------------------------------------------------------------------------------------------------------------
26..................................................          10           5           5          10           5
27*.................................................           0           0           0           5           5
28..................................................           0           0           0          10           5
29..................................................           5           0           5          15           5
30..................................................           0           5          10          20          10
31..................................................           5          10          20          15          15
32*.................................................           5          10          10          25          20
----------------------------------------------------------------------------------------------------------------

    a. The audiogram at age 27 is considered the baseline since it shows 
the best hearing threshold levels. Asterisks have been used to identify 
the baseline and most recent audiogram. A threshold shift of 20 dB 
exists at 4000 Hz between the audiograms taken at ages 27 and 32.
    b. (The threshold shift is computed by subtracting the hearing 
threshold at age 27, which was 5, from the hearing threshold at age 32, 
which is 25). A retest audiogram has confirmed this shift. The 
contribution of aging to this change in hearing may be estimated in the 
following manner:
    c. Go to Table F-1 and find the age correction values (in dB) for 
4000 Hz at age 27 and age 32.

[[Page 508]]



----------------------------------------------------------------------------------------------------------------
                                                                            Frequency (Hz)
                                                     -----------------------------------------------------------
                                                         1000        2000        3000        4000        6000
----------------------------------------------------------------------------------------------------------------
Age 32..............................................           6           5           7          10          14
Age 27..............................................           5           4           6           7          11
                                                     -----------------------------------------------------------
    Difference......................................           1           1           1           3           3
----------------------------------------------------------------------------------------------------------------

    d. The difference represents the amount of hearing loss that may be 
attributed to aging in the time period between the baseline audiogram 
and the most recent audiogram. In this example, the difference at 4000 
Hz is 3 dB. This value is subtracted from the hearing level at 4000 Hz, 
which in the most recent audiogram is 25, yielding 22 after adjustment. 
Then the hearing threshold in the baseline audiogram at 4000 Hz (5) is 
subtracted from the adjusted annual audiogram hearing threshold at 4000 
Hz (22). Thus the age-corrected threshold shift would be 17 dB (as 
opposed to a threshold shift of 20 dB without age correction).

                             Table F-1--Age Correction Values in Decibels for Males
----------------------------------------------------------------------------------------------------------------
                                                                   Audiometric test frequencies (Hz)
                        Years                        -----------------------------------------------------------
                                                         1000        2000        3000        4000        6000
----------------------------------------------------------------------------------------------------------------
20 or younger.......................................           5           3           4           5           8
21..................................................           5           3           4           5           8
22..................................................           5           3           4           5           8
23..................................................           5           3           4           6           9
24..................................................           5           3           5           6           9
25..................................................           5           3           5           7          10
26..................................................           5           4           5           7          10
27..................................................           5           4           6           7          11
28..................................................           6           4           6           8          11
29..................................................           6           4           6           8          12
30..................................................           6           4           6           9          12
31..................................................           6           4           7           9          13
32..................................................           6           5           7          10          14
33..................................................           6           5           7          10          14
34..................................................           6           5           8          11          15
35..................................................           7           5           8          11          15
36..................................................           7           5           9          12          16
37..................................................           7           6           9          12          17
38..................................................           7           6           9          13          17
39..................................................           7           6          10          14          18
40..................................................           7           6          10          14          19
41..................................................           7           6          10          14          20
42..................................................           8           7          11          16          20
43..................................................           8           7          12          16          21
44..................................................           8           7          12          17          22
45..................................................           8           7          13          18          23
46..................................................           8           8          13          19          24
47..................................................           8           8          14          19          24
48..................................................           9           8          14          20          25
49..................................................           9           9          15          21          26
50..................................................           9           9          16          22          27
51..................................................           9           9          16          23          28
52..................................................           9          10          17          24          29
53..................................................           9          10          18          25          30
54..................................................          10          10          18          26          31
55..................................................          10          11          19          27          32
56..................................................          10          11          20          28          34
57..................................................          10          11          21          29          35
58..................................................          10          12          22          31          36
59..................................................          11          12          22          32          37
60 or older.........................................          11          13          23          33          38
----------------------------------------------------------------------------------------------------------------


[[Page 509]]


                            Table F-2--Age Correction Values in Decibels for Females
----------------------------------------------------------------------------------------------------------------
                                                                   Audiometric test frequencies (Hz)
                        Years                        -----------------------------------------------------------
                                                         1000        2000        3000        4000        6000
----------------------------------------------------------------------------------------------------------------
20 or younger.......................................           7           4           3           3           6
21..................................................           7           4           4           3           6
22..................................................           7           4           4           4           6
23..................................................           7           5           4           4           7
24..................................................           7           5           4           4           7
25..................................................           8           5           4           4           7
26..................................................           8           5           5           4           8
27..................................................           8           5           5           5           8
28..................................................           8           5           5           5           8
29..................................................           8           5           5           5           9
30..................................................           8           6           5           5           9
31..................................................           8           6           6           5           9
32..................................................           9           6           6           6          10
33..................................................           9           6           6           6          10
34..................................................           9           6           6           6          10
35..................................................           9           6           7           7          11
36..................................................           9           7           7           7          11
37..................................................           9           7           7           7          12
38..................................................          10           7           7           7          12
39..................................................          10           7           8           8          12
40..................................................          10           7           8           8          13
41..................................................          10           8           8           8          13
42..................................................          10           8           9           9          13
43..................................................          11           8           9           9          14
44..................................................          11           8           9           9          14
45..................................................          11           8          10          10          15
46..................................................          11           9          10          10          15
47..................................................          11           9          10          11          16
48..................................................          12           9          11          11          16
49..................................................          12           9          11          11          16
50..................................................          12          10          11          12          17
51..................................................          12          10          12          12          17
52..................................................          12          10          12          13          18
53..................................................          13          10          13          13          18
54..................................................          13          11          13          14          19
55..................................................          13          11          14          14          19
56..................................................          13          11          14          15          20
57..................................................          13          11          15          15          20
58..................................................          14          12          15          16          21
59..................................................          14          12          16          16          21
60 or older.........................................          14          12          16          17          22
----------------------------------------------------------------------------------------------------------------

           Appendix G to Part 227--Schedule of Civil Penalties

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
Subpart A--General
 
227.3 Application:
    (b)(4) Failure to meet the required              $2,500       $5,000
     conditions for foreign railroad
     operations...............................
 
Subpart B--General Requirements
 
227.103 Noise monitoring program:
    (a) Failure to develop and/or implement a         7,500       10,000
     noise monitoring program.................
    (b) Failure to use sampling as required...        2,500        5,000
    (c) Failure to integrate sound levels and/        2,500        5,000
     or make noise measurements as required...
    (d) Failure to repeat noise monitoring            2,500        5,000
     where required...........................
    (e) Failure to consider work environments         2,500        5,000
     where hearing protectors may be omitted..
    (f) Failure to provide opportunity to             2,000        4,000
     observe monitoring.......................
    (g) Reporting of Monitoring Results:
        (1) Failure to notify monitored               2,500        5,000
         employee.............................
        (2) Failure to post results as                2,500        5,000
         required.............................
227.105 Protection of employees:
    (a) Failure to provide appropriate                7,500       10,000
     protection to exposed employee...........
    (b) Failure to observe and document               2,500        5,000
     source(s) of noise exposures.............
    (c)-(d) Failure to protect employee from          5,000        7,500
     impermissible continuous noise...........
227.107 Hearing conservation program:
    (a) Failure to administer a HCP...........        7,500       10,000
    (b) Failure to compute noise exposure as          3,500        7,000
     required.................................

[[Page 510]]

 
227.109 Audiometric testing program:
    (a) Failure to establish and/or maintain          7,500       10,000
     an audiometric testing program...........
    (b) Failure to provide audiometric test at        2,500        5,000
     no cost to employee......................
    (c) Failure to have qualified person              2,500        5,000
     perform audiometric test.................
    (d) [Reserved]............................  ...........  ...........
    (e) Failure to establish baseline                 3,500        7,000
     audiogram as required....................
    (f) Failure to offer and/or require               2,500        5,000
     periodic audiograms as required..........
    (g) Failure to evaluate audiogram as              2,500        5,000
     required.................................
    (h) Failure to comply with follow-up              2,500        5,000
     procedures as required...................
    (i) Failure to use required method for            2,500        5,000
     revising baseline audiograms.............
227.111 Audiometric test requirements:
    (a) Failure to conduct test as required...        2,500        5,000
    (b) Failure to use required equipment.....        2,500        5,000
    (c) Failure to administer test in room            2,500        5,000
     that meets requirements..................
    (d) Complete failure to calibrate.........        5,000        7,500
        (1) Failure to perform daily                  2,000        4,000
         calibration as required..............
        (2) Failure to perform annual                 2,000        4,000
         calibration as required..............
        (3) Failure to perform exhaustive             2,000        4,000
         calibration as required..............
227.115 Hearing protectors (HP):
    (a) Failure to comply with general                3,000        6,000
     requirements.............................
    (b) Failure to make HP available as               2,500        5,000
     required.................................
    (c) Failure to require use of HP at action        5,000        7,500
     level....................................
    (d) Failure to require use of HP at TWA of        5,000        7,500
     90 dB(A).................................
227.117 Hearing protector attenuation:
    (a) Failure to evaluate attenuation as            2,500        5,000
     required.................................
    (b)-(c) Failure to attenuate to required          2,500        5,000
     level....................................
    (d) Failure to re-evaluate attenuation....        2,500        5,000
227.119 Training program:
    (a) Failure to institute a training               5,000        7,500
     program as required......................
    (b) Failure to provide training within            2,500        5,000
     required time frame......................
    (c) Failure of program and/or training            2,500        5,000
     materials to include required information
227.121 Recordkeeping:
    (a) General Requirements:
        (1) Failure to make record available          2,500        5,000
         as required..........................
        (3) Failure to transfer or retain             2,000        4,000
         records as required..................
    (b)-(f) Records:
        (1) Failure to maintain record or             2,000        4,000
         failure to maintain record with
         required information.................
        (2) Failure to retain records for             2,000        4,000
         required time period.................
------------------------------------------------------------------------
\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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[71 FR 63123, Oct. 27, 2006, as amended at 73 FR 79703, Dec. 30, 2008; 
77 FR 24421, Apr. 24, 2012; 81 FR 43110, July 1, 2016]



PART 228_HOURS OF SERVICE OF RAILROAD EMPLOYEES; RECORDKEEPING
AND REPORTING; SLEEPING QUARTERS--Table of Contents



                            Subpart A_General

Sec.
228.1 Scope.
228.3 Application and responsibility for compliance.
228.5 Definitions.
228.6 Penalties.

                     Subpart B_Records and Reporting

228.7 Hours of duty.
228.9 Records; general.
228.11 Hours of duty records.
228.13 [Reserved]
228.17 Dispatcher's record of train movements.
228.19 Monthly reports of excess service.
228.21 [Reserved]
228.23 [Reserved]

      Subpart C_Construction of Railroad-Provided Sleeping Quarters

228.101 Distance requirement; definitions.
228.102 Distance requirement for camp cars provided as sleeping quarters 
          exclusively to MOW workers.
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.

[[Page 511]]

                   Subpart D_Electronic Recordkeeping

228.201 Electronic recordkeeping; general.
228.203 Program components.
228.205 Access to electronic records.
228.207 Training.

   Subpart E_Safety and Health Requirements for Camp Cars Provided by 
                     Railroads as Sleeping Quarters

228.301 Purpose and scope.
228.303 Application and responsibility for compliance.
228.305 Compliance date.
228.307 Definitions.
228.309 Structure, emergency egress, lighting, temperature, and noise-
          level standards.
228.311 Minimum space requirements, beds, storage, and sanitary 
          facilities.
228.313 Electrical system requirements.
228.315 Vermin control.
228.317 Toilets.
228.319 Lavatories.
228.321 Showering facilities.
228.323 Potable water.
228.325 Food service in a camp car or separate kitchen or dining 
          facility in a camp.
228.327 Waste collection and disposal.
228.329 Housekeeping.
228.331 First aid and life safety.
228.333 Remedial action.
228.335 Electronic recordkeeping.

Subpart F_Substantive Hours of Service Requirements for Train Employees 
     Engaged in Commuter or Intercity Rail Passenger Transportation

228.401 Applicability.
228.403 Nonapplication, exemption, and definitions.
228.405 Limitations on duty hours of train employees engaged in commuter 
          or intercity rail passenger transportation.
228.407 Analysis of work schedules; submissions; FRA review and approval 
          of submissions; fatigue mitigation plans.
228.409 Requirements for railroad-provided employee sleeping quarters 
          during interim releases and other periods available for rest 
          within a duty tour.
228.411 Training.
228.413 Compliance date for regulations; exemption from compliance with 
          statute.

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 [Reserved]
Appendix D to Part 228--Guidance on Fatigue Management Plans

    Authority: 49 U.S.C. 103, 20103, 20107, 21101-21109; Sec. 108, Div. 
A, Public Law 110-432, 122 Stat. 4860-4866, 4893-4894; 49 U.S.C. 21301, 
21303, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    Source: 37 FR 12234, June 21, 1972, unless otherwise noted.



                            Subpart A_General



Sec. 228.1  Scope.

    This part--
    (a) Prescribes reporting and recordkeeping requirements with respect 
to the hours of service of certain railroad employees and certain 
employees of railroad contractors and subcontractors;
    (b) Establishes standards and procedures concerning the construction 
or reconstruction of sleeping quarters;
    (c) Establishes minimum safety and health standards for camp cars 
provided by a railroad as sleeping quarters for its employees and 
individuals employed to maintain its rights of way; and
    (d) Prescribes substantive hours of service requirements for train 
employees engaged in commuter or intercity rail passenger 
transportation.

[43 FR 31012, July 19, 1978, as amended at 74 FR 25345, May 27, 2009; 76 
FR 50396, Aug. 12, 2011; 76 FR 67087, Oct. 31, 2011]



Sec. 228.3  Application and responsibility for compliance.

    (a) Except as provided in paragraph (b) of this section, subparts B 
and D of this part apply to all railroads, all contractors for 
railroads, and all subcontractors for railroads. Except as provided in 
paragraph (b) of this section, subparts C and E of this part apply only 
to all railroads.
    (b) Subparts B through E of this part do not apply to:
    (1) A railroad, a contractor for a railroad, or a subcontractor for 
a railroad that operates only on track inside an installation that is 
not part of the general railroad system of transportation (i.e., a plant 
railroad as defined in Sec. 228.5);
    (2) Tourist, scenic, historic, or excursion operations that are not 
part of the general railroad system of transportation as defined in 
Sec. 228.5, except as provided in Sec. 228.413(d)(2); or
    (3) Rapid transit operations in an urban area that are not connected 
to

[[Page 512]]

the general railroad system of transportation.
    (c) The application of subpart F of this part is set forth in Sec. 
228.401.

[76 FR 67087, Oct. 31, 2011]



Sec. 228.5  Definitions.

    As used in this part--
    Actual time means either the specific time of day, to the hour and 
minute, or the precise amount of time spent in an activity, in hours and 
minutes, that must be included in the hours of duty record, including, 
where appropriate, reference to the applicable time zone and either 
standard time or daylight savings time.
    Administrator means the Administrator of the Federal Railroad 
Administration or any person to whom the Administrator has delegated 
authority in the matter concerned.
    Administrative duties means any activities required by the railroad 
as a condition of employment, related to reporting, recording, or 
providing an oral or written statement related to a current, previous, 
or future duty tour. Such activities are considered service for the 
railroad, and time spent in these activities must be included in the 
total time on duty for any duty tour with which it may commingle.
    Associate Administrator means the Associate Administrator for 
Railroad Safety/Chief Safety Officer, Office of Railroad Safety, Federal 
Railroad Administration, or any person to whom he or she has delegated 
authority in the matter concerned.
    At the behest of the employee refers to time spent by an employee in 
a railroad-related activity that is not required by the railroad as a 
condition of employment, in which the employee voluntarily participates.
    At the behest of the railroad refers to time spent by an employee in 
a railroad-required activity that compels an employee to perform service 
for the railroad as a condition of employment.
    Broken (aggregate) service means one or more periods of time on duty 
within a single duty tour separated by one or more qualifying interim 
releases.
    Call and release occurs when an employing railroad issues an 
employee a report-for-duty time, and then releases the employee from the 
requirement to report prior to the report-for-duty time.
    Camp car means a trailer and/or on-track vehicle, including an 
outfit, camp, bunk car, or modular home mounted on a flatcar, or any 
other mobile vehicle or mobile structure used to house or accommodate an 
employee or MOW worker. An office car, inspection car, specialized 
maintenance equipment, or wreck train is not included.
    Carrier, common carrier, and common carrier engaged in interstate or 
foreign commerce by railroad mean railroad.
    Commingled service means--
    (1) For a train employee or a signal employee, any non-covered 
service at the behest of the railroad and performed for the railroad 
that is not separated from covered service by a qualifying statutory 
off-duty period of 8 or 10 hours or more. Such commingled service is 
counted as time on duty pursuant to 49 U.S.C. 21103(b)(3) (for train 
employees) or 49 U.S.C. 21104(b)(2) (for signal employees).
    (2) For a dispatching service employee, any non-covered service 
mandated by the railroad and performed for the railroad within any 24-
hour period containing covered service. Such commingled service is 
counted as time on duty pursuant to 49 U.S.C. 21105(c).
    Commuting means--
    (1) For a train employee, the time spent in travel--
    (i) Between the employee's residence and the employee's regular 
reporting point, and
    (ii) In railroad-provided or authorized transportation to and from 
the lodging facility at the away-from-home terminal (excluding travel 
for purposes of an interim release), where such time (including travel 
delays and room availability) does not exceed 30 minutes.
    (2) For a signal employee, the time spent in travel between the 
employee's residence and the employee's headquarters.
    (3) For a dispatching service employee, the time spent in travel 
between the employee's residence and any reporting point.
    Consecutive service is a period of unbroken total time on duty 
during a duty tour.
    Covered service means--

[[Page 513]]

    (1) For a train employee, the portion of the employee's time on duty 
during which the employee is engaged in, or connected with, the movement 
of a train.
    (2) For a dispatching service employee, the portion of the 
employee's time on duty during which the employee, by the use of an 
electrical or mechanical device, dispatches, reports, transmits, 
receives, or delivers an order related to or affecting the movement of a 
train.
    (3) For a signal employee, the portion of the employee's time on 
duty during which the employee is engaged in installing, repairing, or 
maintaining a signal system.
    Covered service assignment means--
    (1) For a train employee, each unique assignment of the employee 
during a period of covered service that is associated with either a 
specific train or a specific yard job.
    (2) For a signal employee, the assigned duty hours of the employee, 
including overtime, or unique trouble call assignments occurring outside 
the employee's assigned duty hours.
    (3) For a dispatching service employee, each unique assignment for 
the employee that occurs within any 24-hour period in which the 
employee, by the use of an electrical or mechanical device, dispatches, 
reports, transmits, receives, or delivers orders related to or affecting 
train movements.
    Deadheading means the physical relocation of a train employee from 
one point to another as a result of a railroad-issued verbal or written 
directive.
    Designated terminal means the home or away-from-home terminal for 
the assignment of a particular train crew.
    Dispatching service employee means an operator, train dispatcher, or 
other train employee who by the use of an electrical or mechanical 
device dispatches, reports, transmits, receives, or delivers orders 
related to or affecting train movements.
    Duty location for a signal employee is the employee's headquarters 
or the precise location where the employee is expected to begin 
performing service for the railroad as defined in 49 U.S.C. 21104(b)(1) 
and (2).
    Duty tour means--
    (1) The total of all periods of covered service and commingled 
service for a train employee or a signal employee occurring between two 
statutory off-duty periods (i.e., off-duty periods of a minimum of 8 or 
10 hours); or
    (2) The total of all periods of covered service and commingled 
service for a dispatching service employee occurring in any 24-hour 
period.
    Employee means an individual employed by a railroad or a contractor 
or subcontractor to a railroad who--
    (1) Is actually engaged in or connected with the movement of any 
train, including a person who performs the duties of a hostler;
    (2) Dispatches, reports, transmits, receives, or delivers an order 
pertaining to a train movement by the use of telegraph, telephone, 
radio, or any other electrical or mechanical device; or
    (3) Is engaged in installing, repairing, or maintaining a signal 
system.
    Final release is the time that a train employee or a signal employee 
is released from all activities at the behest of the railroad and begins 
his or her statutory off-duty period.
    FRA means the Federal Railroad Administration.
    Headquarters means the regular assigned on-duty location for signal 
employees, or the lodging facility or crew quarters where traveling 
signal gangs reside when working at various system locations.
    Interim release means an off-duty period applied to train employees 
only, of at least 4 hours but less than the required statutory off-duty 
period at a designated terminal, which off-duty period temporarily 
suspends the accumulation of time on duty, but does not start a new duty 
tour.
    Limbo time means a period of time treated as neither time on duty 
nor time off duty in 49 U.S.C. 21103 and 21104, and any other period of 
service for the railroad that does not qualify as either covered service 
or commingled service.
    MOW worker means an individual employed to inspect, install, 
construct, repair, or maintain track, roadbed, bridges, buildings, 
roadway facilities, roadway maintenance machines, electric traction 
systems, and right of way of a railroad.

[[Page 514]]

    On-duty time means the actual time that an employee reports for duty 
to begin a covered service assignment.
    Other-than-regular reporting point means any location where a train 
employee reports to begin or restart a duty tour, that is not the 
employee's regular reporting point.
    Plant railroad means a plant or installation that owns or leases a 
locomotive, uses that locomotive to switch cars throughout the plant or 
installation, and is moving goods solely for use in the facility's own 
industrial processes. The plant or installation could include track 
immediately adjacent to the plant or installation if the plant railroad 
leases the track from the general system railroad and the 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. A plant or installation 
that operates a locomotive to switch or move cars for other entities, 
even if solely within the confines of the plant or installation, rather 
than for its own purposes or industrial processes, will not be 
considered a plant railroad because the performance of such activity 
makes the operation part of the general railroad system of 
transportation.
    Prior time off means the amount of time that an employee has been 
off duty between identifiable periods of service at the behest of the 
railroad.
    Program edits are filters contained in the logic of an hours of 
service recordkeeping program that detect identifiable reporting errors 
made by a reporting employee at the time of data entry, and prevent the 
employee from submitting a record without first correcting or explaining 
any identified errors or anomalies.
    Quick tie-up is a data entry process used only when an employee is 
within 3 minutes of, or is beyond, his or her statutory maximum on-duty 
period, which process allows an employee to enter only the basic 
information necessary for the railroad to identify the beginning of an 
employee's statutory off-duty period, to avoid the excess service that 
would otherwise be incurred in completing the full record for the duty 
tour. The information permitted in a quick tie-up process is limited to, 
at a maximum:
    (1) Board placement time;
    (2) Relieved location, date, and time;
    (3) Final release location, date, and time;
    (4) Contact information for the employee during the statutory off-
duty period;
    (5) Request for rest in addition to the statutory minimum, if 
provided by collective bargaining agreement or local practice;
    (6) The employee may be provided an option to enter basic payroll 
information, related only to the duty tour being tied up; and
    (7) Employee certification of the tie-up information provided.
    Railroad means a person providing railroad transportation.
    Railroad transportation means any form of non-highway ground 
transportation that runs on rails or electromagnetic guideways, 
including commuter or other short-haul rail passenger service in a 
metropolitan or suburban area, 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.
    Regular reporting point means the permanent on-duty location of a 
train employee's regular assignment that is established through a job 
bulletin assignment (either a job award or a forced assignment) or 
through an employee's exercise of seniority to be placed in an 
assignment. The assigned regular reporting point is a single fixed 
location identified by the railroad, even for extra board and pool crew 
employees.
    Release means--
    (1) For a train employee,
    (i) The time within the duty tour that the employee begins an 
interim release;
    (ii) The time that an employee completes a covered service 
assignment and begins another covered service assignment on a different 
train or job, or
    (iii) The time that an employee completes a covered service 
assignment to begin another activity that counts as time on duty 
(including waiting for

[[Page 515]]

deadhead transportation to another duty location at which the employee 
will perform covered service, deadheading to duty, or any other 
commingled service).
    (2) For a signal employee, the time within a duty tour that the 
employee--
    (i) Completes his or her regular assigned hours and begins an off-
duty period of at least one hour but less than a statutory off-duty 
period; or
    (ii) Completes his or her return travel from a trouble call or other 
unscheduled duty and begins an off-duty period of at least one hour, but 
less than a statutory off-duty period.
    (3) For a dispatching service employee, when he or she stops 
performing covered service and commingled service within any 24-hour 
period and begins an off-duty period of at least one hour.
    Relieved time means--
    (1) The actual time that a train employee stops performing a covered 
service assignment or commingled service.
    (2) The actual time that a signal employee:
    (i) Completes his or her assigned duty hours, or stops performing 
covered service or commingled service, whichever is later; or
    (ii) Stops performing covered service associated with a trouble call 
or other unscheduled duty outside of normally assigned duty hours.
    Reports for duty means that an employee--
    (i) Presents himself or herself at the location established by the 
railroad at the time the railroad established for the employee to be 
present; and
    (ii) Is ready to perform covered service.
    Report-for-duty time means--
    (1) For a train employee, the actual time that the employee is 
required to be present at a reporting point and prepared to start a 
covered service assignment.
    (2) For a signal employee, the assigned starting time of an 
employee's scheduled shift, or the time that he or she receives a 
trouble call or a call for any other unscheduled duty during an off-duty 
period.
    (3) For a dispatching service employee, when the employee begins the 
turn-over process at or before the beginning of his or her assigned 
shift, or begins any other activity at the behest of the railroad during 
any 24-hour period in which covered service is performed.
    Reporting point means any location where an employee is required to 
begin or restart a duty tour.
    Seniority move means a repositioning at the behest of the employee, 
usually a repositioning from a regular assignment or extra board to a 
different regularly assigned position or extra board, as the result of 
the employee's selection of a bulletin assignment or the employee's 
exercise of seniority over a junior employee.
    Signal employee means an individual who is engaged in installing, 
repairing, or maintaining signal systems.
    Station, office or tower means the precise location where a 
dispatching service employee is expected to perform service for the 
railroad as defined in 49 U.S.C. 21105(b) and (c).
    Statutory off-duty period means the period of 8 or 10 consecutive 
hours or more time, that is the minimum off-duty period required under 
the hours of service laws for a train employee or a signal employee to 
begin a new 24-hour period for the purposes of calculating his or her 
total time on duty.
    Total off-duty period means the actual amount of time that a train 
employee or a signal employee is off duty between duty tours after the 
previous final release and before the beginning of the next duty tour. 
This time may differ from the expected prior time off that will be 
generated by the recordkeeping system, if the employee performed service 
at the behest of the railroad between the duty tours.
    Total time on duty (TTOD) means the total accumulation of time spent 
in periods of covered service and commingled service between qualifying 
statutory off-duty periods of 8 or 10 hours or more. Mandatory 
activities that do not constitute covered service, such as rules 
classes, when they may not attach to covered service, are counted as 
limbo time, rather than commingled service, which limbo time is not 
counted toward the calculation of total time on duty.
    Tourist, scenic, historic, or excursion operations that are not part 
of the general

[[Page 516]]

railroad system of transportation means a tourist, scenic, historic, or 
excursion operation conducted only on track used exclusively for that 
purpose (i.e., there is no freight, intercity passenger, or commuter 
passenger railroad operation on the track).
    Train employee means an individual engaged in or connected with the 
movement of a train, including a hostler.
    Travel time means--
    (1) For a signal employee, the time spent in transportation between 
the employee's headquarters and an outlying duty point or between the 
employee's residence and an outlying duty point, or, between duty 
locations, including both on-track and on-highway vehicular travel.
    (2) For a dispatching service employee, the time spent in travel 
between stations, offices, or towers during the employee's time on duty.
    Type 1 assignment means an assignment to be worked by a train 
employee who is engaged in commuter or intercity rail passenger 
transportation that requires the employee to report for duty no earlier 
than 4 a.m. on a calendar day and be released from duty no later than 8 
p.m. on the same calendar day, and that complies with the provisions of 
Sec. 228.405. For the purposes of this part, FRA considers a Type 1 
assignment to present an acceptable level of risk for fatigue that does 
not violate the defined fatigue threshold under a scientifically valid, 
biomathematical model of human performance and fatigue specified by FRA 
at Sec. 228.407(c)(1) or approved by FRA under the procedures at Sec. 
228.407(c)(2). However, a Type 1 assignment that is delayed such that 
the schedule actually worked includes any period of time between 
midnight and 4 a.m. is considered a Type 2 assignment for the purposes 
of compliance with Sec. 228.405.
    Type 2 assignment. (1) Type 2 assignment means an assignment to be 
worked by a train employee who is engaged in commuter or intercity rail 
passenger transportation that requires the employee to be on duty for 
any period of time between 8:01 p.m. on a calendar day and 3:59 a.m. on 
the next calendar day, or that otherwise fails to qualify as a Type 1 
assignment. A Type 2 assignment is considered a Type 1 assignment if--
    (i) It does not violate the defined fatigue threshold under a 
scientifically valid biomathematical model of human performance and 
fatigue specified by FRA at 228.407(c)(2) or approved by FRA under the 
procedures at Sec. 228.407(c)(1);
    (ii) It complies with the provisions of Sec. 228.405; and
    (iii) It does not require the employee to be on duty for any period 
of time between midnight and 4 a.m.
    (2) If a Type 2 assignment that would normally qualify to be treated 
as a Type 1 assignment is delayed so that the schedule actually worked 
includes any period of time between midnight and 4 a.m., the assignment 
is considered a Type 2 assignment for the purposes of compliance with 
Sec. 228.405.

[74 FR 25346, May 27, 2009, as amended at 76 FR 50396, Aug. 12, 2011; 76 
FR 67087, Oct. 31, 2011]



Sec. 228.6  Penalties.

    (a) 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 $839 and not more than $27,455 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 $109,819 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

[[Page 517]]

laws themselves (e.g., requiring an employee to work excessive hours or 
beginning construction of sleeping quarters subject to approval under 
subpart C of this part without prior approval) are subject to penalty 
under 49 U.S.C. 21303.
    (b) Criminal penalties. 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 under title 18 of the 
U.S. Code, imprisonment for up to two years, or both, in accordance with 
49 U.S.C. 21311(a).

[76 FR 67087, Oct. 31, 2011, as amended at 77 FR 26704, May 7, 2012; 81 
FR 43110, July 1, 2016]



                     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  Records; general.

    (a) Each manual record maintained under this part shall be--
    (1) Signed by the employee whose time on duty is being recorded or, 
in the case of a train and engine crew or a signal employee gang, signed 
by the ranking crewmember;
    (2) Retained for two years at locations identified by the carrier; 
and
    (3) Available upon request at the identified location for inspection 
and copying by the Administrator during regular business hours.
    (b) Each electronic record maintained under this part shall be--
    (1) Certified by the employee whose time on duty is being recorded 
or, in the case of a train and engine crew or a signal employee gang, 
certified by the reporting employee who is a member of the train crew or 
signal gang whose time is being recorded;
    (2) Electronically stamped with the certifying employee's name and 
the date and time of certification;
    (3) Retained for 2 years in a secured file that prevents alteration 
after certification;
    (4) Accessible by the Administrator through a computer terminal of 
the railroad, using a railroad-provided identification code and a unique 
password.
    (5) Reproducible using the printing capability at the location where 
records are accessed.

[74 FR 25348, May 27, 2009]



Sec. 228.11  Hours of duty records.

    (a) In general. Each railroad, or a contractor or a subcontractor of 
a railroad, shall keep a record, either manually or electronically, 
concerning the hours of duty of each employee. Each

[[Page 518]]

contractor or subcontractor of a railroad shall also record the name of 
the railroad for whom its employee performed covered service during the 
duty tour covered by the record. Employees who perform covered service 
assignments in a single duty tour that are subject to the recordkeeping 
requirements of more than one paragraph of this section, must complete 
the record applicable to the covered service position for which they 
were called, and record other covered service as an activity 
constituting other service at the behest of the railroad.
    (b) For train employees. Except as provided by paragraph (c) of this 
section, each hours of duty record for a train employee shall include 
the following information about the employee:
    (1) Identification of the employee (initials and last name; or if 
last name is not the employee's surname, provide the employee's initials 
and surname).
    (2) Each covered service position in a duty tour.
    (3) Amount of time off duty before beginning a new covered service 
assignment or resuming a duty tour.
    (4) Train ID for each assignment required to be reported by this 
part, except for the following employees, who may instead report the 
unique job or train ID identifying their assignment:
    (i) Utility employees assigned to perform covered service, who are 
identified as such by a unique job or train ID;
    (ii) Employees assigned to yard jobs, except that employees assigned 
to perform yard jobs on all or parts of consecutive shifts must at least 
report the yard assignment for each shift;
    (iii) Assignments, either regular or extra, that are specifically 
established to shuttle trains into and out of a terminal during a single 
duty tour that are identified by a unique job or train symbol as such an 
assignment.
    (5) Location, date, and beginning time of the first assignment in a 
duty tour, and, if the duty tour exceeds 12 hours and includes a 
qualifying period of interim release as provided by 49 U.S.C. 21103(b), 
the location, date, and beginning time of the assignment immediately 
following the interim release.
    (6) Location, date, and time relieved for the last assignment in a 
duty tour, and, if the duty tour exceeds 12 hours and includes a 
qualifying period of interim release as provided by 49 U.S.C. 21103(b), 
the location, date, and time relieved for the assignment immediately 
preceding the interim release.
    (7) Location, date, and time released from the last assignment in a 
duty tour, and, if the duty tour exceeds 12 hours and includes a 
qualifying period of interim release as provided by 49 U.S.C. 21103(b), 
the location, date, and time released from the assignment immediately 
preceding the interim release.
    (8) Beginning and ending location, date, and time for periods spent 
in transportation, other than personal commuting, if any, to the first 
assignment in a duty tour, from an assignment to the location of a 
period of interim release, from a period of interim release to the next 
assignment, or from the last assignment in a duty tour to the point of 
final release, including the mode of transportation (train, track car, 
railroad-provided motor vehicle, personal automobile, etc.).
    (9) Beginning and ending location, date, and time of any other 
service performed at the behest of the railroad.
    (10) Identification (code) of service type for any other service 
performed at the behest of the railroad.
    (11) Total time on duty for the duty tour.
    (12) Reason for any service that exceeds 12 hours total time on duty 
for the duty tour.
    (13) The total amount of time by which the sum of total time on duty 
and time spent awaiting or in deadhead transportation to the point of 
final release exceeds 12 hours.
    (14) The cumulative total for the calendar month of--
    (i) Time spent in covered service;
    (ii) Time spent awaiting or in deadhead transportation from a duty 
assignment to the place of final release; and
    (iii) Time spent in any other service at the behest of the railroad.
    (15) The cumulative total for the calendar month of time spent 
awaiting or in deadhead transportation from a duty assignment to the 
place of final release following a period of 12 consecutive hours on 
duty.

[[Page 519]]

    (16) Number of consecutive days in which a period of time on duty 
was initiated.
    (c) Exceptions to requirements for train employees. Paragraphs 
(b)(13) through (b)(16) of this section do not apply to the hours of 
duty records of train employees providing commuter rail passenger 
transportation or intercity rail passenger transportation. In addition 
to the information required by paragraphs (b)(1) through (b)(12) of this 
section, each hours of duty record for a train employee providing 
commuter rail passenger transportation or intercity rail passenger 
transportation shall include the following information:
    (1) For train employees providing commuter rail passenger 
transportation or intercity rail passenger transportation, the date on 
which the series of at most 14 consecutive calendar days began for the 
duty tour.
    (2) For train employees providing commuter rail passenger 
transportation or intercity rail passenger transportation, any date 
prior to the duty tour and during the series of at most 14 consecutive 
calendar days on which the employee did not initiate an on-duty period, 
if any.
    (d) For dispatching service employees. Each hours of duty record for 
a dispatching service employee shall include the following information 
about the employee:
    (1) Identification of the employee (initials and last name; or if 
last name is not the employee's surname, provide the employee's initials 
and surname).
    (2) Each covered service position in a duty tour.
    (3) Amount of time off duty before going on duty or returning to 
duty in a duty tour.
    (4) Location, date, and beginning time of each assignment in a duty 
tour.
    (5) Location, date, and time released from each assignment in a duty 
tour.
    (6) Beginning and ending location, date, and time of any other 
service performed at the behest of the railroad.
    (7) Total time on duty for the duty tour.
    (e) For signal employees. Each hours of duty record for a signal 
employee shall include the following information about the employee:
    (1) Identification of the employee (initials and last name; or if 
last name is not the employee's surname, provide the employee's initials 
and surname).
    (2) Each covered service position in a duty tour.
    (3) Headquarters location for the employee.
    (4) Amount of time off duty before going on duty or resuming a duty 
tour.
    (5) Location, date, and beginning time of each covered service 
assignment in a duty tour.
    (6) Location, date, and time relieved for each covered service 
assignment in a duty tour.
    (7) Location, date, and time released from each covered service 
assignment in a duty tour.
    (8) Beginning and ending location, date, and time for periods spent 
in transportation, other than personal commuting, to or from a duty 
assignment, and mode of transportation (train, track car, railroad-
provided motor vehicle, personal automobile, etc.).
    (9) Beginning and ending location, date, and time of any other 
service performed at the behest of the railroad.
    (10) Total time on duty for the duty tour.
    (11) Reason for any service that exceeds 12 hours total time on duty 
for the duty tour.

[74 FR 25348, May 27, 2009, as amended at 76 FR 50397, Aug. 12, 2011]



Sec. 228.13  [Reserved]



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 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.

[[Page 520]]

    (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) In general. Except as provided in paragraph (h) of this section, 
each railroad, or a contractor or a subcontractor of a railroad, shall 
report to the Associate Administrator for Railroad Safety/Chief Safety 
Officer, Federal Railroad Administration, Washington, DC 20590, each 
instance of excess service listed in paragraphs (b) through (e) of this 
section, in the manner provided by paragraph (f) of this section, within 
30 days after the calendar month in which the instance occurs.
    (b) For train employees. Except as provided in paragraph (c) of this 
section, the following instances of excess service by train employees 
must be reported to FRA as required by this section:
    (1) A train employee is on duty for more than 12 consecutive hours.
    (2) A train employee continues on duty without at least 10 
consecutive hours off duty during the preceding 24 hours. Instances 
involving duty tours that are broken by less than 10 consecutive hours 
off duty which duty tours constitute more than a total of 12 hours time 
on duty must be reported.\1\
    (3) A train employee returns to duty without at least 10 consecutive 
hours off duty during the preceding 24 hours. Instances involving duty 
tours that are broken by less than 10 consecutive hours off duty which 
duty tours constitute more than a total of 12 hours time on duty must be 
reported.\1\
---------------------------------------------------------------------------

    \1\ Instances involving duty tours that are broken by four or more 
consecutive hours of off duty time at a designated terminal which duty 
tours do not constitute more than a total of 12 hours time on duty are 
not required to be reported, provided such duty tours are immediately 
preceded by 10 or more consecutive hours of off-duty time.
---------------------------------------------------------------------------

    (4) A train employee returns to duty without additional time off 
duty, equal to the total amount of time by which the employee's sum of 
total time on duty and time spent awaiting or in deadhead transportation 
to the point of final release exceeds 12 hours.
    (5) A train employee exceeds a cumulative total of 276 hours in the 
following activities in a calendar month:
    (i) Time spent in covered service;
    (ii) Time spent awaiting or in deadhead transportation from a duty 
assignment to the place of final release; and
    (iii) Time spent in any other service at the behest of the railroad.
    (6) A train employee initiates an on-duty period on more than 6 
consecutive days, when the on-duty period on the sixth consecutive day 
ended at the employee's home terminal, and the seventh consecutive day 
is not allowed pursuant to a collective bargaining agreement or pilot 
project.
    (7) A train employee returns to duty after initiating an on-duty 
period on 6 consecutive days, without 48 consecutive hours off duty at 
the employee's home terminal.
    (8) A train employee initiates an on-duty period on more than 7 
consecutive days.
    (9) A train employee returns to duty after initiating an on-duty 
period on 7 consecutive days, without 72 consecutive hours off duty at 
the employee's home terminal.
    (10) A train employee exceeds the following limitations on time 
spent awaiting or in deadhead transportation from a duty assignment to 
the place of final release following a period of 12 consecutive hours on 
duty:
    (i) 40 hours in any calendar month completed prior to October 1, 
2009;
    (ii) 20 hours in the transition period from October 1, 2009-October 
15, 2009;

[[Page 521]]

    (iii) 15 hours in the transition period from October 16, 2009-
October 31, 2009; and
    (iv) 30 hours in any calendar month completed after October 31, 
2009.
    (c) Exception to requirements for train employees. For train 
employees who provide commuter rail passenger transportation or 
intercity rail passenger transportation during a duty tour, the 
following instances of excess service must be reported to FRA as 
required by this section:
    (1) A train employee is on duty for more than 12 consecutive hours.
    (2) A train employee returns to duty after 12 consecutive hours of 
service without at least 10 consecutive hours off duty.
    (3) A train employee continues on duty without at least 8 
consecutive hours off duty during the preceding 24 hours. Instances 
involving duty tours that are broken by less than 8 consecutive hours 
off duty which duty tours constitute more than a total of 12 hours time 
on duty must be reported.\2\
    (4) A train employee returns to duty without at least 8 consecutive 
hours off duty during the preceding 24 hours. Instances involving duty 
tours that are broken by less than 8 consecutive hours off duty which 
duty tours constitute more than a total of 12 hours time on duty must be 
reported.\2\
---------------------------------------------------------------------------

    \2\ Instances involving duty tours that are broken by four or more 
consecutive hours of off-duty time at a designated terminal which duty 
tours do not constitute more than a total of 12 hours time on duty are 
not required to be reported, provided such duty tours are immediately 
preceded by 8 or more consecutive hours of off-duty time.
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    (5) A train employee, after first initiating an on-duty period each 
day for 6 or more consecutive calendar days including one or more Type 2 
assignments, the last on-duty period of which ended at the employee's 
home terminal, initiates an on-duty period without having had 24 
consecutive hours off duty at the employee's home terminal.
    (6) A train employee, after first initiating an on-duty period each 
day for 6 or more consecutive days including one or more Type 2 
assignments, initiates two or more on-duty periods without having had 24 
consecutive hours off duty at the employee's home terminal.
    (7) A train employee, after initiating on-duty periods on 13 or more 
calendar days during a series of at most 14 consecutive calendar days as 
defined in Sec. 228.405(a)(3)(i), the last of which ended at the 
employee's home terminal, then initiates an on-duty period without 
having had at least two consecutive calendar days off duty at the 
employee's home terminal.
    (8) A train employee, after initiating an on-duty periods on 13 or 
more calendar days during a series of at most 14 consecutive calendar 
days as defined in Sec. 228.405(a)(3)(i), then initiates two or more 
on-duty periods without having had at least two consecutive calendar 
days off duty at the employee's home terminal.
    (d) For dispatching service employees. The following instances of 
excess service by dispatching service employees must be reported to FRA 
as required by this section:
    (1) A dispatching service employee is on duty for more than 9 hours 
in any 24-hour period at an office where two or more shifts are 
employed.
    (2) A dispatching service employee is on duty for more than 12 hours 
in any 24-hour period at any office where one shift is employed.
    (e) For signal employees. The following instances of excess service 
by signal employees must be reported to FRA as required by this section:
    (1) A signal employee is on duty for more than 12 consecutive hours.
    (2) A signal employee continues on duty without at least 10 
consecutive hours off duty during the preceding 24 hours.
    (3) A signal employee returns to duty without at least 10 
consecutive hours off duty during the preceding 24 hours.
    (f) Except as provided in paragraph (h) of this section, reports 
required by paragraphs (b) through (e) of this section shall be filed in 
writing on FRA

[[Page 522]]

Form F-6180-3 \3\ with the Office of Railroad Safety, Federal Railroad 
Administration, Washington, DC 20590. A separate form shall be used for 
each instance reported.
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    \3\ Form may be obtained from the Office of Railroad Safety, Federal 
Railroad Administration, Washington, DC 20590. Reproduction is 
authorized.
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    (g) Use of electronic signature. For the purpose of complying with 
paragraph (f) of this section, the signature required on Form FRA F-
6180-3 may be provided to FRA by means of an electronic signature 
provided that:
    (1) The record contains the printed name of the signer and the date 
and actual time that the signature was executed, and the meaning (such 
as authorship, review, or approval), associated with the signature;
    (2) Each electronic signature shall be unique to one individual and 
shall not be used by, or assigned to, anyone else;
    (3) Before a railroad, or a contractor or subcontractor to a 
railroad, establishes, assigns, certifies, or otherwise sanctions an 
individual's electronic signature, or any element of such electronic 
signature, the organization shall verify the identity of the individual;
    (4) Persons using electronic signatures shall, prior to or at the 
time of such use, certify to the agency that the electronic signatures 
in their system, used on or after the effective date of this regulation, 
are the legally binding equivalent of traditional handwritten 
signatures;
    (5) The certification shall be submitted, in paper form and signed 
with a traditional handwritten signature, to the Associate Administrator 
for Railroad Safety/Chief Safety Officer; and
    (6) Persons using electronic signatures shall, upon agency request, 
provide additional certification or testimony that a specific electronic 
signature is the legally binding equivalent of the signer's handwritten 
signature.
    (h) Exception. A railroad, or a contractor or subcontractor to a 
railroad, is excused from the requirements of paragraphs (a) and (f) of 
this section as to any employees for which--
    (1) The railroad, or a contractor or subcontractor to a railroad, 
maintains hours of service records using an electronic recordkeeping 
system that complies with the requirements of subpart D of this part; 
and
    (2) The electronic recordkeeping system referred to in paragraph 
(h)(1) of this section requires--
    (i) The employee to enter an explanation for any excess service 
certified by the employee; and
    (ii) The railroad, or a contractor or subcontractor of a railroad, 
to analyze each instance of excess service certified by one of its 
employees, make a determination as to whether each instance of excess 
service would be reportable under the provisions of paragraphs (b) 
through (e) of this section, and allows the railroad, or a contractor or 
subcontractor to a railroad, to append its analysis to its employee's 
electronic record; and
    (iii) Allows FRA inspectors and State inspectors participating under 
49 CFR part 212 access to employee reports of excess service and any 
explanations provided.

[74 FR 25349, May 27, 2009, as amended at 76 FR 50397, Aug. 12, 2011]



Sec. 228.21  [Reserved]



Sec. 228.23  [Reserved]



      Subpart C_Construction of Railroad-Provided Sleeping Quarters

    Source: 43 FR 31012, July 19, 1978, unless otherwise noted.



Sec. 228.101  Distance requirement for employee sleeping quarters; 
definitions used in this subpart.

    (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

[[Page 523]]

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 
(Sec. Sec. 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.
    (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.

[43 FR 31012, July 19, 1978, as amended at 76 FR 67088, Oct. 31, 2011]



Sec. 228.102  Distance requirement for camp cars provided as sleeping
quarters exclusively to MOW workers.

    (a) The hours of service laws at 49 U.S.C. 21106(b) provide that a 
railroad that uses camp cars must comply with 49 U.S.C. 21106(a) no 
later than December 31, 2009. Accordingly, on or after December 31, 
2009, a railroad shall not begin construction or reconstruction of a 
camp car provided by the railroad as sleeping quarters exclusively for 
MOW workers within or in the immediate vicinity of any area where 
railroad switching or humping of placarded cars is performed.
    (b) This subpart includes definitions of most of the relevant terms 
(Sec. 228.101(b) and (c)), the procedures under which a railroad may 
request a determination by the Federal Railroad Administration that a 
particular proposed site for the camp car is not within the ``immediate 
vicinity'' of railroad switching or humping operations (Sec. Sec. 
228.103 and 228.105), and the basic criteria utilized in evaluating 
proposed sites. See Sec. 228.5 for definitions of other terms. For 
purposes of this Sec. 228.102, references to ``employees'' in 
Sec. Sec. 228.103 through 228.107 shall be read to include MOW workers.

[76 FR 67088, Oct. 31, 2011]

[[Page 524]]



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 accordance with the requirements of 
Sec. 211.7(b)(1) of this chapter 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;
    (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

[[Page 525]]

employees who will be utilizing the proposed sleeping quarters, together 
with a list of the employee representatives served.

[43 FR 31012, July 19, 1978, as amended at 74 FR 25173, May 27, 2009]



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 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.



                   Subpart D_Electronic Recordkeeping

    Source: 74 FR 25350, May 27, 2009, unless otherwise noted.

[[Page 526]]



Sec. 228.201  Electronic recordkeeping; general.

    For purposes of compliance with the recordkeeping requirements of 
subpart B, a railroad, or a contractor or a subcontractor to a railroad 
may create and maintain any of the records required by subpart B through 
electronic transmission, storage, and retrieval provided that all of the 
following conditions are met:
    (1) The system used to generate the electronic record meets all 
requirements of this subpart;
    (2) The electronically generated record contains the information 
required by Sec. 228.11;
    (3) The railroad, or contractor or subcontractor to the railroad, 
monitors its electronic database of employee hours of duty records 
through sufficient number of monitoring indicators to ensure a high 
degree of accuracy of these records; and
    (4) The railroad, or contractor or subcontractor to the railroad, 
trains its employees on the proper use of the electronic recordkeeping 
system to enter the information necessary to create their hours of 
service record, as required by Sec. 228.207.
    (5) The railroad, or contractor or subcontractor to the railroad, 
maintains an information technology security program adequate to ensure 
the integrity of the system, including the prevention of unauthorized 
access to the program logic or individual records.
    (6) FRA's Associate Administrator for Railroad Safety/Chief Safety 
Officer may prohibit or revoke the authority to use an electronic system 
if FRA finds the system is not properly secure, is inaccessible to FRA, 
or fails to record and store the information adequately and accurately. 
FRA will record such a determination in writing, including the basis for 
such action, and will provide a copy of its determination to the 
affected railroad, or contractor or subcontractor to a railroad.



Sec. 228.203  Program components.

    (a) System security. The integrity of the program and database must 
be protected by a security system that utilizes an employee 
identification number and password, or a comparable method, to establish 
appropriate levels of program access meeting all of the following 
standards:
    (1) Data input is restricted to the employee or train crew or signal 
gang whose time is being recorded, with the following exceptions:
    (i) A railroad, or a contractor or subcontractor to a railroad, may 
allow its recordkeeping system to pre-populate fields of the hours of 
service record provided that--
    (A) The recordkeeping system pre-populates fields of the hours of 
service record with information known to the railroad, or contractor or 
subcontractor to the railroad, to be factually accurate for a specific 
employee.
    (B) The recordkeeping system may also provide the ability for 
employees to copy data from one field of a record into another field, 
where applicable.
    (C) Estimated, historical, or arbitrary data are not used to pre-
populate any field of an hours of service record.
    (D) A railroad, or a contractor or a subcontractor to a railroad, is 
not in violation of this paragraph if it makes a good faith judgment as 
to the factual accuracy of the data for a specific employee but 
nevertheless errs in pre-populating a data field.
    (E) The employee may make any necessary changes to the data by 
typing into the field, without having to access another screen or obtain 
clearance from the railroad, or a contractor or subcontractor to a 
railroad.
    (ii) A railroad, or a contractor or a subcontractor to a railroad, 
shall allow employees to complete a verbal quick tie-up, or to transmit 
by facsimile or other electronic means the information necessary for a 
quick tie-up, if--
    (A) The employee is released from duty at a location at which there 
is no terminal available;
    (B) Computer systems are unavailable as a result of technical 
issues; or
    (C) Access to computer terminals is delayed and the employee has 
exceeded his or her maximum allowed time on duty.
    (2) No two individuals have the same electronic identity.
    (3) A record cannot be deleted or altered by any individual after 
the record is certified by the employee who created the record.

[[Page 527]]

    (4) Any amendment to a record is either--
    (i) Electronically stored apart from the record that it amends, or
    (ii) Electronically attached to the record as information without 
changing the original record.
    (5) Each amendment to a record uniquely identifies the individual 
making the amendment.
    (6) The electronic system provides for the maintenance of inspection 
records as originally submitted without corruption or loss of data.
    (7) Supervisors and crew management officials can access, but cannot 
delete or alter the records of any employee after the report-for-duty 
time of the employee or after the record has been certified by the 
reporting employee.
    (b) Identification of the individual entering data. The program must 
be capable of identifying each individual who entered data for a given 
record. If a given record contains data entered by more than one 
individual, the program must be capable of identifying each individual 
who entered specific information within the record.
    (c) Capabilities of program logic. The program logic must have the 
ability to--
    (1) Calculate the total time on duty for each employee, using data 
entered by the employee and treating each identified period as defined 
in Sec. 228.5;
    (2) Identify input errors through the use of program edits;
    (3) Require records, including outstanding records, the completion 
of which was delayed, to be completed in chronological order;
    (4) Require reconciliation when the known (system-generated) prior 
time off differs from the prior time off reported by an employee;
    (5) Require explanation if the total time on duty reflected in the 
certified record exceeds the statutory maximum for the employee;
    (6) Require the use of a quick tie-up process when the employee has 
exceeded or is within three minutes of his or her statutory maximum time 
on duty;
    (7) Require that the employee's certified final release be not more 
than three minutes in the future, and that the employee may not certify 
a final release time for a current duty tour that is in the past, 
compared to the clock time of the computer system at the time that the 
record is certified, allowing for changes in time zones;
    (8) Require automatic modification to prevent miscalculation of an 
employee's total time on duty for a duty tour that spans changes from 
and to daylight savings time;
    (9) For train employees, require completion of a full record at the 
end of a duty tour when the employee initiates a tie-up with less than 
the statutory maximum time on duty and a quick tie-up is not mandated;
    (10) For train employees, disallow use of a quick tie-up when the 
employee has time remaining to complete a full record, except as 
provided in paragraph (a)(1)(ii) of this section.
    (11) Disallow any manipulation of the tie-up process that precludes 
compliance with any of the requirements specified by paragraphs (c)(1) 
through (c)(10) of this section.
    (d) Search capabilities. The program must contain sufficient search 
criteria to allow any record to be retrieved through a search of any one 
or more of the following data fields, by specific date or by a date 
range not exceeding 30 days for the data fields specified by paragraphs 
(d)(1) and (d)(2) of this section, and not exceeding one day for the 
data fields specified by paragraphs (d)(3) through (d)(7) of this 
section:
    (1) Employee, by name or identification number;
    (2) Train or job symbol;
    (3) Origin location, either yard or station;
    (4) Released location, either yard or station;
    (5) Operating territory (i.e., division or service unit, 
subdivision, or railroad-identified line segment);
    (6) Certified records containing one or more instances of excess 
service; and
    (7) Certified records containing duty tours in excess of 12 hours.
    (e) The program must display individually each train or job 
assignment within a duty tour that is required to be reported by this 
part.



Sec. 228.205  Access to electronic records.

    (a) FRA inspectors and State inspectors participating under 49 CFR 
Part

[[Page 528]]

212 must have access to hours of service records created and maintained 
electronically that is obtained as required by Sec. 228.9(b)(4).
    (b) Railroads must establish and comply with procedures for 
providing an FRA inspector or participating State inspector with an 
identification number and temporary password for access to the system 
upon request, which access will be valid for a period not to exceed 
seven days. Access to the system must be provided as soon as possible 
and no later than 24 hours after a request for access.
    (c) The inspection screen provided to FRA inspectors and 
participating State inspectors for searching employee hours of duty 
records must be formatted so that--
    (1) Each data field entered by an employee on the input screen is 
visible to the FRA inspector or participating State inspector; and
    (2) The data fields are searchable as described in Sec. 228.203(d) 
and yield access to all records matching criteria specified in a search.
    (3) Records are displayed in a manner that is both crew-based and 
duty tour oriented, so that the data pertaining to all employees who 
worked together as part of a crew or signal gang will be displayed 
together, and the record will include all of the assignments and 
activities of a given duty tour that are required to be recorded by this 
part.



Sec. 228.207  Training.

    (a) In general. A railroad, or a contractor or subcontractor to a 
railroad, shall provide its train employees, signal employees, and 
dispatching service employees and its supervisors of these employees 
with initial training and refresher training as provided in this 
section.
    (b) Initial training. (1) Initial training shall include the 
following:
    (i) Instructional components presented in a classroom setting or by 
electronic means; and
    (ii) Experiential (``hands-on'') components; and
    (iii) Training on--
    (A) The aspects of the hours of service laws relevant to the 
employee's position that are necessary to understanding the proper 
completion of the hours of service record required by this part, and
    (B) The entry of hours of service data, into the electronic system 
or on the appropriate paper records used by the railroad or contractor 
or subcontractor to a railroad for whom the employee performs covered 
service; and
    (iv) Testing to ensure that the objectives of training are met.
    (2) Initial training shall be provided--
    (i) To each current employee and supervisor of an employee as soon 
after May 27, 2009 as practicable; and
    (ii) To new employees and supervisors prior to the time that they 
will be required to complete an hours of service record or supervise an 
employee required to complete an hours of service record.
    (c) Refresher training. (1) The content and level of formality of 
refresher training should be tailored to the needs of the location and 
employees involved, except that the training shall--
    (i) Emphasize any relevant changes to the hours of service laws, the 
reporting requirements in this part, or the carrier's electronic or 
other recordkeeping system since the employee last received training; 
and
    (ii) Cover any areas in which supervisors or other railroad managers 
are finding recurrent errors in the employees' records through the 
monitoring indicators.
    (2) Refresher training shall be provided to each employee any time 
that recurrent errors in records prepared by the employee, discovered 
through the monitoring indicators, suggest, for example, the employee's 
lack of understanding of how to complete hours of service records.



   Subpart E_Safety and Health Requirements for Camp Cars Provided by 
                     Railroads as Sleeping Quarters

    Source: 76 FR 67088, Oct. 31, 2011, unless otherwise noted.



Sec. 228.301  Purpose and scope.

    The purpose of this subpart is to prescribe standards for the 
design, operation, and maintenance of camp cars

[[Page 529]]

that a railroad uses as sleeping quarters for its employees or MOW 
workers or both so as to protect the safety and health of those 
employees and MOW workers and give them an opportunity for rest free 
from the interruptions caused by noise under the control of the 
railroad, and provide indoor toilet facilities, potable water, and other 
features to protect the health and safety of the employees and MOW 
workers.



Sec. 228.303  Application and responsibility for compliance.

    (a) This subpart applies to all railroads except the following:
    (1) Railroads that operate only on track inside an installation that 
is not part of the general railroad system of transportation (i.e., 
plant railroads, as defined in Sec. 228.5);
    (2) Tourist, scenic, historic, or excursion operations that are not 
part of the general railroad system of transportation as defined in 
Sec. 228.5; or
    (3) Rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    (b) Although the duties imposed by this subpart are generally stated 
in terms of the duty of a railroad, each person, including a contractor 
or subcontractor for a railroad, who performs any task or provides camp 
cars covered by this subpart, shall do so in accordance with this 
subpart.



Sec. 228.305  Compliance date.

    On and after December 30, 2011, a railroad shall not provide a camp 
car for use as sleeping quarters by an employee or MOW worker unless the 
camp car complies with all requirements of this subpart.



Sec. 228.307  Definitions.

    As used in this subpart--
    dB(A) means the sound pressure level in decibels measured on the A-
weighted scale.
    Decibel (dB) means a logarithmic unit of measurement that expresses 
the magnitude of a physical quantity (usually power or intensity) 
relative to a specified reference level. For the measurement of noise in 
this subpart, the reference level for the intensity of sound pressure in 
air is 20 micropascals.
    Foot-candle means a one lumen of light density per square foot.
    HVAC means heating, ventilation, and air conditioning.
    Lavatory means a basin or similar vessel used primarily for washing 
of the hands, arms, face, and head.
    Leq(8) means the equivalent steady state sound level that 
in 8 hours would contain the same acoustic energy as the time-varying 
sound level during the same time period.
    Nonwater carriage toilet means a toilet not connected to a sewer.
    Occupant means an employee or an MOW worker (both as defined in 
Sec. 228.5) whose sleeping quarters are a camp car.
    Ppm means parts per million.
    Potable water means water that meets the quality standards 
prescribed in the U.S. Environmental Protection Agency's National 
Primary Drinking Water Standards set forth in 40 CFR part 141.
    Potable water system means the containers, tanks, and associated 
plumbing lines and valves that hold, convey, and dispense potable water 
within a camp car.
    Toilet means a chemical toilet, a recirculating toilet, a combustion 
toilet, or a toilet that is flushed with water; however, a urinal is not 
a toilet.
    Toilet room means a room containing a toilet.
    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.
    Watering means the act of filling potable water systems.



Sec. 228.309  Structure, emergency egress, lighting, temperature, 
and noise-level standards.

    (a) General. Each camp car must be constructed in a manner that will 
provide protection against the elements.
    (b) Floors. Floors must be of smooth and tight construction and must 
be kept in good repair.
    (c) Windows and other openings. (1) All camp cars must be provided 
with windows the total area of which must be not less than 10 percent of 
the floor area. At least one-half of each window

[[Page 530]]

designed to be opened must be so constructed that it can be opened for 
purposes of ventilation. Durable opaque window coverings must be 
provided to reduce the entrance of light during sleeping hours.
    (2) All exterior openings must be effectively screened with 16-mesh 
material. All screen doors must be equipped with self-closing devices.
    (d) Steps, entry ways, passageways, and corridors. All steps, entry 
ways, passageways, and corridors providing normal entry to or between 
camp cars must be constructed of durable weather-resistant material and 
properly maintained. Any broken or unsafe fixtures or components in need 
of repair must be repaired or replaced promptly.
    (e) Emergency egress. Each camp car must be constructed in a manner 
to provide adequate means of egress in an emergency situation. At a 
minimum, a means of emergency egress must be located in at least two 
places in camp car for emergency exits.
    (f) Lighting. Each habitable room in a camp car including but not 
limited to a toilet room, that is provided to an occupant must be 
provided with adequate lighting as specified below:
    (1) When occupants are present, the pathway to any exit not 
immediately accessible to occupants, such as through an interior 
corridor, shall be illuminated at all times to values of at least 1 
foot-candle measured at the floor, provided that where the pathway 
passes through a sleeping compartment, the pathway up to the compartment 
will be illuminated, but illumination is not required inside the 
sleeping compartment.
    (2) Toilet and shower rooms shall have controlled lighting that will 
illuminate the room to values of at least 10 foot-candles measured at 
the floor.
    (3) Other areas shall have controlled lighting that will illuminate 
the room area to values of at least 30 foot-candles measured at the 
floor.
    (g) Temperature. Each camp car must be provided with equipment 
capable of maintaining a temperature of at least 68 degrees Fahrenheit 
(F.) during cold weather and no greater than 75 degrees F. during hot 
weather. A temperature of at least 68 degrees F. during cold weather and 
no greater than 75 degrees F. during hot weather must be maintained 
within an occupied camp car unless the equipment is individually 
controlled by its occupant(s).
    (h) Noise control. Noise levels attributable to noise sources under 
the control of the railroad shall not exceed an Leq(8) value 
of 55 dB(A), with windows and doors closed and exclusive of noise from 
cooling, heating, and ventilating equipment, for any 480-minute period 
during which the facility is occupied.



Sec. 228.311  Minimum space requirements, beds, storage, and sanitary
facilities.

    (a) Each camp car used for sleeping purposes must contain at least 
80 square feet of floor space for each occupant, with a maximum of four 
occupants per car. At least a 7-foot ceiling, measured at the entrance 
to the car, must be provided.
    (b) A bed, cot, or bunk for each occupant and suitable lockable 
storage facility, such as a lockable wall locker, or space for a 
lockable foot locker for each occupant's clothing and personal articles 
must be provided in every room used for sleeping purposes. Except where 
partitions are provided, such beds or similar facilities must be spaced 
not closer than 36 inches laterally (except in rail-mounted modular 
units, where the beds shall be spaced not closer than 30 inches, and 
highway trailer units, where the beds shall be spaced not closer than 26 
inches) and 30 inches end to end, and must be elevated at least 12 
inches from the floor. Multi-deck bunks, multi-deck bunk beds, and 
multi-deck similar facilities may not be used.
    (c) Unless otherwise provided by a collective bargaining agreement, 
clean linens must be provided to each occupant.
    (d) In a camp car where occupants cook, live, and sleep, a minimum 
of 120 square feet of floor space per occupants must be provided. 
Sanitary facilities must be provided for storing and preparing food. See 
also Sec. 228.325.



Sec. 228.313  Electrical system requirements.

    (a) All heating, cooking, ventilation, air conditioning, and water 
heating

[[Page 531]]

equipment must be installed in accordance with an industry-recognized 
standard. Upon request by FRA, the railroad must identify the industry-
recognized standard that it utilizes and establish its compliance with 
that standard.
    (b) All electrical systems installed, including external electrical 
supply connections, must be compliant with an industry-recognized 
standard. Upon request by FRA, the railroad must identify the industry-
recognized standard that it utilizes and establish its compliance with 
that standard.
    (c) Each occupied camp car shall be equipped with or serviced by a 
safe and working HVAC system.



Sec. 228.315  Vermin control.

    Camp cars shall be constructed, equipped, and maintained to prevent 
the entrance or harborage of rodents, insects, or other vermin. A 
continuing and effective extermination program shall be instituted where 
the presence of vermin is detected.



Sec. 228.317  Toilets.

    (a) Number of toilets provided. Each individual camp car that 
provides sleeping facilities must have one room with a functional toilet 
for a total of one or two occupants, and one additional room with a 
functional toilet if there are a total of three or four occupants.
    (b) Construction of toilet rooms. Each toilet room must occupy a 
separate compartment with a door that latches and have walls or 
partitions between fixtures sufficient to assure privacy.
    (c) Supplies and sanitation. (1) An adequate supply of toilet paper 
must be provided in each toilet room, unless provided to the occupants 
individually.
    (2) Each toilet must be kept in a clean and sanitary condition and 
cleaned regularly when the camp car is being used. In the case of a non-
water carriage toilet facility, it must be cleaned and changed regularly 
when the camp car is being used.
    (d) Sewage disposal facilities. (1) All sanitary sewer lines and 
floor drains from a camp car toilet facility must be connected to a 
public sewer where available and practical, unless the car is equipped 
with a holding tank that is emptied in a sanitary manner.
    (2) The sewage disposal method must not endanger the health of 
occupants.
    (3) For toilet facilities connected to a holding tank, the tank must 
be constructed in a manner that prevents vermin from entry and odors 
from escaping into the camp car.



Sec. 228.319  Lavatories.

    (a) Number. Each camp car that provides a sleeping facility must 
contain at least one functioning lavatory for a total of one or two 
occupants and an additional functional lavatory if there is a total of 
three or four occupants.
    (b) Water. Each lavatory must be provided with hot and cold potable 
running water. The water supplied to a lavatory must be from a potable 
water source supplied through a system maintained as required in Sec. 
228.323.
    (c) Soap. Unless otherwise provided by a collective bargaining 
agreement, hand soap or similar cleansing agents must be provided.
    (d) Means of drying. Unless otherwise provided by a collective 
bargaining agreement, individual hand towels, of cloth or paper, warm 
air blowers, or clean sections of continuous cloth toweling must be 
provided near the lavatories.



Sec. 228.321  Showering facilities.

    (a) Number. Each individual camp car that provides sleeping 
facilities must contain a minimum of one shower for a total of one or 
two occupants and an additional functional shower if the camp car 
contains a total of three or four occupants.
    (b) Floors. (1) Shower floors must be constructed of non-slippery 
materials;
    (2) Floor drains must be provided in all shower baths and shower 
rooms to remove waste water and facilitate cleaning;
    (3) All junctions of the curbing and the floor must be sealed; and
    (4) There shall be no fixed grate or other instrument on the shower 
floor significantly hindering the cleaning of the shower floor or drain.
    (c) Walls and partitions. The walls and partitions of a shower room 
must be smooth and impervious to the height of splash.
    (d) Water. An adequate supply of hot and cold running potable water 
must

[[Page 532]]

be provided for showering purposes. The water supplied to a shower must 
be from a potable water source supplied through a system maintained as 
required in Sec. 228.323.
    (e) Showering necessities. (1) Unless otherwise provided by a 
collective bargaining agreement, body soap or other appropriate 
cleansing agent convenient to the showers must be provided.
    (2) Showers must be provided with hot and cold water feeding a 
common discharge line.
    (3) Unless otherwise provided by a collective bargaining agreement, 
each occupant who uses a shower must be provided with an individual 
clean towel.



Sec. 228.323  Potable water.

    (a) General requirements. (1) Potable water shall be adequately and 
conveniently provided to all occupants of a camp car for drinking, 
personal oral hygiene, washing of person, cooking, washing of foods, 
washing of cooking or eating utensils, and washing of premises for food 
preparation or processing.
    (2) 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, are prohibited.
    (3) A common drinking cup and other common utensils are prohibited.
    (b) Potable water source. (1) If potable water is provided in 
bottled form, it shall be stored in a manner recommended by the supplier 
in order to prevent contamination in storage. Bottled water shall not be 
provided as a substitute for the hot and cold running potable water 
required to be supplied in lavatories, showers, and sinks under this 
section. Bottled water shall contain a label identifying the packager 
and the source of the water.
    (2) If potable water is drawn from a local source, the source must 
meet the drinking water standards established by the U.S. Environmental 
Protection Agency under 40 CFR part 141, National Primary Drinking Water 
Regulations.
    (3) All equipment and construction used for supplying potable water 
to a camp car water system (e.g., a hose, nozzle, or back-flow 
prevention) shall be approved by the Food and Drug Administration.
    (4) Water hydrants. Each water hydrant, hose, or nozzle used for 
supplying potable water to a camp car water system shall be inspected 
prior to use. Each such hose or nozzle used shall be cleaned and 
sanitized as part of the inspection. A signed, dated record of this 
inspection shall be kept within the camp for the period of the 
connection. When the connection is terminated, a copy of each of these 
records must be submitted promptly to a centralized location for the 
railroad and maintained for one year from the date the connection was 
terminated.
    (5) Training. Only a trained individual is permitted to fill the 
potable water systems. Each individual who fills a potable water system 
shall be trained in--
    (i) The approved method of inspecting, cleaning, and sanitizing 
hydrants, hoses, and nozzles used for filling potable water systems; and
    (ii) The approved procedures to prevent contamination during 
watering.
    (6) Certification. Each time that potable water is drawn from a 
different local source, the railroad shall obtain a certificate from a 
State or local health authority indicating that the water from this 
source is of a quality not less than that prescribed in 40 CFR part 141, 
National Primary Drinking Water Regulations promulgated by the U.S. 
Environmental Protection Agency, or obtain such a certificate by a 
certified laboratory following testing for compliance with those 
standards. The current certification shall be kept within the camp for 
the duration of the connection. When the connection is terminated, a 
copy of each of these records must be submitted promptly to a 
centralized location for the railroad and maintained for one year from 
the date the connection was terminated.
    (c) Storage and distribution system. (1) Storage. Potable water 
shall be stored in sanitary containers that prevent external 
contaminants from entering the potable water supply. Such contaminants 
include biological agents or materials and substances that can alter the 
taste or color or are toxic.
    (2) Dispensers. Potable drinking water dispensers shall be designed, 
constructed, and serviced so that sanitary

[[Page 533]]

conditions are maintained, must be capable of being closed, and shall be 
equipped with a tap.
    (3) Distribution lines. The distribution lines must be capable of 
supplying water at sufficient operating pressures to all taps for normal 
simultaneous operation.
    (4) Flushing. Each potable water system shall be drained and flushed 
with a disinfecting solution at least once every 120 days. The railroad 
shall maintain a record of the draining and flushing of each separate 
system within the camp for the last two drain and flush cycles. The 
record shall contain the date of the work and the name(s) of the 
individual(s) performing the work. The original record shall be 
maintained with the camp. A copy of each of these records shall be sent 
to a centralized location for the railroad and maintained for one year.
    (i) The solution used for flushing and disinfection shall be a 100 
parts per million by volume (ppm) chlorine solution.
    (ii) The chlorine solution shall be held for one hour in all parts 
of the system to ensure disinfection.
    (iii) The chlorine solution shall be purged from the system by a 
complete refilling and draining with fresh potable water.
    (iv) The draining and flushing shall be done more frequently if an 
occupant reports a taste or health problem associated with the water, or 
following any plumbing repair.
    (5) Reported problems. Following any report of a taste problem with 
the water from a system or a health problem resulting from the water in 
a system, samples of water from each tap or dispensing location on the 
system shall be collected and sent to a laboratory approved by the U.S. 
Environmental Protection Agency for testing for heterotrophic plate 
counts, total coliform, and fecal coliform. If a single sample fails any 
of these tests, the system must be treated as follows:
    (i) Heterotrophic plate count. Drain and flush the system within two 
days, and then return it to service.
    (ii) Total coliform. Remove the system from service, drain and flush 
system, resample the system, and then return the system to service.
    (iii) Fecal coliform. Remove the system from service, drain and 
flush the system, resample the system, and do not return the system to 
service until a satisfactory result on the test of the samples is 
obtained from the laboratory.
    (6) Reports. All laboratory reports pertaining to the water system 
of the camp car shall be maintained with the car. Within 15 days of the 
receipt of such a laboratory report, a copy of the report shall be 
posted for a minimum of 10 calendar days at a conspicuous location 
within the camp car or cars affected for review by occupants. The report 
shall be maintained in the camp for the duration of the same connection. 
When the connection is terminated, the certification must be submitted 
promptly to a centralized location for the railroad and maintained for 
one year from the date the connection was terminated.
    (d) Signage. Any water outlet/faucet within the camp car facility 
that supplies water not from a potable source or that is from a potable 
source but supplied through a system that is not maintained as required 
in this section, the outlet/faucet must be labeled with a sign, visible 
to the user and bearing a message to the following effect: ``The water 
is not suitable for human consumption. Do not drink the water.''



Sec. 228.325  Food service in a camp car or separate kitchen or dining
facility in a camp.

    (a) Sanitary storage. No food or beverage may be stored in a toilet 
room or in an area exposed to a toxic material.
    (b) Consumption of food or beverage on the premises. No occupant 
shall be allowed to consume a food or beverage in a toilet room or in 
any area exposed to a toxic material.
    (c) Kitchens, dining halls, and feeding facilities. (1) In each camp 
car where central dining operations are provided by the railroad or its 
contractor(s) or subcontractor(s), the food handling facilities shall be 
maintained in a clean and sanitary condition. See Sec. 228.323, Potable 
water, generally.
    (i) All surfaces used for food preparation shall be disinfected 
after each use.

[[Page 534]]

    (ii) The disinfection process shall include removal of chemical 
disinfectants that would adulterate foods prepared subsequent to 
disinfection.
    (2) All perishable food shall be stored either under refrigeration 
or in a freezer. Refrigeration and freezer facilities shall be provided 
with a means to monitor temperature to ensure proper temperatures are 
maintained. The temperature of refrigerators shall be maintained at 40  
F or below; the temperature of freezers shall be maintained at 0  F or 
below at all times.
    (3) All non-perishable food shall be stored to prevent vermin and 
insect infestation.
    (4) All food waste disposal containers shall be constructed to 
prevent vermin and insect infestation.
    (i) All food waste disposal containers used within a camp car shall 
be emptied after each meal, or at least every four hours, whichever 
period is less.
    (ii) All food waste disposal containers used outside a camp car 
shall be located to prevent offensive odors from entering the sleeping 
quarters.
    (iii) All kitchen area camp car sinks used for food washing and 
preparation and all kitchen area floor drains shall be connected to a 
public sewer where available and practicable, unless the car is equipped 
with a holding tank that is emptied in a sanitary manner. For kitchen 
area sinks and floor drains identified in this paragraph (c)(4)(iii) 
connected to a holding tank, the tank must be constructed in a manner 
that prevents vermin from entry into the tank or odors from escaping 
into any camp car.
    (iv) The sewage disposal method must not endanger the health of 
occupants.
    (5) When a separate kitchen or dining hall car is provided, there 
must be a closeable door between the living or sleeping quarters into a 
kitchen or dining hall car.
    (d) Food handling. (1) All food service facilities and operations 
for occupants of a camp car by the railroad or its contractor(s) or 
subcontractor(s) shall 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 must be wholesome, free from 
spoilage, and must be processed, prepared, handled, and stored in such a 
manner as to be protected against contamination. See Sec. 228.323, 
Potable water, generally.
    (2) No person with any disease communicable through contact with 
food or a food preparation item may be employed or permitted to work in 
the preparation, cooking, serving, or other handling of food, 
foodstuffs, or a material used therein, in a kitchen or dining facility 
operated in or in connection with a camp car.
    (e) The limitations of paragraphs (c) and (d) of this section do not 
apply to food service from restaurants near the camp car consist that 
are subject to State law.



Sec. 228.327  Waste collection and disposal.

    (a) General disposal requirements. All sweepings, solid or liquid 
wastes, refuse, and garbage in a camp must 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.
    (b) General waste receptacles. Any exterior receptacle used for 
putrescible solid or liquid waste or refuse in a camp shall be so 
constructed that it does not leak and may be thoroughly cleaned and 
maintained in a sanitary condition. Such a receptacle must 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.
    (c) Food 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, must be provided 
and used for the disposal of waste food. Receptacles must be provided 
with a solid, tight-fitting cover unless sanitary conditions can be 
maintained without use of a cover. The number, size, and location of 
such receptacles must encourage their use and not result in overfilling. 
They must be emptied regularly and

[[Page 535]]

maintained in a clean, safe, and sanitary condition.



Sec. 228.329  Housekeeping.

    (a) A camp car must be kept clean to the extent allowed by the 
nature of the work performed by the occupants of the camp car.
    (b) To facilitate cleaning, every floor, working place, and 
passageway must be kept free from protruding nails, splinters, loose 
boards, and unnecessary holes and openings.



Sec. 228.331  First aid and life safety.

    (a) An adequate first aid kit must be maintained and made available 
for occupants of a camp car for the emergency treatment of an injured 
person.
    (b) The contents of the first aid kit shall be placed in a 
weatherproof container with individual sealed packages for each type of 
item, and shall be checked at least weekly when the camp car is occupied 
to ensure that the expended items are replaced. The first aid kit shall 
contain, at a minimum, the following:
    (1) Two small gauze pads (at least 4 x 4 inches);
    (2) Two large gauze pads (at least 8 x 10 inches);
    (3) Two adhesive bandages;
    (4) Two triangular bandages;
    (5) One package of gauge roller bandage that is at least 2 inches 
wide;
    (6) Wound cleaning agent, such as sealed moistened towelettes;
    (7) One pair of scissors;
    (8) One set of tweezers;
    (9) One roll of adhesive tape;
    (10) Two pairs of latex gloves; and
    (11) One resuscitation mask.
    (c) Each sleeping room shall be equipped with the following:
    (1) A functional portable Type ABC fire extinguisher; and
    (2) Either a functional smoke alarm and a carbon monoxide alarm, or 
a functional combined smoke-carbon-monoxide alarm.
    (d) Each camp car consist shall have an emergency preparedness plan 
prominently displayed so all occupants of the camp car consist can view 
it at their convenience. The plan shall address the following subjects 
for each location where the camp car consist is used to house railroad 
employees or MOW workers:
    (1) The means used to be aware of and notify all occupants of 
impending weather threats, including thunderstorms, tornados, 
hurricanes, floods, and other major weather-related risks;
    (2) Shelter-in-place and emergency and evacuation instructions for 
each of the specific threats identified; and
    (3) The address and telephone number of the nearest emergency 
medical facility and directions on how to get there from the camp car 
consist.



Sec. 228.333  Remedial action.

    A railroad shall, within 24 hours after receiving a good faith 
notice from a camp car occupant or an employee labor organization 
representing camp car occupants or notice from a Federal Railroad 
Administration inspector, including a certified State inspector under 
part 212 of this chapter, of noncompliance with this subpart, correct 
each non-complying condition on the camp car or cease use of the camp 
car as sleeping quarters for each occupant. In the event that such a 
condition affects the safety or health of an occupant, such as, but not 
limited to, water, cooling, heating, or eating facilities, sanitation 
issues related to food storage, food handling or sewage disposal, vermin 
or pest infestation, or electrical hazards, the railroad must 
immediately upon notice provide alternative arrangements for housing and 
providing food to the employee or MOW worker until the condition adverse 
to the safety or health of the occupant(s) is corrected.



Sec. 228.335  Electronic recordkeeping.

    (a) Each railroad shall keep records as required by Sec. 228.323 
either--
    (1) On paper forms provided by the railroad, or
    (2) By electronic means that conform with the requirements of 
subpart D of this part.
    (b) Records required to be kept shall be made available to the 
Federal Railroad Administration as provided by 49 U.S.C. 20107.

[[Page 536]]



Subpart F_Substantive Hours of Service Requirements for Train Employees 
     Engaged in Commuter or Intercity Rail Passenger Transportation

    Source: 76 FR 50397, Aug. 12, 2011, unless otherwise noted.



Sec. 228.401  Applicability.

    (a) Except as provided in paragraph (b) of this section, the 
requirements of this subpart apply to railroads and their officers and 
agents, with respect to their train employees who are engaged in 
commuter or intercity rail passenger transportation, including train 
employees who are engaged in tourist, scenic, historic, or excursion 
rail passenger transportation.
    (b) This subpart does not apply to rapid transit operations in an 
urban area that are not connected with the general railroad system of 
transportation.



Sec. 228.403  Nonapplication, exemption, and definitions.

    (a) General. This subpart does not apply to a situation involving 
any of the following:
    (1) A casualty;
    (2) An unavoidable accident;
    (3) An act of God; or
    (4) A delay resulting from a cause unknown and unforeseeable to a 
railroad or its officer or agent in charge of the employee when the 
employee left a terminal.
    (b) Exemption. The Administrator may exempt a railroad having not 
more than a total of 15 train employees, signal employees, and 
dispatching service employees from the limitations imposed by this 
subpart on the railroad's train employees who are engaged in commuter or 
intercity rail passenger transportation. The Administrator may allow the 
exemption from this subpart after a full hearing, for good cause shown, 
and on deciding that the exemption is in the public interest and will 
not affect safety adversely. The exemption shall be for a specific 
period of time and is subject to review at least annually. The exemption 
may not authorize a railroad to require or allow its train employees to 
be on duty more than a total of 16 hours in a 24-hour period.
    (c) Definitions. In this subpart--
    Commuter or intercity rail passenger transportation has the meaning 
assigned by section 24102 of title 49, United States Code, to the terms 
``commuter rail passenger transportation'' or ``intercity rail passenger 
transportation.''
    Train employee who is engaged in commuter or intercity rail 
passenger transportation includes a train employee who is engaged in 
commuter or intercity rail passenger transportation regardless of the 
nature of the entity by whom the employee is employed and any other 
train employee who is employed by a commuter railroad or an intercity 
passenger railroad. The term excludes a train employee of another type 
of railroad who is engaged in work train service even though that work 
train service might be related to providing commuter or intercity rail 
passenger transportation, and a train employee of another type of 
railroad who serves as a pilot on a train operated by a commuter 
railroad or intercity passenger railroad.



Sec. 228.405  Limitations on duty hours of train employees engaged 
in commuter or intercity rail passenger transportation.

    (a) General. Except as provided in paragraph (c) of this section, a 
railroad and its officers and agents may not require or allow a train 
employee engaged in commuter or intercity rail passenger transportation 
to remain or go on duty--
    (1) Unless that employee has had at least 8 consecutive hours off 
duty during the prior 24 hours; or
    (2) After that employee has been on duty for 12 consecutive hours, 
until that employee has had at least 10 consecutive hours off duty; or
    (3) In a series of at most 14 consecutive calendar days, in excess 
of the following limitations:
    (i) That employee's first series of at most 14 consecutive calendar 
days begins on the first calendar day that the employee initiates an on-
duty period on or after the compliance date for this paragraph (a)(3), 
as specified in

[[Page 537]]

Sec. 228.413. A series of at most 14 consecutive calendar days either 
ends on the 14th consecutive day or may last for less than 14 days if an 
employee has accumulated a total of two calendar days on which the 
employee has not initiated an on-duty period before the beginning of the 
14th day of the series. After the employee has accumulated a total of 
two calendar days on which the employee has not initiated an on-duty 
period, including at least 24 consecutive hours off duty as required by 
paragraph (a)(3)(ii) or two consecutive calendar days without initiating 
an on-duty period as required by paragraph (a)(3)(iii) of this section, 
during the employee's current series of at most 14 consecutive calendar 
days, a new series of at most 14 consecutive calendar days begins on the 
calendar day in which the employee next initiates an on-duty period. 
Only calendar days after the starting date of a series are counted 
toward the accumulation of a total of two calendar days on which the 
employee did not initiate an on-duty period. A calendar day on which an 
on-duty period was not initiated that occurred prior to the start of the 
new series, does not count toward refreshing the new series.
    (ii) If the employee initiates an on-duty period each day on any six 
or more consecutive calendar days during the series of at most 14 
consecutive calendar days, and at least one of the on-duty periods is 
defined as a Type 2 assignment, that employee must have at least 24 
consecutive hours off duty prior to next initiating an on-duty period, 
except as provided in paragraph (a)(3)(v) of this section.
    (iii) If the employee has initiated an on-duty period each day on 13 
or more calendar days in the series of at most 14 consecutive calendar 
days, that employee must have at least two consecutive calendar days on 
which the employee does not initiate an on-duty period prior to next 
initiating an on-duty period, except as provided in paragraph (a)(3)(v) 
of this section.
    (iv) The minimum time off duty required by paragraph (a)(3)(ii) of 
this section and the at least two consecutive calendar days in which the 
employee does not initiate an on-duty period required by paragraph 
(a)(3)(iii) of this section must be at the employee's home terminal, and 
during such periods, the employee shall be unavailable for any service 
for any railroad.
    (v) Paragraphs (a)(3)(ii)-(iii) of this section notwithstanding, if 
the employee is not at the employee's home terminal when time off duty 
is required by paragraph (a)(3)(ii) of this section or calendar days in 
which the employee does not initiate an on-duty period are required by 
paragraph (a)(3)(iii) of this section, the employee may either deadhead 
to the point of final release at the employee's home terminal or 
initiate an on-duty period in order to return to the employee's home 
terminal either on the same calendar day or the next consecutive 
calendar day after the completion of the duty tour triggering the 
requirements of paragraph (a)(3)(ii) or paragraph (a)(3)(iii) of this 
section.
    (vi) If the employee is required to have at least 24 consecutive 
hours off duty under paragraph (a)(3)(ii) of this section and not to 
initiate an on-duty period for at least two consecutive calendar days 
under paragraph (a)(3)(iii) of this section, both requirements shall be 
observed. The required periods run concurrently, to the extent that they 
overlap.
    (b) Determining time on duty. In determining under paragraph (a) of 
this section the time that a train employee subject to this subpart is 
on or off duty, the following rules apply:
    (1) Time on duty begins when the employee reports for duty and ends 
when the employee is finally released from duty;
    (2) Time the employee is engaged in or connected with the movement 
of a train is time on duty;
    (3) Time spent performing any other service for the railroad during 
a 24-hour period in which the employee is engaged in or connected with 
the movement of a train is time on duty;
    (4) Time spent in deadhead transportation to a duty assignment is 
time on duty, but time spent in deadhead transportation from a duty 
assignment to the place of final release is neither time on duty nor 
time off duty;
    (5) An interim period available for rest at a place other than a 
designated terminal is time on duty;

[[Page 538]]

    (6) An interim period available for less than four hours rest at a 
designated terminal is time on duty; and
    (7) An interim period available for at least four hours rest at a 
place with suitable facilities for food and lodging is not time on duty 
when the employee is prevented from getting to the employee's designated 
terminal by any of the following:
    (i) A casualty;
    (ii) A track obstruction;
    (iii) An act of God; or
    (iv) A derailment or major equipment failure resulting from a cause 
that was unknown and unforeseeable to the railroad or its officer or 
agent in charge of that employee when that employee left the designated 
terminal.
    (c) Emergencies. A train employee subject to this subpart who is on 
the crew of a wreck or relief train may be allowed to remain or go on 
duty for not more than four additional hours in any period of 24 
consecutive hours when an emergency exists and the work of the crew is 
related to the emergency. In this paragraph, an emergency ends when the 
track is cleared and the railroad line is open for traffic.



Sec. 228.407  Analysis of work schedules; submissions; FRA review
and approval of submissions; fatigue mitigation plans.

    (a) Analysis of work schedules. Each railroad subject to this 
subpart must perform an analysis of one cycle of the work schedules (the 
period within which the work schedule repeats) of its train employees 
engaged in commuter or intercity rail passenger transportation and 
identify those work schedules intended to be assigned to its train 
employees, that, if worked by such a train employee, put the train 
employee at risk for a level of fatigue at which safety may be 
compromised. Schedules identified in paragraph (g) of this section do 
not have to be analyzed. A level of fatigue at which safety may be 
compromised, hereafter called ``the fatigue threshold,'' shall be 
determined by procedures that use a scientifically valid, 
biomathematical model of human performance and fatigue that has been 
approved by the Associate Administrator pursuant to paragraph (c)(1) of 
this section, or previously accepted pursuant to paragraph (c)(2) of 
this section. Each work schedule that violates the fatigue threshold 
must be--
    (1) Reported to the Associate Administrator as provided in paragraph 
(b) of this section, no later than April 12, 2012;
    (2) Either--
    (i) Mitigated by action in compliance with the railroad's fatigue 
mitigation plan that has been approved by the Associate Administrator as 
specified in paragraph (b) of this section, no later than April 12, 
2012; or
    (ii) Supported by a determination that the schedule is operationally 
necessary, and that the fatigue risk cannot be sufficiently mitigated by 
the use of fatigue mitigation tools to reduce the risk for fatigue to a 
level that does not violate the fatigue threshold, no later than April 
12, 2012; or
    (iii) Both, no later than April 12, 2012; and
    (3) Approved by FRA for use in accordance with paragraph (b) of this 
section.
    (b) Submissions of certain work schedules and any fatigue mitigation 
plans and determinations of operational necessity or declarations; FRA 
review and approval. (1) No later than April 12, 2012, the railroad 
shall submit for approval to the Associate Administrator the work 
schedules described in paragraph (b)(1)(i) and (ii) of this section. The 
railroad shall identify and group the work schedules as follows:
    (i) Work schedules that the railroad has found, using a validated 
model (as specified in paragraph (c)(1) of this section or approved by 
FRA in accordance with paragraph (c)(2) of this section) to present a 
risk for a level of fatigue that violates the applicable fatigue 
threshold, but that the railroad has determined can be mitigated by the 
use of fatigue mitigation tools so as to present a risk for a level of 
fatigue that does not violate the applicable fatigue threshold. The 
fatigue mitigation tools that will be used to mitigate the fatigue risk 
presented by the schedule must also be submitted.
    (ii) Work schedules that the railroad has found, using a validated 
model (as specified in paragraph (c)(1) of this section or approved by 
FRA in accordance with paragraph (c)(2) of this section),

[[Page 539]]

to present a risk for a level of fatigue that violates the applicable 
fatigue threshold, but that the railroad has determined cannot be 
mitigated so as to present a risk for a level of fatigue that does not 
violate the applicable fatigue threshold by the use of fatigue 
mitigation tools, and that the railroad has determined are operationally 
necessary. The basis for the determination must also be submitted.
    (2) If a railroad performs the analysis of its schedules required by 
paragraph (a) of this section, and determines that none of them violates 
the applicable fatigue threshold, and therefore none of them presents a 
risk for fatigue that requires it to be submitted to the Associate 
Administrator pursuant to this paragraph, that railroad shall, no later 
than April 12, 2012, submit to the Associate Administrator a written 
declaration, signed by an officer of the railroad, that the railroad has 
performed the required analysis and determined that it has no schedule 
that is required to be submitted.
    (3) FRA will review submitted work schedules, proposed fatigue 
mitigation tools, and determinations of operational necessity. If FRA 
identifies any exceptions to the submitted information, the agency will 
notify the railroad within 120 days of receipt of the railroad's 
submission. Railroads are required to correct any deficiencies 
identified by FRA within the time frame specified by FRA.
    (4) FRA will audit railroad work schedules and fatigue mitigation 
tools every two years to ensure compliance with this section.
    (c) Submission of models for FRA approval; validated models already 
accepted by FRA. (1) If a railroad subject to this subpart wishes to use 
a model of human performance and fatigue, not previously approved by 
FRA, for the purpose of making part or all of the analysis required by 
paragraph (a) or (d) of this section, the railroad shall submit the 
model and evidence in support of its scientific validation, for the 
approval of the Associate Administrator. Decisions of the Associate 
Administrator regarding the validity of a model are subject to review 
under Sec. 211.55 of this chapter.
    (2) A railroad may use a model that is already accepted by FRA. FRA 
has approved the Fatigue Avoidance Scheduling Tool \TM\ (FAST) issued on 
July 15, 2009, by Fatigue Science, Inc. (with a fatigue threshold for 
the purpose of this regulation less than or equal to 70 for 20 percent 
or more of the time worked in a duty tour), and Fatigue Audit InterDyne 
\TM\ (FAID) version 2, issued in September 2007 by InterDynamics Pty 
Ltd. (Australian Company Number (ACN) 057 037 635) (with a fatigue 
threshold for the purpose of this regulation greater than or equal to 72 
for 20 percent or more of the time worked in a duty tour) as 
scientifically valid, biomathematical models of human performance and 
fatigue for the purpose of making the analysis required by paragraph (a) 
or (d) of this section. Other versions of the models identified in this 
paragraph must be submitted to FRA for approval prior to use as provided 
by paragraph (c)(1) of this section.
    (3) If a new model is submitted to FRA for approval, pursuant to 
paragraph (c)(1) of this section, FRA will publish notice of the 
submission in the Federal Register, and will provide an opportunity for 
comment, prior to the Associate Administrator's making a final 
determination as to its disposition. If the Associate Administrator 
approves a new model as having been validated and calibrated, so that it 
can be used for schedule analysis in compliance with this regulation, 
FRA will also publish notice of this determination in the Federal 
Register.
    (d) Analysis of certain later changes in work schedules. (1) 
Additional follow-up analysis must be performed each time that the 
railroad changes one of its work schedules in a manner--
    (i) That would differ from the FRA-approved parameters for hours of 
duty of any work schedule previously analyzed pursuant to paragraph (a) 
of this section; or
    (ii) That would alter the work schedule to the extent that train 
employees who work the schedule may be at risk of experiencing a level 
of fatigue that violates the FRA-approved fatigue threshold established 
by paragraph (a) of this section.

[[Page 540]]

    (2) Such additional follow-up analysis must be submitted for FRA 
approval as provided under paragraph (b) of this section, as soon as 
practicable, prior to the use of the new schedule for an employee 
subject to this subpart. FRA approval is not necessary before a new 
schedule may be used; however, a schedule that has been disapproved by 
FRA may not be used.
    (3) FRA will review submitted revised work schedules, and any 
accompanying fatigue mitigation tools, and determinations of operational 
necessity. If FRA identifies any exceptions to the submitted 
information, the agency will notify the railroad as soon as possible. 
Railroads are required to correct any deficiencies identified by FRA 
within the time frame specified by FRA.
    (e) Fatigue mitigation plans. A written plan must be developed and 
adopted by the railroad to mitigate the potential for fatigue for any 
work schedule identified through the analysis required by paragraph (a) 
or (d) of this section as at risk, including potential fatigue caused by 
unscheduled work assignments. Compliance with the fatigue mitigation 
plan is mandatory. The railroad shall review and, if necessary, update 
the plan at least once every two years after adopting the plan.
    (f) Consultation. (1) Each railroad subject to this subpart shall 
consult with, employ good faith, and use its best efforts to reach 
agreement with, all of its directly affected employees, including any 
nonprofit employee labor organization representing a class or craft of 
directly affected employees of the railroad, on the following subjects:
    (i) The railroad's review of work schedules found to be at risk for 
a level of fatigue at which safety may be compromised (as described by 
paragraph (a) of this section;
    (ii) The railroad's selection of appropriate fatigue mitigation 
tools; and
    (iii) All submissions by the railroad to the Associate Administrator 
for approval that are required by this section.
    (2) For purposes of this section, the term ``directly affected 
employee'' means an employee to whom one of the work schedules applies 
or would apply if approved.
    (3) If the railroad and its directly affected employees, including 
any nonprofit employee labor organization representing a class or craft 
of directly affected employees of the railroad, cannot reach consensus 
on any area described in paragraph (f)(1) of this section, then directly 
affected employees and any such organization may file a statement with 
the Associate Administrator explaining their views on any issue on which 
consensus was not reached. The Associate Administrator shall consider 
such views during review and approval of items required by this section.
    (g) Schedules not requiring analysis. The types of schedules 
described in paragraphs (1) and (2) of this paragraph do not require the 
analysis described in paragraphs (a) or (d) of this section.
    (1) Schedules consisting solely of Type 1 assignments do not have to 
be analyzed.
    (2) Schedules containing Type 2 assignments do not have be analyzed 
if--
    (i) The Type 2 assignment is no longer in duration than, and fully 
contained within, the schedule of another Type 2 assignment that has 
already been determined to present an acceptable level of risk for 
fatigue that does not violate the fatigue threshold; and
    (ii) If the longer Type 2 schedule within which another Type 2 
schedule is contained requires mitigations to be applied in order to 
achieve an acceptable level of risk for fatigue that does not violate 
the fatigue threshold, the same or more effective mitigations must be 
applied to the shorter Type 2 schedule that is fully contained within 
the already acceptable Type 2 schedule.



Sec. 228.409  Requirements for railroad-provided employee sleeping
quarters during interim releases and other periods available for rest
within a duty tour.

    (a) If a railroad subject to this subpart provides sleeping quarters 
for the use of a train employee subject to this subpart during interim 
periods of release as a method of mitigating fatigue identified by the 
analysis of work schedules required by Sec. 228.407(a) and (d), such 
sleeping quarters must be ``clean, safe, and sanitary,'' and give the 
employee ``an opportunity for rest free from the interruptions caused by

[[Page 541]]

noise under the control of the'' railroad within the meaning of section 
21106(a)(1) of title 49 of the United States Code.
    (b) Any sleeping quarters provided by a railroad that are proposed 
as a fatigue mitigation tool pursuant to Sec. 228.407(b)(1)(i), are 
subject to the requirements of Sec. 228.407(f), Consultation.



Sec. 228.411  Training.

    (a) Individuals to be trained. Except as provided by paragraph (f) 
of this section, each railroad subject to this subpart shall provide 
training for its employees subject to this subpart, and the immediate 
supervisors of its employees subject to this subpart.
    (b) Subjects to be covered. The training shall provide, at a 
minimum, information on the following subjects that is based on the most 
current available scientific and medical research literature:
    (1) Physiological and human factors that affect fatigue, as well as 
strategies to reduce or mitigate the effects of fatigue;
    (2) Opportunities for identification, diagnosis, and treatment of 
any medical condition that may affect alertness or fatigue, including 
sleep disorders;
    (3) Alertness strategies, such as policies on napping, to address 
acute drowsiness and fatigue while an employee is on duty;
    (4) Opportunities to obtain restful sleep at lodging facilities, 
including employee sleeping quarters provided by the railroad; and
    (5) The effects of abrupt changes in rest cycles for employees.
    (c) Timing of initial training. Initial training shall be provided 
to affected current employees not later than December 31, 2012, and to 
new employees subject to this subpart before the employee first works a 
schedule subject to analysis under this subpart, or not later than 
December 31, 2012, whichever occurs later.
    (d) Timing of refresher training. (1) At a minimum, refresher 
training shall be provided every three calendar years.
    (2) Additional refresher training shall also be provided when 
significant changes are made to the railroad's fatigue mitigation plan 
or to the available fatigue mitigation tools applied to an employee's 
assignment or assignments at the location where he or she works.
    (e) Records of training. A railroad shall maintain a record of each 
employee provided training in compliance with this section and shall 
retain these records for three years.
    (f) Conditional exclusion. A railroad engaged in tourist, scenic, 
historic, or excursion rail passenger transportation, may be excluded 
from the requirements of this section, if its train employees subject to 
this rule are assigned to work only schedules wholly within the hours of 
4 a.m. and 8 p.m. on the same calendar day that comply with the 
provisions of Sec. 228.405, upon that railroad's submission to the 
Associate Administrator of a written declaration, signed by an officer 
of the railroad, indicating that the railroad meets the limitations 
established in this paragraph.



Sec. 228.413  Compliance date for regulations; exemption from 
compliance with statute.

    (a) General. Except as provided by paragraph (d) of this section or 
as provided in Sec. 228.411, on and after April 12, 2012, railroads 
subject to this subpart shall comply with this subpart and Sec. Sec. 
228.11(c)(1)-(2) and 228.19(c)(5)-(c)(8) with respect to their train 
employees who are engaged in commuter or intercity rail passenger 
transportation.
    (b) Exemption from compliance with statute. On and after October 15, 
2011, railroads subject to this subpart or any provision of this subpart 
shall be exempt from complying with the provisions of old section 21103 
and new section 21103 for such employees.
    (c) Definitions. In this section--
    (1) The term ``new section 21103'' means section 21103 of title 49, 
United States Code, as amended by the Rail Safety Improvement Act of 
2008 (RSIA) effective July 16, 2009.
    (2) The term ``old section 21103'' means section 21103 of title 49, 
United States Code, as it was in effect on the day before the enactment 
of the RSIA.
    (d) Exceptions. (1) On and after October 15, 2011, railroads subject 
to this subpart shall comply with Sec. Sec. 228.401,

[[Page 542]]

228.403, 228.405(a)(1), (a)(2), (b), and (c), and 228.409(a).
    (2) Railroads engaged in tourist, scenic, historic, or excursion 
rail passenger transportation, subject to this subpart, must comply with 
the sections listed in paragraph (d)(1) of this section on and after 
October 15, 2011, but are not required to comply with the other 
provisions of this subpart and Sec. Sec. 228.11(c)(1)-(2) and 
228.19(c)(5)-(c)(8) until April 12, 2013.



 Sec. 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.
    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

[[Page 543]]

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 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

[[Page 544]]

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 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.

[[Page 545]]

    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).
    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 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. According to the same law, in 2004, the minimum 
penalty of $500 was raised to $550, and the maximum penalty for a 
grossly negligent violation or a pattern of repeated violations that has 
caused an imminent hazard of death or injury to individuals or has 
caused death or injury, was increased from $22,000 to $27,000. The 
$11,000 maximum penalty was not adjusted. Effective October 9, 2007, the 
ordinary maximum penalty of $11,000 was raised to $16,000 as required 
under law. Effective March 2, 2009, the minimum penalty, ordinary 
maximum penalty and aggravated maximum penalty were raised again. The 
minimum penalty was increased from $550 to $650 pursuant to the law's 
requirement. Meanwhile, the ordinary maximum penalty was increased from 
$16,000 to $25,000 and the aggravated maximum was increased from $27,000 
to $100,000 in accordance with the authority provided under the Rail 
Safety Improvement Act of 2008. Meanwhile, the ordinary maximum penalty 
was increased from $16,000 to $25,000 and the aggravated maximum was 
increased from $27,000 to $100,000 in accordance with the authority 
provided under the Rail Safety Improvement Act of 2008. See sec. 302, 
Div. A, Public Law 110-432, 122 Stat. 4848, 4878, Oct. 16, 2008; 49 
U.S.C. 21301-21303. Effective June 25, 2012, the aggravated maximum 
penalty was raised from $100,000 to $105,000 pursuant to the Federal 
Civil Penalties Inflation Adjustment Act of 1990. Public Law 101-410, 
104 Stat. 890, 28 U.S.C. 2461, note, as amended by Sec. 31001(s)(1) of 
the Debt Collection Improvement Act of 1996, Public Law 104-134, 110 
Stat. 1321-373, Apr. 16, 1996. Pursuant to the Federal Civil Penalties 
Inflation Adjustment Act Improvements Act of 2015, effective August 1, 
2016, the minimum penalty was raised

[[Page 546]]

from $650 to $839, the ordinary maximum penalty was raised from $25,000 
to $27,455, and the aggravated maximum penalty was raised from $105,000 
to $109,819. See Public Law 114-74, Sec. 701, November 2, 2015.
    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; 69 FR 
30594, May 28, 2004; 72 FR 51197, Sept. 6, 2007; 73 FR 79703, Dec. 30, 
2008; 76 FR 67092, Oct. 31, 2011; 77 FR 24421, Apr. 24, 2012; 81 FR 
43111, July 1, 2016]



      Sec. Appendix B to Part 228--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
Subpart B--Records and Reporting:
    228.9 Railroad records....................       $1,000       $2,000
    228.11 Hours of duty records..............        1,000        2,000
    228.17 Dispatcher's record................        1,000        2,000
    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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[53 FR 52931, Dec. 29, 1988, as amended at 69 FR 30594, May 28, 2004; 73 
FR 79703, Dec. 30, 2008; 77 FR 24421, Apr. 24, 2012; 81 FR 43111, July 
1, 2016]



                 Sec. Appendix C to Part 228 [Reserved]



    Sec. Appendix D to Part 228--Guidance on Fatigue Management Plans

    (a) Railroads subject to subpart F of this part, Substantive Hours 
of Service Requirements for Train Employees Engaged in Commuter or 
Intercity Rail Passenger Transportation, may wish to consider adopting a 
written fatigue management plan that is designed to reduce the fatigue 
experienced by their train employees subject to that subpart and to 
reduce the likelihood of accidents, incidents, injuries, and fatalities 
caused by the fatigue of these employees. If a railroad is required to 
have a fatigue mitigation plan under Sec. 228.407 (containing the 
fatigue mitigation tools that the railroad has determined will mitigate 
the risk posed by a particular work schedule for a level of fatigue at 
or above the fatigue threshold), then the railroad's fatigue management 
plan could include the railroad's written fatigue mitigation plan, 
designated as such to distinguish it from the part of the plan that is 
optional, or could be a separate document. As provided in Sec. 
228.407(a)(2) and (e), compliance with the fatigue mitigation plan 
itself is mandatory.
    (b) A good fatigue management plan contains targeted fatigue 
countermeasures for the particular railroad. In other words, the plan 
takes into account varying circumstances of operations by the railroad 
on different parts of its system, and should prescribe appropriate 
fatigue countermeasures to address those varying circumstances. In 
addition, the plan addresses each of the following items, as applicable:
    (1) Employee education and training on the physiological and human 
factors that affect fatigue, as well as strategies to reduce or mitigate 
the effects of fatigue, based on the most current scientific and medical 
research and literature;
    (2) Opportunities for identification, diagnosis, and treatment of 
any medical condition that may affect alertness or fatigue, including 
sleep disorders;

[[Page 547]]

    (3) Effects on employee fatigue of an employee's short-term or 
sustained response to emergency situations, such as derailments and 
natural disasters, or engagement in other intensive working conditions;
    (4) Scheduling practices for employees, including innovative 
scheduling practices, on-duty call practices, work and rest cycles, 
increased consecutive days off for employees, changes in shift patterns, 
appropriate scheduling practices for varying types of work, and other 
aspects of employee scheduling that would reduce employee fatigue and 
cumulative sleep loss;
    (5) Methods to minimize accidents and incidents that occur as a 
result of working at times when scientific and medical research has 
shown that increased fatigue disrupts employees' circadian rhythm;
    (6) Alertness strategies, such as policies on napping, to address 
acute drowsiness and fatigue while an employee is on duty;
    (7) Opportunities to obtain restful sleep at lodging facilities, 
including employee sleeping quarters provided by the railroad;
    (8) The increase of the number of consecutive hours of off-duty 
rest, during which an employee receives no communication from the 
employing railroad or its managers, supervisors, officers, or agents; 
and
    (9) Avoidance of abrupt changes in rest cycles for employees.
    (c) Finally, if a railroad chooses to adopt a fatigue management 
plan, FRA suggests that the railroad review the plan and update it 
periodically as the railroad sees fit if changes are warranted.

[76 FR 50400, Aug. 12, 2011]



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 and penalties.
229.9 Movement of non-complying locomotives.
229.11 Locomotive identification.
229.13 Control of locomotives.
229.14 Non-MU control cab locomotives.
229.15 Remote control locomotives.
229.17 Accident reports.
229.19 Prior waivers.
229.20 Electronic recordkeeping.

                     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 Air brake system calibration, maintenance, and testing.
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 High voltage markings: doors, cover plates, or barriers.
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.
229.114 Steam generator inspections and tests.

[[Page 548]]

                         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 Locomotive horn.
229.131 Sanders.
229.133 Interim locomotive conspicuity measures--auxiliary external 
          lights.
229.135 Event recorders.
229.137 Sanitation, general requirements.
229.139 Sanitation, servicing requirements.
229.140 Alerters.
229.141 Body structure, MU locomotives.

        Subpart D_Locomotive Crashworthiness Design Requirements

229.201 Purpose and scope.
229.203 Applicability.
229.205 General requirements.
229.206 Design requirements.
229.207 New locomotive crashworthiness design standards and changes to 
          existing FRA-approved locomotive crashworthiness design 
          standards.
229.209 Alternative locomotive crashworthiness designs.
229.211 Processing of petitions.
229.213 Locomotive manufacturing information.
229.215 Retention and inspection of designs.
229.217 Fuel tank.

                    Subpart E_Locomotive Electronics

229.301 Purpose and scope.
229.303 Applicability.
229.305 Definitions.
229.307 Safety analysis.
229.309 Safety-critical changes and failures.
229.311 Review of SAs.
229.313 Product testing results and records.
229.315 Operations and maintenance manual.
229.317 Training and qualification program.
229.319 Operating Personnel Training.

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]
Appendix D to Part 229--Criteria for Certification of Crashworthy Event 
          Recorder Memory Module
Appendix E to Part 229--Performance Criteria for Locomotive 
          Crashworthiness
Appendix F to Part 229--Recommended Practices for Design and Safety 
          Analysis
Appendix G to Part 229 [Reserved]
Appendix H to Part 229--Static Noise Test Protocols--In-Cab Static

    Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-02, 21301, 
21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    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 Sec. Sec. 238.203 through 238.219, and Sec. 238.223 of 
this chapter by operation of Sec. 238.201(a)(2) of this chapter.
    (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 Sec. Sec. 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]

[[Page 549]]



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: Sec. Sec. 229.9, 229.17, 229.21, 229.23, 229.25, 
229.27, 229.29, 229.31, 229.33, 229.55, 229.103, 229.105, 229.113, 
229.121, 229.135, and appendix H to part 229.

[50 FR 6953, Feb. 19, 1985, as amended at 58 FR 36613, July 8, 1993; 71 
FR 63136, Oct. 27, 2006]



Sec. 229.5  Definitions.

    As used in this part--
    AAR means the Association of American Railroads.
    Acceptable quality level (AQL). The AQL is expressed in terms of 
percent defective or defects per 100 units. Lots having a quality level 
equal to a specified AQL will be accepted approximately 95 percent of 
the time when using the sampling plans prescribed for that AQL.
    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-climbers means the parts at the ends of adjoining rail vehicles 
in a train that are designed to engage when subjected to large buff 
loads to prevent the override of one vehicle by another.
    Assignment address means a unique identifier of the RCL that insures 
that only the OCU's linked to a specific RCL can command that RCL.
    Associate Administrator for Safety means the Associate Administrator 
for Safety, Federal Railroad Administration, or that person's delegate 
as designated in writing.
    Break means a fracture resulting in complete separation into parts.
    Build date means the date on which the completed locomotive is 
shipped by the manufacturer or remanufacturer to the customer, or if the 
railroad manufactures or remanufactures the locomotive itself, the date 
on which the locomotive is released from the manufacture or 
remanufacture facility.
    Cab means that portion of the superstructure designed to be occupied 
by the crew operating the locomotive.
    Carrier means railroad, as that term is in this section.
    Collision posts means structural members of the end structures of a 
rail 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.
    Controlling locomotive means a locomotive from where the operator 
controls the traction and braking functions of the locomotive or 
locomotive consist, normally the lead locomotive.
    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.
    Commuter service means the type of railroad service described under 
the heading ``Commuter Operations'' in 49 CFR part 209, Appendix A.
    Commuter work train is a non-revenue service train used in the 
administration and upkeep service of a commuter railroad.
    Control cab locomotive means a locomotive without propelling motors 
but with one or more control stands.
    Controlling remote distributed power locomotive means the locomotive 
in a distributed power consist that receives the coded signal from the 
lead locomotive consist of the train whether commanded automatically by 
the distributed power system or manually by the locomotive engineer.

[[Page 550]]

    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.
    Cruise control means a device that controls locomotive power output 
to obtain a targeted speed. A device that functions only at or below 30 
miles per hour is NOT considered a ``cruise control'' for purposes of 
this part.
    Data element means one or more data point or value reflecting on-
board train operations at a particular time. Data may be actual or 
``passed through'' values or may be derived from a combination of values 
from other sources.
    dB(A) means the sound pressure level in decibels measured on the A-
weighted scale.
    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.
    Decibel (dB) means a unit of measurement of sound pressure levels.
    Defective means, for purposes of section 229.129 of this part, a 
locomotive equipped with an audible warning device that produces a 
maximum sound level in excess of 110 dB(A) and/or a minimum sound level 
below 96 dB(A), as measured 100 feet forward of the locomotive in the 
direction of travel.
    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 in a consist of locomotives except when moving for the 
purposes 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.''
    Design standard means a criterion adopted by an industry or 
voluntary consensus standards body, which addresses the design of a 
locomotive with respect to its crashworthiness and crashworthiness 
features.
    Distributed power system means a system that provides control of a 
number of locomotives dispersed throughout a train from a controlling 
locomotive located in the lead position. The system provides control of 
the rearward locomotives by command signals originating at the lead 
locomotive and transmitted to the remote (rearward) locomotives.
    DMU locomotive means a diesel-powered multiple unit operated 
locomotive with one or more propelling motors designed to carry 
passenger traffic.
    Excessive noise report means a report by a locomotive cab occupant 
that the locomotive is producing an unusual level of noise that 
significantly interferes with normal cab communications or that is a 
concern with respect to hearing conservation.
    Electronic air brake means a brake system controlled by a computer 
which provides the means for control of the locomotive brakes or train 
brakes or both.
    Event recorder means a device, designed to resist tampering, that 
monitors and records data, as detailed in Sec. 229.135(b), over the 
most recent 48 hours of operation of the electrical system of the 
locomotive on which the device is installed. However, a device, designed 
to resist tampering, that monitors and records the specified data only 
when the locomotive is in motion meets this definition if the device was 
installed prior to November 5, 1993 and if it records the specified data 
for the last eight hours the locomotive was in motion.
    Event recorder memory module means that portion of the event 
recorder used to retain the recorded data as detailed in Sec. 
229.135(b).
    FRA means the Federal Railroad Administration.
    Fuel tank, external means a fuel containment vessel that extends 
outside the car body structure of a locomotive.
    Fuel tank, internal means a fuel containment vessel that does not 
extend outside the car body structure of a locomotive.
    High voltage means an electrical potential of more than 150 volts.
    Initial terminal means a location where a train is originally 
assembled.

[[Page 551]]

    In-service event recorder means an event recorder that was 
successfully tested as prescribed in Sec. 229.27(d) 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.
    Lateral means the horizontal direction perpendicular to the 
direction of travel.
    Lead locomotive means the first locomotive proceeding in the 
direction of movement.
    Lite locomotive means a locomotive or a consist of locomotives not 
attached to any piece of equipment or attached only to a caboose.
    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.
    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 Control Unit (LCU) means a system onboard an RCL that 
communicates via a radio link which receives, processes, and confirms 
commands from the OCU, which directs the locomotive to execute them.
    Longitudinal means in a direction parallel to the normal direction 
of travel.
    Lot means a collection of locomotives, equipped with the same horn 
model, configuration, and location, and the same air pressure and 
delivery system, which has been manufactured or processed under 
essentially the same conditions.
    Mandatory directive means any movement authority or speed 
restriction that affects a railroad operation.
    Manufacture means the act of constructing a locomotive.
    Modesty lock means a latch that can be operated in the normal manner 
only from within the sanitary compartment, that is designed to prevent 
entry of another person when the sanitary compartment is in use. A 
modesty lock may be designed to allow deliberate forced entry in the 
event of an emergency.
    Monocoque design locomotive means a locomotive design where the 
shell or skin acts as a single unit with the supporting frame to resist 
and transmit the loads acting on the locomotive.
    MU locomotive means a multiple unit operated electric locomotive--
    (1) With one or more propelling motors designed to carry freight or 
passenger traffic or both; or
    (2) Without propelling motors but with one or more control stands 
and a means of picking-up primary power such as a pantograph or third 
rail.
    Narrow-nose locomotive means a locomotive with a short hood that 
spans substantially less than the full width of the locomotive.
    Occupied service means the operation of a locomotive when the cab is 
physically occupied by a person.
    Operator Control Unit (OCU) means a mobile unit that communicates 
via a radio link the commands for movement (direction, speed, braking) 
or for operations (bell, horn, sand) to an RCL.
    Other short-haul passenger service means the type of railroad 
service described under the heading ``Other short-haul passenger 
service'' in 49 CFR part 209, appendix A.
    Permanent deformation means the undergoing of a permanent change in 
shape of a structural member of a rail vehicle.
    Potable water means water that meets the requirements of 40 CFR part 
141, the Environmental Protection Agency's Primary Drinking Water 
Regulations, or water that has been approved for drinking and washing 
purposes by the pertinent state or local authority having jurisdiction. 
For purposes of this part, commercially available, bottled drinking 
water is deemed potable water.
    Powered axle is an axle equipped with a traction device.
    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.

[[Page 552]]

    Qualified mechanical inspector means a person who has received 
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 locomotive equipment 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 
locomotive equipment for which the person is assigned responsibility. 
Further, the qualified mechanical inspector shall be a person whose 
primary responsibility includes work generally consistent with the 
functions listed in this definition.
    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.
    Remanufacture means the act of constructing a remanufactured 
locomotive.
    Remanufactured locomotive means a locomotive rebuilt or refurbished 
from a previously used or refurbished underframe (``deck''), containing 
fewer than 25% previously used components (measured by dollar value of 
the components). For calculation purposes, the percentage of previously 
used components is determined with equivalent value of new parts and is 
calculated using dollar values from the same year as the new parts used 
to remanufacture the locomotive.
    Remote Control Locomotive (RCL) means a remote control locomotive 
that, through use of a radio link can be operated by a person not 
physically within the confines of the locomotive cab. For purposes of 
this part, the term RCL does not refer to a locomotive or group of 
locomotives remotely controlled from the lead locomotive of a train, as 
in a distributed power arrangement.
    Remote Control Operator (RCO) means a person who utilizes an OCU in 
connection with operations involving a RCL with or without cars.
    Remote Control Pullback Protection means a function of a RCL that 
enforces speeds and stops in the direction of pulling movement.
    Roof rail means the longitudinal structural member at the 
intersection of the side wall and the roof sheathing.
    Sand delivery system means a permanently stationed or fixed device 
designed to deliver sand to locomotive sand boxes that do not require 
the sand to be manually delivered or loaded. A sand delivery system will 
be considered permanently stationed if it is at a location at least five 
days a week for at least eight hours per day.
    Sanitary means lacking any condition in which any significant amount 
of filth, trash, or human waste is present in such a manner that a 
reasonable person would believe that the condition might constitute a 
health hazard; or of strong, persistent, chemical or human waste odors 
sufficient to deter use of the facility, or give rise to a reasonable 
concern with respect to exposure to hazardous fumes. Such conditions 
include, but are not limited to, a toilet bowl filled with human waste, 
soiled toilet paper, or other products used in the toilet compartment, 
that are present due to a defective toilet facility that will not flush 
or otherwise remove waste; visible human waste residue on the floor or 
toilet seat that is present due to a toilet that overflowed; an 
accumulation of soiled paper towels or soiled toilet paper on the floor, 
toilet facility, or sink; an accumulation of visible dirt or human waste 
on the floor, toilet facility, or sink; and strong, persistent chemical 
or human waste odors in the compartment.
    Sanitation compartment means an enclosed compartment on a railroad 
locomotive that contains a toilet facility for employee use.
    Self-monitoring event recorder means an event recorder that has the 
ability to monitor its own operation and to display an indication to the 
locomotive

[[Page 553]]

operator when any data required to be stored are not stored or when the 
stored data do not match the data received from sensors or data 
collection points.
    Semi-monocoque design locomotive means a locomotive design where the 
skin or shell acts, to some extent, as a single unit with the supporting 
frame to resist and transmit the loads acting on the locomotive.
    Semi-permanently coupled means coupled by means of a drawbar or 
other coupling mechanism that requires tools to perform the uncoupling 
operation.
    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 
confinement in a hospital for a period of more than 24 consecutive 
hours.
    Short hood means the part of the locomotive above the underframe 
located between the cab and the nearest end of the locomotive.
    Standards body means an industry and/or professional organization or 
association which conducts research and develops and/or issues policies, 
criteria, principles, and standards related to the rail industry.
    Switching service means the classification of railroad freight and 
passenger cars according to commodity or destination; assembling cars 
for train movements; changing the position of cars for purposes of 
loading, unloading, or weighing; placing locomotives and cars for repair 
or storage; or moving rail equipment in connection with work service 
that does not constitute a train movement.
    Throttle position means any and all of the discrete output positions 
indicating the speed/tractive effort characteristic requested by the 
operator of the locomotive on which the throttle is installed. Together, 
the discrete output positions shall cover the entire range of possible 
speed/tractive effort characteristics. If the throttle has continuously 
variable segments, the event recorder shall capture either:
    (1) The exact level of speed/tractive effort characteristic 
requested, on a scale of zero (0) to one hundred percent (100%) of the 
output variable or
    (2) A value converted from a percentage to a comparable 0 to 8 
digital signal.
    Tier II means operating at speeds exceeding 125 mph but not 
exceeding 150 mph.
    Time means either ``time-of-day'' or ``elapsed time'' (from an 
arbitrarily determined event) as determined by the manufacturer. In 
either case, the recorder must be able to convert to an accurate time-
of-day with the time zone stated unless it is Greenwich mean time (UTC).
    Toilet facility means a system that automatically or on command of 
the user removes human waste to a place where it is treated, eliminated, 
or retained such that no solid or non-treated liquid waste is thereafter 
permitted to be released into the bowl, urinal, or room and that 
prevents harmful discharges of gases or persistent offensive odors.
    Transfer service means a freight train that travels between a point 
of origin and a point of final destination not exceeding 20 miles and 
that is not performing switching service.
    Ultimate strength means the load at which a structural member 
fractures or ceases to resist any load.
    Unsanitary means having any condition in which any significant 
amount of filth, trash, or human waste is present in such a manner that 
a reasonable person would believe that the condition might constitute a 
health hazard; or strong, persistent, chemical or human waste odors 
sufficient to deter use of the facility, or give rise to a reasonable 
concern with respect to exposure to hazardous fumes. Such conditions 
include, but are not limited to, a toilet bowl filled with human waste, 
soiled toilet paper, or other products used in the toilet compartment, 
that are present due to a defective toilet facility that will not flush 
or otherwise remove waste; visible human waste residue on the floor or 
toilet seat that is present due to a toilet that overflowed; an 
accumulation of soiled paper towels or soiled toilet paper on the floor, 
toilet facility, or sink; an accumulation of visible dirt or human waste 
on the floor, toilet facility, or sink; and strong, persistent

[[Page 554]]

chemical or human waste odors in the compartment.
    Upper 99% confidence limit means the noise level below which 99% of 
all noise level measurements must lie.
    Washing system means a system for use by railroad employees to 
maintain personal cleanliness that includes a secured sink or basin, 
water, antibacterial soap, and paper towels; or antibacterial waterless 
soap and paper towels; or antibacterial moist towelettes and paper 
towels; or any other combination of suitable antibacterial cleansing 
agents.
    Wide-nose locomotive means a locomotive with a short hood that spans 
the full width of the locomotive.

[70 FR 37938, June 30, 2005, as amended at 71 FR 36911, June 28, 2006; 
71 FR 47666, Aug. 17, 2006; 71 FR 61857, Oct. 19, 2006; 71 FR 63136, 
Oct. 27, 2006; 72 FR 59223, Oct. 19, 2007; 77 FR 21342, Apr. 9, 2012]



Sec. 229.7  Prohibited acts and penalties.

    (a) Federal Rail Safety Laws (49 U.S.C. 20701-20703) make 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 (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 employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
of the Federal Rail Safety Laws or causes the violation of any such 
requirement is subject to a civil penalty of at least $839, but not more 
than $27,455 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 $109,819 per violation may be assessed. 
Each day a violation continues shall constitute a separate offense. 
Appendix B of this part contains a statement of agency civil penalty 
policy.
    (c) Any person who knowingly and willfully falsifies a record or 
report required by this part is subject to criminal penalties under 49 
U.S.C. 21311.

[77 FR 21342, Apr. 9, 2012, as amended at 77 FR 24421, Apr. 24, 2012; 81 
FR 43111, July 1, 2016]



Sec. 229.9  Movement of non-complying locomotives.

    (a) Except as provided in paragraphs (b), (c), Sec. 229.125(g), and 
Sec. 229.131(b) and (c)(1), 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 555]]

    (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.
    (g) Paragraphs (a), (b), and (c) of this section shall not apply to 
sanitation conditions covered by Sec. Sec. 229.137 and 229.139. 
Sections 229.137 and 229.139 set forth specific requirements for the 
movement and repair of locomotives with defective sanitation 
compartments.

[45 FR 21109, Mar. 31, 1980, as amended at 61 FR 8887, Mar. 6, 1996; 67 
FR 16050, Apr. 4, 2002; 72 FR 59223, Oct. 19, 2007]



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. 229.15  Remote control locomotives.

    (a) Design and operation. (1) Each locomotive equipped with a 
locomotive control unit (LCU) shall respond only to the operator control 
units (OCUs) assigned to that receiver.
    (2) If one or more OCUs are assigned to a LCU, the LCU shall respond 
only to the OCU that is in primary command. If a subsequent OCU is 
assigned to a LCU, the previous assignment will be automatically 
cancelled.
    (3) If more than one OCU is assigned to a LCU, the secondary OCUs' 
man down feature, bell, horn, and emergency brake application functions 
shall remain active. The remote control system shall be designed so that 
if the signal from the OCU to the RCL is interrupted for a set period 
not to exceed five seconds, the remote control system shall cause:
    (i) A full service application of the locomotive and train brakes; 
and
    (ii) The elimination of locomotive tractive effort.
    (4) Each OCU shall be designed to control only one RCL at a time. 
OCU's having the capability to control more

[[Page 556]]

than one RCL shall have a means to lock in one RCL ``assignment 
address'' to prevent simultaneous control over more than one locomotive.
    (5) If an OCU is equipped with an ``on'' and ``off'' switch, when 
the switch is moved from the ``on'' to the ``off'' position, the remote 
control system shall cause:
    (i) A full service application of the locomotive train brakes; and
    (ii) The elimination of locomotive tractive effort.
    (6) Each RCL shall have a distinct and unambiguous audible or visual 
warning device that indicates to nearby personnel that the locomotive is 
under active remote control operation.
    (7) When the main reservoir pressure drops below 90 psi while the 
RCL is moving, the RCL shall initiate a full service application of the 
locomotive and train brakes, and eliminate locomotive tractive effort.
    (8) When the air valves and the electrical selector switch on the 
RCL are moved from manual to remote control mode or from remote control 
to manual mode, an emergency application of the locomotive and train 
brakes shall be initiated.
    (9) Operating control handles located in the RCL cab shall be 
removed, pinned in place, protected electronically, or otherwise 
rendered inoperable as necessary to prevent movement caused by the RCL's 
cab controls while the RCL is being operated by remote control.
    (10) The RCL system (both the OCU and LCU), shall be designed to 
perform a self diagnostic test of the electronic components of the 
system. The system shall be designed to immediately effect a full 
service application of the locomotive and train brakes and the 
elimination of locomotive tractive effort in the event a failure is 
detected.
    (11) Each RCL shall be tagged at the locomotive control stand 
throttle indicating the locomotive is being used in a remote control 
mode. The tag shall be removed when the locomotive is placed back in 
manual mode.
    (12) Each OCU shall have the following controls and switches and 
shall be capable of performing the following functions:
    (i) Directional control;
    (ii) Throttle or speed control;
    (iii) Locomotive independent air brake application and release;
    (iv) Automatic train air brake application and release control;
    (v) Audible warning device control (horn);
    (vi) Audible bell control, if equipped;
    (vii) Sand control (unless automatic);
    (viii) Bi-directional headlight control;
    (ix) Emergency air brake application switch;
    (x) Generator field switch or equivalent to eliminate tractive 
effort to the locomotive;
    (xi) Audio/visual indication of wheel slip, only if an audio/visual 
indication is not provided by the RCL;
    (xii) Activate the audio indication of movement that is located on 
the RCL for a duration of at least 3 seconds; and
    (xiii) [Reserved]
    (xiv) Require at least two separate actions by the RCO to begin 
movement of the RCL.
    (13) Each OCU shall be equipped with the following features:
    (i) A harness with a breakaway safety feature;
    (ii) An operator alertness device that requires manual resetting or 
its equivalent. The alertness device shall incorporate a timing sequence 
not to exceed 60 seconds. Failure to reset the switch within the timing 
sequence shall cause a service application of the locomotive and train 
brakes, and the elimination of locomotive tractive effort; and,
    (iii) A tilt feature that, when tilted to a predetermined angle, 
shall cause:
    (A) An emergency application of the locomotive and train brakes, and 
the elimination of locomotive tractive effort; and
    (B) If the OCU is equipped with a tilt bypass system that permits 
the tilt protection feature to be temporarily disabled, this bypass 
feature shall deactivate within 60 seconds on the primary OCU and within 
60 seconds for all secondary OCUs, unless reactivated by the RCO.
    (14) Each OCU shall be equipped with one of the following control 
systems:
    (i) An automatic speed control system with a maximum 15 mph speed 
limiter; or

[[Page 557]]

    (ii) A graduated throttle and brake. A graduated throttle and brake 
control system built after September 6, 2012, shall be equipped with a 
speed limiter to a maximum of 15 mph.
    (15) RCL systems built after September 6, 2012, shall be equipped to 
automatically notify the railroad in the event the RCO becomes 
incapacitated or OCU tilt feature is activated.
    (16) RCL systems built prior to September 6, 2012, not equipped with 
automatic notification of operator incapacitated feature may not be 
utilized in one-person operation.
    (b) Inspection, testing, and repair. (1) Each time an OCU is linked 
to a RCL, and at the start of each shift, a railroad shall test:
    (i) The air brakes and the OCU's safety features, including the tilt 
switch and alerter device; and
    (ii) The man down/tilt feature automatic notification.
    (2) An OCU shall not continue in use with any defective safety 
feature identified in paragraph (b)(1) of this section.
    (3) A defective OCU shall be tracked under its own identification 
number assigned by the railroad. Records of repairs shall be maintained 
by the railroad and made available to FRA upon request.
    (4) Each time an RCL is placed in service and at the first practical 
time after the start of each shift, but no more than 2 hours after the 
start of that shift, locomotives that utilize a positive train stop 
system, such as remote control pullback protection, shall perform a 
conditioning run over a track that the positive train stop system is 
being utilized on to ensure that the system functions as intended.

[77 FR 21342, Apr. 9, 2012, as amended at 77 FR 75056, Dec. 19, 2012]



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, D.C. 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.

[79 FR 21636, Apr. 17, 2014]



Sec. 229.19  Prior waivers.

    Waivers from any requirement of this part, issued prior to June 8, 
2012, shall terminate on the date specified in the letter granting the 
waiver. If no date is specified, then the waiver shall automatically 
terminate on June 8, 2017.

[77 FR 21343, Apr. 9, 2012]



Sec. 229.20  Electronic recordkeeping.

    (a) For purposes of compliance with the recordkeeping requirements 
of this part, except for the daily inspection record maintained on the 
locomotive required by Sec. 229.21, the cab copy of Form FRA F 6180-49-
A required by Sec. 229.23, the fragmented air brake maintenance record 
required by Sec. 229.27, and records required under Sec. 229.9, a 
railroad may create, maintain, and transfer any of the records required 
by this part through electronic transmission, storage, and retrieval 
provided that all of the requirements contained in this section are met.
    (b) Design requirements. Any electronic record system used to 
create, maintain, or transfer a record required to be maintained by this 
part shall meet the following design requirements:

[[Page 558]]

    (1) The electronic record system shall be designed such 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 system shall ensure that each record cannot be 
modified, or replaced, once the record is transmitted;
    (3) Any amendment to a record shall be electronically stored apart 
from the record which it amends. Each amendment to a record shall 
uniquely identify the person making the amendment;
    (4) The electronic system shall provide for the maintenance of 
inspection records as originally submitted without corruption or loss of 
data; and
    (5) Policies and procedures shall be in place to prevent persons 
from altering electronic records, or otherwise interfering with the 
electronic system.
    (c) Operational requirements. Any electronic record system used to 
create, maintain, or transfer a record required to be maintained by this 
part shall meet the following operating requirements:
    (1) The electronic storage of any record required by this part shall 
be initiated by the person performing the activity to which the record 
pertains within 24 hours following the completion of the activity; and
    (2) For each locomotive for which records of inspection or 
maintenance required by this part are maintained electronically, the 
electronic record system shall automatically notify the railroad each 
time the locomotive is due for an inspection, or maintenance that the 
electronic system is tracking. The automatic notification tracking 
requirement does not apply to daily inspections.
    (d) Accessibility and availability requirements. Any electronic 
record system used to create, maintain, or transfer a record required to 
be maintained by this part shall meet the following access and 
availability requirements:
    (1) Except as provided in Sec. 229.313(c)(2), the carrier shall 
provide FRA with all electronic records maintained for compliance with 
this part for any specific locomotives at any mechanical department 
terminal upon request;
    (2) Paper copies of electronic records and amendments to those 
records that may be necessary to document compliance with this part, 
shall be provided to FRA for inspection and copying upon request. Paper 
copies shall be provided to FRA no later than 15 days from the date the 
request is made; and,
    (3) Inspection records required by this part shall be available to 
persons who performed the inspection and to persons performing 
subsequent inspections on the same locomotive.

[77 FR 21343, Apr. 9, 2012, as amended at 77 FR 75056, Dec. 19, 2012]



                     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. Sec. 229.9, 229.137, and 
229.139, any conditions that constitute non-compliance with any 
requirement of this part shall be repaired before the locomotive is 
used. Except with respect to conditions that do not comply with Sec. 
229.137 or Sec. 229.139, a notation shall be made on the report 
indicating the nature of the repairs that have been made. Repairs made 
for conditions that do not comply with Sec. 229.137 or Sec. 229.139 
may be noted on the report, or in electronic form. 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

[[Page 559]]

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. Sec. 229.9, 229.137, and 229.139, any conditions that constitute 
non-compliance with any requirement of this part shall be repaired 
before the locomotive is used. Except with respect to conditions that do 
not comply with Sec. 229.137 or Sec. 229.139, a notation shall be made 
on the report indicating the nature of the repairs that have been made. 
Repairs made for conditions that do not comply with Sec. 229.137 or 
Sec. 229.139 may be noted on the report, or in electronic form. 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; 67 
FR 16050, Apr. 4, 2002]



Sec. 229.23  Periodic inspection: general.

    (a) Each locomotive 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 is used. Except as provided in Sec. 229.33 and paragraph (b) 
of this section, 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) For each locomotive equipped with advanced microprocessor-based 
on-board electronic condition monitoring controls:
    (1) The interval between periodic inspections shall not exceed 184 
days; and
    (2) At least once each 33 days, the daily inspection required by 
Sec. 229.21, shall be performed by a qualified mechanical inspector as 
defined by Sec. 229.5. A record of the inspection that contains the 
name of the person performing the inspection and the date that it was 
performed shall be maintained in the locomotive cab until the next 
periodic inspection is performed.
    (c) Each new locomotive shall receive an initial periodic inspection 
before it is used.
    (d) At the initial periodic inspection, the date and place of the 
last tests performed that are the equivalent of the tests required by 
Sec. Sec. 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 Sec. Sec. 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.
    (e) 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. A railroad maintaining and transferring 
records as provided for in Sec. 229.20 shall print the name of the 
person who performed the inspections, repairs, or certified work on the 
Form FRA F 6180-49A that is displayed in the cab of each locomotive.
    (f) 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, or July 3 if it's 
a locomotive equipped with advanced microprocessor-based on-board 
electronic condition monitoring controls, 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

[[Page 560]]

and place of the last periodic inspection and the date and place of the 
last tests performed under Sec. Sec. 229.27, 229.29, and 229.31 shall 
be transferred to the replacement Form FRA F 6180-49A.
    (g) The railroad mechanical officer 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. 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.
    (h) The railroad shall maintain, and provide employees performing 
inspections under this section with, a list of the defects and repairs 
made on each locomotive since the date that the last inspection required 
by this section was performed;
    (i) The railroad shall provide employees performing inspections 
under this section with a document containing all tests conducted since 
the last periodic inspection, and procedures needed to perform the 
inspection.

[77 FR 21344, Apr. 9, 2012, as amended at 77 FR 75056, Dec. 19, 2012]



Sec. 229.25  Tests: Every periodic inspection.

    Each periodic inspection shall include the following:
    (a) All mechanical gauges used by the engineer to aid in the control 
or braking of 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) Event recorder. A microprocessor-based self-monitoring event 
recorder, if installed, is exempt from periodic inspection under 
paragraphs (d)(1) through (5) of this section and shall be inspected 
annually as required by Sec. 229.27(c). Other types of event recorders, 
if installed, shall be inspected, maintained, and tested in accordance 
with instructions of the manufacturer, supplier, or owner thereof and in 
accordance with the following criteria:
    (1) A written or electronic copy of the instructions in use shall be 
kept at the point where the work is performed and a hard-copy version, 
written in the English language, shall be made available upon request to 
FRA.
    (2) The event recorder shall be tested before any maintenance work 
is performed on it. At a minimum, the event recorder test shall include 
cycling, as practicable, all required recording elements and determining 
the full range of each element by reading out recorded data.
    (3) If the pre-maintenance test reveals that the device is not 
recording all the specified data and that all recordings are within the 
designed recording elements, this fact shall be noted, 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 the data-
verification results shall be maintained in any medium with the 
maintenance records for the locomotive until the next one is filed.
    (5) A railroad's event recorder periodic maintenance shall be 
considered effective if 90 percent of the recorders on locomotives 
inbound for periodic inspection in any given calendar month are still 
fully functional; maintenance practices and test intervals shall be 
adjusted as necessary to yield effective periodic maintenance.
    (e) Remote control locomotive. Remote control locomotive system 
components that interface with the mechanical devices of the locomotive 
shall be tested including, but not limited to, air pressure monitoring 
devices, pressure switches, and speed sensors.

[[Page 561]]

    (f) Alerters. The alerter shall be tested, and all automatic timing 
resets shall function as intended.

[45 FR 21109, Mar. 31, 1980, as amended at 58 FR 36614, July 8, 1993; 60 
FR 27905, May 26, 1995; 66 FR 4192, Jan. 17, 2001; 70 FR 37939, June 30, 
2005; 77 FR 21344, Apr. 9, 2012]



Sec. 229.27  Annual tests.

    (a) All testing under this section shall be performed at intervals 
that do not exceed 368 calendar days.
    (b) Load meters that indicate current (amperage) being applied to 
traction motors shall be tested. Each device used by the engineer to aid 
in the control or braking of the train or locomotive that provides an 
indication of air pressure electronically shall be tested by comparison 
with a test gauge or self-test designed for this purpose. An error 
greater than five percent or greater than three pounds per square inch 
shall 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) A microprocessor-based event recorder with a self-monitoring 
feature equipped to verify that all data elements required by this part 
are recorded, requires further maintenance and testing only if either of 
the following conditions exist:
    (1) The self-monitoring feature displays an indication of a failure. 
If a failure is displayed, further maintenance and testing must be 
performed until a subsequent test is successful. When a successful test 
is accomplished, a record, in any medium, shall be made of that fact and 
of any maintenance work necessary to achieve the successful result. This 
record shall be available at the location where the locomotive is 
maintained until a record of a subsequent successful test is filed; or,
    (2) A download of the event recorder, taken within the preceding 30 
days and reviewed for the previous 48 hours of locomotive operation, 
reveals a failure to record a regularly recurring data element or 
reveals that any required data element is not representative of the 
actual operations of the locomotive during this time period. If the 
review is not successful, further maintenance and testing shall be 
performed until a subsequent test is successful. When a successful test 
is accomplished, a record, in any medium, shall be made of that fact and 
of any maintenance work necessary to achieve the successful result. This 
record shall be kept at the location where the locomotive is maintained 
until a record of a subsequent successful test is filed. The download 
shall be taken from information stored in the certified crashworthy 
crash hardened event recorder memory module if the locomotive is so 
equipped.

[77 FR 21345, Apr. 9, 2012]



Sec. 229.29  Air brake system calibration, maintenance, and testing.

    (a) A locomotive's air brake system shall receive the calibration, 
maintenance, and testing as prescribed in this section. The level of 
maintenance and testing and the intervals for receiving such maintenance 
and testing of locomotives with various types of air brake systems shall 
be conducted in accordance with paragraphs (d) through (f) of this 
section. Records of the maintenance and testing required in this section 
shall be maintained in accordance with paragraph (g) of this section.
    (b) Except for DMU or MU locomotives covered under Sec. 238.309 of 
this chapter, the air flow method (AFM) indicator shall be calibrated in 
accordance with Sec. 232.205(c)(1)(iii) at intervals not to exceed 92 
days, and records shall be maintained as prescribed paragraph (g)(1) of 
this section.
    (c) Except for DMU or MU locomotives covered under Sec. 238.309 of 
this chapter, the extent of air brake system maintenance and testing 
that is required on a locomotive shall be in accordance with the 
following levels:
    (1) Level one: Locomotives shall have the filtering devices or dirt 
collectors located in the main reservoir supply line to the air brake 
system cleaned, repaired, or replaced.
    (2) Level two: Locomotives shall have the following components 
cleaned, repaired, and tested: brake cylinder relay valve portions; main 
reservoir safety valves; brake pipe vent valve portions; and, feed and 
reducing valve portions in the air brake system (including related dirt 
collectors and filters).

[[Page 562]]

    (3) Level three: Locomotives shall have the components identified in 
this paragraph removed from the locomotive and disassembled, cleaned and 
lubricated (if necessary), and tested. In addition, all parts of such 
components that can deteriorate within the inspection interval as 
defined in paragraphs (d) through (f) of this section shall be replaced 
and tested. The components include: all pneumatic components of the 
locomotive equipment's brake system that contain moving parts, and are 
sealed against air leaks; all valves and valve portions; electric-
pneumatic master controllers in the air brake system; and all air brake 
related filters and dirt collectors.
    (d) Except for MU locomotives covered under Sec. 238.309 of this 
chapter, all locomotives shall receive level one air brake maintenance 
and testing as described in this section at intervals that do not exceed 
368 days.
    (e) Locomotives equipped with an air brake system not specifically 
identified in paragraphs (f)(1) through (3) of this section shall 
receive level two air brake maintenance and testing as described in this 
section at intervals that do not exceed 368 days and level three air 
brake maintenance and testing at intervals that do not exceed 736 days.
    (f) Level two and level three air brake maintenance and testing 
shall be performed on each locomotive identified in this paragraph at 
the following intervals:
    (1) At intervals that do not exceed 1,104 days for a locomotive 
equipped with a 26-L or equivalent brake system;
    (2) At intervals that do not exceed 1,472 days for locomotives 
equipped with an air dryer and a 26-L or equivalent brake system and for 
locomotives not equipped with an air compressor and that are semi-
permanently coupled and dedicated to locomotives with an air dryer; or
    (3) At intervals that do not exceed 1,840 days for locomotives 
equipped with CCB-1, CCB-2, CCB-26, EPIC 1 (formerly EPIC 3102), EPIC 
3102D2, EPIC 2, KB-HS1, or Fastbrake brake systems.
    (g) Records of the air brake system maintenance and testing required 
by this section shall be generated and maintained in accordance with the 
following:
    (1) The date of AFM indicator calibration shall be recorded and 
certified on Form F6180-49A.
    (2) The date and place of the cleaning, repairing and testing 
required by this section shall be recorded on Form FRA F 6180-49A, and 
the work shall be certified. A record of the parts of the air brake 
system that are cleaned, repaired, and tested shall be kept in the 
railroad's files or in the cab of the locomotive.
    (3) At its option, a railroad may fragment the work required by this 
section. In that event, a separate 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 testing 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 railroad's files.

[77 FR 21345, Apr. 9, 2012, as amended at 77 FR 75057, Dec. 19, 2012]



Sec. 229.31  Main reservoir tests.

    (a) Before it is placed in service, each main reservoir other than 
an aluminum reservoir shall be subjected to a pneumatic or 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, block eighteen. 
Except as provided in paragraph (c) of this section, 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

[[Page 563]]

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 pneumatic or 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 shall 
receive a hydrostatic test before it is returned to use or may receive a 
pneumatic test if conducted by the manufacturer in an appropriately safe 
environment.
    (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.

[45 FR 21109, Mar. 31, 1980, as amended at 71 FR 61857, Oct. 19, 2006]



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, Sec. 229.25, Sec. 229.27, Sec. 229.29, or Sec. 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 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

[[Page 564]]

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.

    (a) Before each trip, the railroad shall know the following:
    (1) The locomotive brakes and devices for regulating pressures, 
including but not limited to the automatic and independent brake control 
systems, operate as intended; and
    (2) The water and oil have been drained from the air brake system of 
all locomotives in the consist.
    (b) A locomotive with an inoperative or ineffective automatic or 
independent brake control system will be considered to be operating as 
intended for purposes of paragraph (a) of this section, if all of the 
following conditions are met:
    (1) The locomotive is in a trailing position and is not the 
controlling locomotive in a distributed power train consist;
    (2) The railroad has previously determined, in conjunction with the 
locomotive and/or airbrake manufacturer, that placing such a locomotive 
in trailing position adequately isolates the non-functional valves so as 
to allow safe operation of the brake systems from the controlling 
locomotive;
    (3) If deactivation of the circuit breaker for the air brake system 
is required, it shall be specified in the railroad's operating rules;
    (4) A tag shall immediately be placed on the isolation switch of the 
locomotive giving the date and location and stating that the unit may 
only be used in a trailing position and may not be used as a lead or 
controlling locomotive;
    (5) The tag required in paragraph (b)(4) of this section remains 
attached to the isolation switch of the locomotive until repairs are 
made; and
    (6) The inoperative or ineffective brake control system is repaired 
prior to or at the next periodic inspection.

[77 FR 21346, Apr. 9, 2012]



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) DMU, 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.

[45 FR 21109, Mar. 31, 1980, as amended at 71 FR 61857, Oct. 19, 2006]



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

[[Page 565]]

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.



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 mechanical gauges and all devices providing indication of air 
pressure electronically that are used by the engineer to aid in the 
control or braking of the train or locomotive shall be located so that 
they may be conveniently read from the engineer's usual position during 
operation of the locomotive. A gauge or device shall not be more than 
five percent or three pounds per square inch in error, whichever is 
less.

[66 FR 4192, Jan. 17, 2001]



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.

[[Page 566]]



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\5/16\ inches on D&E couplers.
    (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] TR09AP12.000

    (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.

[77 FR 21346, Apr. 9, 2012]

                            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.

[[Page 567]]



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.
    (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.

[[Page 568]]

    (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.

                            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  High voltage markings: doors, cover plates, or barriers.

    All doors, cover plates, or barriers providing direct access to high 
voltage equipment shall be marked ``Danger-High Voltage'' or with the 
word ``Danger'' and the normal voltage carried by the parts so 
protected.

[77 FR 21346, Apr. 9, 2012]



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.

[[Page 569]]

                      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.



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

[[Page 570]]

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.



Sec. 229.114  Steam generator inspections and tests.

    (a) Periodic steam generator inspection. Except as provided in Sec. 
229.33, each steam generator shall be inspected and tested in accordance 
with paragraph (d) of this section at intervals not to exceed 92 days, 
unless the steam generator is isolated in accordance with paragraph (b) 
of this section. All non-complying conditions shall be repaired or the 
steam generator shall be isolated as prescribed in paragraph (b) of this 
section before the locomotive is used.
    (b) Isolation of a steam generator. A steam generator will be 
considered isolated 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 is 
applied. Before an isolated steam generator is returned to use, it shall 
be inspected and tested pursuant to paragraph (d) of this section.
    (c) Forms. Each periodic steam generator inspection and test shall 
be recorded on Form FRA F 6180-49A required by paragraph Sec. 229.23. 
When Form FRA F 6180-49A for the locomotive is replaced, data for the 
steam generator inspections shall be transferred to the new Form FRA 
F6180-49A.
    (d) Tests and requirements. Each periodic steam generator inspection 
and test shall include the following tests and requirements:
    (1) All electrical devices and visible insulation shall be 
inspected.
    (2) All automatic controls, alarms, and protective devices shall be 
inspected and tested.
    (3) 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.
    (4) Safety valves shall be set and tested under steam after the 
steam pressure gauge is tested.
    (e) Annual steam generator tests. Each steam generator that is not 
isolated in accordance with paragraph (b) of this section, 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. The testing under this paragraph shall be 
performed at intervals that do not exceed 368 calendar days.

[77 FR 21346, Apr. 9, 2012]

                         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 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 3 miles per hour of actual 
speed at speeds of 10 to 30 miles per hour and accurate within 5 miles per hour at speeds above 30 miles per hour; and
    (2) Clearly readable from the engineer's normal position under all 
light conditions.

[[Page 571]]

    (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) Any occupied locomotive cab shall be provided with proper 
ventilation and with a heating arrangement that maintains a temperature 
of at least 60 degrees Fahrenheit 6 inches above the center of each seat 
in the cab compartment.
    (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.
    (g) Each locomotive or remanufactured locomotive placed in service 
for the first time on or after June 8, 2012, shall be equipped with an 
air conditioning unit in the locomotive cab compartment.
    (h) Each air conditioning unit in the locomotive cab on a locomotive 
identified in paragraph (g) of this section shall be inspected and 
maintained to ensure that it operates properly and meets or exceeds the 
manufacturer's minimum operating specifications during the periodic 
inspection required for the locomotive pursuant to Sec. 229.23 of this 
part.
    (i) Each locomotive or remanufactured locomotive ordered on or after 
June 8, 2012, or placed in service for the first time on or after 
December 10, 2012, shall be equipped with a securement device on each 
exterior locomotive cab door that is capable of securing the door from 
inside of the cab.

[45 FR 21109, Mar. 31, 1980, as amended at 77 FR 21346, Apr. 9, 2012]



Sec. 229.121  Locomotive cab noise.

    (a) Performance standards for locomotives. (1) When tested for 
static noise in accordance with paragraph (a)(3) of this section, all 
locomotives of each design or model that are manufactured after October 
29, 2007, shall average less than or equal to 85 dB(A), with an upper 
99% confidence limit of 87 dB(A). The railroad may rely on certification 
from the equipment manufacturer for a production run that this standard 
is met. The manufacturer may determine the average by testing a 
representative sample of locomotives or an initial series of 
locomotives, provided that there are suitable manufacturing quality 
controls and verification procedures in place to ensure product 
consistency.
    (2) In the maintenance of locomotives that are manufactured in 
accordance with paragraph (a)(1) of this section, a railroad shall not 
make any alterations that cause the average sound level for that 
locomotive design or model to exceed:
    (i) 82 dB(A) if the average sound level for a locomotive design or 
model is less than 82 dB(A); or
    (ii) 85 dB(A) if the average sound level for a locomotive design or 
model is 82 dB(A) to 85 dB(A), inclusive,
    (3) The railroad or manufacturer shall follow the static test 
protocols set forth in appendix H of this part to determine compliance 
with paragraph (a)(1) of this section; and, to the extent reasonably 
necessary to evaluate the effect of alterations during maintenance, to 
determine compliance with paragraph (a)(2) of this section.
    (b) Maintenance of locomotives. (1) If a railroad receives an 
excessive noise report, and if the condition giving rise to

[[Page 572]]

the noise is not required to be immediately corrected under part 229, 
the railroad shall maintain a record of the report, and repair or 
replace the item identified as substantially contributing to the noise:
    (i) On or before the next periodic inspection required by Sec. 
229.23; or
    (ii) If the railroad determines that the repair or replacement of 
the item requires significant shop or material resources that are not 
readily available, at the time of the next major equipment repair 
commonly used for the particular type of maintenance needed.
    (2) Conditions that may lead a locomotive cab occupant to file an 
excessive noise report include, but are not limited to: defective cab 
window seals; defective cab door seals; broken or inoperative windows; 
deteriorated insulation or insulation that has been removed for other 
reasons; broken or inoperative doors; and air brakes that vent inside of 
the cab.
    (3) A railroad has an obligation to respond to an excessive noise 
report that a locomotive cab occupant files. The railroad meets its 
obligation to respond to an excessive noise report, as set forth in 
paragraph (b)(1) of this section, if the railroad makes a good faith 
effort to identify the cause of the reported noise, and where the 
railroad is successful in determining the cause, if the railroad repairs 
or replaces the items cause the noise.
    (4) Recordkeeping. (i) A railroad shall maintain a written or 
electronic record of any excessive noise report, inspection, test, 
maintenance, replacement, or repair completed pursuant to Sec. 
229.121(b) and the date on which that inspection, test, maintenance, 
replacement, or repair occurred. If a railroad elects to maintain an 
electronic record, the railroad must satisfy the conditions listed in 
Sec. 227.121(a)(2)(i) through (v).
    (ii) The railroad shall retain these records for 92 days if they are 
made pursuant to Sec. 229.21, or for one year if they are made pursuant 
to Sec. 229.23.
    (iii) The railroad shall establish an internal, auditable, 
monitorable system that contains these records.

[71 FR 63136, Oct. 27, 2006]



Sec. 229.123  Pilots, snowplows, end plates.

    (a) Each lead locomotive shall be equipped with a pilot, snowplow, 
or end plate that extends across both rails. The minimum clearance above 
the rail of the pilot, snowplow or end plate shall be 3 inches. Except 
as provided in paragraph (b) of this section, the maximum clearance 
shall be 6 inches. When the locomotive is equipped with a combination of 
the equipment listed in this paragraph, each extending across both 
rails, only the lowest piece of that equipment must satisfy clearance 
requirements of this section.
    (b) To provide clearance for passing over retarders, locomotives 
utilized in hump yard or switching service at hump yard locations may 
have pilot, snowplow, or end plate maximum height of 9 inches.
    (1) Each locomotive equipped with a pilot, snowplow, or end plate 
with clearance above 6 inches shall be prominently stenciled at each end 
of the locomotive with the words ``9-inch Maximum End Plate Height, Yard 
or Trail Service Only.''
    (2) When operated in switching service in a leading position, 
locomotives with a pilot, snowplow, or end plate clearance above 6 
inches shall be limited to 10 miles per hour over grade crossings.
    (3) Train crews shall be notified in writing of the restrictions on 
the locomotive, by label or stencil in the cab, or by written operating 
instruction given to the crew and maintained in the cab of the 
locomotive.
    (4) Pilot, snowplow, or end plate clearance above 6 inches shall be 
noted in the remarks section of Form FRA 6180-49a.
    (5) Locomotives with a pilot, snowplow, or end plate clearance above 
6 inches shall not be placed in the lead position when being moved under 
section Sec. 229.9.

[77 FR 21347, Apr. 9, 2012]



Sec. 229.125  Headlights and auxiliary lights.

    (a) Each lead locomotive used in road service shall illuminate its 
headlight while the locomotive is in use. When illuminated, the 
headlight shall produce

[[Page 573]]

a peak intensity of at least 200,000 candela and produce at least 3,000 
candela at an angle of 7.5 degrees and at least 400 candela at an angle 
of 20 degrees from the centerline of the locomotive when the light is 
aimed parallel to the tracks. 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 
meets the intensity requirements above. Each headlight shall be aimed to 
illuminate a person at least 800 feet ahead and in front of the 
headlight. For purposes of this section, a headlight shall be comprised 
of either one or two lamps.
    (1) If a locomotive is equipped with a single-lamp headlight, the 
single lamp shall produce a peak intensity of at least 200,000 candela 
and shall produce at least 3,000 candela at an angle of 7.5 degrees and 
at least 400 candela at an angle of 20 degrees from the centerline of 
the locomotive when the light is aimed parallel to the tracks. The 
following operative lamps meet the standard set forth in this paragraph: 
a single incandescent PAR-56, 200-watt, 30-volt lamp; a single halogen 
PAR-56, 200-watt, 30-volt lamp; a single halogen PAR-56, 350-watt, 75-
volt lamp, or a single lamp meeting the intensity requirements given 
above.
    (2) If a locomotive is equipped with a dual-lamp headlight, a peak 
intensity of at least 200,000 candela and at least 3,000 candela at an 
angle of 7.5 degrees and at least 400 candela at an angle of 20 degrees 
from the centerline of the locomotive when the light is aimed parallel 
to the tracks shall be produced by the headlight based either on a 
single lamp capable of individually producing the required peak 
intensity or on the candela produced by the headlight with both lamps 
illuminated. If both lamps are needed to produce the required peak 
intensity, then both lamps in the headlight shall be operational. The 
following operative lamps meet the standard set forth in this paragraph 
(a)(2): A single incandescent PAR-56, 200-watt, 30-volt lamp; a single 
halogen PAR-56, 200-watt, 30-volt lamp; a single halogen PAR-56, 350-
watt, 75-volt lamp; two incandescent PAR-56, 350-watt, 75-volt lamps; or 
lamp(s) meeting the intensity requirements given above.
    (i) A locomotive equipped with the two incandescent PAR-56, 350-
watt, 75 volt lamps which has an en route failure of one lamp in the 
headlight fixture, may continue in service as a lead locomotive until 
its next daily inspection required by Sec. 229.21 only if:
    (A) Auxiliary lights burn steadily;
    (B) Auxiliary lights are aimed horizontally parallel to the 
longitudinal centerline of the locomotive or aimed to cross no less than 
400 feet in front of the locomotive.
    (C) Second headlight lamp and both auxiliary lights continue to 
operate.
    (ii) [Reserved]
    (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.

[[Page 574]]

    (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 a peak intensity of at least 
200,000 candela or shall produce at least 3,000 candela at an angle of 
7.5 degrees and at least 400 candela at an angle of 20 degrees from the 
centerline of the locomotive when the light is aimed parallel to the 
tracks. Any of the following operative lamps meet the standard set forth 
in this paragraph: an incandescent PAR-56, 200-watt, 30-volt lamp; a 
halogen PAR-56, 200-watt, 30-volt lamp; a halogen PAR-56, 350-watt, 75-
volt lamp; an incandescent PAR-56, 350-watt, 75-volt lamp; or a single 
lamp having equivalent intensities at the specified angles.
    (3) The auxiliary lights shall be aimed 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,
    (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; 68 
FR 49717, Aug. 19, 2003; 69 FR 12537, Mar. 16, 2004; 77 FR 21347, Apr. 
9, 2012]



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

[[Page 575]]

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  Locomotive horn.

    (a) Each lead locomotive shall be equipped with a locomotive horn 
that produces a minimum sound level of 96 dB(A) and a maximum sound 
level of 110 dB(A) at 100 feet forward of the locomotive in its 
direction of travel. The locomotive horn shall be arranged so that it 
can be conveniently operated from the engineer's usual position during 
operation of the locomotive.
    (b)(1) Each locomotive built on or after September 18, 2006 shall be 
tested in accordance with this section to ensure that the horn installed 
on such locomotive is in compliance with paragraph (a) of this section. 
Locomotives built on or after September 18, 2006 may, however, be tested 
in accordance with an acceptance sampling scheme such that there is a 
probability of .05 or less of rejecting a lot with a proportion of 
defectives equal to an AQL of 1% or less, as set forth in 7 CFR part 43.
    (2) Each locomotive built before September 18, 2006 shall be tested 
in accordance with this section before June 24, 2010 to ensure that the 
horn installed on such locomotive is in compliance with paragraph (a) of 
this section.
    (3) Each remanufactured locomotive, as determined pursuant to Sec. 
229.5 of this part, shall be tested in accordance with this section to 
ensure that the horn installed on such locomotive is in compliance with 
paragraph (a).
    (4)(i) Except as provided in paragraph (b)(4)(ii) of this section, 
each locomotive equipped with a replacement locomotive horn shall be 
tested, in accordance with paragraph (c) of this section, before the 
next two annual tests required by Sec. 229.27 of this part are 
completed.
    (ii) Locomotives that have already been tested individually or 
through acceptance sampling, in accordance with paragraphs (b)(1), 
(b)(2), or (b)(3) of this section, shall not be required to undergo 
sound level testing when equipped with a replacement locomotive horn, 
provided the replacement locomotive horn is of the same model as the 
locomotive horn that was replaced and the mounting location and type of 
mounting are the same.
    (c) Testing of the locomotive horn sound level shall be in 
accordance with the following requirements:
    (1) A properly calibrated sound level meter shall be used that, at a 
minimum, complies with the requirements of International 
Electrotechnical Commission (IEC) Standard 61672-1 (2002-05) for a Class 
2 instrument.
    (2) An acoustic calibrator shall be used that, at a minimum, 
complies with the requirements of IEC standard 60942 (1997-11) for a 
Class 2 instrument.
    (3) The manufacturer's instructions pertaining to mounting and 
orienting the microphone; positioning of the observer; and periodic 
factory recalibration shall be followed.
    (4) A microphone windscreen shall be used and tripods or similar 
microphone mountings shall be used that minimize interference with the 
sound being measured.
    (5) The test site shall be free of large reflective structures, such 
as barriers, hills, billboards, tractor trailers or other large 
vehicles, locomotives or rail cars on adjacent tracks, bridges or 
buildings, within 200 feet to the front and sides of the locomotive. The 
locomotive shall be positioned on straight, level track.
    (6) Measurements shall be taken only when ambient air temperature is 
between 32 degrees and 104 degrees Fahrenheit inclusively; relative 
humidity is between 20 percent and 95 percent inclusively; wind velocity 
is not more than 12 miles per hour and there is no precipitation.
    (7) With the exception of cab-mounted or low-mounted horns, the 
microphone shall be located 100 feet forward of the front knuckle of the 
locomotive, 15 feet above the top of the rail, at an angle no greater 
than 20 degrees from the center line of the track, and oriented with 
respect to the sound source according to the manufacturer's 
recommendations. For cab-mounted and low-mounted horns, the microphone 
shall be located 100 feet forward of the

[[Page 576]]

front knuckle of the locomotive, four feet above the top of the rail, at 
an angle no greater than 20 degrees from the center line of the track, 
and oriented with respect to the sound source according to the 
manufacturer's recommendations. The observer shall not stand between the 
microphone and the horn.
    (8) Background noise shall be minimal: the sound level at the test 
site immediately before and after each horn sounding event shall be at 
least 10 dB(A) below the level measured during the horn sounding.
    (9) Measurement procedures. The sound level meter shall be set for 
A-weighting with slow exponential response and shall be calibrated with 
the acoustic calibrator immediately before and after compliance tests. 
Any change in the before and after calibration levels shall be less than 
0.5 dB. After the output from the locomotive horn system has reached a 
stable level, the A-weighted equivalent sound level (slow response) for 
a 10-second duration (LAeq, 10s) shall be obtained either directly using 
an integrating-averaging sound level meter, or recorded once per second 
and calculated indirectly. The arithmetic-average of a series of at 
least six such 10-second duration readings shall be used to determine 
compliance. The standard deviation of the readings shall be less than 
1.5 dB.
    (10) Written reports of locomotive horn testing required by this 
part shall be made and shall reflect horn type; the date, place, and 
manner of testing; and sound level measurements. These reports, which 
shall be signed by the person who performs the test, shall be retained 
by the railroad, at a location of its choice, until a subsequent 
locomotive horn test is completed and shall be made available, upon 
request, to FRA as provided by 49 U.S.C. 20107.
    (d) This section does not apply to locomotives of rapid transit 
operations which are otherwise subject to this part.

[71 FR 47666, Aug. 17, 2006]



Sec. 229.131  Sanders.

    (a) Prior to departure from an initial terminal, each locomotive, 
except for MU locomotives, shall be equipped with operative sanders that 
deposit sand on each rail in front of the first power operated wheel set 
in the direction of movement or shall be handled in accordance with the 
requirements contained in Sec. 229.9.
    (b) A locomotive being used in road service with sanders that become 
inoperative after departure from an initial terminal shall be handled in 
accordance with the following:
    (1) A lead locomotive being used in road service that experiences 
inoperative sanders after departure from an initial terminal may 
continue in service until the earliest of the following occurrences:
    (i) Arrival at the next initial terminal;
    (ii) Arrival at a location where it is placed in a facility with a 
sand delivery system;
    (iii) The next periodic inspection under Sec. 229.23; or
    (iv) Fourteen calendar days from the date the sanders are first 
discovered to be inoperative; and
    (2) A trailing locomotive being used in road service that 
experiences inoperative sanders after departure from an initial terminal 
may continue in service until the earliest of the following occurrence:
    (i) Arrival at the next initial terminal;
    (ii) Arrival at a location where it is placed in a facility with a 
sand delivery system; or
    (iii) The next periodic inspection under Sec. 229.23.
    (c) A locomotive being used in switching service shall be equipped 
with operative sanders that deposit sand on each rail in front of the 
first power operated wheel set in the direction of movement. If the 
sanders become inoperative, the locomotive shall be handled in 
accordance with the following:
    (1) A locomotive being used in switching service at a location not 
equipped with a sand delivery system may continue in service for seven 
calendar days from the date the sanders are first discovered inoperative 
or until its next periodic inspection under Sec. 229.23, which ever 
occurs first; and
    (2) A locomotive being used in switching service at locations 
equipped with a sand delivery system shall be

[[Page 577]]

handled in accordance with the requirements contained in Sec. 229.9.
    (d) A locomotive being handled under the provisions contained in 
paragraph (b) and (c)(1) of this section shall be tagged in accordance 
with Sec. 229.9(a).

[72 FR 59223, Oct. 19, 2007]



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) 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.
    (2) 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.
    (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)(2) of this section that

[[Page 578]]

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)(1) and operated at speeds no greater than 40 miles per 
hour, is considered in compliance with Sec. 229.125(d)(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; 77 FR 21348, Apr. 9, 
2012]



Sec. 229.135  Event recorders.

    (a) Duty to equip and record. Except as provided in paragraphs (c) 
and (d) of this section, a train operated faster than 30 miles per hour 
shall have an in-service event recorder, of the type described in 
paragraph (b) of this section, in the lead locomotive. The presence of 
the event recorder shall be noted on Form FRA F6180-49A (by writing the 
make and model of event recorder with which the locomotive is equipped) 
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. 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. The event recorder shall record the most recent 48 
hours of operation of the electrical system of the locomotive on which 
it is installed.
    (b) Equipment requirements. Event recorders shall monitor and record 
data elements required by this paragraph with at least the accuracy 
required of the indicators displaying any of the required elements to 
the engineer.
    (1) A lead locomotive originally ordered before October 1, 2006, and 
placed in service before October 1, 2009, including a controlling remote 
distributed power locomotive, a lead manned helper locomotive, a DMU 
locomotive, and an MU locomotive, except as provided in paragraphs (c) 
and (d) of this section, shall have an in-service event recorder that 
records the following data elements:
    (i) Train speed;
    (ii) Selected direction of motion;
    (iii) Time;
    (iv) Distance;
    (v) Throttle position;
    (vi) Applications and operations of the train automatic air brake;
    (vii) Applications and operations of the independent brake;
    (viii) Applications and operations of the dynamic brake, if so 
equipped; and
    (ix) Cab signal aspect(s), if so equipped and in use.
    (2) A locomotive originally manufactured before October 1, 2006, and 
equipped with an event recorder that uses magnetic tape as its recording 
medium shall have the recorder removed from service on or before October 
1, 2009 and replaced with an event recorder with a certified crashworthy 
event recorder memory module that meets the requirements of appendix D 
of this part and that records at least the same number of data elements 
as the recorder it replaces.
    (3) A lead locomotive, a lead manned helper locomotive, and a 
controlling remotely distributed power locomotive, other than a DMU or 
MU locomotive, originally ordered on or after October 1, 2006 or placed 
in service on or after October 1, 2009, shall be equipped with an event 
recorder with a certified crashworthy event recorder memory module that 
meets the requirements of Appendix D of this part. The certified event 
recorder memory module shall be mounted for its maximum protection. 
(Although other mounting standards may meet this standard, an event 
recorder memory

[[Page 579]]

module mounted behind and below the top of the collision posts and above 
the platform level is deemed to be mounted ``for its maximum 
protection.'') The event recorder shall record, and the certified 
crashworthy event recorder memory module shall retain, the following 
data elements:
    (i) Train speed;
    (ii) Selected direction of motion;
    (iii) Time;
    (iv) Distance;
    (v) Throttle position;
    (vi) Applications and operations of the train automatic air brake, 
including emergency applications. The system shall record, or provide a 
means of determining, that a brake application or release resulted from 
manipulation of brake controls at the position normally occupied by the 
locomotive engineer. In the case of a brake application or release that 
is responsive to a command originating from or executed by an on-board 
computer (e.g., electronic braking system controller, locomotive 
electronic control system, or train control computer), the system shall 
record, or provide a means of determining, the involvement of any such 
computer;
    (vii) Applications and operations of the independent brake;
    (viii) Applications and operations of the dynamic brake, if so 
equipped;
    (ix) Cab signal aspect(s), if so equipped and in use;
    (x) End-of-train (EOT) device loss of communication front to rear 
and rear to front;
    (xi) Electronic controlled pneumatic braking (ECP) message (and loss 
of such message), if so equipped;
    (xii) EOT armed, emergency brake command, emergency brake 
application;
    (xiii) Indication of EOT valve failure;
    (xiv) EOT brake pipe pressure (EOT and ECP devices);
    (xv) EOT marker light on/off;
    (xvi) EOT ``low battery'' status;
    (xvii) Position of on/off switch for headlights on lead locomotive;
    (xviii) Position of on/off switch for auxiliary lights on lead 
locomotive;
    (xix) Horn control handle activation;
    (xx) Locomotive number;
    (xxi) Locomotive automatic brake valve cut in;
    (xxii) Locomotive position in consist (lead or trail);
    (xxiii) Tractive effort;
    (xxiv) Cruise control on/off, if so equipped and in use; and
    (xxv) Safety-critical train control data routed to the locomotive 
engineer's display with which the engineer is required to comply, 
specifically including text messages conveying mandatory directives and 
maximum authorized speed. The format, content, and proposed duration for 
retention of such data shall be specified in the Product Safety Plan or 
PTC Safety Plan submitted for the train control system under subparts H 
or I, respectively, of part 236 of this chapter, subject to FRA approval 
under this paragraph. If it can be calibrated against other data 
required by this part, such train control data may, at the election of 
the railroad, be retained in a separate certified crashworthy memory 
module.
    (4) A DMU locomotive and an MU locomotive originally ordered on or 
after October 1, 2006 or placed in service on or after October 1, 2009, 
shall be equipped with an event recorder with a certified crashworthy 
event recorder memory module that meets the requirements of Appendix D 
of this part. The certified event recorder memory module shall be 
mounted for its maximum protection. (Although other mounting standards 
may meet this standard, an event recorder memory module mounted behind 
the collision posts and above the platform level is deemed to be mounted 
``for its maximum protection.'') The event recorder shall record, and 
the certified crashworthy event recorder memory module shall retain, the 
following data elements:
    (i) Train speed;
    (ii) Selected direction of motion;
    (iii) Time;
    (iv) Distance;
    (v) Throttle position;
    (vi) Applications and operations of the train automatic air brake, 
including emergency applications. The system shall record, or provide a 
means of determining, that a brake application or release resulted from 
manipulation

[[Page 580]]

of brake controls at the position normally occupied by the locomotive 
engineer. In the case of a brake application or release that is 
responsive to a command originating from or executed by an on-board 
computer (e.g., electronic braking system controller, locomotive 
electronic control system, or train control computer), the system shall 
record, or provide a means of determining, the involvement of any such 
computer;
    (vii) Applications and operations of the independent brake, if so 
equipped;
    (viii) Applications and operations of the dynamic brake, if so 
equipped;
    (ix) Cab signal aspect(s), if so equipped and in use;
    (x) Emergency brake application(s);
    (xi) Wheel slip/slide alarm activation (with a property-specific 
minimum duration);
    (xii) Lead locomotive headlight activation switch on/off;
    (xiii) Lead locomotive auxiliary lights activation switch on/off;
    (xiv) Horn control handle activation;
    (xv) Locomotive number;
    (xvi) Locomotive position in consist (lead or trail);
    (xvii) Tractive effort;
    (xviii) Brakes apply summary train line;
    (xix) Brakes released summary train line;
    (xx) Cruise control on/off, if so equipped and used; and
    (xxi) Safety-critical train control data routed to the locomotive 
engineer's display with which the engineer is required to comply, 
specifically including text messages conveying mandatory directives and 
maximum authorized speed. The format, content, and proposed duration for 
retention of such data shall be specified in the Product Safety Plan or 
PTC Safety Plan submitted for the train control system under subparts H 
or I, respectively, of part 236 of this chapter, subject to FRA approval 
under this paragraph. If it can be calibrated against other data 
required by this part, such train control data may, at the election of 
the railroad, be retained in a separate certified crashworthy memory 
module.
    (5) A locomotive equipped with an event recorder that is 
remanufactured, as defined in this part, on or after October 1, 2007, 
shall be equipped with an event recorder with a certified crashworthy 
event recorder memory module that meets the requirements of appendix D 
to this part and is capable of recording, at a minimum, the same data as 
the recorder that was on the locomotive before it was remanufactured.
    (6) An event recorder originally manufactured after January 1, 2010, 
that is installed on any locomotive identified in paragraph (b)(1) of 
this section shall be an event recorder with a certified crashworthy 
event recorder memory module that meets the requirements of appendix D 
to this part and that is capable of recording, at a minimum, the same 
data as the event recorder that was previously on the locomotive.
    (c) Removal from service. Notwithstanding the duty established in 
paragraph (a) of this section to equip certain locomotives with an in-
service event recorder, a railroad may remove an event recorder from 
service and, if a railroad knows that an event recorder is not 
monitoring or recording required data, shall remove the event recorder 
from service. When a railroad removes an event recorder from service, a 
qualified person shall record the date that the device was removed from 
service on Form FRA F6180-49A, under the REMARKS section, unless the 
event recorder is designed to allow the locomotive to assume the lead 
position only if the recorder is properly functioning.
    (d) Response to defective equipment. Notwithstanding the duty 
established in paragraph (a) of this section to equip certain 
locomotives with an in-service event recorder, 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 Sec. Sec. 229.7 and 229.9, and, 
other than the requirements of appendix D of this part, the inspection, 
maintenance, and testing of event recorders are limited to the 
requirements set forth in Sec. Sec. 229.25(e) and 229.27(d).

[[Page 581]]

    (e) Preserving accident data. If any locomotive equipped with an 
event recorder, or any other locomotive-mounted recording device or 
devices designed to record information concerning the functioning of a 
locomotive or train, is involved in an accident/incident that is 
required to be reported to FRA under part 225 of this chapter, the 
railroad that was using the locomotive at the time of the accident 
shall, to the extent possible, and to the extent consistent with the 
safety of life and property, preserve the data recorded by each such 
device for analysis by FRA. This preservation requirement permits the 
railroad to extract and analyze such data, provided the original 
downloaded data file, or an unanalyzed exact copy of it, 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 one (1) year 
after the date of the accident unless FRA or the Board notifies the 
railroad in writing that the data are desired for analysis.
    (f) 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 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.
    (g) 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 part 218 of this chapter and to disqualification from 
performing safety-sensitive functions on a railroad if found unfit for 
such duties under the procedures in part 209 of this chapter.

[45 FR 21109, Mar. 31, 1980, as amended at 75 FR 2697, Jan. 15, 2010]



Sec. 229.137  Sanitation, general requirements.

    (a) Sanitation compartment. Except as provided in paragraph (b) of 
this section, all lead locomotives in use shall be equipped with a 
sanitation compartment. Each sanitation compartment shall be:
    (1) Adequately ventilated;
    (2) Equipped with a door that:
    (i) Closes, and
    (ii) Possesses a modesty lock by [18 months after publication of the 
final rule];
    (3) Equipped with a toilet facility, as defined in this part;
    (4) Equipped with a washing system, as defined in this part, unless 
the railroad otherwise provides the washing system to employees upon 
reporting for duty or occupying the cab for duty, or where the 
locomotive is equipped with a stationary sink that is located outside of 
the sanitation compartment;
    (5) Equipped with toilet paper in sufficient quantity to meet 
employee needs, unless the railroad otherwise provides toilet paper to 
employees upon reporting for duty or occupying the cab for duty; and
    (6) Equipped with a trash receptacle, unless the railroad otherwise 
provides portable trash receptacles to employees upon reporting for duty 
or occupying the cab for duty.
    (b) Exceptions. (1) Paragraph (a) of this section shall not apply 
to:
    (i) Locomotives engaged in commuter service or other short-haul 
passenger service and commuter work trains on which employees have ready 
access to railroad-provided sanitation facilities outside of the 
locomotive or elsewhere on the train, that meet otherwise applicable 
sanitation standards, at frequent intervals during the course of their 
work shift;
    (ii) Locomotives engaged in switching service on which employees 
have ready access to railroad-provided sanitation facilities outside of 
the locomotive, that meet otherwise applicable

[[Page 582]]

sanitation standards, at frequent intervals during the course of their 
work shift;
    (iii) Locomotives engaged in transfer service on which employees 
have ready access to railroad-provided sanitation facilities outside of 
the locomotive, that meet otherwise applicable sanitation standards, at 
frequent intervals during the course of their work shift;
    (iv) Locomotives of Class III railroads engaged in operations other 
than switching service or transfer service, that are not equipped with a 
sanitation compartment as of June 3, 2002. Where an unequipped 
locomotive of a Class III railroad is engaged in operations other than 
switching or transfer service, employees shall have ready access to 
railroad-provided sanitation facilities outside of the locomotive that 
meet otherwise applicable sanitation standards, at frequent intervals 
during the course of their work shift, or the railroad shall arrange for 
enroute access to such facilities;
    (v) Locomotives of tourist, scenic, historic, or excursion railroad 
operations, which are otherwise covered by this part because they are 
not propelled by steam power and operate on the general railroad system 
of transportation, but on which employees have ready access to railroad-
provided sanitation facilities outside of the locomotive, that meet 
otherwise applicable sanitation standards, at frequent intervals during 
the course of their work shift; and
    (vi) Except as provided in Sec. 229.14 of this part, DMU, MU, and 
control cab locomotives designed for passenger occupancy and used in 
intercity push-pull service that are not equipped with sanitation 
facilities, where employees have ready access to railroad-provided 
sanitation in other passenger cars on the train at frequent intervals 
during the course of their work shift.
    (2) Paragraph (a)(3) of this section shall not apply to:
    (i) Locomotives of a Class I railroad which, prior to [the effective 
date of this section], were equipped with a toilet facility in which 
human waste falls via gravity to a holding tank where it is stored and 
periodically emptied, which does not conform to the definition of toilet 
facility set forth in this section. For these locomotives, the 
requirements of this section pertaining to the type of toilet facilities 
required shall be effective as these toilets become defective or are 
replaced with conforming units, whichever occurs first. All other 
requirements set forth in this section shall apply to these locomotives 
as of June 3, 2002; and
    (ii) With respect to the locomotives of a Class I railroad which, 
prior to June 3, 2002, were equipped with a sanitation system other than 
the units addressed by paragraph (b)(2)(i) of this section, that 
contains and removes human waste by a method that does not conform with 
the definition of toilet facility as set forth in this section, the 
requirements of this section pertaining to the type of toilet facilities 
shall apply on locomotives in use on July 1, 2003. However, the Class I 
railroad subject to this exception shall not deliver locomotives with 
such sanitation systems to other railroads for use, in the lead 
position, during the time between June 3, 2002, and July 1, 2003. All 
other requirements set forth in this section shall apply to the 
locomotives of this Class I railroad as of June 3, 2002.
    (c) Defective, unsanitary toilet facility; prohibition in lead 
position. Except as provided in paragraphs (c)(1) through (5) of this 
section, if the railroad determines during the daily inspection required 
by Sec. 229.21 that a locomotive toilet facility is defective or is 
unsanitary, or both, the railroad shall not use the locomotive in the 
lead position. The railroad may continue to use a lead locomotive with a 
toilet facility that is defective or unsanitary as of the daily 
inspection only where all of the following conditions are met:
    (1) The unsanitary or defective condition is discovered at a 
location where there are no other suitable locomotives available for 
use, ie., where it is not possible to switch another locomotive into the 
lead position, or the location is not equipped to clean the sanitation 
compartment if unsanitary or repair the toilet facility if defective;
    (2) The locomotive, while noncompliant, did not pass through a 
location where it could have been cleaned if unsanitary, repaired if 
defective, or

[[Page 583]]

switched with another compliant locomotive, since its last daily 
inspection required by this part;
    (3) Upon reasonable request of a locomotive crewmember operating a 
locomotive with a defective or unsanitary toilet facility, the railroad 
arranges for access to a toilet facility outside the locomotive that 
meets otherwise applicable sanitation standards;
    (4) If the sanitation compartment is unsanitary, the sanitation 
compartment door shall be closed and adequate ventilation shall be 
provided in the cab so that it is habitable; and
    (5) The locomotive shall not continue in service in the lead 
position beyond a location where the defective or unsanitary condition 
can be corrected or replaced with another compliant locomotive, or the 
next daily inspection required by this part, whichever occurs first.
    (d) Defective, unsanitary toilet facility; use in trailing position. 
If the railroad determines during the daily inspection required by Sec. 
229.21 that a locomotive toilet facility is defective or is unsanitary, 
or both, the railroad may use the locomotive in trailing position. If 
the railroad places the locomotive in trailing position, they shall not 
haul employees in the unit unless the sanitation compartment is made 
sanitary prior to occupancy. If the toilet facility is defective and the 
unit becomes occupied, the railroad shall clearly mark the defective 
toilet facility as unavailable for use.
    (e) Defective, sanitary toilet facility; use in switching, transfer 
service. If the railroad determines during the daily inspection required 
by Sec. 229.21 that a locomotive toilet facility is defective, but 
sanitary, the railroad may use the locomotive in switching service, as 
set forth in paragraph (b)(1)(ii) of this section, or in transfer 
service, as set forth in paragraph (b)(1)(iii) of this section for a 
period not to exceed 10 days. In this instance, the railroad shall 
clearly mark the defective toilet facility as unavailable for use. After 
expiration of the 10-day period, the locomotive shall be repaired or 
used in the trailing position.
    (f) Lack of toilet paper, washing system, trash receptacle. If the 
railroad determines during the daily inspection required by Sec. 229.21 
that the lead locomotive is not equipped with toilet paper in sufficient 
quantity to meet employee needs, or a washing system as required by 
paragraph (a)(4) of this section, or a trash receptacle as required by 
paragraph (a)(6) of this section, the locomotive shall be equipped with 
these items prior to departure.
    (g) Inadequate ventilation. If the railroad determines during the 
daily inspection required by Sec. 229.21 that the sanitation 
compartment of the lead locomotive in use is not adequately ventilated 
as required by paragraph (a)(1) of this section, the railroad shall 
repair the ventilation prior to departure, or place the locomotive in 
trailing position, in switching service as set forth in paragraph 
(b)(1)(ii) of this section, or in transfer service as set forth in 
paragraph (b)(1)(iii) of this section.
    (h) Door closure and modesty lock. If the railroad determines during 
the daily inspection required by Sec. 229.21 that the sanitation 
compartment on the lead locomotive is not equipped with a door that 
closes, as required by paragraph (a)(2)(i) of this section, the railroad 
shall repair the door prior to departure, or place the locomotive in 
trailing position, in switching service as set forth in paragraph 
(b)(1)(ii) of this section, or in transfer service as set forth in 
paragraph (b)(1)(iii) of this section. If the railroad determines during 
the daily inspection required by Sec. 229.21 that the modesty lock 
required by paragraph (a)(2)(ii) of this section is defective, the 
modesty lock shall be repaired pursuant to the requirements of Sec. 
229.139(e).
    (i) Equipped units; retention and maintenance. Except where a 
railroad downgrades a locomotive to service in which it will never be 
occupied, where a locomotive is equipped with a toilet facility as of 
[the effective date of the final rule], the railroad shall retain and 
maintain the toilet facility in the locomotive consistent with the 
requirements of this part, including locomotives used in switching 
service pursuant to paragraph (b)(1)(ii) of this section, and in 
transfer service pursuant to paragraph (b)(1)(iii) of this section.
    (j) Newly manufactured units; in-cab facilities. All locomotives 
manufactured after June 3, 2002, except switching

[[Page 584]]

units built exclusively for switching service and locomotives built 
exclusively for commuter service, shall be equipped with a sanitation 
compartment accessible to cab employees without exiting to the out-of-
doors for use. No railroad may use a locomotive built after June 3, 
2002, that does not comply with this subsection.
    (k) Potable water. The railroad shall utilize potable water where 
the washing system includes the use of water.

[67 FR 16050, Apr. 4, 2002, as amended at 71 FR 61857, Oct. 19, 2006]



Sec. 229.139  Sanitation, servicing requirements.

    (a) The sanitation compartment of each lead locomotive in use shall 
be sanitary.
    (b) All components required by Sec. 229.137(a) for the lead 
locomotive in use shall be present consistent with the requirements of 
this part, and shall operate as intended such that:
    (1) All mechanical systems shall function;
    (2) Water shall be present in sufficient quantity to permit 
flushing;
    (3) For those systems that utilize chemicals for treatment, the 
chemical (chlorine or other comparable oxidizing agent) used to treat 
waste must be present; and
    (4) No blockage is present that prevents waste from evacuating the 
bowl.
    (c) The sanitation compartment of each occupied locomotive used in 
switching service pursuant to Sec. 229.137(b)(1)(ii), in transfer 
service pursuant to Sec. 229.137(b)(1)(iii), or in a trailing position 
when the locomotive is occupied, shall be sanitary.
    (d) Where the railroad uses a locomotive pursuant to Sec. 
229.137(e) in switching or transfer service with a defective toilet 
facility, such use shall not exceed 10 calendar days from the date on 
which the defective toilet facility became defective. The date on which 
the toilet facility becomes defective shall be entered on the daily 
inspection report.
    (e) Where it is determined that the modesty lock required by Sec. 
229.137(a)(2) is defective, the railroad shall repair the modesty lock 
on or before the next 92-day inspection required by this part.

[67 FR 16050, Apr. 4, 2002]



Sec. 229.140  Alerters.

    (a) Except for locomotives covered by part 238 of this chapter, each 
of the following locomotives shall be equipped with a functioning 
alerter as described in paragraphs (b) through (d) of this section:
    (1) A locomotive that is placed in service for the first time on or 
after June 10, 2013, when used as a controlling locomotive and operated 
at speeds in excess of 25 mph.
    (2) All controlling locomotives operated at speeds in excess of 25 
mph on or after January 1, 2017.
    (b) The alerter on locomotives subject to paragraph (a) of this 
section shall be equipped with a manual reset and the alerter warning 
timing cycle shall automatically reset as the result of any of the 
following operations, and at least three of the following automatic 
resets shall be functional at any given time:
    (1) Movement of the throttle handle;
    (2) Movement of the dynamic brake control handle;
    (3) Movement of the operator's horn activation handle;
    (4) Movement of the operator's bell activation switch;
    (5) Movement of the automatic brake valve handle; or
    (6) Bailing the independent brake by depressing the independent 
brake valve handle.
    (c) All alerters shall provide an audio alarm upon expiration of the 
timing cycle interval. An alerter on a locomotive that is placed in 
service for the first time on or after June 10, 2013, shall display a 
visual indication to the operator at least five seconds prior to an 
audio alarm. The visual indication on an alerter so equipped shall be 
visible to the operator from their normal position in the cab.
    (d) Alerter warning timing cycle interval shall be within 10 seconds 
of the calculated setting utilizing the formula (timing cycle specified 
in seconds = 2400 / track speed specified in miles per hour). For 
locomotives operating at speeds below 20 mph, the interval shall be 
between 110 seconds and 130 seconds.
    (e) Any locomotive that is equipped with an alerter shall have the 
alerter functioning and operating as intended

[[Page 585]]

when the locomotive is used as a controlling locomotive.
    (f) A controlling locomotive equipped with an alerter shall be 
tested prior to departure from each initial terminal, or prior to being 
coupled as the lead locomotive in a locomotive consist by allowing the 
warning timing cycle to expire that results in an application of the 
locomotive brakes at a penalty rate.

[77 FR 21348, Apr. 9, 2012, as amended at 77 FR 75057, Dec. 19, 2012]



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.
    (6) On or after November 8, 1999, paragraph (a)(1) of this section 
does not apply to ``passenger equipment'' as defined in Sec. 238.5 of 
this chapter, unless such equipment is excluded from the requirements of 
Sec. Sec. 238.203 through 238.219, and Sec. 238.223 of this chapter by 
operation of Sec. 238.201(a)(2) of this chapter. Paragraphs (a)(2) 
through (a)(4) of this section 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 Sec. Sec. 238.203 through 238.219, 
and Sec. 238.223 of this chapter by operation of Sec. 238.201(a)(2) of 
this chapter.
    (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

[[Page 586]]

the coupler, without exceeding the yield points of the materials used. 
When a yielding type of coupler carrier 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.
    (6) On or after November 8, 1999, paragraph (a)(1) of this section 
does not apply to ``passenger equipment'' as defined in Sec. 238.5 of 
this chapter, unless such equipment is excluded from the requirements of 
Sec. Sec. 238.203 through 238.219, and Sec. 238.223 of this chapter by 
operation of Sec. 238.201(a)(2) of this chapter. Paragraphs (a)(2) 
through (a)(4) of this section 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 Sec. Sec. 238.203 through 238.219, 
and Sec. 238.223 of this chapter by operation of Sec. 238.201(a)(2) of 
this chapter.

[45 FR 21109, Mar. 31, 1980, as amended at 71 FR 36912, June 28, 2006]



        Subpart D_Locomotive Crashworthiness Design Requirements



Sec. 229.201  Purpose and scope.

    (a) Purpose. The purpose of this subpart is to help protect 
locomotive cab occupants in the event that a locomotive collides with 
another locomotive or piece of on-track equipment, a shifted load on a 
freight car on an adjacent parallel track, or a highway vehicle at a 
highway-rail grade crossing.
    (b) This subpart prescribes minimum crashworthiness standards for 
locomotives. It also establishes the requirements for obtaining FRA 
approval of: new locomotive crashworthiness design standards; changes to 
FRA-approved locomotive crashworthiness design standards; and 
alternative locomotive crashworthiness designs.

[71 FR 36912, June 28, 2006]



Sec. 229.203  Applicability.

    (a) Except as provided in paragraphs (b) and (c) of this section, 
this subpart applies to all locomotives manufactured or remanufactured 
on or after January 1, 2009.
    (b) Cab cars and power cars. The requirements of this subpart do not 
apply to cab control cars, MU locomotives, DMU locomotives, and semi-
permanently coupled power cars that are subject to the design 
requirements for such locomotives set forth in part 238 of this chapter.
    (c) Locomotives used in designated service. Locomotives used in 
designated service are exempt from the requirements of this subpart, 
with the exception of Sec. 229.233 (minimum requirements for fuel tank 
design), which remains applicable to such locomotives.

[71 FR 36912, June 28, 2006]



Sec. 229.205  General requirements.

    (a) Each wide-nose locomotive used in occupied service must meet the 
minimum crashworthiness performance requirements set forth in Appendix E 
of this part. Compliance with those performance criteria must be 
established by:
    (1) Meeting an FRA-approved crashworthiness design standard 
(including AAR S-580, Locomotive Crashworthiness Requirements). The 
Director of the Federal Register approves incorporation by reference of 
the AAR S-580 (revised July 2005), ``Locomotive Crashworthiness 
Requirements,'' in this section in accordance with 5 U.S.C. 552(a) and 1 
CFR part 51. You may obtain a copy of the incorporated standard from the 
Association of American Railroads, 50 F Street NW, Washington, DC 20001. 
You may inspect a copy of

[[Page 587]]

the incorporated standard at the Federal Railroad Administration, Docket 
Clerk, 1200 New Jersey Avenue, SE., Washington, DC 20590 or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html;
    (2) Meeting new design standards and changes to existing design 
standards approved by FRA pursuant to Sec. 229.207; or
    (3) Meeting an alternative crashworthiness design approved by FRA 
pursuant to Sec. 229.209.
    (b) A monocoque or semi-monocoque design locomotive must be designed 
in accordance with the provisions of AAR S-580, applicable to those 
types of locomotives, in accordance with Sec. Sec. 238.405(a), 238.409 
and 238.411 of this chapter, or in accordance with a standard or design 
approved by FRA as providing at least equivalent safety.
    (c) A narrow-nose locomotive must be designed in accordance with the 
provisions of AAR S-580, applicable to that type of locomotive 
(notwithstanding any limitation of scope contained in that standard) or 
in accordance with a standard or design approved by FRA as providing at 
least equivalent safety.

[71 FR 36912, June 28, 2006, as amended at 74 FR 25173, May 27, 2009]



Sec. 229.206  Design requirements.

    Each locomotive used in occupied service must meet the minimum anti-
climber, emergency egress, emergency interior lighting, and interior 
configuration design requirements set forth in AAR S-580 (incorporated 
by reference, see Sec. 229.205).

[71 FR 36912, June 28, 2006]



Sec. 229.207  New locomotive crashworthiness design standards and
changes to existing FRA-approved locomotive crashworthiness design
standards.

    (a) General. The following procedures govern consideration and 
action upon requests for FRA approval of new locomotive crashworthiness 
design standards and changes to existing FRA-approved locomotive 
crashworthiness design standards, including AAR S-580 (incorporated by 
reference, see Sec. 229.205). Only a standards body which has adopted 
an FRA-approved locomotive crashworthiness design standard may initiate 
these procedures for FRA approval of changes to the standard.
    (b) Petitions for FRA approval of new locomotive crashworthiness 
design standards. Each petition for FRA approval of a locomotive 
crashworthiness design standard must be titled ``Petition for FRA 
Approval of a New Locomotive Crashworthiness Design Standard,'' must be 
submitted to the Associate Administrator for Safety, Federal Railroad 
Administration, 1200 New Jersey Avenue, SE., Mail Stop 25, Washington, 
DC 20590, and must contain the following:
    (1) The name, title, address, telephone number and e-mail address of 
the primary person to be contacted with regard to review of the 
petition;
    (2) The proposed locomotive design standard, in detail;
    (3) The intended type of service for locomotives designed under the 
proposed standard; and
    (4) Appropriate data and analysis showing how the proposed design 
standard either satisfies the requirements of Sec. 229.205 for the type 
of locomotive design or provides at least an equivalent level of safety. 
Types of data and analysis to be considered are described in Sec. 
229.211(c)(1).
    (c) Petitions for FRA approval of substantive changes to an FRA-
approved locomotive crashworthiness design standard. Each petition for 
approval of a substantive change to an FRA-approved locomotive 
crashworthiness design standard must be titled ``Petition for FRA 
Approval of Changes to a Locomotive Crashworthiness Design Standard,'' 
must be submitted to the Associate Administrator for Safety, Federal 
Railroad Administration, 1200 New Jersey Avenue, SE., Mail Stop 25, 
Washington, DC 20590, and must contain the following:
    (1) The name, title, address, telephone number and e-mail address of 
the primary person to be contacted with regard to review of the 
petition;
    (2) The proposed change, in detail;

[[Page 588]]

    (3) The intended type of service for locomotives built with the 
proposed change; and
    (4) Appropriate data and analysis showing how the resulting standard 
either satisfies the requirements for the type of locomotive set forth 
in Sec. 229.205 or provides at least an equivalent level of safety. 
Types of data and analysis to be considered are described in Sec. 
229.211(c)(1).
    (d) Petitions for FRA approval of non-substantive changes to the 
existing FRA-approved crashworthiness design standards. (1) Each 
petition for approval of a non-substantive change to an FRA-approved 
locomotive crashworthiness design standard must be titled ``Petition for 
FRA Approval of Non-substantive Changes to a Locomotive Crashworthiness 
Design Standard,'' must be submitted to the Associate Administrator for 
Safety, Federal Railroad Administration, 1200 New Jersey Avenue, SE., 
Mail Stop 25, Washington, DC 20590, and must contain the following:
    (i) The name, title, address, telephone number and e-mail address of 
the primary person to be contacted with regard to review of the 
petition;
    (ii) The proposed change, in detail; and
    (iii) Detailed explanation of how the proposed change results in a 
non-substantive change to the existing FRA-approved crashworthiness 
design standard.
    (2) If FRA determines that the proposed change is substantive, FRA 
will process the petition in accordance with paragraph (c) of this 
section.

[71 FR 36912, June 28, 2006, as amended at 74 FR 25173, May 27, 2009]



Sec. 229.209  Alternative locomotive crashworthiness designs.

    (a) General. The following procedures govern consideration and 
action upon requests for FRA approval of locomotive crashworthiness 
designs which are not consistent with any FRA-approved locomotive 
crashworthiness design standard.
    (b) Petitions for FRA approval of alternative locomotive 
crashworthiness designs. Each petition for FRA approval of an 
alternative locomotive crashworthiness design must be titled ``Petition 
for FRA Approval of Alternative Locomotive Crashworthiness Design,'' 
must be submitted to the Associate Administrator for Safety, Federal 
Railroad Administration, 1200 New Jersey Avenue, SE., Mail Stop 25, 
Washington, DC 20590, and must contain the following:
    (1) The name, title, address, telephone number and e-mail address of 
the primary person to be contacted with regard to review of the 
petition;
    (2) The proposed locomotive crashworthiness design, in detail;
    (3) The intended type of service for locomotives built under the 
proposed design; and
    (4) Appropriate data and analysis showing how the design either 
satisfies the requirements of Sec. 229.205 for the type of locomotive 
or provides at least an equivalent level of safety. Types of data and 
analysis to be considered are described in Sec. 229.211(c)(1).

[71 FR 36913, June 28, 2006, as amended at 74 FR 25173, May 27, 2009]



Sec. 229.211  Processing of petitions.

    (a) Federal Register notice. FRA will publish in the Federal 
Register notice of receipt of each petition submitted under Sec. 
229.207(b), Sec. 229.207(c), or Sec. 229.209.
    (b) Comment. Not later than 60 days from the date of publication of 
the notice in the Federal Register concerning a petition submitted under 
Sec. Sec. 229.207(b), 229.207(c), or 229.209(b), any person may comment 
on the petition.
    (1) Each comment must 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) Each comment must be submitted to the U.S. Department of 
Transportation Docket Operations (M-30), West Building Ground Floor, 
Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590, and 
must contain the assigned docket number which appeared in the Federal 
Register for that proceeding. The form of such submission may be in 
written or electronic form consistent with the standards and 
requirements established by the Federal Docket Management System and 
posted on its Web site at http://www.regulations.gov.

[[Page 589]]

    (3) In the event FRA requires additional information to 
appropriately consider the petition, FRA will conduct a hearing on the 
petition in accordance with the procedures provided in Sec. 211.25 of 
this chapter.
    (c) Disposition of petitions. (1) In order to determine compliance 
with the performance criteria in appendix E of this part, FRA will 
consider proper documentation of competent engineering analysis, or 
practical demonstrations, or both which may include validated computer 
modeling, structural crush analysis, component testing, full scale crash 
testing in a controlled environment, or any combination of the 
foregoing, together with evidence of effective peer review.
    (2) If FRA finds that the petition complies with the requirements of 
this subpart and that the proposed change or new design standard 
satisfies the requirements of Sec. 229.205 for the type of locomotive, 
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 
granting of the petition. Following the granting of a petition, FRA may 
reopen consideration of the petition for cause stated. Any decision 
granting or denying a petition is placed in the public docket for the 
petition.
    (3) If FRA finds that the petition does not comply with the 
requirements of this subpart, or that the proposed change or new design 
standard does not satisfy the performance criteria contained in Appendix 
E of this part (where applicable), the petition will be denied, 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 re-open a denial of a petition for cause stated.
    (4) When FRA grants or denies a petition, or reopens consideration 
of the petition, written notice will be sent to the petitioner and other 
interested parties and a copy of the notice will be placed in the public 
docket of this proceeding.

[71 FR 36913, June 28, 2006, as amended at 74 FR 25173, May 27, 2009]



Sec. 229.213  Locomotive manufacturing information.

    (a) Each railroad operating a locomotive subject to the requirements 
of this subpart must retain the following information:
    (1) The date upon which the locomotive was manufactured or 
remanufactured;
    (2) The name of the manufacturer or remanufacturer of the 
locomotive; and
    (3) The design specification to which the locomotive was 
manufactured or remanufactured.
    (b) The information required in paragraph (a) of this section must 
be located permanently in the locomotive cab or be provided within two 
business days upon request of FRA or an FRA-certified State inspector.

[71 FR 36914, June 28, 2006]



Sec. 229.215  Retention and inspection of designs.

    (a) Retention of records--original designs. Each manufacturer or 
remanufacturer of a locomotive subject to this subpart shall retain all 
records of the original locomotive designs, including supporting 
calculations and drawings, pertaining to crashworthiness features 
required by this subpart. These records must be retained for the lesser 
period of:
    (1) The life of such locomotive, except that records for a 
locomotive destroyed in a rail equipment accident/incident shall be 
retained for at least 12 months following the accident/incident; or
    (2) Twenty years after the date of manufacture or, if 
remanufactured, twenty years after the date of remanufacture.
    (b) Retention of records--repairs and modifications. Each owner or 
lessee of a locomotive subject to this subpart shall retain all records 
of repair or modification to crashworthiness features required by this 
subpart. These records must be retained for the lesser period of:
    (1) The life of such locomotive, except that records for a 
locomotive destroyed in a rail equipment accident/incident shall be 
retained for at least 12 months following the accident/incident, or

[[Page 590]]

    (2) Twenty years after the date on which the repair or modification 
was performed.
    (c) Inspection of records. Each custodian of records referred to in 
paragraphs (a) and (b) shall, upon request by FRA or an FRA-certified 
State inspector, make available for inspection and duplication within 7 
days, any records referred to in paragraphs (a) and (b) of this section.
    (d) Third party storage of records. Each custodian of records 
referred to in paragraphs (a) and (b) of this section may delegate 
storage duties to a third party; however, the custodian retains all 
responsibility for compliance with this section.

[71 FR 36914, June 28, 2006]



Sec. 229.217  Fuel tank.

    (a) External fuel tanks. Locomotives equipped with external fuel 
tanks shall, at a minimum, comply with the requirements of AAR S-5506, 
``Performance Requirements for Diesel Electric Locomotive Fuel Tanks'' 
(October 1, 2001), except for section 4.4. This paragraph does not apply 
to locomotives subject to the fuel tank safety requirements of Sec. 
238.223 or Sec. 238.423 of this chapter. The Director of the Federal 
Register approves incorporation by reference of the AAR S-5506, 
``Performance Requirements for Diesel Electric Locomotive Fuel Tanks'' 
(October 1, 2001) in this section in accordance with 5 U.S.C. 552(a) and 
1 CFR part 51. You may obtain a copy of the incorporated standard from 
the Association of American Railroads, 50 F Street NW., Washington, DC 
20001. You may inspect a copy of the incorporated standard at the 
Federal Railroad Administration, Docket Clerk, 1200 New Jersey Avenue, 
SE., Washington, DC 20590 or at the National Archives and Records 
Administration (NARA). For more information on the availability of this 
material at NARA, call 202-741-6030, or go to http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
    (b) Internal fuel tanks. Locomotives equipped with internal fuel 
tanks shall, at a minimum, comply with the requirements of Sec. 
238.223(b) of this chapter.

[71 FR 36914, June 28, 2006, as amended at 74 FR 25173, May 27, 2009]



                    Subpart E_Locomotive Electronics

    Source: 77 FR 21348, Apr. 9, 2012, unless otherwise noted.



Sec. 229.301  Purpose and scope.

    (a) The purpose of this subpart is to promote the safe design, 
operation, and maintenance of safety-critical, as defined in Sec. 
229.305, electronic locomotive control systems, subsystems, and 
components.
    (b) Locomotive control systems or their functions that comingle with 
safety critical processor based signal and train control systems are 
regulated under part 236 subparts H and I of this chapter.



Sec. 229.303  Applicability.

    (a) The requirements of this subpart apply to all safety-critical 
electronic locomotive control systems, subsystems, and components (i.e., 
``products'' as defined in Sec. 229.305), except for the following:
    (1) Products that are fully developed prior to June 8, 2012.
    (2) Products that are under development as of October 9, 2012, and 
are fully developed prior to October 9, 2017.
    (3) Products that comingle locomotive control systems with safety 
critical processor based signal and train control systems;
    (4) Products that are used during on-track testing within a test 
facility; and
    (5) Products that are used during on-track testing outside a test 
facility, if approved by FRA. To obtain FRA approval of on-track testing 
outside of a test facility, a railroad shall submit a request to FRA 
that provides:
    (i) Adequate information regarding the function and history of the 
product that it intends to use;
    (ii) The proposed tests;
    (iii) The date, time and location of the tests; and
    (iv) The potential safety consequences that will result from 
operating the product for purposes of testing.

[[Page 591]]

    (b) Railroads and vendors shall identify all products identified in 
paragraph (a)(2) of this section to FRA by February 9, 2013.
    (c) The exceptions provided in paragraph (a) of this section do not 
apply to products or product changes that result in degradation of 
safety, or a material increase in safety-critical functionality.

[77 FR 21348, Apr. 9, 2012, as amended at 77 FR 75057, Dec. 19, 2012]



Sec. 229.305  Definitions.

    As used in this subpart--
    Cohesion is a measure of how strongly-related or focused the 
responsibilities of a system, subsystem, or component are.
    Comingle refers to the act of creating systems, subsystems, or 
components where the systems, subsystems, or components are tightly 
coupled and with low cohesion.
    Component means an electronic element, device, or appliance 
(including hardware or software) that is part of a system or subsystem.
    Configuration management control plan means a plan designed to 
ensure that the proper and intended product configuration, including the 
electronic hardware components and software version, is documented and 
maintained through the life-cycle of the products in use.
    Executive software means software common to all installations of a 
given electronic product. It generally is used to schedule the execution 
of the site-specific application programs, run timers, read inputs, 
drive outputs, perform self-diagnostics, access and check memory, and 
monitor the execution of the application software to detect unsolicited 
changes in outputs.
    Initialization refers to the startup process when it is determined 
that a product has all required data input and the product is prepared 
to function as intended.
    Loosely coupled means an attribute of systems, referring to an 
approach to designing interfaces across systems, subsystems, or 
components to reduce the interdependencies between them--in particular, 
reducing the risk that changes within one system, subsystem, or 
component will create unanticipated changes within other system, 
subsystem, or component.
    Materials handling refers to explicit instructions for handling 
safety-critical components established to comply with procedures 
specified by the railroad.
    Product means any safety critical electronic locomotive control 
system, subsystem, or component, not including safety critical processor 
based signal and train control systems, whose functions are directly 
related to safe movement and stopping of the train as well as the 
associated man-machine interfaces irrespective of the location of the 
control system, subsystem, or component.
    Revision control means a chain of custody regimen designed to 
positively identify safety-critical components and spare equipment 
availability, including repair/replacement tracking.
    Safety Analysis refers to a formal set of documentation which 
describes in detail all of the safety aspects of the product, including 
but not limited to procedures for its development, installation, 
implementation, operation, maintenance, repair, inspection, testing, and 
modification, as well as analyses supporting its safety claims.
    Safety-critical, as applied to a function, a system, or any portion 
thereof, means the correct performance of which is essential to safety 
of personnel or equipment, or both; or the incorrect performance of 
which could cause a hazardous condition, or allow a hazardous condition 
which was intended to be prevented by the function or system to exist.
    Subsystem means a defined portion of a system.
    System refers to any electronic locomotive control system and 
includes all subsystems and components thereof, as the context requires.
    Test facility means a track that is not part of the general railroad 
system of transportation and is being used exclusively for the purpose 
of testing equipment and has all of its public grade crossings 
protected.
    Tightly Coupled means an attribute of systems, referring to an 
approach to designing interfaces across systems, subsystems, or 
components to maximize the interdependencies between

[[Page 592]]

them. In particular, increasing the risk that changes within one system, 
subsystem, or component will create unanticipated changes within other 
system, subsystem, or component.

[77 FR 21348, Apr. 9, 2012, as amended at 77 FR 75057, Dec. 19, 2012]



Sec. 229.307  Safety analysis.

    (a) A railroad shall develop a Safety Analysis (SA) for each product 
subject to this subpart prior to the initial use of such product on 
their railroad.
    (b) The SA shall:
    (1) establish and document the minimum requirements that will govern 
the development and implementation of all products subject to this 
subpart, and be based on good engineering practice and should be 
consistent with the guidance contained in appendix F of this part in 
order to establish that a product's safety-critical functions will 
operate with a high degree of confidence in a fail-safe manner;
    (2) Include procedures for immediate repair of safety-critical 
functions; and
    (3) Be made available to FRA upon request.
    (c) Each railroad shall comply with the SA requirements and 
procedures related to the development, implementation, and repair of a 
product subject to this subpart.



Sec. 229.309  Safety-critical changes and failures.

    (a) Whenever a planned safety-critical design change is made to a 
product that is in use by a railroad and subject to this subpart, the 
railroad shall:
    (1) Notify FRA's Associate Administrator for Safety of the design 
changes made by the product supplier;
    (2) Ensure that the SA is updated as required;
    (3) Conduct all safety-critical changes in a manner that allows the 
change to be audited;
    (4) Specify all contractual arrangements with suppliers and private 
equipment owners for notification of any and all electronic safety-
critical changes as well as safety-critical failures in the suppliers 
and private equipment owners' system, subsystem, or components, and the 
reasons for that change or failure from the suppliers or equipment 
owners, whether or not the railroad has experienced a failure of that 
safety critical system, sub-system, or component;
    (5) Specify the railroad's procedures for action upon receipt of 
notification of a safety-critical change or failure of an electronic 
system, sub-system, or component, and until the upgrade or revision has 
been installed; and
    (6) Identify all configuration/revision control measures designed to 
ensure that safety-functional requirements and safety-critical hazard 
mitigation processes are not compromised as a result of any such change, 
and that any such change can be audited.
    (b) Product suppliers and private equipment owners shall report any 
safety-critical changes and previously unidentified hazards to each 
railroad using the product or equipment.
    (c) Private equipment owners shall establish configuration/revision 
control measures for control of safety-critical changes and 
identification of previously unidentified hazards.



Sec. 229.311  Review of SAs.

    (a) Prior to the initial planned use of a product subject to this 
subpart, a railroad shall inform the Associate Administrator for Safety/
Chief Safety Officer, FRA, 1200 New Jersey Avenue SE., Mail Stop 25, 
Washington, DC 20590 of the intent to place this product in service. The 
notification shall provide a description of the product, and identify 
the location where the complete SA documentation described in Sec. 
229.307, the testing records contained in Sec. 229.313, and the 
training and qualification program described in Sec. 229.319 is 
maintained.
    (b) FRA may review or audit the SA within 60 days of receipt of the 
notification or anytime after the product is placed in use. If FRA has 
not notified the railroad of its intent to review or audit the SA within 
the 60-day period, the railroad may assume that FRA does not intend to 
review or audit, and place the product in use. FRA reserves the right, 
however, to conduct a review or audit at a later date.
    (c) A railroad shall maintain and make available to FRA upon request 
all railroad or vendor documentation used to demonstrate that the 
product

[[Page 593]]

meets the safety requirements of the SA for the life-cycle of the 
product.
    (d) After a product is placed in service, the railroad shall 
maintain a database of all safety-relevant hazards encountered with the 
product. The database shall include all hazards identified in the SA and 
those that had not been previously identified in the SA. If the 
frequency of the safety-relevant hazards exceeds the threshold set forth 
in the SA, then the railroad shall:
    (1) Report the inconsistency by mail, facsimile, email, or hand 
delivery to the Director, Office of Safety Assurance and Compliance, 
FRA, 1200 New Jersey Ave. SE., Mail Stop 25, Washington, DC 20590, 
within 15 days of discovery;
    (2) Take immediate countermeasures to reduce the frequency of the 
safety-relevant hazard(s) below the threshold set forth in the SA; and
    (3) Provide a final report to FRA's Director, Office of Safety 
Assurance and Compliance, on the results of the analysis and 
countermeasures taken to reduce the frequency of the safety-relevant 
hazard(s) below the calculated probability of failure threshold set 
forth in the SA when the problem is resolved. For hazards not identified 
in the SA the threshold shall be exceeded at one occurrence.



Sec. 229.313  Product testing results and records.

    (a) Results of product testing conducted by a railroad as required 
by this subpart shall be recorded on preprinted forms provided by the 
railroad, or stored electronically. Electronic recordkeeping or 
automated tracking systems, subject to the provisions contained in 
paragraph (e) of this section, may be utilized to store and maintain any 
testing or training record required by this subpart. Results of product 
testing conducted by a vendor or private equipment owner in support of a 
SA shall be provided to the railroad as part of the SA.
    (b) The testing records shall contain all of the following:
    (1) The name of the railroad;
    (2) The location and date that the test was conducted;
    (3) The equipment tested;
    (4) The results of tests;
    (5) The repairs or replacement of equipment;
    (6) Any preventative adjustments made; and
    (7) The condition in which the equipment is left.
    (c) Each record shall be:
    (1) Signed by the employee conducting the test, or electronically 
coded, or identified by the automated test equipment number;
    (2) Filed in the office of a supervisory official having 
jurisdiction, unless otherwise noted; and
    (3) Available for inspection and copying by FRA.
    (d) The results of the testing conducted in accordance with this 
subpart shall be retained as follows:
    (1) The results of tests that pertain to installation or 
modification of a product shall be retained for the life-cycle of the 
product tested and may be kept in any office designated by the railroad;
    (2) The results of periodic tests required for the maintenance or 
repair of the product tested shall be retained until the next record is 
filed and in no case less than one year; and
    (3) The results of all other tests and training shall be retained 
until the next record is filed and in no case less than one year.
    (e) Electronic or automated tracking systems used to meet the 
requirements contained in paragraph (a) of this section shall be capable 
of being 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 authority to utilize an electronic or 
automated tracking system in lieu of preprinted forms if FRA finds that 
the electronic or automated tracking system is not properly secured, is 
inaccessible to FRA, or railroad employees requiring access to discharge 
their assigned duties, or fails to adequately track and monitor the 
equipment. The Associate Administrator for Safety will provide the 
affected railroad with a written statement of the basis for the decision 
prohibiting or revoking the railroad from utilizing an electronic or 
automated tracking system.

[[Page 594]]



Sec. 229.315  Operations and maintenance manual.

    (a) The railroad shall maintain all documents pertaining to the 
installation, maintenance, repair, modification, inspection, and testing 
of a product subject to this part in one Operations and Maintenance 
Manual (OMM).
    (1) The OMM shall be legible and shall be readily available to 
persons who conduct the installation, maintenance, repair, modification, 
inspection, and testing, and for inspection by FRA.
    (2) At a minimum, the OMM shall contain all product vendor operation 
and maintenance guidance.
    (b) The OMM shall contain the plans and detailed information 
necessary for the proper maintenance, repair, inspection, and testing of 
products subject to this subpart. The plans shall identify all software 
versions, revisions, and revision dates.
    (c) Hardware, software, and firmware revisions shall be documented 
in the OMM according to the railroad's configuration management control 
plan.
    (d) Safety-critical components, including spare products, shall be 
positively identified, handled, replaced, and repaired in accordance 
with the procedures specified in the railroad's configuration management 
control plan.
    (e) A railroad shall determine that the requirements of this section 
have been met prior to placing a product subject to this subpart in use 
on their property.



Sec. 229.317  Training and qualification program.

    (a) A railroad shall establish and implement training and 
qualification program for products subject to this subpart prior to the 
product being placed in use. These programs shall meet the requirements 
set forth in this section and in Sec. 229.319.
    (b) The program shall provide training for the individuals 
identified in this paragraph to ensure that they possess the necessary 
knowledge and skills to effectively complete their duties related to the 
product. These include:
    (1) Individuals whose duties include installing, maintaining, 
repairing, modifying, inspecting, and testing safety-critical elements 
of the product;
    (2) Individuals who operate trains or serve as a train or engine 
crew member subject to instruction and testing under part 217 of this 
chapter;
    (3) Roadway and maintenance-of-way workers whose duties require them 
to know and understand how the product affects their safety and how to 
avoid interfering with its proper functioning; and
    (4) Direct supervisors of the individuals identified in paragraphs 
(b)(1) through (3) of this section.
    (c) When developing the training and qualification program required 
in this section, a railroad shall conduct a formal task analysis. The 
task analysis shall:
    (1) Identify the specific goals of the program for each target 
population (craft, experience level, scope of work, etc.), task(s), and 
desired success rate;
    (2) Identify the installation, maintenance, repair, modification, 
inspection, testing, and operating tasks that will be performed on the 
railroad's products, including but not limited to the development of 
failure scenarios and the actions expected under such scenarios;
    (3) Develop written procedures for the performance of the tasks 
identified; and
    (4) Identify any additional knowledge, skills, and abilities above 
those required for basic job performance necessary to perform each task.
    (d) Based on the task analysis, a railroad shall develop a training 
curriculum that includes formally structured training designed to impart 
the knowledge, skills, and abilities identified as necessary to perform 
each task.
    (e) All individuals identified in paragraph (b) of this section 
shall successfully complete a training curriculum and pass an 
examination that covers the product and appropriate rules and tasks for 
which they are responsible (however, such persons may perform such tasks 
under the direct onsite supervision of a qualified person prior to 
completing such training and passing the examination).
    (f) A railroad shall conduct periodic refresher training at 
intervals to be

[[Page 595]]

formally specified in the program, except with respect to basic skills 
for which proficiency is known to remain high as a result of frequent 
repetition of the task.
    (g) A railroad shall conduct regular and periodic evaluations of the 
effectiveness of the training program, verifying the adequacy of the 
training material and its validity with respect to the railroad's 
products and operations.
    (h) A railroad shall maintain records that designate individuals who 
are qualified under this section until new designations are recorded or 
for at least one year after such persons leave applicable service. These 
records shall be maintained in a designated location and be available 
for inspection and replication by FRA.



Sec. 229.319  Operating Personnel Training.

    (a) The training required under Sec. 229.317 for any locomotive 
engineer or other person who participates in the operation of a train 
using an onboard electronic locomotive control system shall address all 
of the following elements and shall be specified in the training 
program.
    (1) Familiarization with the electronic control system equipment 
onboard the locomotive and the functioning of that equipment as part of 
the system and in relation to other onboard systems under that person's 
control;
    (2) Any actions required of the operating personnel to enable or 
enter data into the system and the role of that function in the safe 
operation of the train;
    (3) Sequencing of interventions by the system, including 
notification, enforcement, penalty initiation and post penalty 
application procedures as applicable;
    (4) Railroad operating rules applicable to control systems, 
including provisions for movement and protection of any unequipped 
trains, or trains with failed or cut-out controls;
    (5) Means to detect deviations from proper functioning of onboard 
electronic control system equipment and instructions explaining the 
proper response to be taken regarding control of the train and 
notification of designated railroad personnel; and
    (6) Information needed to prevent unintentional interference with 
the proper functioning of onboard electronic control equipment.
    (b) The training required under this subpart for a locomotive 
engineer and conductor, together with required records, shall be 
integrated into the program of training required by parts 240 and 242 of 
this chapter.



             Sec. 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, 1200 New Jersey 
Avenue, SE., Washington, DC 20590.

[45 FR 21109, Mar. 31, 1980, as amended at 74 FR 25174, May 27, 2009]

         Appendix B to Part 229--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
                           Subpart A--General
------------------------------------------------------------------------
229.7 Prohibited acts: Safety deficiencies not  $1,000-5,00  $2,000-7,50
 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
229.15 Remote control locomotives.............        2,500        5,000
229.17 Accident reports.......................        2,500        5,000
229.19 Prior Waivers..........................        (\1\)        (\1\)
------------------------------------------------------------------------

[[Page 596]]

 
                     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)(1) Inspection overdue.................        2,500        5,000
    (a)(2) Inspection performed improperly or         2,500        5,000
     at a location where the underneath
     portion cannot be safely inspected.......
    (b)(1) Inspection overdue.................        2,500        5,000
    (b)(2) Inspection overdue.................        2,500        5,000
    (c) Inspection overdue....................        2,500        5,000
    (e):
        (1) Form missing......................        1,000        2,000
        (2) Form not properly displayed.......        1,000        2,000
        (3) Form improperly executed..........        1,000        2,000
    (f) Replace Form FRA F 6180.49A by April 2  ...........
     or July 3................................
    (g) Secondary record of the information           1,000        2,000
     reported Form FRA F 6180.49A.............
229.25 Tests: every periodic inspection:
    (a) through (d)(4) and (e) and (f) Tests..        2,500        5,000
    (d)(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 based  1,000-5,000  2,000-7,500
 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
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        2,500        5,000
         but less than 3 in length.
        (2) One spot 3 or more in          5,000        7,500
         length...............................
        (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           2,500        5,000
         less than 1\5/8\ in
         length; and more than \1/2\ but less than \5/8\ in
         width................................
        (2) 1\5/8\ or more in              5,000        7,500
         length and \5/8\ 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         2,500        5,000
         than \13/16\..............
        (2) \13/16\ or less........        5,000        7,500

[[Page 597]]

 
    (g) Tread worn hollow.....................        2,500        5,000
    (h) Flange height of:
        (1) 1\1/2\ or greater but          2,500        5,000
         less than 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            2,500        5,000
         service and \3/4\ in yard
         service..............................
        (2) \15/16\ or less in road        5,000        7,500
         service 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 ``Danger''        2,500        5,000
229.87 Hand operated switches.................        2,500        5,000
229.89 Jumpers; cable connections:
    (a) Jumpers and cable connections; located        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................        1,000        1,500
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
229.114 Steam generator inspections and tests.        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
    (g) Failure to equip......................        2,500        5,000
    (h) Failure to maintain...................        2,500        5,000
    (i) Failure to equip......................        2,500        5,000
229.121 Locomotive Cab Noise:
    (a) Performance Standards
        (1) Failure to meet sound level.......        5,000        7,500
        (2) Improper maintenance alterations..        2,500        5,000
        (3) Failure to comply with static test        2,500        5,000
         protocols............................
    (b) Maintenance of Locomotives
        (1) Failure to maintain excessive             2,500        5,000
         noise report record or respond to
         report as required...................
        (3) Failure to make good faith effort         2,500        5,000
         as required..........................
        (4) Failure to maintain record as             2,000        4,000
         required.............................
229.123 Pilots, snowplows, end plates.........        2,500        5,000
229.125
  (a) Headlights..............................        2,500        5,000
  (d) Auxiliary lights........................        2,500        5,000
229.127 Cab lights............................        2,500        5,000
229.129 Locomotive horn:
(a) Prescribed sound levels...................        2,500        5,000
    Arrangement of horn.......................        2,500        5,000
(b) Failure to perform sound level test.......        2,500        5,000
(c) Sound level test improperly performed.....        2,500        5,000
    Record of sound level test improperly             1,000        4,000
     executed, or not retained................

[[Page 598]]

 
229.131 Sanders...............................        1,000        2,000
229.135 Event Recorders:
  (a) Lead locomotive without in-service event        2,500        5,000
   recorder...................................
  (b) Failure to meet equipment requirements..        2,500        5,000
  (c) Unauthorized removal or failure to              2,500        5,000
   remove from service........................
  (d) Improper response to out of service             2,500        5,000
   event recorder.............................
  (e) Failure to preserve data or unauthorized        2,500        5,000
   extraction of data.........................
  (g) Tampering with device or data...........        2,500        5,000
229.137 Sanitation, general:
    (a) Sanitation compartment in lead unit,         $5,000      $10,000
     complete failure to provide required
     items....................................
        (1) Ventilation.......................        2,500        5,000
        (2) Door missing......................        2,000        4,000
        (2)(i) Door doesn't close.............        1,000        2,000
        (2)(ii) No modesty lock...............        1,000        2,000
        (3) Not equipped with toilet in lead..        5,000       10,000
        (4) Not equipped with washing system..        1,000        2,000
        (5) Lack of paper.....................        1,000        2,000
        (6) Lack of trash receptacle..........        1,000        2,000
    (b) Exceptions:
        (1)(i) Commuter service, failure to           2,500        5,000
         meet conditions of exception.........
        (1)(ii) Switching service, failure to         2,500        5,000
         meet conditions of exception.........
        (1)(iii) Transfer service, failure to         2,500        5,000
         meet conditions of exception.........
        (1)(iv) Class III, failure to meet            2,500        5,000
         conditions of exception..............
        (1)(v) Tourist, failure to meet               2,500        5,000
         conditions of exception..............
        (1)(vi) Control cab locomotive,               2,500        5,000
         failure to meet conditions of
         exception............................
        (2) Noncompliant toilet...............        5,000       10,000
    (c) Defective/unsanitary toilet in lead           2,500        5,000
     unit.....................................
        (1-5) Failure to meet conditions of           2,500        5,000
         exception............................
    (d) Defective/unsanitary unit; failure to         2,500        5,000
     meet conditions for trailing position....
    (e) Defective/sanitary unit; failure to           2,500        5,000
     meet conditions for switching/transfer
     service..................................
    (f) Paper, washing, trash holder; failure         2,500        5,000
     to equip prior to departure..............
    (g) Inadequate ventilation; failure to            2,500        5,000
     repair or move prior to departure........
    (h) Door closure/modesty lock; failure to         1,000        2,000
     repair or move...........................
    (i) Failure to retain/maintain of equipped        2,500        5,000
     units....................................
    (j) Failure to equip new units/in-cab             2,500        5,000
     facility.................................
    (k) Failure to provide potable water......        2,500        5,000
229.139 Servicing requirements:
    (a) Lead occupied unit not sanitary.......        2,500        5,000
    (b) Components not present/operating......        2,500        5,000
    (c) Occupied unit in switching, transfer          2,500        5,000
     service, in trailing position not
     sanitary.................................
    (d) Defective unit used more than 10 days.        2,500        5,000
    (e) Failure to repair defective modesty           1,000        2,000
     lock.....................................
229.140 Alerters..............................        2,500        5,000
229.141 Body structure, MU locomotives........        2,500        5,000
------------------------------------------------------------------------
        Subpart D--Locomotive Crashworthiness Design Requirements
 
------------------------------------------------------------------------
229.205 General requirements:.................
    (a)(1) Wide-nose locomotive not designed         $5,000       $7,500
     in compliance with AAR S-580-2005........
        (2) Wide-nose locomotive not designed         5,000        7,500
         in compliance with new approved
         design standard......................
        (3) Wide-nose locomotive not designed         5,000        7,500
         in compliance with alternate approved
         design standard......................
    (b) Monocoque or semi-monocoque locomotive        5,000        7,500
     not in compliance with design
     requirements.............................
    (c) Narrow-nose not in compliance with            5,000        7,500
     design requirements......................
229.206 Design requirements:
    Locomotive fails to meet--
        (1) Emergency egress requirements.....        2,500        5,000
        (2) Emergency interior lighting               2,500        5,000
         requirements.........................
        (3) Interior configuration                    2,500        5,000
         requirements.........................
229.213 Locomotive manufacturing information:
    (a) Failure to retain required information        2,500        5,000
    (b) Failure to produce required                   2,500        5,000
     information..............................
229.215 Retention and inspection of designs:
    (a) Failure to retain required design             2,500        5,000
     records..................................
    (b) Failure to retain required repair or          2,500        5,000
     modification records.....................
    (c) Failure to make records available when        2,500        5,000
     requested................................
229.217 Fuel tank:
    (a) External fuel tank....................        5,000        7,500
    (b) Internal fuel tank....................        5,000        7,500
------------------------------------------------------------------------
                    Subpart E--Locomotive Electronics
229.307 Safety analysis:

[[Page 599]]

 
    (a) Failure to establish and maintain a           5,000       10,000
     safety analysis..........................
    (b) Failure to provide safety analysis            2,500        5,000
     upon request.............................
    (c) Failure to comply with safety analysis  5,000-10,00       15,000
                                                          0
229.309 Safety-critical changes and failure:
    (a)(1) Failure to notify FRA..............        1,000        2,000
    (a)(2) Failure to update safety analysis..        3,500        7,000
    (a)(4) Failure to notify manufacturer.....       10,000       15,000
    (b) Failure to notify railroad............       10,000       15,000
    (c) Failure to establish and maintain             3,500        7,000
     program..................................
229.311 Review of SAs:
    (a) Failure to notify FRA.................        1,000        2,000
    (b) Failure to report.....................        1,000        2,000
    (c) Failure to correct safety hazards.....  5,000-10,00       15,000
                                                          0
    (d) Failure to final report...............        1,000        2,000
229.313 Product testing results and records:
    (a) Failure to maintain records and               5,000       10,000
     database.................................
    (b) Incomplete testing records............        3,500        7,000
    (c) Improper signature....................        3,500        7,000
229.315 Operations and maintenance manual:
    (a) Failure to implement and maintain             5,000       10,000
     manual...................................
    (c) Failure to document revisions.........        5,000       10,000
    (d) Failure to follow plan................  5,000-10,00       15,000
                                                          0
229.317 Training and qualification program:
    (a) Failure to establish and implement            5,000       10,000
     program..................................
    (b) Failure to conduct training...........        2,500        5,000
    (g) Failure to evaluate program...........        2,500        5,000
    (h) Failure to maintain records...........        1,500        3,000
229.319 Operating personnel training..........        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 $27,455 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 $109,819
  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; 67 FR 16052, Apr. 4, 
2002; 69 FR 30594, May 28, 2004; 70 FR 21920, Apr. 27, 2005; 70 FR 
37942, June 30, 2005; 71 FR 36915, June 28, 2006; 71 FR 47667, Aug. 17, 
2006; 71 FR 63136, Oct. 27, 2006; 72 FR 51197, Sept. 6, 2007; 73 FR 
79703, Dec. 30, 2008; 77 FR 21351, Apr. 9, 2012; 77 FR 24421, Apr. 24, 
2012; 81 FR 43111, July 1, 2016]



 Sec. 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.



 Sec. Appendix D to Part 229--Criteria for Certification of Crashworthy 
                      Event Recorder Memory Module

    Section 229.135(b) requires that certain locomotives be equipped 
with an event recorder that includes a certified crashworthy event 
recorder memory module. This appendix prescribes the requirements for 
certifying an event recorder memory module (ERMM) as crashworthy, 
including the performance criteria and test sequence for establishing 
the crashworthiness of the ERMM as well as the marking of the event 
recorder containing the crashworthy ERMM.

                         A. General Requirements

    1. Each manufacturer that represents its ERMM as crashworthy shall, 
by marking it as specified in Section B of this appendix, certify that 
the ERMM meets the performance criteria contained in this appendix and 
that test verification data are available to a railroad or to FRA upon 
request.
    2. The test verification data shall contain, at a minimum, all 
pertinent original data logs and documentation that the test sample 
preparation, test set up, test measuring devices and test procedures 
were performed by designated, qualified personnel using recognized and 
acceptable practices. Test

[[Page 600]]

verification data shall be retained by the manufacturer or its successor 
as long as the specific model of ERMM remains in service on any 
locomotive.
    3. A crashworthy ERMM shall be marked by its manufacturer as 
specified in Section B of this appendix.

                         B. Marking Requirements

    1. The outer surface of the event recorder containing a certified 
crashworthy ERMM shall be colored international orange. In addition, the 
outer surface shall be inscribed, on the surface allowing the most 
visible area, in black letters on an international orange background, 
using the largest type size that can be accommodated, with the words 
CERTIFIED DOT CRASHWORTHY, followed by the ERMM model number (or other 
such designation), and the name of the manufacturer of the event 
recorder. This information may be displayed as follows:

CERTIFIED DOT CRASHWORTHY

Event Recorder Memory Module Model Number

Manufacturer's Name

Marking ``CERTIFIED DOT CRASHWORTHY'' on an event recorder designed for 
installation in a railroad locomotive is the certification that all 
performance criteria contained in this appendix have been met and all 
functions performed by, or on behalf of, the manufacturer whose name 
appears as part of the marking, conform to the requirements specified in 
this appendix.

    2. Retro-reflective material shall be applied to the edges of each 
visible external surface of an event recorder containing a certified 
crashworthy ERMM.

                  C. Performance Criteria for the ERMM

    An ERMM is crashworthy if it has been successfully tested for 
survival under conditions of fire, impact shock, static crush, fluid 
immersion, and hydro-static pressure contained in one of the two tables 
shown in this section of appendix D. (See Tables 1 and 2.) Each ERMM 
must meet the individual performance criteria in the sequence 
established in Section D of this appendix. A performance criterion is 
deemed to be met if, after undergoing a test established in this 
appendix D for that criterion, the ERMM has preserved all of the data 
stored in it. The data set stored in the ERMM to be tested shall include 
all the recording elements required by Sec. 229.135(b). The following 
tables describe alternative performance criteria that may be used when 
testing an ERMM's crashworthiness. A manufacturer may utilize either 
table during its testing but may not combine the criteria contained in 
the two tables.

                               Table 1--Acceptable Performance Criteria--Option A
----------------------------------------------------------------------------------------------------------------
              Parameter                         Value                   Duration                 Remarks
----------------------------------------------------------------------------------------------------------------
Fire, High Temperature...............  750  C (1400  F).......  60 minutes.............  Heat source: Oven.
Fire, Low Temperature................  260  C (500  F)........  10 hours...............
Impact Shock.........................  55g....................  100 ms.................  \1/2\ sine crash pulse.
Static Crush.........................  110kN (25,000 lbf).....  5 minutes.
Fluid Immersion......................  1 Diesel,       Any single fluid, 48
                                        2 Diesel,       hours.
                                        Water, Salt Water,
                                        Lube Oil.
                                       Fire Fighting Fluid....  10 minutes, following    Immersion followed by
                                                                 immersion above.         48 hours in a dry
                                                                                          location without
                                                                                          further disturbance.
Hydrostatic Pressure.................  Depth equivalent = 15    48 hours at nominal
                                        m. (50 ft.).             temperature of 25  C
                                                                 (77  F).
----------------------------------------------------------------------------------------------------------------


                               Table 2--Acceptable Performance Criteria--Option B
----------------------------------------------------------------------------------------------------------------
              Parameter                         Value                   Duration                 Remarks
----------------------------------------------------------------------------------------------------------------
Fire, High Temperature...............  1000  C (1832  F)......  60 minutes.............  Heat source: Open
                                                                                          flame.
Fire, Low Temperature................  260  C (500  F)........  10 hours...............  Heat source: Oven.
Impact Shock--Option 1...............  23gs...................  250 ms.................
Impact Shock--Option 2...............  55gs...................  100 ms.................  \1/2\ sine crash pulse.
Static Crush.........................  111.2kN (25,000 lbf)...  5 minutes.               .......................
                                       44.5kN (10,000 lbf)....  (single ``squeeze'')...  Applied to 25% of
                                                                                          surface of largest
                                                                                          face.
Fluid Immersion......................  1 Diesel,       48 hours each.
                                        2 Diesel,
                                        Water, Salt Water,
                                        Lube Oil, Fire
                                        Fighting Fluid.
Hydrostatic Pressure.................  46.62 psig (= 30.5 m.    48 hours at nominal
                                        or 100 ft.).             temperature of 25  C
                                                                 (77  F).
----------------------------------------------------------------------------------------------------------------


[[Page 601]]

                           D. Testing Sequence

    In order to reasonably duplicate the conditions an event recorder 
may encounter, the ERMM shall meet the various performance criteria, 
described in Section C of this appendix, in a set sequence. (See Figure 
1). If all tests are done in the set sequence (single branch testing), 
the same ERMM must be utilized throughout. If a manufacturer opts for 
split branch testing, each branch of the test must be conducted using an 
ERMM of the same design type as used for the other branch. Both 
alternatives are deemed equivalent, and the choice of single branch 
testing or split branch testing may be determined by the party 
representing that the ERMM meets the standard.
[GRAPHIC] [TIFF OMITTED] TR30JN05.002

                          E. Testing Exception

    If a new model ERMM represents an evolution or upgrade from an older 
model ERMM that was previously tested and certified as meeting the 
performance criteria contained in Section C of this appendix, the new 
model ERMM need only be tested for compliance with those performance 
criteria contained in Section C of this appendix that are potentially 
affected by the upgrade or modification. FRA will consider a performance 
criterion not to be potentially affected if a preliminary engineering 
analysis or other pertinent data establishes that the modification or 
upgrade will not change the performance of the older model ERMM against 
the performance criterion in question. The manufacturer shall retain and 
make available to FRA upon request any analysis or data relied upon to 
satisfy the requirements of this paragraph to sustain an exception from 
testing.

[70 FR 37942, June 30, 2005]



    Sec. Appendix E to Part 229--Performance Criteria for Locomotive 
                             Crashworthiness

    This appendix provides performance criteria for the crashworthiness 
evaluation of alternative locomotive designs, and design standards for 
wide-nosed locomotives and any for other locomotive, except monocoque/
semi-monocoque design locomotives and narrow-nose design locomotives. 
Each of the following criteria describes a collision scenario and a 
given performance measure for protection provided to cab occupants, 
normally through structural design. Demonstration that these performance 
criteria have been satisfied may be accomplished through any of the 
methods described in Sec. 229.205. This performance criteria is 
intended to prevent intrusion into the cab seating area occupied by 
crews. This excludes inner and outer vestibule areas.

[[Page 602]]

    (a) Front end structure (collision posts)--(1) Objective. The front 
end structure of the locomotive must withstand a frontal impact with a 
proxy object which is intended to simulate lading carried by a heavy 
highway vehicle (see figure 1).
    (2) Proxy object characteristics and orientation. The proxy object 
must have the following characteristics: Cylindrical shape; 48-inch 
diameter; 126-inch length; 65,000 pound minimum weight; and uniform 
density. The longitudinal axis of the proxy object must be oriented 
horizontally perpendicular to the longitudinal axis of the locomotive.
    (3) Impact and result. The front end structure of the locomotive 
must withstand a 30-mph impact with the proxy object resulting in no 
more than 24 inches of crush along the longitudinal axis of the 
locomotive, measured from the foremost point on the collision post, and 
with no more than 12 inches of intrusion into the cab. The center of 
impact must be 30 inches above the top of the locomotive underframe 
along the longitudinal centerline of the locomotive.
[GRAPHIC] [TIFF OMITTED] TR28JN06.004

    (b) Front end structure (short hood) (1) Objective. The front end 
structure of the locomotive must withstand an oblique impact with a 
proxy object intended to simulate an intermodal container offset from a 
freight car on an adjacent parallel track (see figure 2).
    (2) Proxy object characteristics and orientation. The proxy object 
must have the following characteristics: Block shape; 36-inch width; 60-
inch height; 108-inch length; corners having 3-inch radii corners; 
65,000 pound minimum weight; and uniform density. The longitudinal axis 
of the proxy object must be oriented parallel to the longitudinal axis 
of the locomotive. At impact, the proxy object must be oriented such 
that there are 12 inches of lateral overlap and 30 inches from the 
bottom of the proxy object to the top of the locomotive underframe.

[[Page 603]]

    (3) Impact and results. The front end structure of the locomotive 
must withstand a 30-mph impact with the proxy object resulting in no 
more than 60 inches of crush along the longitudinal axis of the 
locomotive, measured from the first point of contact on the short hood 
post, and with no more than 12 inches of intrusion into the cab.
[GRAPHIC] [TIFF OMITTED] TR28JN06.005


[71 FR 36915, June 28, 2006]



Sec. Appendix F to Part 229--Recommended Practices for Design and Safety 
                                Analysis

    The purpose of this appendix is to provide recommended criteria for 
design and safety analysis that will maximize the safety of electronic 
locomotive control systems and mitigate potential negative safety 
effects. It seeks to promote full disclosure of potential safety risks 
to facilitate minimizing or eliminating elements of risk where 
practicable. It discuses critical elements of good engineering practice 
that the designer should consider when developing safety critical 
electronic locomotive control systems to accomplish this objective. The 
criteria and processes specified this appendix is intended to minimize 
the probability of failure to an acceptable level within the limitations 
of the available engineering science, cost, and other constraints. 
Railroads procuring safety critical electronic locomotive controls are 
encouraged to ensure that their vendor addresses each of the elements of 
this appendix in the design of the product being procured. FRA uses the 
criteria and processes set forth in this appendix (or other technically 
equivalent criteria and processes that may be recommended by industry) 
when evaluating analyses, assumptions, and conclusions provided in the 
SA documents.

                               Definitions

    In addition to the definitions contained in Sec. 229.305, the 
following definitions are applicable to this Appendix:
    Hazard means an existing or potential condition that can result in 
an accident.
    High degree of confidence, as applied to the highest level of 
aggregation, means there exists credible safety analysis supporting the 
conclusion that the risks associated with the product have been 
adequately mitigated.

[[Page 604]]

    Human factors refers to a body of knowledge about human limitations, 
human abilities, and other human characteristics, such as behavior and 
motivation, that shall be considered in product design.
    Human-machine interface (HMI) means the interrelated set of controls 
and displays that allows humans to interact with the machine.
    Risk means the expected probability of occurrence for an individual 
accident event (probability) multiplied by the severity of the expected 
consequences associated with the accident (severity).
    Risk assessment means the process of determining, either 
quantitatively or qualitatively, the measure of risk associated with use 
of the product under all intended operating conditions.
    System Safety Precedence means the order of precedence in which 
methods used to eliminate or control identified hazards within a system 
are implemented.
    Validation means the process of determining whether a product's 
design requirements fulfill its intended design objectives during its 
development and life-cycle. The goal of the validation process is to 
determine ``whether the correct product was built.''
    Verification means the process of determining whether the results of 
a given phase of the development cycle fulfill the validated 
requirements established at the start of that phase. The goal of the 
verification process is to determine ``whether the product was built 
correctly.''

                Safety Assessments--Recommended Contents

    The safety-critical assessment of each product should include all of 
its interconnected subsystems and components and, where applicable, the 
interaction between such subsystems. FRA recommends that such 
assessments contain the following:
    (a) A complete description of the product, including a list of all 
product components and their physical relationship in the subsystem or 
system;
    (b) A description of the railroad operation or categories of 
operations on which the product is designed to be used;
    (c) An operational concepts document, including a complete 
description of the product functionality and information flows; as well 
as identifying which functions are intended to enhance or preserve 
safety and the manner in which the product architecture implements these 
functions;
    (d) A safety requirements document, including a list with complete 
descriptions of all functions, which the product performs to enhance or 
preserve safety, and that describes the manner in which product 
architecture satisfies safety requirements;
    (e) A hazard log consisting of a comprehensive description of all 
safety relevant hazards addressed during the life cycle of the product, 
including maximum threshold limits for each hazard (for unidentified 
hazards, the threshold shall be exceeded at one occurrence);
    (f) A risk assessment and analysis.
    (1) The risk metric for the proposed product should describe with a 
high degree of confidence the accumulated risk of a locomotive control 
system that operates over the intended product life. Each risk metric 
for the proposed product should be expressed with an upper bound, as 
estimated with a sensitivity analysis, and the risk value selected is 
demonstrated to have a high degree of confidence.
    (2) Each risk calculation should consider the totality of the 
locomotive control system and its method of operation. The failure modes 
of each subsystem or component, or both, should be determined for the 
integrated hardware/software (where applicable) as a function of the 
Mean Time to Hazardous Events (MTTHE), failure restoration rates, and 
the integrated hardware/software coverage of all processor based 
subsystems or components, or both. Train operating and movement rules, 
along with components that are layered in order to enhance safety-
critical behavior, should also be considered.
    (3) An MTTHE value should be calculated for each subsystem or 
component, or both, indicating the safety-critical behavior of the 
integrated hardware/software subsystem or component, or both. The human 
factor impact should be included in the assessment, whenever applicable, 
to provide an integrated MTTHE value. The MTTHE calculation should 
consider the rates of failures caused by permanent, transient, and 
intermittent faults accounting for the fault coverage of the integrated 
hardware/software subsystem or component, phased-interval maintenance, 
and restoration of the detected failures.
    (4) The analysis should clearly document:
    (i) Any assumptions regarding the reliability or availability of 
mechanical, electric, or electronic components. Such assumptions include 
MTTF projections, as well as Mean Time To Repair (MTTR) projections, 
unless the risk assessment specifically explains why these assumptions 
are not relevant. The analysis should document these assumptions in such 
a form as to permit later comparisons with in-service experience (e.g., 
a spreadsheet). The analysis should also document any assumptions 
regarding human performance. The documentation should be in a form that 
facilitates later comparisons with in-service experience.
    (ii) Any assumptions regarding software defects. These assumptions 
should be in a form which permits the railroad to project the likelihood 
of detecting an in-service software defect and later comparisons with 
in-service experience.

[[Page 605]]

    (iii) All of the identified safety-critical fault paths leading to a 
mishap as predicted by the SA. The documentation should be in a form 
that facilitates later comparisons with in-service faults.
    (4) MTTHE compliance verification and validation should be based on 
the assessment of the design for verification and validation process, 
historical performance data, analytical methods and experimental safety 
critical performance testing performed on the subsystem or component. 
The compliance process shall be demonstrated to be compliant and 
consistent with the MTTHE metric and demonstrated to have a high degree 
of confidence.
    (5) The safety-critical behavior of all non-processor based 
components, which are part of a processor-based system or subsystem, 
should be quantified with an MTTHE metric. The MTTHE assessment 
methodology should consider failures caused by permanent, transient, and 
intermittent faults, phase interval maintenance and restoration of 
failures and the effect of fault coverage of each non-processor-based 
subsystem or component. The MTTHE compliance verification and validation 
should be based on the assessment of the design for verification and 
validation process, historical performance data, analytical methods and 
experimental safety critical performance testing performed on the 
subsystem or component. The non-processor based quantification 
compliance should also be demonstrated to have a high degree of 
confidence.
    (g) A hazard mitigation analysis, including a complete and 
comprehensive description of all hazards to be addressed in the system 
design and development, mitigation techniques used, and system safety 
precedence followed;
    (h) A complete description of the safety assessment and verification 
and validation processes applied to the product and the results of these 
processes;
    (i) A complete description of the safety assurance concepts used in 
the product design, including an explanation of the design principles 
and assumptions; the designer should address each of the following 
safety considerations when designing and demonstrating the safety of 
products covered by this part. In the event that any of these principles 
are not followed, the analysis should describe both the reason(s) for 
departure and the alternative(s) utilized to mitigate or eliminate the 
hazards associated with the design principle not followed.
    (1) Normal operation. The system (including all hardware and 
software) should demonstrate safe operation with no hardware failures 
under normal anticipated operating conditions with proper inputs and 
within the expected range of environmental conditions. All safety-
critical functions should be performed properly under these normal 
conditions. Absence of specific operator actions or procedures will not 
prevent the system from operating safely. Hazards categorized as 
unacceptable should be eliminated by design. Best effort should also be 
made by the designer to eliminate hazards that are undesirable. Those 
undesirable hazards that cannot be eliminated must be mitigated to an 
acceptable level.
    (2) Systematic failure. It should be shown how the product is 
designed to mitigate or eliminate unsafe systematic failures--those 
conditions which can be attributed to human error that could occur at 
various stages throughout product development. This includes unsafe 
errors in the software due to human error in the software specification, 
design or coding phase, or both; human errors that could impact hardware 
design; unsafe conditions that could occur because of an improperly 
designed human-machine interface; installation and maintenance errors; 
and errors associated with making modifications.
    (3) Random failure. The product should be shown to operate safely 
under conditions of random hardware failure. This includes single as 
well as multiple hardware failures, particularly in instances where one 
or more failures could occur, remain undetected (latent) and react in 
combination with a subsequent failure at a later time to cause an unsafe 
operating situation. In instances involving a latent failure, a 
subsequent failure is similar to there being a single failure. In the 
event of a transient failure, and if so designed, the system should 
restart itself if it is safe to do so. Frequency of attempted restarts 
should be considered in the hazard analysis. There should be no single 
point failures in the product that can result in hazards categorized as 
unacceptable or undesirable. Occurrence of credible single point 
failures that can result in hazards shall be detected and the product 
shall be detected and the product should achieve a known state that 
eliminates the possibility of false activation of any physical 
appliance. If one non-self-revealing failure combined with a second 
failure can cause a hazard that is categorized as unacceptable or 
undesirable, then the second failure should be detected and the product 
must achieve a known safe state that eliminates the possibility of false 
activation.
    (4) Common Mode failure. Another concern of multiple failures 
involves common mode failure in which two or more subsystems or 
components intended to compensate one another to perform the same 
function all fail by the same mode and result in unsafe conditions. This 
is of particular concern in instances in which two or more elements 
(hardware or software, or both) are used in combination to ensure 
safety. If a common mode failure exists, then any analysis cannot rely 
on the assumption that failures are

[[Page 606]]

independent. Examples include: the use of redundancy in which two or 
more elements perform a given function in parallel and when one 
(hardware or software) element checks/monitors another element (of 
hardware or software) to help ensure its safe operation. Common mode 
failure relates to independence, which shall be ensured in these 
instances. When dealing with the effects of hardware failure, the 
designer should address the effects of the failure not only on other 
hardware, but also on the execution of the software, since hardware 
failures can greatly affect how the software operates.
    (5) External influences. The product should operate safely when 
subjected to different external influences, including:
    (i) Electrical influences such as power supply anomalies/transients, 
abnormal/improper input conditions (e.g., outside of normal range inputs 
relative to amplitude and frequency, unusual combinations of inputs) 
including those related to a human operator, and others such as 
electromagnetic interference or electrostatic discharges, or both;
    (ii) Mechanical influences such as vibration and shock; and climatic 
conditions such as temperature and humidity.
    (6) Modifications. Safety must be ensured following modifications to 
the hardware or software, or both. All or some of the concerns 
previously identified may be applicable depending upon the nature and 
extent of the modifications.
    (7) Software. Software faults should not cause hazards categorized 
as unacceptable or undesirable.
    (8) Closed Loop Principle. The product design should require 
positive action to be taken in a prescribed manner to either begin 
product operation or continue product operation.
    (j) A human factors analysis, including a complete description of 
all human-machine interfaces, a complete description of all functions 
performed by humans in connection with the product to enhance or 
preserve safety, and an analysis of the physical ergonomics of the 
product on the operators and the safe operation of the system;
    (k) A complete description of the specific training of railroad and 
contractor employees and supervisors necessary to ensure the safe and 
proper installation, implementation, operation, maintenance, repair, 
inspection, testing, and modification of the product;
    (l) A complete description of the specific procedures and test 
equipment necessary to ensure the safe and proper installation, 
implementation, operation, maintenance, repair, inspection, test, and 
modification of the product. These procedures, including calibration 
requirements, should be consistent with or explain deviations from the 
equipment manufacturer's recommendations;
    (m) A complete description of the necessary security measures for 
the product over its life-cycle;
    (n) A complete description of each warning to be placed in the 
Operations and Maintenance Manual and of all warning labels required to 
be placed on equipment as necessary to ensure safety;
    (o) A complete description of all initial implementation testing 
procedures necessary to establish that safety-functional requirements 
are met and safety-critical hazards are appropriately mitigated;
    (p) A complete description of all post-implementation testing 
(validation) and monitoring procedures, including the intervals 
necessary to establish that safety-functional requirements, safety-
critical hazard mitigation processes, and safety-critical tolerances are 
not compromised over time, through use, or after maintenance (repair, 
replacement, adjustment) is performed; and
    (q) A complete description of each record necessary to ensure the 
safety of the system that is associated with periodic maintenance, 
inspections, tests, repairs, replacements, adjustments, and the system's 
resulting conditions, including records of component failures resulting 
in safety relevant hazards;
    (r) A complete description of any safety-critical assumptions 
regarding availability of the product, and a complete description of all 
backup methods of operation; and
    (s) The configuration/revision control measures designed to ensure 
that safety-functional requirements and safety-critical hazard 
mitigation processes are not compromised as a result of any change. 
Changes classified as maintenance require validation.

  Guidance Regarding the Application of Human Factors in the Design of 
                                Products

    The product design should sufficiently incorporate human factors 
engineering that is appropriate to the complexity of the product; the 
gender, educational, mental, and physical capabilities of the intended 
operators and maintainers; the degree of required human interaction with 
the component; and the environment in which the product will be used. 
HMI design criteria minimize negative safety effects by causing 
designers to consider human factors in the development of HMIs. As used 
in this discussion, ``designer'' means anyone who specifies requirements 
for--or designs a system or subsystem, or both, for--a product subject 
to this part, and ``operator'' means any human who is intended to 
receive information from, provide information to, or perform repairs or 
maintenance on a safety critical locomotive control product subject to 
this part.
    I. FRA recommends that system designers should:
    (a) Design systems that anticipate possible user errors and include 
capabilities to catch

[[Page 607]]

errors before they propagate through the system;
    (b) Conduct cognitive task analyses prior to designing the system to 
better understand the information processing requirements of operators 
when making critical decisions;
    (c) Present information that accurately represents or predicts 
system states; and
    (d) Ensure that electronics equipment radio frequency emissions are 
compliant with appropriate Federal Communications Commission (FCC) 
regulations. The FCC rules and regulations are codified in Title 47 of 
the Code of Federal Regulations (CFR). The following documentation is 
applicable to obtaining FCC Equipment Authorization:
    (1) OET Bulletin Number 61 (October, 1992 Supersedes May, 1987 
issue) FCC Equipment Authorization Program for Radio Frequency Devices. 
This document provides an overview of the equipment authorization 
program to control radio interference from radio transmitters and 
certain other electronic products and how to obtain an equipment 
authorization.
    (2) OET Bulletin 63: (October 1993) Understanding The FCC Part 15 
Regulations for Low Power, Non-Licensed Transmitters. This document 
provides a basic understanding of the FCC regulations for low power, 
unlicensed transmitters, and includes answers to some commonly-asked 
questions. This edition of the bulletin does not contain information 
concerning personal communication services (PCS) transmitters operating 
under Part 15, Subpart D of the rules.
    (3) Title 47 Code of Federal Regulations Parts 0 to 19. The FCC 
rules and regulations governing PCS transmitters may be found in 47 CFR, 
Parts 0 to 19.
    (4) OET Bulletin 62 (December 1993) Understanding The FCC 
Regulations for Computers and other Digital Devices. This document has 
been prepared to provide a basic understanding of the FCC regulations 
for digital (computing) devices, and includes answers to some commonly-
asked questions.
    II. Human factors issues designers should consider with regard to 
the general functioning of a system include:
    (a) Reduced situational awareness and over-reliance. HMI design 
shall give an operator active functions to perform, feedback on the 
results of the operator's actions, and information on the automatic 
functions of the system as well as its performance. The operator shall 
be ``in-the loop.'' Designers should consider at minimum the following 
methods of maintaining an active role for human operators:
    (1) The system should require an operator to initiate action to 
operate the train and require an operator to remain ``in-the-loop'' for 
at least 30 minutes at a time;
    (2) The system should provide timely feedback to an operator 
regarding the system's automated actions, the reasons for such actions, 
and the effects of the operator's manual actions on the system;
    (3) The system should warn operators in advance when they require an 
operator to take action;
    (4) HMI design should equalize an operator's workload; and
    (5) HMI design should not distract from the operator's safety 
related duties.
    (b) Expectation of predictability and consistency in product 
behavior and communications. HMI design should accommodate an operator's 
expectation of logical and consistent relationships between actions and 
results. Similar objects should behave consistently when an operator 
performs the same action upon them. End users have a limited memory and 
ability to process information. Therefore, HMI design should also 
minimize an operator's information processing load.
    (1) To minimize information processing load, the designer should:
    (i) Present integrated information that directly supports the 
variety and types of decisions that an operator makes;
    (ii) Provide information in a format or representation that 
minimizes the time required to understand and act; and
    (iii) Conduct utility tests of decision aids to establish clear 
benefits such as processing time saved or improved quality of decisions.
    (2) To minimize short-term memory load, the designer should 
integrate data or information from multiple sources into a single format 
or representation (``chunking'') and design so that three or fewer 
``chunks'' of information need to be remembered at any one time. To 
minimize long-term memory load, the designer should design to support 
recognition memory, design memory aids to minimize the amount of 
information that should be recalled from unaided memory when making 
critical decisions, and promote active processing of the information.
    (3) When creating displays and controls, the designer shall consider 
user ergonomics and should:
    (i) Locate displays as close as possible to the controls that affect 
them;
    (ii) Locate displays and controls based on an operator's position;
    (iii) Arrange controls to minimize the need for the operator to 
change position;
    (iv) Arrange controls according to their expected order of use;
    (v) Group similar controls together;
    (vi) Design for high stimulus-response compatibility (geometric and 
conceptual);
    (vii) Design safety-critical controls to require more than one 
positive action to activate (e.g., auto stick shift requires two 
movements to go into reverse);
    (viii) Design controls to allow easy recovery from error; and
    (ix) Design display and controls to reflect specific gender and 
physical limitations of the intended operators.

[[Page 608]]

    (4) Detailed locomotive ergonomics human machine interface guidance 
may be found in ``Human Factors Guidelines for Locomotive Cabs'' (FRA/
ORD-98/03 or DOT-VNTSC-FRA-98-8).
    (5) The designer should also address information management. To that 
end, HMI design should:
    (i) Display information in a manner which emphasizes its relative 
importance;
    (ii) Comply with the ANSI/HFS 100-2007, or more recent standard;
    (iii) Utilize a display luminance that has a difference of at least 
35cd/m2 between the foreground and background (the displays should be 
capable of a minimum contrast 3:1 with 7:1 preferred, and controls 
should be provided to adjust the brightness level and contrast level);
    (iv) Display only the information necessary to the user;
    (v) Where text is needed, use short, simple sentences or phrases 
with wording that an operator will understand and appropriate to the 
educational and cognitive capabilities of the intended operator;
    (vi) Use complete words where possible; where abbreviations are 
necessary, choose a commonly accepted abbreviation or consistent method 
and select commonly used terms and words that the operator will 
understand;
    (vii) Adopt a consistent format for all display screens by placing 
each design element in a consistent and specified location;
    (viii) Display critical information in the center of the operator's 
field of view by placing items that need to be found quickly in the 
upper left hand corner and items which are not time-critical in the 
lower right hand corner of the field of view;
    (ix) Group items that belong together;
    (x) Design all visual displays to meet human performance criteria 
under monochrome conditions and add color only if it will help the user 
in performing a task, and use color coding as a redundant coding 
technique;
    (xi) Limit the number of colors over a group of displays to no more 
than seven;
    (xii) Design warnings to match the level of risk or danger with the 
alerting nature of the signal; and
    (xiii) With respect to information entry, avoid full QWERTY 
keyboards for data entry.
    (6) With respect to problem management, the HMI designer should 
ensure that the HMI design:
    (i) enhances an operator's situation awareness;
    (ii) supports response selection and scheduling; and
    (iii) supports contingency planning.
    (7) Designers should comply with FCC requirements for Maximum 
Permissible Exposure limits for field strength and power density for the 
transmitters operating at frequencies of 300 kHz to 100 GHz and specific 
absorption rate (SAR) limits for devices operating within close 
proximity to the body. The Commission's requirements are detailed in 
Parts 1 and 2 of the FCC's Rules and Regulations (47 CFR 1.1307(b), 
1.1310, 2.1091, 2.1093). The FCC has a number of bulletins and 
supplements that offer guidelines and suggestions for evaluating 
compliance. These documents are not intended to establish mandatory 
procedures; other methods and procedures may be acceptable if based on 
sound engineering practice.
    (i) OET Bulletin No. 65 (Edition 97-01, August 1997), ``Evaluating 
Compliance With FCC Guidelines For Human Exposure To Radio frequency 
Electromagnetic Fields'';
    (ii) OET Bulletin No 65 Supplement A, (Edition 97-01, August 1997), 
OET Bulletin No 65 Supplement B (Edition 97-01, August 1997); and
    (iii) OET Bulletin No 65 Supplement C (Edition 01-01, June 2001). 
This bulletin provides assistance in determining whether proposed or 
existing transmitting facilities, operations, or devices comply with 
limits for human exposure to radio frequency RF fields adopted by the 
FCC.

          Guidance for Verification and Validation of Products

    The goal of this assessment is to provide an evaluation of the 
product manufacturer's utilization of safety design practices during the 
product's development and testing phases, as required by the applicable 
railroad's requirements, the requirements of this part, and any other 
previously agreed-upon controlling documents or standards. The standards 
employed for verification or validation, or both, of products shall be 
sufficient to support achievement of the applicable requirements of this 
part.
    (a) The latest version of the following standards have been 
recognized by FRA as providing appropriate risk analysis processes for 
incorporation into verification and validation standards.
    (1) U.S. Department of Defense Military Standard (MIL-STD) 882C, 
``System Safety Program Requirements'' (January 19, 1993);
    (2) The most recent CENLE/IEC Standards as follows:
    (i) EN50126:/IEC 62278, Railway Applications: Communications, 
Signaling, and Processing Systems Specification and Demonstration of 
Reliability, Availability, Maintainability and Safety (RAMS);
    (ii) EN50128/IEC 62279, Railway Applications: Communications, 
Signaling, and Processing Systems Software for Railway Control and 
Protection Systems;
    (iii) EN50129, Railway Applications: Communications, Signaling, and 
Processing Systems-Safety Related Electronic Systems for Signaling; and

[[Page 609]]

    (iv) EN50155, Railway Applications: Electronic Equipment Used in 
Rolling Stock.
    (3) ATCS Specification 140, Recommended Practices for Safety and 
Systems Assurance.
    (4) ATCS Specification 130, Software Quality Assurance.
    (5) Safety of High Speed Ground Transportation Systems. Analytical 
Methodology for Safety Validation of Computer Controlled Subsystems. 
Volume II: Development of a Safety Validation Methodology. Final Report 
September 1995. Author: Jonathan F. Luedeke, Battelle. DOT/FRA/ORD-95/
10.2.
    (6) IEC 61508 (International Electro-technical Commission), 
Functional Safety of Electrical/Electronic/Programmable/Electronic 
Safety (E/E/P/ES) Related Systems, Parts 1-7 as follows:
    (i) IEC 61508-1 (1998-12) Part 1: General requirements and IEC 
61508-1 Corr. (1999-05) Corrigendum 1-Part 1: General Requirements;
    (ii) IEC 61508-2 (2000-05) Part 2: Requirements for electrical/
electronic/programmable electronic safety-related systems;
    (iii) IEC 61508-3 (1998-12) Part 3: Software requirements and IEC 
61508-3 Corr.1(1999-04) Corrigendum 1-Part3: Software requirements;
    (iv) IEC 61508-4 (1998-12) Part 4: Definitions and abbreviations and 
IEC 61508-4 Corr.1(1999-04) Corrigendum 1-Part 4: Definitions and 
abbreviations;
    (v) IEC 61508-5 (1998-12) Part 5: Examples of methods for the 
determination of safety integrity levels and IEC 61508-5 Corr.1 (1999-
04) Corrigendum 1 Part 5: Examples of methods for determination of 
safety integrity levels;
    (vi) 1IEC 61508-6 (2000-04) Part 6: Guidelines on the applications 
of IEC 61508-2 and -3; and,
    (vii) IEC 61508-7 (2000-03) Part 7: Overview of techniques and 
measures.
    (7) ANSI/GEIA-STD-0010: Standard Best Practices for System Safety 
Program Development and Execution
    (b) When using unpublished standards, including proprietary 
standards, the standards should be available for inspection and 
replication by the railroad and FRA and should be available for public 
examination.
    (c) Third party assessments. The railroad, the supplier, or FRA may 
conclude it is necessary for a third party assessment of the system. A 
third party assessor should be ``independent''. An ``independent third 
party'' means a technically competent entity responsible to and 
compensated by the railroad (or an association on behalf of one or more 
railroads) that is independent of the supplier of the product. An entity 
that is owned or controlled by the supplier, that is under common 
ownership or control with the supplier, or that is otherwise involved in 
the development of the product would not be considered ``independent''.
    (1) The reviewer should not engage in design efforts, in order to 
preserve the reviewer's independence and maintain the supplier's 
proprietary right to the product. The supplier should provide the 
reviewer access to any, and all, documentation that the reviewer 
requests and attendance at any design review or walk through that the 
reviewer determines as necessary to complete and accomplish the third 
party assessment. Representatives from FRA or the railroad might 
accompany the reviewer.
    (2) Third party reviews can occur at a preliminary level, a 
functional level, or implementation level. At the preliminary level, the 
reviewer should evaluate with respect to safety and comment on the 
adequacy of the processes, which the supplier applies to the design, and 
development of the product. At a minimum, the reviewer should compare 
the supplier processes with industry best practices to determine if the 
vendor methodology is acceptable and employ any other such tests or 
comparisons if they have been agreed to previously with the railroad or 
FRA. Based on these analyses, the reviewer shall identify and document 
any significant safety vulnerabilities that are not adequately mitigated 
by the supplier's (or user's) processes. At the functional level, the 
reviewer evaluates the adequacy, and comprehensiveness, of the safety 
analysis, and any other documents pertinent to the product being 
assessed for completeness, correctness, and compliance with applicable 
standards. This includes, but is not limited to the Preliminary Hazard 
Analysis (PHA), the Hazard Log (HL), all Fault Tree Analyses (FTA), all 
Failure Mode and Effects Criticality Analysis (FMECA), and other hazard 
analyses. At the implementation level, the reviewer randomly selects 
various safety-critical software modules for audit to verify whether the 
system process and design requirements were followed. The number of 
modules audited shall be determined as a representative number 
sufficient to provide confidence that all un-audited modules were 
developed in similar manner as the audited module. During this phase the 
reviewer would also evaluate and comment on the adequacy of the plan for 
installation and test of the product for revenue service.
    (d) Reviewer Report. Upon completion of an assessment, the reviewer 
prepares a final report of the assessment. The report should contain the 
following information:
    (1) The reviewer's evaluation of the adequacy of the risk analysis, 
including the supplier's MTTHE and risk estimates for the product, and 
the supplier's confidence interval in these estimates;
    (2) Product vulnerabilities which the reviewer felt were not 
adequately mitigated, including the method by which the railroad would 
assure product safety in the event of a hardware or software failure 
(i.e., how does

[[Page 610]]

the railroad or vendor assure that all potentially hazardous failure 
modes are identified?) and the method by which the railroad or vendor 
addresses comprehensiveness of the product design for the requirements 
of the operations it will govern (i.e., how does the railroad and/or 
vendor assure that all potentially hazardous operating circumstances are 
identified? Who records any deficiencies identified in the design 
process? Who tracks the correction of these deficiencies and confirms 
that they are corrected?);
    (3) A clear statement of position for all parties involved for each 
product vulnerability cited by the reviewer;
    (4) Identification of any documentation or information sought by the 
reviewer that was denied, incomplete, or inadequate;
    (5) A listing of each design procedure or process which was not 
properly followed;
    (6) Identification of the software verification and validation 
procedures for the product's safety-critical applications, and the 
reviewer's evaluation of the adequacy of these procedures;
    (7) Methods employed by the product manufacturer to develop safety-
critical software, such as use of structured language, code checks, 
modularity, or other similar generally acceptable techniques; and
    (8) Methods by which the supplier or railroad addresses 
comprehensiveness of the product design which considers the safety 
elements.

[77 FR 21352, Apr. 9, 2012]



                 Sec. Appendix G to Part 229 [Reserved]



 Sec. Appendix H to Part 229--Static Noise Test Protocols--In-Cab Static

    This appendix prescribes the procedures for the in-cab static 
measurements of locomotives.

                     I. Measurement Instrumentation

    The instrumentation used should conform to the following: An 
integrating-averaging sound level meter shall meet all the requirements 
of ANSI S1.43-1997 (Reaffirmed 2002), ``Specifications for Integrating-
Averaging Sound Level Meters,'' for a Type 1 Instrument. In the event 
that a Type 1 instrument is not available, the measurements may be 
conducted with a Type 2 instrument. The acoustic calibrator shall meet 
the requirement of the ANSI S1.40-1984 (Reaffirmed 2001), 
``Specification for Acoustical Calibrators.'' The Director of the 
Federal Register approves the incorporation by reference of ANSI S1.43-
1997 (Reaffirmed 2002) and ANSI S1.40-1984 (Reaffirmed 2001) in this 
section in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may 
obtain a copy of the incorporated standards from the American National 
Standards Institute at 1819 L Street, NW., Washington, DC 20036 or 
http://www.ansi.org. You may inspect a copy of the incorporated 
standards at the Federal Railroad Administration, Docket Room, 1200 New 
Jersey Avenue, SE., Washington, DC 20950, or at the National Archives 
and Records Administration (NARA). For information on the availability 
of this material at NARA, call 202-741-6030, or go to http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html

                       II. Test Site Requirements

    The test site shall meet the following requirements:
    (1) The locomotive to be tested should not be positioned where large 
reflective surfaces are directly adjacent to or within 25 feet of the 
locomotive cab.
    (2) The locomotive to be tested should not be positioned where other 
locomotives or rail cars are present on directly adjacent tracks next to 
or within 25 feet of the locomotive cab.
    (3) All windows, doors, cabinets seals, etc., must be installed in 
the locomotive cab and be closed.
    (4) The locomotive must be running for sufficient time before the 
test to be at normal operating temperature.
    (5) The heating, ventilation and air conditioning (HVAC) system or a 
dedicated heating or air conditioner system must be operating on high, 
and the vents must be open and unobstructed.
    (6) The locomotive shall not be tested in any site specifically 
designed to artificially lower in-cab noise levels.

                     III. Procedures for Measurement

    (1) LAeq, T is defined as the A-weighted, equivalent 
sound level for a duration of T seconds, and the sound level meter shall 
be set for A-weighting with slow response.
    (2) The sound level meter shall be calibrated with the acoustic 
calibrator immediately before and after the in-cab static tests. The 
calibration levels shall be recorded.
    (3) Any change in the before and after calibration level(s) shall be 
less than 0.5 dB.
    (4) The sound level meter shall be measured at each of the following 
locations:
    (A) 30 inches above the center of the left seat;
    (B) Centered in the middle of the cab between the right and left 
seats, and 56 inches above the floor;
    (C) 30 inches above the center of the right seat; and
    (D) One foot (0.3 meters) from the center of the back interior wall 
of the cab and 56 inches above the floor. See Figure 1.

[[Page 611]]

[GRAPHIC] [TIFF OMITTED] TR27OC06.005

    (5) The observer shall stand as far from the microphone as possible. 
No more than two people (tester, observers or crew members) shall be 
inside the cab during measurements.
    (6) The locomotive shall be tested under self-loading conditions if 
so equipped. If the locomotive is not equipped with self load, the 
locomotive shall be tested with no-load (No-load defined as maximum 
RPM--no electric load) and an adjustment of 3 dB added to the measured 
level.
    (7) The sound level shall be recorded at the highest horsepower or 
throttle setting.
    (8) After the engine speed has become constant and the in-cab noise 
is continuous, LAeq, T shall be measured, either directly or 
using a 1 second sampling interval, for a minimum duration of 30 seconds 
at each measurement position (LAeq, 30s).
    (9) The highest LAeq, 30s of the 4 measurement positions 
shall be used for determining compliance with Sec. 229.121(a).
    (10) A locomotive that has failed to meet the static test 
requirements of this regulation may be re-tested in accordance with the 
requirements in section II of this appendix.

                            IV. Recordkeeping

    To demonstrate compliance, the entity conducting the test shall 
maintain records of the following data. The records created under this 
procedure shall be retained and made readily accessible for review for a 
minimum of three years. All records may be maintained in either written 
or electronic form.
    (1) Name(s) of persons conducting the test, and the date of the 
test.
    (2) Description of locomotive being tested, including: make, model 
number, serial number, and date of manufacture.
    (3) Description of sound level meter and calibrator, including: 
make, model, type, serial number, and manufacturer's calibration date.
    (4) The recorded measurement during calibration and for each 
microphone location during operating conditions.
    (5) Other information as appropriate to describe the testing 
conditions and procedure, including whether or not the locomotive was 
tested under self-loading conditions, or not.
    (6) Where a locomotive fails a test and is re-tested under the 
provisions of Sec. III(9) of this appendix, the suspected reason(s) for 
the failure.

[71 FR 63136, Oct. 27, 2006, as amended at 74 FR 25174, May 27, 2009]



PART 230_STEAM LOCOMOTIVE INSPECTION AND MAINTENANCE STANDARDS--Table of Contents



                            Subpart A_General

Sec.
230.1 Purpose and scope.
230.2 Applicability.
230.3 Implementation.
230.4 Penalties.
230.5 Preemptive effect.
230.6 Waivers.
230.7 Responsibility for compliance.
230.8 Definitions.
230.9 Information collection.
230.10 [Reserved]

[[Page 612]]

                     General Inspection Requirements

230.11 Repair of non-complying conditions.
230.12 Movement of non-complying steam locomotives.
230.13 Daily inspection.
230.14 Thirty-one (31) service day inspection.
230.15 Ninety-two (92) service day inspection.
230.16 Annual inspection.
230.17 One thousand four hundred seventy-two (1472) service day 
          inspection.

                       Recordkeeping Requirements

230.18 Service days.
230.19 Posting of FRA Form No. 1 and FRA Form No. 3.
230.20 Alteration and repair report for steam locomotive boilers.
230.21 Steam locomotive number change.
230.22 Accident reports.

                   Subpart B_Boilers and Appurtenances

230.23 Responsibility for general construction and safe working 
          pressure.

                            Allowable Stress

230.24 Maximum allowable stress.
230.25 Maximum allowable stress on stays and braces.

                          Strength of Materials

230.26 Tensile strength of shell plates.
230.27 Maximum shearing strength of rivets.
230.28 Higher shearing strength of rivets.

                          Inspection and Repair

230.29 Inspection and repair.
230.30 Lap-joint seam boilers.
230.31 Flues to be removed.
230.32 Time and method of inspection.
230.33 Welded repairs and alterations.
230.34 Riveted repairs and alterations.

                       Pressure Testing of Boilers

230.35 Pressure testing.
230.36 Hydrostatic testing of boilers.
230.37 Steam test following repairs or alterations.

                                Staybolts

230.38 Telltale holes.
230.39 Broken staybolts.
230.40 Time and method of staybolt testing.
230.41 Flexible staybolts with caps.

                              Steam Gauges

230.42 Location of gauges.
230.43 Gauge siphon.
230.44 Time of testing.
230.45 Method of testing.
230.46 Badge plates.
230.47 Boiler number.

                          Safety Relief Valves

230.48 Number and capacity.
230.49 Setting of safety relief valves.
230.50 Time of testing.

                      Water Glasses and Gauge Cocks

230.51 Number and location.
230.52 Water glass valves.
230.53 Time of cleaning.
230.54 Testing and maintenance.
230.55 Tubular type water and lubricator glasses and shields.
230.56 Water glass lamps.

               Injectors, Feedwater Pumps, and Flue Plugs

230.57 Injectors and feedwater pumps.
230.58 Flue plugs.

                              Fusible Plugs

230.59 Fusible plugs.

                             Washing Boilers

230.60 Time of washing.
230.61 Arch tubes, water bar tubes, circulators and thermic siphons.

                               Steam Pipes

230.62 Dry pipe.
230.63 Smoke box, steam pipes and pressure parts.

                               Steam Leaks

230.64 Leaks under lagging.
230.65 Steam blocking view of engine crew.

                 Subpart C_Steam Locomotives and Tenders

230.66 Design, construction, and maintenance.
230.67 Responsibility for inspection and repairs.

                            Speed Indicators

230.68 Speed indicators.

                                Ash Pans

230.69 Ash pans.

                       Brake and Signal Equipment

230.70 Safe condition.
230.71 Orifice testing of compressors.
230.72 Testing main reservoirs.
230.73 Air gauges.
230.74 Time of cleaning.
230.75 Stenciling dates of tests and cleaning.
230.76 Piston travel.
230.77 Foundation brake gear.
230.78 Leakage.
230.79 Train signal system.

[[Page 613]]

                Cabs, Warning Signals, Sanders and Lights

230.80 Cabs.
230.81 Cab aprons.
230.82 Fire doors.
230.83 Cylinder cocks.
230.84 Sanders.
230.85 Audible warning device.
230.86 Required illumination.
230.87 Cab lights.

                      Throttles and Reversing Gear

230.88 Throttles.
230.89 Reverse gear.

                       Draw Gear and Draft Systems

230.90 Draw gear between locomotive and tender.
230.91 Chafing irons.
230.92 Draw gear and draft systems.

                              Driving Gear

230.93 Pistons and piston rods.
230.94 Crossheads.
230.95 Guides.
230.96 Main, side, and valve motion rods.
230.97 Crank pins.

                              Running Gear

230.98 Driving, trailing, and engine truck axles.
230.99 Tender truck axles.
230.100 Defects in tender truck axles and journals.
230.101 Steam locomotive driving journal boxes.
230.102 Tender plain bearing journal boxes.
230.103 Tender roller bearing journal boxes.
230.104 Driving box shoes and wedges.
230.105 Lateral motion.

                  Trucks, Frames and Equalizing System

230.106 Steam locomotive frame.
230.107 Tender frame and body.
230.108 Steam locomotive leading and trailing trucks.
230.109 Tender trucks.
230.110 Pilots.
230.111 Spring rigging.

                            Wheels and Tires

230.112 Wheels and tires.
230.113 Wheels and tire defects.
230.114 Wheel centers.

                         Steam Locomotive Tanks

230.115 Feed water tanks.
230.116 Oil tanks.

Appendix A to Part 230--Inspection Requirements
Appendix B to Part 230--Diagrams and Drawings
Appendix C to Part 230--FRA Inspection Forms
Appendix D to Part 230--Civil Penalty Schedule

    Authority: 49 U.S.C. 20103, 20107, 20702; 28 U.S.C. 2461, note; and 
49 CFR 1.89.

    Source: 64 FR 62865, Nov. 17, 1999, unless otherwise noted.



                            Subpart A_General



Sec. 230.1  Purpose and scope.

    This part prescribes minimum Federal safety standards for all steam-
propelled locomotives operated on railroads to which this part applies. 
This part does not restrict a railroad from adopting and enforcing 
additional or more stringent requirements not inconsistent with this 
part.



Sec. 230.2  Applicability.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all railroads that operate steam locomotives.
    (b) This part does not apply to:
    (1) A railroad with track gage of less than 24 inches;
    (2) A railroad that operates exclusively freight trains and does so 
only on track inside an installation that is not part of the general 
system of transportation;
    (3) Rapid transit operations in an urban area that are not connected 
to the general system of transportation; or
    (4) A railroad that operates passenger trains and does so only on 
track inside an installation that is insular, i.e., its operations are 
limited to a separate enclave in 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:
    (i) A public highway-rail 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 another railroad, i.e., its operations 
are conducted within 30 feet of those of any other railroad.

[[Page 614]]

    (c) See appendix A of part 209 for a current statement of the FRA's 
policy on its exercise of jurisdiction.



Sec. 230.3  Implementation.

    Except as provided in paragraphs (a) through (c) of this section, 
the locomotive owner and/or operator shall perform a 1472 service day 
inspection that meets the requirements of Sec. 230.17 when the 
locomotive's flues would be required to be removed pursuant to Sec. 
230.10, of the regulations in effect prior to January 18, 2000. (See 49 
CFR parts 200-999, revised October 1, 1978) At the time the locomotive 
owner and/or operator completes this inspection, it must begin to comply 
with the rest of the provisions of this part. Up until such time, and 
except as provided in paragraphs (a) through (c) of this section, 
compliance with the regulations in effect prior to January 18, 2000 (See 
49 CFR parts 200-999, revised October 1, 1978) will constitute full 
compliance with this part. Any interested person may obtain the October 
1, 1978 revision of 49 CFR parts 200-999 by contacting the Federal 
Railroad Administration, Office of Chief Counsel, 1200 New Jersey 
Avenue, SE., Washington, DC 20590.
    (a) One year after January 18, 2000. The following sections of this 
part must be complied with by January 18, 2001: Sec. Sec. 230.7, 
230.51, 230.57, 230.68, 230.70, 230.85, 230.87, 230.115, and 230.116.
    (b) Interim flue removal extensions. FRA will continue to consider 
requests for flue removal extensions under the provisions of Sec. 
230.10 of the regulations in effect prior to January 18, 2000 (See 49 
CFR parts 200-999, revised October 1, 1978) until January 18, 2002.
    (c) Petition for special consideration. The locomotive owner or 
operator may petition FRA for special consideration of this part's 
implementation with respect to any locomotive that has either fully or 
partially satisfied the requirements of Sec. 230.17 within the three 
(3) year period prior to September 25, 1998--provided the locomotive is 
in full compliance with Sec. 230.17 by the time the petition is 
actually filed.\1\
---------------------------------------------------------------------------

    \1\ Note: As an example, where a locomotive has received a proper 
boiler inspection after September 25, 1995 pursuant to Sec. Sec. 230.10 
and 230.11 of the regulations in effect prior to January 18, 2000 but 
has not had its FRA Form No. 4 updated, the locomotive owner or operator 
may update and verify the FRA Form No. 4 for that locomotive, and submit 
a timely petition that requests retroactive credit for the boiler 
inspection. (See 49 CFR parts 200-999, revised October 1, 1978.)
---------------------------------------------------------------------------

    (1) Petition process. Petitions must be filed by January 18, 2001 
and must be accompanied by all relevant documentation to be considered, 
including a FRA Form No. 4 (see appendix C of this part) that has been 
calculated in accordance with Sec. 230.17, and all records that 
demonstrate the number of days the locomotive has been in service. Based 
upon the documentation provided, FRA will calculate the number of 
``service days'' the locomotive has accrued and will notify the 
petitioner of the number of service days that remain in the locomotive's 
1472 service day cycle. Petitions should be sent to FRA by some form of 
registered mail to ensure a record of delivery. FRA will investigate 
these petitions and will respond to these petitions within one year of 
their receipt. FRA will send its response by some form of registered 
mail to ensure that a record of delivery is created. In its response, 
FRA may grant the petition or deny it. If FRA grants the petition, the 
entirety of the revised requirements will become effective upon receipt 
of FRA's response, unless FRA's response indicates otherwise. If FRA 
denies the petition, the rule will become effective as provided in the 
first paragraph of this section.
    (2) FRA silence. Anyone who does not receive a response within one 
year of the date they filed their petition, whether through 
administrative or postal error, must notify FRA that the response has 
not been received. The notification should be provided to FRA by some 
form of registered mail to ensure a record of delivery. Upon receipt of 
this notification, FRA will ensure that a response is either issued, or 
re-issued, as soon as possible. In the interim, however, any operator 
who is at the end of their inspection cycle under the rules in effect 
prior to January 18, 2000 (See 49 CFR parts 200-999, revised October 1, 
1978) will be allowed to remain in service without conducting the 
required inspection under Sec. 230.17 for an

[[Page 615]]

additional six months, or until they receive FRA's decision, whichever 
occurs first.

[64 FR 62865, Nov. 17, 1999, as amended at 74 FR 25174, May 27, 2009]



Sec. 230.4  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 $839 and not more than $27,455 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 $109,819 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A of part 209 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.

[64 FR 62865, Nov. 17, 1999, as amended at 69 FR 30594, May 28, 2004; 72 
FR 51197, Sept. 6, 2007; 73 FR 79703, Dec. 30, 2008; 77 FR 24421, Apr. 
24, 2012; 81 FR 43111, July 1, 2016]



Sec. 230.5  Preemptive effect.

    The Locomotive Boiler Inspection Act (49 U.S.C. 20701-20703) 
preempts all State laws or regulations concerning locomotive safety. 
Napier v. Atlantic Coast Line R.R., 272 U.S. 605 (1926). However, FRA 
believes Congress did not intend to preempt State laws or regulations 
concerning rail operations over which FRA does not exercise 
jurisdiction. Therefore, in issuing this part, it is FRA's intent that 
State laws or regulations applicable to those rail operations to which 
this part does not apply (i.e., insular tourist operations) not be 
preempted.



Sec. 230.6  Waivers.

    (a) A person subject to a requirement of this part may petition the 
Administrator of FRA 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 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, 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.
    (d) All waivers of every form and type from any requirement of any 
order or regulation implementing the Locomotive Boiler Inspection Act, 
36 Stat. 913, as amended, 49 U.S.C. 20702, applicable to one or more 
steam locomotives, shall lapse on January 18, 2000 unless a copy of the 
grant of waiver is filed for reassessment prior to that date with the 
Office of Safety, Federal Railroad Administration, 1200 New Jersey 
Avenue, SE., Washington, DC 20590. FRA will review the waiver and notify 
the applicant whether the waiver has been continued.

[64 FR 62865, Nov. 17, 1999, as amended at 74 FR 25174, May 27, 2009]



Sec. 230.7  Responsibility for compliance.

    (a) The locomotive owner and/or operator is directly responsible for 
ensuring that all requirements of this part are satisfied, and is the 
entity primarily responsible for compliance with this part.
    (b) Although the duties imposed by this part are generally stated in 
terms of the duties of a railroad or a steam locomotive owner and/or 
operator, any person, including a contractor for a railroad, who 
performs any function covered by this part must perform that function in 
accordance with this part.
    (c) Chapter 207 of Title 49 of the United States Codes makes it 
unlawful for any railroad to use or permit to be used on its line any 
steam locomotive or tender unless the entire steam locomotive or tender 
and its parts and appurtenances are in proper condition and safe to 
operate in the service to which they are put, without unnecessary danger 
of personal injury and have

[[Page 616]]

been inspected and tested as required by this part.



Sec. 230.8  Definitions.

    As used in this part, the terms listed in this section have the 
following definitions:
    Administrator. The Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Alteration. Any change to the boiler which affects its pressure 
retention capability. Rating changes are considered alterations.
    ANSI. American National Standards Institute.
    API. American Petroleum Institute.
    ASME. American Society of Mechanical Engineers.
    Boiler surfaces. The boiler interior is all the space inside a 
boiler occupied by water or steam under pressure, and all associated 
surfaces inside that space exposed to that water and steam. The boiler 
exterior is the opposite surface of all components directly exposed to 
the boiler interior. This includes the fire side of the firebox sheets.
    Break. A fracture resulting in complete separation into parts.
    Code of original construction. The manufacturer's or industry code 
in effect when the boiler was constructed. If the exact code is not 
known, the closest contemporary code may be used provided it does not 
pre-date the construction date of the boiler.
    Crack. 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.
    Dead locomotive. A locomotive unable to produce tractive effort.
    Fire. Anything that produces products of combustion that heat 
transferring components of the locomotive are exposed to.
    FRA. The Federal Railroad Administration.
    Locomotive operator. Person or entity which operates, but which does 
not necessarily own, one or more steam locomotives. This term means, for 
purposes of inspection and maintenance responsibility, the entity 
responsible for the day-to-day operation of the steam locomotive, or the 
delegate thereof. This entity may be a railroad or a person or persons 
who operate a steam locomotive under contract for a railroad.
    Locomotive owner. Person or entity which owns, but which does not 
necessarily operate, one or more steam locomotives that is operated on a 
railroad to which this part applies. For purposes of inspection and 
maintenance responsibility, this term includes that entity's delegate as 
well.
    MAWP. Maximum allowable working pressure as specified by the steam 
locomotive specification FRA Form No. 4. (See appendix C of this part.)
    NBIC. National Board Inspection Code published by the National Board 
of Boiler and Pressure Vessel Inspectors.
    NDE. Non-destructive Examination.
    NPS. Nominal Pipe Size.
    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.
    Railroad. Any form of non-highway ground transportation that runs on 
rails or electromagnetic guideways and any entity providing such 
transportation, including 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 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.
    Renewal. Replacement in kind with a newly manufactured or 
remanufactured (restored to original tolerances) component. Materials 
shall be suitable for the service intended.

[[Page 617]]

    Repair. Any work which results in a restoration in kind.
    Serious injury. 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.
    Service day. Any calendar day that the boiler has steam pressure 
above atmospheric pressure with fire in the firebox. In the case of a 
fireless steam locomotive, any calendar day that the boiler has steam 
pressure above atmospheric pressure.
    Stayed portion of the boiler. That portion of the boiler designed to 
require support to retain internal pressure by the addition of strength 
members, such as staybolts, braces, diagonal stays, tubes, etc.
    Steam locomotive. A self-propelled unit of equipment powered by 
steam that is either designed or used for moving other equipment. This 
includes a self-propelled unit designed or used to carry freight and/or 
passenger traffic.
    Unstayed portion of the boiler. That portion of the boiler designed 
to be self-supported in retaining internal pressure without additional 
strength members such as staybolts, braces, diagonal stays, tubes, etc.
    Wastage. A reduction in the thickness of a mechanical component, 
such as a pipe or sheet.



Sec. 230.9  Information collection.

    (a) [Reserved]
    (b) The information collection requirements are found in the 
following sections: Sec. Sec. 230.3, 230.12 through 230.21, 230.33, 
230.34, 230.41, 230.46, 230.47, 230.75, 230.96, 230.98, and 230.116.



Sec. 230.10  [Reserved]

                     General Inspection Requirements



Sec. 230.11  Repair of non-complying conditions.

    The steam locomotive owner and/or operator shall repair any steam 
locomotive that fails to comply with the conditions of this part, and 
shall approve any such repairs made, before placing the locomotive back 
into service.



Sec. 230.12  Movement of non-complying steam locomotives.

    (a) General limitations on movement. A steam locomotive with one or 
more non-complying conditions may be moved only as a lite steam 
locomotive or a steam locomotive in tow, except as provided in paragraph 
(b) of this section. Cars essential to the movement of the steam 
locomotive and tender(s), including tool cars and a bunk car, may 
accompany lite movements.
    (b) Conditions for movement. Prior to movement, the steam locomotive 
owner and/or operator shall determine that it is safe to move the 
locomotive, determine the maximum speed and other restrictions necessary 
for safely conducting the movement, and notify in writing the engineer 
in charge of the defective steam locomotive and, if towed, the engineer 
in charge of the towing locomotive consist, as well as all other crew 
members in the cabs, of the presence of the non-complying steam 
locomotive and the maximum speed and other movement restrictions. In 
addition, a tag bearing the words ``non-complying locomotive'' shall be 
securely attached to each defective steam locomotive and shall contain 
the following information:
    (1) The steam locomotive number;
    (2) The name of the inspecting entity;
    (3) The inspection location and date;
    (4) The nature of the defect;
    (5) Movement restrictions, if any;
    (6) The destination; and
    (7) The signature of the person making the determinations required 
by this paragraph (b).
    (c) Yard movements. A non-complying steam 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 (b) of this section if the 
movement is solely for the purpose of repair. The locomotive owner and/
or operator is responsible for ensuring that the movement may be safely 
made.
    (d) Non-complying conditions developed en route. The locomotive 
owner and/or operator may continue in use a steam locomotive that 
develops a non-complying condition en route until the next daily 
inspection or the nearest forward point where the repairs necessary to 
bring it into compliance can

[[Page 618]]

be made, whichever is earlier. Before continuing en route, the steam 
locomotive owner and/or operator shall determine that it is safe to move 
the steam locomotive, determine the maximum speed and other restrictions 
necessary for safely conducting the movement, and notify in writing the 
engineer in charge of the defective steam locomotive and, if towed, the 
engineer in charge of the towing steam locomotive consist, as well as 
all other crew members in the cabs, of the presence of the non-complying 
steam locomotive and the maximum speed and other movement restrictions.
    (e) Special notice for repair. Nothing in this section authorizes 
the movement of a steam locomotive subject to a Special Notice for 
Repair unless the movement is made in accordance with the restrictions 
contained in the Special Notice.



Sec. 230.13  Daily inspection.

    (a) General. An individual competent to conduct the inspection shall 
inspect each steam locomotive and its tender each day that they are 
offered for use to determine that they are safe and suitable for 
service. The daily inspection shall be conducted to comply with all 
sections of this part, and a daily inspection report filed, by an 
individual competent to conduct the inspection. See appendices A and B 
of this part.
    (b) Pre-departure. At the beginning of each day the steam locomotive 
is used, an individual competent to do so shall, together with the daily 
inspection required in paragraph (a) of this section, inspect the steam 
locomotive and its tender and appurtenances to ensure that they are safe 
and suitable for service, paying special attention to the following 
items:
    (1) Water glasses and gauge cocks;
    (2) Boiler feedwater delivery systems, such as injectors and 
feedwater pumps; and
    (3) Air compressors and governors, and the air brake system.
    (c) Inspection reports. The results of the daily inspection shall be 
entered on an FRA Form No. 2 (See appendix C of this part) which shall 
contain, at a minimum, the name of the railroad, the initials and number 
of the steam locomotive, the place, date and time of the inspection, the 
signature of the employee making the inspection, a description of the 
non-complying conditions disclosed by the inspection, conditions found 
in non-compliance during the day and repaired and the signature of the 
person who repaired the non-conforming conditions. This report shall be 
filed even if no non-complying conditions are detected. A competent 
individual shall sign the report, certifying that all non-complying 
conditions were repaired before the steam locomotive is operated. This 
report shall be filed and retained for at least 92 days at the location 
designated by the steam locomotive owner and/or operator.



Sec. 230.14  Thirty-one (31) service day inspection.

    (a) General. An individual competent to conduct the inspection shall 
perform the 31 service day inspection after the steam locomotive has 
accrued 31 service days. This inspection shall consist of all 31 service 
day inspection items and all daily inspection items. See appendix A of 
this part. Days in service shall be counted, recorded and readily 
available for inspection when requested by an FRA inspector.
    (b) FRA notification. FRA Regional Administrators or their 
delegate(s) may require a steam locomotive owner or operator to provide 
FRA with timely notification before performing a 31 service day 
inspection. If the Regional Administrator or their delegate indicates 
their desire to be present for the 31 service day inspection, the steam 
locomotive owner and/or operator shall provide them a scheduled date and 
location for inspection. Once scheduled, the inspection must be 
performed at the time and place specified, unless the Regional 
Administrator and the steam locomotive owner and/or operator mutually 
agree to reschedule. If the Regional Administrator requests the 
inspection be performed on another date but the steam locomotive owner 
and/or operator and the Regional Administrator are unable to agree on a 
date for rescheduling, the inspection may be performed as scheduled.
    (c) Filing inspection reports. Within 10 days of conducting the 31 
service day inspection, the steam locomotive owner and/or operator shall 
file, for

[[Page 619]]

each steam locomotive inspected, a report of inspection (FRA Form No. 
1), in the place where the steam locomotive is maintained and with the 
FRA Regional Administrator for that region. When the report of annual 
inspection (FRA Form No. 3), is filed, the FRA Form No. 1 does not have 
to be filed until the next 31 service day inspection. (See appendix B of 
this part.)



Sec. 230.15  Ninety-two (92) service day inspection.

    (a) General. An individual competent to conduct the inspection shall 
perform the 92 service day inspection after the steam locomotive has 
accrued 92 ``service-days.'' This inspection shall include all daily, 
all 31 service day, and all 92 service day inspection items. See 
appendix A of this part. Days in service shall be counted, recorded, and 
readily available for inspection when requested by an FRA inspector.
    (b) Filing inspection reports. Within 10 days of conducting the 92 
service day inspection, the steam locomotive owner and/or operator shall 
file, for each steam locomotive inspected, a report of inspection (FRA 
Form No. 1), in the place the locomotive is maintained and with the FRA 
Regional Administrator for that region.
    When the report of annual inspection (FRA Form No. 3), is filed, the 
FRA Form No. 1 does not have to be filed until the next 92 service day 
inspection. (See appendix C of this part.)



Sec. 230.16  Annual inspection.

    (a) General. (1) An individual competent to conduct the inspection 
shall perform the annual inspection after 368 calendar days have elapsed 
from the time of the previous annual inspection. This inspection shall 
include all daily, all 31 service day, all 92 service day, and all 
annual inspection items. (See appendix B of this part.)
    (2) Fifth annual inspection. An individual competent to do so shall 
perform a flexible staybolt and cap inspection in accordance with Sec. 
230.41 at each fifth annual inspection.
    (b) FRA notification. FRA Regional Administrators shall be provided 
written notice at least one month prior to an annual inspection and 
shall be afforded an opportunity to be present. If the Regional 
Administrator or their delegate indicates a desire to be present, the 
steam locomotive owner and/or operator will provide a scheduled date and 
location for the inspection. Once scheduled, the inspection must be 
performed at the time and place specified, unless the Regional 
Administrator and the steam locomotive owner and/or operator mutually 
agree to reschedule. If the Regional Administrator requests the 
inspection be performed on another date but the steam locomotive owner 
and/or operator and the Regional Administrator are unable to agree on a 
date for rescheduling, the inspection may be performed as scheduled.
    (c) Filing inspection reports. Within 10 days of completing the 
annual inspection, the steam locomotive owner and/or operator shall 
file, for each steam locomotive inspected, a report of inspection (FRA 
Form No. 3), in the place where the steam locomotive is maintained and 
with the FRA Regional Administrator for that region. (See appendix A of 
this part)



Sec. 230.17  One thousand four hundred seventy-two (1472) service day
inspection.

    (a) General. Before any steam locomotive is initially put in service 
or brought out of retirement, and after every 1472 service days or 15 
years, whichever is earlier, an individual competent to conduct the 
inspection shall inspect the entire boiler. In the case of a new 
locomotive or a locomotive being brought out of retirement, the initial 
15 year period shall begin on the day that the locomotive is placed in 
service or 365 calendar days after the first flue tube is installed in 
the locomotive, whichever comes first. This 1472 service day inspection 
shall include all annual, and 5th annual, inspection requirements, as 
well as any items required by the steam locomotive owner and/or operator 
or the FRA inspector. At this time, the locomotive owner and/or operator 
shall complete, update and verify the locomotive specification card (FRA 
Form No. 4), to reflect the condition of the boiler at the time of this 
inspection. See appendices A and B of this part.

[[Page 620]]

    (b) Filing inspection reports. Within 30 days of completing the 1472 
service day inspection, the steam locomotive owner and/or operator 
shall, for each steam locomotive inspected, file in the place where the 
steam locomotive is maintained and with the FRA Regional Administrator 
for that region a report of inspection (FRA Form No. 3), and a completed 
FRA Form No.4. See appendix C of this part.

                       Recordkeeping Requirements



Sec. 230.18  Service days.

    (a) Service day record. For every steam locomotive currently in 
service, the steam locomotive owner and/or operator shall have 
available, and be able to show an FRA inspector upon request, a current 
copy of the service day record that contains the number of service days 
the steam locomotive has accrued since the last 31, 92, Annual and 1472 
service day inspections.
    (b) Service day report. By the 31st of every January, every steam 
locomotive owner and/or operator shall file a service day report, FRA 
Form No. 5, with the Regional Administrator accounting for the days the 
steam locomotive was in service from January 1 through December 31st of 
the preceding year. If the steam locomotive was in service zero (0) days 
during that period, a report must still be filed to prevent the steam 
locomotive from being considered retired by FRA. (See appendix B of this 
part.)
    (c) Retirement where no service day reports filed. Where the steam 
locomotive owner and/or operator does not file the required service day 
report for a steam locomotive, that steam locomotive may be considered 
retired by FRA. The steam locomotive owner and/or operator must complete 
all 1472 service day inspection items to return a retired steam 
locomotive to service.



Sec. 230.19  Posting of FRA Form No. 1 and FRA Form No. 3.

    (a) FRA Form No. 1. The steam locomotive owner and/or operator shall 
place a copy of the 31 and 92 service day inspection report (FRA Form 
No. 1), properly filled out, under transparent cover in a conspicuous 
place in the cab of the steam locomotive before the inspected boiler is 
put into service. This FRA Form No. 1 will not be required for the first 
31 service days following an annual inspection and the posting of an FRA 
Form No. 3. (See appendix B of this part.)
    (b) FRA Form No. 3. In addition to the FRA Form No. 1, the steam 
locomotive owner and/or operator shall also maintain in the cab a 
current copy of FRA Form No. 3 in the manner described in paragraph (a) 
of this section. (See appendix C of this part.)



Sec. 230.20  Alteration and repair report for steam locomotive boilers.

    (a) Alterations. When an alteration is made to a steam locomotive 
boiler, the steam locomotive owner and/or operator shall file an 
alteration report (FRA Form No. 19), detailing the changes to the 
locomotive with the FRA Regional Administrator within 30 days from the 
date the work was completed. This form shall be attached to, and 
maintained with, the FRA Form No. 4 until such time as a new FRA Form 
No. 4 reflecting the alteration is submitted to the Regional 
Administrator. Alteration reports shall be filed and maintained for the 
life of the boiler. (See appendix B of this part.)
    (b) Welded and riveted repairs to unstayed portions of the boiler. 
Whenever welded or riveted repairs are performed on unstayed portions of 
a steam locomotive boiler, the steam locomotive owner and/or operator 
shall file with the FRA Regional Administrator, within 30 days from the 
time the work was completed, a repair report, FRA Form No. 19, that 
details the work done to the steam locomotive. Repair reports shall be 
filed and maintained for the life of the boiler. (See appendix B of this 
part.)
    (c) Welded and riveted repairs to stayed portions of the boiler. 
Whenever welded or riveted repairs are performed on stayed portions of a 
steam locomotive boiler, the steam locomotive owner and/or operator 
shall complete a repair report (FRA Form No. 19), detailing the work 
done. Repair reports shall be maintained for the life of the boiler. 
(See appendix C of this part.)

[[Page 621]]



Sec. 230.21  Steam locomotive number change.

    When a steam locomotive number is changed, the steam locomotive 
owner and/or operator must reflect the change in the upper right-hand 
corner of all documentation related to the steam locomotive by showing 
the old and new numbers:
    Old No. 000
    New No. XXX.



Sec. 230.22  Accident reports.

    In the case of an accident due to failure, from any cause, of a 
steam locomotive boiler or any part or appurtenance thereof, resulting 
in serious injury or death to one or more persons, the railroad on whose 
line the accident occurred shall immediately make a telephone report of 
the accident by calling the National Response Center (toll free) at Area 
Code 800-424-0201. The report shall state the nature of the accident, 
the number of persons killed or seriously injured, the place at which it 
occurred, and the location where the steam locomotive may be inspected. 
Confirmation of this report shall be immediately mailed to the Associate 
Administrator for Safety, Federal Railroad Administration, Washington, 
DC 20590, and contain a detailed report of the accident, including, to 
the extent known, the causes and a complete list of the casualties.



                   Subpart B_Boilers and Appurtenances



Sec. 230.23  Responsibility for general construction and safe working 
pressure.

    The steam locomotive owner and operator are responsible for the 
general design and construction of the steam locomotive boilers under 
their control. The steam locomotive owner shall establish the safe 
working pressure for each steam locomotive boiler, after giving full 
consideration to the general design, workmanship, age, and overall 
condition of the complete boiler unit. The condition of the boiler unit 
shall be determined by, among other factors, the minimum thickness of 
the shell plates, the lowest tensile strength of the plates, the 
efficiency of the longitudinal joint, the inside diameter of the course, 
and the maximum allowable stress value allowed. The steam locomotive 
operator shall not place the steam locomotive in service before ensuring 
that the steam locomotive's safe working pressure has been established.

                            Allowable Stress



Sec. 230.24  Maximum allowable stress.

    (a) Maximum allowable stress value. The maximum allowable stress 
value on any component of a steam locomotive boiler shall not exceed \1/
4\ of the ultimate tensile strength of its material.
    (b) Safety factor. When it is necessary to use the code of original 
construction in boiler calculations, the safety factor value shall not 
be less than 4.



Sec. 230.25  Maximum allowable stress on stays and braces.

    The maximum allowable stress per square inch of net cross sectional 
area on fire box and combustion chamber stays shall be 7,500 psi. The 
maximum allowable stress per square inch of net cross sectional area on 
round, rectangular, or gusset braces shall be 9,000 psi.

                          Strength of Materials



Sec. 230.26  Tensile strength of shell plates.

    When the tensile strength of steel or wrought-iron shell plates is 
not known, it shall be taken at 50,000 psi for steel and 45,000 psi for 
wrought iron.



Sec. 230.27  Maximum shearing strength of rivets.

    The maximum shearing strength of rivets per square inch of cross 
sectional area shall be taken as follows:

------------------------------------------------------------------------
                                                                 Pounds
                                                                   per
                            Rivets                               square
                                                                  inch
------------------------------------------------------------------------
Iron Rivets in Single Shear...................................    38,000
Iron Rivets in Double Shear...................................    76,000
Steel Rivets in Single Shear..................................    44,000
Steel Rivets in Double Shear..................................    88,000
------------------------------------------------------------------------



Sec. 230.28  Higher shearing strength of rivets.

    A higher shearing strength may be used for rivets when it can be 
shown through testing that the rivet material

[[Page 622]]

used is of such quality as to justify a higher allowable shearing 
strength.

                          Inspection and Repair



Sec. 230.29  Inspection and repair.

    (a) Responsibility. The steam locomotive owner and/or operator shall 
inspect and repair all steam locomotive boilers and appurtenances under 
their control. They shall immediately remove from service any boiler 
that has developed cracks in the barrel. The steam locomotive owner and/
or operator shall also remove the boiler from service whenever either of 
them, or the FRA inspector, considers it necessary due to other defects.
    (b) Repair standards. (1) All defects disclosed by inspection shall 
be repaired in accordance with accepted industry standards--which may 
include established railroad practices, or NBIC or API established 
standards--before the steam locomotive is returned to service. The steam 
locomotive owner and/or operator shall not return the steam locomotive 
boiler or appurtenances to service unless they are in good condition and 
safe and suitable for service.
    (2) Any welding to unstayed portions of the boiler made pursuant to 
Sec. 230.33 shall be made in accordance with an accepted national 
standard for boiler repairs. The steam locomotive owner and/or operator 
shall not return the steam locomotive boiler or appurtenances to service 
unless they are in good condition and safe and suitable for service.



Sec. 230.30  Lap-joint seam boilers.

    Every boiler having lap-joint longitudinal seams without reinforcing 
plates shall have sufficient lagging, jacketing, flues, and tubes 
removed at every annual inspection so that an inspection of the entire 
joint, inside and out, can be made, taking special care to detect 
grooving or cracks at the edges of the seams.



Sec. 230.31  Flues to be removed.

    (a) Inspection of the boiler interior. During the 1472 service day 
inspection, the steam locomotive owner and/or operator shall remove all 
flues of steam locomotive boilers in service, except as provided in 
paragraph (b) of this section, for the purpose of inspecting the entire 
interior of the boiler and its bracing. After removing the flues, the 
steam locomotive owner and/or operator shall enter the boiler to remove 
scale from the interior and thoroughly clean and inspect it.
    (b) NDE testing. If the boiler can be thoroughly cleaned and 
inspected without removing the superheater flues, and it can be shown 
through appropriate NDE testing methods that they are safe and suitable 
for service, their removal may not be required at this time. Their 
removal may be required, however, if the FRA inspector, or the steam 
locomotive owner and/or operator, considers it necessary due to 
identifiable safety concerns.



Sec. 230.32  Time and method of inspection.

    (a) Time of inspection. The entire boiler shall completely be 
inspected at the 1472 service day inspection. The jacket, lagging and 
any other components interfering with the provision of inspection access 
shall be removed at this time. Those portions of the boiler that are 
exposed and able to be inspected as required by the daily, 31service 
day, annual and fifth annual inspections shall be inspected at those 
times. The interior of the boiler also shall be inspected at each annual 
inspection, after the completion of any hydrostatic test above MAWP, and 
whenever a sufficient number of flues are removed to allow examination. 
The jacket, lagging and any other components shall also be removed to 
provide inspection access whenever the FRA inspector, or the steam 
locomotive owner and/or operator, considers it necessary due to 
identifiable safety concerns.
    (b) Method of inspection--(1) Entire boiler. During the 1472 service 
day inspection, the entire boiler shall be examined for cracks, pitting, 
grooving, or indications of overheating and for damage where mud has 
collected, or heavy scale formed. The edges of plates, all laps, seams, 
and points where cracks and defects are likely to develop, shall be 
thoroughly inspected. Rivets shall be inspected for corrosion and 
looseness.

[[Page 623]]

    (2) Boiler interior. When inspecting the boiler interior, it must be 
seen that braces and stays are taut, that pins are properly secured in 
place, and that each is in condition to support its proportion of the 
load. Washout plugs shall be removed for access and visual inspection of 
the water side of the firebox sheets. Washout plug threads, sleeves and 
threaded openings shall be examined at this time.
    (3) Boiler exterior. A thorough inspection shall be made of the 
entire exterior of the boiler while under hydrostatic pressure.



Sec. 230.33  Welded repairs and alterations.

    (a) Unstayed portions of the boiler containing alloy steel or carbon 
steel with a carbon content over 0.25 percent. Prior to welding on 
unstayed portions of the boiler, the steam locomotive owner and/or 
operator shall submit a written request for approval to the FRA Regional 
Administrator. If the approval is granted, the steam locomotive owner 
and/or operator shall perform any welding to unstayed portions of the 
boiler in accordance with an accepted national standard for boiler 
repairs. The steam locomotive owner and/or operator shall satisfy 
reporting requirements in Sec. 230.20 at this time.
    (b) Unstayed portions of the boiler containing carbon steel not 
exceeding 0.25 percent carbon. The steam locomotive owner and/or 
operator shall perform any welding to unstayed portions of the boiler in 
accordance with an accepted national standard for boiler repairs. The 
steam locomotive owner and/or operator shall satisfy reporting 
requirements in Sec. 230.20 at this time.
    (c) Wastage. The steam locomotive owner and/or operator shall submit 
a written request for approval to the FRA Regional Administrator before 
performing weld build up on wasted areas of unstayed surfaces of the 
boiler that exceed a total of 100 square inches or the smaller of 25 
percent of minimum required wall thickness or \1/2\ inch. Wasted sheets 
shall not be repaired by weld build up if the wasted sheet has been 
reduced to less than 60 percent of the minimum required thickness as 
required by this part.
    (d) Flush patches. The steam locomotive owner and/or operator shall 
submit a written request for approval to the FRA Regional Administrator 
for the installation of flush patches of any size on unstayed portions 
of the boiler.
    (e) Stayed portions of the boiler. The steam locomotive owner and/or 
operator shall perform welded repairs or alterations on stayed portions 
of the boiler in accordance with established railroad practices, or an 
accepted national standard for boiler repairs. The steam locomotive 
owner and/or operator shall satisfy the reporting requirements in Sec. 
230.20 at this time.



Sec. 230.34  Riveted repairs and alterations.

    (a) Alterations to unstayed portions of the boiler. Prior to making 
riveted alterations on unstayed portions of the boiler, the steam 
locomotive owner and/or operator shall submit a written request for 
approval to the FRA Regional Administrator. If approval is granted, the 
steam locomotive owner and/or operator shall perform any riveting to 
unstayed portions of the boiler in accordance with established railroad 
practices or an accepted national standard for boiler repairs. The steam 
locomotive owner and/or operator shall satisfy reporting requirements in 
Sec. 230.20 at this time.
    (b) Repairs to unstayed portions of the boiler. The steam locomotive 
owner and/or operator shall perform any riveted repairs to unstayed 
portions of the boiler in accordance with established railroad 
practices, or an accepted national standard for boiler repairs. The 
steam locomotive owner and/or operator shall satisfy reporting 
requirements in Sec. 230.20 at this time.
    (c) Repairs to stayed portions of the boiler. The steam locomotive 
owner and/or operator shall perform riveted repairs or alterations on 
stayed portions of the boiler in accordance with established railroad 
practices or an accepted national standard for boiler repairs. The steam 
locomotive owner and/or operator shall satisfy reporting requirements in 
Sec. 230.20 at this time.

[[Page 624]]

                       Pressure Testing of Boilers



Sec. 230.35  Pressure testing.

    The temperature of the steam locomotive boiler shall be raised to at 
least 70 deg. F any time hydrostatic pressure is applied to the boiler.



Sec. 230.36  Hydrostatic testing of boilers.

    (a) Time of test. The locomotive owner and/or operator shall 
hydrostatically test every boiler at the following times:
    (1) During the 1472 service day inspection, and at every annual 
inspection thereafter;
    (2) After making any alteration to the boiler;
    (3) After installing a flush patch on an unstayed portion of the 
boiler; and
    (4) After any riveting on an unstayed portion of the boiler.
    (b) Method of testing. The metal temperature of the boiler shall be 
between 70 degrees Fahrenheit and 120 degrees Fahrenheit each time it is 
subjected to any hydrostatic pressure. Hydrostatic testing required by 
these rules shall be conducted at 25 percent above the MAWP.
    (c) Internal inspection. An internal inspection of the boiler shall 
be conducted following any hydrostatic test where the pressure exceeds 
MAWP.



Sec. 230.37  Steam test following repairs or alterations.

    Upon completion of any repair or alteration, the locomotive owner 
and/or operator shall conduct a steam test of the boiler with steam 
pressure raised to between 95 percent and 100 percent of the MAWP. At 
this time, the boiler shall be inspected to ensure that it is in a safe 
and suitable condition for service.

                                Staybolts



Sec. 230.38  Telltale holes.

    (a) Staybolts less than 8 inches long. All staybolts shorter than 8 
inches, except flexible bolts, shall have telltale holes \3/16\ inch to 
\7/32\ inch diameter and at least 1\1/4\ inches deep in the outer end.
    (b) Reduced body staybolts. On reduced body staybolts, the telltale 
hole shall extend beyond the fillet and into the reduced section of the 
staybolt. Staybolts may have through telltale holes.
    (c) Telltale holes kept open. All telltale holes, except as provided 
for in Sec. 230.41, must be kept open at all times.



Sec. 230.39  Broken staybolts.

    (a) Maximum allowable number of broken staybolts. No boiler shall be 
allowed to remain in service with two broken staybolts located within 24 
inches of each other, as measured inside the firebox or combustion 
chamber on a straight line. No boiler shall be allowed to remain in 
service with more than 4 broken staybolts inside the entire firebox and 
combustion chamber, combined.
    (b) Staybolt replacement. Broken staybolts must be replaced during 
the 31 service day inspection, if detected at that time. Broken 
staybolts detected in between 31 service day inspections must be 
replaced no later than 30 calendar days from the time of detection. When 
staybolts 8 inches or less in length are replaced, they shall be 
replaced with bolts that have telltale holes \3/16\ inch to \7/32\ inch 
in diameter and at least 1\1/4\ inches deep at each end, or that have 
telltale holes \3/16\ inch to \7/32\ inch in diameter their entire 
length. At the time of replacement of broken staybolts, adjacent 
staybolts shall be inspected.
    (c) Assessment of broken staybolts. Telltale holes leaking, plugged, 
or missing shall be counted as broken staybolts.
    (d) Prohibited methods of closing telltale holes. Welding, forging, 
or riveting broken staybolt ends is prohibited as a method of closing 
telltale holes.



Sec. 230.40  Time and method of staybolt testing.

    (a) Time of hammer testing--(1) General. All staybolts shall be 
hammer tested at every 31 service day inspection, except as provided in 
paragraph (a)(2) of this section. All staybolts also shall be hammer 
tested under hydrostatic pressure any time hydrostatic pressure above 
the MAWP specified on the boiler specification form (FRA Form No. 4), is 
applied to the boiler. (See appendix B of this part.)

[[Page 625]]

    (2) Exception for inaccessible staybolts. The removal of brickwork 
or grate bearers for the purpose of hammer testing staybolts during each 
31 service day inspection will not be required if the staybolts behind 
these structural impediments have a telltale hole \3/16\ inch to \7/32\ 
inch in diameter their entire length. Whenever the brickwork or grate 
bearers are removed for any other reason, however, the bolts shall be 
inspected at that time.
    (b) Method of hammer testing. If staybolts are tested while the 
boiler contains water, the hydrostatic pressure must be not less than 95 
percent of the MAWP. The steam locomotive owner and/or operator shall 
tap each bolt with a hammer and determine broken bolts from the sound or 
the vibration of the sheet. Whenever staybolts are tested while the 
boiler is not under pressure, such as during the 31 service day 
inspection, the staybolt test must be made with all the water drained 
from the boiler.



Sec. 230.41  Flexible staybolts with caps.

    (a) General. Flexible staybolts with caps shall have their caps 
removed during every 5th annual inspection for the purpose of inspecting 
the bolts for breakage, except as provided in paragraph (b) of this 
section.
    (b) Drilled flexible staybolts. For flexible staybolts that have 
telltale holes between \3/16\ inch and \7/32\ inch in diameter, and 
which extend the entire length of the bolt and into the head not less 
than one third of the diameter of the head, the steam locomotive owner 
and/or operator need not remove the staybolt caps if it can be 
established, by an electrical or other suitable method, that the 
telltale holes are open their entire length. Any leakage from these 
telltale holes during the hydrostatic test indicates that the bolt is 
broken and must be replaced. Before the steam locomotive is placed in 
service, the inner ends of all telltale holes shall be closed with a 
fireproof porous material that will keep the telltale holes free of 
foreign matter and permit steam or water to exit the telltale hole when 
the bolt is broken or fractured.
    (c) Recordkeeping. The removal of flexible staybolt caps and other 
tests shall be reported on FRA Form No. 3. (See appendix B of this 
part.)
    (d) Testing at request of FRA inspector. Staybolt caps also shall be 
removed, or any of the tests in this section made, whenever the FRA 
inspector or the steam locomotive owner and/or operator considers it 
necessary due to identifiable safety concerns about the condition of 
staybolts, staybolt caps or staybolt sleeves.

                              Steam Gauges



Sec. 230.42  Location of gauges.

    Every boiler shall have at least one steam gauge which will 
correctly indicate the working pressure. The gauge shall be positioned 
so that it will be kept reasonably cool and can conveniently be read by 
the engine crew.



Sec. 230.43  Gauge siphon.

    The steam gauge supply pipe shall have a siphon on it of ample 
capacity to prevent steam from entering the gauge. The supply pipe shall 
directly enter the boiler and be maintained steam tight. The supply pipe 
and its connections shall be cleaned each time the gauge is tested.



Sec. 230.44  Time of testing.

    Steam gauges shall be tested prior to being installed or being 
reapplied, during the 92 service day inspection, and whenever any 
irregularity is reported.



Sec. 230.45  Method of testing.

    Steam gauges shall be compared with an accurate test gauge or dead 
weight tester. While under test load at the MAWP of the boiler to which 
the gauge will be applied, the gauge shall be set to read that pressure 
as accurately as the physical limitations of the gauge will allow. Under 
test the gauge shall read within the manufacturer's tolerance at all 
points on the gauge up to 25 percent above the allowed pressure. If the 
manufacturer's tolerance is not known, the gauge must read within 2 
percent full scale accuracy at all points on the gauge up to 25 percent 
above allowed pressure.



Sec. 230.46  Badge plates.

    A metal badge plate showing the allowed steam pressure shall be 
attached

[[Page 626]]

to the boiler backhead in the cab. If boiler backhead is lagged, the 
lagging and jacket shall be cut away so that the plate can be seen.



Sec. 230.47  Boiler number.

    (a) Generally. The builder's number of the boiler, if known, shall 
be stamped on the steam dome or manhole flange. If the builder's number 
cannot be obtained, an assigned number, which shall be used in making 
out specification cards, shall be stamped on the steam dome or manhole 
flange.
    (b) Numbers after January 10, 1912. Numbers which are stamped after 
January 10, 1912 shall be located on the front side of the steam dome or 
manhole flange at the upper edge of the vertical surface, oriented in a 
horizontal manner, and have figures at least \3/8\ inch high.
    (c) Name of manufacturer or owner. The number shall be preceded by 
the name of the manufacturer if the original number is known or the name 
of the steam locomotive owner if a new number is assigned.

                          Safety Relief Valves



Sec. 230.48  Number and capacity.

    (a) Number and capacity. Every boiler shall be equipped with at 
least two safety relief valves, suitable for the service intended, that 
are capable of preventing an accumulation of pressure greater than 6 
percent above the MAWP under any conditions of service. An FRA inspector 
may require verification of sufficient safety valve relieving capacity.
    (b) Determination of capacity. Safety relief valve capacity may be 
determined by making an accumulation test with the fire in good, bright 
condition and all steam outlets closed. Additional safety relief valve 
capacity shall be provided if the safety relief valves allow an excess 
pressure of more than 6 percent above the MAWP during this test.



Sec. 230.49  Setting of safety relief valves.

    (a) Qualifications of individual who adjusts. Safety relief valves 
shall be set and adjusted by a competent person who is thoroughly 
familiar with the construction and operation of the valve being set.
    (b) Opening pressures. At least one safety relief valve shall be set 
to open at a pressure not exceeding the MAWP. Safety relief valves shall 
be set to open at pressures not exceeding 6 psi above the MAWP.
    (c) Setting procedures. When setting safety relief valves, two steam 
gauges shall be used, one of which must be so located that it will be in 
full view of the persons engaged in setting such valves; and if the 
pressure indicated by the gauges varies more than 3 psi they shall be 
removed from the boiler, tested, and corrected before the safety relief 
valves are set. Gauges shall in all cases be tested immediately before 
the safety relief valves are set or any change made in the setting. When 
setting safety relief valves, the water level shall not be higher than 
\3/4\ of the length of the visible water glass, as measured from the 
bottom of the glass.
    (d) Labeling of lowest set pressure. The set pressure of the lowest 
safety relief valve shall be indicated on a tag or label attached to the 
steam gauge so that it may be clearly read while observing the steam 
gauge.



Sec. 230.50  Time of testing.

    All safety relief valves shall be tested, and adjusted if necessary, 
under steam at every 92 service day inspection, and also whenever any 
irregularity is reported.

                      Water Glasses and Gauge Cocks



Sec. 230.51  Number and location.

    Every boiler shall be equipped with at least two water glasses. The 
lowest reading of the water glasses shall not be less than 3 inches 
above the highest part of the crown sheet. If gauge cocks are used, the 
reading of the lowest gauge cock shall not be less than 3 inches above 
the highest part of the crown sheet.



Sec. 230.52  Water glass valves.

    All water glasses shall be equipped with no more than two valves 
capable of isolating the water glass from the boiler. They shall also be 
equipped with a drain valve capable of evacuating the glass when it is 
so isolated.

[[Page 627]]



Sec. 230.53  Time of cleaning.

    The spindles of all water glass valves and of all gauge cocks shall 
be removed and valves and cocks thoroughly cleaned of scale and sediment 
at every 31 service day inspection, and when testing indicates that the 
apparatus may be malfunctioning. In addition, the top and bottom 
passages of the water column shall be cleaned and inspected at each 
annual inspection.



Sec. 230.54  Testing and maintenance.

    (a) Testing. All water glasses must be blown out, all gauge cocks 
must be tested, and all passages verified to be open at the beginning of 
each day the locomotive is used, and as often as necessary to ensure 
proper functioning.
    (b) Maintenance. Gauge cocks, water column drain valves, and water 
glass valves must be maintained in such condition that they can easily 
be opened and closed by hand, without the aid of a wrench or other tool.



Sec. 230.55  Tubular type water and lubricator glasses and shields.

    (a) Water glasses. Tubular type water glasses shall be renewed at 
each 92 service day inspection.
    (b) Shields. All tubular water glasses and lubricator glasses must 
be equipped with a safe and suitable shield which will prevent the glass 
from flying in case of breakage. This shield shall be properly 
maintained.
    (c) Location and maintenance. Water glasses and water glass shields 
shall be so located, constructed, and maintained that the engine crew 
can at all times have an unobstructed view of the water in the glass 
from their proper positions in the cab.



Sec. 230.56  Water glass lamps.

    All water glasses must be supplied with a suitable lamp properly 
located to enable the engine crew to easily see the water in the glass.

               Injectors, Feedwater Pumps, and Flue Plugs



Sec. 230.57  Injectors and feedwater pumps.

    (a) Water delivery systems required. Each steam locomotive must be 
equipped with at least two means of delivering water to the boiler, at 
least one of which is a live steam injector.
    (b) Maintenance and testing. Injectors and feedwater pumps must be 
kept in good condition, free from scale, and must be tested at the 
beginning of each day the locomotive is used, and as often as conditions 
require, to ensure that they are delivering water to the boiler. Boiler 
checks, delivery pipes, feed water pipes, tank hose and tank valves must 
be kept in good condition, free from leaks and from foreign substances 
that would obstruct the flow of water.
    (c) Bracing. Injectors, feedwater pumps, and all associated piping 
shall be securely braced so as to minimize vibration.



Sec. 230.58  Flue plugs.

    (a) When plugging is permitted. Flues greater than 2\1/4\ inches in 
outside diameter (OD) shall not be plugged. Flues 2\1/4\ inches in 
outside diameter (OD) or smaller may be plugged following failure, 
provided only one flue is plugged at any one time. Plugs must be removed 
and proper repairs made no later than 30 days from the time the plug is 
applied.
    (b) Method of plugging. When used, flue plugs must be made of steel. 
The flue must be plugged at both ends. Plugs must be tied together by 
means of a steel rod not less than \5/8\ inch in diameter.

                              Fusible Plugs



Sec. 230.59  Fusible plugs.

    If boilers are equipped with fusible plugs, the plugs shall be 
removed and cleaned of scale each time the boiler is washed but not less 
frequently than during every 31 service day inspection. Their removal 
shall be noted on the FRA Form No. 1 or FRA Form No. 3. (See appendix B 
of this part.)

                             Washing Boilers



Sec. 230.60  Time of washing.

    (a) Frequency of washing. All boilers shall thoroughly be washed as 
often as the water conditions require, but not less frequently than at 
each 31 service day inspection. The date of the boiler wash shall be 
noted on the FRA Form

[[Page 628]]

No. 1 or FRA Form No. 3. (See appendix B of this part.)
    (b) Plug removal. All washout plugs, arch tube plugs, thermic siphon 
plugs, circulator plugs and water bar plugs must be removed whenever 
locomotive boilers are washed.
    (c) Plug maintenance. All washout plugs, washout plug sleeves and 
threaded openings shall be maintained in a safe and suitable condition 
for service and shall be examined for defects each time the plugs are 
removed.
    (d) Fusible plugs cleaned. Fusible plugs shall be cleaned in 
accordance with Sec. 230.59.



Sec. 230.61  Arch tubes, water bar tubes, circulators and thermic
siphons.

    (a) Frequency of cleaning. Each time the boiler is washed, arch 
tubes and water bar tubes shall thoroughly be cleaned mechanically, 
washed, and inspected. Circulators and thermic siphons shall thoroughly 
be cleaned, washed and inspected.
    (b) Defects. Arch tubes and water bar tubes found blistered, bulged, 
or otherwise defective shall be renewed. Circulators and thermic siphons 
found blistered, bulged or otherwise defective shall be either repaired 
or renewed.
    (c) Method of examination. Arch tubes, water bar tubes and 
circulators shall be examined using an appropriate NDE method that 
accurately measures wall thickness at each annual inspection. All arch 
brick shall be removed for this inspection. If any are found with wall 
thickness reduced below that required to render them safe and suitable 
for the service intended at the MAWP specified on the boiler 
specification FRA Form No. 4, they must be replaced or repaired. (See 
appendix B of this part.)

                               Steam Pipes



Sec. 230.62  Dry pipe.

    Dry pipes subject to pressure shall be examined at each annual 
inspection to measure wall thickness. Dry pipes with wall thickness 
reduced below that required to render the pipe suitable for the service 
intended at the MAWP must be replaced or repaired.



Sec. 230.63  Smoke box, steam pipes and pressure parts.

    The smoke box, steam pipes and pressure parts shall be inspected at 
each annual inspection, or any other time that conditions warrant. The 
individual conducting the inspection must enter the smoke box to conduct 
the inspection, looking for signs of leaks from any of the pressure 
parts therein and examining all draft appliances.

                               Steam Leaks



Sec. 230.64  Leaks under lagging.

    The steam locomotive owner and/or operator shall take out of service 
at once any boiler that has developed a leak under the lagging due to a 
crack in the shell, or to any other condition which may reduce safety. 
Pursuant to Sec. 230.29, the boiler must be repaired before being 
returned to service.



Sec. 230.65  Steam blocking view of engine crew.

    The steam locomotive owner and/or operator shall keep the boiler, 
and its piping and appurtenances, in such repair that they do not emit 
steam in a manner that obscures the engine crew's vision.



                 Subpart C_Steam Locomotives and Tenders



Sec. 230.66  Design, construction, and maintenance.

    The steam locomotive owner and operator are responsible for the 
general design, construction and maintenance of the steam locomotives 
and tenders under their control.



Sec. 230.67  Responsibility for inspection and repairs.

    The steam locomotive owner and/or operator shall inspect and repair 
all steam locomotives and tenders under their control. All defects 
disclosed by any inspection shall be repaired in accordance with 
accepted industry standards, which may include established railroad 
practices, before the steam locomotive or tender is returned to service. 
The steam locomotive owner and/or operator shall not return the steam 
locomotive or tender to service unless

[[Page 629]]

they are in good condition and safe and suitable for service.

                            Speed Indicators



Sec. 230.68  Speed indicators.

    Steam locomotives that operate at speeds in excess of 20 miles per 
hour over the general system of railroad transportation shall be 
equipped with speed indicators. Where equipped, speed indicators shall 
be maintained to ensure accurate functioning.

                                Ash Pans



Sec. 230.69  Ash pans.

    Ash pans shall be securely supported from mud-rings or frames with 
no part less than 2\1/2\ inches above the rail. Their operating 
mechanism shall be so arranged that they may be safely operated and 
securely closed.

                       Brake and Signal Equipment



Sec. 230.70  Safe condition.

    (a) Pre-departure inspection. At the beginning of each day the 
locomotive is used, the steam locomotive operator shall ensure that:
    (1) The brakes on the steam locomotive and tender are in safe and 
suitable condition for service;
    (2) The air compressor or compressors are in condition to provide an 
ample supply of air for the locomotive service intended;
    (3) The devices for regulating all pressures are properly performing 
their functions;
    (4) The brake valves work properly in all positions; and
    (5) The water has been drained from the air-brake system.
    (b) Brake pipe valve required. Each steam locomotive shall have a 
brake pipe valve attached to the front of the tender, the rear of the 
back cab wall, or adjacent to the exit of a vestibuled cab. The words 
``Emergency Brake Valve'' shall be clearly displayed near the valve.



Sec. 230.71  Orifice testing of compressors.

    (a) Frequency of testing. The compressor or compressors shall be 
tested for capacity by orifice test as often as conditions may require, 
but not less frequently than once every 92 service days.
    (b) Orifice testing criteria. (1) Compressors in common use, as 
listed in the following table, shall have orifice test criteria as 
follows:

----------------------------------------------------------------------------------------------------------------
                                                                                    Diameter of    Air pressure
                 Make                        Compressor size      Single strokes    orifice (in   maintained (in
                                                                    per minute        inches)         pounds)
----------------------------------------------------------------------------------------------------------------
Westinghouse..........................  9\1/2\..................             120         \11/64\              60
Westinghouse..........................  11......................             100          \3/16\              60
Westinghouse..........................  150 CFM 8\1/2\ CC.......             100          \9/32\              60
Westinghouse..........................  120 CFM 8\1/2\..........             100         \15/64\              60
New York..............................  2a......................             120          \5/32\              60
New York..............................  6a......................             100         \13/64\              60
New York..............................  5b......................             100         \15/64\              60
----------------------------------------------------------------------------------------------------------------
Note: This table shall be used for altitudes to and including 1,000 feet. For altitudes over 1,000 feet the
  speed of compressor may be increased 5 single strokes per minute for each 1,000 feet increase in altitude.

    (2) For compressors not listed in the table in paragraph (b)(1) of 
this section, the air pressure to be maintained shall be no less than 80 
percent of the manufacturer's rated capacity for the compressor.



Sec. 230.72  Testing main reservoirs.

    (a) Hammer and hydrostatic testing. Except as described in 
paragraphs (b) through (d) of this section, every main reservoir, except 
those cast integrally with the frame, shall be hammer and 
hydrostatically tested during each annual inspection. The reservoir 
shall be hammer tested while empty and with no pressure applied. If no 
defective areas are detected, a hydrostatic test of MAWP shall be 
applied.
    (b) Drilling of main reservoirs. (1) Only welded main reservoir 
originally constructed to withstand at least five times the MAWP may be 
drilled over its entire surface with telltale holes that are \3/16\ of 
an inch in diameter. The

[[Page 630]]

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 following formula:

D = (.6PR/(S-.6P))

Where:

D = Extreme depth of telltale holes in inches but in no case less than 
          one-sixteenth inch;
P = certified working pressure in psi;
S = \1/5\ of the minimum specified tensile strength of the material in 
          psi; and
R = inside radius of the reservoir in inches.

    (2) One row of holes shall be drilled lengthwise of the reservoir on 
a line intersecting the drain opening. When main reservoirs are drilled 
as described in paragraph (b)(1) of this section, the hydrostatic and 
hammer tests described in paragraph (a) of this section are not required 
during the annual inspection. Whenever any telltale hole shall have 
penetrated the interior of any reservoir, the reservoir shall be 
permanently withdrawn from service.
    (c) Welded main reservoirs without longitudinal lap seams. For 
welded main reservoirs that do not have longitudinal lap seams, an 
appropriate NDE method that can measure the wall thickness of the 
reservoir may be used instead of the hammer test and hydrostatic test 
required in paragraph (a) of this section. The spacing of the sampling 
points for wall thickness shall not be greater than 12 inches 
longitudinally and circumferentially. The reservoir shall permanently be 
withdrawn from service where the NDE testing reveals wall thickness less 
than the value determined by the following formula:

t = (PR/(S-.6P)

Where:

t = Minimum value for wall thickness;
P = Certified working pressure in psi;
S = \1/5\ of the minimum specified tensile strength of the material in 
          psi, or 10,000 psi if the tensile strength is unknown; and
R = Inside radius of the reservoir in inches.

    (d) Welded or riveted longitudinal lap seam main reservoirs. (1) For 
welded or riveted longitudinal lap seam main reservoirs, an appropriate 
NDE method that can measure wall thickness of the reservoir shall be 
used instead of, or in addition to, the hammer test and hydrostatic 
test. The spacing of the sampling points for wall thickness shall not be 
greater than 12 inches longitudinally and circumferentially. Particular 
care shall be taken to measure along the longitudinal seam on both 
plates at an interval of no more than 6 inches longitudinally. The 
reservoir shall be withdrawn permanently from service where NDE testing 
reveals wall thickness less than the value determined by the following 
formula:

t = (PR/(0.5S-0.6P))

Where:

t = Minimum value for wall thickness;
P = Certified working pressure in psi;
S = \1/5\ of the minimum specified tensile strength of the material in 
          psi, or 10,000 psi if the tensile strength of steel is 
          unknown; and
R = Inside radius of the reservoir in inches.

    (2) Repairs of reservoirs with reduced wall thickness are 
prohibited.



Sec. 230.73  Air gauges.

    (a) Location. Air gauges shall be so located that they may be 
conveniently read by the engineer from his or her usual position in the 
cab. No air gauge may be more than 3 psi in error.
    (b) Frequency of testing. Air gauges shall be tested prior to 
reapplication following removal, as well as during the 92 service day 
inspection and whenever any irregularity is reported.
    (c) Method of testing. Air gauges shall be tested using an accurate 
test gauge or dead weight tester designed for this purpose.



Sec. 230.74  Time of cleaning.

    All valves in the air brake system, including related dirt 
collectors and filters, shall be cleaned and tested in accordance with 
accepted brake equipment manufacturer's specifications, or as often as 
conditions require to maintain them in a safe and suitable condition for 
service, but not less frequently than after 368 service days or during 
the second annual inspection, whichever occurs first.



Sec. 230.75  Stenciling dates of tests and cleaning.

    The date of testing and cleaning and the initials of the shop or 
station at

[[Page 631]]

which the work is done, shall legibly be stenciled in a conspicuous 
place on the tested parts or placed on a card displayed under a 
transparent cover in the cab of the steam locomotive.



Sec. 230.76  Piston travel.

    (a) Minimum piston travel. The minimum piston travel shall be 
sufficient to provide proper brake shoe clearance when the brakes are 
released.
    (b) Maximum piston travel. The maximum piston travel when steam 
locomotive is standing shall be as follows:

------------------------------------------------------------------------
                                                               Maximum
                                                                piston
                     Type of wheel brake                      travel (in
                                                               inches)
------------------------------------------------------------------------
Cam Type Driving Wheel Brake...............................       3\1/2\
Other forms of Driving Wheel Brake.........................            6
Engine Truck Brake.........................................            8
Tender Brake...............................................            9
------------------------------------------------------------------------



Sec. 230.77  Foundation brake gear.

    (a) Maintenance. Foundation brake gear shall be maintained in a safe 
and suitable condition for service. Levers, rods, brake beams, hangers, 
and pins shall be of ample strength, and shall not be fouled in any way 
which will affect the proper operation of the brake. All pins shall be 
properly secured in place with cotter pine, split keys, or nuts. Brake 
shoes must be properly applied and kept approximately in line with the 
tread of the wheel.
    (b) Distance above the rails. No part of the foundation brake gear 
of the steam locomotive or tender shall be less than 2\1/2\ inches above 
the rails.



Sec. 230.78  Leakage.

    (a) Main reservoirs and related piping. Leakage from main reservoir 
and related piping shall be tested at every 92 service day inspection 
and shall not exceed an average of 3 psi per minute in a test of 3 
minutes duration that is made after the pressure has been reduced to 60 
percent of the maximum operating pressure.
    (b) Brake cylinders. Leakage from brake cylinders shall be tested at 
every 92 service day inspection. With a full service application from 
maximum brake pipe pressure, and with communication to the brake 
cylinders closed, the brakes on the steam locomotive and tender must 
remain applied for a minimum of 5 minutes.
    (c) Brake pipes. Steam locomotive brake pipe leakage shall be tested 
at the beginning of each day the locomotive is used, and shall not 
exceed 5 psi per minute.



Sec. 230.79  Train signal system.

    Where utilized, the train signal system, or any other form of on-
board communication, shall be tested and known to be in safe and 
suitable condition for service at the beginning of each day the 
locomotive is used.

                Cabs, Warning Signals, Sanders and Lights



Sec. 230.80  Cabs.

    (a) General provisions. Cabs shall be securely attached or braced 
and maintained in a safe and suitable condition for service. Cab windows 
of steam locomotives shall provide an undistorted view of the track and 
signals for the crew from their normal position in the cab. Cab floors 
shall be kept free of tripping or slipping hazards. The cab climate 
shall be maintained to provide an environment that does not unreasonably 
interfere with the engine crew's performance of their duties under 
ordinary conditions of service.
    (b) Steam pipes. Steam pipes shall not be fastened to the cab. New 
construction or renewals made of iron or steel pipe greater than \1/8\ 
inch NPS that are subject to boiler pressure in cabs shall have a 
minimum wall thickness equivalent to schedule 80 pipe, with properly 
rated valves and fittings. Live steam heating radiators must not be 
fastened to the cab. Exhaust steam radiators may be fastened to the cab.
    (c) Oil-burning steam locomotives. If the cab is enclosed, oil 
burning steam locomotives that take air for combustion through the fire-
door opening shall have a suitable conduit extending from the fire-door 
to the outside of the cab.



Sec. 230.81  Cab aprons.

    (a) General provisions. Cab aprons shall be of proper length and 
width to ensure safety. Cab aprons shall be securely hinged, maintained 
in a safe and suitable condition for service, and roughened, or other 
provision made, to afford secure footing.

[[Page 632]]

    (b) Width of apron. The cab apron shall be of a sufficient width to 
prevent, when the drawbar is disconnected and the safety chains or the 
safety bars are taut, the apron from dropping between the steam 
locomotive and tender.



Sec. 230.82  Fire doors.

    (a) General provisions. Each steam locomotive shall have a fire door 
which shall latch securely when closed and which shall be maintained in 
a safe and suitable condition for service. Fire doors on all oil-burning 
locomotives shall be latched securely with a pin or key.
    (b) Mechanically operated fire doors. Mechanically operated fire 
doors shall be so constructed and maintained that they may be operated 
by pressure of the foot on a pedal, or other suitable appliance, located 
on the floor of the cab or tender at a suitable distance from the fire 
door, so that they may be conveniently operated by the person firing the 
steam locomotive.
    (c) Hand-operated doors. Hand operated fire doors shall be so 
constructed and maintained that they may be conveniently operated by the 
person firing the steam locomotive.



Sec. 230.83  Cylinder cocks.

    Each steam locomotive shall be equipped with cylinder cocks which 
can be operated from the cab of the steam locomotive. All cylinder cocks 
shall be maintained in a safe and suitable condition for service.



Sec. 230.84  Sanders.

    Steam locomotives shall be equipped with operable sanders that 
deposit sand on the rail head in front of a set of driving wheels. 
Sanders shall be tested at the beginning of each day the locomotive is 
used.



Sec. 230.85  Audible warning device.

    (a) General provisions. Each steam locomotive shall be equipped with 
an audible warning device that produces a minimum sound level of 96db(A) 
at 100 feet in front of the steam locomotive in its direction of travel. 
The device shall be arranged so that it may conveniently be operated by 
the engineer from his or her normal position in the cab.
    (b) Method of measurement. 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 steam 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 microphone manufacturer's recommendations.



Sec. 230.86  Required illumination.

    (a) General provisions. Each steam locomotive used between sunset 
and sunrise shall be equipped with an operable headlight that provides 
illumination sufficient for a steam locomotive engineer in the cab to 
see, in a clear atmosphere, a dark object as large as a man of average 
size standing at least 800 feet ahead and in front of such headlight. If 
a steam locomotive 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 be equipped on its rear end with 
an operable headlight that is capable of providing the illumination 
described in this paragraph (a).
    (b) Dimming device. Such headlights shall be provided with a device 
whereby the light from same may be diminished in yards and at stations 
or when meeting trains.
    (c) Where multiple locomotives utilized. When two or more 
locomotives are used in the same train, the leading locomotive only will 
be required to display a headlight.



Sec. 230.87  Cab lights.

    Each steam locomotive shall have cab lights that sufficiently 
illuminate the control instruments, meters and gauges to allow the 
engine crew to make accurate readings from their usual and proper 
positions in the cab. These lights shall be so located and constructed 
that the light will shine only on those parts requiring illumination and 
does not interfere with the engine crew's vision of the track and 
signals. Each steam locomotive shall also have a conveniently located 
additional

[[Page 633]]

lamp that can be readily turned on and off by the persons operating the 
steam locomotive and that provides sufficient illumination to read train 
orders and timetables.

                      Throttles and Reversing Gear



Sec. 230.88  Throttles.

    Throttles shall be maintained in safe and suitable condition for 
service, and efficient means shall be provided to hold the throttle 
lever in any desired position.



Sec. 230.89  Reverse gear.

    (a) General provisions. Reverse gear, reverse levers, and quadrants 
shall be maintained in a safe and suitable condition for service. 
Reverse lever latch shall be so arranged that it can be easily 
disengaged, and provided with a spring which will keep it firmly seated 
in quadrant. Proper counterbalance shall be provided for the valve gear.
    (b) Air-operated power reverse gear. Steam locomotives that are 
equipped with air operated power reverse gear shall be equipped with a 
connection whereby such gear may be operated by steam or by an auxiliary 
supply of air in case of failure of the main reservoir air pressure. The 
operating valve handle for such connection shall be conveniently located 
in the cab of the locomotive and shall be plainly marked. If an 
independent air reservoir is used as the source of the auxiliary supply 
for the reverse gear, it shall be provided with means to automatically 
prevent loss of pressure in event of failure of the main reservoir air 
pressure.
    (c) Power reverse gear reservoirs. Power reverse gear reservoirs, if 
provided, must be equipped with the means to automatically prevent the 
loss of pressure in the event of a failure of main air pressure and have 
storage capacity for not less than one complete operating cycle of 
control equipment.

                       Draw Gear and Draft Systems



Sec. 230.90  Draw gear between steam locomotive and tender.

    (a) Maintenance and testing. The draw gear between the steam 
locomotive and tender, together with the pins and fastenings, shall be 
maintained in safe and suitable condition for service. The pins and 
drawbar shall be removed and tested for defects using an appropriate NDE 
method at every annual inspection. Where visual inspection does not 
disclose any defects, an additional NDE testing method shall be 
employed. Suitable means for securing the drawbar pins in place shall be 
provided. Inverted drawbar pins shall be held in place by plate or 
stirrup.
    (b) Safety bars and chains generally. One or more safety bar(s) or 
two or more safety chains shall be provided between the steam locomotive 
and tender. The combined strength of the safety chains or safety bar(s) 
and their fastenings shall be not less than 50 percent of the strength 
of the drawbar and its connections. These shall be maintained in safe 
and suitable condition for service, and inspected at the same time draw 
gear is inspected.
    (c) Minimum length of safety chains or bars. Safety chains or safety 
bar(s) shall be of the minimum length consistent with the curvature of 
the railroad on which the steam locomotive is operated.
    (d) Lost motion. Lost motion between steam locomotives and tenders 
not equipped with spring buffers shall be kept to a minimum and shall 
not exceed \1/2\ inch.
    (e) Spring buffers. When spring buffers are used between steam 
locomotives and tenders the spring shall be applied with not less than 
\3/4\ inch compression, and shall at all times be under sufficient 
compression to keep the chafing faces in contact.



Sec. 230.91  Chafing irons.

    Chafing irons that permit proper curving shall be securely attached 
to the steam locomotive and tender, and shall be maintained to permit 
lateral and vertical movement.



Sec. 230.92  Draw gear and draft systems.

    Couplers, draft gear and attachments on steam locomotives and 
tenders shall be securely fastened, and maintained in safe and suitable 
condition for service.

[[Page 634]]

                              Driving Gear



Sec. 230.93  Pistons and piston rods.

    (a) Maintenance and testing. Pistons and piston rods shall be 
maintained in safe and suitable condition for service. Piston rods shall 
be inspected for cracks each time they are removed, and shall be renewed 
if found defective.
    (b) Fasteners. Fasteners (keys, nuts, etc.) shall be kept tight and 
shall have some means to prevent them from loosening or falling out of 
place.



Sec. 230.94  Crossheads.

    Crossheads shall be maintained in a safe and suitable condition for 
service, with not more than \1/4\ inch vertical or \5/16\ inch lateral 
clearance between crossheads and guides.



Sec. 230.95  Guides.

    Guides shall be securely fastened and maintained in a safe and 
suitable condition for service.



Sec. 230.96  Main, side, and valve motion rods.

    (a) General. Main, side or valve motion rods developing cracks or 
becoming otherwise defective shall be removed from service immediately 
and repaired or renewed.
    (b) Repairs. Repairs, and welding of main, side or valve motion rods 
shall be made in accordance with an accepted national standard. The 
steam locomotive owner and/or operator shall submit a written request 
for approval to the FRA Regional Administrator prior to welding 
defective main rods, side rods, and valve gear components.
    (c) Bearings and bushings. Bearings and bushings shall so fit the 
rods as to be in a safe and suitable condition for service, and means 
shall be provided to prevent bushings from turning in the rod. Straps 
shall fit and be securely bolted to rods. Floating bushings need not be 
provided with means to prevent bushings from turning.
    (d) Side motion of rods. The total amount of side motion of each rod 
on its crank pin shall not exceed \1/4\ inch.
    (e) Oil and grease cups. Oil and grease cups shall be securely 
attached to rods, and grease cup plugs shall be equipped with a suitable 
fastening that will prevent them from being ejected.
    (f) Main rod bearings. The bore of main rod bearings shall not 
exceed pin diameters more than \3/32\ inch at front or back end. The 
total lost motion at both ends shall not exceed \5/32\ inch.
    (g) Side rod bearings. The bore of side rod bearings shall not 
exceed pin diameters more than \5/32\ inch on main pin nor more than \3/
16\ inch on other pins.



Sec. 230.97  Crank pins.

    (a) General provisions. Crank pins shall be securely applied. 
Securing the fit of a loose crank pin by shimming, prick punching, or 
welding is not permitted.
    (b) Maintenance. Crank pin collars and collar fasteners shall be 
maintained in a safe and suitable condition for service.

                              Running Gear



Sec. 230.98  Driving, trailing, and engine truck axles.

    (a) Condemning defects. Driving, trailing, and engine truck axles 
with any of the following defects shall be removed from service 
immediately and repaired (see appendix A of this part for inspection 
requirements):
    (1) Bent axle;
    (2) Cut journals that cannot be made to run cool without turning;
    (3) Transverse seams in iron or steel axles;
    (4) Seams in axles causing journals to run hot;
    (5) Axles that are unsafe on account of usage, accident or 
derailment;
    (6) Any axle worn \1/2\ inch or more in diameter below the original/
new journal diameter, except as provided in paragraph (a)(7) of this 
section;
    (7) Any driving axles other than main driving axles with an original 
or new diameter greater than 6 inches that are worn \3/4\ inch or more 
in diameter below the original/new diameter.
    (b) Journal diameter stamped. For steam locomotives with plain 
bearings, the original/new journal diameter shall be stamped on one end 
of the axle no later than January 18, 2005.

[[Page 635]]



Sec. 230.99  Tender truck axles.

    The minimum diameters of axles for various axle loads shall be as 
follows:

----------------------------------------------------------------------------------------------------------------
                                                                      Minimum         Minimum         Minimum
                                                                    diameter of     diameter of     diameter of
                      Axle load (in pounds)                         journal (in   wheel seat (in    center (in
                                                                      inches)         inches)         inches)
----------------------------------------------------------------------------------------------------------------
50000...........................................................          5\1/2\          7\3/8\         6\7/16\
38000...........................................................               5          6\3/4\          5\7/8\
31000...........................................................          4\1/2\          6\1/4\         5\5/16\
22000...........................................................          3\3/4\               5          4\3/8\
15000...........................................................          3\1/4\          4\5/8\          3\7/8\
----------------------------------------------------------------------------------------------------------------



Sec. 230.100  Defects in tender truck axles and journals.

    (a) Tender truck axle condemning defects. Tender truck axles with 
any of the following defects shall be removed from service immediately 
and repaired:
    (1) Axles that are bent;
    (2) Collars that are broken, cracked, or worn to \1/4\ inch or less 
in thickness;
    (3) Truck axles that are unsafe on account of usage, accident, or 
derailment;
    (4) A fillet in the back shoulder that is worn out; or
    (5) A gouge between the wheel seats that is more than \1/8\ of an 
inch in depth.
    (b) Tender truck journal condemning defects. Tender truck journals 
with any of the following defects shall be removed from service 
immediately and repaired :
    (1) Cut journals that cannot be made to run cool without turning;
    (2) Seams in axles causing journals to run hot;
    (3) Overheating, as evidenced by pronounced blue black 
discoloration;
    (4) Transverse seams in journals of iron or steel axles; or
    (5) Journal surfaces having any of the following:
    (i) A circumferential score;
    (ii) Corrugation;
    (iii) Pitting;
    (iv) Rust;
    (v) Etching.



Sec. 230.101  Steam locomotive driving journal boxes.

    (a) Driving journal boxes. Driving journal boxes shall be maintained 
in a safe and suitable condition for service. Not more than one shim may 
be used between the box and bearing.
    (b) Broken bearings. Broken bearings shall be renewed.
    (c) Loose bearings. Loose bearings shall be repaired or renewed.



Sec. 230.102  Tender plain bearing journal boxes.

    Plain bearing journal boxes with the following defects shall be 
removed from service immediately and repaired:
    (a) A box that does not contain visible free oil;
    (b) A box lid that is missing, broken, or open except to receive 
servicing;
    (c) A box containing foreign matter, such as dirt, sand, or coal 
dust that can reasonably be expected to damage the bearing; or have a 
detrimental effect on the lubrication of the journal and bearing;
    (d) A lubricating pad that:
    (1) Is missing;
    (2) Is not in contact with the journal;
    (3) Has a tear extending half the length or width of the pad, or 
more, except by design;
    (4) Shows evidence of having been scorched, burned, or glazed;
    (5) Contains decaying or deteriorated fabric that impairs proper 
lubrication of the pad;
    (6) Has an exposed center core (except by design); or
    (7) Has metal parts contacting the journal;
    (e) A plain bearing that:
    (1) Is missing, cracked, broken;
    (2) Has a bearing liner loose;
    (3) Has a broken out piece; or
    (4) Has indications of having been overheated, as evidenced by:
    (i) Melted babbitt:
    (ii) Smoke from hot oil; or
    (iii) Journal surface damage; or
    (f) A plain bearing wedge that:
    (1) Is missing, cracked or broken; or

[[Page 636]]

    (2) Is not located in its design position.



Sec. 230.103  Tender roller bearing journal boxes.

    Tender roller bearing journal boxes shall be maintained in a safe 
and suitable condition.



Sec. 230.104  Driving box shoes and wedges.

    Driving box shoes and wedges shall be maintained in a safe and 
suitable condition for service.



Sec. 230.105  Lateral motion.

    (a) Condemning limits. The total lateral motion or play between the 
hubs of the wheels and the boxes on any pair of wheels shall not exceed 
the following limits:

------------------------------------------------------------------------
                                                                  Inches
------------------------------------------------------------------------
Engine truck wheels (with swing centers).......................        1
Engine truck wheels (with rigid centers).......................   1\1/2\
Trailing truck wheels..........................................        1
Driving wheels.................................................    \3/4\
------------------------------------------------------------------------

    (b) Limits increased. These limits may be increased on steam 
locomotives operating on track where the curvature exceeds 20 degrees 
when it can be shown that conditions require additional lateral motion.
    (c) Non-interference with other parts. The lateral motion shall in 
all cases be kept within such limits that the driving wheels, rods, or 
crank pins will not interfere with other parts of the steam locomotive.

                  Trucks, Frames and Equalizing System



Sec. 230.106  Steam locomotive frame.

    (a) Maintenance and inspection. Frames, decks, plates, tailpieces, 
pedestals, and braces shall be maintained in a safe and suitable 
condition for service, and shall be cleaned and thoroughly inspected as 
often as necessary to maintain in a safe and suitable condition for 
service with cleaning intervals, in any case, not to exceed every 1472 
service days.
    (b) Broken frames. Broken frames properly patched or secured by 
clamps or other suitable means which restores the rigidity of the frame 
are permitted.



Sec. 230.107  Tender frame and body.

    (a) Maintenance. Tender frames shall be maintained in a safe and 
suitable condition for service.
    (b) Height difference. The difference in height between the deck on 
the tender and the cab floor or deck on the steam locomotive shall not 
exceed 1\1/2\ inches.
    (c) Gangway minimum width. The minimum width of the gangway between 
steam locomotive and tender, while standing on tangent track, shall be 
16 inches.
    (d) Tender frame condemning defects. A tender frame with any of the 
following defects shall be removed from service immediately and 
repaired:
    (1) Portions of the tender frame or body (except wheels) that have 
less than a 2\1/2\ inches clearance from the top of rail;
    (2) Tender center sill that is broken, cracked more than 6 inches, 
or permanently bent or buckled more than 2\1/2\ inches in any six foot 
length;
    (3) Tender coupler carrier that is broken or missing;
    (4) Tender center plate, any portion of which is missing or broken 
or that is not properly secured; or
    (5) Tender that has a broken side sill, crossbearer, or body 
bolster.



Sec. 230.108  Steam locomotive leading and trailing trucks.

    (a) Maintenance. Trucks shall be maintained in safe and suitable 
condition for service. Center plates shall fit properly, and the male 
center plate shall extend into the female center plate not less than \3/
4\ inch. All centering devices shall be properly maintained and shall 
not permit lost motion in excess of \1/2\ inch.
    (b) Safety chain required. A suitable safety chain shall be provided 
at each front corner of all four wheel engine trucks.
    (c) Clearance required. All parts of trucks shall have sufficient 
clearance to prevent them from interfering with any other part of the 
steam locomotive.



Sec. 230.109  Tender trucks.

    (a) Tender truck frames. A tender truck frame shall not be broken, 
or have a crack in a stress area that affects its structural integrity. 
Tender

[[Page 637]]

truck center plates shall be securely fastened, maintained in a safe and 
suitable condition for service, and provided with a center pin properly 
secured. The male center plate must extend into the female center plate 
at least \3/4\ inch. Shims may be used between truck center plates.
    (b) Tender truck bolsters. Truck bolsters shall be maintained 
approximately level.
    (c) Condemning defects for springs or spring rigging. Springs or 
spring rigging with any of the following defects shall be taken out of 
service immediately and renewed or properly repaired:
    (1) An elliptical spring with its top (long) leaf or any other five 
leaves in the entire spring pack broken;
    (2) A broken coil spring or saddle;
    (3) A coil spring that is fully compressed;
    (4) A broken or cracked equalizer, hanger, bolt, gib or pin;
    (5) A broken coil spring saddle; and
    (6) A semi-elliptical spring with a top (long) leaf broken or two 
leaves in the top half broken, or any three leaves in the entire spring 
broken.
    (d) Tender securing arrangement. Where equipped, tender devices and/
or securing arrangements intended to prevent the truck and tender body 
from separating in case of derailment shall be maintained in a safe and 
suitable condition for service.
    (e) Side bearings and truck centering devices. Where equipped, side 
bearings and truck centering devices shall be maintained in a safe and 
suitable condition for service.
    (f) Friction side bearings. Friction side bearings shall not be run 
in contact, and shall not be considered to be in contact if there is 
clearance between them on either side when measured on tangent level 
track.
    (g) Side bearings. All rear trucks shall be equipped with side 
bearings. When the spread of side bearings is 50 inches, their maximum 
clearance shall be \3/8\ inch on each side for rear trucks and \3/4\ 
inch on each side for front trucks, where used. When the spread of the 
side bearings is increased, the maximum clearance shall be increased 
proportionately.



Sec. 230.110  Pilots.

    (a) General provisions. Pilots shall be securely attached, properly 
braced, and maintained in a safe and suitable condition for service.
    (b) Minimum and maximum clearance. The minimum clearance of pilot 
above the rail shall be 3 inches and the maximum clearance shall be 6 
inches measured on tangent level track.



Sec. 230.111  Spring rigging.

    (a) Arrangement of springs and equalizers. Springs and equalizers 
shall be arranged to ensure the proper distribution of weight to the 
various wheels of the steam locomotive, maintained approximately level 
and in a safe and suitable condition for service. Adjusting weights by 
shifting weights from one pair of wheels to another is permissible.
    (b) Spring or spring rigging condemning defects. Springs or spring 
rigging with any of the following defects shall be removed from service 
immediately and renewed or properly repaired:
    (1) Top leaf broken or two leaves in top half or any three leaves in 
spring broken. (The long side of a spring to be considered the top.) 
Broken springs not exceeding these requirements may be repaired by 
applying clips providing the clips can be made to remain in place;
    (2) Any spring with leaves excessively shifting in the band;
    (3) Broken coil springs; or
    (4) Broken driving box saddle, equalizer, hanger, bolt, or pin.

                            Wheels and Tires



Sec. 230.112  Wheels and tires.

    (a) Mounting. Wheels shall be securely mounted on axles. Prick 
punching or shimming the wheel fit will not be permitted. The diameter 
of wheels on the same axle shall not vary more than \3/32\ inch.
    (b) Gage. Wheels used on standard gage track will be out of gage if 
the inside gage of flanges, measured on base line is less than 53 inches 
or more than 53\3/8\ inches. Wheels used on less than standard gage 
track will be out of gage if the inside gage of flanges, measured on 
base line, is less than the relevant

[[Page 638]]

track gage less 3\1/2\ inches or more than the relevant track gage less 
3\1/8\ inches.
    (c) Flange distance variance. The distance back to back of flanges 
of wheels mounted on the same axle shall not vary more than \1/4\ inch.
    (d) Tire thickness. Wheels may not have tires with a minimum 
thickness less than that indicated in the table in this paragraph (d). 
When retaining rings are used, measurements of tires to be taken from 
the outside circumference of the ring, and the minimum thickness of 
tires may be as much below the limits specified earlier in this 
paragraph (d) as the tires extend between the retaining rings, provided 
it does not reduce the thickness of the tire to less than 1\1/8\ inches 
from the throat of flange to the counterbore for the retaining rings. 
The required minimum thickness for tires, by wheel center diameter and 
weight per axle, is as follows:

------------------------------------------------------------------------
 Weight per axle (weight on drivers                            Minimum
   divided by number of pairs of        Diameter of wheel     thickness
          driving wheels)                center (inches)       (inches)
------------------------------------------------------------------------
30,000 pounds and under............  44 and under..........       1\1/4\
                                     Over 44 to 50.........      1\5/16\
                                     Over 50 to 56.........       1\3/8\
                                     Over 56 to 62.........      1\7/16\
                                     Over 62 to 68.........       1\1/2\
                                     Over 68 to 74.........      1\9/16\
                                     Over 74...............       1\5/8\
Over 30,000 to 35,000 pounds.......  44 and under..........      1\5/16\
                                     Over 44 to 50.........       1\3/8\
                                     Over 50 to 56.........      1\7/16\
                                     Over 56 to 62.........       1\1/2\
                                     Over 62 to 68.........      1\9/16\
                                     Over 68 to 74.........       1\5/8\
                                     Over 74...............     1\11/16\
Over 35,000 to 40,000 pounds.......  44 and under..........       1\3/8\
                                     Over 44 to 50.........      1\7/16\
                                     Over 50 to 56.........       1\1/2\
                                     Over 56 to 62.........      1\9/16\
                                     Over 62 to 68.........       1\5/8\
                                     Over 68 to 74.........     1\11/16\
                                     Over 74...............       1\3/4\
Over 40,000 to 45,000 pounds.......  44 and under..........      1\7/16\
                                     Over 44 to 50.........       1\1/2\
                                     Over 50 to 56.........      1\9/16\
                                     Over 56 to 62.........       1\5/8\
                                     Over 62 to 68.........     1\11/16\
                                     Over 68 to 74.........       1\3/4\
                                     Over 74...............     1\13/16\
Over 45,000 to 50,000 pounds.......  44 and under..........       1\1/2\
                                     Over 44 to 50.........      1\9/16\
                                     Over 50 to 56.........       1\5/8\
                                     Over 56 to 62.........     1\11/16\
                                     Over 62 to 68.........       1\3/4\
                                     Over 68 to 74.........     1\13/16\
                                     Over 74...............       1\7/8\
Over 50,000 to 55,000 pounds.......  44 and under..........      1\9/16\
                                     Over 44 to 50.........       1\5/8\
                                     Over 50 to 56.........     1\11/16\
                                     Over 56 to 62.........       1\3/4\
                                     Over 62 to 68.........     1\13/16\
                                     Over 68 to 74.........       1\7/8\
                                     Over 74...............     1\15/16\
Over 55,000 pounds.................  44 and under..........       1\5/8\
                                     Over 44 to 50.........     1\11/16\
                                     Over 50 to 56.........       1\3/4\
                                     Over 56 to 62.........     1\13/16\
                                     Over 62 to 68.........       1\7/8\
                                     Over 68 to 74.........     1\15/16\
                                     Over 74...............            2
------------------------------------------------------------------------

    (e) Tire width. Flanged tires shall be no less than 5\1/2\ inches 
wide for standard gage and no less than 5 inches wide for narrow gage. 
Plain tires shall be no

[[Page 639]]

less than 6 inches wide for standard gage and no less than 5\1/2\ inches 
wide for narrow gage.



Sec. 230.113  Wheels and tire defects.

    Steam locomotive and tender wheels or tires developing any of the 
defects listed in this section shall be removed from service immediately 
and repaired. Except as provided in Sec. 230.114, welding on wheels and 
tires is prohibited. A wheel that has been welded is a welded wheel for 
the life of the wheel.
    (a) Cracks or breaks. Wheels and tires may not have a crack or break 
in the flange, tread, rim, plate, hub or brackets.
    (b) Flat spots. Wheels and tires may not have 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.
    (c) Chipped flange. Wheels and tires may not have a gouge or chip in 
the flange that is more than 1\1/2\ inches in length and \1/2\ inch in 
width.
    (d) Broken rims. Wheels and tires may not have a circumferentially 
broken rim if the tread, measured from the flange at a point \5/8\ inch 
above the tread, is less than 3\3/4\ inches in width.
    (e) Shelled-out spots. Wheels and tires may not have 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, or so numerous as to endanger the 
safety of the wheel.
    (f) Seams. Wheels and tires may not have a seam running lengthwise 
that is within 3\3/4\ inches of the flange.
    (g) Worn flanges. Wheels and tires may not have a flange worn to a 
\15/16\ inch thickness or less, as measured at a point \3/8\ inch above 
the tread.
    (h) Worn treads. Wheels and tires may not have a tread worn hollow 
\5/16\ inch or more.
    (i) Flange height. Wheels and tires may not have a flange height of 
less than 1 inch nor more than 1\1/2\ inches, as measured from the tread 
to the top of the flange.
    (j) Rim thickness. Wheels may not have rims less than 1 inch thick.
    (k) Wheel diameter. Wheels may not have wheel diameter variance, for 
wheels on the same axle or in the same driving wheel base, greater than 
\3/32\ inch, when all tires are turned or new tires applied to driving 
and trailing wheels. When a single tire is applied, the diameter must 
not vary more than \3/32\ inch from that of the opposite wheel on the 
same axle. When a single pair of tires is applied the diameter must be 
within \3/32\ inch of the average diameter of the wheels in the driving 
wheel base to which they are applied.



Sec. 230.114  Wheel centers.

    (a) Filling blocks and shims. Driving and trailing wheel centers 
with divided rims shall be properly fitted with iron or steel filling 
blocks before the tires are applied, and such filling blocks shall be 
properly maintained. When shims are inserted between the tire and the 
wheel center, not more than two thicknesses of shims may be used, one of 
which must extend entirely around the wheel. The shim which extends 
entirely around the wheel may be in three or four pieces, providing they 
do not lap.
    (b) Wheel center condemning defects. Wheel centers with any of the 
following defects shall be removed from service immediately and 
repaired:
    (1) Wheels centers loose on axle;
    (2) Broken or defective tire fastenings;
    (3) Broken or cracked hubs, plates, bolts or spokes, except as 
provided in paragraph (b)(4) of this section; or
    (4) Driving or trailing wheel center with three adjacent spokes or 
25 percent or more of the spokes in the wheel broken.
    (c) Wheel center repairs. Wheel centers may be repaired by welding 
or brazing provided that the defect can properly be so repaired and, 
following the repair, the crankpin and axle shall remain tight in the 
wheel. Banding of the hub is permitted.
    (d) Counterbalance maintenance. Wheel counterbalances shall be 
maintained in a safe and suitable condition for service.

                         Steam Locomotive Tanks



Sec. 230.115  Feed water tanks.

    (a) General provisions. Tanks shall be maintained free from leaks, 
and in safe and suitable condition for service. Suitable screens must be 
provided for tank wells or tank hose and shall be

[[Page 640]]

maintained in a manner that allows the unobstructed flow of water. Feed 
water tanks shall be equipped with a device that permits the measurement 
of the quantity of water in the tender feed water tank from the cab or 
tender deck of the steam locomotive. Such device shall be properly 
maintained.
    (b) Inspection frequency. As often as conditions warrant but not 
less frequently than every 92 service days, the interior of the tank 
shall be inspected, and cleaned if necessary.
    (c) Top of tender. Top of tender behind fuel space shall be kept 
clean, and means provided to carry off excess water. Suitable covers 
shall be provided for filling holes.



Sec. 230.116  Oil tanks.

    The oil tanks on oil burning steam locomotives shall be maintained 
free from leaks. The oil supply pipe shall be equipped with 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 that can be reset without 
hazard; and
    (c) Can be hand operated from clearly marked locations, one inside 
the cab and one accessible from the ground on each exterior side of the 
steam locomotive.



          Sec. Appendix A to Part 230--Inspection Requirements

    The lists in this appendix are intended as guidance only. Adherence 
to this list does not relieve the steam locomotive owner and/or operator 
of responsibility for either: (1) Completing the inspection and 
maintenance requirements described in this part; or (2) ensuring that 
the steam locomotive, tender and its parts and appurtenances are safe 
and suitable for service.

               Daily Inspection Requirements; Sec. 230.13

    1. Observance of lifting pressure of the lowest safety valve.
    2. Testing of water glasses and gauge cocks.*
    3. Inspection of tubular water glass shields.
    4. Inspection of all cab lamps.*
    5. Inspection of boiler feedwater delivery systems.*
    6. Inspection of lagging for indication of leaks.
    7. Inspection for leaks obstructing vision of engine crew.
    8. Observance of compressor(s) and governor to ascertain proper 
operation.*
    9. Inspection of brake and signal equipment.*
    10. Inspection of brake cylinders for piston travel.
    11. Inspection of foundation brake gear.
    12. Inspection of sanders.*
    13. Inspection of draw gear and chafing irons.
    14. Inspection of draft gear.
    15. Inspection of crossheads and guides.
    16. Inspection of piston rods and fasteners.
    17. Inspection of main, side, and valve motion rods.
    18. Inspection of headlights and classification lamps.*
    19. Inspection of running gear.
    20. Inspection of tender frames and tanks.
    21. Inspection of tender trucks for amount of side bearing 
clearance.

    Note: All items marked (*) should be checked at the beginning of 
each day the locomotive is used.

          31 Service Day Inspection Requirements; Sec. 230.14

    1. Washing of boiler.
    2. Cleaning and inspection of water glass valves and gauge cocks.
    3. Cleaning, washing and inspection of arch tubes, water bar tubes, 
circulators and siphons.
    4. Removal and inspection of all washout and water tube plugs.
    5. Testing of all staybolts.
    6. Removal, cleaning and inspection of fusible plugs (if any).

          92 Service Day Inspection Requirements; Sec. 230.15

    1. Removal and testing of all air and steam gauges.
    2. Cleaning of steam gauge siphon pipe.
    3. Renewal of tubular water glasses.
    4. Testing and adjusting of safety relief valves.
    5. Testing of main reservoir and brake cylinder leakage.
    6. Entering and inspection of tender tank interior.

              Annual Inspection Requirements; Sec. 230.16

    1. Testing of thickness of arch and water bar tubes (arch brick to 
be removed)
    2. Hydrostatic testing of boiler.
    3. Testing of all staybolts.
    4. Interior inspection of boiler.
    5. Thickness verification of dry pipes.
    6. Smoke box inspection.
    7. Main reservoir hammer or UT testing and hydrostatic testing (for 
non-welded and drilled main reservoirs)
    8. Removal and inspection of steam locomotive drawbar(s) and pins 
(NDE testing other than merely visual)

[[Page 641]]

    9. Inspection of longitudinal lap joint boiler seams.

              5 Year Inspection Requirements; Sec. 230.16

    1. Inspection of flexible staybolt caps and sleeves.

         1472 Service Day Inspection Requirements; Sec. 230.17

    1. Removal of boiler flues (as necessary) and cleaning of boiler 
interior.
    2. Removal of jacket and lagging and inspection of boiler interior 
and exterior.
    3. Hydrostatic testing of boiler.
    4. Thickness verification (boiler survey) and recomputation and 
update of steam locomotive specification card, (FRA Form No. 4).

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              Appendix B to Part 230--Diagrams and Drawings
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            Sec. Appendix C to Part 230--FRA Inspection Forms
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[64 FR 62865, Nov. 17, 1999, as amended at 70 FR 41996, July 21, 2005]

[[Page 672]]



           Sec. Appendix D to Part 230--Civil Penalty Schedule

------------------------------------------------------------------------
                                                               Willful
                   Section                      Violation     violation
------------------------------------------------------------------------
             Subpart A--General
 
230.11 Repair of non-complying conditions:
    (a) Failure to repair non-complying            $1,000        $2,500
     steam locomotive prior to use in
     service................................
    (b) Failure of owner and/or operator to         1,000         1,500
     approve repairs made prior to use of
     steam locomotive.......................
230.12 Movement of non-complying steam              (\1\)         (\1\)
 locomotive:
230.13 Daily inspection:
    (a) (b):
        (1) Inspection overdue..............        1,500         3,000
        (2) Inspection not performed by             1,000         1,500
         qualified person...................
    (c) Inspection report not made,                 1,000         1,500
     improperly executed or not retained....
230.14 Thirty-one service day inspection:
    (a):
        (1) Inspection overdue..............        1,500         3,000
        (2) Inspection not performed by
         qualified person...................
    (b) Failure to notify FRA...............        1,000         1,500
    (c) Inspection report not made,                 1,000         1,500
     improperly executed, not properly filed
230.15 Ninety-two service day inspection:
    (a):
        (1) Inspection overdue..............        1,500         3,000
        (2) Inspection not performed by             1,000         1,500
         qualified person...................
    (b) Inspection report not made,                 1,000         1,500
     improperly executed, not properly filed
230.16 Annual inspection:
    (a):
        (1) Inspection overdue..............        1,500         3,000
        (2) Inspection not performed by             1,000         1,500
         qualified person...................
    (b) Failure to notify FRA...............        1,000         1,500
    (c) Inspection report not made,                 1,000         1,500
     improperly executed, not properly filed
230.17 One thousand four hundred seventy-two
 service day inspection:
    (a):
        (1) Inspection overdue..............        1,500         3,000
        (2) Inspection not performed by             1,250         2,000
         qualified person...................
    (b) Inspection report not made,                 1,000         1,500
     improperly executed, not properly
     maintained, not properly filed.........
230.18 Service days:
    (a) Service day record not available for        1,000         1,500
     inspection.............................
    (b) Failure to file service day report          1,000         1,500
     with FRA Regional Administrator........
    (c) Failure to complete all 1,472               1,500         3,000
     service day inspection items prior to
     returning retired steam locomotive to
     service................................
230.19 Posting of forms:
    (a) FRA Form No. 1:
        (1) FRA Form No. 1 not properly             1,000         1,500
         filled out.........................
        (2) FRA Form No. 1 not properly             1,000         1,500
         displayed..........................
    (b) FRA Form No. 3:
        (1) FRA Form No. 3 not properly             1,000         1,500
         filled out.........................
        (2) FRA Form No. 3 not properly             1,000         1,500
         displayed..........................
230.20 Alteration and repair reports:
    (a) Alterations:
        (1) Failure to properly file FRA            1,000         1,500
         Form No. 19 with FRA Regional
         Administrator......................
        (2) FRA Form No. 19 not properly            1,000         1,500
         filled out.........................
        (3) FRA Form No. 19 not properly            1,000         1,500
         maintained.........................
    (b) Repairs to unstayed portions of the
     boiler:
        (1) FRA Form No. 19 not properly            1,000         1,500
         filled out.........................
        (2) FRA Form No. 19 not properly            1,000         1,500
         maintained.........................
    (c) Repairs to stayed portions of the
     boiler:
        (1) FRA Form No. 19 not properly            1,000         1,500
         filled out.........................
        (2) FRA Form No. 19 not properly            1,000         1,500
         maintained.........................
230.21 Failure to properly document steam           1,000         1,500
 locomotive number Change...................
 
    Subpart B--Boilers and Appurtenances
 
230.22 Failure to properly report accident          1,500         2,500
 resulting from failure of steam locomotive
 boiler or part or appurtenance thereof.....
230.23 Responsibility for general
 construction and safe working pressure:
    (a) Failure to properly establish safe          5,000        10,000
     working pressure for steam locomotive
     boiler.................................
    (b) Placing steam locomotive in service         5,000        10,000
     before safe working pressure for boiler
     has been established...................
230.24 Maximum allowable stress values on
 boiler components:
    (a) Use of materials not of sufficient          1,000         2,000
     tensile strength.......................
    (b) Use of a safety factor value of less        2,000         4,000
     than 4 when using the code of original
     construction in boiler calculations....
230.25 Maximum allowable stresses on stays
 and braces:

[[Page 673]]

 
    (a) Exceeding allowable stress values on        1,000         2,000
     fire box and/or combustion chamber.....
    (b) Exceeding allowable stress values on        1,000         2,000
     round, rectangular or gusset braces....
230.29 Inspection and repair:
    (a):
        (1) Failure of owner and/or operator        1,500         3,000
         to inspect and repair any steam
         locomotive boiler and/or
         appurtenance under control thereof.
        (2) Failure to remove steam                 2,500         5,000
         locomotive from service when
         considered necessary to do so......
    (b):
        (1) Failure of perform repairs in           2,000         4,000
         accordance with accepted industry
         standards..........................
        (2) Owner and/or operator returning         2,000         4,000
         steam locomotive boiler and/or
         appurtenances to service before
         they are in good condition and safe
         and suitable for service...........
230.30 Lap-joint seam boilers, Failure to           2,000         4,000
 properly inspect...........................
230.31 Flues to be removed:
    (a):
        (1) Failure to remove all flues when        1,500         3,000
         inspecting boiler..................
        (2) Failure to enter boiler and             1,500         3,000
         clean and inspect..................
    (b) Failure to remove superheater flues         1,000         2,000
     when deemed necessary to do so.........
230.32 Time and method of inspection:
    (a) Failure to perform 1,472 service day        1,500         3,000
     inspection when required to do so......
    (b) Failure to properly inspect boiler          1,500         3,000
     during 1,472 service day inspection....
230.33 Welded repairs and alterations:
    (a) Failure to obtain permission before         1,500         3,000
     welding on unstayed portions of boiler
     containing alloy or carbon steel with
     carbon content over .25 percent carbon.
    (b) Failure to perform welding on               1,500         3,000
     unstayed portions of boiler containing
     carbon steel not exceeding .25 percent
     carbon in accordance with a nationally
     accepted standard for boiler repairs...
    (c):
        (1) Failure to submit written               1,500         3,000
         request for approval before
         performing weld buildup on wasted
         areas of unstayed boiler surfaces
         that exceed 100 square inches or
         the smaller of 25 percent of
         minimum required wall thickness or
         \1/2\ inch.........................
        (2) Repairing wasted sheets.........        1,500         3,000
230.34 Riveted repairs and alterations:
    (a) Failure to obtain approval before           1,500         3,000
     making riveted alterations on unstayed
     portions of the boiler; failure to do
     riveting in accordance with established
     railroad practices or accepted national
     standards for boiler repairs...........
    (b) Failure to perform riveted repairs          1,500         3,000
     on unstayed boiler portions in
     accordance with established railroad
     practices or accepted national
     standards for boiler repairs...........
    (c) Failure to perform riveted repairs          1,000         2,000
     on stayed boiler portions in accordance
     with established railroad practices or
     accepted national standards for boiler
     repairs................................
230.35 Failure to raise temperature of steam        1,000         2,000
 locomotive boiler to 70 degrees F. before
 applying hydrostatic pressure to the boiler
230.36 Hydrostatic testing of boilers:
    (a) Failure to perform hydrostatic test         1,500         3,000
     of boiler as required..................
    (b) Failure to properly perform                 1,500         3,000
     hydrostatic test.......................
    (c) Failure to properly inspect boiler          1,500         3,000
     after conducting hydrostatic test above
     MAWP...................................
230.37 Failure to perform proper steam test         1,000         2,000
 or inspection of boiler after completion of
 repair or alteration to boiler.............
230.38 Telltale holes:
    (a) Failure to have telltale holes as           1,000         2,000
     required in staybolts..................
    (b) Failure to have proper telltale             1,000         2,000
     holes in reduced body staybolts........
    (c) Failure to keep telltales holes when        1,000         2,000
     so required............................
230.39 Broken staybolts:
    (a) Boiler in service with excess number        1,500         3,000
     of broken staybolts....................
    (b) Failure to replace staybolts when           1,500         3,000
     required to do so; to properly replace
     staybolts when so required; to inspect
     adjacent staybolts when replacing
     broken staybolts.......................
    (c) Failure to count leaking, plugged,          1,500         3,000
     or missing telltale holes as broken
     staybolts..............................
    (d) Closing telltale holes by prohibited        1,500         3,000
     means..................................
230.40 Time and method of staybolt testing:
    (a) Failure to hammer test staybolts            1,000         2,000
     when so required.......................
    (b) Failure to properly hammer test             1,000         2,000
     staybolts..............................
230.41 Flexible staybolts with caps:
    (a) Failure to inspect flexible                 1,000         2,000
     staybolts as required..................
    (b) Failure to replace broken flexible          1,000         2,000
     staybolts; failure to close inner ends
     of telltale holes as required..........
    (c) Failure to report removal of                1,000         2,000
     flexible staybolts caps and other tests
     on FRA Form No. 3 when so required.....
    (d) Failure to remove staybolt caps or          1,000         2,000
     otherwise test when FRA inspector or
     steam locomotive owner and/or operator
     consider it necessary to do so.........
230.42 Failure to have accurate boiler steam        2,000         4,000
 gauge where engine crew can conveniently
 read.......................................
230.43 Failure to have gauge siphon of              1,000         2,000
 proper capacity on steam gauge supply pipe;
 failure to properly clean, maintain the
 steam gauge supply pipe....................

[[Page 674]]

 
230.44 Failure to test steam gauge when so          1,000         2,000
 required...................................
230.45 Failure to properly test and/or set          1,000         2,000
 steam gauge................................
230.46 Failure to attach to boiler backhead         1,000         1,500
 metal badge plate showing allowable steam
 pressure...................................
230.47 Boiler Number:
    (a) (b) (c) Failure to stamp builder's          1,000         1,500
     number on boiler when number is known..
230.48 Number and capacity of safety relief
 valves:
    (a) Failure to equip steam locomotive           2,500         5,000
     boiler with proper safety relief valves
    (b) Failure to provide additional safety        3,000         6,000
     relief valve capacity when so required.
230.49 Setting of safety relief valves:
    (a) Safety relief valve(s) set and/or           2,500         5,000
     adjusted by person not competent to do
     so.....................................
    (b) Safety relief valve(s) not set to           2,500         5,000
     open at prescribed pressure(s).........
    (c) Safety relief valve(s) not properly         3,000         6,000
     set....................................
    (d) Set pressure of lowest safety relief        1,000         2,000
     valve not properly indicated...........
230.50 Failure to test and adjust safety            1,500         3,000
 relief valves when required to do so.......
230.51 Failure to equip steam locomotive            1,000         2,000
 boiler with at least 2 properly installed
 water glasses..............................
230.52 Failure to properly equip water              2,000         4,000
 glasses....................................
230.53 Failure to properly clean water glass        1,000         2,000
 valves and/or gauge cocks when required to
 do so......................................
230.54 Testing and maintenance:
    (a) Failure to properly test water              1,000         2,000
     glasses and/or gauge cocks.............
    (b) Failure to properly maintain gauge          1,500         3,000
     cocks, water column drain valves, and/
     or water glass valves..................
230.55 Tubular type water and lubricator
 glasses and shields:
    (a) Failure to renew tubular type water         1,000         2,000
     glasses as required....................
    (b) Failure to properly shield tubular          1,000         2,000
     water glasses and/or lubricator glasses
    (c) Failure to properly locate and/or           1,000         2,000
     maintain water glasses and/or water
     glass shields..........................
230.56 Failure to equip water glass with            1,000         2,000
 suitable lamp..............................
230.57 Injectors and feedwater pumps:
    (a) Failure to equip steam locomotive           3,000         6,000
     with proper means for delivering water
     to the boiler..........................
    (b) Failure to properly test and/or             2,500         5,000
     maintain injectors, feedwater pumps,
     boiler checks, delivery pipes, feed
     water pipes, tank hose, tank valves....
    (c) Failure to properly brace injectors,        1,000         2,000
     feedwater pumps, and/or associated
     piping.................................
230.58 Flue plugs:
    (a) Plugging flue plugs when not                1,000         2,000
     otherwise permitted....................
    (b) Improperly plugging flue plugs, when        1,000         2,000
     otherwise permitted....................
230.59 Failure to remove and properly clean         1,500         3,000
 fusible boiler plugs when required to do
 so; failure to properly note removal.......
230.60 Time of washing:
    (a) Failure to thoroughly wash boiler           1,000         2,000
     when required to do so.................
    (b) Failure to remove washout plugs,            1,500         3,000
     arch tube plugs, thermic siphon plugs,
     circulator plugs, water bar plugs when
     washing locomotive boiler..............
    (c) Failure to examine and/or properly          1,500         3,000
     maintain washout plugs washout plug
     sleeves, threaded openings.............
    (d) Failure to clean fusible plugs when         1,500         3,000
     required to do so......................
230.61 Arch tubes, water bar tubes,
 circulators and thermic siphons:
    (a) Failure to clean, wash, inspect arch        1,000         2,000
     tubes, water bar tubes, circulators and
     thermic siphons as required............
    (b) Failure to renew arch tubes, water          1,500         3,000
     bar tubes; failure to repair or renew
     circulators, thermic siphons when
     required...............................
    (c) Failure to properly inspect and/or          1,500         3,000
     replace as necessary arch tubes, water
     bar tubes, circulators.................
230.62 Failure to properly inspect and/or           2,500         5,000
 repair or replace as necessary dry pipes
 subject to pressure........................
230.63 Failure to properly inspect smoke            1,500         3,000
 box, steam pipes, pressure parts when
 required to do so..........................
230.64 Failure to remove from service steam         1,500         3,000
 locomotive boiler leaking under lagging
 from condition which may reduce safety and/
 or repair the boiler before returning to
 service....................................
230.65 Failure to keep steam locomotive             1,000         2,000
 boiler, piping, appurtenances in repair so
 steam does not obscure vision..............
230.66 Failure to properly oversee general          1,000         2,000
 design, construction, maintenance of steam
 locomotive(s) and tender(s)................
230.67 Failure to ensure all steam                  2,500         5,000
 locomotives and tenders are properly
 inspected and repaired and/or all defects
 are properly repaired and steam locomotive
 and/or tender are in good condition, safe
 and suitable for service before being
 returned to service........................
230.68 Failure to equip steam locomotive            1,000         1,500
 that operates in excess of 20 miles per
 hour over the general system with speed
 indicator maintained to ensure accurate
 functioning................................
230.69 Failure to equip steam locomotive            1,000         2,000
 with properly supported ash pan with
 operating mechanism that may be safely
 operated and securely closed...............
230.70 Safe condition:
    (a) Failure to perform proper pre-              1,000         2,000
     departure inspection when so required..
    (b) Failure to properly equip steam             1,000         2,000
     locomotive with brake pipe valve
     clearly identified as ``Emergency Brake
     Valve''................................
230.71 Orifice testing of air compressors:..
    (a)(b):
        Failure to properly test and/or             1,000         2,000
         maintain air compressor(s) capacity

[[Page 675]]

 
230.72 Testing main reservoirs:
    (a) Failure to properly test main               1,000         2,000
     reservoir(s) when required.............
    (b) Impermissibly or improperly drilling        1,000         2,000
     main reservoir.........................
    (c) Impermissibly using NDE method to           1,000         2,000
     measure wall thickness of main
     reservoir..............................
    (d) Failure to use appropriate method of        1,500         3,000
     NDE testing of wall thickness of welded
     or riveted longitudinal lap seam main
     reservoir(s); failure to withdraw main
     reservoir(s) from service when testing
     reveals insufficient wall thickness....
230.73 Air gauges:
    (a) Failure to equip steam locomotive           1,000         1,500
     with properly located air gauge(s) that
     are no more than 3 psi in error........
    (b) Failure to test air gauge(s) when so        1,000         1,500
     required...............................
    (c) Failure to properly test air                1,000         1,500
     gauge(s)...............................
230.74 Failure to properly clean and/or test        1,000         1,500
 all air brake valves, related dirt
 collectors, filters when required to do so.
230.75 Failure to properly stencil or               1,000         1,500
 display date of testing and cleaning and
 initials of shop or station performing work
230.76 Piston travel:
    (a) Insufficient minimum piston travel..        1,000         1,500
    (b) Excessive piston travel when steam          1,000         2,000
     locomotive is stationary...............
230.77 Foundation brake gear:
    (a) Failure to properly maintain                1,000         2,000
     foundation brake gear..................
    (b) Foundation brake gear less than 2.5         1,000         2,000
     inches above rail......................
230.78 Leakage:
    (a):
        (1) Failure to test for leakage from        1,000         1,500
         main reservoir or related piping as
         required...........................
        (2) Failure to repair excessive             1,000         2,000
         leakage from main reservoir or
         related piping leakage.............
    (b) Failure to test for brake cylinder          1,000         1,500
     as required............................
    (c):
        (1) Failure to test for leakage from        1,000         2,000
         steam locomotive brake pipe as
         required...........................
        (2) Failure to repair excessive             1,000         2,000
         brake pipe leakage.................
230.79 Train signal system:
        (1) Failure to test the train signal        1,000         1,500
         system or other form of on-board
         communication as required..........
        (2) Failure to repair train signal          1,000         1,500
         system or other on-board
         communication when not safe or
         suitable for service...............
230.80 Cabs:
    (a) Steam locomotive cab not safe and           1,000         2,000
     suitable for service...................
    (b) Steam pipes: Construction,                  1,000         2,000
     attachment.............................
    (c) Oil-burning steam locomotive, cab-          1,000         1,500
     enclosed...............................
230.81 Cab aprons:
    (a) Cab apron, general provisions.......        1,000         1,500
    (b) Cab apron, insufficient width.......        1,000         1,500
230.82 Fire doors:
    (a) Safe and suitable for service,              1,000         2,000
     general provisions.....................
    (b) Construction and maintenance of             1,000         2,000
     mechanically operated fire doors.......
    (c) Construction and maintenance of hand-       1,000         2,000
     operated fire doors....................
230.83 Cylinder cocks:
        (1) Failure to properly equip with          1,000         1,500
         cylinder cocks.....................
        (2) Failure to properly maintain            1,000         1,500
         cylinder cocks.....................
230.84 Sanders:
        (1) Inoperable sanders..............        1,000         1,500
        (2) Failure to test sanders.........        1,000         1,500
230.85 Audible warning devices:
    (a) General provisions..................        1,000         1,500
    (b) Sound level measurements, Failure to        1,000         1,500
     properly take..........................
230.86 Required illumination:
    (a) General provisions..................        1,000         1,500
    (b) Dimming device, Failure to properly         1,000         1,500
     equip with.............................
    (c) Multiple locomotives, Failure of            1,000         1,500
     lead locomotive to display headlight...
230.87 Cab lights: Failure to properly equip        1,000         2,000
 with.......................................
230.88 Throttles: Failure to properly               1,000         2,000
 maintain, equip............................
230.89 Reverse gear:
    (a) General provisions..................        1,000         2,000
    (b) Air-operated power reverse gear.....        1,000         2,000
    (c) Power reverse gear reservoirs.......        1,000         2,000
230.90 Draw gear and draft systems:
    (a) Maintenance and testing.............        1,000         1,500
    (b) Safety bars and chains, general.....        1,000         1,500
    (c) Safety bars and chains, minimum             1,000         1,500
     length.................................
    (d) Lost motion between steam locomotive        1,000         1,500
     and tender.............................
    (e) Spring buffers: Improper                    1,000         1,500
     application, compression...............
230.91 Chafing irons: Improper application,         1,000         1,500
 maintenance................................

[[Page 676]]

 
230.92 Draw gear, draft systems: Improperly         1,000         1,500
 maintained, fastened.......................
230.93 Pistons and piston rods:
    (a) Failure to properly inspect,                1,000         2,000
     maintain, renew........................
    (b) Fasteners: Failure to keep tight,           1,000         2,000
     properly equip.........................
230.94 Crossheads: Improperly maintained,           1,000         2,000
 excess clearance...........................
230.95 Guides: Failure to securely fasten,          1,000         2,000
 properly maintain..........................
230.96 Main, side, valve motion rods:
    (a) General.............................        1,000         2,000
    (b) Repairs.............................
        (1) Failure to make in accordance           1,000         2,000
         with accepted national standard....
        (2) Failure to submit written               1,000         2,000
         request for approval prior to
         welding............................
        (c) Bearings and bushings...........        1,000         1,500
    (d) Rod side motion: Excessive motion...        1,000         1,500
    (e) Oil, grease cups: Failure to                1,000         1,500
     securely fasten, properly equip........
    (f) Main rod bearings:
        (1) excessive bore..................        1,000         1,500
        (2) excessive lost motion...........        1,000         1,500
    (g) Side rod bearings, excessive bore...        1,000         1,500
230.97 Crank pins:
    (a) General provisions..................        1,000         2,000
    (b) Maintenance: Failure to maintain in         1,000         2,000
     safe, suitable condition...............
230.98 Driving, trailing, engine truck
 axles:
    (a) Condemning defects..................        1,000         2,000
    (b) Journal diameter: Failure to stamp            750         1,000
     on end of axle.........................
230.99 Tender truck axle: Insufficient              1,000         2,000
 diameter...................................
230.100 Defects in tender truck axles and
 journals:
    (a) Tender truck axle condemning defects        1,000         2,000
    (b) Tender truck journal condemning             1,000         2,000
     defects................................
230.101 Steam locomotive driving journal
 boxes:
    (a) Driving journal boxes: Failure to           1,000         2,000
     properly maintain......................
    (b) Broken bearings: Failure to renew...        1,000         2,000
    (c) Loose bearings: Failure to repair or        1,000         2,000
     renew..................................
230.102 Tender plain bearing journal boxes:         1,000         1,500
 Failure to repair..........................
230.103 Tender roller bearing journal boxes:        1,000         1,500
 Failure to properly maintain...............
230.104 Driving box shoes and wedges:               1,000         1,500
 Failure to properly maintain...............
230.105 Lateral motion:
    (a) Condemning limits: Total lateral            1,000         1,500
     motion in excess of....................
    (b) Limits exceeded, failure to                 1,000         1,500
     demonstrate conditions require
     additional lateral motion..............
    (c) Interferes with other parts of steam        1,000         1,500
     locomotive.............................
230.106 Steam locomotive frame:
    (a) Failure to properly inspect and/or          1,000         2,000
     maintain...............................
    (b) Broken frames, not properly patched         2,500         5,000
     or secured.............................
230.107 Tender frame and body:
    (a) Failure to properly maintain........        1,000         1,500
    (b) Height difference between tender            1,000         1,500
     deck and steam locomotive cab floor or
     deck excessive.........................
    (c) Gangway minimum width excessive.....        1,000         1,500
    (d) Tender frame condemning defects.....        1,500         3,000
230.108 Steam locomotive leading and
 trailing trucks:
    (a) Failure to properly maintain........        1,000         1,500
    (b) Safety chain, suitable safety chain         1,000         1,500
     not provided...........................
    (c) Insufficient truck clearance........        1,000         2,000
230.109 Tender trucks:
    (a):
        (1) Tender truck frames.............        1,000         2,000
        (2) Tender truck center plate.......        1,000         2,000
    (b) Tender truck bolsters: Failure to           1,500         3,000
     properly maintain......................
    (c) Condemning defects, springs and/or          1,000         2,000
     spring rigging.........................
    (d) Truck securing arrangement: Not             1,000         1,500
     properly maintained....................
    (e) Side bearings, truck centering              1,000         2,000
     devices................................
    (f) Friction side bearings: Run in              1,000         2,000
     contact................................
    (g):
        (1) Side bearings, failure to equip         1,000         2,000
         rear trucks with...................
        (2) Insufficient clearance of.......        1,000         2,000
230.110 Pilots:
    (a) General provisions..................        1,000         1,500
    (b) Clearance, insufficient or excessive        1,000         1,500
230.111 Spring rigging:
    (a) Arrangement of springs and                  1,000         2,000
     equalizers.............................
    (b) Spring or spring rigging condemning         1,000         2,000
     defects................................
230.112 Wheels and tires:
    (a) Improperly Mounted, excess variance         1,500         3,000
     in axle diameter.......................
    (b) Out of gage.........................        1,000         2,000

[[Page 677]]

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



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.
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.
231.31 Drawbars for freight cars; standard height.
231.33 Procedure for special approval of existing industry safety 
          appliance standards.

[[Page 678]]

231.35 Procedure for modification of an approved industry safety 
          appliance standard for new railcar construction.

Appendix A to Part 231--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20102-20103, 20107, 20131, 20301-20303, 21301-
21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    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.
    (3) Freight and other non-passenger trains of four-wheel coal cars.
    (4) Freight and other non-passenger trains of eight-wheel standard 
logging cars if the height of each car from the top of the rail to the 
center of the coupling is not more than 25 inches.
    (5) A locomotive used in hauling a train referred to in paragraph 
(b)(4) of this section when the locomotive and cars of the train are 
used only to transport logs.
    (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 $839 and not more than $27,455 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 $109,819 
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.
    (g) Except as provided in paragraph (b) of this section, Sec. 
231.31 also applies to an operation on a 24-inch, 36-inch, or other 
narrow gage railroad.

[54 FR 33229, Aug. 14, 1989, as amended at 63 FR 11623, Mar. 10, 1998; 
64 FR 25660, May 12, 1999; 66 FR 4192, Jan. 17, 2001; 69 FR 30594, May 
28, 2004; 72 FR 51197, Sept. 6, 2007; 73 FR 79703, Dec. 30, 2008; 77 FR 
24421, Apr. 24, 2012; 81 FR 43111, July 1, 2016]

[[Page 679]]



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 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 680]]

[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 681]]

    (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 682]]

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 683]]

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 684]]

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 685]]

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 686]]

    (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 687]]

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 688]]

    (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 689]]

    (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 690]]

    (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 691]]

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 692]]

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 693]]

    (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 694]]

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 695]]

    (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 696]]

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 697]]

    (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 698]]

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 699]]

    (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 700]]

    (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 701]]

    (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 702]]

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 703]]

    (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 704]]

    (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 705]]

    (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 706]]

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 707]]

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 Sec. Sec. 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 708]]

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 709]]

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.
    (3) Location. (i) The handbrake shall be so located that it can be 
safely operated from horizontal end platform while car is in motion.

[[Page 710]]

    (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).
    (2) Dimensions. Minimum diameter, five-eighths (\5/8\) of an inch, 
wrought iron, steel, or other material of equivalent strength. Minimum 
clear length,

[[Page 711]]

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).
    (iii) Handles of uncoupling levers of the ``rocking'' or ``push-
down'' type shall be not less than eighteen (18)

[[Page 712]]

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.
    (3) Location. On roof of car. One (1) parallel to treads of each 
ladder, not

[[Page 713]]

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.
    (3) Safety tread surface means that portion of anti-skid surface of 
a switching step that actually is contacted by a shoe or boot.

[[Page 714]]

    (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 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

[[Page 715]]

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 716]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.007


[[Page 717]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.008


[41 FR 37783, Sept. 8, 1976]



Sec. 231.31  Drawbars for freight cars; standard height.

    (a) Except on cars specified in paragraph (b) of this section--
    (1) On standard gage (56\1/2\-inch gage) railroads, the maximum 
height of drawbars for freight cars (measured perpendicularly from the 
level of the tops of the rails to the centers of the drawbars) shall be 
34\1/2\ inches, and the minimum height of drawbars for freight cars on 
such standard gage railroads (measured in the same manner) shall be 
31\1/2\ inches.
    (2) On 36-inch gage railroads, the maximum height of drawbars for 
freight cars (measured perpendicularly from the level of the tops of the 
rails to the centers of the drawbars) shall be 26 inches, and the 
minimum height of drawbars for freight cars on such 36-inch gage 
railroads (measured in the same manner) shall be 23 inches.
    (3) On 24-inch gage railroads, the maximum height of drawbars for 
freight cars (measured perpendicularly from the level of the tops of the 
rails to the centers of the drawbars) shall be 17\1/2\ inches, and the 
minimum height of drawbars for freight cars on 24-inch gage railroads 
(measured in the same manner) shall be 14\1/2\ inches.
    (4) On railroads operating on track with a gage other than those 
contained in paragraphs (a)(1) through (a)(3) of this section, the 
maximum and minimum height of drawbars for freight cars operating on 
those railroads shall be established upon written approval of FRA.
    (b) This section shall not apply to a railroad all of whose track is 
less than 24 inches in gage.

[66 FR 4192, Jan. 17, 2001]



Sec. 231.33  Procedure for special approval of existing industry
safety appliance standards.

    (a) General. The following procedures govern the submission, 
consideration and handling of any petition for special approval of an 
existing industry safety appliance standard for new construction of 
railroad cars, locomotives, tenders, or other rail vehicles.
    (b) Submission. An industry representative may submit a petition for 
special approval of an existing industry safety appliance standard for 
new construction. A petition for special approval of an industry 
standard for safety appliances shall include the following:

[[Page 718]]

    (1) The name, title, address, and telephone number of the primary 
individual to be contacted with regard to review of the petition.
    (2) An existing industry-wide standard that, at a minimum:
    (i) Identifies the type(s) of equipment to which the standard would 
be applicable and the section or sections within the safety appliance 
regulations that the existing industry standard would operate as an 
alternative to for new car construction;
    (ii) Ensures, as nearly as possible, based upon the design of the 
equipment, that the standard provides for the same complement of 
handholds, sill steps, ladders, hand or parking brakes, running boards, 
and other safety appliances as are required for a piece of equipment of 
the nearest approximate type(s) already identified in this part;
    (iii) Complies with all statutory requirements relating to safety 
appliances contained at 49 U.S.C. 20301 and 20302; and
    (iv) Addresses the specific number, dimension, location, and manner 
of application of each safety appliance contained in the industry 
standard;
    (3) Appropriate data or analysis, or both, for FRA to consider in 
determining whether the existing industry standard will provide at least 
an equivalent level of safety;
    (4) Drawings, sketches, or other visual aids that provide detailed 
information relating to the design, location, placement, and attachment 
of the safety appliances;
    (5) A demonstration of the ergonomic suitability of the proposed 
arrangements in normal use; and
    (6) A statement affirming that the petitioner has served a copy of 
the petition on designated representatives of the employees responsible 
for the equipment's operation, inspection, testing, and maintenance 
under this part, together with a list of the names and addresses of the 
persons served.
    (c) Service. (1) Each petition for special approval under paragraph 
(b) of this section shall be submitted to the FRA Docket Clerk, West 
Building Third Floor, Office of Chief Counsel, 1200 New Jersey Avenue, 
SE., Washington, DC 20590.
    (2) Service of each petition for special approval of an existing 
industry safety appliance standard under paragraph (b) of this section 
shall be made on the following:
    (i) Designated representatives of the employees responsible for the 
equipment's operation, inspection, testing, and maintenance under this 
part;
    (ii) Any organizations or bodies that either issued the standard to 
which the special approval pertains or issued the industry standard that 
is proposed in the petition; and
    (iii) Any other person who has filed with FRA a current statement of 
interest in reviewing special approvals under the particular requirement 
of this part at least 30 days but not more than 5 years prior to the 
filing of the petition. If filed, a statement of interest shall be filed 
with the FRA Docket Clerk, West Building Third Floor, Office of Chief 
Counsel, 1200 New Jersey Avenue, SE., Washington, DC 20590, and shall 
reference the specific section(s) of this part in which the person has 
an interest. A statement of interest that properly references the 
specific section(s) in which the person has an interest will be posted 
in the docket to ensure that each statement is accessible to the public.
    (d) Federal Register document. FRA will publish a document in the 
Federal Register announcing the receipt of each petition received under 
paragraph (b) of this section. The document will identify the public 
docket number in the Federal eRulemaking Portal (FeP) where the contents 
of each petition can be accessed and reviewed. The FeP can be accessed 
24 hours a day, seven days a week, via the Internet at the docket's Web 
site at http://www.regulations.gov. All documents in the FeP are 
available for inspection and copying on the Web site or are available 
for examination at the DOT Docket Management Facility, West Building 
Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 
20590, during regular business hours (9 a.m.-5 p.m.).
    (e) Comment. Not later than 60 days from the date of publication in 
the Federal Register concerning a petition received pursuant to 
paragraph (b)

[[Page 719]]

of this section, any person may comment on the petition. Any such 
comment shall:
    (1) Set forth specifically the basis upon which it is made and 
contain a concise statement of the interest of the commenter in the 
proceeding; and
    (2) Be submitted by mail or hand-delivery to the Docket Clerk, DOT 
Docket Management Facility, West Building Ground Floor, Room W12-140, 
1200 New Jersey Avenue, SE., Washington, DC 20590, or electronically via 
the Internet at http://www.regulations.gov. Any comments or information 
sent directly to FRA will be immediately provided to the DOT FeP for 
inclusion in the public docket related to the petition. All comments 
should identify the appropriate docket number for the petition to which 
they are commenting.
    (f) 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, if necessary.
    (2) FRA will normally act on a petition within 90 days of the close 
of the comment period related to the petition. If the petition is 
neither granted nor denied within that timeframe, the petition will 
remain pending unless withdrawn by the petitioner.
    (3) A petition may be:
    (i) Granted where it is determined that the petition complies with 
all applicable Federal statutes, that the petition complies with the 
requirements of this section, and the existing industry safety appliance 
standard provides at least an equivalent level of safety as the existing 
FRA standards;
    (ii) Denied where it is determined that the petition does not comply 
with an applicable Federal statute, the petition does not comply with 
the requirements of this section, or the existing industry safety 
appliance standard does not provide at least an equivalent level of 
safety as the existing FRA standards; or
    (iii) Returned to the petitioner for additional consideration where 
it is determined that further information is required or that the 
petition may be amended in a reasonable manner to comply with all 
applicable Federal statutes, that petition may be amended to comply with 
the requirements of this section, or to ensure that the existing 
industry standard provides at least an equivalent level of safety as the 
existing FRA standards. Where the petition is returned to the 
petitioner, FRA will provide written notice to the petitioner of the 
item(s) identified by FRA as requiring additional consideration. 
Petitioner shall reply within 60 days from the date of FRA's written 
notice of return for additional consideration or the petition will be 
deemed withdrawn, unless good cause is shown. Petitioner's reply shall:
    (A) Address the item(s) raised by FRA in the written notice of the 
return of the petition for additional consideration;
    (B) Comply with the submission requirements of paragraph (b) of this 
section; and
    (C) Comply with the service requirements in paragraph (c) of this 
section.
    (4) When FRA grants or denies a petition, or returns a petition for 
additional consideration, written notice will be sent to the petitioner 
and other interested parties.
    (5) If a petition is granted, it shall go into effect on the date 
specified in FRA's written notice granting the petition. If no date is 
specified in FRA's written notice granting the petition, the effective 
date shall begin on January 1st, not less than one (1) year and not more 
than two (2) years from the date of FRA's written notice granting the 
petition. FRA will place a copy of the approved industry safety 
appliance standard in the related public docket where it can be accessed 
by all interested parties.
    (6) A petition, once approved, may be re-opened upon good cause 
shown. Good cause exists where subsequent evidence demonstrates that an 
approved petition does not comply with an applicable Federal statute; 
that the approved petition does not comply with the requirements of this 
section; that the existing industry safety appliance standard does not 
provide at least an equivalent level of safety as the corresponding FRA 
regulation for the nearest railcar type(s); or that further information 
is required to make such a determination. When a petition is re-opened 
for good cause shown, it shall return to pending status and shall not be 
considered approved or denied.

[[Page 720]]

    (g) Enforcement. Any industry standard approved pursuant to this 
section will be enforced against any person, as defined at 49 CFR 209.3, 
who violates any provision of the approved standard or causes the 
violation of any such provision. Civil penalties will be assessed under 
this part by using the applicable defect code contained in appendix A to 
this part.

[76 FR 23726, Apr. 28, 2011]



Sec. 231.35  Procedure for modification of an approved industry 
safety appliance standard for new railcar construction.

    (a) Petitions for modification of an approved industry safety 
appliance standard. An industry representative may seek modification of 
an existing industry safety appliance standard for new construction of 
railroad cars, locomotives, tenders, or other rail vehicles after the 
petition for special approval has been approved pursuant to Sec. 
231.33. The petition for modification shall include each of the elements 
identified in Sec. 231.33(b).
    (b) Service. (1) Each petition for modification of an approved 
industry standard under paragraph (a) of this section shall be submitted 
to the FRA Docket Clerk, West Building Third Floor, Office of Chief 
Counsel, 1200 New Jersey Avenue, SE., Washington, DC 20590.
    (2) Service of each petition for modification of an existing 
industry safety appliance standard under paragraph (a) of this section 
shall be made on the following:
    (i) Designated representatives of the employees responsible for the 
equipment's operation, inspection, testing, and maintenance under this 
part;
    (ii) Any organizations or bodies that either issued the standard 
incorporated in the section(s) of the rule to which the modification 
pertains or issued the industry standard that is proposed in the 
petition for modification; and
    (iii) Any other person who has filed with FRA a current statement of 
interest in reviewing special approvals under the particular requirement 
of this part at least 30 days but not more than 5 years prior to the 
filing of the petition. If filed, a statement of interest shall be filed 
with FRA's Associate Administrator for Safety and shall reference the 
specific section(s) of this part in which the person has an interest.
    (c) Federal Register document. Upon receipt of a petition for 
modification, FRA will publish a document in the Federal Register 
announcing the receipt of each petition received under paragraph (a) of 
this section. The document will identify the public docket number in the 
Federal eRulemaking Portal (FeP) where the contents of each petition can 
be accessed and reviewed. The FeP can be accessed 24 hours a day, seven 
days a week, via the Internet at the docket's Web site at http://
www.regulations.gov. All documents in the FeP are available for 
inspection and copying on the Web site or are available for examination 
at the DOT Docket Management Facility, West Building Ground Floor, Room 
W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590, during 
regular business hours (9 a.m.-5 p.m.).
    (d) Comment. Not later than 60 days from the date of publication in 
the Federal Register concerning a petition for modification under 
paragraph (a) of this section, any person may comment on the petition. 
Any such comment shall:
    (1) Set forth specifically the basis upon which it is made, and 
contain a concise statement of the interest of the commenter in the 
proceeding; and
    (2) Be submitted by mail or hand-delivery to the Docket Clerk, DOT 
Docket Management Facility, West Building Ground Floor, Room W12-140, 
1200 New Jersey Avenue, SE., Washington, DC 20590, or electronically via 
the Internet at http://www.regulations.gov. Any comments or information 
sent directly to FRA will be immediately provided to the DOT FeP for 
inclusion in the public docket related to the petition. All comments 
should identify the appropriate docket number for the petition to which 
they are commenting.
    (e) FRA Review. During the 60 days provided for public comment, FRA 
will review the petition. If FRA objects to the requested modification, 
written notification will be provided within this 60-day period to the 
party requesting the modification detailing FRA's objection.

[[Page 721]]

    (f) Disposition of petitions for modification. (1) If no comment 
objecting to the requested modification is received during the 60-day 
comment period, provided by paragraph (d) of this section, or if FRA 
does not issue a written objection to the requested modification, the 
modification will become effective fifteen (15) days after the close of 
the 60-day comment period.
    (2) If an objection is raised by an interested party, during the 60-
day comment period, or if FRA issues a written objection to the 
requested modification, the requested modification will be treated as a 
petition for special approval of an existing industry safety appliance 
standard and handled in accordance with the procedures provided in Sec. 
231.33(f).
    (3) A petition for modification, once approved, may be re-opened 
upon good cause shown. Good cause exists where subsequent evidence 
demonstrates that an approved petition does not comply with the an 
applicable Federal statute, that an approved petition does not comply 
with the requirements of this section; that the existing industry safety 
appliance standard does not provide at least an equivalent level of 
safety as the corresponding FRA regulation for the nearest railcar 
type(s); or that further information is required to make such a 
determination. When a petition is re-opened for good cause shown, it 
shall return to pending status and shall not be considered approved or 
denied.
    (g) Enforcement. Any modification of an industry standard approved 
pursuant to this section will be enforced against any person, as defined 
at 49 CFR 209.3, who violates any provision of the approved standard or 
causes the violation of any such provision. Civil penalties will be 
assessed under this part by using the applicable defect code contained 
in appendix A to this part.

[76 FR 23726, Apr. 28, 2011]



      Sec. 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         2,500        5,000
 Clearance 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 Tripping        2,500        5,000
 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.......................................
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

[[Page 722]]

 
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 or        2,500        5,000
 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 Dimensions        2,500        5,000
138.C1 Hand or Safety Railing Improperly              2,500        5,000
 Applied......................................
138.C2 Hand or Safety Railing Having Less Than        2,500        5,000
 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 Disconnected        2,500        5,000
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......................................
146.A Notice or Stencil not Posted on Cabooses        1,000        2,000
 with Running Boards Removed..................
146.B Safe Means not Provided to Clean or             1,000        2,000
 Maintain Windows of Caboose..................

[[Page 723]]

 
231.31 Drawbars, standard height..............        2,500        5,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $109,819 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; 
66 FR 4193, Jan. 17, 2001; 73 FR 79703, Dec. 30, 2008; 77 FR 24421, Apr. 
24, 2012; 77 FR 26704, May 7, 2012; 81 FR 43111, July 1, 2016]



PART 232_BRAKE SYSTEM SAFETY STANDARDS FOR FREIGHT AND OTHER NON-
PASSENGER TRAINS AND EQUIPMENT; END-OF-TRAIN DEVICES--Table of Contents



                            Subpart A_General

Sec.
232.1 Scope.
232.3 Applicability.
232.5 Definitions.
232.7 Waivers.
232.9 Responsibility for compliance.
232.11 Penalties.
232.13 Preemptive effect.
232.15 Movement of defective equipment.
232.17 Special approval procedure.
232.19 Availability of records.
232.21 Information collection.

                     Subpart B_General Requirements

232.101 Scope.
232.103 General requirements for all train brake systems.
232.105 General requirements for locomotives.
232.107 Air source requirements and cold weather operations.
232.109 Dynamic brake requirements.
232.111 Train handling information.

              Subpart C_Inspection and Testing Requirements

232.201 Scope.
232.203 Training requirements.
232.205 Class I brake tests--initial terminal inspection.
232.207 Class IA brake tests--1,000-mile inspection.
232.209 Class II brake tests--intermediate inspection.
232.211 Class III brake tests--trainline continuity inspection.
232.213 Extended haul trains.
232.215 Transfer train brake tests.
232.217 Train brake tests conducted using yard air.
232.219 Double heading and helper service.

         Subpart D_Periodic Maintenance and Testing Requirements

232.301 Scope.
232.303 General requirements.
232.305 Single car air brake tests.
232.307 Modification of the single car air brake test procedures.
232.309 Equipment and devices used to perform single car air brake 
          tests.

                     Subpart E_End-of-Train Devices

232.401 Scope.
232.403 Design standards for one-way end-of-train devices.
232.405 Design and performance standards for two-way end-of-train 
          devices.
232.407 Operations requiring use of two-way end-of-train devices; 
          prohibition on purchase of nonconforming devices.
232.409 Inspection and testing of end-of-train devices.

          Subpart F_Introduction of New Brake System Technology

232.501 Scope.
232.503 Process to introduce new brake system technology.
232.505 Pre-revenue service acceptance testing plan.

   Subpart G_Electronically Controlled Pneumatic (ECP) Braking Systems

232.601 Scope.
232.602 Applicability.
232.603 Design, interoperability, and configuration management 
          requirements.
232.605 Training requirements.
232.607 Inspection and testing requirements.
232.609 Handling of defective equipment with ECP brake systems.
232.611 Periodic maintenance.
232.613 End-of-train devices.

Appendix A to Part 232--Schedule of Civil Penalties
Appendix B to Part 232--Part 232 prior to May 31, 2001 as clarified 
          effective April 10, 2002


[[Page 724]]


    Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20301-20303, 
20306, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    Source: 66 FR 4193, Jan. 17, 2001, unless otherwise noted.



                            Subpart A_General



Sec. 232.1  Scope.

    (a) This part prescribes Federal safety standards for freight and 
other non-passenger train brake systems and equipment. Subpart E of this 
part prescribes Federal safety standards not only for freight and other 
non-passenger train brake systems and equipment, but also for passenger 
train brake systems. This part does not restrict a railroad from 
adopting or enforcing additional or more stringent requirements not 
inconsistent with this part.
    (b) Except as otherwise specifically provided in this paragraph or 
in this part, railroads to which this part applies shall comply with all 
the requirements contained in subparts A through C and subpart F of this 
part beginning on April 1, 2004. Sections 232.1 through 232.13 and 
232.17 through 232.21 of this part will become applicable to all 
railroads to which this part applies beginning on May 31, 2001. Subpart 
D of this part will become applicable to all railroads to which this 
part applies beginning on August 1, 2001. Subpart E of this part will 
become applicable to all trains operating on track which is part of the 
general railroad system of transportation beginning on May 31, 2001.
    (c) A railroad may request earlier application of the requirements 
contained in subparts A through C and subpart F of this part 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 requirements contained in those subparts.
    (d) Except for operations identified in Sec. 232.3(c)(1), (c)(4), 
and (c)(6) through (c)(8), all railroads which are part of the general 
railroad system of transportation shall operate pursuant to the 
requirements contained in this part 232 as it existed on May 31, 2001 
and included as appendix B to this part until they are either required 
to operate pursuant to the requirements contained in this part or the 
requirements contained in part 238 of this chapter or they elect to 
comply earlier than otherwise required with the requirements contained 
in this part or the requirements contained in part 238 of this chapter.

[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 9906, Feb. 12, 2001]



Sec. 232.3  Applicability.

    (a) Except as provided in paragraphs (b) and (c) of this section, 
this part applies to all railroads that operate freight or other non-
passenger train service on standard gage track which is part of the 
general railroad system of transportation. This includes the operation 
of circus trains and private cars when hauled on such railroads.
    (b) Subpart E of this part, ``End-of-Train Devices,'' applies to all 
trains operating on track which is part of the general railroad system 
of transportation unless specifically excepted in that subpart.
    (c) Except as provided in Sec. 232.1(d) and paragraph (b) of this 
section, this part does not apply to:
    (1) A railroad that operates only on track inside an installation 
that is not part of the general railroad system of transportation.
    (2) Intercity or commuter passenger train operations on standard 
gage track which is part of the general railroad system of 
transportation;
    (3) Commuter or other short-haul rail passenger train operations in 
a metropolitan or suburban area (as described by 49 U.S.C. 20102(1)), 
including public authorities operating passenger train service;
    (4) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation;
    (5) Tourist, scenic, historic, or excursion operations, whether on 
or off the general railroad system;
    (6) Freight and other non-passenger trains of four-wheel coal cars;
    (7) Freight and other non-passenger trains of eight-wheel standard 
logging cars if the height of each car from the top of the rail to the 
center of the coupling is not more than 25 inches; or

[[Page 725]]

    (8) A locomotive used in hauling a train referred to in paragraph 
(c)(7) of this subsection when the locomotive and cars of the train are 
used only to transport logs.
    (d) The provisions formerly contained in Interstate Commerce 
Commission Order 13528, of May 30, 1945, as amended, now revoked, are 
codified in this paragraph. This part is not applicable to the following 
equipment:
    (1) Scale test weight cars.
    (2) Locomotive cranes, steam shovels, pile drivers, and machines of 
similar construction, and maintenance machines built prior to September 
21, 1945.
    (3) Export, industrial, and other cars not owned by a railroad which 
are not to be used in service, except for movement as shipments on their 
own wheels to given destinations. Such cars shall be properly identified 
by a card attached to each side of the car, signed by the shipper, 
stating that such movement is being made under the authority of this 
paragraph.
    (4) Industrial and other than railroad-owned cars which are not to 
be used in service except for movement within the limits of a single 
switching district (i.e., within the limits of an industrial facility).
    (5) Narrow-gage cars.
    (6) Cars used exclusively in switching operations and not used in 
train movements within the meaning of the Federal safety appliance laws 
(49 U.S.C. 20301-20306).



Sec. 232.5  Definitions.

    The definitions in this section are intended to clarify the meaning 
of terms used in this part as it becomes applicable pursuant to Sec. 
232.1(b) and (c).
    AAR means the Association of American Railroads.
    Air brake means a combination of devices operated by compressed air, 
arranged in a system, and controlled manually, electrically, 
electronically, or pneumatically, by means of which the motion of a 
railroad car or locomotive is retarded or arrested.
    Air Flow Indicator, AFM means a specific air flow indicator required 
by the air flow method of qualifying train air brakes (AFM). The AFM Air 
Flow Indicator is a calibrated air flow measuring device which is 
clearly visible and legible in daylight and darkness from the engineer's 
normal operating position. The indicator face displays:
    (1) Markings from 10 cubic feet per minute (CFM) to 80 CFM, in 
increments of 10 CFM or less; and
    (2) Numerals indicating 20, 40, 60, and 80 CFM for continuous 
monitoring of air flow.
    Bind means restrict the intended movement of one or more brake 
system components by reduced clearance, by obstruction, or by increased 
friction.
    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 resistor 
grids or into the catenary or third rail system.
    Brake, effective means a brake that is capable of producing its 
nominally designed retarding force on the train. A car's air brake is 
not considered effective if it is not capable of producing its nominally 
designed retarding force or if its piston travel exceeds:
    (1) 10\1/2\ inches for cars equipped with nominal 12-inch stroke 
brake cylinders; or
    (2) The piston travel limit indicated on the stencil, sticker, or 
badge plate for that brake cylinder.
    Brake, hand means a brake that can be applied and released by hand 
to prevent or retard the movement of a locomotive.
    Brake indicator means a device which indicates the brake application 
range and indicates whether brakes are applied and released.
    Brake, inoperative means a primary brake that, for any reason, no 
longer applies or releases as intended.
    Brake, inoperative dynamic means a dynamic brake that, for any 
reason, no longer provides its designed retarding force on the train.
    Brake, parking means a brake that can be applied by means other than 
by hand, such as spring, hydraulic, or air pressure when the brake pipe 
air is depleted, or by an electrical motor.
    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 railroad cars for the passage of 
compressed air.

[[Page 726]]

    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 wheels.
    Car control device (CCD) means an electronic control device that 
replaces the function of the conventional pneumatic service and 
emergency portions of a car's air brake control valve during electronic 
braking and provides for electronically controlled service and emergency 
brake applications.
    Dual mode ECP brake system means an ECP brake system that is 
equipped with either an emulator CCD or an overlay ECP brake system on 
each car which can be operated in either ECP brake mode or conventional 
pneumatic brake mode.
    ECP means ``electronically controlled pneumatic'' when applied to a 
brake or brakes.
    ECP brake mode means operating a car or an entire train using an ECP 
brake system.
    ECP brake system means a train power braking system actuated by 
compressed air and controlled by electronic signals from the locomotive 
or an ECP-EOT to the cars in the consist for service and emergency 
applications in which the brake pipe is used to provide a constant 
supply of compressed air to the reservoirs on each car but does not 
convey braking signals to the car. ECP brake systems include dual mode 
and stand-alone ECP brake systems.
    ECP-EOT device means an end-of-train device for an ECP brake system 
that is physically the last network node in the train, pneumatically and 
electrically connected at the end of the train to the train line cable 
operating with an ECP brake system.
    Emergency application means an irretrievable brake application 
resulting in the maximum retarding force available from the train brake 
system.
    Emulator CCD means a CCD that is capable of optionally emulating the 
function of the pneumatic control valve while in a conventionally braked 
train.
    End-of-train device, one-way means two pieces of equipment linked by 
radio that meet the requirements of Sec. 232.403.
    End-of-train device, two-way means two pieces of equipment linked by 
radio that meet the requirements of Sec. Sec. 232.403 and 232.405.
    Foul means any condition which restricts the intended movement of 
one or more brake system components because the component is snagged, 
entangled, or twisted.
    Freight car means a vehicle designed to carry freight, or railroad 
personnel, by rail and a vehicle designed for use in a work or wreck 
train or other non-passenger train.
    Initial terminal means the location where a train is originally 
assembled.
    Locomotive means a piece of railroad on-track 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--
    (1) With one or more propelling motors designed for moving other 
railroad equipment;
    (2) With one or more propelling motors designed to transport freight 
or passenger traffic or both; or
    (3) Without propelling motors but with one or more control stands.
    Locomotive cab means that portion of the superstructure designed to 
be occupied by the crew operating the locomotive.
    Locomotive, controlling means the locomotive from which the engineer 
exercises control over the train.
    Mechanical securement device means a device, other than the air 
brake, that provides at least the equivalent securement that a 
sufficient number of hand brakes would provide in the same situation. 
Current examples include skates, retarders, and inert retarders.
    Off air means not connected to a continuous source of compressed air 
of at least 60 pounds per square inch (psi).
    Ordered date or date ordered means the date on which notice to 
proceed is given by a procuring railroad to a contractor or supplier for 
new equipment.

[[Page 727]]

    Overlay ECP brake system means a brake system that has both 
conventional pneumatic brake valves and ECP brake components, making it 
capable of operating as either a conventional pneumatic brake system or 
an ECP brake system. This brake system can operate in either a 
conventionally braked train using the conventional pneumatic control 
valve or in an ECP braked train using the ECP brake system's CCD.
    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 piston in the brake cylinder or actuator and limited by the brake 
shoes being forced against the wheel or disc.
    Pre-revenue service acceptance testing plan means a document, as 
further specified in Sec. 232.505, prepared by a railroad that explains 
in detail how pre-revenue service tests of certain equipment demonstrate 
that the equipment meets Federal safety standards and the railroad's own 
safety design requirements.
    Previously tested equipment means equipment that has received a 
Class I brake test pursuant to Sec. 232.205 and has not been off air 
for more than four hours.
    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 the day engaged in any one readily 
identifiable type of activity.
    Qualified mechanical inspector means a qualified person who has 
received, as a part of the training, qualification, and designation 
program required under Sec. 232.203, 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 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 components for which the person is assigned 
responsibility. Further, the qualified mechanical inspector shall be a 
person whose primary responsibility includes work generally consistent 
with the functions listed in this definition.
    Qualified person means a person who has received, as a part of the 
training, qualification, and designation program required under Sec. 
232.203, instruction and training necessary to perform one or more 
functions required under this part. The railroad is responsible for 
determining that the person has the knowledge and skills necessary to 
perform the required function for which the person is assigned 
responsibility. The railroad determines the qualifications and 
competencies for employees designated to perform various functions in 
the manner set forth in this part. Although the rule uses the term 
``qualified person'' to describe a person responsible for performing 
various functions required under this part, a person may be deemed 
qualified to perform some functions but not qualified to perform other 
functions. For example, although a person may be deemed qualified to 
perform the Class II/intermediate brake test required by this part, that 
same person may or may not be deemed qualified to perform the Class I/
initial Terminal brake test or authorize the movement of defective 
equipment under this part. The railroad will determine the required 
functions for which an individual will be deemed a ``qualified person'' 
based upon the instruction and training the individual has received 
pursuant to Sec. 232.203 concerning a particular function.
    Railroad means any form of non-highway ground transportation that 
runs on rails or electromagnetic guideways, including:
    (1) Commuter or 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
    (2) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads. The term 
``railroad'' is also intended to

[[Page 728]]

mean a person that provides transportation by railroad, whether directly 
or by contracting out operation of the railroad to another person. The 
term does not include rapid transit operations in an urban area that are 
not connected to the general railroad system of transportation.
    Rebuilt equipment means equipment that has undergone overhaul 
identified by the railroad as a capital expense under the Surface 
Transportation Board's accounting standards.
    Refresher training means periodic retraining required for employees 
or contractors to remain qualified to perform specific equipment 
troubleshooting, inspection, testing, maintenance, or repair functions.
    Respond as intended means to produce the result that a device or 
system is designed to produce.
    ``Roll-by'' inspection means an inspection performed while equipment 
is moving.
    Service application means a brake application that results from one 
or more service reductions or the equivalent.
    Service reduction means a decrease in brake pipe pressure, usually 
from 5 to 25 psi at a rate sufficiently rapid to move the operating 
valve to service position, but at a rate not rapid enough to move the 
operating valve to emergency position.
    Solid block of cars means two or more freight cars coupled together 
and added to or removed from a train as a single unit.
    Stand-alone CCD means a CCD that can operate properly only in a 
train operating in ECP brake mode and cannot operate in a conventional 
pneumatically braked train.
    Stand-alone ECP brake system means a brake system equipped with a 
CCD that can only operate the brakes on the car in ECP brake mode.
    State inspector means an inspector of a participating State rail 
safety program under part 212 of this chapter.
    Switch Mode means a mode of operation of the ECP brake system that 
allows operation of that train at 20 miles per hour or less when the 
train's ECP-EOT device is not communicating with the lead locomotive's 
HEU, the train is separated during road switching operations, or the ECP 
brake system has stopped the train because the percentage of operative 
brakes fell below 85%. Many of the ECP brake system's fault detection/
response procedures are suspended during Switch Mode.
    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.
    Tourist, scenic, historic, or excursion operations are railroad 
operations that carry passengers, often using antiquated equipment, with 
the conveyance of the passengers to a particular destination not being 
the principal purpose.
    Train means one or more locomotives coupled with one or more freight 
cars, except during switching service.
    Train line means the brake pipe or any non-pneumatic system used to 
transmit the signal that controls the locomotive and freight car brakes.
    Train line cable is a two-conductor electric wire spanning the train 
and carrying both electrical power to operate all CCDs and ECP-EOT 
devices and communications network signals.
    Train, unit or train, cycle means a train that, except for the 
changing of locomotive power or for the removal or replacement of 
defective equipment, remains coupled as a consist and operates in a 
continuous loop or continuous loops without destination.
    Transfer train means a train that travels between a point of origin 
and a point of final destination not exceeding 20 miles. Such trains may 
pick up or deliver freight equipment while en route to destination.
    Unattended equipment means equipment left standing and unmanned in 
such a manner that the brake system of the equipment cannot be readily 
controlled by a qualified person.
    Yard means a system of tracks, not including main tracks and 
sidings, used for classifying cars, making-up and inspecting trains, or 
storing cars and equipment.

[[Page 729]]

    Yard air means a source of compressed air other than from a 
locomotive.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17580, Apr. 10, 2002; 73 
FR 61552, Oct. 16, 2008; 80 FR 47834, Aug. 6, 2015]



Sec. 232.7  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. If a waiver is granted, the Administrator 
publishes a notice in the Federal Register containing the reasons for 
granting the waiver.



Sec. 232.9  Responsibility for compliance.

    (a) A railroad subject to this part shall not use, haul, permit to 
be used or hauled on its line, offer in interchange, or accept in 
interchange any train, railroad car, or locomotive with one or more 
conditions not in compliance with this part; however, a railroad shall 
not be liable for a civil penalty for such action if such action is in 
accordance with Sec. 232.15. For purposes of this part, a train, 
railroad car, or locomotive will be considered in use prior to departure 
but after it has received, or should have received, the inspection 
required for movement and is deemed ready for service.
    (b) Although many of the requirements of this part are stated in 
terms of the duties of a railroad, when any person performs any function 
required by this part, that person (whether or not a railroad) is 
required to perform that function in accordance with this part.
    (c) Any person performing any function or task required by this part 
shall be deemed to have consented to FRA inspection of the person's 
operation to the extent necessary to determine whether the function or 
task is being performed in accordance with the requirements of this 
part.



Sec. 232.11  Penalties.

    (a) 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 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 $839, but not more than $27,455 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 $109,819 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.
    (b) Any person who knowingly and willfully falsifies a record or 
report required by this part is subject to criminal penalties under 49 
U.S.C. 21311.

[66 FR 4193, Jan. 17, 2001, as amended at 69 FR 30594, May 28, 2004; 72 
FR 51197, Sept. 6, 2007; 73 FR 79703, Dec. 30, 2008; 77 FR 24421, Apr. 
24, 2012; 81 FR 43111, July 1, 2016]



Sec. 232.13  Preemptive effect.

    (a) Under 49 U.S.C. 20106, issuance of the regulations in this part 
preempts any State law, rule, regulation, order or standard covering the 
same subject matter, except for a provision necessary to eliminate or 
reduce a local safety hazard if that provision is not incompatible with 
this part and does not impose an undue burden on interstate commerce. 
Nothing in this paragraph shall be construed to preempt an action under 
State law seeking damages for personal injury, death, or property damage 
alleging that a party has failed to comply with the Federal standard of 
care established by this

[[Page 730]]

part, has failed to comply with its own plan, rule, or standard that it 
created pursuant to this part, or has failed to comply with a State law, 
regulation, or order that is not incompatible with the first sentence of 
this paragraph.
    (b) Preemption should also be considered pursuant to the Locomotive 
Boiler Inspection Act (now codified at 49 U.S.C. 20701-20703), the 
Safety Appliance Acts (now codified at 49 U.S.C. 20301-20304), and the 
Commerce Clause based on the relevant case law pertaining to preemption 
under those provisions.
    (c) FRA does not intend by issuance of the regulations in this part 
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.

[66 FR 4193, Jan. 17, 2001, as amended at 73 FR 61552, Oct. 16, 2008]



Sec. 232.15  Movement of defective equipment.

    (a) General provision. Except as provided in paragraph (c) of this 
section, a railroad car or locomotive with one or more conditions not in 
compliance with this part may be used or hauled without civil penalty 
liability under this part only if all of the following conditions are 
met:
    (1) The defective car or locomotive is properly equipped in 
accordance with the applicable provisions of 49 U.S.C. chapter 203 and 
the requirements of this part.
    (2) The car or locomotive becomes defective while it is being used 
by the railroad on its line or becomes defective on the line of a 
connecting railroad and is properly accepted in interchange for repairs 
in accordance with paragraph (a)(7) of this section.
    (3) The railroad first discovers the defective condition of the car 
or locomotive prior to moving it for repairs.
    (4) The movement of the defective car or locomotive for repairs is 
from the location where the car or locomotive is first discovered 
defective by the railroad.
    (5) The defective car or locomotive cannot be repaired at the 
location where the railroad first discovers it to be defective.
    (6) The movement of the car or locomotive is necessary to make 
repairs to the defective condition.
    (7) The location to which the car or locomotive is being taken for 
repair is the nearest available location where necessary repairs can be 
performed on the line of the railroad where the car or locomotive was 
first found to be defective or is the nearest available location where 
necessary repairs can be performed on the line of a connecting railroad 
if:
    (i) The connecting railroad elects to accept the defective car or 
locomotive for such repair; and
    (ii) The nearest available location where necessary repairs can be 
performed on the line of the connecting railroad is no farther than the 
nearest available location where necessary repairs can be performed on 
the line of the railroad where the car or locomotive was found 
defective.
    (8) The movement of the defective car or locomotive for repairs is 
not by a train required to receive a Class I brake test at that location 
pursuant to Sec. 232.205.
    (9) The movement of the defective car or locomotive for repairs is 
not in a train in which less than 85 percent of the cars have operative 
and effective brakes.
    (10) The defective car or locomotive is tagged, or information is 
recorded, as prescribed in paragraph (b) of this section.
    (11) Except for cars or locomotives with brakes cut out en route, 
the following additional requirements are met:
    (i) A qualified person shall determine--
    (A) That it is safe to move the car or locomotive; and
    (B) The maximum safe speed and other restrictions necessary for 
safely conducting the movement.
    (ii) The person in charge of the train in which the car or 
locomotive is to be moved shall be notified in writing and inform all 
other crew members of the presence of the defective car or locomotive 
and the maximum speed and other restrictions determined under paragraph 
(a)(11)(i)(B) of this section.

[[Page 731]]

A copy of the tag or card described in paragraph (b) of this section may 
be used to provide the notification required by this paragraph.
    (iii) The defective car or locomotive is moved in compliance with 
the maximum speed and other restrictions determined under paragraph 
(a)(11)(i)(B) of this section.
    (12) The defective car or locomotive is not subject to a Special 
Notice for Repair under part 216 of this chapter, unless the movement of 
the defective car is made in accordance with the restrictions contained 
in the Special Notice.
    (b) Tagging of defective equipment. (1) At the place where the 
railroad first discovers the defect, a tag or card shall be placed on 
both sides of the defective equipment, except that defective locomotives 
may have the tag or card placed in the cab of the locomotive. In lieu of 
a tag or card, an automated tracking system approved for use by FRA 
shall be provided. The tag, card, or automated tracking system shall 
contain 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 and job title of the inspector;
    (iv) The inspection location and date;
    (v) The nature of each defect;
    (vi) A description of any movement restrictions;
    (vii) The destination where the equipment will be repaired; and
    (viii) The signature, or electronic identification, of the person 
reporting the defective condition.
    (2) The tag or card required by paragraph (b)(1) of this section 
shall remain affixed to the defective equipment until the necessary 
repairs have been performed.
    (3) An electronic or written record or a copy of each tag or card 
attached to or removed from a car or locomotive shall be retained for 90 
days and, upon request, shall be made available within 15 calendar days 
for inspection by FRA or State inspectors.
    (4) Each tag or card removed from a car or locomotive shall contain 
the date, location, reason for its removal, and the signature of the 
person who removed it from the piece of equipment.
    (5) Any automated tracking system approved by FRA to meet the 
tagging requirements contained in paragraph (b)(1) of this section shall 
be capable of being 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 authority to utilize an approved 
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 and monitor the 
movement of defective equipment. FRA will record such a determination in 
writing, include a statement of the basis for such action, and provide a 
copy of the document to the railroad.
    (c) Movement for unloading or purging of defective cars. If a 
defective car is loaded with a hazardous material or contains residue of 
a hazardous material, the car may not be placed for unloading or purging 
unless unloading or purging is consistent with determinations made and 
restrictions imposed under paragraph (a)(11)(i) of this section and the 
unloading or purging is necessary for the safe repair of the car.
    (d) Computation of percent operative power brakes. (1) The 
percentage of operative power brakes in a train shall be based on the 
number of control valves in the train. The percentage shall be 
determined by dividing the number of control valves that are cut-in by 
the total number of control valves in the train. A control valve shall 
not be considered cut-in if the brakes controlled by that valve are 
inoperative. Both cars and locomotives shall be considered when making 
this calculation.
    (2) The following brake conditions not in compliance with this part 
are not considered inoperative power brakes for purposes of this 
section:
    (i) Failure or cutting out of secondary brake systems;
    (ii) Inoperative or otherwise defective handbrakes or parking 
brakes;
    (iii) Piston travel that is in excess of the Class I brake test 
limits required in Sec. 232.205 but that does not exceed the outside 
limits contained on the stencil, sticker, or badge plate required by

[[Page 732]]

Sec. 232.103(g) for considering the power brakes to be effective; and
    (iv) Power brakes overdue for inspection, testing, maintenance, or 
stenciling under this part.
    (e) Placement of equipment with inoperative brakes. (1) A freight 
car or locomotive with inoperative brakes shall not be placed as the 
rear car of the train.
    (2) No more than two freight cars with either inoperative brakes or 
not equipped with power brakes shall be consecutively placed in the same 
train.
    (3) Multi-unit articulated equipment shall not be placed in a train 
if the equipment has more than two consecutive individual control valves 
cut-out or if the brakes controlled by the valves are inoperative.
    (f) Guidelines for determining locations where necessary repairs can 
be performed. The following guidelines will be considered by FRA when 
determining whether a location is a location where repairs to a car's 
brake system or components can be performed and whether a location is 
the nearest location where the needed repairs can be effectuated.
    (1) The following general factors and guidelines will be considered 
when making determinations as to whether a location is a location where 
brake repairs can be performed:
    (i) The accessibility of the location to persons responsible for 
making repairs;
    (ii) The presence of hazardous conditions that affect the ability to 
safely make repairs of the type needed at the location;
    (iii) The nature of the repair necessary to bring the car into 
compliance;
    (iv) The need for railroads to have in place an effective means to 
ensure the safe and timely repair of equipment;
    (v) The relevant weather conditions at the location that affect 
accessibility or create hazardous conditions;
    (vi) A location need not have the ability to effectuate every type 
of brake system repair in order to be considered a location where some 
brake repairs can be performed;
    (vii) A location need not be staffed continuously in order to be 
considered a location where brake repairs can be performed;
    (viii) The ability of a railroad to perform repair track brake tests 
or single car tests at a location shall not be considered; and
    (ix) The congestion of work at a location shall not be considered
    (2) The general factors and guidelines outlined in paragraph (f)(1) 
of this section should be applied to the following locations:
    (i) A location where a mobile repair truck is used on a regular 
basis;
    (ii) A location where a mobile repair truck originates or is 
permanently stationed;
    (iii) A location at which a railroad performs mechanical repairs 
other than brake system repairs; and
    (iv) A location that has an operative repair track or repair shop;
    (3) In determining whether a location is the nearest location where 
the necessary brake repairs can be made, the distance to the location is 
a key factor but should not be considered the determining factor. The 
distance to a location must be considered in conjunction with the 
factors and guidance outlined in paragraphs (f)(1) and (f)(2) of this 
section. In addition, the following safety factors must be considered in 
order to optimize safety:
    (i) The safety of the employees responsible for getting the 
equipment to or from a particular location; and
    (ii) The potential safety hazards involved with moving the equipment 
in the direction of travel necessary to get the equipment to a 
particular location.
    (g) Designation of repair locations. Based on the guidance detailed 
in paragraph (f) of this section and consistent with other requirements 
contained in this part, a railroad may submit a detailed petition, 
pursuant to the special approval procedures contained in Sec. 232.17, 
containing a plan designating locations where brake system repairs will 
be performed. Approval of such plans shall be made accordance with the 
procedures contained in Sec. 232.17, and shall be subject to any 
modifications determined by FRA to be necessary to ensure consistency 
with the requirements and guidance contained in this part.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17580, Apr. 10, 2002]

[[Page 733]]



Sec. 232.17  Special approval procedure.

    (a) General. The following procedures govern consideration and 
action upon requests for special approval of a plan under Sec. 
232.15(g); an alternative standard under Sec. 232.305, Sec. 232.603, 
or a single car test procedure under Sec. 232.611; and pre-revenue 
service acceptance testing plans under subpart F of this part.
    (b) Petitions for special approval of an alternative standard or 
test procedure. Each petition for special approval of a plan under Sec. 
232.15(g); an alternative standard under Sec. 232.305 or Sec. 232.603; 
or a single car test procedure under Sec. 232.611 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 plan, alternative standard, or test procedure proposed, in 
detail, to be submitted for or to meet the particular requirement of 
this part;
    (3) Appropriate data or analysis, or both, for FRA to consider in 
determining whether the plan, alternative standard, or test procedure, 
will be consistent with the guidance under Sec. 232.15(f), if 
applicable, and will provide at least an equivalent level of safety or 
otherwise meet the requirements contained in this part; 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 pre-revenue service acceptance 
testing plan. Each petition for special approval of a pre-revenue 
service acceptance testing plan shall contain:
    (1) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the petition; and
    (2) The elements prescribed in Sec. 232.505.
    (d) Service. (1) Each petition for special approval under paragraph 
(b) or (c) of this section shall be submitted to the Associate 
Administrator for Safety, Federal Railroad Administration, 1200 New 
Jersey Avenue, SE., Washington, DC 20590.
    (2) Service of each petition for special approval of a plan or an 
alternative standard submitted under paragraph (b) of this section shall 
be made on the following:
    (i) Designated representatives of the employees of the railroad 
submitting a plan pursuant to Sec. 232.15(g) or designated 
representatives of the employees responsible for the equipment's 
operation, inspection, testing, and maintenance under this part;
    (ii) Any organizations or bodies that either issued the standard 
incorporated in the section(s) of the rule to which the special approval 
pertains or issued the alternative standard that is proposed in the 
petition; and
    (iii) Any other person who has filed with FRA a current statement of 
interest in reviewing special approvals under the particular requirement 
of this part at least 30 days but not more than 5 years prior to the 
filing of the petition. If filed, a statement of interest shall be filed 
with FRA's Associate Administrator for Safety and shall reference the 
specific section(s) of this part in which the person has an interest.
    (e) Federal Register notice. FRA will publish a notice in the 
Federal Register concerning each petition under paragraph (b) 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 paragraph 
(b) of this section, any person may comment on the petition.
    (1) A 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) The comment shall be submitted to the Associate Administrator 
for Safety, Federal Railroad Administration, 1200 New Jersey Avenue, 
SE., Washington, DC 20590.
    (3) The commenter shall certify that a copy of the comment was 
served on each petitioner.
    (g) Disposition of petitions. (1) If FRA finds that the petition 
complies with the requirements of this section and that the proposed 
plan under Sec. 232.15(g), the alternative standard, or the pre-revenue 
service plan is acceptable and justified, the petition will be granted, 
normally within 90 days of its receipt.

[[Page 734]]

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 any petition. Following the approval of a petition, 
FRA may reopen consideration of the petition for cause.
    (2) If FRA finds that the petition does not comply with the 
requirements of this section and that the proposed plan under Sec. 
232.15(g), the alternative standard, or the pre-revenue service plan is 
not acceptable or justified, the petition will be denied, normally 
within 90 days of its receipt.
    (3) When FRA grants or denies a petition, or reopens consideration 
of the petition, written notice is sent to the petitioner and other 
interested parties.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17580, Apr. 10, 2002; 73 
FR 61552, Oct. 16, 2008; 74 FR 25174, May 27, 2009]



Sec. 232.19  Availability of records.

    Except as otherwise provided, the records and plans required by this 
part shall be made available to representatives of FRA and States 
participating under part 212 of this chapter for inspection and copying 
upon request.



Sec. 232.21  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 2130-0008.
    (b) The information collection requirements are found in the 
following sections: Sec. Sec. 229.27, 231.31, 232.1, 232.3, 232.7, 
232.11, 232.15, 232.17, 232.103, 232.105, 232.107, 232.109, 232.111, 
232.203, 232.205, 232.207, 232.209, 232.211, 232.213, 232.303, 232.307, 
232.309, 232.403, 232.405, 232.407, 232.409, 232.503, 232.505.



                     Subpart B_General Requirements



Sec. 232.101  Scope.

    This subpart contains general operating, performance, and design 
requirements for each railroad that operates freight or other non-
passenger trains and for specific equipment used in those operations.



Sec. 232.103  General requirements for all train brake systems.

    (a) The primary brake system of a train shall be capable of stopping 
the train with a service application from its maximum operating speed 
within the signal spacing existing on the track over which the train is 
operating.
    (b) If the integrity of the train line of a train brake system is 
broken, the train shall be stopped. If a train line uses other than 
solely pneumatic technology, the integrity of the train line shall be 
monitored by the brake control system.
    (c) A train brake system shall respond as intended to signals from 
the train line.
    (d) One hundred percent of the brakes on a train shall be effective 
and operative brakes prior to use or departure from any location where a 
Class I brake test is required to be performed on the train pursuant to 
Sec. 232.205.
    (e) A train shall not move if less than 85 percent of the cars in 
that train have operative and effective brakes.
    (f) Each car in a train shall have its air brakes in effective 
operating condition unless the car is being moved for repairs in 
accordance with Sec. Sec. 232.15 and 232.609. The air brakes on a car 
are not in effective operating condition if its brakes are cut-out or 
otherwise inoperative or if the piston travel exceeds:
    (1) 10\1/2\ inches for cars equipped with nominal 12-inch stroke 
brake cylinders; or
    (2) The piston travel limits indicated on the stencil, sticker, or 
badge plate for the brake cylinder with which the car is equipped.
    (g) Except for cars equipped with nominal 12-inch stroke (8\1/2\ and 
10-inch diameters) brake cylinders, all cars shall have a legible decal, 
stencil, or sticker affixed to the car or shall be equipped with a badge 
plate displaying the permissible brake cylinder piston travel range for 
the car at Class I brake tests and the length at which the piston travel 
renders the brake ineffective, if different from Class I brake test 
limits. The decal, stencil, sticker, or badge plate shall be located so 
that it may be easily read and understood by a person positioned safely 
beside the car.

[[Page 735]]

    (h) All equipment ordered on or after August 1, 2002, or placed in 
service for the first time on or after April 1, 2004, shall have train 
brake systems designed so that an inspector can observe from a safe 
position either the piston travel, an accurate indicator which shows 
piston travel, or any other means by which the brake system is actuated. 
The design shall not require the inspector to place himself or herself 
on, under, or between components of the equipment to observe brake 
actuation or release.
    (i) All trains shall be equipped with an emergency application 
feature that produces an irretrievable stop, using a brake rate 
consistent with prevailing adhesion, train safety, and brake system 
thermal capacity. An emergency application shall be available at all 
times, and shall be initiated by an unintentional parting of the train 
line or loss of train brake communication.
    (j) A railroad shall set the maximum main reservoir working 
pressure.
    (k) The maximum brake pipe pressure shall not be greater than 15 psi 
less than the air compressor governor starting or loading pressure.
    (l) Except as otherwise provided in this part, all equipment used in 
freight or other non-passenger trains shall, at a minimum, meet the 
Association of American Railroads (AAR) Standard S-469-47, ``Performance 
Specification for Freight Brakes,'' contained in the AAR Manual of 
Standards and Recommended Practices, Section E (April 1, 1999). The 
incorporation by reference of this AAR 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 Association of American Railroads, 50 F Street, NW, Washington, DC. 
20001. You may inspect a copy of the document at the Federal Railroad 
Administration, Docket Clerk, 1200 New Jersey Avenue, SE., Washington, 
DC or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.
    (m) If a train qualified by the Air Flow Method as provided for in 
subpart C of this part experiences a brake pipe air flow of greater than 
60 CFM or brake pipe gradient of greater than 15 psi while en route and 
the movable pointer does not return to those limits within a reasonable 
time, the train shall be stopped at the next available location and be 
inspected for leaks in the brake system.
    (n) Securement of unattended equipment. Unattended equipment shall 
be secured in accordance with the following requirements:
    (1) A sufficient number of hand brakes, to be not fewer than one, 
shall be applied to hold the equipment unless an acceptable alternative 
method of securement is provided pursuant to paragraph (n)(11)(i) of 
this section. Railroads shall develop and implement a process or 
procedure to verify that the applied hand brakes will sufficiently hold 
the equipment with the air brakes released.
    (2) Except for equipment connected to a source of compressed air 
(e.g., locomotive or ground air source), or as provided under paragraph 
(n)(11)(ii) of this section, prior to leaving equipment unattended, the 
brake pipe shall be reduced to zero at a rate that is no less than a 
service rate reduction, and the brake pipe vented to atmosphere by 
leaving the angle cock in the open position on the first unit of the 
equipment left unattended. A train's air brake shall not be depended 
upon to hold equipment standing unattended (including a locomotive, a 
car, or a train whether or not locomotive is attached).
    (3) Except for distributed power units, the following requirements 
apply to unattended locomotives:
    (i) All hand brakes shall be fully applied on all locomotives in the 
lead consist of an unattended train.
    (ii) All hand brakes shall be fully applied on all locomotives in an 
unattended locomotive consist outside of a yard.
    (iii) At a minimum, the hand brake shall be fully applied on the 
lead locomotive in an unattended locomotive consist within a yard.

[[Page 736]]

    (iv) A railroad shall develop, adopt, and comply with procedures for 
securing any unattended locomotive required to have a hand brake applied 
pursuant to paragraph (n)(3)(i) through (iii) of this section when the 
locomotive is not equipped with an operative hand brake.
    (4) A railroad shall adopt and comply with a process or procedures 
to verify that the applied hand brakes will sufficiently hold an 
unattended locomotive consist. A railroad shall also adopt and comply 
with instructions to address throttle position, status of the reverse 
lever, position of the generator field switch, status of the independent 
brakes, position of the isolation switch, and position of the automatic 
brake valve on all unattended locomotives. The procedures and 
instruction required in this paragraph shall take into account winter 
weather conditions as they relate to throttle position and reverser 
handle.
    (5) Any hand brakes applied to hold unattended equipment shall not 
be released until it is known that the air brake system is properly 
charged.
    (6)(i) The requirements in paragraph (n)(7) through (8) of this 
section apply to any freight train or standing freight car or cars that 
contain:
    (A) Any loaded tank car containing a material poisonous by 
inhalation as defined in Sec. 171.8 of this title, including anhydrous 
ammonia (UN 1005) and ammonia solutions (UN 3318); or
    (B) Twenty (20) or more loaded tank cars or loaded intermodal 
portable tanks of any one or any combination of a hazardous material 
listed in paragraph (n)(6)(i)(A) of this section, or any Division 2.1 
(flammable gas), Class 3 (flammable or combustible liquid), Division 1.1 
or 1.2 (explosive), or a hazardous substance listed at Sec. 
173.31(f)(2) of this title.
    (ii) For the purposes of this paragraph, a tank car containing a 
residue of a hazardous material as defined in Sec. 171.8 of this title 
is not considered a loaded car.
    (7)(i) No equipment described in paragraph (n)(6) of this section 
shall be left unattended on a main track or siding (except when that 
main track or siding runs through, or is directly adjacent to a yard) 
until the railroad has adopted and is complying with a plan identifying 
specific locations or circumstances when the equipment may be left 
unattended. The plan shall contain sufficient safety justification for 
determining when equipment may be left unattended. The railroad must 
notify FRA when the railroad develops and has in place a plan, or 
modifies an existing plan, under this provision prior to operating 
pursuant to the plan. The plan shall be made available to FRA upon 
request. FRA reserves the right to require modifications to any plan 
should it determine the plan is not sufficient.
    (ii) Except as provided in paragraph (n)(8)(iii) of this section, 
any freight train described in paragraph (n)(6) of this section that is 
left unattended on a main track or siding that runs through, or is 
directly adjacent to, a yard shall comply with the requirements 
contained in paragraphs (n)(8)(i) and (n)(8)(ii) of this section.
    (8)(i) Where a freight train or standing freight car or cars as 
described in paragraph (n)(6) of this section is left unattended on a 
main track or siding outside of a yard, and not directly adjacent to a 
yard, an employee responsible for securing the equipment shall verify 
with another person qualified to make the determination that the 
equipment is secured in accordance with the railroad's processes and 
procedures.
    (ii) The controlling locomotive cab of a freight train described in 
paragraph (n)(6) of this section shall be locked on locomotives capable 
of being locked. If the controlling cab is not capable of being locked, 
the reverser on the controlling locomotive shall be removed from the 
control stand and placed in a secured location.
    (iii) A locomotive that is left unattended on a main track or siding 
that runs through, or is directly adjacent to, a yard is excepted from 
the requirements in (n)(8)(ii) of this section where the locomotive is 
not equipped with an operative lock and the locomotive has a reverser 
that cannot be removed from its control stand or has a reverser that is 
necessary for cold weather operations.
    (9) Each railroad shall implement operating rules and practices 
requiring

[[Page 737]]

the job briefing of securement for any activity that will impact or 
require the securement of any unattended equipment in the course of the 
work being performed.
    (10) Each railroad shall adopt and comply with procedures to ensure 
that, as soon as safely practicable, a qualified employee verifies the 
proper securement of any unattended equipment when the railroad has 
knowledge that a non-railroad emergency responder has been on, under, or 
between the equipment.
    (11) A railroad may adopt and then must comply with alternative 
securement procedures to do the following:
    (i) In lieu of applying hand brakes as required under paragraph (n) 
of this section, properly maintain and use mechanical securement 
devices, within their design criteria and as intended within a 
classification yard or on a repair track.
    (ii) In lieu of compliance with the associated requirement in 
paragraph (n)(2) of this section--and in lieu of applying hand brakes as 
required under paragraph (n) of this section-- isolate the brake pipe of 
standing equipment from atmosphere if it:
    (A) Initiates an emergency brake application on the equipment;
    (B) Closes the angle cock; and
    (C) Operates the locomotive or otherwise proceeds directly to the 
opposite end of the equipment for the sole purpose to either open the 
angle cock to vent to atmosphere or provide an air source.
    (iii) Upon completion of the procedure described in paragraph 
(n)(11)(ii) of this section, the securement requirements of paragraph 
(n) of this section shall apply.
    (o) Air pressure regulating devices shall be adjusted for the 
following pressures:

------------------------------------------------------------------------
                       Locomotives                              PSI
------------------------------------------------------------------------
(1) Minimum brake pipe air pressure:
    Road Service........................................              90
    Switch Service......................................              60
(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 EI, No. 6-           30-68
 DS, 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 high-speed brake (minimum).......              50
------------------------------------------------------------------------


[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17581, Apr. 10, 2002; 73 
FR 61553, Oct. 16, 2008; 74 FR 25174, May 27, 2009; 80 FR 47834, Aug. 6, 
2015]



Sec. 232.105  General requirements for locomotives.

    (a) The air brake equipment on a locomotive shall be in safe and 
suitable condition for service.
    (b) All locomotives ordered on or after August 1, 2002, or placed in 
service for the first time on or after April 1, 2004, shall be equipped 
with a hand or parking brake that is:
    (1) Capable of application or activation by hand;
    (2) Capable of release by hand; and
    (3) Capable of holding the unit on a three (3) percent grade.
    (c) On locomotives so equipped, the hand or parking brake as well as 
its parts and connections shall be inspected, and necessary repairs 
made, as often as service requires but no less frequently than every 368 
days. The date of the last inspection shall be either entered on Form 
FRA F 6180-49A or suitably stenciled or tagged on the locomotive.
    (d) The amount of leakage from the equalizing reservoir on 
locomotives and related piping shall be zero, unless the system is 
capable of maintaining the set pressure at any service application with 
the brakes control valve in the freight position. If such leakage is 
detected en route, the train may be moved only to the nearest forward 
location where the equalizing-reservoir

[[Page 738]]

leakage can be corrected. On locomotives equipped with electronic 
brakes, if the system logs or displays a fault related to equalizing 
reservoir leakage, the train may be moved only to the nearest forward 
location where the necessary repairs can be made.
    (e) Use of the feed or regulating valve to control braking is 
prohibited.
    (f) The passenger position on the locomotive brake control stand 
shall be used only if the trailing equipment is designed for graduated 
brake release or if equalizing reservoir leakage occurs en route and its 
use is necessary to safely control the movement of the train until it 
reaches the next forward location where the reservoir leakage can be 
corrected.
    (g) When taking charge of a locomotive or locomotive consist, an 
engineer must know that the brakes are in operative condition.
    (h)(1) After March 1, 2017, each locomotive left unattended outside 
of a yard, but not on a track directly adjacent to the yard, shall be 
equipped with an operative exterior locking mechanism.
    (2) The railroad shall inspect and, where necessary, repair the 
locking mechanism during a locomotive's periodic inspection required in 
Sec. 229.23 of this chapter.
    (3) In the event that a locking mechanism becomes inoperative during 
the time interval between periodic inspections, the railroad must repair 
the locking mechanism within 30 days of finding the inoperative lock.
    (4) A railroad may continue the use of a locomotive without an 
operative locking mechanism; however, if the controlling locomotive of a 
train meeting the requirements of Sec. 232.103(n)(6)(i) does not have 
an operative locking mechanism for the locomotive, the train must not be 
left unattended on main track or a siding unless the reverser is removed 
from the control stand as required in Sec. 232.103(n)(8)(ii) or the 
locomotive otherwise meets one of the exceptions described in Sec. 
232.103(n)(8)(iii).

[66 FR 4193, Jan. 17, 2001, as amended at 80 FR 47835, Aug. 6, 2015]



Sec. 232.107  Air source requirements and cold weather operations.

    (a) Monitoring plans for yard air sources. (1) A railroad shall 
adopt and comply with a written plan to monitor all yard air sources, 
other than locomotives, to determine that they operate as intended and 
do not introduce contaminants into the brake system of freight 
equipment.
    (2) This plan shall require the railroad to:
    (i) Inspect each yard air source at least two times per calendar 
year, no less than five months apart, to determine it operates as 
intended and does not introduce contaminants into the brake system of 
the equipment it services.
    (ii) Identify yard air sources found not to be operating as intended 
or found introducing contaminants into the brake system of the equipment 
it services.
    (iii) Repair or take other remedial action regarding any yard air 
source identified under paragraph (a)(2)(ii) of this section.
    (3) A railroad shall maintain records of the information and actions 
required by paragraph (a)(2). These records shall be maintained for a 
period of at least one year from the date of creation and may be 
maintained either electronically or in writing.
    (b) Condensation and other contaminants shall be blown from the pipe 
or hose from which compressed air is taken prior to connecting the yard 
air line or motive power to the train.
    (c) No chemicals which are known to degrade or harm brake system 
components shall be placed in the train air brake system.
    (d) Yard air reservoirs shall either be equipped with an operable 
automatic drain system or be manually drained at least once each day 
that the devices are used or more often if moisture is detected in the 
system.
    (e) A railroad shall adopt and comply with detailed written 
operating procedures tailored to the equipment and territory of that 
railroad to cover safe train operations during cold weather. For 
purposes of this provision, ``cold weather'' means when the ambient 
temperature drops below 10 degrees

[[Page 739]]

Fahrenheit (F) (minus 12.2 degrees Celsius).



Sec. 232.109  Dynamic brake requirements.

    (a) Except as provided in paragraph (i) of this section, a 
locomotive engineer shall be informed of the operational status of the 
dynamic brakes on all locomotive units in the consist at the initial 
terminal for a train and at other locations where a locomotive engineer 
first begins operation of a train. The information required by this 
paragraph may be provided to the locomotive engineer by any means 
determined to be appropriate by the railroad; however, a written or 
electronic record of the information shall be maintained in the cab of 
the controlling locomotive.
    (b) Except as provided in paragraph (e) of this section, all 
inoperative dynamic brakes shall be repaired within 30 calendar days of 
becoming inoperative or at the locomotive's next periodic inspection 
pursuant to Sec. 229.23 of this chapter, whichever occurs first.
    (c) Except as provided in paragraph (e) of this section, a 
locomotive discovered with inoperative dynamic brakes shall have a tag 
bearing the words ``inoperative dynamic brake'' securely attached and 
displayed in a conspicuous location in the cab of the locomotive. This 
tag shall contain the following information:
    (1) The locomotive number;
    (2) The name of the discovering carrier;
    (3) The location and date where condition was discovered; and
    (4) The signature of the person discovering the condition.
    (d) An electronic or written record of repairs made to a 
locomotive's dynamic brakes shall be retained for 92 days.
    (e) A railroad may elect to declare the dynamic brakes on a 
locomotive deactivated without removing the dynamic brake components 
from the locomotive, only if all of the following conditions are met:
    (1) The locomotive is clearly marked with the words ``dynamic brake 
deactivated'' in a conspicuous location in the cab of the locomotive; 
and
    (2) The railroad has taken appropriate action to ensure that the 
deactivated locomotive is incapable of utilizing dynamic brake effort to 
retard or control train speed.
    (f) If a locomotive consist is intended to have its dynamic brakes 
used while in transit, a locomotive with inoperative or deactivated 
dynamic brakes or a locomotive not equipped with dynamic brakes shall 
not be placed in the controlling (lead) position of a consist unless the 
locomotive has the capability of:
    (1) Controlling the dynamic braking effort in trailing locomotives 
in the consist that are so equipped; and
    (2) Displaying to the locomotive engineer the deceleration rate of 
the train or the total train dynamic brake retarding force.
    (g) All locomotives equipped with dynamic brakes and ordered on or 
after April 1, 2006, or placed in service for the first time on or after 
October 1, 2007, shall be designed to:
    (1) Conduct an electrical integrity test of the dynamic brake to 
determine if electrical current is being received at the grids on the 
system; and
    (2) Display in real-time in the cab of the controlling (lead) 
locomotive the total train dynamic brake retarding force available in 
the train.
    (h) All rebuilt locomotives equipped with dynamic brakes and placed 
in service on or after April 1, 2004, shall be designed to:
    (1) Conduct an electrical integrity test of the dynamic brake to 
determine if electrical current is being received at the grids on the 
system; and
    (2) Display either the train deceleration rate or in real-time in 
the cab of the controlling (lead) locomotive the total train dynamic 
brake retarding force available in the train.
    (i) The information required by paragraph (a) of this section is not 
required to be provided to the locomotive engineer if all of the 
locomotives in the lead consist of a train are equipped in accordance 
with paragraph (g) of this section.
    (j) A railroad operating a train with a brake system that includes 
dynamic brakes shall adopt and comply with written operating rules 
governing safe train handling procedures using these

[[Page 740]]

dynamic brakes under all operating conditions, which shall be tailored 
to the specific equipment and territory of the railroad. The railroad's 
operating rules shall:
    (1) Ensure that the friction brakes are sufficient by themselves, 
without the aid of dynamic brakes, to stop the train safely under all 
operating conditions.
    (2) Include a ``miles-per-hour-overspeed-stop'' rule. At a minimum, 
this rule shall require that any train when descending a section of 
track with an average grade of one percent or greater over a distance of 
three continuous miles shall be immediately brought to a stop, by an 
emergency brake application if necessary, when the train's speed exceeds 
the maximum authorized speed for that train by more than 5 miles per 
hour. A railroad shall reduce the 5-miles-per-hour-overspeed-stop 
restriction if validated research indicates the need for such a 
reduction. A railroad may increase the 5-miles-per-hour-overspeed 
restriction only with approval of FRA and based upon verifiable data and 
research.
    (k) A railroad operating a train with a brake system that includes 
dynamic brakes shall adopt and comply with specific knowledge, skill, 
and ability criteria to ensure that its locomotive engineers are fully 
trained in the operating rules prescribed by paragraph (j) of this 
section. The railroad shall incorporate such criteria into its 
locomotive engineer certification program pursuant to part 240 of this 
chapter.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17581, Apr. 10, 2002]



Sec. 232.111  Train handling information.

    (a) A railroad shall adopt and comply with written procedures to 
ensure that a train crew employed by the railroad is given accurate 
information on the condition of the train brake system and train factors 
affecting brake system performance and testing when the crew takes over 
responsibility for the train. The information required by this paragraph 
may be provided to the locomotive engineer by any means determined 
appropriate by the railroad; however, a written or electronic record of 
the information shall be maintained in the cab of the controlling 
locomotive.
    (b) The procedures shall require that each train crew taking charge 
of a train be informed of:
    (1) The total weight and length of the train, based on the best 
information available to the railroad;
    (2) Any special weight distribution that would require special train 
handling procedures;
    (3) The number and location of cars with cut-out or otherwise 
inoperative brakes and the location where they will be repaired;
    (4) If a Class I or Class IA brake test is required prior to the 
next crew change point, the location at which that test shall be 
performed; and
    (5) Any train brake system problems encountered by the previous crew 
of the train.



              Subpart C_Inspection and Testing Requirements



Sec. 232.201  Scope.

    This subpart contains the inspection and testing requirements for 
brake systems used in freight and other non-passenger trains. This 
subpart also contains general training requirements for railroad and 
contract personnel used to perform the required inspections and tests.



Sec. 232.203  Training requirements.

    (a) Each railroad and each contractor shall adopt and comply with a 
training, qualification, and designation program for its employees that 
perform brake system inspections, tests, or maintenance. For purposes of 
this section, a ``contractor'' is defined as a person under contract 
with the railroad or car owner. The records required by this section may 
be maintained either electronically or in writing.
    (b) As part of this program, the railroad or contractor shall:
    (1) Identify the tasks related to the inspection, testing, and 
maintenance of the brake system required by this part that must be 
performed by the railroad or contractor and identify the skills and 
knowledge necessary to perform each task.

[[Page 741]]

    (2) Develop or incorporate a training curriculum that includes both 
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.
    (3) Require all employees to successfully complete a training 
curriculum that covers the skills and knowledge the employee will need 
to possess in order to perform the tasks required by this part that the 
employee will be responsible for performing, including the specific 
Federal regulatory requirements contained in this part related to the 
performance of a task for which the employee will be responsible;
    (4) Require all employees to pass a written or oral examination 
covering the skills and knowledge the employee will need to possess in 
order to perform the tasks required by this part that the employee will 
be responsible for performing, including the specific Federal regulatory 
requirements contained in this part related to the performance of a task 
for which the employee will be responsible for performing;
    (5) Require all employees to individually demonstrate ``hands-on'' 
capability by successfully applying the skills and knowledge the 
employee will need to possess in order to perform the tasks required by 
this part that the employee will be responsible for performing to the 
satisfaction of the employee's supervisor or designated instructor;
    (6) An employee hired or working prior to June 1, 2001, for a 
railroad or contractor covered by this part will be considered to have 
met the requirements, or a portion of the requirements, contained in 
paragraphs (b)(3) through (b)(5) of this section if the employee 
receives training and testing on the specific Federal regulatory 
requirements contained in this part related to the performance of the 
tasks which the employee will be responsible for performing; and if:
    (i) The training or testing, including efficiency testing, 
previously received by the employee is determined by the railroad or 
contractor to meet the requirements, or a portion of the requirements, 
contained in paragraphs (b)(3) through (b)(5) of this section and such 
training or testing can be documented as required in paragraphs (e)(1) 
through (e)(4) of this section;
    (ii) The employee passes an oral, written, or practical, ``hands-
on'' test developed or adopted by the railroad or contractor which is 
determined by the railroad or contractor to ensure that the employee 
possesses the skills and knowledge, or a portion of the skills or 
knowledge, required in paragraphs (b)(3) through (b)(5) of this section 
and the test is documented as required in paragraph (e) of this section; 
or
    (iii) The railroad or contractor certifies that a group or segment 
of its employees has previously received training or testing determined 
by the railroad or contractor to meet the requirements, or a portion of 
the requirements, contained in paragraphs (b)(3) through (b)(5) of this 
section and complete records of such training are not available, 
provided the following conditions are satisfied:
    (A) The certification is placed in the employee's training records 
required in paragraph (e) of this section;
    (B) The certification contains a brief description of the training 
provided and the approximate date(s) on which the training was provided; 
and
    (C) Any employee determined to be trained pursuant to this paragraph 
is given a diagnostic oral, written, or ``hands-on'' test covering that 
training for which this paragraph is relied upon at the time the 
employee receives his or her first periodic refresher training under 
paragraph (b)(8) of this section.
    (iv) Any combination of the training or testing contained in 
paragraphs (b)(6)(i) through (b)(6)(iii) of this section and paragraphs 
(b)(3) through (b)(5) of this section may be used to satisfy the 
training and testing requirements for an employee in accordance with 
this paragraph.
    (7) Require supervisors to exercise oversight to ensure that all the 
identified tasks are performed in accordance with the railroad's written 
procedures and the specific Federal regulatory requirements contained in 
this part;

[[Page 742]]

    (8) Require periodic refresher training, at an interval not to 
exceed three years, that includes classroom and ``hands-on'' training, 
as well as testing; except that employees that have completed their 
initial training under paragraphs (b)(3) through (b)(6) of this part 
prior to April 1, 2004, shall not be required to complete their first 
periodic refresher training until four years after the completion of 
their initial training, and every three years thereafter. Observation 
and evaluation of actual performance of duties may be used to meet the 
``hands-on'' portion of this requirement, provided that such testing is 
documented as required in paragraph (e) of this section; and
    (9) Add new brake systems to the training, qualification and 
designation program prior to its introduction to revenue service.
    (c) A railroad that operates trains required to be equipped with a 
two-way end-of-train telemetry device pursuant to subpart E of this 
part, and each contractor that maintains such devices shall adopt and 
comply with a training program which specifically addresses the testing, 
operation, and maintenance of two-way end-of-train devices for employees 
who are responsible for the testing, operation, and maintenance of the 
devices.
    (d) A railroad that operates trains under conditions that require 
the setting of air brake pressure retaining valves shall adopt and 
comply with a training program which specifically addresses the proper 
use of retainers for employees who are responsible for using or setting 
retainers.
    (e) A railroad or contractor shall maintain adequate records to 
demonstrate the current qualification status of all of its personnel 
assigned to inspect, test, or maintain a train brake system. The records 
required by this paragraph may be maintained either electronically or in 
writing and shall be provided to FRA upon request. These records shall 
include the following information concerning each such employee:
    (1) The name of the employee;
    (2) The dates that each training course was completed;
    (3) The content of each training course successfully completed;
    (4) The employee's scores on each test taken to demonstrate 
proficiency;
    (5) A description of the employee's ``hands-on'' performance 
applying the skills and knowledge the employee needs to possess in order 
to perform the tasks required by this part that the employee will be 
responsible for performing and the basis for finding that the skills and 
knowledge were successfully demonstrated;
    (6) The tasks required to be performed under this part which the 
employee is deemed qualified to perform;
    (7) Identification of the person(s) determining that the employee 
has successfully completed the training necessary to be considered 
qualified to perform the tasks identified in paragraph (e)(6) of this 
section; and
    (8) The date that the employee's status as qualified to perform the 
tasks identified in paragraph (e)(6) of this section expires due to the 
need for refresher training.
    (f) A railroad or contractor shall adopt and comply with a plan to 
periodically assess the effectiveness of its training program. One 
method of validation and assessment could be through the use of 
efficiency tests or periodic review of employee performance.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17581, Apr. 10, 2002; 79 
FR 66501, Nov. 7, 2014]



Sec. 232.205  Class I brake test-initial terminal inspection.

    (a) Each train and each car in the train shall receive a Class I 
brake test as described in paragraph (c) of this section by a qualified 
person, as defined in Sec. 232.5, at the following points:
    (1) The location where the train is originally assembled (``initial 
terminal'');
    (2) A location where the train consist is changed other than by:
    (i) Adding a single car or a solid block of cars, except as provided 
in paragraph (b)(2) of this section;
    (ii) Removing a single car or a solid block of cars;
    (iii) Removing cars determined to be defective under this chapter; 
or
    (iv) A combination of the changes listed in paragraphs (a)(2)(i) 
through (a)(2)(iii) of this section (See Sec. Sec. 232.209

[[Page 743]]

and 232.211 for requirements related to the pick-up of cars and solid 
blocks of cars en route.);
    (3) A location where the train is off air for a period of more than 
four hours;
    (4) A location where a unit or cycle train has traveled 3,000 miles 
since its last Class I brake test; and
    (5) A location where the train is received in interchange if the 
train consist is changed other than by:
    (i) Removing a car or a solid block of cars from the train;
    (ii) Adding a previously tested car or a previously tested solid 
block of cars to the train;
    (iii) Changing motive power;
    (iv) Removing or changing the caboose; or
    (v) Any combination of the changes listed in paragraphs (a)(5) of 
this section.
    (A) If changes other than those contained in paragraph (a)(5)(i)-
(a)(5)(v) of this section are made to the train consist when it is 
received in interchange and the train will move 20 miles or less, then 
the railroad may conduct a brake test pursuant to Sec. 232.209 on those 
cars added to the train.
    (B) [Reserved]
    (b) Except as provided in Sec. 232.209, each car and each solid 
block of cars added to a train shall receive a Class I brake test as 
described in paragraph (c) of this section at the location where it is 
added to a train unless:
    (1) The solid block of cars is comprised of cars from a single 
previous train, the cars of which have previously received a Class I 
brake test and have remained continuously and consecutively coupled 
together with the train line remaining connected, other than for 
removing defective equipment, since being removed from its previous 
train and have not been off air for more than four hours; or
    (2) The solid block of cars is comprised of cars from a single 
previous train, the cars of which were required to be separated into 
multiple solid blocks of cars due to space or trackage constraints at a 
particular location when removed from the previous train, provided the 
cars have previously received a Class I brake test, have not been off 
air more than four hours, and the cars in each of the multiple blocks of 
cars have remained continuously and consecutively coupled together with 
the train line remaining connected, except for the removal of defective 
equipment. Furthermore, these multiple solid blocks of cars shall be 
added to a train in the same relative order (no reclassification) as 
when removed from the previous train, except for the removal of 
defective equipment.
    (c) A Class I brake test of a train shall consist of the following 
tasks and requirements:
    (1) Brake pipe leakage shall not exceed 5 psi per minute or air flow 
shall not exceed 60 cubic feet per minute (CFM).
    (i) Leakage Test. The brake pipe leakage test shall be conducted as 
follows:
    (A) Charge the air brake system to the pressure at which the train 
will be operated, and the pressure at the rear of the train shall be 
within 15 psi of the pressure at which the train will be operated, but 
not less than 75 psi, as indicated by an accurate gauge or end-of-train 
device at the rear end of train;
    (B) Upon receiving the signal to apply brakes for test, make a 20-
psi brake pipe service reduction;
    (C) If the locomotive used to perform the leakage test is equipped 
with a means for maintaining brake pipe pressure at a constant level 
during a 20-psi brake pipe service reduction, this feature shall be cut 
out during the leakage test; and
    (D) With the brake valve lapped and the pressure maintaining feature 
cut out (if so equipped) and after waiting 45-60 seconds, note the brake 
pipe leakage as indicated by the brake-pipe gauge in the locomotive, 
which shall not exceed 5 psi per minute.
    (ii) Air Flow Method Test. When a locomotive is equipped with a 26-L 
brake valve or equivalent pressure maintaining locomotive brake valve, a 
railroad may use the Air Flow Method Test as an alternate to the brake 
pipe leakage test. The Air Flow Method (AFM) Test shall be performed as 
follows:
    (A) Charge the air brake system to the pressure at which the train 
will be operated, and the pressure at the rear of the train shall be 
within 15 psi of the

[[Page 744]]

pressure at which the train will be operated, but not less than 75 psi, 
as indicated by an accurate gauge or end-of-train device at the rear end 
of train; and
    (B) Measure air flow as indicated by a calibrated AFM indicator, 
which shall not exceed 60 cubic feet per minute (CFM).
    (iii) The AFM indicator shall be calibrated for accuracy at periodic 
intervals not to exceed 92 days. The AFM indicator calibration test 
orifices shall be calibrated at temperatures of not less than 20 degrees 
Fahrenheit. AFM indicators shall be accurate to within 3 standard cubic feet per minute (CFM).
    (2) The inspector(s) shall take a position on each side of each car 
sometime during the inspection process so as to be able to examine and 
observe the functioning of all moving parts of the brake system on each 
car in order to make the determinations and inspections required by this 
section. A ``roll-by'' inspection of the brake release as provided for 
in paragraph (b)(8) of this section shall not constitute an inspection 
of that side of the train for purposes of this requirement;
    (3) The train brake system shall be charged to the pressure at which 
the train will be operated, and the pressure at the rear of the train 
shall be within 15 psi of the pressure at which the train will be 
operated, but not less than 75 psi, angle cocks and cutout cocks shall 
be properly positioned, air hoses shall be properly coupled and shall 
not kink, bind, or foul or be in any other condition that restricts air 
flow. An examination must be made for leaks and necessary repairs made 
to reduce leakage to the required minimum. Retaining valves and 
retaining valve pipes shall be inspected and known to be in proper 
condition for service;
    (4) The brakes on each car shall apply in response to a 20-psi brake 
pipe service reduction and shall remain applied until a release of the 
air brakes has been initiated by the controlling locomotive or yard test 
device. The brakes shall not be applied or released until the proper 
signal is given. A car found with brakes that fail to apply or remain 
applied may be retested and remain in the train if the retest is 
conducted at an air pressure that is within 15 psi of the air pressure 
at which the train will be operated. The retest may be conducted from 
either the controlling locomotive, the head-end of the consist, or with 
a suitable test device, as described in Sec. 232.217(a), positioned at 
one end of the car(s) being retested, and the brakes shall remain 
applied until a release is initiated after a period which is no less 
than three minutes. If the retest is performed at the car(s) being 
retested with a suitable device, the compressed air in the car(s) shall 
be depleted prior to disconnecting the hoses between the car(s) to 
perform the retest;
    (5) For cars equipped with 8\1/2\-inch or 10-inch diameter brake 
cylinders, piston travel shall be within 6 to 9 inches. If piston travel 
is found to be less than 6 inches or more than 9 inches, it must be 
adjusted to nominally 7\1/2\ inches. For cars not equipped with 8\1/2\-
inch or 10-inch diameter brake cylinders, piston travel shall be within 
the piston travel stenciled or marked on the car or badge plate. Minimum 
brake cylinder piston travel of truck-mounted brake cylinders must be 
sufficient to provide proper brake shoe clearance when the brakes are 
released. Piston travel must be inspected on each freight car while the 
brakes are applied;
    (6) Brake rigging shall be properly secured and shall not bind or 
foul or otherwise adversely affect the operation of the brake system;
    (7) All parts of the brake equipment shall be properly secured. On 
cars where the bottom rod passes through the truck bolster or is secured 
with cotter keys equipped with a locking device to prevent their 
accidental removal, bottom rod safety supports are not required; and
    (8) When the release is initiated by the controlling locomotive or 
yard test device, the brakes on each freight car shall be inspected to 
verify that it did release; this may be performed by a ``roll-by'' 
inspection. If a ``roll-by'' inspection of the brake release is 
performed, train speed shall not exceed 10 MPH and the qualified person 
performing the ``roll-by'' inspection shall communicate the results of 
the inspection to the operator of the train. The

[[Page 745]]

operator of the train shall note successful completion of the release 
portion of the inspection on the record required in paragraph (d) of 
this section.
    (d) Where a railroad's collective bargaining agreement provides that 
a carman is to perform the inspections and tests required by this 
section, a carman alone will be considered a qualified person. In these 
circumstances, the railroad shall ensure that the carman is properly 
trained and designated as a qualified person or qualified mechanical 
inspector pursuant to the requirements of this part.
    (e) A railroad shall notify the locomotive engineer that the Class I 
brake test was satisfactorily performed and provide the information 
required in this paragraph to the locomotive engineer or place the 
information in the cab of the controlling locomotive following the test. 
The information required by this paragraph may be provided to the 
locomotive engineer by any means determined appropriate by the railroad; 
however, a written or electronic record of the information shall be 
retained in the cab of the controlling locomotive until the train 
reaches its destination. The written or electronic record shall contain 
the date, time, number of freight cars inspected, and identify the 
qualified person(s) performing the test and the location where the Class 
I brake test was performed.
    (f) Before adjusting piston travel or working on brake rigging, 
cutout cock in brake pipe branch must be closed and air reservoirs must 
be voided of all compressed air. When cutout cocks are provided in brake 
cylinder pipes, these cutout cocks only may be closed and air reservoirs 
need not be voided of all compressed air.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17582, Apr. 10, 2002; 73 
FR 61553, Oct. 16, 2008]



Sec. 232.207  Class IA brake tests--1,000-mile inspection.

    (a) Except as provided in Sec. 232.213, each train shall receive a 
Class IA brake test performed by a qualified person, as defined in Sec. 
232.5, at a location that is not more than 1,000 miles from the point 
where any car in the train last received a Class I or Class IA brake 
test. The most restrictive car or block of cars in the train shall 
determine the location of this test.
    (b) A Class IA brake test of a train shall consist of the following 
tasks and requirements:
    (1) Brake pipe leakage shall not exceed 5 psi per minute, or air 
flow shall not exceed 60 cubic feet per minute (CFM). The brake pipe 
leakage test or air flow method test shall be conducted pursuant to the 
requirements contained in Sec. 232.205(c)(1);
    (2) The inspector shall position himself/herself, taking positions 
on each side of each car sometime during the inspection process, so as 
to be able to examine and observe the functioning of all moving parts of 
the brake system on each car in order to make the determinations and 
inspections required by this section;
    (3) The air brake system shall be charged to the pressure at which 
the train will be operated, and the pressure at the rear of the train 
shall be within 15 psi of the pressure at which the train will be 
operated, but not less than 75 psi, as indicated by an accurate gauge or 
end-of-train device at rear end of train;
    (4) The brakes on each car shall apply in response to a 20-psi brake 
pipe service reduction and shall remain applied until the release is 
initiated by the controlling locomotive. A car found with brakes that 
fail to apply or remain applied may be retested and remain in the train 
if the retest is conducted as prescribed in Sec. 232.205(c)(4); 
otherwise, the defective equipment may only be moved pursuant to the 
provisions contained in Sec. 232.15, if applicable;
    (5) Brake rigging shall be properly secured and shall not bind or 
foul or otherwise adversely affect the operation of the brake system; 
and
    (6) All parts of the brake equipment shall be properly secured.
    (c) A railroad shall designate the locations where Class IA brake 
tests will be performed, and the railroad shall furnish to the Federal 
Railroad Administration upon request a description of each location 
designated. A railroad shall notify FRA's Associate Administrator for 
Safety in writing 30 days prior to any change in the locations

[[Page 746]]

designated for such tests and inspections.
    (1) Failure to perform a Class IA brake test on a train at a 
location designated pursuant to this paragraph constitutes a failure to 
perform a proper Class IA brake test if the train is due for such a test 
at that location.
    (2) In the event of an emergency that alters normal train 
operations, such as a derailment or other unusual circumstance that 
adversely affects the safe operation of the train, the railroad is not 
required to provide prior written notification of a change in the 
location where a Class IA brake test is performed to a location not on 
the railroad's list of designated locations for performing Class IA 
brake tests, provided that the railroad notifies FRA's Associate 
Administrator for Safety and the pertinent FRA Regional Administrator 
within 24 hours after the designation has been changed and the reason 
for that change.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17582, Apr. 10, 2002]



Sec. 232.209  Class II brake tests--intermediate inspection.

    (a) At a location other than the initial terminal of a train, a 
Class II brake test shall be performed by a qualified person, as defined 
in Sec. 232.5, on the following equipment when added to a train:
    (1) Each car or solid block of cars, as defined in Sec. 232.5, that 
has not previously received a Class I brake test or that has been off 
air for more than four hours;
    (2) Each solid block of cars, as defined in Sec. 232.5, that is 
comprised of cars from more than one previous train; and
    (3) Except as provided in paragraph (a)(4) of this section, each 
solid block of cars that is comprised of cars from only one previous 
train, the cars of which have not remained continuously and 
consecutively coupled together with the train line remaining connected 
since being removed from the previous train. A solid block of cars is 
considered to have remained continuously and consecutively coupled 
together with the train line remaining connected since being removed 
from the previous train if it has been changed only by removing 
defective equipment.
    (4) Each solid block of cars that is comprised of cars from a single 
previous train, the cars of which were required to be separated into 
multiple solid blocks of cars due to space or trackage constraints at a 
particular location when removed from the previous train, if they are 
not added in the same relative order as when removed from the previous 
train or if the cars in each of the multiple blocks of cars have not 
remained continuously and consecutively coupled together with the train 
line remaining connected, except for the removal of defective equipment.
    (b) A Class II brake test shall consist of the following tasks and 
requirements:
    (1) Brake pipe leakage shall not exceed 5 psi per minute, or air 
flow shall not exceed 60 cubic feet per minute (CFM). The brake pipe 
leakage test or air flow method test shall be conducted on the entire 
train pursuant to the requirements contained in Sec. 232.205(c)(1);
    (2) The air brake system shall be charged to the pressure at which 
the train will be operated, and the pressure at the rear of the train 
shall be within 15 psi of the pressure at which the train will be 
operated, but not less than 75 psi, as indicated by an accurate gauge or 
end-of-train device at the rear end of train;
    (3) The brakes on each car added to the train and on the rear car of 
the train shall be inspected to ensure that they apply in response to a 
20-psi brake pipe service reduction and remain applied until the release 
is initiated from the controlling locomotive. A car found with brakes 
that fail to apply or remain applied may be retested and remain in the 
train if the retest is conducted as prescribed in Sec. 232.205(c)(4); 
otherwise, the defective equipment may only be moved pursuant to the 
provisions of Sec. 232.15, if applicable;
    (4) When the release is initiated, the brakes on each car added to 
the train and on the rear car of the train shall be inspected to verify 
that they did release; this may be performed by a ``roll-by'' 
inspection. If a ``roll-by'' inspection of the brake release is 
performed, train speed shall not exceed 10

[[Page 747]]

MPH, and the qualified person performing the ``roll-by'' inspection 
shall communicate the results of the inspection to the operator of the 
train; and
    (5) Before the train proceeds the operator of the train shall know 
that the brake pipe pressure at the rear of the train is being restored.
    (c) As an alternative to the rear car brake application and release 
portion of the test, the operator of the train shall determine that 
brake pipe pressure of the train is being reduced, as indicated by a 
rear car gauge or end-of-train telemetry device, and then that the brake 
pipe pressure of the train is being restored, as indicated by a rear car 
gauge or end-of-train telemetry device. (When an end-of-train telemetry 
device is used to comply with any test requirement in this part, the 
phrase ``brake pipe pressure of the train is being reduced'' means a 
pressure reduction of at least 5 psi, and the phrase ``brake pipe 
pressure of the train is being restored'' means a pressure increase of 
at least 5 psi). If an electronic communication link between a 
controlling locomotive and a remotely controlled locomotive attached to 
the rear end of a train is utilized to determine that brake pipe 
pressure is being restored, the operator of the train shall know that 
the air brakes function as intended on the remotely controlled 
locomotive.
    (d) Each car or solid block of cars that receives a Class II brake 
test pursuant to this section when added to the train shall receive a 
Class I brake test at the next forward location where facilities are 
available for performing such a test.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]



Sec. 232.211  Class III brake tests-trainline continuity inspection.

    (a) A Class III brake test shall be performed on a train by a 
qualified person, as defined in Sec. 232.5, to test the train brake 
system when the configuration of the train has changed in certain ways. 
In particular, a Class III brake test shall be performed at the location 
where any of the following changes in the configuration of the train 
occur:
    (1) Where a locomotive or a caboose is changed;
    (2) Where a car or a block of cars is removed from the train with 
the consist otherwise remaining intact;
    (3) At a point other than the initial terminal for the train, where 
a car or a solid block of cars that is comprised of cars from only one 
previous train the cars of which have remained continuously and 
consecutively coupled together with the trainline remaining connected, 
other than for removing defective equipment, since being removed from 
its previous train that has previously received a Class I brake test and 
that has not been off air for more than four hours is added to a train;
    (4) At a point other than the initial terminal for the train, where 
a solid block of cars that is comprised of cars from a single previous 
train is added to a train, provided that the solid block of cars was 
required to be separated into multiple solid blocks of cars due to space 
or trackage constraints at a particular location when removed from the 
previous train, and the cars have previously received a Class I brake 
test, have not been off air more than four hours, and the cars in each 
of the multiple blocks of cars have remained continuously and 
consecutively coupled together with the train line remaining connected, 
except for the removal of defective equipment. Furthermore, these 
multiple solid blocks of cars must be added to the train in the same 
relative order (no reclassification) as when removed from the previous 
train, except for the removal of defective equipment; or
    (5) At a point other than the initial terminal for the train, where 
a car or a solid block of cars that has received a Class I or Class II 
brake test at that location, prior to being added to the train, and that 
has not been off air for more than four hours is added to a train.
    (b) A Class III brake test shall consist of the following tasks and 
requirements:
    (1) The train brake system shall be charged to the pressure at which 
the train will be operated, and the pressure at the rear of the train 
shall not be less than 60 psi, as indicated at the rear of the train by 
an accurate gauge or end-of-train device;

[[Page 748]]

    (2) The brakes on the rear car of the train shall apply in response 
to a 20-psi brake pipe service reduction and shall remain applied until 
the release is initiated by the controlling locomotive;
    (3) When the release is initiated, the brakes on the rear car of the 
train shall be inspected to verify that it did release; and
    (4) Before proceeding the operator of the train shall know that the 
brake pipe pressure at the rear of freight train is being restored.
    (c) As an alternative to the rear car brake application and release 
portion of the test, it shall be determined that the brake pipe pressure 
of the train is being reduced, as indicated by a rear car gauge or end-
of-train telemetry device, and then that the brake pipe pressure of the 
train is being restored, as indicated by a rear car gauge or end-of-
train telemetry device. If an electronic or radio communication link 
between a controlling locomotive and a remotely controlled locomotive 
attached to the rear end of a train is utilized to determine that brake 
pipe pressure is being restored, the operator of the train shall know 
that the air brakes function as intended on the remotely controlled 
locomotive.
    (d) Whenever the continuity of the brake pipe is broken or 
interrupted with the train consist otherwise remaining unchanged, it 
must be determined that the brake pipe pressure of the train is being 
restored as indicated by a rear car gauge or end-of-train device prior 
to proceeding. In the absence of an accurate rear car gauge or end-of-
train telemetry device, it must be determined that the brakes on the 
rear car of the train apply and release in response to air pressure 
changes made in the controlling locomotive.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]



Sec. 232.213  Extended haul trains.

    (a) A railroad may be permitted to move a train up to, but not 
exceeding, 1,500 miles between brake tests and inspections if the 
railroad designates a train as an extended haul train. In order for a 
railroad to designate a train as an extended haul train, all of the 
following requirements must be met:
    (1) The railroad must designate the train in writing to FRA's 
Associate Administrator for Safety. This designation must include the 
following:
    (i) The train identification symbol or identification of the 
location where extended haul trains will originate and a description of 
the trains that will be operated as extended haul trains from those 
locations;
    (ii) The origination and destination points for the train;
    (iii) The type or types of equipment the train will haul; and
    (iv) The locations where all train brake and mechanical inspections 
and tests will be performed.
    (2) A Class I brake test pursuant to Sec. 232.205 shall be 
performed at the initial terminal for the train by a qualified 
mechanical inspector as defined in Sec. 232.5.
    (3) A freight car inspection pursuant to part 215 of this chapter 
shall be performed at the initial terminal for the train and shall be 
performed by an inspector designated under Sec. 215.11 of this chapter.
    (4) All cars having conditions not in compliance with part 215 of 
this chapter at the initial terminal for the train shall be either 
repaired or removed from the train. Except for a car developing such a 
condition en route, no car shall be moved pursuant to the provisions of 
Sec. 215.9 of this chapter in the train.
    (5) The train shall have no more than one pick-up and one set-out en 
route, except for the set-out of defective equipment pursuant to the 
requirements of this chapter.
    (i) Cars added to the train en route shall be inspected pursuant to 
the requirements contained in paragraphs (a)(2) through (a)(5) of this 
section at the location where they are added to the train.
    (ii) Cars set out of the train en route shall be inspected pursuant 
to the requirements contained in paragraph (a)(6) of this section at the 
location where they are set out of the train.
    (6) In order for an extended haul train to proceed beyond 1,500 
miles, the following requirements shall be met:

[[Page 749]]

    (i) If the train will move 1,000 miles or less from that location 
before receiving a Class IA brake test or reaching destination, a Class 
I brake test shall be conducted pursuant to Sec. 232.205 to ensure 100 
percent effective and operative brakes. The inbound inspection required 
by paragraph (a)(6) of this section may be used to meet this requirement 
provided it encompasses all the inspection elements contained in Sec. 
232.205.
    (ii) If the train will move greater than 1,000 miles from that 
location without another brake inspection, the train must be identified 
as an extended haul train for that movement and shall meet all the 
requirements contained in paragraphs (a)(1) through (a)(7) of this 
section. Such trains shall receive a Class I brake test pursuant to 
Sec. 232.205 by a qualified mechanical inspector to ensure 100 percent 
effective and operative brakes, a freight car inspection pursuant to 
part 215 of this chapter by an inspector designated under Sec. 215.11 
of this chapter, and all cars containing non-complying conditions under 
part 215 of this chapter shall either be repaired or removed from the 
train. The inbound inspection required by paragraph (a)(6) of this 
section may be used to meet these inspection requirements provided it 
encompasses all the inspection elements contained paragraphs (a)(2) 
through (a)(4) of this section.
    (7) FRA inspectors shall have physical access to visually observe 
all brake and freight car inspections and tests required by this 
section.
    (b) Failure to comply with any of the requirements contained in 
paragraph (a) of this section will be considered an improper movement of 
a designated priority train for which appropriate civil penalties may be 
assessed as outlined in appendix A to this part. Furthermore, FRA's 
Associate Administrator for Safety may revoke a railroad's ability to 
designate any or all trains as extended haul trains for repeated or 
willful noncompliance with any of the requirements contained in this 
section. Such a determination will be made in writing and will state the 
basis for such action.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002; 73 
FR 61553, Oct. 16, 2008]



Sec. 232.215  Transfer train brake tests.

    (a) A transfer train, as defined in Sec. 232.5, shall receive a 
brake test performed by a qualified person, as defined in Sec. 232.5, 
that includes the following:
    (1) The air brake hoses shall be coupled between all freight cars;
    (2) After the brake system is charged to not less than 60 psi as 
indicated by an accurate gauge or end-of-train device at the rear of the 
train, a 15-psi service brake pipe reduction shall be made; and
    (3) An inspection shall be made to determine that the brakes on each 
car apply and remain applied until the release is initiated by the 
controlling locomotive. A car found with brakes that fail to apply or 
remain applied may be retested and remain in the train if the retest is 
conducted as prescribed in Sec. 232.205(c)(4); otherwise, the defective 
equipment may be moved only pursuant to the provisions contained in 
Sec. 232.15, if applicable;
    (b) Cars added to transfer trains en route shall be inspected 
pursuant to the requirements contained in paragraph (a) of this section 
at the location where the cars are added to the train.
    (c) If a train's movement will exceed 20 miles or is not a transfer 
train as defined in Sec. 232.5, the train shall receive a Class I brake 
test in accordance with Sec. 232.205 prior to departure.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]



Sec. 232.217  Train brake tests conducted using yard air.

    (a) When a train air brake system is tested from a yard air source, 
an engineer's brake valve or a suitable test device shall be used to 
provide any increase or reduction of brake pipe air pressure at the 
same, or slower, rate as an engineer's brake valve.
    (b) The yard air test device must be connected to the end of the 
train or block of cars that will be nearest to the controlling 
locomotive. However, if the railroad adopts and complies with written 
procedures to ensure that potential overcharge conditions to the train 
brake system are avoided, the yard air test device may be connected to 
other than the end nearest to the controlling locomotive.

[[Page 750]]

    (c) Except as provided in this section, when yard air is used the 
train air brake system must be charged and tested as prescribed by Sec. 
232.205(c) and when practicable should be kept charged until road motive 
power is coupled to train, after which, a Class III brake test shall be 
performed as prescribed by Sec. 232.211.
    (1) If the cars are off air for more than four hours, the cars shall 
be retested in accordance with Sec. 232.205(c) through (f).
    (2) At a minimum, yard air pressure shall be 60 psi at the end of 
the consist or block of cars opposite from the yard test device and 
shall be within 15 psi of the regulator valve setting on yard test 
device.
    (3) If the air pressure of the yard test device is less than 80 psi, 
then a brake pipe leakage or air flow test shall be conducted at the 
operating pressure of the train when the locomotives are attached in 
accordance with Sec. 232.205(c)(1).
    (d) Mechanical yard air test devices and gauges shall be calibrated 
every 92 days. Electronic yard test devices and gauges shall be 
calibrated annually. Mechanical and electronic yard air test devices and 
gauges shall be calibrated so that they are accurate to within 3 psi.
    (e) If used to test a train, a yard air test device and any yard air 
test equipment shall be accurate and function as intended.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]



Sec. 232.219  Double heading and helper service.

    (a) When more than one locomotive is attached to a train, the 
engineer of the controlling locomotive shall operate the brakes. In case 
it becomes necessary for the controlling locomotive to give up control 
of the train short of the destination of the train, a Class III brake 
test pursuant to Sec. 232.211 shall be made to ensure that the brakes 
are operative from the automatic brake valve of the locomotive taking 
control of the train.
    (b) When one or more helper locomotives are placed in a train, a 
visual inspection shall be made of each helper locomotive brake system 
to determine that the brake system operates as intended in response to a 
20-psi reduction initiated from the controlling locomotive of the train. 
A helper locomotive with inoperative or ineffective brakes shall be 
repaired prior to use or removed from the train.
    (c) If a helper locomotive utilizes a Helper Link device or a 
similar technology, the locomotive and device shall be equipped, 
designed, and maintained as follows:
    (1) The locomotive engineer shall be notified by a distinctive alarm 
of any loss of communication between the device and the two-way end-of-
train device of more than 25 seconds;
    (2) A method to reset the device shall be provided in the cab of the 
helper locomotive that can be operated from the engineer's usual 
position during operation of the locomotive. Alternatively, the helper 
locomotive or the device shall be equipped with a means to automatically 
reset the device, provided that the automatic reset occurs within the 
period time permitted for manual reset of the device; and
    (3) The device shall be tested for accuracy and calibrated if 
necessary according to the manufacturer's specifications and procedures 
every 365 days. This shall include testing radio frequencies and 
modulation of the device. A legible record of the date and location of 
the last test or calibration shall be maintained with the device.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17584, Apr. 10, 2002]



         Subpart D_Periodic Maintenance and Testing Requirements



Sec. 232.301  Scope.

    This subpart contains the periodic brake system maintenance and 
testing requirements for equipment used in freight and other non-
passenger trains.



Sec. 232.303  General requirements.

    (a) Definitions. The following definitions are intended solely for 
the purpose of identifying what constitutes a shop or repair track under 
this subpart.
    (1) Shop or repair track means:
    (i) A fixed repair facility or track designated by the railroad as a 
shop or repair track;

[[Page 751]]

    (ii) A fixed repair facility or track which is regularly and 
consistently used to perform major repairs;
    (iii) Track which is used at a location to regularly and 
consistently perform both minor and major repairs where the railroad has 
not designated a certain portion of that trackage as a repair track;
    (iv) A track designated by a railroad as a track where minor repairs 
will be conducted or used by a railroad to regularly and consistently 
perform minor repairs during the period when the track is used to 
conduct major repairs; however, such trackage is considered a shop or 
repair track only for each car receiving major repairs on such trackage 
and not for a car receiving only minor repairs; and
    (v) The facilities and tracks identified in paragraphs (a)(1)(i) 
through (a)(1)(iv) shall be considered shop or repair tracks regardless 
of whether a mobile repair vehicle is used to conduct the repairs.
    (2) Major repair means a repair that normally would require greater 
than four person-hours to accomplish or would involve the use of 
specialized tools and equipment. Major repairs include such activities 
as coupler replacement, draft gear repair, and repairs requiring the use 
of an air jack but exclude changing wheels on intermodal loading ramps 
either with or without an air jack.
    (3) Minor repair means repairs, other than major repairs, that can 
be accomplished in a short period of time with limited tools and 
equipment. Minor repairs would include such things as safety appliance 
straightening, handhold replacement, air hose replacement, lading 
adjustment, and coupler knuckle or knuckle pin replacement.
    (b) A car on a shop or repair track shall be tested to determine 
that the air brakes apply and remain applied until a release is 
initiated.
    (c) A car on a shop or repair track shall have its piston travel 
inspected. For cars equipped with 8\1/2\-inch or 10-inch diameter brake 
cylinders, piston travel shall be within 6 to 9 inches. If piston travel 
is found to be less than 6 inches or more than 9 inches, it must be 
adjusted to nominally 7\1/2\ inches. For cars not equipped with 8\1/2\-
inch or 10-inch diameter brake cylinders, piston travel shall be within 
the piston travel stenciled or marked on the car or badge plate.
    (d) Before a car is released from a shop or repair track, a 
qualified person shall ensure:
    (1) The brake pipe is securely clamped;
    (2) Angle cocks are properly located with suitable clearance and 
properly positioned to allow maximum air flow;
    (3) Valves, reservoirs, and cylinders are tight on supports and the 
supports are securely attached to the car;
    (4) Hand brakes are tested, inspected, and operate as intended; and
    (5) Brake indicators, on cars so equipped, are accurate and operate 
as intended.
    (e) If the single car air brake test required by Sec. 232.305 
cannot be conducted at the point where repairs can be made to the car, 
the car may be moved after the repairs are made to the next forward 
location where the test can be performed. Inability to perform a single 
car air brake test does not constitute an inability to make the 
necessary repairs.
    (1) If it is necessary to move a car from the location where the 
repairs are performed in order to perform a single car air brake test 
required by this part, a tag or card shall be placed on both sides of 
the equipment, or an automated tracking system approved for use by FRA, 
shall contain the following information about the equipment:
    (i) The reporting mark and car number;
    (ii) The name of the inspecting railroad;
    (iii) The location where repairs were performed and date;
    (iv) Indication whether the car requires a single car air brake 
test;
    (v) The location where the appropriate test is to be performed; and
    (vi) The name, signature, if possible, and job title of the 
qualified person approving the move.
    (2) The tag or card required by paragraph (e)(1) of this section 
shall remain affixed to the equipment until the necessary test has been 
performed.
    (3) An electronic or written record or copy of each tag or card 
attached to or

[[Page 752]]

removed from a car or locomotive shall be retained for 90 days and, upon 
request, shall be made available within 15 calendar days for inspection 
by FRA or State inspectors.
    (4) The record or copy of each tag or card removed from a car or 
locomotive shall contain the date, location, and the signature or 
identification of the qualified person removing it from the piece of 
equipment.
    (f) The location and date of the last single car air brake test 
required by Sec. 232.305 shall be clearly stenciled, marked, or labeled 
in two-inch high letters or numerals on the side of the equipment. 
Alternatively, the railroad industry may use an electronic or automated 
tracking system to track the required information and the performance of 
the test required by Sec. 232.305.
    (1) Electronic or automated tracking systems used to meet the 
requirement contained in this paragraph shall be capable of being 
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 
the railroad industry's authority to utilize an electronic or automated 
tracking system in lieu of stenciling or marking if FRA finds that the 
electronic or automated tracking system is not properly secure, is 
inaccessible to FRA or railroad employees, or fails to adequately track 
and monitor the equipment. FRA will record such a determination in 
writing, include a statement of the basis for such action, and will 
provide a copy of the document to the affected railroads.
    (2) [Reserved]

[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 39687, Aug. 1, 2001; 67 
FR 17584, Apr. 10, 2002; 73 FR 61553, Oct. 16, 2008]



Sec. 232.305  Single car air brake tests.

    (a) Single car air brake tests shall be performed by a qualified 
person in accordance with either Section 3.0, ``Tests-Standard Freight 
Brake Equipment,'' and Section 4.0, ``Special Tests,'' of the 
Association of American Railroads Standard S-486-04, ``Code of Air Brake 
System Tests for Freight Equipment,'' contained in the AAR Manual of 
Standards and Recommended Practices, Section E (January 1, 2004); an 
alternative procedure approved by FRA pursuant to Sec. 232.17; or a 
modified procedure approved in accordance with the provisions contained 
in Sec. 232.307. The incorporation by reference of these two sections 
of this AAR 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 Association of 
American Railroads, 50 F Street, NW., Washington, DC 20001. You may 
inspect a copy of the document at the Federal Railroad Administration, 
Docket Clerk, 1200 New Jersey Avenue, SE., Washington, DC or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html.
    (b) Except as provided in Sec. 232.303(e), a railroad shall perform 
a single car air brake test on a car when:
    (1) A car has its brakes cut-out or inoperative when removed from a 
train or when placed on a shop or repair track, as defined in Sec. 
232.303(a);
    (2) A car is on a shop or repair track, as defined in Sec. 
232.303(a), for any reason and has not received a single car air brake 
test within the previous 12-month period;
    (3) A car is found with missing or incomplete single car air brake 
test information;
    (4) One or more of the following conventional air brake equipment 
items is removed, repaired, or replaced:
    (i) Brake reservoir;
    (ii) Control valve mounting gasket;
    (iii) Pipe bracket stud;
    (iv) Service portion;
    (v) Emergency portion; or
    (vi) Pipe bracket.
    (5) A car is found with one or more of the following wheel defects:
    (i) Built-up tread, unless known to be caused by hand brake left 
applied;
    (ii) Slid flat wheel, unless known to be caused by hand brake left 
applied; or
    (iii) Thermal cracks.
    (c) Except as provided in paragraph (d) of this section, each car 
shall receive a single car air brake test no less than every 5 years.

[[Page 753]]

    (d) Each car shall receive a single car air brake test no less than 
8 years from the date the car was built or rebuilt.
    (e) A single car air brake test shall be performed on each new or 
rebuilt car prior to placing or using the car in revenue service.

[66 FR 39688, Aug. 1, 2001, as amended at 73 FR 61553, Oct. 16, 2008; 74 
FR 25174, May 27, 2009]



Sec. 232.307  Modification of the single car air brake test procedures.

    (a) Request. The AAR or other authorized representative of the 
railroad industry may seek modification of the single car air brake test 
procedures prescribed in Sec. 232.305(a). The request for modification 
shall be submitted to the Associate Administrator for Safety, Federal 
Railroad Administration, 1200 New Jersey Avenue, SE., Washington, DC 
20590 and shall contain:
    (1) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the modification;
    (2) The modification, in detail, to be substituted for a particular 
procedure prescribed in Sec. 232.305(a);
    (3) Appropriate data or analysis, or both, for FRA to consider in 
determining whether the modification will provide at least an equivalent 
level of safety; and
    (4) A statement affirming that the railroad industry has served a 
copy of the request on the designated representatives of the employees 
responsible for the equipment's operation, inspection, testing, and 
maintenance under this part, together with a list of the names and 
addresses of the persons served.
    (b) Federal Register document. Upon receipt of a request for 
modification, FRA will publish a document in the Federal Register 
containing the requested modification. The document will permit 
interested parties 60 days to comment on any requested modification.
    (c) FRA review. During the 60 days provided for public comment, FRA 
will review the petition. If FRA objects to the requested modification, 
written notification will be provided, within this 60-day period, to the 
party requesting the modification detailing FRA's objection.
    (d) Disposition. (1) If no comment objecting to the requested 
modification is received during the 60-day comment period, provided by 
paragraph (b) of this section, or if FRA does not issue a written 
objection to the requested modification, the modification will become 
effective 15 days after the close of the 60-day comment period.
    (2) If an objection is raised by an interested party, during the 60-
day comment period, or if FRA issues a written objection to the 
requested modification, the requested modification will be handled as 
follows:
    (i) If FRA finds that the request complies with the requirements of 
this section and that the proposed modification is acceptable and 
justified, the request will be granted, normally within 90 days of its 
receipt. If the request for modification is neither granted nor denied 
within 90 days, the request remains pending for decision. FRA may attach 
special conditions to the approval of any request for modification. 
Following the approval of a request for modification, FRA may reopen 
consideration of the request for cause.
    (ii) If FRA finds that the request does not comply with the 
requirements of this section and that the proposed modification is not 
acceptable or justified, the requested modification will be denied, 
normally within 90 days of its receipt.
    (iii) When FRA grants or denies a request for modification, or 
reopens consideration of the request, written notice is sent to the 
requesting party and other interested parties.

[66 FR 39688, Aug. 1, 2001, as amended at 74 FR 25174, May 27, 2009]



Sec. 232.309  Equipment and devices used to perform single car air
brake tests.

    (a) Equipment and devices used to perform single car air brake tests 
shall be tested for correct operation at least once each calendar day of 
use.
    (b) Except for single car test devices, mechanical test devices such 
as pressure gauges, flow meters, orifices, etc. shall be calibrated once 
every 92 days.
    (c) Electronic test devices shall be calibrated at least once every 
365 days.

[[Page 754]]

    (d) Test equipment and single car test devices placed in service 
shall be tagged or labeled with the date its next calibration is due.
    (e) Each single car test device shall be tested not less frequently 
than every 92 days after being placed in service and may not continue in 
service if more than one year has passed since its last 92-day test.
    (f) Each single car test device shall be disassembled and cleaned 
not less frequently than every 365 days after being placed in service.

[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 39689, Aug. 1, 2001]



                     Subpart E_End-of-Train Devices



Sec. 232.401  Scope.

    This subpart contains the requirements related to the performance, 
operation, and testing of end-of-train devices. Unless expressly 
excepted in this subpart, the requirements of this subpart apply to all 
trains operating on track which is part of the general railroad system 
of transportation.



Sec. 232.403  Design standards for one-way end-of-train devices.

    (a) General. 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 
brake pipe pressure on the rear car and transmitting that information to 
the front unit for display to the locomotive engineer. The rear unit 
shall be--
    (1) Capable of measuring the brake pipe pressure on the rear car 
with an accuracy of 3 pounds per square inch 
(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 variation in the rear car brake pipe pressure 
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  C to 60  C;
    (2) At a relative humidity of 95% noncondensing at 50  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 Assurance and Compliance 
(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 increments not to exceed one pound.
    (2) The display shall be clearly visible and legible in daylight and 
darkness from the engineer's normal operating position.

[[Page 755]]

    (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 
paragraphs (d)(2), (3), (4), and (5) of this section. It shall also be 
designed to meet the performance requirements in this paragraph under 
the following environmental conditions:
    (i) At temperatures from 0  C to 60  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 Federal Communications Commission (FCC) 
and use of a 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  C.



Sec. 232.405  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. 
232.403, except those included in Sec. 232.403(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 shall have a minimum diameter of \3/4\ inch 
and the internal diameter of the hose shall be \5/8\ 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 or the locomotive shall be equipped with a manually operated 
switch on the engineer control stand designed to perform the equivalent 
function. The switch shall be labeled ``Emergency'' and shall be 
protected so that there will exist no possibility of accidental 
activation.
    (f) All locomotives ordered on or after August 1, 2001, or placed in 
service for the first time on or after August 1, 2003, shall be designed 
to automatically activate the two-way end-of-train device to effectuate 
an emergency brake application whenever it becomes necessary for the 
locomotive engineer to place the train air brakes in emergency.
    (g) The availability of the front-to-rear communications link shall 
be checked automatically at least every 10 minutes.
    (h) Means shall be provided to confirm the availability and proper 
functioning of the emergency valve.
    (i) 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.



Sec. 232.407  Operations requiring use of two-way end-of-train devices;
prohibition on purchase of nonconforming devices.

    (a) Definitions. 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

[[Page 756]]

    (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) General. 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. 232.405 or a device using an alternative technology 
to perform the same function.
    (c) New devices. Each newly manufactured end-of-train device 
purchased by a railroad after January 2, 1998 shall be a two-way end-of-
train device meeting the design and performance requirements contained 
in Sec. 232.405 or a device using an alternative technology to perform 
the same function.
    (d) Grandfathering. Each two-way end-of-train device purchased by 
any person prior to July 1, 1997 shall be deemed to meet the design and 
performance requirements contained in Sec. 232.405.
    (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 or locomotive consist located at the 
rear of the train that is capable of making an emergency brake 
application, through a command effected by telemetry or by a crew member 
in radio contact with the controlling locomotive;
    (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 in radio contact with the 
controlling locomotive, 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) Trains that must be divided into two sections in order to 
traverse a grade (e.g., doubling a hill). This exception applies only to 
the extent necessary to traverse the grade and only while the train is 
divided in two for such purpose;
    (10) Passenger trains in which all of the cars in the train are 
equipped with an emergency brake valve readily accessible to a crew 
member;
    (11) 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
    (12) 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

[[Page 757]]

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) Specific requirements for use. 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 the train 
departs from the point where the device is installed until the train 
reaches its destination. If a loss of communication occurs at the 
location where the device is installed, the train may depart the 
location at restricted speed for a distance of no more than one mile in 
order to establish communication. When communication is established, the 
quantitative values of the head and rear unit shall be compared pursuant 
to Sec. 232.409(b) and the device tested pursuant to Sec. 232.409(c), 
unless the test was performed prior to installation.
    (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.
    (3) The device shall be activated to effectuate an emergency brake 
application either by using the manual toggle switch or through 
automatic activation, whenever it becomes necessary for the locomotive 
engineer to initiate an emergency application of the air brakes using 
either the automatic brake valve or the conductor's emergency brake 
valve.
    (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 (front to rear) 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 a 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 is an en route failure only if the loss of 
communication is for a period greater than 16 minutes and 30 seconds. 
Based on the existing design of the devices, the display to an engineer 
of a message that there is a communication failure indicates that 
communication has been lost for 16 minutes and 30 seconds or more.
    (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 for 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:

[[Page 758]]

    (A) The helper locomotive engineer shall 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 of 
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, in accordance with the railroad's operating rules.
    (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, in accordance with the railroad's operating rules, 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 at the rear 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) If a two-way end-of-train device fails en route while the train 
on which it is installed is operating over a section of track with an 
average grade of two percent or greater for a distance of two continuous 
miles, the train shall be brought safely to a stop at the first 
available location in accordance with the railroad's operating rule, 
except the train may continue in operation if the railroad provides one 
of the alternative measures detailed in paragraph (g)(1) of this 
section.
    (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 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.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17584, Apr. 10, 2002]



Sec. 232.409  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 unit.
    (b) After each installation of either the front or rear unit of an 
end-of-train

[[Page 759]]

device, or both, on a train and before the train departs, the functional 
capability of the device shall be determined, after charging the train, 
by comparing the quantitative value of the air pressure displayed on the 
front unit with the quantitative value of the air pressure 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 determine 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 notified that a 
successful test was performed. The notification required by this 
paragraph may be provided to the locomotive engineer by any means 
determined appropriate by the railroad; however, a written or electronic 
record of the notification shall be maintained in the cab of the 
controlling locomotive and shall include the date and time of the test, 
the location where the test was performed, and the name of the person 
conducting the test.
    (d) The telemetry equipment shall be tested for accuracy and 
calibrated if necessary according to the manufacturer's specifications 
and procedures at least every 368 days. The 368 days shall not include a 
shelf-life of up to 92 days prior to placing the unit in service. This 
test shall include testing radio frequencies and modulation of the 
device. The date and location of the last calibration or test as well as 
the name of the person performing the calibration or test 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; 
however, if the front unit is an integral part of the locomotive or is 
inaccessible, then the information may recorded on Form FRA F6180-49A 
instead, provided that the serial number of the unit is recorded.

[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 29502, May 31, 2001; 67 
FR 17584, Apr. 10, 2002]



          Subpart F_Introduction of New Brake System Technology



Sec. 232.501  Scope.

    This subpart contains general requirements for introducing new brake 
system technologies. This subpart is intended to facilitate the 
introduction of new complete brake system technologies or major upgrades 
to existing systems which the current regulations do not adequately 
address (i.e., electronic brake systems). This subpart is not intended 
for use in the introduction of a new brake component or material.



Sec. 232.503  Process to introduce new brake system technology.

    (a) Pursuant to the procedures contained in Sec. 232.17, each 
railroad shall obtain special approval from the FRA Associate 
Administrator for Safety of a pre-revenue service acceptance testing 
plan, developed pursuant to Sec. 232.505, for the new brake system 
technology, prior to implementing the plan.
    (b) Each railroad shall complete a pre-revenue service demonstration 
of the new brake system technology in accordance with the approved plan, 
shall fulfill all of the other requirements prescribed in Sec. 232.505, 
and shall obtain special approval from the FRA Associate Administrator 
for Safety under the procedures of Sec. 232.17 prior to using such 
brake system technology in revenue service.



Sec. 232.505  Pre-revenue service acceptance testing plan.

    (a) General; submission of plan. Except as provided in paragraph (f) 
of this section, before using a new brake system technology for the 
first time on its system the operating railroad or railroads shall 
submit a pre-revenue service acceptance testing plan containing the 
information required by paragraph (e) of this section and obtain the 
approval of the FRA Associate Administrator for Safety, under the 
procedures specified in Sec. 232.17.
    (b) Compliance with plan. After receiving FRA approval of the pre-
revenue service testing plan and before introducing the new brake system 
technology into revenue service, the operating railroad or railroads 
shall:

[[Page 760]]

    (1) Adopt and comply with such FRA-approved plan, including fully 
executing the tests required by the plan;
    (2) Report to the FRA Associate Administrator for Safety the results 
of the pre-revenue service acceptance tests;
    (3) Correct any safety deficiencies identified by FRA in the design 
of the equipment or in the inspection, testing, and maintenance 
procedures or, if safety deficiencies cannot be corrected by design or 
procedural changes, agree to comply with any operational limitations 
that may be imposed by the Associate Administrator for Safety on the 
revenue service operation of the equipment; and
    (4) Obtain FRA approval to place the new brake system technology in 
revenue service.
    (c) Compliance with limitations. The operating railroad shall comply 
with each operational limitation, if any, imposed by the Associate 
Administrator for Safety.
    (d) Availability of plan. The plan shall be made available to FRA 
for inspection and copying upon request.
    (e) Elements of plan. The plan shall include all of the following 
elements:
    (1) An identification of each waiver, if any, of FRA or other 
Federal safety regulations required for the tests or for revenue service 
operation of the equipment.
    (2) A clear statement of the test objectives. One of the principal 
test objectives shall be to demonstrate that the equipment meets the 
safety design and performance requirements specified in this part when 
operated in the environment in which it is to be used.
    (3) A planned schedule for conducting the tests.
    (4) A description of the railroad property or facilities to be used 
to conduct the tests.
    (5) A detailed description of how the tests are to be conducted. 
This description shall include:
    (i) An identification of the equipment to be tested;
    (ii) The method by which the equipment is to be tested;
    (iii) The criteria to be used to evaluate the equipment's 
performance; and
    (iv) The means by which the test results are to be reported to FRA.
    (6) A description of any special instrumentation to be used during 
the tests.
    (7) A description of the information or data to be obtained.
    (8) A description of how the information or data obtained is to be 
analyzed or used.
    (9) A description of any criteria to be used as safety limits during 
the testing.
    (10) 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.
    (11) A description of any special safety precautions to be observed 
during the testing.
    (12) A written set of standard operating procedures to be used to 
ensure that the testing is done safely.
    (13) Quality control procedures to ensure that the inspection, 
testing, and maintenance procedures are followed.
    (14) Criteria to be used for the revenue service operation of the 
equipment.
    (15) A description of all testing of the equipment that has 
previously been performed, if any.
    (f) Exception. For brake system technologies that have previously 
been used in revenue service in the United States, the railroad shall 
test the equipment on its system, prior to placing it in revenue 
service, to ensure the compatibility of the equipment with the operating 
system (track, signals, etc.) of the railroad. A description of such 
testing shall be retained by the railroad and made available to FRA for 
inspection and copying upon request.



   Subpart G_Electronically Controlled Pneumatic (ECP) Braking Systems

    Source: 73 FR 61553, Oct. 16, 2008, unless otherwise noted.



Sec. 232.601  Scope.

    This subpart contains specific requirements applicable to freight 
trains and freight cars equipped with ECP

[[Page 761]]

brake systems. This subpart also contains specific exceptions from 
various requirements contained in this part for freight trains and 
freight cars equipped with ECP brake systems.



Sec. 232.602  Applicability.

    This subpart applies to all railroads that operate a freight car or 
freight train governed by this part and equipped with an ECP brake 
system. Unless specifically excepted or modified in this section, all of 
the other requirements contained in this part are applicable to a 
freight car or freight train equipped with an ECP brake system.



Sec. 232.603  Design, interoperability, and configuration management
requirements.

    (a) General. A freight car or freight train equipped with an ECP 
brake system shall, at a minimum, meet the Association of American 
Railroads (AAR) standards contained in the AAR Manual of Standards and 
Recommended Practices related to ECP brake systems listed below; an 
alternate standard approved by FRA pursuant to Sec. 232.17; or a 
modified standard approved in accordance with the provisions contained 
in paragraph (f) of this section. The incorporation by reference of the 
AAR standards identified in this section was approved by the Director of 
the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 
51. Copies of the incorporated documents may be obtained from the 
Association of American Railroads, 50 F Street, NW., Washington, DC 
20001, 202-639-2100, www.aar.org. You may inspect a copy at the Federal 
Railroad Administration, 1200 New Jersey Avenue, SE., Washington, DC, 
202-493-6300 or at the National Archives and Records Administration 
(NARA). For information on the availability of this material at NARA, 
call 202-741-6030, or go to: http://www.archives.gov/federal--register/
code--of--federal--regulations/ibr--locations.html. The applicable 
standards, which are incorporated into this regulation by reference, 
include the following:
    (1) AAR S-4200, ``Electronically Controlled Pneumatic (ECP) Cable-
Based Brake Systems--Performance Requirements,'' (Adopted 1999; Revised: 
2002, 2004, 2008);
    (2) AAR S-4210, ``ECP Cable-Based Brake System Cable, Connectors, 
and Junction Boxes--Performance Specifications,'' (Adopted: 1999; 
Revised 2002, 2007);
    (3) AAR S-4220, ``ECP Cable-Based Brake DC Power Supply--Performance 
Specification,'' Version 2.0 (Adopted: 1999; Revised: 2002);
    (4) AAR S-4230, ``Intratrain Communication (ITC) Specification for 
Cable-Based Freight Train Control System,'' Version 3.0 (Adopted: 1999; 
Revised: 2002, 2004);
    (5) AAR S-4240, ``ECP Brake Equipment--Approval Procedure'' 
(Adopted: 2007);
    (6) AAR S-4250, ``Performance Requirements for ITC Controlled Cable-
Based Distributed Power Systems,'' Version 2.0 (Adopted: 2003; Revised: 
2004);
    (7) AAR S-4260, ``ECP Brake and Wire Distributed Power 
Interoperability Test Procedures'' (Adopted: 2007); and
    (8) AAR S-4270, ``ECP Brake System Configuration Management'' 
(Adopted: 2008).
    (b) Approval. A freight train or freight car equipped with an ECP 
brake system and equipment covered by the AAR standards incorporated by 
reference in this section shall not be used without conditional or final 
approval by AAR in accordance with AAR Standard S-4240, ``ECP Brake 
Equipment--Approval Procedures'' (2007).
    (c) Configuration management. A railroad operating a freight train 
or freight car equipped with ECP brake systems shall adopt and comply 
with the configuration management plan developed in accordance with the 
AAR standards incorporated by reference in this section. FRA reserves 
the right to audit a manufacturer's configuration management plan at any 
time.
    (d) Exceptions. (1) A freight car or freight train equipped with a 
stand-alone ECP brake system shall be excepted from the requirement in 
Sec. 232.103(l) referencing AAR Standard S-469-47, ``Performance 
Specification for Freight Brakes.''
    (2) The provisions addressing the introduction of new brake system 
technology contained in subpart F of this

[[Page 762]]

part are not applicable to a freight car or freight train equipped with 
an ECP brake system approved by AAR in accordance with paragraph (b) of 
this section, conditionally or otherwise, as of the effective date of 
this rule.
    (e) New technology. Upon written request supported by suitable 
justification and submitted pursuant to the special approval procedures 
in Sec. 232.17, the Associate Administrator may except from the 
requirements of subpart F of this part the testing of new ECP brake 
technology, demonstration of new ECP brake technology, or both, where 
testing or demonstration, or both, will be conducted pursuant to an FRA-
recognized industry standard and FRA is invited to monitor the testing 
or demonstration, or both.
    (f) Modification of standards. The AAR or other authorized 
representative of the railroad industry may seek modification of the 
industry standards identified in or approved pursuant to paragraph (a) 
of this section. The request for modification will be handled and shall 
be submitted in accordance with the modification procedures contained in 
Sec. 232.307.



Sec. 232.605  Training requirements.

    (a) Inspection, testing and maintenance. A railroad that operates a 
freight car or freight train equipped with an ECP brake system and each 
contractor that performs inspection, testing, or maintenance on a 
freight car or freight train equipped with an ECP brake system shall 
adopt and comply with a training, qualification, and designation program 
for its employees that perform inspection, testing or maintenance of ECP 
brake systems. The training program required by this section shall meet 
the requirements in Sec. Sec. 232.203(a), (b), (e), and (f).
    (b) Operating rules. A railroad operating a freight train or freight 
car equipped with an ECP brake system shall amend its operating rules to 
govern safe train handling procedures related to ECP brake systems and 
equipment under all operating conditions and shall tailor its operating 
rules to the specific equipment and territory of the railroad.
    (c) Locomotive engineers. A railroad operating a freight car or 
freight train equipped with an ECP brake system shall adopt and use in 
its training program under part 240 specific knowledge, skill, and 
ability criteria to ensure that its locomotive engineers are fully 
trained with the operating rules governing safe train handling 
procedures related to ECP brake systems and equipment under all 
operating conditions and tailored to the specific equipment and 
territory of the railroad.



Sec. 232.607  Inspection and testing requirements.

    (a) Trains at initial terminal. A freight train operating in ECP 
brake mode shall receive the following inspections at its point of 
origin (initial terminal):
    (1) A Class I brake test as described in Sec. 232.205(c) by a 
qualified mechanical inspector (QMI); and
    (2) A pre-departure inspection pursuant to part 215 of this chapter 
by an inspector designated under Sec. 215.11 of this chapter.
    (b) Trains en route. (1) Except for a unit or cycle train, a train 
operating in ECP brake mode shall not operate a distance that exceeds 
its destination or 3,500 miles, whichever is less, unless inspections 
meeting the requirements of paragraph (a) of this section are performed 
on the train.
    (2) A unit or cycle train operating in ECP brake mode shall receive 
the inspections required in paragraph (a) of this section at least every 
3,500 miles.
    (3) The greatest distance that any car in a train has traveled since 
receiving a Class I brake test by a qualified mechanical inspector will 
determine the distance that the train has traveled.
    (4) A freight train operating in ECP brake mode shall receive a 
Class I brake test as described in Sec. 232.205(c) by a qualified 
person at a location where the train is off air for a period of more 
than:
    (i) 24 hours, or
    (ii) 80 hours, if the train remains inaccessible to the railroad and 
in an extended-off-air facility. For the purpose of this section, an 
extended-off-air facility means a location controlled by a sole shipper 
or consignee which restricts access to the train and provides sufficient 
security to deter vandalism.

[[Page 763]]

    (c) Cars added en route. (1) Each freight car equipped with an ECP 
brake system that is added to a freight train operating in ECP brake 
mode shall receive a Class I brake test as described in Sec. 232.205(c) 
by a qualified person, unless all of the following are met:
    (i) The car has received a Class I brake test by a qualified 
mechanical inspector within the last 3,500 miles;
    (ii) Information identified in Sec. 232.205(e) relating to the 
performance of the previously received Class I brake test is provided to 
the train crew;
    (iii) The car has not been off air for more than 24 hours or for 
more than 80 hours, if that train remains in an extended-off-air 
facility; and
    (iv) A visual inspection of the car's brake systems is conducted to 
ensure that the brake equipment is intact and properly secured. This may 
be accomplished as part of the inspection required under Sec. 215.13 of 
this chapter and may be conducted while the car is off air.
    (2) Each car and each solid block of cars not equipped with an ECP 
brake system that is added to a train operating in ECP brake mode shall 
receive a visual inspection to ensure it is properly placed in the train 
and safe to operate and shall be moved and tagged in accordance with the 
provisions contained in Sec. 232.15.
    (d) Class III brake test (1) A Class III brake test shall be 
performed on a freight train operating in ECP brake mode by a qualified 
person, as defined in Sec. 232.5, to test the train's brake system 
whenever the continuity of the brake pipe or electrical connection is 
broken or interrupted.
    (2) In lieu of observing the brake pipe changes at the rear of a 
freight train with the end-of-train telemetry device referred to in 
Sec. Sec. 232.211(c) and (d), the operator shall verify that the brakes 
applied and released on the rear car of the freight train by observing 
the ECP brake system's display in the locomotive cab.
    (e) Initialization. (1) A freight train operating in ECP brake mode 
shall be initialized as described in paragraph (e)(2) whenever the 
following occurs:
    (i) Class I brake test.
    (ii) Class III brake test.
    (iii) Whenever the ECP brake system is powered on.
    (2) Initialization shall, at a minimum:
    (i) initialize the ECP brake system pursuant to AAR Series Standard 
S-4200; and
    (ii) be performed in the sequential order of the vehicles in the 
train.
    (3) Whenever an ECP brake system is initialized pursuant to this 
paragraph, the train crew must ensure that the total number of cars 
indicated by the ECP brake system is the same as the total number of 
cars indicated on the train consist.
    (f) Modifications to existing brake inspections. (1) In lieu of the 
specific brake pipe service reductions and increases required in this 
part, an electronic signal that provides an equivalent application and 
release of the brakes shall be utilized when conducting any required 
inspection or test on a freight car or freight train equipped with an 
ECP brake system and operating in ECP brake mode.
    (2) In lieu of the specific piston travel ranges contained in this 
part, the piston travel on freight cars equipped with ECP brake systems 
shall be within the piston travel limits stenciled or marked on the car 
or badge plate consistent with the manufacturers recommended limits, if 
so stenciled or marked.
    (g) ECP brake system train line cable. Each ECP brake system train 
line cable shall:
    (1) Be located and guarded to provide sufficient vertical clearance;
    (2) Not cause any tripping hazards;
    (3) Not hang with one end free whenever the equipment is used in a 
train movement;
    (4) Not be positioned to interfere with the use of any safety 
appliance; or
    (5) Not have any of the following conditions:
    (i) Badly chafed or broken insulation.
    (ii) Broken plugs, receptacles or terminals.
    (iii) Broken or protruding strands of wire.
    (h) Exceptions. A freight car or a freight train shall be exempt 
from the requirements contained in Sec. Sec. 232.205(a) and (b), 
232.207, 232.209, and 232.211(a) when it is equipped with an ECP brake

[[Page 764]]

system and operating in ECP brake mode.



Sec. 232.609  Handling of defective equipment with ECP brake systems.

    (a) Ninety-five percent of the cars in a train operating in ECP 
brake mode shall have effective and operative brakes prior to use or 
departure from the train's initial terminal or any location where a 
Class I brake test is required to be performed on the entire train by a 
qualified mechanical inspector pursuant to Sec. 232.607.
    (b) A freight car equipped with an ECP brake system that is known to 
have arrived with ineffective or inoperative brakes at initial terminal 
of the next train which the car is to be included or at a location where 
a Class I brake test is required under Sec. Sec. 232.607(b)(1) through 
(b)(3) shall not depart that location with ineffective or inoperative 
brakes in a train operating in ECP brake mode unless:
    (1) The location does not have the ability to conduct the necessary 
repairs;
    (2) The car is hauled only for the purpose of repair to the nearest 
forward location where the necessary repairs can be performed consistent 
with the guidance contained in Sec. 232.15(f);
    (3) The car is not being placed for loading or unloading while being 
moved for repair unless unloading is necessary for the safe repair of 
the car; and
    (4) The car is properly tagged in accordance with Sec. 232.15(b).
    (c) A freight car equipped with only conventional pneumatic brakes 
shall not move in a freight train operating in ECP brake mode unless it 
would otherwise have effective and operative brakes if it were part of a 
conventional pneumatic brake-equipped train or could be moved from the 
location in defective condition under the provisions contained in, and 
tagged in accordance with, Sec. 232.15.
    (d) A freight train operating in ECP brake mode shall not move if 
less than 85 percent of the cars in the train have operative and 
effective brakes. However, after experiencing a penalty stop for having 
less than 85 percent operative and effective brakes, a freight train 
operating in ECP brake mode may be moved if all of the following are 
met:
    (1) The train is visually inspected;
    (2) Appropriate measures are taken to ensure that the train is 
safely operated to the location where necessary repairs or changes to 
the consist can be made;
    (3) A qualified person determines that it is safe to move the train; 
and
    (4) The train is moved in ECP brake Switch Mode to the nearest or 
nearest forward location where necessary repairs or changes to the 
consist can be made.
    (e) A freight car or locomotive equipped with an ECP brake system 
that is found with inoperative or ineffective brakes for the first time 
during the performance of a Class I brake test or while en route may be 
used or hauled without civil penalty liability under this part to its 
destination, not to exceed 3,500 miles; provided, all applicable 
provisions of this section are met and the defective car or locomotive 
is hauled in a train operating in ECP brake mode.
    (f) A freight car equipped with an ECP brake system that is part of 
a train operating in ECP brake mode:
    (1) That is found with a defective non-brake safety appliance may be 
used or hauled without civil penalty under this part to the nearest or 
nearest forward location where the necessary repairs can be performed 
consistent with the guidelines contained in Sec. 232.15(f).
    (2) That is found with an ineffective or inoperative brake shall be 
hauled in accordance with the following:
    (i) Sec. 232.15(e)(1).
    (ii) No more than two freight cars with brakes pneumatically cut out 
or five freight cars or five units in a multi-unit articulated piece of 
equipment with brakes electronically cut out shall be consecutively 
placed in the same train.
    (g) A train operating with conventional pneumatic brakes shall not 
operate with freight cars equipped with stand-alone ECP brake systems 
unless:
    (1) The train has at least the minimum percentage of operative 
brakes required by paragraph (h) of this section when at an initial 
terminal or

[[Page 765]]

paragraph (d) of this section when en route; and
    (2) The stand-alone ECP brake-equipped cars are:
    (i) Moved for the purpose of delivery to a railroad receiving the 
equipment or to a location for placement in a train operating in ECP 
brake mode or being moved for repair to the nearest available location 
where the necessary repairs can be made in accordance with Sec. Sec. 
232.15(a)(7) and (f);
    (ii) Tagged in accordance with Sec. 232.15(b); and
    (iii) Placed in the train in accordance with Sec. 232.15(e).
    (h) A train equipped and operated with conventional pneumatic brakes 
may depart an initial terminal with freight cars that are equipped with 
stand-alone ECP brake systems provided all of the following are met:
    (1) The train has 100 percent effective and operative brakes on all 
cars equipped with conventional pneumatic brake systems;
    (2) The train has at least 95 percent effective and operative brakes 
when including the freight cars equipped with stand-alone ECP brake 
systems; and
    (3) The requirements contained in paragraph (g) of this section are 
met.
    (i) Tagging of defective equipment. A freight car equipped with an 
ECP brake system that is found with ineffective or inoperative brakes 
will be considered electronically tagged under Sec. 232.15(b)(1) and 
(b)(5) if the car is used or hauled in a train operating in ECP brake 
mode and the ECP brake system meets the following:
    (1) The ECP brake system is able to display information in the cab 
of the lead locomotive regarding the location and identification of the 
car with defective brakes;
    (2) The information is stored or downloaded and is accessible to FRA 
and appropriate operating and inspection personnel; and
    (3) An electronic or written record of the stored or downloaded 
information is retained and maintained in accordance with Sec. 
232.15(b)(3).
    (j) Procedures for handling ECP brake system repairs and designation 
of repair locations. (1) Each railroad operating freight cars equipped 
with ECP brake systems shall adopt and comply with specific procedures 
developed in accordance with the requirements related to the movement of 
defective equipment contained in this subpart. These procedures shall be 
made available to FRA upon request.
    (2) Each railroad operating freight trains in ECP brake mode shall 
submit to FRA's Associate Administrator for Safety a list of locations 
on its system where ECP brake system repairs will be performed. A 
railroad shall notify FRA's Associate Administrator for Safety in 
writing 30 days prior to any change in the locations designated for such 
repairs. A sufficient number of locations shall be identified to ensure 
compliance with the requirements related to the handling of defective 
equipment contained in this part.
    (k) Exceptions: All freight cars and trains that are specifically 
identified, operated, and handled in accordance with this section are 
excepted from the movement of defective equipment requirements contained 
in Sec. 232.15(a)(2), (a)(5) through (a)(8), and 232.103(d) and (e).



Sec. 232.611  Periodic maintenance.

    (a) In addition to the maintenance requirements contained in Sec. 
232.303(b) through (d), a freight car equipped with an ECP brake system 
shall be inspected and repaired before being released from a shop or 
repair track to ensure the proper and safe condition of the following:
    (1) ECP brake system wiring and brackets;
    (2) ECP brake system electrical connections; and
    (3) Car mounted ECP brake system components.
    (b) Single car air brake test procedures. Prior to placing a freight 
car equipped with an ECP brake system into revenue service, a railroad 
or a duly authorized representative of the railroad industry shall 
submit a procedure for conducting periodic single car air brake tests to 
FRA for its approval pursuant to Sec. 232.17.
    (c) Except as provided in Sec. 232.303(e), a single car air brake 
test conducted in accordance with the procedure submitted and approved 
in accordance with paragraph (b) of this section shall be performed by a 
qualified person on a

[[Page 766]]

freight car equipped with an ECP brake system whenever any of the events 
identified in Sec. 232.305 occur, except for those paragraphs 
identified in paragraph (f) of this section.
    (d) A single car air brake test conducted in accordance with the 
procedure submitted and approved in accordance with paragraph (b) of 
this section shall be performed by a qualified person on each freight 
car retrofitted with a newly installed ECP brake system prior to placing 
or using the car in revenue service.
    (e) Modification of single car test standard. A railroad or a duly 
authorized representative of the railroad industry may seek modification 
of the single car test standard approved in accordance with paragraph 
(b) of this section. The request for modification will be handled and 
shall be submitted in accordance with the modification procedures 
contained in Sec. 232.307.
    (f) Exceptions. A freight car equipped with a stand-alone or dual 
mode ECP brake system is excepted from the single car air brake test 
procedures contained in Sec. 232.305(a). A freight car equipped with a 
stand-alone ECP brake system is excepted from the single car test 
requirements contained in Sec. 232.305(b)(2).
    (g) For purposes of paragraphs (c) and (d) of this section, if a 
single car air brake test is conducted on a car prior to June 15, 2009, 
pursuant to the then existing AAR standards, it shall be considered the 
last single car air brake test for that car, if necessary.



Sec. 232.613  End-of-train devices.

    (a) An ECP-EOT device shall, at a minimum, serve as the final node 
on the ECP brake circuit, provide a cable terminal circuit, and monitor, 
confirm, and report train, brake pipe, and train line cable continuity, 
cable voltage, brake pipe pressure, and the status of the ECP-EOT device 
battery charge. The ECP-EOT device shall transmit a status message (EOT 
Beacon) at least once per second, contain a means of communicating with 
the HEU, and be equipped with a brake pipe pressure transducer and a 
battery that charges from the train line cable.
    (b) A railroad shall not move or use a freight train equipped with 
an ECP brake system unless that train is equipped with a functioning 
ECP-EOT device designed and operated in accordance with this subpart. 
The ECP-EOT device must be properly connected to the network and to the 
train line cable at the rear of the train.
    (c) A locomotive equipped with ECP brakes can be used in lieu of an 
ECP-EOT device, provided it is capable of performing all of the 
functions of a functioning ECP-EOT device.
    (d) Exception. A freight train operating in ECP brake mode is 
excepted from the end-of-train device requirements contained in subpart 
E of this part, provided that it is equipped with an ECP-EOT device 
complying with this section.



      Sec. Appendix A to Part 232--Schedule of Civil Penalties \1\

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

[[Page 767]]

 
    (a)-(c), (h)-(i) Failure to meet               2,500           5,000
     general design requirements........
    (d) Failure to have proper                     5,000           7,500
     percentage of operative brakes from
     Class I brake test.................
    (e) Operating with less than 85                5,000           7,500
     percent operative brakes...........
    (f) Improper use of car with                   2,500           5,000
     inoperative or ineffective brakes..
    (g) Improper display of piston                 2,500           5,000
     travel.............................
    (m) Failure to stop train with                 2,500           5,000
     excess air flow or gradient........
    (n) Securement of unattended
     equipment
        (1) Failure to apply sufficient            5,000           7,500
         number of hand brakes; failure
         to develop or implement
         procedure to verify number
         applied........................
        (2) Failure to initiate                    2,500           5,000
         emergency or depend upon air
         brake..........................
        (3) Failure to apply hand brakes           2,500           5,000
         on locomotives.................
        (4) Failure to adopt or comply             5,000           7,500
         with procedures for securing
         unattended locomotive..........
        (5) Release of hand brakes                 5,000           7,500
         before brake system is properly
         charged........................
        (7)(i) Failure to adopt or                 2,500           5,000
         comply with unattended location
         plan...........................
        (8)(i) Failure to verify                   2,500           5,000
         securement.....................
        (8)(ii) Failure to apply lock or           2,500           5,000
         remove and secure reverser.....
        (9) Failure implement operating            2,500           2,500
         rule for securement job
         briefing.......................
        (10) Failure to adopt and comply           2,500           5,000
         with securement procedures for
         after emergency response.......
    (o) Improper adjustment of air                 2,500           5,000
     regulating devices.................
    (p) Failure to hold supervisors                2,500           5,000
     jointly responsible................
232.105 Locomotives:
    (a) Air brakes not in safe and           1,000-5,000     2,000-7,500
     suitable condition.................
    (b) Not equipped with proper hand or           5,000           7,500
     parking brake......................
    (c)(1) Failure to inspect/repair               2,500           5,000
     hand or parking brake..............
        (2) Failure to properly stencil,           2,000           4,000
         tag, or record.................
    (d) Excess leakage from equalizing             2,500           5,000
     reservoir..........................
    (e) Improper use of feed or                    2,500           5,000
     regulating valve braking...........
    (f) Improper use of passenger                  2,500           5,000
     position...........................
    (g) Brakes in operative condition...           2,500           5,000
    (h)(1) Failure to equip with                   2,500           5,000
     operative locomotive lock..........
    (h)(2)-(h)(3) Failure to inspect or            2,500           5,000
     timely repair locomotive lock......
232.107 Air sources/cold weather
 operations:
    (a)(1), (2) Failure to adopt or                5,000           7,500
     comply with monitoring program for
     yard air sources...................
        (3) Failure to maintain records.           2,500           5,000
    (b) Failure to blow condensation....           2,500           5,000
    (c) Use of improper chemicals.......           5,000           7,500
    (d) Failure to equip or drain yard             2,500           5,000
     air reservoirs.....................
    (e) Failure to adopt or comply cold            5,000           7,500
     weather operating procedures.......
232.109 Dynamic brakes:
    (a) Failure to provide information..           5,000           7,500
    (b) Failure to make repairs.........           5,000           7,500
    (c) Failure to properly tag.........           2,500           5,000
    (d) Failure to maintain record of              2,000           4,000
     repair.............................
    (e) Improper deactivation...........           2,500           5,000
    (f) Improper use of locomotive as              2,500           5,000
     controlling unit...................
    (g) Locomotive not properly equipped           2,500           5,000
     with indicator.....................
    (h) Rebuilt locomotive not properly            2,500           5,000
     equipped...........................
    (j) Failure to adopt or comply with            5,000           7,500
     dynamic brake operating rules......
    (k) Failure to adopt or comply with            5,000           7,500
     training on operating procedures...
232.111 Train handling information:
    (a) Failure to adopt and comply with           5,000           7,500
     procedures.........................
    (b) Failure to provide specific                2,500           5,000
     information........................
------------------------------------------------------------------------
    Subpart C--Inspection and Testing
              Requirements
------------------------------------------------------------------------
 
232.203 Training requirements:
    (a) Failure to develop or adopt                7,500          11,000
     program............................
    (b)(1)-(9) Failure to address or               5,000           7,500
     comply with specific required item
     or provision of program............
    (c) Failure to adopt or comply with            5,000           7,500
     two-way EOT program................
    (d) Failure to adopt or comply with            5,000           7,500
     retaining valve program............
    (e) Failure to maintain adequate               5,000           7,500
     records............................
    (f) Failure to adopt and comply with           7,500          11,000
     periodic assessment plan...........
232.205 Class I brake test--initial
 terminal inspection:
    (a) Complete failure to perform          (\1\)10,000          15,000
     inspection.........................
    (c)(1)-(4), (6)-(8) Partial failure            5,000           7,500
     to perform inspection..............
    (c)(5) Failure to properly adjust              2,500           5,000
     piston travel (per car)............
    (d) Failure to use carman when                 5,000           7,500
     required...........................
    (e) Failure to provide proper                  2,500           5,000
     notification.......................
    (f) Failure to void compressed air..           2,500           5,000
232.207 Class IA brake tests--1,000-mile
 inspection:

[[Page 768]]

 
    (a) Complete failure to perform           (\1\)5,000           7,500
     inspection.........................
    (b)(1)-(6) Partial failure to                  2,500           5,000
     perform inspection.................
    (c) Failure to properly designate              5,000           7,500
     location...........................
    (c)(1) Failure to perform at                   5,000           7,500
     designated location................
    (c)(2) Failure to provide                      2,500           5,000
     notification.......................
232.209 Class II brake tests--
 intermediate inspection:
    (a) Complete failure to perform           (\1\)5,000           7,500
     inspection.........................
    (b)(1)-(5), (c) Partial failure to             2,500           5,000
     perform inspection.................
    (d) Failure to conduct Class I after           (\1\)           (\1\)
     Class II pick-up...................
232.211 Class III brake tests--trainline
 continuity inspection:
    (a) Complete failure to perform                5,000           7,500
     inspection.........................
    (b)(1)-(4), (c) Partial failure to             2,500           5,000
     perform inspection.................
    (d) Failure to restore air pressure            2,500           2,500
     at rear............................
232.213 Extended haul trains:
    (a)(1) Failure to properly designate           5,000           7,500
     an extended haul train.............
    (a)(2)-(3), (5)(i), (8) Failure to             (\1\)           (\1\)
     perform inspections................
    (a)(4) Failure to remove defective             2,000           4,000
     car (per car)......................
    (a)(5)(ii), (6) Failure to conduct             5,000           7,500
     inbound inspection.................
    (a)(7) Failure to maintain record of           2,000           4,000
     defects (per car)..................
    (b) Improper movement or use of                5,000           7,500
     extended haul train................
232.215 Transfer train brake tests:
    (a) Failure to perform inspection...           5,000           7,500
    (b) Failure to perform on cars added           2,500           5,000
232.217 Train brake system tests
 conducted using yard air:
    (a) Failure to use suitable device..           2,500           5,000
    (b) Improper connection of air test            5,000           7,500
     device.............................
    (c) Failure to properly perform                (\1\)           (\1\)
     inspection.........................
    (d) Failure to calibrate test device           2,500           5,000
    (e) Failure to use accurate device..           2,500           5,000
232.219 Double heading and helper
 service:
    (a) Failure to perform inspection or           2,500           5,000
     inability to control brakes........
    (b) Failure to make visual                     2,500           5,000
     inspection.........................
    (c) Use of improper helper link                2,500           5,000
     device.............................
------------------------------------------------------------------------
   Subpart D--Periodic Maintenance and
          Testing Requirements
------------------------------------------------------------------------
 
232.303 General requirements:
    (b)-(d) Failure to conduct                     2,500           5,000
     inspection or test when car on
     repair track.......................
    (e) Improper movement of equipment             2,500           5,000
     for testing........................
    (e)(1) Failure to properly tag                 2,000           5,000
     equipment for movement.............
    (e)(2)-(4) Failure to retain record            2,000           4,000
     or improper removal of tag or card.
    (f) Failure to stencil or track test           2,500           5,000
     information........................
232.305 Repair track air brake tests:
    (a) Failure to test in accord with             2,500           5,000
     required procedure.................
    (b)-(d) Failure to perform test.....           2,500           5,000
232.307 Single car tests:
    (a) Failure to test in accord with             2,500           5,000
     required procedure.................
    (b)-(c) Failure to perform test.....           2,500           5,000
232.309 Repair track air brake test and
 single car test equipment and devices:
    (a)-(f) Failure to properly test or            2,500           5,000
     calibrate..........................
------------------------------------------------------------------------
     Subpart E--End-of-Train Devices
------------------------------------------------------------------------
 
232.403 Design standards for one-way
 devices:
    (a)-(g) Failure to meet standards...           2,500           5,000
232.405 Design standards for two-way
 devices:
    (a)-(i) Failure to meet standards...           2,500           5,000
232.407 Operating requirements for two-
 way devices:
    (b) Failure to equip a train........           5,000           7,500
    (c) Improper purchase...............           2,500           5,000
    (f)(1) Failure of device to be armed           5,000           7,500
     and operable.......................
    (f)(2) Insufficient battery charge..           2,500           5,000
    (f)(3) Failure to activate the                 2,500           5,000
     device.............................
    (g) Improper handling of en route              5,000           7,500
     failure, freight or other non-
     passenger..........................
    (h) Improper handling of en route              5,000           7,500
     failure, passenger.................
232.409 Inspection and testing of
 devices:
    (a) Failure to have unique code.....           2,500           5,000
    (b) Failure to compare quantitative            2,500           5,000
     values.............................
    (c) Failure to test emergency                  5,000           7,500
     capability.........................
    (d) Failure to properly calibrate...           2,500           5,000
------------------------------------------------------------------------
  Subpart F--Introduction of New Brake
            System Technology
------------------------------------------------------------------------
 
232.503 Process to introduce new
 technology:

[[Page 769]]

 
    (b) Failure to obtain FRA approval..          10,000          15,000
232.505 Pre-revenue service acceptance
 testing plan:
    (a) Failure to obtain FRA approval..           5,000           7,500
    (b) Failure to comply with plan.....           2,500           5,000
    (f) Failure to test previously used            5,000           7,500
     technology.........................
------------------------------------------------------------------------
  Subpart G--Electronically Controlled
     Pneumatic (ECP) Braking Systems
------------------------------------------------------------------------
 
232.603 Design, interoperability, and
 configuration management requirements:
    (a) Failure to meet minimum                    7,500          11,000
     standards..........................
    (b) Using ECP brake equipment                  7,500          11,000
     without approval...................
    (c) Failure to adopt and comply with           7,500          11,000
     a proper configuration management
     plan...............................
232.605 Training Requirements:
    (a) Failure to adopt and comply with           (\1\)           (\1\)
     a proper training, qualification,
     and designation program for
     employees that perform inspection,
     testing or maintenance.............
    (b) Failure to amend operating rules          12,500          16,000
    (c) Failure to adopt and comply with          12,500          16,000
     proper training criteria for
     locomotive engineers...............
232.607 Inspection and testing
 requirements:
    (a)(1), (b), (c)(1) Complete or                (\1\)           (\1\)
     partial failure to perform
     inspection.........................
    (a)(2) Complete or partial failure             7,500          11,000
     to perform pre-departure inspection
    (c)(1)(iv), (c)(2) Failure to                  4,500           6,500
     perform visual inspection on a car
     added en route.....................
    (d) Failure to perform inspection...           (\1\)           (\1\)
    (e)(1), (2) Failure to properly                7,500          11,000
     initialize the train...............
    (e)(3) Failure to ensure identical             7,500          11,000
     consist and system information.....
    (f)(1) Failure to apply a proper               (\1\)           (\1\)
     brake pipe service reduction.......
    (f)(2) Failure to properly adhere to           (\1\)           (\1\)
     the proper piston travel ranges....
    (g)(1)-(4) Improperly located and              7,500          11,000
     guarded cable......................
    (g)(5) Condition of cable and                  7,500          11,000
     connections........................
232.609 Handling of defective equipment
 with ECP brake systems:
    (a) Failure to have proper                     (\1\)           (\1\)
     percentage of operative brakes from
     Class I brake test.................
    (b) Failure to prevent a car known             7,500          11,000
     to arrive with defective brakes to
     depart location where a Class I
     brake test is required.............
    (c) Improper movement of a car                 7,500          11,000
     equipped with conventional
     pneumatic brakes...................
    (d) Operating with less than 85                (\1\)           (\1\)
     percent operative brakes...........
    (f)(2)(i) Improper placement of                (\1\)           (\1\)
     defective conventional brake
     equipment..........................
    (f)(2)(ii) Improper placement of               7,500          11,000
     defective ECP brake equipment......
    (g) Improper movement of defective             (\1\)           (\1\)
     stand-alone ECP brake equipment in
     a train operating with conventional
     pneumatic brakes...................
    (h) Improper movement from initial             (\1\)           (\1\)
     terminal of stand-alone ECP brake
     equipment in a conventional brake
     operated train.....................
    (i) Failure to tag equipment........           (\1\)           (\1\)
    (j)(1) Failure to adopt and comply             7,500          11,000
     with procedures for the movement of
     defective equipment................
    (j)(2) Failure to submit list of ECP           7,500          11,000
     brake system repair locations......
232.611 Periodic maintenance:
    (a) Failure to ensure the proper and           7,500          11,000
     safe condition of car..............
    (b)-(d) Failure to perform test.....           7,500          11,000
232.613 End-of-train devices:
    (a) Failure to meet design standards           7,500          11,000
     for ECP-EOT devices................
    (b) Moving with an improper or                 9,500          13,000
     improperly connected ECP-EOT device
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. Generally when two or more violations of these regulations
  are discovered with respect to a single unit of equipment that is
  placed or continued in service by a railroad, the appropriate
  penalties set forth above are aggregated up to a maximum of $27,455
  per day. An exception to this rule is the $15,000 penalty for willful
  violation of Sec. 232.503 (failure to get FRA approval before
  introducing new technology) with respect to a single unit of
  equipment; if the unit has additional violative conditions, the
  penalty may routinely be aggregated to $15,000. Although the penalties
  listed for failure to perform the brake inspections and tests under
  Sec. 232.205 through Sec. 232.209 may be assessed for each train
  that is not properly inspected, failure to perform any of the
  inspections and tests required under those sections will be treated as
  a violation separate and distinct from, and in addition to, any
  substantive violative conditions found on the equipment contained in
  the train consist. Moreover, the Administrator reserves the right to
  assess a penalty of up to $109,819 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. 232.15(a) will deprive the railroad of the benefit of
  the movement-for-repair provision and make the railroad and any
  responsible individuals liable for penalty under the particular
  regulatory section(s) concerning the substantive defect(s) present on
  the equipment at the time of movement.
Failure to provide any of the records or plans required by this part
  pursuant to Sec. 232.19 will be considered a failure to maintain or
  develop the record or plan and will make the railroad liable for
  penalty under the particular regulatory section(s) concerning the
  retention or creation of the document involved.
Failure to properly perform any of the inspections specifically
  referenced in Sec. 232.209, Sec. 232.213, Sec. 232.217, and
  subpart G may be assessed under each section of this part or this
  chapter, or both, that contains the requirements for performing the
  referenced inspection.


[66 FR 4193, Jan. 17, 2001, as amended at 69 FR 30594, May 28, 2004; 72 
FR 51197, Sept. 6, 2007; 73 FR 61556, Oct. 16, 2008; 73 FR 79703, Dec. 
30, 2008; 74 FR 15388, Apr. 6, 2009; 77 FR 24421, Apr. 24, 2012; 80 FR 
47836, Aug. 6, 2015; 81 FR 43111, July 1, 2016]

[[Page 770]]



Sec. Appendix B to Part 232--Part 232 Prior to May 31, 2001 as Clarified 
                        Effective April 10, 2002

              PART 232--RAILROAD POWER BRAKES AND DRAWBARS

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.
232.10 General rules; locomotives.
232.11 Train air brake system tests.
232.12 Initial terminal road train airbrake 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 End of train device.
Appendix A to Part 232
Appendix B to Part 232

    Authority: 45 U.S.C. 1, 3, 5, 6, 8-12, and 16, as amended; 45 U.S.C. 
431, 438, as amended; 49 app. U.S.C. 1655(e), as amended; Pub. L. 100-
342; and 49 CFR 1.49(c), (g), and (m).

                   I. Part 232 prior to May 31, 2001.

                Sec. 232.0 Applicability and penalties.

    (a) Except as provided in paragraph (b), 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) As used in this part, carrier means ``railroad,'' as that term 
is defined below.
    (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.
    (e) 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, 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 $20,000 per violation may be assessed. Each day a 
violation continues shall constitute a separate offense.

              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.

    Not included in this Appendix. Moved to 49 CFR part 231.

   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.)

  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 gauges 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

[[Page 771]]

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, 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 stenciled 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               7
     truck operated by one brake cylinder..................
    Swivel type truck brake equipped with one brake                    8
     cylinder..............................................
    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:

------------------------------------------------------------------------
                                                                Pounds
------------------------------------------------------------------------
Locomotives:
    (1) Minimum brake pipe air pressure:
        Road Service.......................................           70
        Switch Service.....................................           60
    (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-       30-68
     DS, 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             30-50
     brake.................................................
    (7) Self-lapping portion for electro-pneumatic brake              50
     (minimum full application pressure)...................
    (8) Self-lapping portion for independent air brake             30-50
     (full application pressure)...........................
    (9) Reducing valve for air signal......................        40-60

[[Page 772]]

 
    (10) Reducing valve for high-speed brake (minimum).....           50
Cars:
    (11) Reducing valve for high-speed brake...............        58-62
    (12) Safety valve for PS, LN, UC, AML, AMU and AB-1-B          58-62
     air 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 train 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 brakes 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.

        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 
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.
    (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 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 
electro-pneumatic 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 electro-pneumatic 
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 electro-pneumatic brake 
application must be made as indicated by the brake cylinder gage. 
Inspection of the train

[[Page 773]]

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 
the 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 an appropriate test device shall be used to 
provide increase and reduction of brake pipe air pressure or electro-
pneumatic 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 electro-pneumatic brake operation, this test 
must also be made in electro-pneumatic 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 train is to be operated in electro-pneumatic 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.

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

[[Page 774]]

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 by a designated person as described in Sec. 232.12 (a)(1) 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 has been made. After the test is completed, it must be 
determined that piston travel is correct, and the train airbrakes of 
these cars and on the rear car of the train apply and remain applied, 
until the release signal is given. 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.
    (d)(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.
    (d)(2)(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.

            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, trains 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 775]]

    (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, 1920 L Street, NW., 
Washington, DC 20036.

  Sec. 232.19 through Sec. 232.25 Provisions related to end-of-train 
                                devices.

    Not included in this Appendix as they are contained in Subpart E of 
this rule.

               II. Clarification effective April 10, 2002.

    This subdivision II contains the following clarifications of 49 CFR 
part 232 as it read before May 31, 2001. Section 232.13(d)(2)(i) is 
amended to correct a typographical error made in 1986. See 33 FR 19679, 
51 FR 17303. Section 232.17(a)(2)(iii) is amended to clarify that the 
single car test required to be performed pursuant to this paragraph may 
be conducted in accordance with the applicable AAR Code of Tests or the 
American Public Transportation Association standard referenced in 49 CFR 
238.311(a). Section 232.17(b)(3) is amended by inserting FRA's current 
address as the location where the standards and procedures referenced in 
Sec. 232.17 can be obtained.

Sec. 232.13 Road train and intermediate terminal train air brake tests.

                                * * * * *

    (d) * * *
    (2)(i) At a terminal where a solid block of cars, which has been 
previously charged and tested as prescribed by Sec. 232.12 (c) through 
(j),

[[Page 776]]

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.

                                * * * * *

          Sec. 232.17 Freight and passenger train car brakes.

    (a) * * *
    (2) * * *
    (iii) When a car 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 the 
applicable AAR Code of Tests or by the American Public Transportation 
Association (APTA) standard referenced in Sec. 238.311(a) of this 
chapter. 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.

                                * * * * *

    (b) * * *
    (3) Copies of the materials referred to in this section may be 
obtained from the Federal Railroad Administration, Office of Safety, 
RRS-14, 1120 Vermont Avenue, NW., Stop 25, Washington DC 20590.

[69 FR 29666, May 25, 2004, as amended at 67 FR 17584, Apr. 10, 2002]



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 [Reserved]
233.11 Civil penalties.
233.13 Criminal penalty.

Appendix A to Part 233--Schedule of Civil Penalties

    Authority: 49 U.S.C. 504, 522, 20103, 20107, 20501-20505, 21301, 
21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    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.
    (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)

[[Page 777]]



Sec. 233.9  [Reserved]



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 $839 and not more than $27,455 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 $109,819 
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, as amended at 69 FR 30595, May 28, 2004; 72 
FR 51197, Sept. 6, 2007; 73 FR 79703, Dec. 30, 2008; 77 FR 24422, Apr. 
24, 2012; 81 FR 43111, July 1, 2016]



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 and 49 U.S.C. 21311.

[49 FR 3379, Jan. 26, 1984, as amended at 79 FR 37669, July 2, 2014]



      Sec. 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 [Reserved]..............................  ...........  ...........
------------------------------------------------------------------------
\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 $109,819 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; 
69 FR 30595, May 28, 2004; 73 FR 79704, Dec. 30, 2008; 77 FR 24422, Apr. 
24, 2012; 79 FR 37669, July 2, 2014; 81 FR 43111, July 1, 2016]



PART 234_GRADE CROSSING SAFETY--Table of Contents



                            Subpart A_General

Sec.
234.1 Scope.
234.3 Application and responsibility for compliance.
234.5 Definitions.
234.6 Penalties.

                       Subpart B_Reports and Plans

234.7 Accidents involving grade crossing signal failure.
234.9 Grade crossing signal system failure reports.
234.11 State highway-rail grade crossing action plans.

Subpart C_Response to Credible Reports of Warning System Malfunction at 
                      Highway-Rail Grade Crossings

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.

[[Page 778]]

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.

                Requirements for Processor-Based Systems

234.275 Processor-based systems.

  Subpart E_Emergency Notification Systems for Telephonic Reporting of 
      Unsafe Conditions at Highway-Rail and Pathway Grade Crossings

234.301 Definitions.
234.303 Emergency notification systems for telephonic reporting of 
          unsafe conditions at highway-rail and pathway grade crossings.
234.305 Remedial actions in response to reports of unsafe conditions at 
          highway-rail and pathway grade crossings.
234.306 Multiple dispatching or maintaining railroads with respect to 
          the same ighway-rail or pathway grade crossing; appointment of 
          responsible railroad.
234.307 Use of third-party telephone service by dispatching and 
          maintaining railroads.
234.309 ENS signs in general.
234.311 ENS sign placement and maintenance.
234.313 Recordkeeping.
234.315 Electronic recordkeeping.
234.317 Compliance dates.

     Subpart F_Highway-Rail and Pathway Crossing Inventory Reporting

234.401 Definitions.
234.403 Submission of data to the Crossing Inventory, generally.
234.405 Submission of initial data and periodic updates to the Crossing 
          Inventory.
234.407 Recordkeeping.
234.409 Electronic recordkeeping.

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, 20152, 20160, 21301, 21304, 
21311, 22501 note; Pub. L. 110-432, Div. A., Sec. 202, 28 U.S.C. 2461, 
note; and 49 CFR 1.89.

    Source: 61 FR 31806, June 20, 1996, unless otherwise noted.



                            Subpart A_General



Sec. 234.1  Scope.

    (a) This part prescribes minimum--
    (1) Maintenance, inspection, and testing standards for highway-rail 
grade crossing warning systems;
    (2) Standards for the reporting of failures of highway-rail grade 
crossing warning systems and for the actions that railroads must take 
when such systems malfunction;
    (3) Requirements for particular identified States to develop State 
highway-rail grade crossing action plans;
    (4) Requirements that certain railroads establish systems for 
receiving toll-free telephone calls reporting various unsafe conditions 
at highway-rail grade crossings and pathway grade crossings, and for 
taking certain actions in response to those calls; and
    (5) Requirements for reporting to, and periodically updating 
information contained in, the U.S. DOT National

[[Page 779]]

Highway-Rail Crossing Inventory for highway-rail and pathway crossings.
    (b) This part does not restrict a railroad from adopting and 
enforcing additional or more stringent requirements not inconsistent 
with this part.

[77 FR 35190, June 12, 2012, as amended at 80 FR 786, Jan. 6, 2015]



Sec. 234.3  Application and responsibility for compliance.

    (a) With the exception of Sec. 234.11, this part applies to all 
railroads except the following:
    (1) Operations of a plant railroad as defined in Sec. 234.5;
    (2) Rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation; or
    (3) Tourist, scenic, historic, or excursion operations conducted 
only on track used exclusively for that purpose (i.e., there is no 
freight, intercity passenger, or commuter passenger railroad operation 
on the track) and only on track inside an installation that is insular; 
i.e., the operations are limited to a separate enclave in 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:
    (i) A public highway-rail 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) Although the duties imposed by this part are generally stated in 
terms of the duty of a railroad, each person, including a contractor or 
subcontractor for a railroad, who performs any task covered by this 
part, shall perform that task in accordance with this part.

[77 FR 35190, June 12, 2012]



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 FMCSA, as 
changes are made in this area.
    Credible report of warning system malfunction or credible report of 
warning system malfunction at a highway-rail

[[Page 780]]

grade crossing means a report that contains specific information 
regarding a malfunction of a highway-rail grade crossing warning system 
at an identified highway-rail grade 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.)
    FRA means the Office of Railroad Safety, Federal Railroad 
Administration, 1200 New Jersey Avenue SE., Washington, DC 20590.
    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 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.
    Plant railroad means a plant or installation that owns or leases a 
locomotive, uses that locomotive to switch cars throughout the plant or 
installation, and is moving goods solely for use in the facility's own 
industrial processes. The plant or installation could include track 
immediately adjacent to the plant or installation if the plant railroad 
leases the track from the general system railroad and the 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. A plant or installation 
that operates a locomotive to switch or move cars for other entities, 
even if solely within the confines of the plant or installation, rather 
than for its own purposes or industrial processes, will not be 
considered a plant railroad because the performance of such activity 
makes the operation part of the general railroad system of 
transportation.
    Train means one or more locomotives, with or without cars.
    Warning system malfunction or warning system malfunction at a 
highway-rail grade crossing means an activation failure, a partial 
activation, or a false activation of a highway-rail grade crossing 
warning system.

[61 FR 31806, June 20, 1996, as amended at 77 FR 35191, June 12, 2012]



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, except for any violation of Sec. 234.11 of this part, or causes 
the violation of any such requirement is subject to a civil penalty of 
at least $839, but not more than $27,455 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 $109,819 
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

[[Page 781]]

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, except for any document 
filed pursuant to Sec. 234.11 of this part, is subject to a $5,000 fine 
and 2 years imprisonment as prescribed by 49 U.S.C. 522(a) and 21311(a).

[74 FR 36558, June 28, 2010, as amended at 77 FR 24422, Apr. 24, 2012; 
81 FR 43111, July 1, 2016]



                       Subpart B_Reports and Plans



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 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.



Sec. 234.11  State highway-rail grade crossing action plans.

    (a) Purpose. The purpose of this section is to reduce collisions at 
highway-rail grade crossings in the ten States that have had the most 
highway-rail grade crossing collisions, on average, during the calendar 
years 2006, 2007, and 2008. This section does not restrict any other 
State, or other entity, from adopting a highway-rail grade crossing 
action plan. This section also does not restrict any of the States 
required to develop action plans under this section from adopting a 
highway-rail grade crossing action plan with additional or more 
stringent requirements not inconsistent with this section.
    (b) Application. This section applies to the ten States that have 
had the most highway-rail grade crossing collisions, on average, during 
the calendar years 2006, 2007, and 2008.
    (c) Action plans. (1) The ten identified States shall each develop a 
State highway-rail grade crossing action plan and submit such a plan to 
FRA for review and approval not later than August 27, 2011.
    (2) A State highway-rail grade crossing action plan shall:
    (i) Identify specific solutions for improving safety at crossings, 
including highway-rail grade crossing closures or grade separations;
    (ii) Focus on crossings that have experienced multiple accidents or 
are at high risk for such accidents; and
    (iii) Cover a five-year time period.
    (d) Review and approval. (1) State highway-rail grade crossing 
action plans required under paragraph (c) of

[[Page 782]]

this section shall be submitted for FRA review and approval using at 
least one of the following methods: Mail to the Associate Administrator 
for Railroad Safety/Chief Safety Officer, U.S. Department of 
Transportation, Federal Railroad Administration, 1200 New Jersey Ave., 
SE., Washington, DC 20590; or e-mail to [email protected].
    (2) FRA will review and approve or disapprove a State highway-rail 
grade crossing action plan submitted pursuant to paragraph (d) of this 
section within 60 days of receipt.
    (3) If the proposed State highway-rail grade crossing action plan is 
disapproved, FRA will notify the affected State as to the specific areas 
in which the proposed plan is deficient. A State shall correct all 
deficiencies within 30 days following receipt of written notice from 
FRA.
    (4) FRA may condition the awarding of any grants under 49 U.S.C. 
20158, 20167, or 22501 to an identified State on the development of an 
FRA approved State highway-rail grade crossing action plan.

[75 FR 36559, June 28, 2010]



Subpart C_Response to Credible Reports of Warning System Malfunction at 
                      Highway-Rail Grade Crossings



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 Sec. Sec. 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.

[[Page 783]]

    (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 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)).

[[Page 784]]



             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 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, including but not 
limited to failures resulting in an activation failure, partial 
activation, or false activation, the cause shall be determined and the 
faulty component adjusted, repaired, or replaced without undue delay.
    (b) If the failure of an essential component results in an 
activation failure, partial activation, or false activation, as defined 
in Sec. 234.5, a railroad shall take appropriate action under Sec. 
234.105, Activation failure, Sec. 234.106, Partial activation, or Sec. 
234.107, False activation, until adjustment, repair, or replacement of 
the essential component is completed.

[79 FR 49715, Aug. 22, 2014]



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.

    (a) General. Except as provided in paragraph (b) of this section, 
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 
value necessary to retain a permissive state of a safety appliance.
    (b) Exception. Paragraph (a) of this section does not apply to the 
following:
    (1) Circuits that include track rail;
    (2) Alternating current power distribution circuits that are 
grounded in the interest of safety;
    (3) Circuitry internal to microprocessor-based appliances;
    (4) Circuitry internal to semiconductor-based memory; and
    (5) Common return wires of grounded common return single break 
circuits.

[79 FR 49715, Aug. 22, 2014]



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

[[Page 785]]

the plans required by Sec. 234.201 of this part.

[66 FR 49560, Sept. 28, 2001]



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 
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.

[[Page 786]]



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 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 Sec. Sec. 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 
Sec. Sec. 234.249 through 234.271 because all tracks over the grade 
crossing are out of service 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.

[61 FR 31806, June 20, 1996, as amended at 66 FR 49560, Sept. 28, 2001]



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.

[[Page 787]]



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.



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.

[[Page 788]]

    (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 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.

                Requirements for Processor-Based Systems



Sec. 234.275  Processor-based systems.

    (a) Applicable definitions. The definitions in Sec. 236.903 of this 
chapter shall apply to this section, where applicable.
    (b) Use of performance standard authorized or required. (1) In lieu 
of compliance with the requirements of this subpart, a railroad may 
elect to qualify an existing processor-based product under part 236, 
subparts H or I, of this chapter.
    (2) Highway-rail grade crossing warning systems, subsystems, or 
components that are processor-based and that are first placed in service 
after June 6, 2005, which contain new or novel technology, or which 
provide safety-critical data to a railroad signal or train control 
system that is governed by part 236, subpart H or I, of this chapter, 
shall also comply with those requirements. New or novel technology 
refers to a technology not previously recognized for use as of March 7, 
2005.
    (3) Products designed in accordance with subparts A through D of 
this part, which are not in service but are in the developmental stage 
prior to December 5, 2005 (or for which a request for exclusion was 
submitted prior to June 6, 2005 pursuant to Sec. 236.911 of this 
chapter), may be excluded from the requirements of part 236, subpart H 
of this chapter upon notification to FRA by March 6, 2006, if placed in 
service by December 5, 2008 (or March 7, 2008 for those products for 
which a request for exclusion was submitted to FRA prior to June 6, 
2005). Railroads may continue to implement and use these products and 
components from these existing products. A railroad may at any time 
elect to have products that are excluded made subject to 49 CFR part 
236, subpart H, by submitting a Product

[[Page 789]]

Safety Plan as prescribed in Sec. 236.913 of this chapter and otherwise 
complying with part 236, subpart H of this chapter.
    (c) Plan justifications. The Product Safety Plan in accordance with 
49 CFR 236.907--or a PTC Development Plan and PTC Safety Plan required 
to be filed in accordance with 49 CFR 236.1013 and 236.1015--must 
explain how the performance objective sought to be addressed by each of 
the particular requirements of this subpart is met by the product, why 
the objective is not relevant to the product's design, or how the safety 
requirements are satisfied using alternative means. Deviation from those 
particular requirements is authorized if an adequate explanation is 
provided, making reference to relevant elements of the applicable plan, 
and if the product satisfies the performance standard set forth in Sec. 
236.909 of this chapter. (See Sec. 236.907(a)(14) of this chapter.)
    (d) Specific requirements. The following exclusions from the 
latitude provided by this section apply:
    (1) Nothing in this section authorizes deviation from applicable 
design requirements for automated warning devices at highway-rail grade 
crossings in the Manual on Uniform Traffic Control Devices (MUTCD), 2000 
Millennium Edition, Federal Highway Administration (FHWA), dated 
December 18, 2000, including Errata 1 to MUTCD 2000 Millennium 
Edition dated June 14, 2001 (http://mutcd.fhwa.dot.gov/).
    (2) Nothing in this section authorizes deviation from the following 
requirements of this subpart:
    (i) Sec. 234.207(b) (Adjustment, repair, or replacement of a 
component);
    (ii) Sec. 234.209(b) (Interference with normal functioning of 
system);
    (iii) Sec. 234.211 (Security of warning system apparatus);
    (iv) Sec. 234.217 (Flashing light units);
    (v) Sec. 234.219 (Gate arm lights and light cable);
    (vi) Sec. 234.221 (Lamp voltage);
    (vii) Sec. 234.223 (Gate arm);
    (viii) Sec. 234.225 (Activation of warning system);
    (ix) Sec. 234.227 (Train detection apparatus)--if a train detection 
circuit is employed to determine the train's presence;
    (x) Sec. 234.229 (Shunting sensitivity)--if a conventional track 
circuit is employed;
    (xi) Sec. 234.231 (Fouling wires)--if a conventional train 
detection circuit is employed;
    (xii) Sec. 234.233 (Rail joints)--if a track circuit is employed;
    (xiii) Sec. 234.235 (Insulated rail joints)--if a track circuit is 
employed;
    (xiv) Sec. 234.237 (Reverse switch cut-out circuit); or
    (xv) Sec. 234.245 (Signs).
    (e) Separate justification for other than fail-safe design. 
Deviation from the requirement of Sec. 234.203 (Control circuits) that 
circuits be designed on a fail-safe principle must be separately 
justified at the component, subsystem, and system level using the 
criteria of Sec. 236.909 of this chapter.
    (f) Software management control for certain systems not subject to a 
performance standard. Any processor-based system, subsystem, or 
component subject to this part, which is not subject to the requirements 
of part 236, subpart H or I, of this chapter but which provides safety-
critical data to a signal or train control system shall be included in 
the software management control plan requirements as specified in Sec. 
236.18 of this chapter.

[70 FR 72384, Dec. 5, 2005, as amended at 75 FR 2698, Jan. 15, 2010]



  Subpart E_Emergency Notification Systems for Telephonic Reporting of 
      Unsafe Conditions at Highway-Rail and Pathway Grade Crossings

    Source: 77 FR 35191, June 12, 2012, unless otherwise noted.



Sec. 234.301  Definitions.

    As used in this subpart--
    Answering machine means either a device or a voicemail system that 
allows a telephone caller to leave a recorded message to report an 
unsafe condition at a highway-rail or pathway grade crossing, as 
described in Sec. 234.303(c) and (d), and the railroad is able to 
retrieve the recorded message either remotely or on-site.
    Automated answering system means a type of answering system that 
directs a

[[Page 790]]

telephone caller to a single menu of options, where the caller has the 
choice to select one of the available options to report an unsafe 
condition at a highway-rail or pathway grade crossing, as described in 
Sec. 234.303(c) and (d), and immediately after selecting one of the 
available menu options, the caller is transferred to a live telephone 
operator.
    Class II and Class III have the meaning assigned by regulations of 
the Surface Transportation Board (49 CFR part 1201; General Instructions 
1-1), as those regulations may be revised and applied by order of the 
Board (including modifications in class threshold based on revenue 
deflator adjustments).
    Dispatches a train or dispatches trains means dispatches or 
otherwise provides the authority for the movement of the train or trains 
through a highway-rail or pathway grade crossing.
    Dispatching railroad means a railroad that dispatches or otherwise 
provides the authority for the movement of one or more trains through a 
highway-rail or pathway grade crossing.
    Emergency Notification System means a system in place by which a 
railroad receives, processes, and responds to telephonic reports of an 
unsafe condition at a highway-rail or pathway grade crossing. An 
Emergency Notification System includes the following components:
    (1) The signs, placed and maintained at the grade crossings that 
display the information necessary for the public to report an unsafe 
condition at the grade crossing to the dispatching railroad by 
telephone;
    (2) The method that the railroad uses to receive and process a 
telephone call reporting the unsafe condition;
    (3) The remedial actions that a railroad takes to address the report 
of the unsafe condition; and
    (4) The recordkeeping conducted by a railroad in response to the 
report of the unsafe condition at the grade crossing.
    ENS means Emergency Notification System as defined in this section.
    Farm grade crossing means a type of highway-rail grade crossing 
where a private roadway used for the movement of farm motor vehicles, 
farm machinery, or livestock in connection with agricultural pursuits, 
forestry, or other land-productive purposes crosses one or more railroad 
tracks at grade.
    Highway-rail and pathway grade crossing means a highway-rail grade 
crossing and a pathway grade crossing.
    Highway-rail or pathway grade crossing means either a highway-rail 
grade crossing or a pathway grade crossing.
    Maintaining railroad means the entity (e.g., track owner or lessee) 
that is responsible for maintenance of the highway-rail or pathway grade 
crossing warning device, or for maintenance of other aspects of the 
highway-rail or pathway grade crossing. If the maintenance 
responsibility is handled by a contractor, such as maintaining a grade 
crossing warning system or track structure at the highway-rail or 
pathway grade crossing, then the contractor is considered the 
``maintaining railroad'' for the purposes of this subpart.
    Pathway grade crossing means a pathway that crosses one or more 
railroad tracks at grade and that is--
    (1) Explicitly authorized by a public authority or a railroad;
    (2) Dedicated for the use of non-vehicular traffic, including 
pedestrians, bicyclists, and others; and
    (3) Not associated with a public highway, road, or street, or a 
private roadway.
    Public report of warning system malfunction or public report of 
warning system malfunction at a highway-rail grade crossing means a 
report that contains specific information regarding a warning system 
malfunction at a highway-rail grade crossing that is supplied to a 
railroad via the ENS by a member of the public who does not belong to 
one of the categories of individuals listed in the definition of 
Credible report of warning system malfunction or credible report of 
warning system malfunction at a highway-rail grade crossing in Sec. 
234.5.
    Third-party telephone service means a service that receives 
telephonic reports of unsafe conditions at highway-rail and pathway 
grade crossings on behalf of a railroad. A third-party telephone service 
that receives reports on behalf of a dispatching railroad is the only 
entity between the receipt of the report from the telephone caller and 
the

[[Page 791]]

transmission of the report to the dispatching railroad. A third-party 
telephone service that receives reports on behalf of a maintaining 
railroad is the only entity between the receipt of the report from a 
dispatching railroad and the transmission of the report to the 
maintaining railroad.
    Warning system failure at a pathway grade crossing means failure of 
an active pathway grade crossing warning system to perform as intended.



Sec. 234.303  Emergency notification systems for telephonic reporting
of unsafe conditions at highway-rail and pathway grade crossings.

    (a) Duty of dispatching railroad in general. Each railroad shall 
establish and maintain a toll-free telephone service by which the 
railroad can directly and promptly receive telephone calls from the 
public reporting specific information about any of the conditions listed 
in paragraph (c) of this section with respect to a highway-rail grade 
crossing and paragraph (d) of this section with respect to a pathway 
grade crossing through which the railroad dispatches a train, except as 
provided in paragraphs (b) and (e) of this section, and in Sec. 
234.306(a). The dispatching railroad shall either have a live person 
answer calls directly and promptly, or use an automated answering system 
or a third-party telephone service for the purpose of receiving reports 
pursuant to this section, except as provided in paragraph (b) of this 
section.
    (b) Exceptions for certain railroads. If a dispatching railroad 
operates in accordance with either of the conditions set forth in this 
paragraph, the railroad is not subject to the general duties stated in 
the last sentence of paragraph (a) of this section.
    (1) If a railroad dispatches one or more trains through a highway-
rail or pathway grade crossing, each of which is authorized to travel 
through the crossing at speeds not greater than 20 miles per hour (mph), 
the railroad may use an answering machine to receive calls regarding 
unsafe conditions at such a crossing. If using an answering machine 
pursuant to this paragraph, the railroad must retrieve its messages 
immediately prior to the start of its operations each day.
    (2) If a railroad dispatches one or more trains through a highway-
rail or pathway grade crossing on a seasonal or intermittent basis 
(e.g., tourist, biweekly service, or non-24-hour service), and any of 
the trains is authorized to travel through the crossing at speeds 
greater than 20 mph, the railroad may use an answering machine to 
receive calls regarding unsafe conditions at such a crossing, but only 
during hours of non-operation. If using an answering machine pursuant to 
this paragraph (b), during periods of non-operation, the railroad must 
retrieve its messages daily. However, the railroad must retrieve its 
messages immediately prior to the start of its operations for the day, 
and during hours of operation the dispatching railroad shall either have 
a live person answer calls directly and promptly, use an automated 
answering system, or employ a third-party telephone service, in 
accordance with paragraph (a) of this section, to receive reports 
regarding unsafe conditions at crossings through which it dispatches 
trains.
    (c) Reportable unsafe conditions at highway-rail grade crossings. 
Each railroad shall establish a service pursuant to paragraph (a) of 
this section, except as provided in paragraphs (b) and (e) of this 
section, and in Sec. 234.306(a), to receive telephone calls regarding 
the following conditions with respect to a highway-rail grade crossing 
through which it dispatches a train:
    (1) A warning system malfunction at the highway-rail grade crossing;
    (2) A disabled vehicle or other obstruction blocking a railroad 
track at the highway-rail grade crossing;
    (3) An obstruction to the view of a pedestrian or a vehicle operator 
for a reasonable distance in either direction of a train's approach to 
the highway-rail grade crossing; or
    (4) Any information relating to any other unsafe condition at the 
highway-rail grade crossing.
    (d) Reportable unsafe conditions at pathway grade crossings. Each 
railroad shall establish a service pursuant to paragraph (a) of this 
section, except as provided in paragraphs (b) and (e) of this section, 
and in Sec. 234.306(a), to receive telephone calls regarding the 
following conditions with respect to a

[[Page 792]]

pathway grade crossing through which it dispatches a train:
    (1) A failure of the active warning system at the pathway grade 
crossing to perform as intended;
    (2) An obstruction blocking a railroad track at the pathway grade 
crossing;
    (3) An obstruction to the view of a pathway grade crossing user for 
a reasonable distance in either direction of a train's approach to the 
pathway grade crossing; or
    (4) Any information relating to any other unsafe condition at the 
pathway grade crossing.
    (e) Class II or Class III railroads. A Class II or Class III 
railroad that dispatches one or more trains through a highway-rail or 
pathway grade crossing within an area in which the use of a non-toll-
free number would not incur any additional fees for the caller than if a 
toll-free number were used, may use that non-toll-free number to receive 
calls pursuant to paragraph (a) of this section regarding each such 
crossing in that area.
    (f) Reports not made through the ENS. If a report of an unsafe 
condition at a highway-rail or pathway grade crossing is not made 
through the telephone service described in paragraph (a) of this 
section, this subpart E does not apply to that report.



Sec. 234.305  Remedial actions in response to reports of unsafe 
conditions at highway-rail and pathway grade crossings.

    (a) General rule on response to credible report of warning system 
malfunction at a highway-rail grade crossing. (1) If a railroad receives 
a credible report of a warning system malfunction at a highway-rail 
grade crossing pursuant to Sec. 234.303(c)(1) and the railroad has 
maintenance responsibility for the warning system to which the report 
pertains, then it shall take the appropriate action required by subpart 
C of this part.
    (2) If a railroad receives a credible report of a warning system 
malfunction at a highway-rail grade crossing pursuant to Sec. 
234.303(c)(1) and the railroad has dispatching responsibility for the 
crossing, but does not have maintenance responsibility for the warning 
system to which the report pertains, it shall promptly contact all 
trains that are authorized to operate through the highway-rail grade 
crossing in an effort to notify the train crews of the reported 
malfunction prior to each train's arrival at the crossing. After 
contacting the appropriate trains, the railroad shall then promptly 
contact the maintaining railroad and inform it of the reported 
malfunction. The maintaining railroad shall then take the appropriate 
action required by subpart C of this part.
    (b) General rule on response to public report of warning system 
malfunction at a highway-rail grade crossing. (1) If a railroad receives 
a public report of a warning system malfunction at a highway-rail grade 
crossing pursuant to Sec. 234.303(c)(1) and the railroad has 
maintenance responsibility for the warning system to which the report 
pertains, the railroad shall promptly contact all trains that are 
authorized to operate through the highway-rail grade crossing in an 
effort to notify the train crews of the reported malfunction prior to 
each train's arrival at the crossing. After contacting the appropriate 
trains, the railroad shall then promptly contact the law enforcement 
agency having jurisdiction over the highway-rail grade crossing and 
provide the necessary information for the law enforcement agency to 
direct traffic or carry out other activities to maintain safety at the 
highway-rail grade crossing. The railroad shall then promptly 
investigate the report, determine the nature of the malfunction and take 
the appropriate action required by Sec. 234.207.
    (2) If a railroad receives a public report of a warning system 
malfunction at a highway-rail grade crossing warning system pursuant to 
Sec. 234.303(c)(1) and the railroad does not have maintenance 
responsibility for the warning system at the highway-rail grade 
crossing, it shall promptly contact all trains that are authorized to 
operate through the highway-rail grade crossing to which the report 
pertains in an effort to notify the train crews of the reported 
malfunction prior to each train's arrival at the crossing. After 
contacting the appropriate trains, the railroad shall then promptly 
contact the law enforcement agency having jurisdiction over the highway-
rail grade

[[Page 793]]

crossing and provide the necessary information for the law enforcement 
agency to direct traffic or carry out other activities to maintain 
safety at the highway-rail grade crossing. The railroad shall then 
promptly contact the maintaining railroad and inform it of the reported 
malfunction. The maintaining railroad shall then promptly investigate 
the report, determine the nature of the malfunction, and take the 
appropriate action required by Sec. 234.207.
    (c) General rule on response to report of warning system failure at 
a pathway grade crossing. (1) If a railroad receives a report of a 
warning system failure at a pathway grade crossing pursuant to Sec. 
234.303(d)(1) and the railroad has maintenance responsibility for the 
warning system to which the report pertains, the railroad shall promptly 
contact all trains that are authorized to operate through the pathway 
grade crossing in an effort to notify the train crews of the reported 
failure prior to each train's arrival at the crossing. After contacting 
the appropriate trains, the railroad shall then promptly contact the law 
enforcement agency having jurisdiction over the pathway grade crossing 
and provide the necessary information for the law enforcement agency to 
direct traffic or carry out other activities to maintain safety at the 
pathway grade crossing. The railroad shall then promptly investigate the 
report, determine the nature of the failure, and without undue delay 
repair the active warning system if necessary.
    (2) If a railroad receives a report of warning system failure at a 
pathway grade crossing pursuant to Sec. 234.303(d)(1), but does not 
have maintenance responsibility for the warning system to which the 
report pertains, the railroad shall promptly contact all trains that are 
authorized to operate through the pathway grade crossing to which the 
report pertains in an effort to notify the train crews of the reported 
failure prior to each train's arrival at the crossing. After contacting 
the appropriate trains, the railroad shall then promptly contact the law 
enforcement agency having jurisdiction over the pathway grade crossing 
and provide the necessary information for the law enforcement agency to 
direct traffic or carry out other activities to maintain safety at the 
pathway grade crossing. The railroad shall then promptly contact the 
maintaining railroad and inform it of the reported failure. The 
maintaining railroad shall then promptly investigate the report, 
determine the nature of the failure, and without undue delay repair the 
warning system if necessary.
    (d) General rule on response to report of a disabled vehicle or 
other obstruction blocking a railroad track at a highway-rail or pathway 
grade crossing. (1) If a railroad receives a report of a disabled 
vehicle or other obstruction blocking a railroad track at a highway-rail 
or pathway grade crossing, pursuant to Sec. 234.303(c)(2) or (d)(2), 
and the railroad has maintenance responsibility for the crossing to 
which the report pertains, the railroad shall promptly contact all 
trains that are authorized to operate through the crossing in an effort 
to notify the train crews of the reported obstruction prior to each 
train's arrival at the crossing. After contacting the appropriate 
trains, the railroad shall then promptly contact the law enforcement 
agency having jurisdiction over the crossing to provide it with the 
information necessary to assist in the removal of the reported track 
obstruction or to carry out other activities to maintain safety at the 
crossing. The railroad shall then promptly investigate the report, 
determine the nature of the obstruction, and without undue delay take 
the necessary action to have the obstruction removed.
    (2) If a railroad receives a report of a disabled vehicle or other 
obstruction blocking a railroad track at a highway-rail or pathway grade 
crossing, pursuant to Sec. 234.303(c)(2) or (d)(2), but does not have 
maintenance responsibility for the crossing to which the report 
pertains, the railroad shall promptly contact all trains that are 
authorized to operate through the crossing to which the report pertains 
in an effort to notify the train crews of the reported obstruction prior 
to each train's arrival at the crossing. After contacting the 
appropriate trains, the railroad shall then promptly contact the law 
enforcement agency having jurisdiction over the crossing to provide it

[[Page 794]]

with the information necessary to assist in the removal of the reported 
track obstruction or to carry out other activities to maintain safety at 
the crossing. The railroad shall then promptly contact the maintaining 
railroad and inform it of the reported obstruction. The maintaining 
railroad shall then promptly investigate the report, determine the 
nature of the obstruction, and without undue delay take the necessary 
action to have the obstruction removed.
    (e) Special rule on contacting a train that is not required to have 
communication equipment. If a railroad is not required by Sec. 220.9 of 
this chapter to have a working radio or working wireless communications 
in each occupied controlling locomotive of its trains and the railroad 
receives a report pursuant to Sec. 234.303(c)(1), (c)(2), (d)(1), or 
(d)(2) about a highway-rail or pathway crossing that any of the trains 
is authorized to operate through, the railroad shall promptly contact 
the occupied controlling locomotive of the train as required by 
paragraph (a), (b), (c), or (d) of this Sec. 234.305 by the quickest 
means available consistent with Sec. 220.13(a) of this chapter.
    (f) General rule on response to report of an obstruction of view at 
a highway-rail or pathway grade crossing. (1) Upon receiving a report 
pursuant to Sec. 234.303(c)(3) or (d)(3), the railroad, if it is both 
the dispatching and the maintaining railroad, shall timely investigate 
the report and remove the obstruction if it is lawful and feasible to do 
so.
    (2) If the dispatching railroad is not also the maintaining 
railroad, it shall promptly contact the maintaining railroad, which 
shall timely investigate the report and remove the obstruction if it is 
lawful and feasible to do so.
    (g) General rule on response to report of other unsafe condition at 
a highway-rail or pathway grade crossing. Upon receiving a report 
pursuant to Sec. 234.303(c)(4) or (d)(4) related to the maintenance of 
a crossbuck sign or other similar grade crossing safety device or any 
other unsafe condition (such as a pot hole that could cause injury or 
damage) not covered by paragraph (a), (b), or (c) of this Sec. 234.305, 
the railroad, if it is both the dispatching and the maintaining 
railroad, shall timely investigate the report; and, if the railroad 
finds that the unsafe condition exists, it shall timely correct it if it 
is lawful and feasible to do so. If the dispatching railroad is not also 
the maintaining railroad, it shall timely inform the maintaining 
railroad, which shall timely investigate the report; and, if the 
maintaining railroad finds that the unsafe condition exists, it shall 
timely correct it if it is lawful and feasible to do so.
    (h) General rule on a maintaining railroad's responsibilities for 
receiving reports of unsafe conditions at highway-rail and pathway grade 
crossings. (1) In general. If the dispatching railroad is required under 
this section to contact the maintaining railroad, the maintaining 
railroad shall--
    (i) Provide the dispatching railroad with sufficient contact 
information by which the dispatching railroad may timely contact the 
maintaining railroad upon receipt of a report; and
    (ii) Have either a live person answer calls directly and promptly, 
or use an automated answering system for the purpose of receiving a call 
from the dispatching railroad of a report of an unsafe condition, except 
as provided in paragraph (h)(2) of this section.
    (2) Exceptions for use of a third-party telephone service and 
answering machine by a maintaining railroad. (i) If a maintaining 
railroad is responsible for the maintenance of a highway-rail or pathway 
grade crossing through which a railroad dispatches one or more trains, 
each of which is authorized to travel through the crossing at speeds not 
greater than 20 mph, the maintaining railroad may use a third-party 
telephone service, in accordance with Sec. 234.307, or an answering 
machine to receive reports from a dispatching railroad of unsafe 
conditions at such a crossing. If using an answering machine pursuant to 
this paragraph, the railroad must retrieve its messages immediately 
prior to the start of its operations for the day.
    (ii) If a maintaining railroad is responsible for the maintenance of 
a highway-rail or pathway grade crossing only on a seasonal or 
intermittent basis (e.g., tourist, biweekly service, or non-24-hour 
service), the maintaining

[[Page 795]]

railroad may use a third-party telephone service, in accordance with 
Sec. 234.307, or an answering machine to receive reports from a 
dispatching railroad of unsafe conditions at such a crossing. If using 
an answering machine pursuant to this paragraph, during periods of non-
operation, the maintaining railroad must retrieve its messages daily. 
However, the railroad must retrieve its messages immediately prior to 
the start of its operations for the day, and during hours of operation 
the railroad shall either have a live person answer calls directly or 
use an automated answering system to receive reports regarding unsafe 
conditions at such a crossing.



Sec. 234.306  Multiple dispatching or maintaining railroads with 
respect to the same highway-rail or pathway grade crossing; appointment
of responsible railroad
          .

    (a) Duty of multiple dispatching railroads to appoint a primary 
dispatching railroad for the crossing. (1) Where more than one railroad 
dispatches a train through the same highway-rail or pathway grade 
crossing, the dispatching railroads for the crossing shall appoint one 
of the railroads to be the primary dispatching railroad for the crossing 
and, as such, the primary dispatching railroad for the crossing shall do 
the following:
    (i) Provide its emergency telephone number to the railroad 
responsible for the placement and maintenance of the ENS sign(s) at the 
crossing;
    (ii) Receive all reports through ENS of unsafe conditions at the 
crossing as required by Sec. 234.303;
    (iii) After receiving a report of an unsafe condition at the 
crossing, promptly contact all other railroads that dispatch trains 
through the crossing to warn them of the reported unsafe condition, and, 
as appropriate, promptly contact the maintaining railroad(s) for the 
crossing as required by Sec. 234.305; and
    (iv) Otherwise carry out its duties under this subpart as a 
dispatching railroad for the crossing, with respect to the crossing.
    (2) After receiving a report of an unsafe condition at the crossing 
from the appointed dispatching railroad, each of the other dispatching 
railroad(s) to which the report pertains shall carry out the remedial 
action required by Sec. 234.305 and the recordkeeping required by Sec. 
234.313.
    (b) Duty of multiple maintaining railroads to appoint a railroad 
responsible for the placement and maintenance of the ENS sign(s). (1) 
Where more than one railroad maintains the same crossing, the 
maintaining railroads for the crossing shall appoint one of the 
railroads to be responsible for the placement and maintenance of the ENS 
sign(s) at the crossing pursuant to Sec. Sec. 234.309 and 234.311.
    (2) The railroad appointed under paragraph (b)(1) of this section 
shall display on the ENS sign(s) at the crossing the emergency telephone 
number of the dispatching railroad for the crossing or, if more than one 
railroad dispatches a train through the crossing, the emergency 
telephone number of the primary dispatching railroad for the crossing 
identified under paragraph (a) of this section.
    (c) Duty of multiple maintaining railroads with respect to remedial 
action at the crossing. Where there are multiple maintaining railroads 
for a crossing, the dispatching railroad (or, if more than one railroad 
dispatches a train through the crossing, the primary dispatching 
railroad for the crossing under paragraph (a) of this section) upon 
receipt of a report of an unsafe condition, shall promptly contact and 
inform the appropriate maintaining railroad(s) for the crossing of the 
reported problem. After each maintaining railroad for the crossing 
receives a report of an unsafe condition at the crossing that pertains 
to its maintenance responsibilities for the crossing, the maintaining 
railroad shall carry out the remedial action required by Sec. 234.305 
and the recordkeeping required by Sec. 234.313.



Sec. 234.307  Use of third-party telephone service by dispatching 
and maintaining railroads.

    (a) General use of a third-party telephone service by a dispatching 
railroad. A dispatching railroad may use a third-party telephone service 
to receive reports of unsafe conditions at highway-

[[Page 796]]

rail and pathway grade crossings pursuant to Sec. 234.303. If a 
dispatching railroad chooses to use a third-party telephone service, the 
third-party telephone service shall be reached directly and promptly by 
the telephone number displayed on the ENS sign pursuant to Sec. 
234.309. The third-party telephone service may use an automated 
answering system for the purpose of receiving such reports. The 
dispatching railroad shall have a live person answer calls directly and 
promptly from the third-party telephone service, unless permitted 
pursuant to Sec. 234.303(b) to use an answering machine. The 
dispatching railroad shall ensure that the third-party telephone service 
complies with the applicable requirements of Sec. 234.307.
    (b) General use of a third-party telephone service by a maintaining 
railroad. Pursuant to Sec. 234.305(h)(2), a maintaining railroad that 
either maintains a highway-rail or pathway grade crossing on a seasonal 
or intermittent basis (e.g., tourist, biweekly service, or non-24 hours 
service), or a crossing through which a railroad dispatches one or more 
trains, each of which is authorized to travel through the crossing at 
speeds not greater than 20 mph, may use a third-party telephone service 
to receive reports of unsafe conditions at such a crossing from a 
dispatching railroad. The third-party telephone service may use an 
automated answering system for the purpose of receiving such reports. 
The maintaining railroad shall receive reports from the third-party 
telephone service by either having a live person answer calls directly 
and promptly, or using an answering machine. If using an answering 
machine pursuant to this paragraph, the railroad must use the answering 
machine in accordance with Sec. 234.305(h)(2). The maintaining railroad 
shall ensure that the third-party telephone service complies with the 
applicable requirements of Sec. 234.307.
    (c) Duties of third-party telephone service in contacting 
dispatching and maintaining railroads. Upon receiving a report pursuant 
to Sec. Sec. 234.303 or 234.305, on behalf of either the dispatching 
railroad or maintaining railroad, respectively, the third-party 
telephone service shall immediately contact the railroad, and, at a 
minimum, provide it with the following information:
    (1) The nature of the reported unsafe condition;
    (2) The location of the unsafe condition, including the U.S. DOT 
National Crossing Inventory number for the crossing;
    (3) Whether the person reporting the unsafe condition is a railroad 
employee, law enforcement officer, highway traffic official, or other 
employee of a public agency acting in an official capacity;
    (4) The date and time that the report was received by the third-
party telephone service; and
    (5) Any additional information provided by the caller that may be 
useful to restore the crossing to a safe condition.
    (d) Duties of railroad using third-party telephone service. If a 
dispatching or maintaining railroad uses a third-party telephone service 
to receive reports of unsafe conditions at a highway-rail or pathway 
grade crossing, the railroad shall--
    (1) Provide the third-party telephone service with sufficient 
contact information by which the third-party telephone service may 
immediately contact the railroad upon receipt of a report;
    (2) Inform FRA in writing, before the implementation of such a 
service, of the railroad's intent to use a third-party telephone 
service, and provide FRA with contact information for the third-party 
telephone service and information identifying the highway-rail and 
pathway grade crossings about which the third-party telephone service 
will receive reports;
    (3) Inform FRA in writing within 30 days following any changes in 
the use or discontinuance of a third-party telephone service; and
    (4) Take appropriate action required by Sec. 234.305, upon being 
contacted by the third-party telephone service about a report.
    (e) Third-party telephone service and railroad responsibilities. If 
a railroad uses a third-party telephone service to receive reports 
pursuant to Sec. Sec. 234.303 or 234.305, the third-party telephone 
service is responsible for carrying out the

[[Page 797]]

duties of this section and recordkeeping duties under Sec. 234.313, 
and, if applicable under Sec. 234.315. In addition, the railroad 
remains responsible for any acts or omissions of the third-party 
telephone service it utilizes that violate the provisions of this 
section or the recordkeeping requirements under Sec. 234.313, and, if 
applicable under Sec. 234.315.



Sec. 234.309  ENS signs in general.

    (a) Provision of information. If the dispatching railroad and the 
maintaining railroad(s) are not the same entity, the dispatching 
railroad for a highway-rail or pathway grade crossing shall provide to 
the maintaining railroad the telephone number that is to be displayed on 
the ENS sign at the crossing, not later than 180 calendar days before 
the date that implementation of an ENS is required.
    (b) Information to be displayed. Each ENS sign located at each 
highway-rail or pathway grade crossing as required by Sec. 234.311 
shall display the necessary information for the dispatching railroad to 
receive reports of unsafe conditions at the crossing. This information, 
at a minimum, includes the following:
    (1) The toll-free telephone number (or non-toll-free telephone 
number as provided for in Sec. 234.303(e)) established to receive 
reports pursuant to Sec. 234.303(a);
    (2) An explanation of the purpose of the sign (e.g., ``Report 
emergency or problem to ----''); and
    (3) The U.S. DOT National Crossing Inventory number assigned to that 
crossing.
    (c) Sign size and other physical features. Each ENS sign shall--
    (1) Measure at least 12 inches wide by 9 inches high;
    (2) Be retroreflective;
    (3) Have legible text (i.e., letters and numerals) with a minimum 
character height of 1 inch for the information required in paragraph (b) 
of this section; and
    (4) Have white text set on a blue background with a white border, 
except that the U.S. DOT National Crossing Inventory number may be black 
text set on a white rectangular background.



Sec. 234.311  ENS sign placement and maintenance.

    (a) Number of signs at highway-rail or pathway grade crossing. (1) 
In general. The maintaining railroad, or the railroad appointed pursuant 
to Sec. 234.306(b), for a highway-rail or pathway grade crossing shall 
place and maintain a sign on each approach to the crossing that conforms 
to Sec. 234.309, except as provided in paragraph (a)(2) of this 
section.
    (2) Exceptions. (i) At a farm grade crossing, the responsible 
railroad shall place and maintain a minimum of one sign that conforms to 
Sec. 234.309 at the crossing.
    (ii) At a railroad yard, or a port or dock facility that does not 
meet the definition of ``plant railroad'' in Sec. 234.5, the 
responsible railroad shall place and maintain a minimum of one sign at 
each vehicular entrance to the yard, or the port or dock facility in 
accordance with Sec. 234.309, in lieu of placing signs at each crossing 
within the yard, or the port or dock facility. Each sign must be placed 
so that it is clearly visible to a driver of a motor vehicle located at 
the vehicular entrance to the yard, or the port or dock facility.
    (b) Placement of sign(s). (1) Each sign required by paragraph (a) of 
this section must be located at the crossing, except as provided in 
paragraph (a)(2)(ii) of this section, and maintained by the responsible 
railroad so that the sign--
    (i) Is conspicuous to users of the roadway or pathway by day and 
night;
    (ii) Does not obstruct any other sign or traffic control device at 
the crossing;
    (iii) Does not limit the view of a train approaching the highway-
rail or pathway grade crossing; and
    (iv) If mounted on a post, has supports that are crashworthy (i.e., 
breakaway or yielding).
    (2) A sign placed on the signal bungalow does not comply with 
paragraph (b)(1)(i) of this section.
    (c) Repair or replacement of ENS sign. If an ENS sign required by 
this subpart is discovered by the responsible railroad to be missing, 
damaged, or in any other way unusable to vehicular or pedestrian 
traffic, the responsible railroad shall repair or replace the sign no

[[Page 798]]

later than 30 calendar days from the time of detection.

[77 FR 35191, June 12, 2012, as amended at 78 FR 16423, Mar. 15, 2013]



Sec. 234.313  Recordkeeping.

    (a) In general. Each railroad subject to this subpart shall keep 
records in accordance with this section. Records may be kept either on 
paper forms provided by the railroad or by electronic means in a manner 
that conforms with Sec. 234.315. Each dispatching railroad responsible 
for receiving reports pursuant to Sec. 234.303(a), each third-party 
telephone service responsible for receiving reports pursuant to Sec. 
234.307, and, if applicable, each maintaining railroad shall keep, at a 
minimum, the following information for each report received under this 
subpart:
    (1) The nature of the reported unsafe condition;
    (2) The location of the highway-rail or pathway grade crossing, by 
highway name, if applicable, and the U.S. DOT National Crossing 
Inventory number.
    (3) The time and date of receipt of the report by the railroad;
    (4) If applicable, whether the person who provided the report was a 
railroad employee, law enforcement officer, highway traffic official, or 
other employee of a public agency acting in an official capacity;
    (5) Actions taken by the railroad prior to resolving the reported 
unsafe condition at the grade crossing (e.g., warning train crews, 
notifying the maintaining railroad, or contacting law enforcement or 
other public authorities);
    (6) If the reported unsafe condition is substantiated, actions taken 
by the railroad to remedy the reported unsafe condition, if lawful and 
feasible;
    (7) The time and date when the reported unsafe condition was 
remedied;
    (8) If no remedial action was taken, the reason why; and
    (9) If a dispatching railroad, in accordance with Sec. 234.305, is 
required to contact a maintaining railroad, the time and date when it 
contacted the maintaining railroad.
    (b) Records of credible reports of warning system malfunction. A 
railroad that has maintenance responsibility over warning devices at a 
highway-rail grade crossing and maintains records pursuant to Sec. 
234.109, shall be deemed to comply with the recordkeeping requirements 
of this subpart with regard to credible reports of warning system 
malfunctions.
    (c) Records involving multiple dispatching or maintaining railroads. 
(1) Where multiple railroads dispatch trains through the same highway-
rail or pathway grade crossing and appoint one railroad to receive 
telephonic reports regarding unsafe conditions at such crossings 
pursuant to Sec. 234.306, the appointment must be recorded in writing 
and a copy of the document retained by each railroad for the duration of 
the appointment or for one year, whichever period is longer.
    (2) Where multiple railroads have maintenance responsibility for the 
same highway-rail or pathway grade crossing and they appoint one 
railroad to be responsible for installing and maintaining the ENS 
sign(s) at the crossing pursuant to Sec. 234.306, the appointment must 
be recorded in writing and a copy of the document retained by each 
railroad for the duration of the appointment or for one year, whichever 
period is longer.
    (d) Record retention period; records availability. Each railroad 
shall retain for at least one year (from the latest date of railroad 
activity in response to a report received under this subpart) all 
records referred to in paragraphs (a) and (b) of this section. Records 
required to be kept under this subpart shall be made available to FRA as 
provided by 49 U.S.C. 20107.



Sec. 234.315  Electronic recordkeeping.

    (a) If a railroad subject to this subpart maintains records required 
by this subpart in electronic format in lieu of on paper, the system for 
keeping the electronic records must meet all of the following 
conditions:
    (1) The railroad adequately limits and controls accessibility to the 
records retained in its electronic database system and identifies those 
individuals who have such access;
    (2) The railroad has a terminal at the location designated by the 
railroad as the general office for the railroad system and at each 
division headquarters;

[[Page 799]]

    (3) Each such terminal has a computer 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;
    (4) The railroad has a designated representative who is authorized 
to authenticate retrieved information from the electronic system as a 
true and accurate copy of the electronically kept record; and
    (5) The railroad provides FRA representatives with immediate access 
to the record(s) for inspection and copying during normal business hours 
and provides a printout of such record(s) upon request.
    (b) If a record required by this subpart is in the form of an 
electronic record kept by an electronic recordkeeping system that does 
not comply with paragraph (a) of this section, then the record must be 
kept on paper.



Sec. 234.317  Compliance dates.

    (a) Railroads without an ENS of any kind. If a railroad subject to 
this subpart does not have an ENS of any kind in place on August 13, 
2012, the railroad shall implement an ENS that conforms to this subpart 
no later than September 1, 2015.
    (b) Railroads with nonconforming ENS telephone service. If a 
railroad subject to this subpart already has its own ENS telephone 
service or is using a third-party ENS telephone service, and that 
telephone service does not conform to the requirements in Sec. 234.303 
or Sec. 234.307, respectively, on August 13, 2012, the railroad shall 
comply with this subpart no later than March 1, 2014, pursuant to the 
exceptions in paragraphs (c), (d), and (e) of Sec. 234.317.
    (c) Railroads with ENS signs of nonconforming size. (1) If a 
railroad subject to this subpart already has ENS signs in place, and 
those signs do not conform to the requirements in Sec. 234.309 on 
August 13, 2012, the railroad's ENS signs shall conform to Sec. 234.309 
no later than as required below:
    (i) If the railroad's sign size is greater than or equal to 60 
square inches and the height of the lettering on the sign is greater 
than or equal to \3/4\ inch for the information required in Sec. 
234.309(b)(1) and (b)(3), and greater than or equal to \3/8\ inch for 
the information required in Sec. 234.309(b)(2) on August 13, 2012, the 
railroad may maintain the sign for its useful life.
    (ii) If the railroad's sign size is greater than or equal to 60 
square inches but the height of the lettering is either less than \3/4\ 
inch for the information required in Sec. 234.309(b)(1) and (b)(3), or 
less than \3/8\ inch for the information required in Sec. 234.309(b)(2) 
on August 13, 2012, the railroad's sign must conform to Sec. 234.309 no 
later than September 1, 2017.
    (iii) If the railroad's sign size is less than 60 square inches, 
regardless of the height of the lettering for the information required 
in Sec. 234.309(b), on August 13, 2012, the railroad's sign must 
conform to Sec. 234.309 no later than September 1, 2015.
    (2) If the railroad chooses to replace an ENS sign of non-conforming 
size before the applicable compliance date stated, the railroad shall 
replace that sign with a sign that conforms to Sec. 234.309.
    (d) Railroads with ENS signs having nonconforming placement. If a 
railroad subject to this subpart already has ENS signs in place, and the 
placement of those signs does not conform to the requirements in Sec. 
234.311 on August 13, 2012, the placement of the railroad's ENS signs 
shall conform to Sec. 234.311 no later than September 1, 2017. If a 
railroad changes the placement of the sign before September 1, 2017, the 
placement of the sign must conform to Sec. 234.311. If a railroad 
replaces a sign before September 1, 2017, so that the sign conforms to 
Sec. 234.309, and the placement of that sign does not conform to Sec. 
234.311, the railroad shall also change the placement of the sign so 
that it conforms to Sec. 234.311.
    (e) Railroads with nonconforming ENS recordkeeping. If a railroad 
subject to this subpart already conducts recordkeeping as part of its 
ENS, and that recordkeeping does not conform to Sec. 234.313 or Sec. 
234.315, the railroad's recordkeeping shall conform to Sec. 234.313 or 
Sec. 234.315 no later than March 1, 2014.

[77 FR 35191, June 12, 2012, as amended at 78 FR 16423, Mar. 15, 2013]

[[Page 800]]



     Subpart F_Highway-Rail and Pathway Crossing Inventory Reporting

    Source: 80 FR 786, Jan. 6, 2015, unless otherwise noted.



Sec. 234.401  Definitions.

    As used in this subpart--
    Class I has the meaning assigned by regulations of the Surface 
Transportation Board (49 CFR part 1201; General Instructions 1-1), as 
those regulations may be revised and applied by order of the Board 
(including modifications in class threshold based on revenue deflator 
adjustments).
    Closed crossing means a location where a previous crossing no longer 
exists because either the railroad tracks have been physically removed, 
or each pathway or roadway approach to the crossing has been physically 
removed, leaving behind no intersection of railroad tracks with either a 
pathway or roadway. A grade-separated highway-rail or pathway crossing 
that has been physically removed is also considered a closed crossing.
    Crossing Inventory means the U.S. DOT National Highway-Rail Crossing 
Inventory.
    FRA Associate Administrator means the FRA Associate Administrator 
for Railroad Safety/Chief Safety Officer.
    General railroad system of transportation means the network of 
standard gage track over which goods may be transported throughout the 
nation and passengers may travel between cities and within metropolitan 
and suburban areas.
    General system railroad means a railroad that operates on track 
which is part of the general railroad system of transportation.
    Highway-rail crossing means the location where one or more railroad 
tracks intersect with a public highway, road, street, or private 
roadway, either at-grade or grade-separated, including associated 
sidewalks.
    Inventory Form means the U.S. DOT Crossing Inventory Form (Form FRA 
F 6180.71).
    Inventory Guide means the FRA Guide for Preparing Highway-Rail 
Crossing Inventory Forms in effect at the time of the submission of data 
to the Crossing Inventory.
    Inventory Number means the number assigned to a highway-rail 
crossing or pathway crossing in the Crossing Inventory.
    Operating railroad means any railroad or urban rapid transit 
operator that operates one or more trains through a highway-rail or 
pathway crossing on, or connected to, the general railroad system of 
transportation.
    Pathway crossing means a pathway that:
    (1) Is explicitly authorized by a public authority or a railroad;
    (2) Is dedicated for the use of non-vehicular traffic, including 
pedestrians, bicyclists, and others;
    (3) Is not associated with a public highway, road, or street, or a 
private roadway; and
    (4) Crosses one or more railroad tracks either at grade or grade-
separated.
    Primary operating railroad means the operating railroad that either 
owns or maintains the track through the highway-rail or pathway 
crossing, unless the crossing is located within a private company, port, 
or dock area. If more than one operating railroad either owns or 
maintains the track through the highway-rail or pathway crossing, or if 
no operating railroad owns or maintains the track through the highway-
rail or pathway crossing, then the operating railroad that operates the 
highest number of trains through the crossing is the primary operating 
railroad. In the event that there is only one operating railroad that 
operates one or more trains through a highway-rail or pathway crossing, 
that operating railroad is the primary operating railroad. For highway-
rail and pathway crossings that are located within a private company, 
port, or dock area (``private area''), each railroad that owns track 
leading to the private company, port, or dock area will be considered a 
primary operating railroad for all crossings within the private area if 
a general system railroad operates over the railroad's track leading to 
the private area and through at least one crossing within that area.

[[Page 801]]

    Private crossing means a highway-rail or pathway crossing that is 
not a public crossing.
    Public crossing means a highway-rail or pathway crossing where the 
approaches are under the jurisdiction of and maintained by a public 
authority and open to public travel. All approaches must be under the 
jurisdiction of the public authority and no approach may be on private 
property, unless State law or regulation provides otherwise.
    Temporary crossing means a highway-rail or pathway crossing created 
to serve a specific activity for a temporary time period not to exceed 
six months.

[80 FR 786, Jan. 6, 2015, as amended at 81 FR 37532, June 10, 2015]



Sec. 234.403  Submission of data to the Crossing Inventory, generally.

    (a) Highway-rail and pathway crossing data shall be submitted to the 
Crossing Inventory on the Inventory Form. Except as provided in 
paragraph (c) of this section, the Inventory Form may be submitted in 
hard copy or electronically.
    (b) The Inventory Form, or its electronic equivalent, shall be 
completed in accordance with the Inventory Guide. A copy of this guide 
may be obtained from the Office of Railroad Safety, RRS-23, Federal 
Railroad Administration, 1200 New Jersey Avenue SE., Washington, DC 
20590. A copy of this guide can also be viewed or downloaded from FRA's 
Safety Data Web site under the Forms/Publications tab.
    (c) Each Class I railroad shall submit the data required by 
paragraph (a) of this section to the Crossing Inventory electronically.
    (d) Reporting by State agencies on behalf of operating railroads. A 
State agency may submit crossing data to the Crossing Inventory on 
behalf of an operating railroad. The State agency and the operating 
railroad shall provide written notice to the FRA Associate Administrator 
that the State agency has agreed to submit and update crossing data for 
all of the operating railroad's highway-rail and pathway crossings 
within the state.
    (e) Reporting by the parent corporation on behalf of subsidiary 
railroads. (1) To satisfy the reporting requirements of this section, a 
parent corporation may submit crossing data to the Crossing Inventory on 
behalf of one or more of its subsidiary railroads. The parent 
corporation shall provide written notice to the FRA Associate 
Administrator that it has assumed reporting and updating responsibility 
for all of the subsidiary railroad's highway-rail and pathway crossings. 
The written notification shall include the following:
    (i) A list of all subsidiary railroads for which the parent 
corporation will submit and update highway-rail and pathway crossing 
data;
    (ii) A statement signed by an official of the parent corporation 
affirming that the parent corporation agrees to submit and update all of 
the highway-rail and pathway crossing data for the named subsidiary 
railroad(s); and
    (iii) A statement that the parent corporation agrees to be subject 
to enforcement action for noncompliance with the reporting or updating 
requirements of this subpart.
    (2) The parent corporation shall provide immediate written 
notification to the FRA Associate Administrator of any change in the 
list of subsidiary operating railroads for which it has assumed 
reporting and updating responsibility.
    (3) The parent corporation shall submit the data required by 
paragraph (a) of this section to the Crossing Inventory electronically.

[80 FR 786, Jan. 6, 2015, as amended at 81 FR 37532, June 10, 2015]



Sec. 234.405  Submission of initial data to the Crossing Inventory
for previously unreported crossings.

    (a) Duty of primary operating railroad. (1)(i) With the exception of 
highway-rail and pathway crossings located in a railroad yard, passenger 
station, or within a private company, port, or dock area, each primary 
operating railroad shall assign an Inventory Number to each previously 
unreported highway-rail and pathway crossing through which it operates.
    (ii) A primary operating railroad shall assign one or more Inventory 
Numbers to previously unreported highway-rail and pathway crossings 
through which it operates, which are

[[Page 802]]

located in a railroad yard, passenger station, or within a private 
company, port, or dock area.
    (2) With the exception of highway-rail and pathway crossings that 
are located within a private company, port, or dock area, the primary 
operating railroad shall provide the assigned Inventory Number to each 
operating railroad that operates one or more trains through the 
previously unreported highway-rail or pathway crossing no later than 
January 6, 2016.
    (3) Each primary operating railroad shall submit accurate Inventory 
Forms, or their electronic equivalent, to the Crossing Inventory for the 
previously unreported highway-rail and pathway crossings through which 
it operates, no later than August 9, 2016. The Inventory Form, or its 
electronic equivalent, shall reference the assigned Inventory Number for 
the crossing(s) and shall be completed and submitted consistent with 
Sec. 234.403 and the Inventory Guide.
    (b) Duty of operating railroad when operating railroads operate on 
separate tracks. For each previously unreported highway-rail and pathway 
crossing where operating railroads operate trains on separate tracks 
through the crossing, each operating railroad (other than the primary 
operating railroad) shall submit accurate crossing data specified in the 
Inventory Guide to the Crossing Inventory no later than August 9, 2016. 
The Inventory Form, or its electronic equivalent, which contains this 
crossing data shall reference the Inventory Number assigned to the 
crossing by the primary operating railroad and shall be completed and 
submitted in accordance with Sec. 234.403.
    (c) Duty of all operating railroads. Unless a written certification 
statement has been provided by the primary operating railroad in 
accordance with paragraph (d) of this section, each operating railroad, 
other than the primary operating railroad, that operates through a 
previously unreported highway-rail or pathway crossing (except a 
temporary crossing) for which a completed Inventory Form, or its 
electronic equivalent, has not been submitted to the Crossing Inventory 
in accordance with paragraph (a) of this section shall notify the FRA 
Associate Administrator in writing of this oversight. Written 
notification provided by the operating railroad shall include, at a 
minimum, the latitudinal and longitudinal coordinates for each 
previously unreported highway-rail or pathway crossing for which a 
completed Inventory Form, or its electronic equivalent, has not been 
submitted to the Crossing Inventory in accordance with paragraph (a) of 
this section.
    (d) State-maintained crossing data. If a primary operating railroad 
requests State-maintained crossing data from the appropriate State 
agency responsible for maintaining highway-rail and pathway crossing 
data, the primary operating railroad may send a copy of its written 
request for State-maintained crossing data to the FRA Associate 
Administrator and to each operating railroad that operates through the 
crossing. FRA will consider the written request to be an affirmative 
defense to potential liability for failure to timely submit an accurate 
Inventory Form, or its electronic equivalent, as required by paragraph 
(a)(3) of this section if the primary operating railroad:
    (1) Provides a copy of its written request for State-maintained 
crossing data to the FRA Associate Administrator and to each operating 
railroad that operates through the crossing; and
    (2) Submits the requested State-maintained crossing data to the 
Crossing Inventory within 60 days of receipt.

[80 FR 786, Jan. 6, 2015, as amended at 81 FR 37532, June 10, 2015]



Sec. 234.407  Submission of initial data to the Crossing Inventory 
for new crossings.

    (a) Duty of primary operating railroad. (1)(i) With the exception of 
highway-rail and pathway crossings that are located in a railroad yard, 
a passenger station, or within a private company, port, or dock area, 
each primary operating railroad shall assign an Inventory Number to each 
new highway-rail and pathway crossing through which it operates.
    (ii) A primary operating railroad shall assign one or more Inventory 
Numbers to new highway-rail and pathway crossings through which it 
operates, which are located in a railroad

[[Page 803]]

yard, passenger station, or within a private company, port, or dock 
area.
    (iii) An Inventory Number shall not be assigned to a temporary 
crossing, nor shall an Inventory Form be submitted to the Crossing 
Inventory for a temporary crossing.
    (2) With the exception of highway-rail and pathway crossings that 
are located within a private company, port, or dock area, the primary 
operating railroad shall provide the assigned Inventory Number to each 
operating railroad that operates one or more trains through the new 
highway-rail or pathway crossing no later than four (4) months after the 
crossing becomes operational or January 6, 2016, whichever occurs later.
    (3) Each primary operating railroad shall submit accurate Inventory 
Forms, or their electronic equivalent, to the Crossing Inventory for new 
highway-rail and pathway crossings through which it operates, no later 
than six (6) months after the crossing becomes operational. The 
Inventory Form, or its electronic equivalent, shall reference the 
assigned Inventory Number for the crossing(s) and shall be completed and 
submitted in accordance with Sec. 234.403.
    (b) Duty of Operating Railroad when operating railroads operate on 
separate tracks. For each new highway-rail and pathway crossing where 
operating railroads operate trains on separate tracks through the 
crossing, each operating railroad shall submit accurate crossing data 
specified in the Inventory Guide to the Crossing Inventory no later than 
six (6) months after the crossing becomes operational. The Inventory 
Form, or its electronic equivalent, which contains this crossing data 
shall reference the Inventory Number assigned to the crossing by the 
primary operating railroad and shall be completed and submitted 
consistent with Sec. 234.403 and the Inventory Guide.
    (c) Duty of all operating railroads. Unless a written certification 
statement has been provided by the primary operating railroad in 
accordance with paragraph (d) of this section, each operating railroad, 
other than the primary operating railroad, that operates through a new 
highway-rail or pathway crossing (except a temporary crossing) for which 
a completed Inventory Form, or its electronic equivalent, has not been 
submitted to the Crossing Inventory in accordance with paragraph (a) of 
this section shall notify the FRA Associate Administrator in writing of 
this oversight. Written notification provided by the operating railroad 
shall include, at a minimum, the latitudinal and longitudinal 
coordinates for each new and unreported highway-rail or pathway crossing 
for which a completed Inventory Form, or its electronic equivalent, has 
not been submitted to the Crossing Inventory in accordance with 
paragraph (a) of this section.
    (d) State-maintained crossing data. If a primary operating railroad 
requests State-maintained crossing data from the appropriate State 
agency responsible for maintaining highway-rail and pathway crossing 
data, the primary operating railroad may send a copy of its written 
request for State-maintained crossing data to the FRA Associate 
Administrator and to each operating railroad that operates through the 
crossing. FRA will consider the written request to be an affirmative 
defense to potential liability for failure to timely submit an accurate 
Inventory Form, or its electronic equivalent, as required by paragraph 
(a)(3) of this section if the primary operating railroad:
    (1) Provides a copy of its written request for State-maintained 
crossing data to the FRA Associate Administrator and to each operating 
railroad that operates through the crossing no later than six (6) months 
after the crossing becomes operational; and
    (2) Submits the requested State-maintained crossing data to the 
Crossing Inventory within 60 days of receipt.

[80 FR 786, Jan. 6, 2015, as amended at 81 FR 37533, June 10, 2015]



Sec. 234.409  Submission of periodic updates to the Crossing 
Inventory.

    (a) Duty of primary operating railroad. Each primary operating 
railroad shall submit up-to-date and accurate crossing data to the 
Crossing Inventory for each highway-rail and pathway crossing (except 
for a grade-separated or

[[Page 804]]

closed highway-rail or pathway crossing) through which it operates, 
consistent with the Inventory Guide. Updated crossing data shall be 
submitted to the Crossing Inventory at least every three (3) years from 
the date of the most recent submission of data by the primary operating 
railroad (or on behalf of the primary operating railroad) for the 
crossing or August 9, 2016, whichever occurs later. For hard-copy 
submissions to Crossing Inventory, this three-year period shall be 
measured from mailing date of the most recent submission of data by the 
primary operating railroad (or on behalf of the primary operating 
railroad).
    (b) Duty of operating railroad when operating railroads operate on 
separate tracks. For each highway-rail and pathway crossing where 
operating railroads operate trains on separate tracks through the 
crossing, each operating railroad shall submit up-to-date and accurate 
crossing data for certain specified data fields on the Inventory Form, 
or its electronic equivalent, to the Crossing Inventory at least every 
three (3) years from the date of the most recent submission of data by 
that operating railroad (or on behalf of that operating railroad) for 
the crossing or August 9, 2016, whichever occurs later. For hard-copy 
submissions to Crossing Inventory, this three-year period shall be 
measured from mailing date of the most recent submission of data by the 
operating railroad (or on behalf of the operating railroad). The 
Inventory Form, or its electronic equivalent, shall be completed and 
submitted consistent with Sec. 234.403 and the Inventory Guide.

[81 FR 37533, June 10, 2016]



Sec. 234.411  Changes requiring submission of updated information
to the Crossing Inventory.

    (a) Crossing sale. (1) If a railroad that is not a primary operating 
railroad sells all or part of a highway-rail or pathway crossing on or 
after June 10, 2016, it shall report the crossing sale to the primary 
operating railroad within three (3) months of the date of sale.
    (2) If the primary operating railroad:
    (i) Sells all or part of a highway-rail or pathway crossing on or 
after June 10, 2016 for which it has reporting and updating 
responsibility under this subpart; or
    (ii) Is notified of the sale of all or part of a highway-rail or 
pathway crossing on or after June 10, 2016 under paragraph (a)(1) of 
this section, then the primary operating railroad shall submit an 
Inventory Form, or its electronic equivalent, which reflects the 
crossing sale to the Crossing Inventory consistent with Sec. 234.403 
and the Inventory Guide within three (3) months of the date of sale or 
three months of notification, respectively.
    (b) Crossing closure. The primary operating railroad shall report 
the closure of any highway-rail or pathway crossing that occurs on or 
after June 10, 2016 to the Crossing Inventory within three (3) months of 
the date on which the crossing is closed. The primary operating railroad 
shall submit an Inventory Form, or its electronic equivalent, that 
reflects closure of the crossing to the Crossing Inventory consistent 
with Sec. 234.403 and the Inventory Guide.
    (c) Changes in crossing characteristics. (1) The primary operating 
railroad shall report any change in crossing surface or change in 
warning device at a public highway-rail grade crossing that occurs on or 
after June 10, 2016 to the Crossing Inventory within three (3) months of 
the date of the change. The primary operating railroad shall submit an 
Inventory Form, or its electronic equivalent, that reflects up-to-date 
and accurate crossing data for the crossing (including the change in 
crossing surface or change in warning device) to the Crossing Inventory 
consistent with Sec. 234.403 and the Inventory Guide.
    (2) For purposes of this subpart, a ``change in warning device'' 
means the addition or removal of a crossbuck, yield or stop sign, 
flashing lights, or gates at a public highway-rail grade crossing. The 
installation of a crossbuck, yield or stop sign, flashing lights, or 
gates that will be in place for less than six months does not constitute 
a ``change in warning device'' for purposes of this subpart.

[81 FR 37533, June 10, 2016]

[[Page 805]]



Sec. 234.413  Recordkeeping.

    (a) Each railroad subject to this subpart shall keep records in 
accordance with this section. Records may be kept either on paper or by 
electronic means in a manner that conforms with Sec. 234.415.
    (b) Each operating railroad, including the primary operating 
railroad, responsible for submitting information to the Crossing 
Inventory in accordance with this subpart shall, at a minimum, maintain 
the following information for each required Inventory Form:
    (1) A duplicate copy of each Inventory Form submitted in hard copy 
to the Crossing Inventory; or
    (2) A copy of the electronic confirmation received from FRA after 
electronic submission of crossing data to the Crossing Inventory.
    (c) Each railroad shall identify the locations where a copy of any 
record required to be retained by this subpart 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.
    (d) Each operating railroad shall retain for at least four (4) years 
from the date of submission to the Crossing Inventory all records 
referred to in paragraphs (a) and (b) of this section. Records required 
to be kept under this subpart shall be made available to FRA as provided 
by 49 U.S.C. 20107.



Sec. 234.415  Electronic recordkeeping.

    (a) If a railroad subject to this subpart maintains records required 
by this subpart in electronic format in lieu of paper, the system for 
keeping the electronic records must meet all of the following 
conditions:
    (1) The railroad adequately limits and controls accessibility to the 
records retained in its electronic database system and identifies those 
individuals who have such access;
    (2) The railroad has a terminal at the office where the railroad's 
reporting officer conducts his or her official business and at each 
location designated by the railroad as having a copy of any record 
required to be retained by this subpart that is accessible for 
inspection and photocopying;
    (3) Each such terminal has a computer and either a facsimile machine 
or a printer connected to a computer to retrieve and produce information 
in a usable format for immediate review by FRA representatives;
    (4) The railroad has a designated representative who is authorized 
to authenticate retrieved information from the electronic system as a 
true and accurate copy of the electronically kept record; and
    (5) The railroad provides FRA representatives with immediate access 
to the record(s) for inspection and copying during normal business hours 
and provides a printout of such record(s) upon request.
    (b) If a record required by this subpart is in the form of an 
electronic record kept by an electronic recordkeeping system that does 
not comply with paragraph (a) of this section, then the record must be 
kept on paper in accordance with the recordkeeping requirements 
contained in Sec. 234.413.



      Sec. 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.........................

[[Page 806]]

 
            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 replacement        2,500        5,000
     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 cable        1,000        2,000
    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
    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-emption        1,000        2,000
    234.263 Relays............................        1,000        2,000
    234.265 Timing relays and timing devices..        1,000        2,000
    234.267 Insulation resistance tests, wires        2,500        5,000
     in trunking and cables...................
    234.269 Cut-out circuits..................        1,000        2,000
    234.271 Insulated rail joints, bond wires,        2,500        5,000
     and track connections....................
    234.273 Results of tests..................        1,000        2,000
    234.275 Processor-Based Systems...........       $5,000       $7,500
 
Subpart E--Emergency Notification Systems for
 Telephonic Reporting of Unsafe Conditions at
 Highway-Rail and Pathway Grade Crossings
 234.303 Emergency notification systems (ENS)
 for telephonic reporting of unsafe conditions
 at highway-rail and pathway grade crossings:
    (a) Dispatching railroad fails to                15,000       25,000
     establish and maintain a toll-free
     telephone service by which the railroad
     can directly and promptly receive
     telephone calls (calls) from the public
     of reports of unsafe conditions at
     crossings................................
    (a)(1) Dispatching railroad fails to have        10,000       15,000
     either a live person answer calls
     directly and promptly, or use an
     automated answering system or third-party
     telephone service for receiving calls
     from the public of reports of unsafe
     conditions at crossings..................
    (a)(2) Dispatching railroad improperly           10,000       15,000
     uses an automated answering system.......
    (b)(1)-(2) Excepted dispatching railroad          5,000        7,500
     improperly uses answering machine to
     receive calls of unsafe conditions at
     crossings................................
    (b)(2) Excepted dispatching railroad fails        5,000        7,500
     to use proper method to receive calls of
     unsafe conditions at crossings during
     either operational or non-operational
     hours....................................

[[Page 807]]

 
    (e) Dispatching railroad improperly uses          5,000        7,500
     local telephone number to receive calls
     of unsafe conditions at crossings........
 234.305 Remedial actions in response to
 reports of unsafe conditions at highway-rail
 and pathway grade crossings:
Response to credible report of warning system
 malfunction at a highway-rail grade crossing.
    (a)(1) Maintaining railroad fails under           5,000        7,500
     subpart C to follow subpart C of this
     part \2\.................................
    (a)(2)(i) Dispatching railroad fails to           5,000        7,500
     promptly contact all trains authorized to
     operate through the crossing and inform
     them of the reported malfunction.........
    (ii) Dispatching railroad fails to                5,000        7,500
     promptly contact the maintaining railroad
     and inform it of the reported malfunction
Response to public report of warning system
 malfunction at a highway-rail grade crossing.
    (b)(1)(i) Railroad with both maintaining          5,000        7,500
     and dispatching responsibilities fails to
     promptly contact all trains authorized to
     operate through the crossing and inform
     them of the reported malfunction.........
    (ii) Railroad with both maintaining and           5,000        7,500
     dispatching responsibilities fails to
     promptly contact the appropriate law
     enforcement agency and inform it of the
     reported malfunction.....................
    (iii) Railroad with both maintaining and          5,000        7,500
     dispatching responsibilities fails to
     promptly investigate the report,
     determine the nature of the malfunction,
     and take the appropriate remedial action.
    (b)(2)(i) Railroad with only dispatching          5,000        7,500
     responsibility fails to promptly contact
     all trains authorized to operate through
     the crossing and inform them of the
     reported malfunction.....................
    (ii) Railroad with only dispatching               5,000        7,500
     responsibility fails to promptly contact
     the appropriate law enforcement agency
     and inform it of the reported malfunction
    (iii) Railroad with only dispatching              5,000        7,500
     responsibility fails to promptly contact
     the maintaining railroad and inform it of
     the reported malfunction.................
    (iv) Maintaining railroad fails to                5,000        7,500
     promptly investigate the report,
     determine the nature of the malfunction,
     and take the appropriate remedial action.
Response to report of warning system failure
 at a pathway grade crossing.
    (c)(1)(i) Railroad with both maintaining          5,000        7,500
     and dispatching responsibilities fails to
     promptly contact all trains authorized to
     operate through the crossing and inform
     them of the reported failure.............
    (ii) Railroad with both maintaining and           5,000        7,500
     dispatching responsibilities fails to
     promptly contact the appropriate law
     enforcement agency and inform it of the
     reported failure.........................
    (iii) Railroad with both maintaining and          5,000        7,500
     dispatching responsibilities fails to
     promptly investigate the report,
     determine the nature of the failure, and
     without undue delay repair the active
     warning system if necessary..............
(c)(2)(i) Railroad with only dispatching              5,000        7,500
 responsibility fails to promptly contact all
 trains authorized to operate through the
 crossing and inform them of the reported
 failure......................................
    (ii) Railroad with only dispatching               5,000        7,500
     responsibility fails to promptly contact
     the appropriate law enforcement agency
     and inform it of the reported failure....
    (iii) Railroad with only dispatching              5,000        7,500
     responsibility fails to promptly contact
     the maintaining railroad and inform it of
     the reported failure.....................
    (iv) Maintaining railroad fails to                5,000        7,500
     promptly investigate the report,
     determine the nature of the failure, and
     without undue delay repair the active
     warning system if necessary..............
Response to report of a disabled vehicle or
 other obstruction blocking a railroad track
 at a highway-rail or pathway grade crossing.
    (d)(1)(i) Railroad with both maintaining          5,000        7,500
     and dispatching responsibilities fails to
     promptly contact all trains authorized to
     operate through the crossing and inform
     them of the reported obstruction.........
    (ii) Railroad with both maintaining and           5,000        7,500
     dispatching responsibilities fails to
     promptly contact the appropriate law
     enforcement agency and inform it of the
     reported obstruction.....................
    (iii) Railroad with both maintaining and          5,000        7,500
     dispatching responsibilities fails to
     promptly investigate the report,
     determine the nature of the obstruction,
     and without undue delay take the
     necessary action to have the obstruction
     removed..................................
    (d)(2)(i) Railroad with only dispatching          5,000        7,500
     responsibility fails to promptly contact
     all trains authorized to operate through
     the crossing and inform them of the
     reported obstruction.....................
    (ii) Railroad with only dispatching               5,000        7,500
     responsibility fails to promptly contact
     the appropriate law enforcement agency
     and inform it of the reported obstruction
    (iii) Railroad with only dispatching              5,000        7,500
     responsibility fails to promptly contact
     the maintaining railroad and inform it of
     the reported obstruction.................
    (iv) Maintaining railroad fails to                5,000        7,500
     promptly investigate the report,
     determine the nature of the obstruction,
     and without undue delay take the
     necessary action to have the obstruction
     removed..................................
Special rule on contacting a train that is not
 required to have communication equipment.
    (e) Having received a report pursuant to          5,000        7,500
     Sec. 234.303(c)(1), (c)(2), (d)(1), or
     (d)(2), railroad fails to promptly
     contact the occupied controlling
     locomotive of the train by the quickest
     means available consistent with Sec.
     220.13(a) of this chapter................
Response to report of an obstruction of view
 at a highway-rail or pathway grade crossing.
    (f)(1) Railroad with both maintaining and         5,000        7,500
     dispatching responsibilities fails to
     timely investigate the report and remove
     the obstruction if it is lawful and
     feasible to do so........................
    (f)(2)(i) Railroad with only dispatching          5,000        7,500
     responsibility fails to promptly contact
     the maintaining railroad.................

[[Page 808]]

 
    (ii) Maintaining railroad fails to timely         5,000        7,500
     investigate the report and remove the
     obstruction if it is lawful and feasible
     to do so.................................
Response to report of other unsafe condition
 at a highway-rail or pathway grade crossing.
    (g)(1) Railroad with both maintaining and         5,000        7,500
     dispatching responsibilities fails to
     timely investigate the report, and timely
     correct the unsafe condition if it is
     lawful and feasible to do so.............
    (g)(2) Railroad with only dispatching             5,000        7,500
     responsibility fails to promptly contact
     the maintaining railroad.................
    (g)(3) Maintaining railroad fails to              5,000        7,500
     timely investigate the report, and timely
     correct the unsafe condition if it is
     lawful and feasible to do so.............
Maintaining railroad's responsibilities for
 receiving reports of unsafe conditions at
 highway-rail and pathway grade crossings.
    (h)(1)(i) Maintaining railroad fails to           5,000        7,500
     provide sufficient contact information to
     dispatching railroad, by which the
     dispatching railroad may timely contact
     the maintaining railroad upon receipt of
     a report.................................
    (ii) Maintaining railroad fails either to        10,000       15,000
     have a live person answer calls directly
     and promptly, or to use an automated
     answering system for receiving calls from
     the dispatching railroad of a report of
     an unsafe condition......................
    (iii) Dispatching railroad improperly uses       10,000       15,000
     an automated answering system............
    (h)(2)(i)-(ii) Excepted maintaining               5,000        7,500
     railroad fails to use proper method to
     receive calls of unsafe conditions at
     crossings during operational or non-
     operational hours........................
 234.306 Multiple dispatching or maintaining
 railroads with respect to the same highway-
 rail or pathway grade crossing; appointment
 of responsible railroad:
    (a)(1) Each of the dispatching railroads         10,000       15,000
     for the crossing fails to appoint a
     primary dispatching railroad for the
     crossing.................................
    (a)(1)(i)-(iv) The primary dispatching            5,000        7,500
     railroad for the crossing fails to carry
     out one of the prescribed duties.........
    (a)(2) Another pertinent dispatching              5,000        7,500
     railroad for the crossing fails to carry
     out remedial action as required by Sec.
     234.305..................................
    (b)(1) Each of the maintaining railroads          5,000        7,500
     for the crossing fails to appoint one
     maintaining railroad responsible for the
     placement and maintenance of the ENS
     sign(s)..................................
    (b)(2) The assigned maintaining railroad          5,000        7,500
     in Sec. 234.306(b)(1) fails to display
     on the ENS sign(s) the emergency
     telephone number of the dispatching
     railroad or primary dispatching railroad
     for the crossing.........................
    (c)(1) The dispatching railroad or primary        5,000        7,500
     dispatching railroad fails to promptly
     contact and inform the appropriate
     maintaining railroad(s) for the crossing
     of the reported problem..................
    (c)(2) The maintaining railroad fails to         10,000       15,000
     carry out remedial action as required by
     Sec. 234.305...........................
 234.307 Use of third-party telephone service
 by dispatching and maintaining railroads \3\:
    (a)(1) Dispatching railroad improperly           10,000       15,000
     uses third-party telephone service.......
    (a)(2) Dispatching railroad fails to             10,000       15,000
     ensure third-party telephone service
     compliance with Sec. 234.307...........
    (b)(1) Maintaining railroad improperly           10,000       15,000
     uses third-party telephone service.......
    (b)(2) Maintaining railroad fails to             10,000       15,000
     ensure third-party telephone service
     compliance with Sec. 234.307...........
    (d)(1) Railroad fails to provide                  2,500        5,000
     sufficient contact information to third-
     party telephone service..................
    (d)(2)(i) Railroad fails to inform FRA in         2,500        5,000
     writing before the implementation of a
     third-party telephone service............
    (ii) Railroad fails to provide FRA with           2,500        5,000
     contact information for the third-party
     telephone service........................
    (iii) Railroad fails to provide FRA with          2,500        5,000
     information identifying the crossings
     about which the third-party telephone
     service will receive reports.............
    (d)(3) Railroad fails to inform FRA in            2,500        5,000
     writing within 30 days following any
     changes in the use of, or the
     discontinuance of, third-party telephone
     service..................................
    (d)(4) \4\ Dispatching or maintaining
     railroad fails to take appropriate action
     required by Sec. 234.305.
    (e) \5\ Railroad fails to ensure third-
     party telephone service compliance with
     Sec. 234.313 or Sec. 234.315, as
     applicable.
 234.309 ENS signs in general:
    (a) Dispatching railroad fails to provide         2,500        5,000
     ENS telephone number to the maintaining
     railroad a minimum of 180 days prior to
     the required implementation date of the
     ENS......................................
    (b)(1)-(3) \6\ Responsible railroad fails         5,000        7,500
     to display minimum required information
     on ENS sign..............................
    (c)(1)-(4) \7\ Responsible railroad fails         5,000        7,500
     to display ENS sign that meets size and
     other physical requirements..............
 234.311 ENS sign placement and maintenance:
    (a)(1)-(2) Responsible railroad fails to          5,000        7,500
     place and maintain required number of
     sign(s) at the crossing or entrance(s) to
     facility.................................
    (b)(1)-(2) Responsible railroad fails to          5,000        7,500
     properly locate and maintain the sign(s)
     at the crossing..........................
 234.313 Recordkeeping:
    (a)(1)-(9) Railroad fails to maintain in          2,500        5,000
     its records the minimum information
     required for each ENS report received....

[[Page 809]]

 
    (c)(1)-(2) Responsible railroad(s) fail(s)        2,500        5,000
     to record in writing an appointment of a
     railroad, pursuant to Sec. 234.306, or
     properly retain a copy of the document...
    (d)(1) Railroad fails to properly retain          2,500        5,000
     records..................................
    (d)(2) Railroad fails to provide FRA              2,500        5,000
     access to records........................
 234.315 Electronic recordkeeping:
    (a)-(b) Railroad fails to comply with             2,500        5,000
     electronic recordkeeping requirements....
Subpart F--Highway-Rail and Pathway Crossing
 Inventory Reporting
 
Sec. 234.403 Submission of data to the
 Crossing Inventory:
    (b) Failure to complete Inventory Form (or       $1,000       $2,000
     electronic equivalent) in accordance with
     the Inventory Guide......................
    (c) Class I railroad failure to submit            1,000        2,000
     crossing data to the Crossing Inventory
     electronically...........................
Sec. 234.405 Submission of initial data to
 the Crossing Inventory for previously
 unreported crossings
    (a) Primary operating railroad failure to         2,500        5,000
     timely submit an accurate Inventory Form
     (or electronic equivalent) to the
     Crossing Inventory for previously
     unreported crossing......................
    (b) Operating railroad failure to timely          2,500        5,000
     submit accurate partial crossing data to
     the Crossing Inventory for previously
     unreported crossing......................
    (c) Operating railroad failure to provide         1,000        2,000
     written notification to FRA that the
     primary operating railroad failed to
     timely report previously unreported
     crossing.................................
Sec. 234.407 Submission of initial data to
 the Crossing Inventory for new crossings:
    (a) Primary operating railroad failure to         2,500        5,000
     timely submit an accurate Inventory Form
     (or electronic equivalent) to the
     Crossing Inventory for new crossing......
    (b) Operating railroad failure to timely          2,500        5,000
     submit accurate partial crossing data to
     the Crossing Inventory for new crossing..
    (c) Operating railroad failure to provide         1,000        2,000
     written notification to FRA that the
     primary operating railroad failed to
     timely report new crossing...............
Sec. 234.409 Submission of periodic updates
 to the Crossing Inventory:
    (a) Primary operating railroad failure to         2,500        5,000
     timely submit up-to-date and accurate
     crossing data to the Crossing Inventory
     for highway-rail or pathway crossing.....
    (b) Operating railroad failure to timely          2,500        5,000
     submit up-to-date and accurate partial
     crossing data to the Crossing Inventory
     for highway-rail or pathway crossing.....
Sec. 234.411 Changes requiring submission of
 updated information to the Crossing
 Inventory:
    (a) Failure to timely report crossing sale        2,500        5,000
     to the Crossing Inventory................
    (b) Primary operating railroad failure to         2,500        5,000
     timely report crossing closure to the
     Crossing Inventory.......................
    (c) Primary operating railroad failure to         2,500        5,000
     timely submit up-to-date and accurate
     crossing data to the Crossing Inventory
     after change in crossing characteristics.
Sec. 234.413 Recordkeeping..................        1,000        2,000
Sec. 234.415 Electronic Recordkeeping.......        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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. To facilitate the assessment of penalty
  amounts, the specific types of violations of a given section are
  sometimes designated by the paragraph of the section (e.g., ``(a)'')
  and a code not corresponding to the legal citation for the violation
  (e.g., ``(1)''), so that the complete citation in the penalty schedule
  is e.g., ``(a)(1).'' FRA reserves the right to revise the citation of
  the violation in the Summary of Alleged Violations issued by FRA in
  the event of litigation.
\2\ Either this section or the parallel section of subpart C of this
  part may be cited, but not both.
\3\ FRA does not plan to assess civil penalties against a third-party
  telephone service, under Sec. 234.307(c) or (e). However, FRA plans
  to assess violations against the dispatching and maintaining railroads
  for failing to ensure that the third-party telephone service complies
  with the requirements of Sec. Sec. 234.307, 234.313, or 234.315, if
  applicable. See Sec. 234.307(a), (b), (e).
\4\ For a violation of Sec. 234.307(d)(4), a penalty should be
  assessed for the specific type of violation according to the penalty
  schedule for a violation of Sec. 234.305.
\5\ For a violation of Sec. 234.307(e) pertaining to recordkeeping, a
  penalty should be assessed for the specific type of violation in the
  penalty schedule for a violation of Sec. Sec. 234.313 or 234.315,
  as applicable.
\6\ FRA reserves the right to cite a violation for each item of required
  information omitted from a sign.
\7\ FRA reserves the right to cite a violation for each physical
  characteristic that is nonconforming.


[61 FR 31806, June 20, 1996, as amended at 63 FR 11623, Mar. 10, 1998; 
69 FR 30595, May 28, 2004; 70 FR 11094, Mar. 7, 2005; 73 FR 76704, Dec. 
30, 2008; 77 FR 24422, Apr. 24, 2012; 80 FR 786, Jan. 6, 2015; 80 FR 
30364, May 28, 2015; 81 FR 37534, June 10, 2016; 81 FR 43111, July 1, 
2016]



 Sec. 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.

[[Page 810]]

 
 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.
235.6 Expedited application for approval of certain changes.
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; 28 U.S.C. 2461, note; and 49 CFR 
1.89.

    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 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. 235.6  Expedited application for approval of certain changes.

    (a) Qualifying changes. A railroad may seek approval under this 
section, instead of under Sec. Sec. 235.5 and 235.9-235.20 of this 
chapter for the following changes:
    (1) Modification of a signal system consisting of the installation, 
relocation, or removal of one or more signals, interlocked switches, 
derails, movable-point frogs, or electric locks in an existing system 
directly associated with the implementation of positive train control 
pursuant to subpart I of part 236 of this chapter, if the modification 
does not include the discontinuance or decrease of limits of a signal or 
train control system.
    (2) [Reserved]
    (b) Procedure of expedited application. (1) To seek approval under 
this section, a railroad shall provide a notice and profile plan for the 
proposed modification to the FRA Regional Administrator having 
jurisdiction over the affected territory.

[[Page 811]]

    (2) Simultaneously with its filing with the FRA Regional 
Administrator, the railroad shall serve, either by hard copy or 
electronically, a copy of the notice and profile plan to representatives 
of employees responsible for maintenance, inspection, and testing of the 
affected signal system under part 236 of this chapter, as well as 
representatives of employees responsible for operating trains or 
locomotives in the affected territory.
    (3) The railroad shall include in its submission to the FRA Regional 
Administrator a statement affirming that the railroad has complied with 
the requirements of paragraph (b)(2) of this section, together with a 
list of the names and addresses of the persons served.
    (4) In response to receipt of a notice and profile plan under 
paragraph (b)(1) of this section, the Regional Administrator shall in 
writing deny or approve, in full or in part, and with or without 
conditions, the request for signal system modification. For any portion 
of the request that is denied, the Regional Administrator shall refer 
the issue to the Railroad Safety Board as an application to modify the 
signal system.
    (5) A railroad may rescind its application to the Regional 
Administrator and submit an application under Sec. Sec. 235.5 and 
235.9-235.20 of this chapter at any time prior to the decision of the 
Regional Administrator.
    (c) The resultant arrangement of any change under this section shall 
comply with part 236 of this chapter.

[79 FR 49715, Aug. 22, 2014]



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 6 months of block signal 
system, interlocking, or traffic control system necessitated by 
catastrophic occurrence such as derailment, flood, fire, or hurricane; 
or
    (5) Removal of an intermittent automatic train stop system in 
conjunction with the implementation of a positive train control system 
approved by FRA under subpart I of part 236 of this chapter.
    (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, or signal used in lieu 
thereof, from hand-operated switch in automatic block signal or traffic 
control territory where train speed over the switch does not exceed 20 
miles per hour; or
    (3) Removal of electric or mechanical lock, or signal used in lieu 
thereof, 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);

[[Page 812]]

    (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, 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 grade crossing separation construction. 
Temporary arrangements shall be removed within

[[Page 813]]

6 months following completion of construction.

[49 FR 3380, Jan. 26, 1984, as amended at 61 FR 33873, July 1, 1996; 75 
FR 2698, Jan. 15, 2010]



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 an 
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; 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 $839 and not more than $27,455 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 $109,819 
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, as amended at 69 FR 30595, May 28, 2004; 72 
FR 51197, Sept. 6, 2007; 73 FR 79704, Dec. 30, 2008; 77 FR 24422, Apr. 
24, 2012; 81 FR 43112, July 1, 2016]



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

[[Page 814]]

    (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 application and correspondence in reference thereto should 
be addressed to the Associate Administrator for Safety, Federal Railroad 
Administration, Washington, DC 20590.
    (c) A separate application shall be filed for each project.
    (d) 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.
    (e) 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)

[49 FR 3380, Jan. 26, 1984, as amended at 74 FR 25174, May 27, 2009]



Sec. 235.14  Notice.

    The FRA will publish notice of the filing of an application or a 
request for reconsideration of an application in the Federal Register 
and a copy of such notice will be available at the U.S. Department of 
Transportation, Docket Operations (M-30), West Building Ground Floor, 
Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590, and on 
the Federal Docket Management System's Web site at http://
www.regulations.gov.

[64 FR 70195, Dec. 16, 1999, as amended at 74 FR 25174, May 27, 2009]



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) Protests 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.

[49 FR 3380, Jan. 26, 1984, as amended at 74 FR 25174, May 27, 2009]

    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.



      Sec. 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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[[Page 815]]


[53 FR 52936, Dec. 29, 1988, as amended at 69 FR 62818, Oct. 28, 2004; 
77 FR 24422, Apr. 24, 2012; 81 FR 43112, July 1, 2016]



 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 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.
236.18 Software management control plan.

                     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.

[[Page 816]]

                         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.

                          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.

[[Page 817]]

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.
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.

[[Page 818]]

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.
236.787a Railroad.
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.
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.

Subpart H_Standards for Processor-Based Signal and Train Control Systems

236.901 Purpose and scope.
236.903 Definitions.
236.905 Railroad Safety Program Plan (RSPP).
236.907 Product Safety Plan (PSP).
236.909 Minimum performance standard.
236.911 Exclusions.
236.913 Filing and approval of PSPs.
236.915 Implementation and operation.
236.917 Retention of records.
236.919 Operations and Maintenance Manual.
236.921 Training and qualification program, general.
236.923 Task analysis and basic requirements.
236.925 Training specific to control office personnel.
236.927 Training specific to locomotive engineers and other operating 
          personnel.
236.929 Training specific to roadway workers.

                Subpart I_Positive Train Control Systems

236.1001 Purpose and scope.
236.1003 Definitions.
236.1005 Requirements for Positive Train Control systems.
236.1006 Equipping locomotives operating in PTC territory.
236.1007 Additional requirements for high-speed service.
236.1009 Procedural requirements.
236.1011 PTC Implementation Plan content requirements.
236.1013 PTC Development Plan and Notice of Product Intent content 
          requirements and Type Approval.
236.1015 PTC Safety Plan content requirements and PTC System 
          Certification.
236.1017 Independent third party Verification and Validation.

[[Page 819]]

236.1019 Main line track exceptions.
236.1020 [Reserved]
236.1021 Discontinuances, material modifications, and amendments.
236.1023 Errors and malfunctions.
236.1025 [Reserved]
236.1027 PTC system exclusions.
236.1029 PTC system use and failures.
236.1031 Previously approved PTC systems.
236.1033 Communications and security requirements.
236.1035 Field testing requirements.
236.1037 Records retention.
236.1039 Operations and Maintenance Manual.
236.1041 Training and qualification program, general.
236.1043 Task analysis and basic requirements.
236.1045 Training specific to office control personnel.
236.1047 Training specific to locomotive engineers and other operating 
          personnel.
236.1049 Training specific to roadway workers.

Appendix A to Part 236--Civil Penalties
Appendix B to Part 236--Appendix B to Part 236--Risk Assessment Criteria
Appendix C to Part 236--Safety Assurance Criteria and Processes
Appendix D to Part 236--Independent Review of Verification and 
          Validation
Appendix E to Part 236--Human-Machine Interface (HMI) Design
Appendix F to Part 236--Minimum Requirements of FRA Directed Independent 
          Third-Party Assessment of PTC System Safety Verification and 
          Validation

    Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20157, 20301-
20303, 20306, 20701-20703, 21301-21302, 21304; 28 U.S.C. 2461, note; and 
49 CFR 1.89.

    Source: 33 FR 19684, Dec. 25, 1968, unless otherwise noted.



Sec. 236.0  Applicability, minimum requirements, and penalties.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all railroads and any person as defined in paragraph (f) of 
this section.
    (b) This part does not apply to--
    (1) A railroad that operates only on track inside an installation 
that is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    (c)(1) Prior to January 17, 2012, 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--
    (i) A block signal system complying with the provisions of this part 
shall be installed; or
    (ii) A manual block system shall be placed permanently in effect 
that shall conform to the following conditions:
    (A) A passenger train shall not be admitted to a block occupied by 
another train except when absolutely necessary and then only by 
operating at restricted speed;
    (B) No train shall be admitted to a block occupied by a passenger 
train except when absolutely necessary and then only by operating at 
restricted speed;
    (C) No train shall be admitted to a block occupied by an opposing 
train except when absolutely necessary and then only while one train is 
stopped and the other is operating at restricted speed; and
    (D) A freight train, including a work train, may be authorized to 
follow a freight train, including a work train, into a block and then 
only when the following train is operating at restricted speed.
    (2) On and after January 17, 2012, where a passenger train is 
permitted to operate at a speed of 60 or more miles per hour, or a 
freight train is permitted to operate at a speed of 50 or more miles per 
hour, a block signal system complying with the provisions of this part 
shall be installed, unless an FRA approved PTC system meeting the 
requirements of this part for the subject speed and other operating 
conditions is installed.
    (d)(1) Prior to December 31, 2015, where any train is permitted to 
operate 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, unless an 
FRA approved PTC system meeting the requirements of this part for the 
subject speed and other operating conditions, is installed.
    (2) On and after December 31, 2015, where any train is permitted to 
operate at a speed of 80 or more miles per hour, a PTC system complying 
with the provisions of subpart I shall be installed

[[Page 820]]

and operational, unless FRA approval to continue to operate with an 
automatic cab signal, automatic train stop, or automatic train control 
system complying with the provisions of this part has been justified to, 
and approved by, the Associate Administrator.
    (3) Subpart H of this part sets forth requirements for voluntary 
installation of PTC systems, and subpart I of this part sets forth 
requirements for mandated installation of PTC systems, each under 
conditions specified in their respective subpart.
    (e) Nothing in this section authorizes the discontinuance of a block 
signal system, interlocking, traffic control system, automatic cab 
signal, automatic train stop or automatic train control system, or PTC 
system, without approval by the FRA under part 235 of this title. 
However, a railroad may apply for approval of discontinuance or material 
modification of a signal or train control system in connection with a 
request for approval of a Positive Train Control Development Plan 
(PTCDP) or Positive Train Control Safety Plan (PTCSP) as provided in 
subpart I of this part.
    (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 $839 and not more than $27,455 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 $109,819 
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.
    (g) A person may also be subject to criminal penalties for knowingly 
and wilfully making a false entry in a record or report required to be 
made under this part, filing a false record or report, or violating any 
of the provisions of 49 U.S.C. 21311.
    (h) The requirements of subpart H of this part apply to safety-
critical processor-based signal and train control systems, including 
subsystems and components thereof, developed under the terms and 
conditions of that subpart.

[49 FR 3382, Jan. 26, 1984, as amended at 53 FR 52936, Dec. 29, 1988; 63 
FR 11624, Mar. 10, 1998; 69 FR 30595, May 28, 2004; 70 FR 11095, Mar. 7, 
2005; 72 FR 51198, Sept. 6, 2007; 73 FR 79704, Dec. 30, 2008; 75 FR 
2698, Jan. 15, 2010; 77 FR 24422, Apr. 24, 2012; 79 FR 49715, Aug. 22, 
2014; 81 FR 43112, July 1, 2016]



              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.

    (a) General. Except as provided in paragraph (b) of this section, 
each circuit, the functioning of which affects the safety of train 
operations, shall be kept free of any ground or combination of grounds 
having a current flow of 75 percent or more of the value necessary to 
retain a permissive state of a safety appliance.
    (b) Exception. Paragraph (a) of this section does not apply to the 
following:
    (1) Circuits that include any track rail;
    (2) The common return wires of single-wire, single-break, and signal 
control circuits using a grounded common;
    (3) Circuitry internal to microprocessor-based appliances;
    (4) Circuitry internal to semiconductor-based memory; or

[[Page 821]]

    (5) Alternating current power distribution circuits that are 
grounded in the interest of safety.

[79 FR 49715, Aug. 22, 2014]



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.



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

[[Page 822]]

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 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, cab 
signal, and positive train control territory shall be designated in 
timetable instructions.

[79 FR 49715, Aug. 22, 2014]



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]

[[Page 823]]



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 and not more than 7 feet apart on 
curve of 2 or more. With lever in any position, couplings in pipe line 
shall not foul carriers.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.18  Software management control plan.

    (a) Within 6 months of June 6, 2005, each railroad shall develop and 
adopt a software management control plan for its signal and train 
control systems. A railroad commencing operations after June 6, 2005, 
shall adopt a software management control plan for its signal and train 
control systems prior to commencing operations.
    (b) Within 30 months of the completion of the software management 
control plan, each railroad shall have fully implemented such plan.
    (c) For purposes of this section, ``software management control 
plan'' means a plan designed to ensure that the proper and intended 
software version for each specific site and location is documented 
(mapped) and maintained through the life-cycle of the system. The plan 
must further describe how the proper software configuration is to be 
identified and confirmed in the event of replacement, modification, or 
disarrangement of any part of the system.

[70 FR 11095, Mar. 7, 2005]

                     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 824]]

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 or 90 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 825]]



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 826]]



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 827]]

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.

    (a) Results of tests made in compliance with Sec. Sec. 236.102 to 
236.109, inclusive; 236.376 to 236.387, inclusive; 236.576; 236.577; 
236.586 to 236.589, inclusive; and 236.917(a) must be recorded on 
preprinted forms provided by the railroad or by electronic means, 
subject to approval by the FRA Associate Administrator for Safety. These 
records must 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 must be:
    (1) Signed by the employee making the test, or electronically coded 
or identified by number of the automated test equipment (where 
applicable);
    (2) Unless otherwise noted, filed in the office of a supervisory 
official having jurisdiction; and
    (3) Available for inspection and replication by FRA and FRA-
certified State inspectors.
    (b) Results of tests made in compliance with Sec. 236.587 must be 
retained for 92 days.
    (c) Results of tests made in compliance with Sec. 236.917(a) must 
be retained as follows:
    (1) Results of tests that pertain to installation or modification 
must be retained for the life-cycle of the equipment tested and may be 
kept in any office designated by the railroad; and
    (2) Results of periodic tests required for maintenance or repair of 
the equipment tested must be retained until the next record is filed but 
in no case less than one year.
    (d) Results of all other tests listed in this section must be 
retained until the next record is filed but in no case less than one 
year.
    (e) Electronic or automated tracking systems used to meet the 
requirements contained in paragraph (a) of this section must be capable 
of being 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 authority to utilize an electronic or 
automated tracking system in lieu of preprinted forms if FRA finds that 
the electronic or automated tracking system is not properly secured, is 
inaccessible to FRA, FRA-certified State inspectors, or railroad 
employees requiring access to discharge their assigned duties, or fails 
to adequately track and monitor the equipment. The Associate 
Administrator for Safety will provide the affected railroad with a 
written statement of the basis for his or her decision prohibiting or 
revoking the railroad from utilizing an electronic or automated tracking 
system.

[70 FR 11095, Mar. 7, 2005]

[[Page 828]]



                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 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,

[[Page 829]]

    (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 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.

[[Page 830]]



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 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

[[Page 831]]

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 
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.



Sec. Sec. 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

[[Page 832]]

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.



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]

[[Page 833]]



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.



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 Sec. Sec. 236.201, to 236.203, 
inclusive, Sec. Sec. 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

[[Page 834]]

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 which display aspects with indications 
more favorable than ``proceed at restricted speed'' have been opened 
directly or by shunting of track circuit.
    (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; 75 
FR 2699, Jan. 15, 2010]

                         Rules and Instructions



Sec. 236.426  Interlocking rules and instructions applicable to
traffic control systems.

    The rules and instructions prescribed in Sec. Sec. 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 Sec. Sec. 236.377 to 
236.380, inclusive, and Sec. Sec. 236.382, 236.383, and 236.386 shall 
apply to traffic control systems.

[49 FR 3386, Jan. 26, 1984]

[[Page 835]]



  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.
    (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 Sec. Sec. 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

[[Page 836]]

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 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

[[Page 837]]

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 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

[[Page 838]]

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.



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]



Sec. Sec. 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

[[Page 839]]

such apparatus shall be in operative condition.



Sec. 236.567  Restrictions imposed when device fails and/or is cut
out en route.

    (a) Except as provided in subparts H or I of this part, where an 
automatic train stop, train control, or cab signal device fails and/or 
is cut out en route, the train on which the device is inoperative may 
proceed to the next available point of communication where report must 
be made to a designated officer, at speeds not to exceed the following:
    (1) If no block signal system is in operation, restricted speed; or
    (2) If a block signal system is in operation, according to signal 
indication but not to exceed 40 miles per hour.
    (b) Upon completion and communication of the report required by 
paragraph (a) of this section, a train may continue to a point where an 
absolute block can be established in advance of the train at speeds not 
to exceed the following:
    (1) If no block signal system is in operation, restricted speed; or
    (2) If a block signal system is in operation, according to signal 
indication but not to exceed 40 miles per hour.
    (c) Upon reaching the location where an absolute block has been 
established in advance of the train, as referenced in paragraph (b) of 
this section, the train may proceed at speeds not to exceed the 
following:
    (1) If no block signal system is in operation and the train is a 
passenger train, 59 miles per hour;
    (2) If no block signal system is in operation and the train is a 
freight train, 49 miles per hour; and
    (3) If a block signal system is in operation, 79 miles per hour.

[79 FR 49715, Aug. 22, 2014]



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

[[Page 840]]

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 of 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 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

[[Page 841]]

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.



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.



Sec. Sec. 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.

[[Page 842]]



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 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

[[Page 843]]

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.



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.

[[Page 844]]



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.



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

[[Page 845]]

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.



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.

[[Page 846]]



Sec. 236.787a  Railroad.

    Railroad means any form of non-highway ground transportation that 
runs on rails or electromagnetic guideways and any entity providing such 
transportation, including--
    (a) 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
    (b) 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.

[70 FR 11095, Mar. 7, 2005]



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.



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.

[[Page 847]]



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.



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.

[[Page 848]]



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 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.

[[Page 849]]



Sec. 236.838  Wire, shunt.

    A wire forming part of a shunt circuit.



Subpart H_Standards for Processor-Based Signal and Train Control Systems

    Source: 70 FR 11095, Mar. 7, 2005, unless otherwise noted.



Sec. 236.901  Purpose and scope.

    (a) What is the purpose of this subpart? The purpose of this subpart 
is to promote the safe operation of processor-based signal and train 
control systems, subsystems, and components that are safety-critical 
products, as defined in Sec. 236.903, and to facilitate the development 
of those products.
    (b) What topics does it cover? This subpart prescribes minimum, 
performance-based safety standards for safety-critical products, 
including requirements to ensure that the development, installation, 
implementation, inspection, testing, operation, maintenance, repair, and 
modification of those products will achieve and maintain an acceptable 
level of safety. This subpart also prescribes standards to ensure that 
personnel working with safety-critical products receive appropriate 
training. Each railroad may prescribe additional or more stringent 
rules, and other special instructions, that are not inconsistent with 
this subpart.
    (c) What other rules apply? (1) This subpart does not exempt a 
railroad from compliance with the requirements of subparts A through G 
of this part, except to the extent a PSP explains to FRA Associate 
Administrator for Safety's satisfaction the following:
    (i) How the objectives of any such requirements are met by the 
product;
    (ii) Why the objectives of any such requirements are not relevant to 
the product; or
    (iii) How the requirement is satisfied using alternative means. (See 
Sec. 236.907(a)(14)).
    (2) Products subject to this subpart are also subject to applicable 
requirements of parts 233, 234 and 235 of this chapter. See Sec. 
234.275 of this chapter with respect to use of this subpart to qualify 
certain products for use within highway-rail grade crossing warning 
systems.
    (3) Information required to be submitted by this subpart that a 
submitter deems to be trade secrets, or commercial or financial 
information that is privileged or confidential under Exemption 4 of the 
Freedom of Information Act, 5 U.S.C. 552(b)(4), shall be so labeled in 
accordance with the provisions of Sec. 209.11 of this chapter. FRA 
handles information so labeled in accordance with the provisions of 
Sec. 209.11 of this chapter.



Sec. 236.903  Definitions.

    As used in this subpart--
    Associate Administrator for Safety means the Associate Administrator 
for Safety, FRA, or that person's delegate as designated in writing.
    Component means an element, device, or appliance (including those 
whose nature is electrical, mechanical, hardware, or software) that is 
part of a system or subsystem.
    Configuration management control plan means a plan designed to 
ensure that the proper and intended product configuration, including the 
hardware components and software version, is documented and maintained 
through the life-cycle of the products in use.
    Employer means a railroad, or contractor to a railroad, that 
directly engages or compensates individuals to perform the duties 
specified in Sec. 236.921 (a).
    Executive software means software common to all installations of a 
given product. It generally is used to schedule the execution of the 
site-specific application programs, run timers, read inputs, drive 
outputs, perform self-diagnostics, access and check memory, and monitor 
the execution of the application software to detect unsolicited changes 
in outputs.
    FRA means the Federal Railroad Administration.
    Full automatic operation means that mode of an automatic train 
control system capable of operating without external human influence, in 
which the locomotive engineer/operator may act as a passive system 
monitor, in addition to an active system controller.

[[Page 850]]

    Hazard means an existing or potential condition that can result in 
an accident.
    High degree of confidence, as applied to the highest level of 
aggregation, means there exists credible safety analysis supporting the 
conclusion that the likelihood of the proposed condition associated with 
the new product being less safe than the previous condition is very 
small.
    Human factors refers to a body of knowledge about human limitations, 
human abilities, and other human characteristics, such as behavior and 
motivation, that must be considered in product design.
    Human-machine interface (HMI) means the interrelated set of controls 
and displays that allows humans to interact with the machine.
    Initialization refers to the startup process when it is determined 
that a product has all required data input and the product is prepared 
to function as intended.
    Mandatory directive has the meaning set forth in Sec. 220.5 of this 
chapter.
    Materials handling refers to explicit instructions for handling 
safety-critical components established to comply with procedures 
specified in the PSP.
    Mean Time to Hazardous Event (MTTHE) means the average or expected 
time that a subsystem or component will operate prior to the occurrence 
of an unsafe failure.
    New or next-generation train control system means a train control 
system using technologies not in use in revenue service at the time of 
PSP submission or without established histories of safe practice.
    Petition for approval means a petition to FRA for approval to use a 
product on a railroad as described in its PSP. The petition for approval 
is to contain information that is relevant to determining the safety of 
the resulting system; relevant to determining compliance with this part; 
and relevant to determining the safety of the product, including a 
complete copy of the product's PSP and supporting safety analysis.
    Predefined change means any post-implementation modification to the 
use of a product that is provided for in the PSP (see Sec. 236.907(b)).
    Previous Condition refers to the estimated risk inherent in the 
portion of the existing method of operation that is relevant to the 
change under analysis (including the elements of any existing signal or 
train control system relevant to the review of the product).
    Processor-based, as used in this subpart, means dependent on a 
digital processor for its proper functioning.
    Product means a processor-based signal or train control system, 
subsystem, or component.
    Product Safety Plan (or PSP) refers to a formal document which 
describes in detail all of the safety aspects of the product, including 
but not limited to procedures for its development, installation, 
implementation, operation, maintenance, repair, inspection, testing and 
modification, as well as analyses supporting its safety claims, as 
described in Sec. 236.907.
    Railroad Safety Program Plan (or RSPP) refers to a formal document 
which describes a railroad's strategy for addressing safety hazards 
associated with operation of products under this subpart and its program 
for execution of such strategy though the use of PSP requirements, as 
described in Sec. 236.905.
    Revision control means a chain of custody regimen designed to 
positively identify safety-critical components and spare equipment 
availability, including repair/replacement tracking in accordance with 
procedures outlined in the PSP.
    Risk means the expected probability of occurrence for an individual 
accident event (probability) multiplied by the severity of the expected 
consequences associated with the accident (severity).
    Risk assessment means the process of determining, either 
quantitatively or qualitatively, the measure of risk associated with use 
of the product under all intended operating conditions or the previous 
condition.
    Safety-critical, as applied to a function, a system, or any portion 
thereof, means the correct performance of which is essential to safety 
of personnel or equipment, or both; or the incorrect performance of 
which could cause a hazardous condition, or allow a

[[Page 851]]

hazardous condition which was intended to be prevented by the function 
or system to exist.
    Subsystem means a defined portion of a system.
    System refers to a signal or train control system and includes all 
subsystems and components thereof, as the context requires.
    System Safety Precedence means the order of precedence in which 
methods used to eliminate or control identified hazards within a system 
are implemented.
    Validation means the process of determining whether a product's 
design requirements fulfill its intended design objectives during its 
development and life-cycle. The goal of the validation process is to 
determine ``whether the correct product was built.''
    Verification means the process of determining whether the results of 
a given phase of the development cycle fulfill the validated 
requirements established at the start of that phase. The goal of the 
verification process is to determine ``whether the product was built 
correctly.''



Sec. 236.905  Railroad Safety Program Plan (RSPP).

    (a) What is the purpose of an RSPP? A railroad subject to this 
subpart shall develop an RSPP, subject to FRA approval, that serves as 
its principal safety document for all safety-critical products. The RSPP 
must establish the minimum PSP requirements that will govern the 
development and implementation of all products subject to this subpart, 
consistent with the provisions contained in Sec. 236.907.
    (b) What subject areas must the RSPP address? The railroad's RSPP 
must address, at a minimum, the following subject areas:
    (1) Requirements and concepts. The RSPP must require a description 
of the preliminary safety analysis, including:
    (i) A complete description of methods used to evaluate a system's 
behavioral characteristics;
    (ii) A complete description of risk assessment procedures;
    (iii) The system safety precedence followed; and
    (iv) The identification of the safety assessment process.
    (2) Design for verification and validation. The RSPP must require 
the identification of verification and validation methods for the 
preliminary safety analysis, initial development process, and future 
incremental changes, including standards to be used in the verification 
and validation process, consistent with appendix C to this part. The 
RSPP must require that references to any non-published standards be 
included in the PSP.
    (3) Design for human factors. The RSPP must require a description of 
the process used during product development to identify human factors 
issues and develop design requirements which address those issues.
    (4) Configuration management control plan. The RSPP must specify 
requirements for configuration management for all products to which this 
subpart applies.
    (c) How are RSPP's approved? (1) Each railroad shall submit a 
petition for approval of an RSPP to the Associate Administrator for 
Safety, FRA, 1200 New Jersey Avenue, SE., Mail Stop 25, Washington, DC 
20590. The petition must contain a copy of the proposed RSPP, and the 
name, title, address, and telephone number of the railroad's primary 
contact person for review of the petition.
    (2) Normally within 180 days of receipt of a petition for approval 
of an RSPP, FRA:
    (i) Grants the petition, if FRA finds that the petition complies 
with applicable requirements of this subpart, attaching any special 
conditions to the approval of the petition as necessary to carry out the 
requirements of this subpart;
    (ii) Denies the petition, setting forth reasons for denial; or
    (iii) Requests additional information.
    (3) If no action is taken on the petition within 180 days, the 
petition remains pending for decision. The petitioner is encouraged to 
contact FRA for information concerning its status.
    (4) FRA may reopen consideration of any previously-approved petition 
for cause, providing reasons for such action.
    (d) How are RSPP's modified? (1) Railroads shall obtain FRA approval 
for any modification to their RSPP which

[[Page 852]]

affects a safety-critical requirement of a PSP. Other modifications do 
not require FRA approval.
    (2) Petitions for FRA approval of RSPP modifications are subject to 
the same procedures as petitions for initial RSPP approval, as specified 
in paragraph (c) of this section. In addition, such petitions must 
identify the proposed modification(s) to be made, the reason for the 
modification(s), and the effect of the modification(s) on safety.

[70 FR 11095, Mar. 7, 2005, as amended at 74 FR 25174, May 27, 2009]



Sec. 236.907  Product Safety Plan (PSP).

    (a) What must a PSP contain? The PSP must include the following:
    (1) A complete description of the product, including a list of all 
product components and their physical relationship in the subsystem or 
system;
    (2) A description of the railroad operation or categories of 
operations on which the product is designed to be used, including train 
movement density, gross tonnage, passenger train movement density, 
hazardous materials volume, railroad operating rules, and operating 
speeds;
    (3) An operational concepts document, including a complete 
description of the product functionality and information flows;
    (4) A safety requirements document, including a list with complete 
descriptions of all functions which the product performs to enhance or 
preserve safety;
    (5) A document describing the manner in which product architecture 
satisfies safety requirements;
    (6) A hazard log consisting of a comprehensive description of all 
safety-relevant hazards to be addressed during the life cycle of the 
product, including maximum threshold limits for each hazard (for 
unidentified hazards, the threshold shall be exceeded at one 
occurrence);
    (7) A risk assessment, as prescribed in Sec. 236.909 and appendix B 
to this part;
    (8) A hazard mitigation analysis, including a complete and 
comprehensive description of all hazards to be addressed in the system 
design and development, mitigation techniques used, and system safety 
precedence followed, as prescribed by the applicable RSPP;
    (9) A complete description of the safety assessment and verification 
and validation processes applied to the product and the results of these 
processes, describing how subject areas covered in appendix C to this 
part are either: addressed directly, addressed using other safety 
criteria, or not applicable;
    (10) A complete description of the safety assurance concepts used in 
the product design, including an explanation of the design principles 
and assumptions;
    (11) A human factors analysis, including a complete description of 
all human-machine interfaces, a complete description of all functions 
performed by humans in connection with the product to enhance or 
preserve safety, and an analysis in accordance with appendix E to this 
part or in accordance with other criteria if demonstrated to the 
satisfaction of the Associate Administrator for Safety to be equally 
suitable;
    (12) A complete description of the specific training of railroad and 
contractor employees and supervisors necessary to ensure the safe and 
proper installation, implementation, operation, maintenance, repair, 
inspection, testing, and modification of the product;
    (13) A complete description of the specific procedures and test 
equipment necessary to ensure the safe and proper installation, 
implementation, operation, maintenance, repair, inspection, testing, and 
modification of the product. These procedures, including calibration 
requirements, shall be consistent with or explain deviations from the 
equipment manufacturer's recommendations;
    (14) An analysis of the applicability of the requirements of 
subparts A through G of this part to the product that may no longer 
apply or are satisfied by the product using an alternative method, and a 
complete explanation of the manner in which those requirements are 
otherwise fulfilled (see Sec. 234.275 of this chapter and Sec. 
236.901(c));
    (15) A complete description of the necessary security measures for 
the product over its life-cycle;
    (16) A complete description of each warning to be placed in the 
Operations

[[Page 853]]

and Maintenance Manual identified in Sec. 236.919, and of all warning 
labels required to be placed on equipment as necessary to ensure safety;
    (17) A complete description of all initial implementation testing 
procedures necessary to establish that safety-functional requirements 
are met and safety-critical hazards are appropriately mitigated;
    (18) A complete description of:
    (i) All post-implementation testing (validation) and monitoring 
procedures, including the intervals necessary to establish that safety-
functional requirements, safety-critical hazard mitigation processes, 
and safety-critical tolerances are not compromised over time, through 
use, or after maintenance (repair, replacement, adjustment) is 
performed; and
    (ii) Each record necessary to ensure the safety of the system that 
is associated with periodic maintenance, inspections, tests, repairs, 
replacements, adjustments, and the system's resulting conditions, 
including records of component failures resulting in safety-relevant 
hazards (see Sec. 236.917(e)(3));
    (19) A complete description of any safety-critical assumptions 
regarding availability of the product, and a complete description of all 
backup methods of operation; and
    (20) A complete description of all incremental and predefined 
changes (see paragraphs (b) and (c) of this section).
    (b) What requirements apply to predefined changes? (1) Predefined 
changes are not considered design modifications requiring an entirely 
new safety verification process, a revised PSP, and an informational 
filing or petition for approval in accordance with Sec. 236.915. 
However, the risk assessment for the product must demonstrate that 
operation of the product, as modified by any predefined change, 
satisfies the minimum performance standard.
    (2) The PSP must identify configuration/revision control measures 
designed to ensure that safety-functional requirements and safety-
critical hazard mitigation processes are not compromised as a result of 
any such change. (Software changes involving safety functional 
requirements or safety critical hazard mitigation processes for 
components in use are also addressed in paragraph (c) of this section.)
    (c) What requirements apply to other product changes? (1) 
Incremental changes are planned product version changes described in the 
initial PSP where slightly different specifications are used to allow 
the gradual enhancement of the product's capabilities. Incremental 
changes shall require verification and validation to the extent the 
changes involve safety-critical functions.
    (2) Changes classified as maintenance require validation.
    (d) What are the responsibilities of the railroad and product 
supplier regarding communication of hazards? (1) The PSP shall specify 
all contractual arrangements with hardware and software suppliers for 
immediate notification of any and all safety critical software upgrades, 
patches, or revisions for their processor-based system, sub-system, or 
component, and the reasons for such changes from the suppliers, whether 
or not the railroad has experienced a failure of that safety-critical 
system, sub-system, or component.
    (2) The PSP shall specify the railroad's procedures for action upon 
notification of a safety-critical upgrade, patch, or revision for this 
processor-based system, sub-system, or component, and until the upgrade, 
patch, or revision has been installed; and such action shall be 
consistent with the criterion set forth in Sec. 236.915(d) as if the 
failure had occurred on that railroad.
    (3) The PSP must identify configuration/revision control measures 
designed to ensure that safety-functional requirements and safety-
critical hazard mitigation processes are not compromised as a result of 
any such change, and that any such change can be audited.
    (4) Product suppliers entering into contractual arrangements for 
product support described in a PSP must promptly report any safety-
relevant failures and previously unidentified hazards to each railroad 
using the product.

[[Page 854]]



Sec. 236.909  Minimum performance standard.

    (a) What is the minimum performance standard for products covered by 
this subpart? The safety analysis included in the railroad's PSP must 
establish with a high degree of confidence that introduction of the 
product will not result in risk that exceeds the previous condition. The 
railroad shall determine, prior to filing its petition for approval or 
informational filing, that this standard has been met and shall make 
available the necessary analyses and documentation as provided in this 
subpart.
    (b) How does FRA determine whether the PSP requirements for products 
covered by subpart H have been met? With respect to any FRA review of a 
PSP, the Associate Administrator for Safety independently determines 
whether the railroad's safety case establishes with a high degree of 
confidence that introduction of the product will not result in risk that 
exceeds the previous condition. In evaluating the sufficiency of the 
railroad's case for the product, the Associate Administrator for Safety 
considers, as applicable, the factors pertinent to evaluation of risk 
assessments, listed in Sec. 236.913(g)(2).
    (c) What is the scope of a full risk assessment required by this 
section? A full risk assessment performed under this subpart must 
address the safety risks affected by the introduction, modification, 
replacement, or enhancement of a product. This includes risks associated 
with the previous condition which are no longer present as a result of 
the change, new risks not present in the previous condition, and risks 
neither newly created nor eliminated whose nature (probability of 
occurrence or severity) is nonetheless affected by the change.
    (d) What is an abbreviated risk assessment, and when may it be used? 
(1) An abbreviated risk assessment may be used in lieu of a full risk 
assessment to show compliance with the performance standard if:
    (i) No new hazards are introduced as a result of the change;
    (ii) Severity of each hazard associated with the previous condition 
does not increase from the previous condition; and
    (iii) Exposure to such hazards does not change from the previous 
condition.
    (2) An abbreviated risk assessment supports the finding required by 
paragraph (a) of this section if it establishes that the resulting MTTHE 
for the proposed product is greater than or equal to the MTTHE for the 
system, component or method performing the same function in the previous 
condition. This determination must be supported by credible safety 
analysis sufficient to persuade the Associate Administrator for Safety 
that the likelihood of the new product's MTTHE being less than the MTTHE 
for the system, component, or method performing the same function in the 
previous condition is very small.
    (3) Alternatively, an abbreviated risk assessment supports the 
finding required by paragraph (a) of this section if:
    (i) The probability of failure for each hazard of the product is 
equal to or less the corresponding recommended Specific Quantitative 
Hazard Probability Ratings classified as more favorable than 
``undesirable'' by AREMA Manual Part 17.3.5 (Recommended Procedure for 
Hazard Identification and Management of Vital Electronic/Software-Based 
Equipment Used in Signal and Train Control Applications), or--in the 
case of a hazard classified as undesirable--the Associate Administrator 
for Safety concurs that mitigation of the hazard within the framework of 
the electronic system is not practical and the railroad proposes 
reasonable steps to undertake other mitigation. The Director of the 
Federal Register approves the incorporation by reference of the entire 
AREMA Communications and Signal Manual, Volume 4, Section 17--Quality 
Principles (2005) in this section in accordance with 5 U.S.C. 552(a) and 
1 CFR part 51. You may obtain a copy of the incorporated standard from 
American Railway Engineering and Maintenance of Way Association, 8201 
Corporation Drive, Suite 1125, Landover, MD 20785-2230. You may inspect 
a copy of the incorporated standard at the Federal Railroad 
Administration, Docket Clerk, 1200 New Jersey Avenue, SE., or at the 
National Archives and Records Administration (NARA). For

[[Page 855]]

information on the availability of this material at NARA, call 202-741-
6030, or go to http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html;
    (ii) The product is developed in accordance with:
    (A) AREMA Manual Part 17.3.1 (Communications and Signal Manual of 
Recommended Practices, Recommended Safety Assurance Program for 
Electronic/Software Based Products Used in Vital Signal Applications);
    (B) AREMA Manual Part 17.3.3 (Communications and Signal Manual of 
Recommended Practices, Recommended Practice for Hardware Analysis for 
Vital Electronic/Software-Based Equipment Used in Signal and Train 
Control Applications);
    (C) AREMA Manual Part 17.3.5 (Communications and Signal Manual of 
Recommended Practices, Recommended Practice for Hazard Identification 
and Management of Vital Electronic/Software-Based Equipment Used in 
Signal and Train Control Applications);
    (D) Appendix C of this subpart; and
    (iii) Analysis supporting the PSP suggests no credible reason for 
believing that the product will be less safe than the previous 
condition.
    (e) How are safety and risk measured for the full risk assessment? 
Risk assessment techniques, including both qualitative and quantitative 
methods, are recognized as providing credible and useful results for 
purposes of this section if they apply the following principles:
    (1) Safety levels must be measured using competent risk assessment 
methods and must be expressed as the total residual risk in the system 
over its expected life-cycle after implementation of all mitigating 
measures described in the PSP. The total risk assessment must have a 
supporting sensitivity analysis. The analysis must confirm that the risk 
metrics of the system are not negatively affected by sensitivity 
analysis input parameters including, for example, component failure 
rates, human factor error rates, and variations in train traffic 
affecting exposure. In this context, ``negatively affected'' means that 
the final residual risk metric does not exceed that of the base case or 
that which has been otherwise established through MTTHE target. The 
sensitivity analysis must document the sensitivity to worst case failure 
scenarios. Appendix B to this part provides criteria for acceptable risk 
assessment methods. Other methods may be acceptable if demonstrated to 
the satisfaction of the Associate Administrator for Safety to be equally 
suitable.
    (2) For the previous condition and for the life-cycle of the 
product, risk levels must be expressed in units of consequences per unit 
of exposure.
    (i) In all cases exposure must be expressed as total train miles 
traveled per year over the relevant railroad infrastructure. 
Consequences must identify the total cost, including fatalities, 
injuries, property damage, and other incidental costs, such as potential 
consequences of hazardous materials involvement, resulting from 
preventable accidents associated with the function(s) performed by the 
system.
    (ii) In those cases where there is passenger traffic, a second risk 
metric must be calculated, using passenger-miles traveled per year as 
the exposure, and total societal costs of passenger injuries and 
fatalities, resulting from preventable accidents associated with the 
function(s) performed by the system, as the consequences.
    (3) If the description of railroad operations for the product 
required by Sec. 236.907(a)(2) involves changes to the physical or 
operating conditions on the railroad prior to or within the expected 
life cycle of the product subject to review under this subpart, the 
previous condition shall be adjusted to reflect the lower risk 
associated with systems needed to maintain safety and performance at 
higher speeds or traffic volumes. In particular, the previous condition 
must be adjusted for assumed implementation of systems necessary to 
support higher train speeds as specified in Sec. 236.0, as well as 
other changes required to support projected increases in train 
operations. The following specific requirements apply:
    (i) If the current method of operation would not be adequate under 
Sec. 236.0 for the proposed operations, then the adjusted previous 
condition must include

[[Page 856]]

a system as required under Sec. 236.0, applied as follows:
    (A) The minimum system 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, shall be a traffic control system;
    (B) The minimum system where a train is operated at a speed of 80 or 
more miles per hour, but not more than 110 miles per hour, shall be an 
automatic cab signal system with automatic train control; and
    (C) The minimum system where a train is operated at a speed of more 
than 110 miles per hour shall be a system determined by the Associate 
Administrator for Safety to provide an equivalent level of safety to 
systems required or authorized by FRA for comparable operations.
    (ii) If the current method of operation would be adequate under 
Sec. 236.0 for the proposed operations, but the current system is not 
at least as safe as a traffic control system, then the adjusted previous 
condition must include a traffic control system in the event of any 
change that results in:
    (A) An annual average daily train density of more than twelve trains 
per day; or
    (B) An increase in the annual average daily density of passenger 
trains of more than four trains per day.
    (iii) Paragraph (e)(3)(ii)(A) of this section shall apply in all 
situations where train volume will exceed more than 20 trains per day 
but shall not apply to situations where train volume will exceed 12 
trains per day but not exceed 20 trains per day, if in its PSP the 
railroad makes a showing sufficient to establish, in the judgment of the 
Associate Administrator for Safety, that the current method of operation 
is adequate for a specified volume of traffic in excess of 12 trains per 
day, but not more than 20 trains per day, without material delay in the 
movement of trains over the territory and without unreasonable 
expenditures to expedite those movements when compared with the expense 
of installing and maintaining a traffic control system.
    (4) In the case review of a PSP that has been consolidated with a 
proceeding pursuant to part 235 of this subchapter (see Sec. 
236.911(b)), the base case shall be determined as follows:
    (i) If FRA determines that discontinuance or modification of the 
system should be granted without regard to whether the product is 
installed on the territory, then the base case shall be the conditions 
that would obtain on the territory following the discontinuance or 
modification.

    Note: This is an instance in which the base case is posited as 
greater risk than the actual (unadjusted) previous condition because the 
railroad would have obtained relief from the requirement to maintain the 
existing signal or train control system even if no new product had been 
proffered.

    (ii) If FRA determines that discontinuance or modification of the 
system should be denied without regard to whether the product is 
installed on the territory, then the base case shall remain the previous 
condition (unadjusted).
    (iii) If, after consideration of the application and review of the 
PSP, FRA determines that neither paragraph (e)(4)(i) nor paragraph 
(e)(4)(ii) of this section should apply, FRA will establish a base case 
that is consistent with safety and in the public interest.

[70 FR 11095, Mar. 7, 2005, as amended at 74 FR 25174, May 27, 2009; 75 
FR 2699, Jan. 15, 2010]



Sec. 236.911  Exclusions.

    (a) Does this subpart apply to existing systems? The requirements of 
this subpart do not apply to products in service as of June 6, 2005. 
Railroads may continue to implement and use these products and 
components from these existing products.
    (b) How will transition cases be handled? Products designed in 
accordance with subparts A through G of this part which are not in 
service but are developed or are in the developmental stage prior to 
March 7, 2005, may be excluded upon notification to FRA by June 6, 2005, 
if placed in service by March 7, 2008. Railroads may continue to 
implement and use these products and components from these existing 
products. A railroad may at any time elect to have products that are 
excluded made subject to this subpart by submitting a PSP as prescribed 
in Sec. 236.913 and otherwise complying with this subpart.

[[Page 857]]

    (c) How are office systems handled? The requirements of this subpart 
do not apply to existing office systems and future deployments of 
existing office system technology. However, a subsystem or component of 
an office system must comply with the requirements of this subpart if it 
performs safety-critical functions within, or affects the safety 
performance of, a new or next-generation train control system. For 
purposes of this section, ``office system'' means a centralized 
computer-aided train-dispatching system or centralized traffic control 
board.
    (d) How are modifications to excluded products handled? Changes or 
modifications to products otherwise excluded from the requirements of 
this subpart by this section are not excluded from the requirements of 
this subpart if they result in a degradation of safety or a material 
increase in safety-critical functionality.
    (e) What other rules apply to excluded products? Products excluded 
by this section from the requirements of this subpart remain subject to 
subparts A through G of this part as applicable.



Sec. 236.913  Filing and approval of PSPs.

    (a) Under what circumstances must a PSP be prepared? A PSP must be 
prepared for each product covered by this subpart. A joint PSP must be 
prepared when:
    (1) The territory on which a product covered by this subpart is 
normally subject to joint operations, or is operated upon by more than 
one railroad; and
    (2) The PSP involves a change in method of operation.
    (b) Under what circumstances must a railroad submit a petition for 
approval for a PSP or PSP amendment, and when may a railroad submit an 
informational filing? Depending on the nature of the proposed product or 
change, the railroad shall submit either an informational filing or a 
petition for approval. Submission of a petition for approval is required 
for PSPs or PSP amendments concerning installation of new or next-
generation train control systems. All other actions that result in the 
creation of a PSP or PSP amendment require an informational filing and 
are handled according to the procedures outlined in paragraph (c) of 
this section. Applications for discontinuance and material modification 
of signal and train control systems remain governed by parts 235 and 211 
of this chapter; and petitions subject to this section may be 
consolidated with any relevant application for administrative handling.
    (c) What are the procedures for informational filings? The following 
procedures apply to PSPs and PSP amendments which do not require 
submission of a petition for approval, but rather require an 
informational filing:
    (1) Not less than 180 days prior to planned use of the product in 
revenue service as described in the PSP or PSP amendment, the railroad 
shall submit an informational filing to the Associate Administrator for 
Safety, FRA, 1200 New Jersey Avenue, SE., Mail Stop 25, Washington, DC 
20590. The informational filing must provide a summary description of 
the PSP or PSP amendment, including the intended use of the product, and 
specify the location where the documentation as described in Sec. 
236.917(a)(1) is maintained.
    (2) Within 60 days of receipt of the informational filing, FRA:
    (i) Acknowledges receipt of the filing;
    (ii) Acknowledges receipt of the informational filing and requests 
further information; or
    (iii) Acknowledges receipt of the filing and notifies the railroad, 
for good cause, that the filing will be considered as a petition for 
approval as set forth in paragraph (d) of this section, and requests 
such further information as may be required to initiate action on the 
petition for approval. Examples of good cause, any one of which is 
sufficient, include: the PSP describes a product with unique 
architectural concepts; the PSP describes a product that uses design or 
safety assurance concepts considered outside existing accepted practices 
(see appendix C); and the PSP describes a locomotive-borne product that 
commingles safety-critical train control processing functions with 
locomotive operational functions. In addition, good cause includes any 
instance where the PSP or PSP amendment does not appear to support its 
safety claim of satisfaction of the performance standard, after FRA has 
requested

[[Page 858]]

further information as provided in paragraph (c)(2)(ii) of this section.
    (d) What procedures apply to petitions for approval? The following 
procedures apply to PSPs and PSP amendments which require submission of 
a petition for approval:
    (1) Petitions for approval involving prior FRA consultation. (i) The 
railroad may file a Notice of Product Development with the Associate 
Administrator for Safety not less than 30 days prior to the end of the 
system design review phase of product development and 180 days prior to 
planned implementation, inviting FRA to participate in the design review 
process and receive periodic briefings and updates as needed to follow 
the course of product development. At a minimum, the Notice of Product 
Development must contain a summary description of the product to be 
developed and a brief description of goals for improved safety.
    (ii) Within 15 days of receipt of the Notice of Product Development, 
the Associate Administrator for Safety either acknowledges receipt or 
acknowledges receipt and requests more information.
    (iii) If FRA concludes that the Notice of Product Development 
contains sufficient information, the Associate Administrator for Safety 
determines the extent and nature of the assessment and review necessary 
for final product approval. FRA may convene a technical consultation as 
necessary to discuss issues related to the design and planned 
development of the product.
    (iv) Within 60 days of receiving the Notice of Product Development, 
the Associate Administrator for Safety provides a letter of preliminary 
review with detailed findings, including whether the design concepts of 
the proposed product comply with the requirements of this subpart, 
whether design modifications are necessary to meet the requirements of 
this subpart, and the extent and nature of the safety analysis necessary 
to comply with this subpart.
    (v) Not less than 60 days prior to use of the product in revenue 
service, the railroad shall file with the Associate Administrator for 
Safety a petition for final approval.
    (vi) Within 30 days of receipt of the petition for final approval, 
the Associate Administrator for Safety either acknowledges receipt or 
acknowledges receipt and requests more information. Whenever possible, 
FRA acts on the petition for final approval within 60 days of its filing 
by either granting it or denying it. If FRA neither grants nor denies 
the petition for approval within 60 days, FRA advises the petitioner of 
the projected time for decision and conducts any further consultations 
or inquiries necessary to decide the matter.
    (2) Other petitions for approval. The following procedures apply to 
petitions for approval of PSPs which do not involve prior FRA 
consultation as described in paragraph (d)(1) of this section.
    (i) Not less than 180 days prior to use of a product in revenue 
service, the railroad shall file with the Associate Administrator for 
Safety a petition for approval.
    (ii) Within 60 days of receipt of the petition for approval, FRA 
either acknowledges receipt, or acknowledges receipt and requests more 
information.
    (iii) Whenever possible, considering the scope, complexity, and 
novelty of the product or change, FRA acts on the petition for approval 
within 180 days of its filing by either granting it or denying it. If 
FRA neither grants nor denies the petition for approval within 180 days, 
it remains pending, and FRA provides the petitioner with a statement of 
reasons why the petition has not yet been approved.
    (e) What role do product users play in the process of safety review? 
(1) FRA will publish in the Federal Register periodically a topic list 
including docket numbers for informational filings and a petition 
summary including docket numbers for petitions for approval.
    (2) Interested parties may submit to FRA information and views 
pertinent to FRA's consideration of an informational filing or petition 
for approval. FRA considers comments to the extent practicable within 
the periods set forth in this section. In a proceeding consolidated with 
a proceeding under part 235 of this chapter, FRA considers all comments 
received.

[[Page 859]]

    (f) Is it necessary to complete field testing prior to filing the 
petition for approval? A railroad may file a petition for approval prior 
to completion of field testing of the product. The petition for approval 
should additionally include information sufficient for FRA to arrange 
monitoring of the tests. The Associate Administrator for Safety may 
approve a petition for approval contingent upon successful completion of 
the test program contained in the PSP or hold the petition for approval 
pending completion of the tests.
    (g) How are PSPs approved? (1) The Associate Administrator for 
Safety grants approval of a PSP when:
    (i) The petition for approval has been properly filed and contains 
the information required in Sec. 236.907;
    (ii) FRA has determined that the PSP complies with the railroad's 
approved RSPP and applicable requirements of this subpart; and
    (iii) The risk assessment supporting the PSP demonstrates that the 
proposed product satisfies the minimum performance standard stated in 
Sec. 236.909.
    (2) The Associate Administrator for Safety considers the following 
applicable factors when evaluating the risk assessment:
    (i) The extent to which recognized standards have been utilized in 
product design and in the relevant safety analysis;
    (ii) The availability of quantitative data, including calculations 
of statistical confidence levels using accepted methods, associated with 
risk estimates;
    (iii) The complexity of the product and the extent to which it will 
incorporate or deviate from design practices associated with previously 
established histories of safe operation;
    (iv) The degree of rigor and precision associated with the safety 
analyses, including the comprehensiveness of the qualitative analyses, 
and the extent to which any quantitative results realistically reflect 
appropriate sensitivity cases;
    (v) The extent to which validation of the product has included 
experiments and tests to identify uncovered faults in the operation of 
the product;
    (vi) The extent to which identified faults are effectively 
addressed;
    (vii) Whether the risk assessment for the previous condition was 
conducted using the same methodology as that for operation under the 
proposed condition; and
    (viii) If an independent third-party assessment is required or is 
performed at the election of the supplier or railroad, the extent to 
which the results of the assessment are favorable.
    (3) The Associate Administrator for Safety also considers when 
assessing PSPs the safety requirements for the product within the 
context of the proposed method of operations, including:
    (i) The degree to which the product is relied upon as the primary 
safety system for train operations; and
    (ii) The degree to which the product is overlaid upon and its 
operation is demonstrated to be independent of safety-relevant rules, 
practices and systems that will remain in place following the change 
under review.
    (4) As necessary to ensure compliance with this subpart and with the 
RSPP, FRA may attach special conditions to the approval of the petition.
    (5) Following the approval of a petition, FRA may reopen 
consideration of the petition for cause. Cause for reopening a petition 
includes such circumstances as a credible allegation of error or fraud, 
assumptions determined to be invalid as a result of in-service 
experience, or one or more unsafe events calling into question the 
safety analysis underlying the approval.
    (h) Under what circumstances may a third-party assessment be 
required, and by whom may it be conducted? (1) The PSP must be supported 
by an independent third party assessment of the product when FRA 
concludes it is necessary based upon consideration of the following 
factors:
    (i) Those factors listed in paragraphs (g)(2)(i) through (g)(2)(vii) 
of this section;
    (ii) The sufficiency of the assessment or audit previously conducted 
at the election of a supplier or railroad; and
    (iii) Whether applicable requirements of subparts A through G of 
this part are satisfied.

[[Page 860]]

    (2) As used in this section, ``independent third party'' means a 
technically competent entity responsible to and compensated by the 
railroad (or an association on behalf of one or more railroads) that is 
independent of the supplier of the product. An entity that is owned or 
controlled by the supplier, that is under common ownership or control 
with the supplier, or that is otherwise involved in the development of 
the product is not considered ``independent'' within the meaning of this 
section. FRA may maintain a roster of recognized technically competent 
entities as a service to railroads selecting reviewers under this 
section; however, a railroad is not limited to entities currently listed 
on any such roster.
    (3) The third-party assessment must, at a minimum, consist of the 
activities and result in production of documentation meeting the 
requirements of Appendix D to this part. However, when requiring an 
assessment pursuant to this section, FRA specifies any requirements in 
Appendix D to this part which the agency has determined are not relevant 
to its concerns and, therefore, need not be included in the assessment. 
The railroad shall make the final assessment report available to FRA 
upon request.
    (i) How may a PSP be amended? A railroad may submit an amendment to 
a PSP at any time in the same manner as the initial PSP. Notwithstanding 
the otherwise applicable requirements found in this section and Sec. 
236.915, changes affecting the safety-critical functionality of a 
product may be made prior to the submission and approval of the PSP 
amendment as necessary in order to mitigate risk.
    (j) How may field testing be conducted prior to PSP approval? (1) 
Field testing of a product may be conducted prior to the approval of a 
PSP by the submission of an informational filing by a railroad. The FRA 
will arrange to monitor the tests based on the information provided in 
the filing, which must include:
    (i) A complete description of the product;
    (ii) An operational concepts document;
    (iii) A complete description of the specific test procedures, 
including the measures that will be taken to protect trains and on-track 
equipment;
    (iv) An analysis of the applicability of the requirements of 
subparts A through G of this part to the product that will not apply 
during testing;
    (v) The date testing will begin;
    (vi) The location of the testing; and
    (vii) A description of any effect the testing will have on the 
current method of operation.
    (2) FRA may impose such additional conditions on this testing as may 
be necessary for the safety of train operations. Exemptions from 
regulations other than those contained in this part must be requested 
through waiver procedures in part 211 of this chapter.

[70 FR 11095, Mar. 7, 2005, as amended at 70 FR 72385, Dec. 5, 2005; 74 
FR 25174, May 27, 2009]



Sec. 236.915  Implementation and operation.

    (a) When may a product be placed or retained in service? (1) Except 
as stated in paragraphs (a)(2) and (a)(3) of this section, a railroad 
may operate in revenue service any product 180 days after filing with 
FRA the informational filing for that product. The FRA filing date can 
be found in FRA's acknowledgment letter referred to in Sec. 
236.913(c)(2).
    (2) Except as stated in paragraph (a)(3) of this section, if FRA 
approval is required for a product, the railroad shall not operate the 
product in revenue service until after the Associate Administrator for 
Safety has approved the petition for approval for that product pursuant 
to Sec. 236.913.
    (3) If after product implementation FRA elects, for cause, to treat 
the informational filing for the product as a petition for approval, the 
product may remain in use if otherwise consistent with the applicable 
law and regulations. FRA may impose special conditions for use of the 
product during the period of review for cause.
    (b) How does the PSP relate to operation of the product? Each 
railroad shall comply with all provisions in the PSP for each product it 
uses and shall operate within the scope of initial operational 
assumptions and predefined changes identified by the PSP. Railroads may 
at any time submit an

[[Page 861]]

amended PSP according to the procedures outlined in Sec. 236.913.
    (c) What precautions must be taken prior to interference with the 
normal functioning of a product? The normal functioning of any safety-
critical product must not be interfered with in testing or otherwise 
without first taking measures to provide for safe movement of trains, 
locomotives, roadway workers and on-track equipment that depend on 
normal functioning of such product.
    (d) What actions must be taken immediately upon failure of a safety-
critical component? When any safety-critical product component fails to 
perform its intended function, the cause must be determined and the 
faulty component adjusted, repaired, or replaced without undue delay. 
Until repair of such essential components are completed, a railroad 
shall take appropriate action as specified in the PSP. See also 
Sec. Sec. 236.907(d), 236.917(b).



Sec. 236.917  Retention of records.

    (a) What life-cycle and maintenance records must be maintained? (1) 
The railroad shall maintain at a designated office on the railroad:
    (i) For the life-cycle of the product, adequate documentation to 
demonstrate that the PSP meets the safety requirements of the railroad's 
RSPP and applicable standards in this subpart, including the risk 
assessment; and
    (ii) An Operations and Maintenance Manual, pursuant to Sec. 
236.919; and
    (iii) Training records pursuant to Sec. 236.923(b).
    (2) Results of inspections and tests specified in the PSP must be 
recorded as prescribed in Sec. 236.110.
    (3) Contractors of the railroad shall maintain at a designated 
office training records pursuant to Sec. 236.923(b).
    (b) What actions must the railroad take in the event of occurrence 
of a safety-relevant hazard? After the product is placed in service, the 
railroad shall maintain a database of all safety-relevant hazards as set 
forth in the PSP and those that had not been previously identified in 
the PSP. If the frequency of the safety-relevant hazards exceeds the 
threshold set forth in the PSP (see Sec. 236.907(a)(6)), then the 
railroad shall:
    (1) Report the inconsistency in writing (by mail, facsimile, e-mail, 
or hand delivery to the Director, Office of Safety Assurance and 
Compliance, FRA, 1200 New Jersey Avenue, SE., Mail Stop 25, Washington, 
DC 20590, within 15 days of discovery. Documents that are hand delivered 
must not be enclosed in an envelope;
    (2) Take prompt countermeasures to reduce the frequency of the 
safety-relevant hazard(s) below the threshold set forth in the PSP; and
    (3) Provide a final report to the FRA Director, Office of Safety 
Assurance and Compliance, on the results of the analysis and 
countermeasures taken to reduce the frequency of the safety-relevant 
hazard(s) below the threshold set forth in the PSP when the problem is 
resolved.

[70 FR 11095, Mar. 7, 2005, as amended at 74 FR 25174, May 27, 2009]



Sec. 236.919  Operations and Maintenance Manual.

    (a) The railroad shall catalog and maintain all documents as 
specified in the PSP for the installation, maintenance, repair, 
modification, inspection, and testing of the product and have them in 
one Operations and Maintenance Manual, readily available to persons 
required to perform such tasks and for inspection by FRA and FRA-
certified State inspectors.
    (b) Plans required for proper maintenance, repair, inspection, and 
testing of safety-critical products must be adequate in detail and must 
be made available for inspection by FRA and FRA-certified State 
inspectors where such products are deployed or maintained. They must 
identify all software versions, revisions, and revision dates. Plans 
must be legible and correct.
    (c) Hardware, software, and firmware revisions must be documented in 
the Operations and Maintenance Manual according to the railroad's 
configuration management control plan and any additional configuration/
revision control measures specified in the PSP.
    (d) Safety-critical components, including spare equipment, must be 
positively identified, handled, replaced, and repaired in accordance 
with the procedures specified in the PSP.

[[Page 862]]



Sec. 236.921  Training and qualification program, general.

    (a) When is training necessary and who must be trained? Employers 
shall establish and implement training and qualification programs for 
products subject to this subpart. These programs must meet the minimum 
requirements set forth in the PSP and in Sec. Sec. 236.923 through 
236.929 as appropriate, for the following personnel:
    (1) Persons whose duties include installing, maintaining, repairing, 
modifying, inspecting, and testing safety-critical elements of the 
railroad's products, including central office, wayside, or onboard 
subsystems;
    (2) Persons who dispatch train operations (issue or communicate any 
mandatory directive that is executed or enforced, or is intended to be 
executed or enforced, by a train control system subject to this 
subpart);
    (3) Persons who operate trains or serve as a train or engine crew 
member subject to instruction and testing under part 217 of this 
chapter, on a train operating in territory where a train control system 
subject to this subpart is in use;
    (4) Roadway workers whose duties require them to know and understand 
how a train control system affects their safety and how to avoid 
interfering with its proper functioning; and
    (5) The direct supervisors of persons listed in paragraphs (a)(1) 
through (a)(4) of this section.
    (b) What competencies are required? The employer's program must 
provide training for persons who perform the functions described in 
paragraph (a) of this section to ensure that they have the necessary 
knowledge and skills to effectively complete their duties related to 
processor-based signal and train control equipment.



Sec. 236.923  Task analysis and basic requirements.

    (a) How must training be structured and delivered? As part of the 
program required by Sec. 236.921, the employer shall, at a minimum:
    (1) Identify the specific goals of the training program with regard 
to the target population (craft, experience level, scope of work, etc.), 
task(s), and desired success rate;
    (2) Based on a formal task analysis, identify the installation, 
maintenance, repair, modification, inspection, testing, and operating 
tasks that must be performed on a railroad's products. This includes the 
development of failure scenarios and the actions expected under such 
scenarios;
    (3) Develop written procedures for the performance of the tasks 
identified;
    (4) Identify the additional knowledge, skills, and abilities above 
those required for basic job performance necessary to perform each task;
    (5) Develop a training curriculum that includes classroom, 
simulator, computer-based, hands-on, or other formally structured 
training designed to impart the knowledge, skills, and abilities 
identified as necessary to perform each task;
    (6) Prior to assignment of related tasks, require all persons 
mentioned in Sec. 236.921(a) to successfully complete a training 
curriculum and pass an examination that covers the product and 
appropriate rules and tasks for which they are responsible (however, 
such persons may perform such tasks under the direct onsite supervision 
of a qualified person prior to completing such training and passing the 
examination);
    (7) Require periodic refresher training at intervals specified in 
the PSP that includes classroom, simulator, computer-based, hands-on, or 
other formally structured training and testing, except with respect to 
basic skills for which proficiency is known to remain high as a result 
of frequent repetition of the task; and
    (8) Conduct regular and periodic evaluations of the effectiveness of 
the training program specified in Sec. 236.923(a)(1) verifying the 
adequacy of the training material and its validity with respect to 
current railroads products and operations.
    (b) What training records are required? Employers shall retain 
records which designate persons who are qualified under this section 
until new designations are recorded or for at least one year after such 
persons leave applicable service. These records shall be kept in a 
designated location and be available for inspection and replication by

[[Page 863]]

FRA and FRA-certified State inspectors.



Sec. 236.925  Training specific to control office personnel.

    Any person responsible for issuing or communicating mandatory 
directives in territory where products are or will be in use must be 
trained in the following areas, as applicable:
    (a) Instructions concerning the interface between the computer-aided 
dispatching system and the train control system, with respect to the 
safe movement of trains and other on-track equipment;
    (b) Railroad operating rules applicable to the train control system, 
including provision for movement and protection of roadway workers, 
unequipped trains, trains with failed or cut-out train control onboard 
systems, and other on-track equipment; and
    (c) Instructions concerning control of trains and other on-track 
equipment in case the train control system fails, including periodic 
practical exercises or simulations, and operational testing under part 
217 of this chapter to ensure the continued capability of the personnel 
to provide for safe operations under the alternative method of 
operation.



Sec. 236.927  Training specific to locomotive engineers and other operating personnel.

    (a) What elements apply to operating personnel? Training provided 
under this subpart for any locomotive engineer or other person who 
participates in the operation of a train in train control territory must 
be defined in the PSP and the following elements must be addressed:
    (1) Familiarization with train control equipment onboard the 
locomotive and the functioning of that equipment as part of the system 
and in relation to other onboard systems under that person's control;
    (2) Any actions required of the onboard personnel to enable, or 
enter data to, the system, such as consist data, and the role of that 
function in the safe operation of the train;
    (3) Sequencing of interventions by the system, including pre-
enforcement notification, enforcement notification, penalty application 
initiation and post-penalty application procedures;
    (4) Railroad operating rules applicable to the train control system, 
including provisions for movement and protection of any unequipped 
trains, or trains with failed or cut-out train control onboard systems 
and other on-track equipment;
    (5) Means to detect deviations from proper functioning of onboard 
train control equipment and instructions regarding the actions to be 
taken with respect to control of the train and notification of 
designated railroad personnel; and
    (6) Information needed to prevent unintentional interference with 
the proper functioning of onboard train control equipment.
    (b) How must locomotive engineer training be conducted? Training 
required under this subpart for a locomotive engineer, together with 
required records, must be integrated into the program of training 
required by part 240 of this chapter.
    (c) What requirements apply to full automatic operation? The 
following special requirements apply in the event a train control system 
is used to effect full automatic operation of the train:
    (1) The PSP must identify all safety hazards to be mitigated by the 
locomotive engineer.
    (2) The PSP must address and describe the training required with 
provisions for the maintenance of skills proficiency. As a minimum, the 
training program must:
    (i) As described in Sec. 236.923(a)(2), develop failure scenarios 
which incorporate the safety hazards identified in the PSP, including 
the return of train operations to a fully manual mode;
    (ii) Provide training, consistent with Sec. 236.923(a), for safe 
train operations under all failure scenarios and identified safety 
hazards that affect train operations;
    (iii) Provide training, consistent with Sec. 236.923(a), for safe 
train operations under manual control; and
    (iv) Consistent with Sec. 236.923(a), ensure maintenance of manual 
train operating skills by requiring manual starting and stopping of the 
train for an appropriate number of trips and by one or more of the 
following methods:

[[Page 864]]

    (A) Manual operation of a train for a 4-hour work period;
    (B) Simulated manual operation of a train for a minimum of 4 hours 
in a Type I simulator as required; or
    (C) Other means as determined following consultation between the 
railroad and designated representatives of the affected employees and 
approved by the FRA. The PSP must designate the appropriate frequency 
when manual operation, starting, and stopping must be conducted, and the 
appropriate frequency of simulated manual operation.



Sec. 236.929  Training specific to roadway workers.

    (a) How is training for roadway workers to be coordinated with part 
214? Training required under this subpart for a roadway worker must be 
integrated into the program of instruction required under part 214, 
subpart C of this chapter (``Roadway Worker Protection''), consistent 
with task analysis requirements of Sec. 236.923. This training must 
provide instruction for roadway workers who provide protection for 
themselves or roadway work groups.
    (b) What subject areas must roadway worker training include? (1) 
Instruction for roadway workers must ensure an understanding of the role 
of processor-based signal and train control equipment in establishing 
protection for roadway workers and their equipment.
    (2) Instruction for roadway workers must ensure recognition of 
processor-based signal and train control equipment on the wayside and an 
understanding of how to avoid interference with its proper functioning.
    (3) Instructions concerning the recognition of system failures and 
the provision of alternative methods of on-track safety in case the 
train control system fails, including periodic practical exercises or 
simulations and operational testing under part 217 of this chapter to 
ensure the continued capability of roadway workers to be free from the 
danger of being struck by a moving train or other on-track equipment.



                Subpart I_Positive Train Control Systems

    Source: 75 FR 2699, Jan. 15, 2010, unless otherwise noted.



Sec. 236.1001  Purpose and scope.

    (a) This subpart prescribes minimum, performance-based safety 
standards for PTC systems required by 49 U.S.C. 20157, this subpart, or 
an FRA order, including requirements to ensure that the development, 
functionality, architecture, installation, implementation, inspection, 
testing, operation, maintenance, repair, and modification of those PTC 
systems will achieve and maintain an acceptable level of safety. This 
subpart also prescribes standards to ensure that personnel working with, 
and affected by, safety-critical PTC system related products receive 
appropriate training and testing.
    (b) Each railroad may prescribe additional or more stringent rules, 
and other special instructions, that are not inconsistent with this 
subpart.
    (c) This subpart does not exempt a railroad from compliance with any 
requirement of subparts A through H of this part or parts 233, 234, and 
235 of this chapter, unless:
    (1) It is otherwise explicitly excepted by this subpart; or
    (2) The applicable PTCSP, as defined under Sec. 236.1003 and 
approved by FRA under Sec. 236.1015, provides for such an exception per 
Sec. 236.1013.



Sec. 236.1003  Definitions.

    (a) Definitions contained in subparts G and H of this part apply 
equally to this subpart.
    (b) The following definitions apply to terms used only in this 
subpart unless otherwise stated:
    After-arrival mandatory directive means an authority to occupy a 
track which is issued to a train that is not effective and not to be 
acted upon until after the arrival and passing of a train, or trains, 
specifically identified in the authority.
    Associate Administrator means the FRA Associate Administrator for 
Railroad Safety/Chief Safety Officer.
    Class I railroad means a railroad which in the last year for which 
revenues were reported exceeded the

[[Page 865]]

threshold established under regulations of the Surface Transportation 
Board (49 CFR part 1201.1-1 (2008)).
    Cleartext means the un-encrypted text in its original, human 
readable, form. It is the input of an encryption or encipher process, 
and the output of an decryption or decipher process.
    Controlling locomotive means Locomotive, controlling, as defined in 
Sec. 232.5 of this chapter.
    Host railroad means a railroad that has effective operating control 
over a segment of track.
    Interoperability means the ability of a controlling locomotive to 
communicate with and respond to the PTC railroad's positive train 
control system, including uninterrupted movements over property 
boundaries.
    Limited operations means operations on main line track that have 
limited or no freight operations and are approved to be excluded from 
this subpart's PTC system implementation and operation requirements in 
accordance with Sec. 236.1019(c);
    Main line means, except as provided in Sec. 236.1019 or where all 
trains are limited to restricted speed within a yard or terminal area or 
on auxiliary or industry tracks, a segment or route of railroad tracks:
    (1) Of a Class I railroad, as documented in current timetables filed 
by the Class I railroad with the FRA under Sec. 217.7 of this title, 
over which 5,000,000 or more gross tons of railroad traffic is 
transported annually; or
    (2) Used for regularly scheduled intercity or commuter rail 
passenger service, as defined in 49 U.S.C. 24102, or both. Tourist, 
scenic, historic, or excursion operations as defined in part 238 of this 
chapter are not considered intercity or commuter passenger service for 
purposes of this part.
    Main line track exclusion addendum (``MTEA'') means the document 
submitted under Sec. Sec. 236.1011 and 236.1019 requesting to designate 
track as other than main line.
    Medium speed means, Speed, medium, as defined in subpart G of this 
part.
    NPI means a Notice of Product Intent (``NPI'') as further described 
in Sec. 236.1013.
    PIH materials means materials poisonous by inhalation, as defined in 
Sec. Sec. 171.8, 173.115, and 173.132 of this title.
    PTC means positive train control as further described in Sec. 
236.1005.
    PTCDP means a PTC Development Plan as further described in Sec. 
236.1013.
    PTCIP means a PTC Implementation Plan as required under 49 U.S.C. 
20157 and further described in Sec. 236.1011.
    PTCPVL means a PTC Product Vendor List as further described in Sec. 
236.1023.
    PTCSP means a PTC Safety Plan as further described in Sec. 
236.1015.
    PTC railroad means each Class I railroad and each entity providing 
regularly scheduled intercity or commuter rail passenger transportation 
required to implement or operate a PTC system.
    PTC System Certification means certification as required under 49 
U.S.C. 20157 and further described in Sec. Sec. 236.1009 and 236.1015.
    Request for Amendment (``RFA'') means a request for an amendment of 
a plan or system made by a PTC railroad in accordance with Sec. 
236.1021.
    Request for Expedited Certification (``REC'') means, as further 
described in Sec. 236.1031, a request by a railroad to receive 
expedited consideration for PTC System Certification.
    Restricted speed means, Speed, restricted, as defined in subpart G 
of this part.
    Safe State means a system state that, when the system fails, cannot 
cause death, injury, occupational illness, or damage to or loss of 
equipment or property, or damage to the environment.
    Segment of track means any part of the railroad where a train 
operates.
    Temporal separation means that passenger and freight operations do 
not operate on any segment of shared track during the same period and as 
further defined under Sec. 236.1019 and the process or processes in 
place to assure that result.
    Tenant railroad means a railroad, other than a host railroad, 
operating on track upon which a PTC system is required.
    Track segment means segment of track.

[[Page 866]]

    Type Approval means a number assigned to a particular PTC system 
indicating FRA agreement that the PTC system could fulfill the 
requirements of this subpart.
    Train means one or more locomotives, coupled with or without cars.

[75 FR 2699, Jan. 15, 2010, as amended at 77 FR 28305, May 14, 2012; 79 
FR 49716, Aug. 22, 2014]



Sec. 236.1005  Requirements for Positive Train Control systems.

    (a) PTC system requirements. Each PTC system required to be 
installed under this subpart shall:
    (1) Reliably and functionally prevent:
    (i) Train-to-train collisions--including collisions between trains 
operating over rail-to-rail at-grade crossings in accordance with the 
following risk-based table or alternative arrangements providing an 
equivalent level of safety as specified in an FRA approved PTCSP:

------------------------------------------------------------------------
         Crossing type              Max. speed      Protection required
------------------------------------------------------------------------
(A) Interlocking--one or more   <=40 miles per     Interlocking signal
 PTC routes intersecting with    hour.              arrangement in
 one or more non-PTC routes.                        accordance with the
                                                    requirements of
                                                    subparts A-G of this
                                                    part and PTC
                                                    enforced stop on PTC
                                                    routes.
(B) Interlocking--one or more   40      Interlocking signal
 PTC routes intersecting with    miles per hour.    arrangement in
 one or more non-PTC routes.                        accordance with the
                                                    requirements of
                                                    subparts A-G of this
                                                    part, PTC enforced
                                                    stop on all PTC
                                                    routes, and either
                                                    the use of other
                                                    than full PTC
                                                    technology that
                                                    provides positive
                                                    stop enforcement or
                                                    a split-point derail
                                                    incorporated into
                                                    the signal system
                                                    accompanied by 20
                                                    miles per hour
                                                    maximum allowable
                                                    speed on the
                                                    approach of any
                                                    intersecting non-PTC
                                                    route.
(C) Interlocking--all PTC       Any speed........  Interlocking signal
 routes intersecting.                               arrangements in
                                                    accordance with the
                                                    requirements of
                                                    subparts A-G of this
                                                    part, and PTC
                                                    enforced stop on all
                                                    routes.
------------------------------------------------------------------------

    (ii) Overspeed derailments, including derailments related to 
railroad civil engineering speed restrictions, slow orders, and 
excessive speeds over switches and through turnouts;
    (iii) Incursions into established work zone limits without first 
receiving appropriate authority and verification from the dispatcher or 
roadway worker in charge, as applicable and in accordance with part 214 
of this chapter; and
    (iv) The movement of a train through a main line switch in the 
improper position as further described in paragraph (e) of this section.
    (2) Include safety-critical integration of all authorities and 
indications of a wayside or cab signal system, or other similar 
appliance, method, device, or system of equivalent safety, in a manner 
by which the PTC system shall provide associated warning and enforcement 
to the extent, and except as, described and justified in the FRA 
approved PTCDP or PTCSP, as applicable;
    (3) As applicable, perform the additional functions specified in 
this subpart;
    (4) Provide an appropriate warning or enforcement when:
    (i) A derail or switch protecting access to the main line required 
by Sec. 236.1007, or otherwise provided for in the applicable PTCSP, is 
not in its derailing or protecting position, respectively;
    (ii) A mandatory directive is issued associated with a highway-rail 
grade crossing warning system malfunction as required by Sec. Sec. 
234.105, 234.106, or 234.107;
    (iii) An after-arrival mandatory directive has been issued and the 
train or trains to be waited on has not yet passed the location of the 
receiving train;
    (iv) Any movable bridge within the route ahead is not in a position 
to allow permissive indication for a train movement pursuant to Sec. 
236.312; and
    (v) A hazard detector integrated into the PTC system that is 
required by paragraph (c) of this section, or otherwise provided for in 
the applicable PTCSP, detects an unsafe condition or transmits an alarm; 
and

[[Page 867]]

    (5) Limit the speed of passenger and freight trains to 59 miles per 
hour and 49 miles per hour, respectively, in areas without broken rail 
detection or equivalent safeguards.
    (b) PTC system installation--(1) Lines required to be equipped. 
Except as otherwise provided in this subpart, each Class I railroad and 
each railroad providing or hosting intercity or commuter passenger 
service shall progressively equip its lines as provided in its approved 
PTCIP such that a PTC system certified under Sec. 236.1015 is installed 
and operated by the host railroad on each:
    (i) Main line over which is transported any quantity of material 
poisonous by inhalation (PIH), including anhydrous ammonia, as defined 
in Sec. Sec. 171.8, 173.115 and 173.132 of this title;
    (ii) Main line used for regularly provided intercity or commuter 
passenger service, except as provided in Sec. 236.1019; and
    (iii) Additional line of railroad as required by the applicable FRA 
approved PTCIP, this subpart, or an FRA order requiring installation of 
a PTC system by that date.
    (2) Initial baseline identification of lines. For the purposes of 
paragraph (b)(1)(i) of this section, the baseline information necessary 
to determine whether a Class I railroad's track segment shall be 
equipped with a PTC system shall be determined and reported as follows:
    (i) The traffic density threshold of 5 million gross tons shall be 
based upon calendar year 2008 gross tonnage, except to the extent that 
traffic may fall below 5 million gross tons for two consecutive calendar 
years and a PTCIP or an RFA reflecting this change is filed and approved 
under paragraph (b)(4) of this section and, if applicable, Sec. 
236.1021.
    (ii) The presence or absence of any quantity of PIH hazardous 
materials shall be determined by whether one or more cars containing 
such product(s) was transported over the track segment in calendar year 
2008 or prior to the filing of the PTCIP, except to the extent that the 
PTCIP or RFA justifies, under paragraph (b)(4) of this section, removal 
of the subject track segment from the PTCIP listing of lines to be 
equipped.
    (3) Addition of track segments. To the extent increases in freight 
rail traffic occur subsequent to calendar year 2008 that might affect 
the requirement to install a PTC system on any line not yet equipped, 
the railroad shall seek to amend its PTCIP by promptly filing an RFA in 
accordance with Sec. 236.1021. The following criteria apply:
    (i) If rail traffic exceeds 5 million gross tons in any year after 
2008, the tonnage shall be calculated for the preceding two calendar 
years and if the total tonnage for those two calendar years exceeds 10 
million gross tons, a PTCIP or its amendment is required.
    (ii) If PIH traffic is carried on a track segment as a result of a 
request for rail service or rerouting warranted under part 172 of this 
title, and if the line carries in excess of 5 million gross tons of rail 
traffic as determined under this paragraph, a PTCIP or its amendment is 
required. This does not apply when temporary rerouting is authorized in 
accordance with paragraph (g) of this section.
    (iii) Once a railroad is notified by FRA that its RFA filed in 
accordance with this paragraph has been approved, the railroad shall 
equip the line with the applicable PTC system by December 31, 2015, or 
within 24 months, whichever is later.
    (4) Exclusion or removal of track segments from PTC baseline--(i) 
Routing changes. In a PTCIP or an RFA, a railroad may request review of 
the requirement to install PTC on a track segment where a PTC system is 
otherwise required by this section, but has not yet been installed, 
based upon changes in rail traffic such as reductions in total traffic 
volume to a level below 5 million gross tons annually, cessation of 
passenger service or the approval of an MTEA, or the cessation of PIH 
materials traffic. Any such request shall be accompanied by estimated 
traffic projections for the next 5 years (e.g., as a result of planned 
rerouting, coordinations, or location of new business on the line).
    (ii) FRA will approve the exclusion requested pursuant to paragraph 
(b)(4)(i) of this section if the railroad

[[Page 868]]

establishes that, as of December 31, 2015:
    (A) No passenger service will be present on the involved track 
segment or the passenger service will be subject to an MTEA approved in 
accordance with 49 CFR 236.1019; and
    (B) No PIH traffic will be present on the involved track segment or 
the gross tonnage on the involved track segment will decline to below 5 
million gross tons annually as computed over a 2-year period.
    (iii) Freight lines with de minimis risk not used for regularly 
provided intercity or commuter rail passenger service. (A) In a PTCIP or 
an RFA, a railroad may request review of the requirement to install a 
PTC system on a track segment where a PTC system is otherwise required 
by this section, but has not yet been installed, based upon the presence 
of a minimal quantity of PIH materials traffic. Any such request shall 
be accompanied by estimated traffic projections for the next 5 years 
(e.g., as a result of planned rerouting, coordination, or location of 
new business on the line). Where the request involves prior or planned 
rerouting of PIH materials traffic, the railroad must provide the 
information and analysis identified in paragraph (b)(4)(i) of this 
section. The submission shall also include a full description of 
potential safety hazards on the segment of track and fully describe 
train operations over the line. This paragraph does not apply to line 
segments used for commuter rail or intercity rail passenger service.
    (B) Absent special circumstances related to specific hazards 
presented by operations on the line segment, FRA will approve a request 
for relief under this paragraph for a rail line segment that meets all 
of the following criteria:
    (1) That carries less than 15 million gross tons annually;
    (2) That does not have a heavy grade as ``heavy grade'' is defined 
in Sec. 232.407 of this chapter for any train operating over the track 
segment;
    (3) Where the railroad adopts and complies with an operating rule 
requiring the crew of any train approaching working limits established 
under part 214 of this chapter to notify the roadway worker in charge of 
the train's approach at least 2 miles in advance of the working limits 
or, if the train crew does not have advance knowledge of the working 
limits, as soon as practical;
    (4) That carries fewer than 100 cars containing PIH materials per 
year, excluding those cars containing only a residue, as defined in 
Sec. 171.8 of this title, of PIH materials;
    (5) That carries 2 or fewer trains per day carrying any quantity of 
PIH materials;
    (6) Where trains carrying any quantity of PIH materials operate at 
speeds not to exceed 40 miles per hour; and
    (7) Where any train transporting a car containing any quantity of 
PIH materials is operated with a vacant block ahead of and behind the 
train.
    (C) FRA may, in its discretion, approve other track segments not 
used for regularly provided intercity or commuter passenger service that 
have posed an equivalent or lesser level of risk of a PTC-preventable 
accident or PIH materials release as those track segments covered by 
paragraph (b)(4)(iii)(B) of this section, where such other track 
segments are similar to those covered by paragraph (b)(4)(iii)(B) of 
this section.
    (D) Failure to submit sufficient information will result in the 
denial of any request under this paragraph (b)(4)(ii). If the request is 
granted, on and after the date the line would have otherwise been 
required to be equipped under the schedule contained in the PTCIP and 
approved by FRA, operations on the line shall be conducted in accordance 
with any conditions attached to the grant, including implementation of 
proposed mitigations as applicable.
    (5) Line sales. FRA does not approve removal of a line from the 
PTCIP exclusively based upon a representation that a track segment will 
be abandoned or sold to another railroad. In the event a track segment 
is approved for abandonment or transfer by the Surface Transportation 
Board, FRA will review at the request of the transferring and acquiring 
railroads whether the requirement to install PTC on the line should be 
removed given all of the circumstances, including expected traffic and 
hazardous materials levels, reservation of trackage or haulage rights

[[Page 869]]

by the transferring railroad, routing analysis under part 172 of this 
chapter, commercial and real property arrangements affecting the 
transferring and acquiring railroads post-transfer, and such other 
factors as may be relevant to continue safe operations on the line. If 
FRA denies the request, the acquiring railroad shall install the PTC 
system on the schedule provided in the transferring railroad's PTCIP, 
without regard to whether it is a Class I railroad.
    (6) New rail passenger service. No new intercity or commuter rail 
passenger service shall commence after December 31, 2020, until a PTC 
system certified under this subpart has been installed and made 
operative.
    (7) Implementation deadlines. (i) Each railroad must complete full 
implementation of its PTC system by December 31, 2018.
    (ii) A railroad is excepted from paragraph (b)(7)(i) of this section 
and must complete full implementation of its PTC system by December 31, 
2020, or the date specified in its approved alternative schedule and 
sequence, whichever is earlier, only if the railroad:
    (A) Installs all PTC hardware and acquires all spectrum necessary to 
implement its PTC system by December 31, 2018;
    (B) Submits an alternative schedule and sequence providing for 
implementation of positive train control system as soon as practicable, 
but not later than December 31, 2020;
    (C) Notifies the Associate Administrator in writing that it is 
prepared for review of its alternative schedule and sequence under 49 
U.S.C. 20157(a)(3)(B); and
    (D) Receives FRA approval of its alternative schedule and sequence.
    (iii) If a railroad meets the criteria in paragraph (b)(7)(ii) of 
this section, the railroad must adhere to its approved alternative 
schedule and sequence and any of its subsequently approved amendments or 
required modifications.
    (c) Hazard detectors. (1) All hazard detectors integrated into a 
signal or train control system on or after October 16, 2008, shall be 
integrated into PTC systems required by this subpart; and their warnings 
shall be appropriately and timely enforced as described in the 
applicable PTCSP.
    (2) The applicable PTCSP must provide for receipt and presentation 
to the locomotive engineer and other train crew members of warnings from 
any additional hazard detectors using the PTC data network, onboard 
displays, and audible alerts. If the PTCSP so provides, the action to be 
taken by the system and by the crew members shall be specified.
    (3) The PTCDP (as applicable) and PTCSP for any new service 
described in Sec. 236.1007 to be conducted above 90 miles per hour 
shall include a hazard analysis describing the hazards relevant to the 
specific route(s) in question (e.g., potential for track obstruction due 
to events such as falling rock or undermining of the track structure due 
to high water or displacement of a bridge over navigable waters), the 
basis for decisions concerning hazard detectors provided, and the manner 
in which such additional hazard detectors will be interfaced with the 
PTC system.
    (d) Event recorders. (1) Each lead locomotive, as defined in part 
229, of a train equipped and operating with a PTC system required by 
this subpart must be equipped with an operative event recorder, which 
shall:
    (i) Record safety-critical train control data routed to the 
locomotive engineer's display that the engineer is required to comply 
with;
    (ii) Specifically include text messages conveying mandatory 
directives, maximum authorized speeds, PTC system brake warnings, PTC 
system brake enforcements, and the state of the PTC system (e.g., cut 
in, cut out, active, or failed); and
    (iii) Include examples of how the captured data will be displayed 
during playback along with the format, content, and data retention 
duration requirements specified in the PTCSP submitted and approved 
pursuant to this paragraph. If such train control data can be calibrated 
against other data required by this part, it may, at the election of the 
railroad, be retained in a separate memory module.
    (2) Each lead locomotive, as defined in part 229, manufactured and 
in service after October 1, 2009, that is

[[Page 870]]

equipped and operating with a PTC system required by this subpart, shall 
be equipped with an event recorder memory module meeting the crash 
hardening requirements of Sec. 229.135 of this chapter.
    (3) Nothing in this subpart excepts compliance with any of the event 
recorder requirements contained in Sec. 229.135 of this chapter.
    (e) Switch position. The following requirements apply with respect 
to determining proper switch position under this section. When a main 
line switch position is unknown or improperly aligned for a train's 
route in advance of the train's movement, the PTC system will provide 
warning of the condition associated with the following enforcement:
    (1) A PTC system shall enforce restricted speed over any switch:
    (i) Where train movements are made with the benefit of the 
indications of a wayside or cab signal system or other similar 
appliance, method, device, or system of equivalent safety proposed to 
FRA and approved by the Associate Administrator in accordance with this 
part; and
    (ii) Where wayside or cab signal system or other similar appliance, 
method, device, or system of equivalent safety, requires the train to be 
operated at restricted speed.
    (2) A PTC system shall enforce a positive stop short of any main 
line switch, and any switch on a siding where the allowable speed is in 
excess of 20 miles per hour, if movement of the train over the switch:
    (i) Is made without the benefit of the indications of a wayside or 
cab signal system or other similar appliance, method, device, or system 
of equivalent safety proposed to FRA and approved by the Associate 
Administrator in accordance with this part; or
    (ii) Would create an unacceptable risk. Unacceptable risk includes 
conditions when traversing the switch, even at low speeds, could result 
in direct conflict with the movement of another train (including a hand-
operated crossover between main tracks, a hand-operated crossover 
between a main track and an adjoining siding or auxiliary track, or a 
hand-operated switch providing access to another subdivision or branch 
line, etc.).
    (3) A PTC system required by this subpart shall be designed, 
installed, and maintained to perform the switch position detection and 
enforcement described in paragraphs (e)(1) and (e)(2) of this section, 
except as provided for and justified in the applicable, FRA approved 
PTCDP or PTCSP.
    (4) The control circuit or electronic equivalent for all movement 
authorities over any switches, movable-point frogs, or derails shall be 
selected through circuit controller or functionally equivalent device 
operated directly by the switch points, derail, or by switch locking 
mechanism, or through relay or electronic device controlled by such 
circuit controller or functionally equivalent device, for each switch, 
movable-point frog, or derail in the route governed. Circuits or 
electronic equivalent shall be arranged so that any movement authorities 
less restrictive than those prescribed in paragraphs (e)(1) and (e)(2) 
of this section can only be provided when each switch, movable-point 
frog, or derail in the route governed is in proper position, and shall 
be in accordance with subparts A through G of this part, unless it is 
otherwise provided in a PTCSP approved under this subpart.
    (f) Train-to-train collision. A PTC system shall be considered to be 
configured to prevent train-to-train collisions within the meaning of 
paragraph (a) of this section if trains are required to be operated at 
restricted speed and if the onboard PTC equipment enforces the upper 
limits of the railroad's restricted speed rule (15 or 20 miles per 
hour). This application applies to:
    (1) Operating conditions under which trains are required by signal 
indication or operating rule to:
    (i) Stop before continuing; or
    (ii) Reduce speed to restricted speed and continue at restricted 
speed until encountering a more favorable indication or as provided by 
operating rule.
    (2) Operation of trains within the limits of a joint mandatory 
directive.
    (g) Temporary rerouting. A train equipped with a PTC system as 
required by this subpart may be temporarily rerouted onto a track not 
equipped with a PTC system and a

[[Page 871]]

train not equipped with a PTC system may be temporarily rerouted onto a 
track equipped with a PTC system as required by this subpart in the 
following circumstances:
    (1) Emergencies. In the event of an emergency--including conditions 
such as derailment, flood, fire, tornado, hurricane, earthquake, or 
other similar circumstance outside of the railroad's control--that would 
prevent usage of the regularly used track if:
    (i) The rerouting is applicable only until the emergency condition 
ceases to exist and for no more than 14 consecutive calendar days, 
unless otherwise extended by approval of the Associate Administrator;
    (ii) The railroad provides written or telephonic notification to the 
applicable Regional Administrator of the information listed in paragraph 
(i) of this section within one business day of the beginning of the 
rerouting made in accordance with this paragraph; and
    (iii) The conditions contained in paragraph (j) of this section are 
followed.
    (2) Planned maintenance. In the event of planned maintenance that 
would prevent usage of the regularly used track if:
    (i) The maintenance period does not exceed 30 days;
    (ii) A request is filed with the applicable Regional Administrator 
in accordance with paragraph (i) of this section no less than 10 
business days prior to the planned rerouting; and
    (iii) The conditions contained in paragraph (j) of this section are 
followed.
    (h) Rerouting requests. (1) For the purposes of paragraph (g)(2) of 
this section, the rerouting request shall be self-executing unless the 
applicable Regional Administrator responds with a notice disapproving of 
the rerouting or providing instructions to allow rerouting. Such 
instructions may include providing additional information to the 
Regional Administrator or Associate Administrator prior to the 
commencement of rerouting. Once the Regional Administrator responds with 
a notice under this paragraph, no rerouting may occur until the Regional 
Administrator or Associate Administrator provides his or her approval.
    (2) In the event the temporary rerouting described in paragraph 
(g)(2) of this section is to exceed 30 consecutive calendar days:
    (i) The railroad shall provide a request in accordance with 
paragraphs (i) and (j) of this section with the Associate Administrator 
no less than 10 business days prior to the planned rerouting; and
    (ii) The rerouting shall not commence until receipt of approval from 
the Associate Administrator.
    (i) Content of rerouting request. Each notice or request referenced 
in paragraph (g) and (h) of this section must indicate:
    (1) The dates that such temporary rerouting will occur;
    (2) The number and types of trains that will be rerouted;
    (3) The location of the affected tracks; and
    (4) A description of the necessity for the temporary rerouting.
    (j) Rerouting conditions. Rerouting of operations under paragraph 
(g) of this section may occur under the following conditions:
    (1) Where a train not equipped with a PTC system is rerouted onto a 
track equipped with a PTC system, or a train not equipped with a PTC 
system that is compatible and functionally responsive to the PTC system 
utilized on the line to which the train is being rerouted, the train 
shall be operated in accordance with Sec. 236.1029; or
    (2) Where any train is rerouted onto a track not equipped with a PTC 
system, the train shall be operated in accordance with the operating 
rules applicable to the line on which the train is rerouted.
    (k) Rerouting cessation. The applicable Regional Administrator may 
order a railroad to cease any rerouting provided under paragraph (g) or 
(h) of this section.

[75 FR 2699, Jan. 15, 2010, as amended at 75 FR 59117, Sept. 27, 2010; 
77 FR 28305, May 14, 2012; 79 FR 49716, Aug. 22, 2014; 81 FR 10128, Feb. 
29, 2016]



Sec. 236.1006  Equipping locomotives operating in PTC territory.

    (a) General. Except as provided in paragraph (b) of this section, 
each locomotive, locomotive consist, or train on

[[Page 872]]

any track segment equipped with a PTC system shall be controlled by a 
locomotive equipped with an onboard PTC apparatus that is fully 
operative and functioning in accordance with the applicable PTCSP 
approved under this subpart.
    (b) Exceptions. (1) Each railroad required to install PTC shall 
include in its PTCIP specific goals for progressive implementation of 
onboard systems and deployment of PTC-equipped locomotives such that the 
safety benefits of PTC are achieved through incremental growth in the 
percentage of controlling locomotives operating on PTC lines that are 
equipped with operative PTC onboard equipment. The PTCIP shall include a 
brief but sufficient explanation of how those goals will be achieved, 
including assignment of responsibilities within the organization. The 
goals shall be expressed as the percentage of trains operating on PTC-
equipped lines that are equipped with operative onboard PTC apparatus 
responsive to the wayside, expressed as an annualized (calendar year) 
percentage for the railroad as a whole.
    (2) [Reserved]
    (3) A train controlled by a locomotive with an onboard PTC apparatus 
that has failed en route is permitted to operate in accordance with 49 
U.S.C. 20157(j) or Sec. 236.1029, as applicable.
    (4) A train operated by a Class II or Class III railroad, including 
a tourist or excursion railroad, and controlled by a locomotive not 
equipped with an onboard PTC apparatus is permitted to operate on a PTC-
operated track segment:
    (i) That either:
    (A) Has no regularly scheduled intercity or commuter passenger rail 
traffic; or
    (B) Has regularly scheduled intercity or commuter passenger rail 
traffic and the applicable PTCIP permits the operation of a train 
operated by a Class II or III railroad and controlled by a locomotive 
not equipped with an onboard PTC apparatus;
    (ii) Where operations are restricted to four or less such unequipped 
trains per day, whereas a train conducting a ``turn'' operation (e.g., 
moving to a point of interchange to drop off or pick up cars and 
returning to the track owned by a Class II or III railroad) is 
considered two trains for this purpose; and
    (iii) Where each movement shall either:
    (A) Not exceed 20 miles in length; or
    (B) To the extent any movement exceeds 20 miles in length, such 
movement is not permitted without the controlling locomotive being 
equipped with an onboard PTC system after December 31, 2023, and each 
applicable Class II or III railroad shall report to FRA its progress in 
equipping each necessary locomotive with an onboard PTC apparatus to 
facilitate continuation of the movement. The progress reports shall be 
filed not later than December 31, 2020 and, if all necessary locomotives 
are not yet equipped, on December 31, 2022.
    (5) Freight yard movements. For the purpose of freight switching 
service or freight transfer train service, a locomotive, locomotive 
consist, or train may operate without onboard PTC apparatus installed or 
operational where an onboard PTC apparatus is otherwise required by this 
part only if all of the following six requirements and conditions are 
met:
    (i) The locomotive, locomotive consist, or train must be engaged in 
freight switching service or freight transfer train service, including 
yard, local, industrial, and hostling service, movements in connection 
with the assembling or disassembling of trains, and work trains;
    (ii) The movement must originate either:
    (A) In a yard; or
    (B) Within 20 miles of a yard with the yard as the final destination 
point;
    (iii) The locomotive, locomotive consist, or train shall not travel 
to a point in excess of 20 miles from its point of entry onto the PTC-
equipped main line track;
    (iv) The speed of the locomotive, locomotive consist, or train shall 
not exceed restricted speed, except if:
    (A) No other locomotive, locomotive consist, or train is operating 
on any part of the route without an operational onboard PTC apparatus;
    (B) No working limits are established under part 214 of this chapter 
on any part of the route; and

[[Page 873]]

    (C) Either an air brake test under part 232 of this chapter is 
performed, in which case the locomotive, locomotive consist, or train 
may proceed at a speed not to exceed 30 miles per hour; or an air brake 
test under part 232 of this chapter is not performed, in which case the 
locomotive, locomotive consist, or train may proceed at a speed not to 
exceed 20 miles per hour;
    (v) The speed of the locomotive, locomotive consist, or train shall 
not exceed restricted speed on PTC-equipped track where the route 
terminates; and
    (vi) The route of the locomotive or train is protected against 
conflicting operations by the PTC system and sufficient operating rules 
to protect against train-to-train collisions, as specified in the PTCSP.
    (vii) FRA may, in its discretion, approve yard movement procedures 
other than the yard movement procedures in paragraphs (b)(5)(i) through 
(b)(5)(vi) of this section in a PTCSP or an RFA that provide an 
equivalent or greater level of safety as the requirements of paragraphs 
(b)(5)(i) through (b)(5)(vi) of this section, where such procedures are 
similar to those of paragraphs (b)(5)(i) through (b)(5)(vi) of this 
section.
    (viii) A locomotive, locomotive consist, or train with an operative 
onboard PTC apparatus may assist a locomotive, locomotive consist, or 
train operating without an operative onboard PTC apparatus for purposes 
such as locomotive malfunction, rescue of locomotive or cars, or to add 
or remove power, provided that such a movement is made at restricted 
speed.
    (c) When a train movement is conducted under the exceptions 
described in paragraph (b)(4) of this section, that movement shall be 
made in accordance with Sec. 236.1029.
    (d) Onboard PTC apparatus. (1) The onboard PTC apparatus shall be so 
arranged that each member of the crew assigned to perform duties in the 
locomotive can receive the same PTC information displayed in the same 
manner and execute any functions necessary to that crew member's duties. 
The locomotive engineer shall not be required to perform functions 
related to the PTC system while the train is moving that have the 
potential to distract the locomotive engineer from performance of other 
safety-critical duties.
    (2) The onboard PTC apparatus may be distributed among multiple 
locomotives if such functionality is included with the applicable PTCSP 
approved under this subpart. The controlling locomotive shall be 
equipped with a fully operative interface that complies with paragraph 
(d)(1) of this section and is consistent with appendix E of this part.

[75 FR 2699, Jan. 15, 2010, as amended at 79 FR 49716, Aug. 22, 2014; 81 
FR 10129, Feb. 29, 2016]



Sec. 236.1007  Additional requirements for high-speed service.

    (a) A PTC railroad that conducts a passenger operation at or greater 
than 60 miles per hour or a freight operation at or greater than 50 
miles per hour shall have installed a PTC system including or working in 
concert with technology that includes all of the safety-critical 
functional attributes of a block signal system meeting the requirements 
of this part, including appropriate fouling circuits and broken rail 
detection (or equivalent safeguards).
    (b) In addition to the requirements of paragraph (a) of this 
section, a host railroad that conducts a freight or passenger operation 
at more than 90 miles per hour shall:
    (1) Have an approved PTCSP establishing that the system was designed 
and will be operated to meet the fail-safe operation criteria described 
in Appendix C to this part; and
    (2) Prevent unauthorized or unintended entry onto the main line from 
any track not equipped with a PTC system compliant with this subpart by 
placement of split-point derails or equivalent means integrated into the 
PTC system; and
    (3) Comply with Sec. 236.1029(c).
    (c) In addition to the requirements of paragraphs (a) and (b) of 
this section, a host railroad that conducts a freight or passenger 
operation at more than 125 miles per hour shall have an approved PTCSP 
accompanied by a document (``HSR-125'') establishing that the system:
    (1) Will be operated at a level of safety comparable to that 
achieved over

[[Page 874]]

the 5 year period prior to the submission of the PTCSP by other train 
control systems that perform PTC functions required by this subpart, and 
which have been utilized on high-speed rail systems with similar 
technical and operational characteristics in the United States or in 
foreign service, provided that the use of foreign service data must be 
approved by the Associate Administrator before submittal of the PTCSP; 
and
    (2) Has been designed to detect incursions into the right-of-way, 
including incidents involving motor vehicles diverting from adjacent 
roads and bridges, where conditions warrant.
    (d) In addition to the requirements of paragraphs (a) through (c) of 
this section, a host railroad that conducts a freight or passenger 
operation at more than 150 miles per hour, which is governed by a Rule 
of Particular Applicability, shall have an approved PTCSP accompanied by 
a HSR-125 developed as part of an overall system safety plan approved by 
the Associate Administrator.
    (e) A railroad providing existing high-speed passenger service may 
request in its PTCSP that the Associate Administrator excuse compliance 
with one or more requirements of this section upon a showing that the 
subject service has been conducted with a high level of safety.



Sec. 236.1009  Procedural requirements.

    (a) PTC Implementation Plan (PTCIP). (1) By April 16, 2010, each 
host railroad that is required to implement and operate a PTC system in 
accordance with Sec. 236.1005(b) shall develop and submit in accordance 
with Sec. 236.1011(a) a PTCIP for implementing a PTC system required 
under Sec. 236.1005. Filing of the PTCIP shall not exempt the required 
filings of an NPI, PTCSP, PTCDP, or Type Approval.
    (2) After April 16, 2010, a host railroad shall file:
    (i) A PTCIP if it becomes a host railroad of a main line track 
segment for which it is required to implement and operate a PTC system 
in accordance with Sec. 236.1005(b); or
    (ii) A request for amendment (``RFA'') of its current and approved 
PTCIP in accordance with Sec. 236.1021 if it intends to:
    (A) Initiate a new category of service (i.e., passenger or freight); 
or
    (B) Add, subtract, or otherwise materially modify one or more lines 
of railroad for which installation of a PTC system is required.
    (3) The host and tenant railroad(s) shall jointly file a PTCIP that 
addresses shared track:
    (i) If the host railroad is required to install and operate a PTC 
system on a segment of its track; and
    (ii) If the tenant railroad that shares the same track segment would 
have been required to install a PTC system if the host railroad had not 
otherwise been required to do so.
    (4) If railroads required to file a joint PTCIP are unable to 
jointly file a PTCIP in accordance with paragraphs (a)(1) and (a)(3) of 
this section, then each railroad shall:
    (i) Separately file a PTCIP in accordance with paragraph (a)(1);
    (ii) Notify the Associate Administrator that the subject railroads 
were unable to agree on a PTCIP to be jointly filed;
    (iii) Provide the Associate Administrator with a comprehensive list 
of all issues not in agreement between the railroads that would prevent 
the subject railroads from jointly filing the PTCIP; and
    (iv) Confer with the Associate Administrator to develop and submit a 
PTCIP mutually acceptable to all subject railroads.
    (5) Each railroad filing a PTCIP shall report annually, by March 31 
of each year, and until its PTC system implementation is complete, its 
progress towards fulfilling the goals outlined in its PTCIP under this 
part, including progress towards PTC system installation pursuant to 
Sec. 236.1005 and onboard PTC apparatus installation and use in PTC-
equipped track segments pursuant to Sec. 236.1006, as well as 
impediments to completion of each of the goals.
    (b) Type Approval. Each host railroad, individually or jointly with 
others such as a tenant railroad or system supplier, shall file prior to 
or simultaneously with the filing made in accordance with paragraph (a) 
of this section:

[[Page 875]]

    (1) An unmodified Type Approval previously issued by the Associate 
Administrator in accordance with Sec. 236.1013 or Sec. 236.1031(b) 
with its associated docket number;
    (2) A PTCDP requesting a Type Approval for:
    (i) A PTC system that does not have a Type Approval; or
    (ii) A PTC system with a previously issued Type Approval that 
requires one or more variances;
    (3) A PTCSP subject to the conditions set forth in paragraph (c) of 
this section, with or without a Type Approval; or
    (4) A document attesting that a Type Approval is not necessary since 
the host railroad has no territory for which a PTC system is required 
under this subpart.
    (c) Notice of Product Intent (NPI). A railroad may, in lieu of 
submitting a PTCDP, or referencing an already issued Type Approval, 
submit an NPI describing the functions of the proposed PTC system. If a 
railroad elects to file an NPI in lieu of a PTCDP or referencing an 
existing Type Approval with the PTCIP, and the PTCIP is otherwise 
acceptable to the Associate Administrator, the Associate Administrator 
may grant provisional approval of the PTCIP.
    (1) A provisional approval of a PTCIP, unless otherwise extended by 
the Associate Administrator, is valid for a period of 270 days from the 
date of approval by the Associate Administrator.
    (2) The railroad must submit an updated PTCIP with either a complete 
PTCDP as defined in Sec. 236.1013(a), an updated PTCIP referencing an 
already approved Type Approval, or a full PTCSP within 270 days after 
the ``Provisional Approval.''
    (i) Within 90 days of receipt of an updated PTCIP that was submitted 
with an NPI, the Associate Administrator will approve or disapprove of 
the updated PTCIP and notify in writing the affected railroad. If the 
updated PTCIP is not approved, the notification will include the plan's 
deficiencies. Within 30 days of receipt of that notification, the 
railroad or other entity that submitted the plan shall correct all 
deficiencies and resubmit the plan in accordance with this section and 
Sec. 236.1011, as applicable.
    (ii) If an update to a ``Provisionally Approved'' PTCIP is not 
received by the Associate Administrator by the end of the period 
indicated in this paragraph, the ``Provisional Approval'' given to the 
PTCIP is automatically revoked. The revocation is retroactive to the 
date the original PTCIP and NPI were first submitted to the Associate 
Administrator.
    (d) PTCSP and PTC System Certification. The following apply to each 
PTCSP and PTC System Certification.
    (1) A PTC System Certification for a PTC system may be obtained by 
submitting an acceptable PTCSP. If the PTC system is the subject of a 
Type Approval, the safety case elements contained in the PTCDP may be 
incorporated by reference into the PTCSP, subject to finalization of the 
human factors analysis contained in the PTCDP.
    (2) Each PTCSP requirement under Sec. 236.1015 shall be supported 
by information and analysis sufficient to establish that the 
requirements of this subpart have been satisfied.
    (3) If the Associate Administrator finds that the PTCSP and 
supporting documentation support a finding that the system complies with 
this part, the Associate Administrator may approve the PTCSP. If the 
Associate Administrator approves the PTCSP, the railroad shall receive 
PTC System Certification for the subject PTC system and shall implement 
the PTC system according to the PTCSP.
    (4) A required PTC system shall not:
    (i) Be used in service until it receives from FRA a PTC System 
Certification; and
    (ii) Receive a PTC System Certification unless FRA receives and 
approves an applicable:
    (A) PTCSP; or
    (B) Request for Expedited Certification (REC) as defined by Sec. 
236.1031(a).
    (e) Plan contents. (1) No PTCIP shall receive approval unless it 
complies with Sec. 236.1011. No railroad shall receive a Type Approval 
or PTC System Certification unless the applicable PTCDP or PTCSP, 
respectively, comply with Sec. Sec. 236.1013 and 236.1015, 
respectively.

[[Page 876]]

    (2) All materials filed in accordance with this subpart must be in 
the English language, or have been translated into English and attested 
as true and correct.
    (3) Each filing referenced in this section may include a request for 
full or partial confidentiality in accordance with Sec. 209.11 of this 
chapter. If confidentiality is requested as to a portion of any 
applicable document, then in addition to the filing requirements under 
Sec. 209.11 of this chapter, the person filing the document shall also 
file a copy of the original unredacted document, marked to indicate 
which portions are redacted in the document's confidential version 
without obscuring the original document's contents.
    (f) Supporting documentation and information. (1) Issuance of a Type 
Approval or PTC System Certification is contingent upon FRA's confidence 
in the implementation and operation of the subject PTC system. This 
confidence may be based on FRA-monitored field testing or an independent 
assessment performed in accordance with Sec. 236.1035 or Sec. 
236.1017, respectively.
    (2) Upon request by FRA, the railroad requesting a Type Approval or 
PTC System Certification must engage in field testing or independent 
assessment performed in accordance with Sec. 236.1035 or Sec. 
236.1017, respectively, to support the assertions made in any of the 
plans submitted under this subpart. These assertions include any of the 
plans' content requirements under this subpart.
    (g) FRA conditions, reconsiderations, and modifications. (1) As 
necessary to ensure safety, FRA may attach special conditions to 
approving a PTCIP or issuing a Type Approval or PTC System 
Certification.
    (2) After granting a Type Approval or PTC System Certification, FRA 
may reconsider the Type Approval or PTC System Certification upon 
revelation of any of the following factors concerning the contents of 
the PTCDP or PTCSP:
    (i) Potential error or fraud;
    (ii) Potentially invalidated assumptions determined as a result of 
in-service experience or one or more unsafe events calling into question 
the safety analysis supporting the approval.
    (3) During FRA's reconsideration in accordance with this paragraph, 
the PTC system may remain in use if otherwise consistent with the 
applicable law and regulations and FRA may impose special conditions for 
use of the PTC system.
    (4) After FRA's reconsideration in accordance with this paragraph, 
FRA may:
    (i) Dismiss its reconsideration and continue to recognize the 
existing FRA approved Type Approval or PTC System Certification;
    (ii) Allow continued operations under such conditions the Associate 
Administrator deems necessary to ensure safety; or
    (iii) Revoke the Type Approval or PTC System Certification and 
direct the railroad to cease operations where PTC systems are required 
under this subpart.
    (h) FRA access. The Associate Administrator, or that person's 
designated representatives, shall be afforded reasonable access to 
monitor, test, and inspect processes, procedures, facilities, documents, 
records, design and testing materials, artifacts, training materials and 
programs, and any other information used in the design, development, 
manufacture, test, implementation, and operation of the system, as well 
as interview any personnel:
    (1) Associated with a PTC system for which a Type Approval or PTC 
System Certification has been requested or provided; or
    (2) To determine whether a railroad has been in compliance with this 
subpart.
    (i) Foreign regulatory entity verification. Information that has 
been certified under the auspices of a foreign regulatory entity 
recognized by the Associate Administrator may, at the Associate 
Administrator's sole discretion, be accepted as independently Verified 
and Validated and used to support each railroad's development of the 
PTCSP.
    (j) Processing times for PTCDP and PTCSP.
    (1) Within 30 days of receipt of a PTCDP or PTCSP, the Associate 
Administrator will either acknowledge receipt or acknowledge receipt and 
request more information.

[[Page 877]]

    (2) To the extent practicable, considering the scope, complexity, 
and novelty of the product or change:
    (i) FRA will approve, approve with conditions, or deny the PTCDP 
within 60 days of the date on which the PTCDP was filed;
    (ii) FRA will approve, approve with conditions, or deny the PTCSP 
within 180 days of the date on which the PTCSP was filed;
    (iii) If FRA has not approved, approved with conditions, or denied 
the PTCDP or PTCSP within the 60-day or 180-day window, as applicable, 
FRA will provide the submitting party with a statement of reasons as to 
why the submission has not yet been acted upon and a projected deadline 
by which an approval or denial will be issued and any further 
consultations or inquiries will be resolved.

[75 FR 2699, Jan. 15, 2010, as amended at 79 FR 49717, Aug. 22, 2014; 81 
FR 10129, Feb. 29, 2016]



Sec. 236.1011  PTC Implementation Plan content requirements.

    (a) Contents. A PTCIP filed pursuant to this subpart shall, at a 
minimum, describe:
    (1) The functional requirements that the proposed system must meet;
    (2) How the PTC railroad intends to comply with Sec. Sec. 
236.1009(c) and (d);
    (3) How the PTC system will provide for interoperability of the 
system between the host and all tenant railroads on the track segments 
required to be equipped with PTC systems under this subpart and:
    (i) Include relevant provisions of agreements, executed by all 
applicable railroads, in place to achieve interoperability;
    (ii) List all methods used to obtain interoperability; and
    (iii) Identify any railroads with respect to which interoperability 
agreements have not been achieved as of the time the plan is filed, the 
practical obstacles that were encountered that prevented resolution, and 
the further steps planned to overcome those obstacles;
    (4) How, to the extent practical, the PTC system will be implemented 
to address areas of greater risk to the public and railroad employees 
before areas of lesser risk;
    (5) The sequence and schedule in which track segments will be 
equipped and the basis for those decisions, and shall at a minimum 
address the following risk factors by track segment:
    (i) Segment traffic characteristics such as typical annual passenger 
and freight train volume and volume of poison- or toxic-by-inhalation 
(PIH or TIH) shipments (loads, residue);
    (ii) Segment operational characteristics such as current method of 
operation (including presence or absence of a block signal system), 
number of tracks, and maximum allowable train speeds, including planned 
modifications; and
    (iii) Route attributes bearing on risk, including ruling grades and 
extreme curvature;
    (6) The following information relating to rolling stock:
    (i) What rolling stock will be equipped with PTC technology;
    (ii) The schedule to equip that rolling stock by the applicable 
deadline under Sec. 236.1005(b)(7);
    (iii) All documents and information required by Sec. 236.1006; and
    (iv) Unless the tenant railroad is filing its own PTCIP, the host 
railroad's PTCIP shall:
    (A) Attest that the host railroad has made a formal written request 
to each tenant railroad requesting identification of each item of 
rolling stock to be PTC system equipped and the date each will be 
equipped; and
    (B) Include each tenant railroad's response to the host railroad's 
written request made in accordance with paragraph (a)(6)(iv)(A) of this 
section;
    (7) The number of wayside devices required for each track segment 
and the installation schedule to complete wayside equipment installation 
by the applicable deadline under Sec. 236.1005(b)(7);
    (8) Identification of each track segment on the railroad as mainline 
or non-mainline track. If the PTCIP includes an MTEA, as defined by 
Sec. 236.1019, the PTCIP should identify the tracks included in the 
MTEA as main line track with a reference to the MTEA;

[[Page 878]]

    (9) To the extent the railroad determines that risk-based 
prioritization required by paragraph (a)(4) of this section is not 
practical, the basis for this determination; and
    (10) The dates the associated PTCDP and PTCSP, as applicable, will 
be submitted to FRA in accordance with Sec. 236.1009.
    (b) Additional Class I railroad PTCIP requirements. Each Class I 
railroad shall include:
    (1) In its PTCIP a strategy for full deployment of its PTC system, 
describing the criteria that it will apply in identifying additional 
rail lines on its own network, and rail lines of entities that it 
controls or engages in joint operations with, for which full or partial 
deployment of PTC technologies is appropriate, beyond those required to 
be equipped under this subpart. Such criteria shall include 
consideration of the policies established by 49 U.S.C. 20156 (railroad 
safety risk reduction program), and regulations issued thereunder, as 
well as non-safety business benefits that may accrue.
    (2) In the Technology Implementation Plan of its Risk Reduction 
Program, when first required to be filed in accordance with 49 U.S.C. 
20156 and any regulation promulgated thereunder, a specification of rail 
lines selected for full or partial deployment of PTC under the criteria 
identified in its PTCIP.
    (3) Nothing in this paragraph shall be construed to create an 
expectation or requirement that additional rail lines beyond those 
required to be equipped by this subpart must be equipped or that such 
lines will be equipped during the period of primary implementation 
ending on the applicable deadline under Sec. 236.1005(b)(7).
    (4) As used in this paragraph, ``partial implementation'' of a PTC 
system refers to use, pursuant to subpart H of this part, of technology 
embedded in PTC systems that does not employ all of the functionalities 
required by this subpart.
    (c) FRA review. Within 90 days of receipt of a PTCIP, the Associate 
Administrator will approve or disapprove of the plan and notify in 
writing the affected railroad or other entity. If the PTCIP is not 
approved, the notification will include the plan's deficiencies. Within 
30 days of receipt of that notification, the railroad or other entity 
that submitted the plan shall correct all deficiencies and resubmit the 
plan in accordance with Sec. 236.1009 and paragraph (a) of this 
section, as applicable.
    (d) Subpart H. A railroad that elects to install a PTC system when 
not required to do so may elect to proceed under this subpart or under 
subpart H of this part.
    (e) Upon receipt of a PTCIP, NPI, PTCDP, or PTCSP, FRA posts on its 
public web site notice of receipt and reference to the public docket in 
which a copy of the filing has been placed. FRA may consider any public 
comment on each document to the extent practicable within the time 
allowed by law and without delaying implementation of PTC systems.
    (f) The PTCIP shall be maintained to reflect the railroad's most 
recent PTC deployment plans until all PTC system deployments required 
under this subpart are complete.

[75 FR 2699, Jan. 15, 2010, as amended at 75 FR 59117, Sept. 27, 2010; 
81 FR 10129, Feb. 29, 2016]



Sec. 236.1013  PTC Development Plan and Notice of Product Intent
content requirements and Type Approval.

    (a) For a PTC system to obtain a Type Approval from FRA, the PTCDP 
shall be filed in accordance with Sec. 236.1009 and shall include:
    (1) A complete description of the PTC system, including a list of 
all PTC system components and their physical relationships in the 
subsystem or system;
    (2) A description of the railroad operation or categories of 
operations on which the PTC system is designed to be used, including 
train movement density (passenger, freight), operating speeds (including 
a thorough explanation of intended compliance with Sec. 236.1007), 
track characteristics, and railroad operating rules;
    (3) An operational concepts document, including a list with complete 
descriptions of all functions which the PTC system will perform to 
enhance or preserve safety;

[[Page 879]]

    (4) A document describing the manner in which the PTC system 
architecture satisfies safety requirements;
    (5) A preliminary human factors analysis, including a complete 
description of all human-machine interfaces and the impact of 
interoperability requirements on the same;
    (6) An analysis of the applicability to the PTC system of the 
requirements of subparts A through G of this part that may no longer 
apply or are satisfied by the PTC system using an alternative method, 
and a complete explanation of the manner in which those requirements are 
otherwise fulfilled;
    (7) A prioritized service restoration and mitigation plan and a 
description of the necessary security measures for the system;
    (8) A description of target safety levels (e.g., MTTHE for major 
subsystems as defined in subpart H of this part), including requirements 
for system availability and a description of all backup methods of 
operation and any critical assumptions associated with the target 
levels;
    (9) A complete description of how the PTC system will enforce 
authorities and signal indications;
    (10) A description of the deviation which may be proposed under 
Sec. 236.1029(c), if applicable; and
    (11) A complete description of how the PTC system will appropriately 
and timely enforce all integrated hazard detectors in accordance with 
Sec. 236.1005(c)(3), if applicable.
    (b) If the Associate Administrator finds that the system described 
in the PTCDP would satisfy the requirements for PTC systems under this 
subpart and that the applicant has made a reasonable showing that a 
system built to the stated requirements would achieve the level of 
safety mandated for such a system under Sec. 236.1015, the Associate 
Administrator may grant a numbered Type Approval for the system.
    (c) Each Type Approval shall be valid for a period of 5 years, 
subject to automatic and indefinite extension provided that at least one 
PTC System Certification using the subject PTC system has been issued 
within that period and not revoked.
    (d) The Associate Administrator may prescribe special conditions, 
amendments, and restrictions to any Type Approval as necessary for 
safety.
    (e) If submitted, an NPI must contain the following information:
    (1) A description of the railroad operation or categories of 
operations on which the proposed PTC system is designed to be used, 
including train movement density (passenger, freight), operating speeds 
(including a thorough explanation of intended compliance with Sec. 
236.1007), track characteristics, and railroad operating rules;
    (2) An operational concepts document, including a list with complete 
descriptions of all functions that the proposed PTC system will perform 
to enhance or preserve safety;
    (3) A description of target safety levels (e.g., MTTHE for major 
subsystems as defined in subpart H of this part), including requirements 
for system availability and a description of all backup methods of 
operation and any critical assumptions associated with the target 
levels;
    (4) A complete description of how the proposed PTC system will 
enforce authorities and signal indications; and
    (5) A complete description of how the proposed PTC system will 
appropriately and timely enforce all integrated hazard detectors in 
accordance with Sec. 236.1005(c)(3), if applicable.



Sec. 236.1015  PTC Safety Plan content requirements and PTC System 
Certification.

    (a) Before placing a PTC system required under this part in service, 
the host railroad must submit to FRA a PTCSP and receive a PTC System 
Certification. If the Associate Administrator finds that the PTCSP and 
supporting documentation support a finding that the system complies with 
this part, the Associate Administrator approves the PTCSP and issues a 
PTC System Certification. Receipt of a PTC System Certification affirms 
that the PTC system has been reviewed and approved by FRA in accordance 
with, and meets the requirements of, this part.
    (b) A PTCSP submitted under this subpart may reference and utilize 
in accordance with this subpart any Type Approval previously issued by 
the Associate Administrator to any railroad, provided that the railroad:

[[Page 880]]

    (1) Maintains a continually updated PTCPVL pursuant to Sec. 
236.1023;
    (2) Shows that the supplier from which they are procuring the PTC 
system has established and can maintain a quality control system for PTC 
system design and manufacturing acceptable to the Associate 
Administrator. The quality control system must include the process for 
the product supplier or vendor to promptly and thoroughly report any 
safety-relevant failure and previously unidentified hazards to each 
railroad using the product; and
    (3) Provides the applicable licensing information.
    (c) A PTCSP submitted in accordance with this subpart shall:
    (1) Include the FRA approved PTCDP or, if applicable, the FRA issued 
Type Approval;
    (2)(i) Specifically and rigorously document each variance, including 
the significance of each variance between the PTC system and its 
applicable operating conditions as described in the applicable PTCDP 
from that as described in the PTCSP, and attest that there are no other 
such variances; or
    (ii) Attest that there are no variances between the PTC system and 
its applicable operating conditions as described in the applicable PTCDP 
from that as described in the PTCSP; and
    (3) Attest that the system was otherwise built in accordance with 
the applicable PTCDP and PTCSP and achieves the level of safety 
represented therein.
    (d) A PTCSP shall include the same information required for a PTCDP 
under Sec. 236.1013(a). If a PTCDP has been filed and approved prior to 
filing of the PTCSP, the PTCSP may incorporate the PTCDP by reference, 
with the exception that a final human factors analysis shall be 
provided. The PTCSP shall contain the following additional elements:
    (1) A hazard log consisting of a comprehensive description of all 
safety-relevant hazards not previously addressed by the vendor or 
supplier to be addressed during the life-cycle of the PTC system, 
including maximum threshold limits for each hazard (for unidentified 
hazards, the threshold shall be exceeded at one occurrence);
    (2) A description of the safety assurance concepts that are to be 
used for system development, including an explanation of the design 
principles and assumptions;
    (3) A risk assessment of the as-built PTC system described;
    (4) A hazard mitigation analysis, including a complete and 
comprehensive description of each hazard and the mitigation techniques 
used;
    (5) A complete description of the safety assessment and Verification 
and Validation processes applied to the PTC system, their results, and 
whether these processes address the safety principles described in 
Appendix C to this part directly, using other safety criteria, or not at 
all;
    (6) A complete description of the railroad's training plan for 
railroad and contractor employees and supervisors necessary to ensure 
safe and proper installation, implementation, operation, maintenance, 
repair, inspection, testing, and modification of the PTC system;
    (7) A complete description of the specific procedures and test 
equipment necessary to ensure the safe and proper installation, 
implementation, operation, maintenance, repair, inspection, testing, and 
modification of the PTC system on the railroad and establish safety-
critical hazards are appropriately mitigated. These procedures, 
including calibration requirements, shall be consistent with or explain 
deviations from the equipment manufacturer's recommendations;
    (8) A complete description of any additional warning to be placed in 
the Operations and Maintenance Manual in the same manner specified in 
Sec. 236.919 and all warning labels to be placed on equipment as 
necessary to ensure safety;
    (9) A complete description of the configuration or revision control 
measures designed to ensure that the railroad or its contractor does not 
adversely affect the safety-functional requirements and that safety-
critical hazard mitigation processes are not compromised as a result of 
any such change;
    (10) A complete description of all initial implementation testing 
procedures

[[Page 881]]

necessary to establish that safety-functional requirements are met and 
safety-critical hazards are appropriately mitigated;
    (11) A complete description of all post-implementation testing 
(validation) and monitoring procedures, including the intervals 
necessary to establish that safety-functional requirements, safety-
critical hazard mitigation processes, and safety-critical tolerances are 
not compromised over time, through use, or after maintenance 
(adjustment, repair, or replacement) is performed;
    (12) A complete description of each record necessary to ensure the 
safety of the system that is associated with periodic maintenance, 
inspections, tests, adjustments, repairs, or replacements, and the 
system's resulting conditions, including records of component failures 
resulting in safety-relevant hazards (see Sec. 236.1037);
    (13) A safety analysis to determine whether, when the system is in 
operation, any risk remains of an unintended incursion into a roadway 
work zone due to human error. If the analysis reveals any such risk, the 
PTCDP and PTCSP shall describe how that risk will be mitigated;
    (14) A more detailed description of any alternative arrangements as 
already provided under Sec. 236.1005(a)(1)(i).
    (15) A complete description of how the PTC system will enforce 
authorities and signal indications, unless already completely provided 
for in the PTCDP;
    (16) A description of how the PTCSP complies with Sec. 236.1019(f), 
if applicable;
    (17) A description of any deviation in operational requirements for 
en route failures as specified under Sec. 236.1029(c), if applicable 
and unless already completely provided for in the PTCDP;
    (18) A complete description of how the PTC system will appropriately 
and timely enforce all integrated hazard detectors in accordance with 
Sec. 236.1005;
    (19) An emergency and planned maintenance temporary rerouting plan 
indicating how operations on the subject PTC system will take advantage 
of the benefits provided under Sec. 236.1005(g) through (k); and
    (20) The documents and information required under Sec. Sec. 
236.1007 and 236.1033.
    (21) A list of each location where a locomotive with a failed 
onboard PTC apparatus will be regularly be exchanged or repaired 
pursuant to Sec. 236.1029(b)(6) and a list of each movement that could 
take place pursuant to Sec. 236.1029(b)(6) if the movement potentially 
could exceed 500 miles.
    (e) The following additional requirements apply to:
    (1) Non-vital overlay. A PTC system proposed as an overlay on the 
existing method of operation and not built in accordance with the safety 
assurance principles set forth in appendix C of this part must, to the 
satisfaction of the Associate Administrator, be shown to:
    (i) Reliably execute the functions set forth in Sec. 236.1005;
    (ii) Obtain at least 80 percent reduction of the risk associated 
with accidents preventable by the functions set forth in Sec. 236.1005, 
when all effects of the change associated with the PTC system are taken 
into account. The supporting risk assessment shall evaluate all intended 
changes in railroad operations coincident with the introduction of the 
new system; and
    (iii) Maintain a level of safety for each subsequent system 
modification that is equal to or greater than the level of safety for 
the previous PTC systems.
    (2) Vital overlay. A PTC system proposed on a newly constructed 
track or as an overlay on the existing method of operation and built in 
accordance with the safety assurance principles set forth in appendix C 
of this part must, to the satisfaction of the Associate Administrator, 
be shown to:
    (i) Reliably execute the functions set forth in Sec. 236.1005; and
    (ii) Have sufficient documentation to demonstrate that the PTC 
system, as built, fulfills the safety assurance principles set forth in 
appendix C of this part. The supporting risk assessment may be 
abbreviated as that term is used in subpart H of this part.
    (3) Stand-alone. A PTC system proposed on a newly constructed track, 
an existing track for which no signal system exists, as a replacement 
for an existing signal or train control system, or otherwise to replace 
or materially

[[Page 882]]

modify the existing method of operation, shall:
    (i) Reliably execute the functions required by Sec. 236.1005 and be 
demonstrated to do so to FRA's satisfaction; and
    (ii) Have a PTCSP establishing, with a high degree of confidence, 
that the system will not introduce new hazards that have not been 
mitigated. The supporting risk assessment shall evaluate all intended 
changes in railroad operations in relation to the introduction of the 
new system and shall examine in detail the direct and indirect effects 
of all changes in the method of operations.
    (4) Mixed systems. If a PTC system combining overlay, stand-alone, 
vital, or non-vital characteristics is proposed, the railroad shall 
confer with the Associate Administrator regarding appropriate 
structuring of the safety case and analysis.
    (f) When determining whether the PTCSP fulfills the requirements 
under paragraph (d) of this section, the Associate Administrator may 
consider all available evidence concerning the reliability and 
availability of the proposed system and any and all safety consequences 
of the proposed changes. In any case where the PTCSP lacks adequate data 
regarding safety impacts of the proposed changes, the Associate 
Administrator may request the necessary data from the applicant. If the 
requested data is not provided, the Associate Administrator may find 
that potential hazards could or will arise.
    (g) If a PTCSP applies to a system designed to replace an existing 
certified PTC system, the PTCSP will be approved provided that the PTCSP 
establishes with a high degree of confidence that the new system will 
provide a level of safety not less than the level of safety provided by 
the system to be replaced.
    (h) When reviewing the issue of the potential data errors (for 
example, errors arising from data supplied from other business systems 
needed to execute the braking algorithm, survey data needed for location 
determination, or mandatory directives issued through the computer-aided 
dispatching system), the PTCSP must include a careful identification of 
each of the risks and a discussion of each applicable mitigation. In an 
appropriate case, such as a case in which the residual risk after 
mitigation is substantial or the underlying method of operation will be 
significantly altered, the Associate Administrator may require 
submission of a quantitative risk assessment addressing these potential 
errors.

[75 FR 2699, Jan. 15, 2010, as amended at 79 FR 49717, Aug. 22, 2014]



Sec. 236.1017  Independent third party Verification and Validation.

    (a) The PTCSP must be supported by an independent third-party 
assessment when the Associate Administrator concludes that it is 
necessary based upon the criteria set forth in Sec. 236.913, with the 
exception that consideration of the methodology used in the risk 
assessment (Sec. 236.913(g)(2)(vii)) shall apply only to the extent 
that a comparative risk assessment was required. To the extent 
practicable, FRA makes this determination not later than review of the 
PTCIP and the accompanying PTCDP or PTCSP. If an independent assessment 
is required, the assessment may apply to the entire system or a 
designated portion of the system.
    (b) If a PTC system is to undergo an independent assessment in 
accordance with this section, the host railroad may submit to the 
Associate Administrator a written request that FRA confirm whether a 
particular entity would be considered an independent third party 
pursuant to this section. The request should include supporting 
information identified in paragraph (c) of this section. FRA may request 
further information to make a determination or provide its determination 
in writing.
    (c) As used in this section, ``independent third party'' means a 
technically competent entity responsible to and compensated by the 
railroad (or an association on behalf of one or more railroads) that is 
independent of the PTC system supplier and vendor. An entity that is 
owned or controlled by the supplier or vendor, that is under common 
ownership or control with the supplier or vendor, or that is otherwise 
involved in the development of the PTC system is not considered 
``independent'' within the meaning of this section.

[[Page 883]]

    (d) The independent third-party assessment shall, at a minimum, 
consist of the activities and result in the production of documentation 
meeting the requirements of Appendix F to this part, unless excepted by 
this part or by FRA order or waiver.
    (e) Information provided that has been certified under the auspices 
of a foreign railroad regulatory entity recognized by the Associate 
Administrator may, at the Associate Administrator's discretion, be 
accepted as having been independently verified.



Sec. 236.1019  Main line track exceptions.

    (a) Scope and procedure. This section pertains exclusively to 
exceptions from the rule that trackage over which scheduled intercity 
and commuter passenger service is provided is considered main line track 
requiring installation of a PTC system. One or more intercity or 
commuter passenger railroads, or freight railroads conducting joint 
passenger and freight operation over the same segment of track may file 
a main line track exclusion addendum (``MTEA'') to its PTCIP requesting 
to designate track as not main line subject to the conditions set forth 
in paragraphs (b) or (c) of this section. No track shall be designated 
as yard or terminal unless it is identified in an MTEA that is part of 
an FRA approved PTCIP.
    (b) Passenger terminal exception. FRA will consider an exception in 
the case of trackage used exclusively as yard or terminal tracks by or 
in support of regularly scheduled intercity or commuter passenger 
service where the MTEA describes in detail the physical boundaries of 
the trackage in question, its use and characteristics (including track 
and signal charts) and all of the following apply:
    (1) The maximum authorized speed for all movements is not greater 
than 20 miles per hour, and that maximum is enforced by any available 
onboard PTC equipment within the confines of the yard or terminal;
    (2) Interlocking rules are in effect prohibiting reverse movements 
other than on signal indications without dispatcher permission; and
    (3) Either of the following conditions exists:
    (i) No freight operations are permitted; or
    (ii) Freight operations are permitted but no passengers will be 
aboard passenger trains within the defined limits.
    (c) Limited operations exception. FRA will consider an exception in 
the case of a track segment used for limited operations (operating in 
accordance with Sec. 236.0 of this part) under one of the following 
sets of conditions:
    (1) The trackage is used for limited operations by at least one 
passenger railroad subject to at least one of the following conditions:
    (i) All trains are limited to restricted speed;
    (ii) Temporal separation of passenger and other trains is maintained 
as provided in paragraph (e) of this section; or
    (iii) Passenger service is operated under a risk mitigation plan 
submitted by all railroads involved in the joint operation and approved 
by FRA. The risk mitigation plan must be supported by a risk assessment 
establishing that the proposed mitigations will achieve a level of 
safety not less than the level of safety that would obtain if the 
operations were conducted under paragraph (c)(1) or (c)(2) of this 
section.
    (2) Passenger service is operated on a segment of track of a freight 
railroad that is not a Class I railroad on which less than 15 million 
gross tons of freight traffic is transported annually and on which one 
of the following conditions applies:
    (i) If the segment is unsignaled and no more than four regularly 
scheduled passenger trains are operated during a calendar day, or
    (ii) If the segment is signaled (e.g., equipped with a traffic 
control system, automatic block signal system, or cab signal system) and 
no more than 12 regularly scheduled passenger trains are operated during 
a calendar day.
    (3) Not more than four passenger trains per day are operated on a 
segment of track of a Class I freight railroad on which less than 15 
million gross tons of freight traffic is transported annually.
    (d) A limited operations exception under paragraph (c) is subject to 
FRA review and approval. FRA may require a collision hazard analysis to 
identify

[[Page 884]]

hazards and may require that specific mitigations be undertaken. 
Operations under any such exception shall be conducted subject to the 
terms and conditions of the approval. Any main line track exclusion is 
subject to periodic review.
    (e) Temporal separation. As used in this section, temporal 
separation means that limited passenger and freight operations do not 
operate on any segment of shared track during the same period and also 
refers to the processes or physical arrangements, or both, in place to 
ensure that temporal separation is established and maintained at all 
times. The use of exclusive authorities under mandatory directives is 
not, by itself, sufficient to establish that temporal separation is 
achieved. Procedures to ensure temporal separation shall include 
verification checks between passenger and freight operations and 
effective physical means to positively ensure segregation of passenger 
and freight operations in accordance with this paragraph.
    (f) PTCSP requirement. No PTCSP--filed after the approval of a PTCIP 
with an MTEA--shall be approved by FRA unless it attests that no 
changes, except for those included in an FRA approved RFA, have been 
made to the information in the PTCIP and MTEA required by paragraph (b) 
or (c) of this section.
    (g) Designation modifications. If subsequent to approval of its 
PTCIP or PTCSP the railroad seeks to modify which track or tracks should 
be designated as main line or not main line, it shall request 
modification of its PTCIP or PTCSP, as applicable, in accordance with 
Sec. 236.1021.

[75 FR 2699, Jan. 15, 2010, as amended at 75 FR 59117, Sept. 27, 2010]



Sec. 236.1020  [Reserved]



Sec. 236.1021  Discontinuances, material modifications, and amendments.

    (a) No changes, as defined by this section, to a PTC system, PTCIP, 
PTCDP, or PTCSP, shall be made unless:
    (1) The railroad files a request for amendment (``RFA'') to the 
applicable PTCIP, PTCDP, or PTCSP with the Associate Administrator; and
    (2) The Associate Administrator approves the RFA.
    (b) After approval of an RFA in accordance with paragraph (a) of 
this section, the railroad shall immediately adopt and comply with the 
amendment.
    (c) In lieu of a separate filing under part 235 of this chapter, a 
railroad may request approval of a discontinuance or material 
modification of a signal or train control system by filing an RFA to its 
PTCIP, PTCDP, or PTCSP with the Associate Administrator.
    (d) An RFA made in accordance with this section will not be approved 
by FRA unless the request includes:
    (1) The information listed in Sec. 235.10 of this chapter and the 
railroad provides FRA upon request any additional information necessary 
to evaluate the RFA (see Sec. 235.12), including:
    (2) The proposed modifications;
    (3) The reasons for each modification;
    (4) The changes to the PTCIP, PTCDP, or PTCSP, as applicable;
    (5) Each modification's effect on PTC system safety;
    (6) An approximate timetable for filing of the PTCDP, PTCSP, or 
both, if the amendment pertains to a PTCIP; and
    (7) An explanation of whether each change to the PTCSP is planned or 
unplanned.
    (i) Unplanned changes that affect the Type Approval's PTCDP require 
submission and approval in accordance with Sec. 236.1013 of a new 
PTCDP, followed by submission and approval in accordance with Sec. 
236.1015 of a new PTCSP for the PTC system.
    (ii) Unplanned changes that do not affect the Type Approval's PTCDP 
require submission and approval of a new PTCSP.
    (iii) Unplanned changes are changes affecting system safety that 
have not been documented in the PTCSP. The impact of unplanned changes 
on PTC system safety has not yet been determined.
    (iv) Planned changes may be implemented after they have undergone 
suitable regression testing to demonstrate, to the satisfaction of the 
Associate Administrator, they have been correctly implemented and their 
implementation does not degrade safety.

[[Page 885]]

    (v) Planned changes are changes affecting system safety in the PTCSP 
and have been included in all required analysis under Sec. 236.1015. 
The impact of these changes on the PTC system's safety has been 
incorporated as an integral part of the approved PTCSP safety analysis.
    (e) If the RFA includes a request for approval of a discontinuance 
or material modification of a signal or train control system, FRA will 
publish a notice in the Federal Register of the application and will 
invite public comment in accordance with part 211 of this chapter.
    (f) When considering the RFA, FRA will review the issue of the 
discontinuance or material modification and determine whether granting 
the request is in the public interest and consistent with railroad 
safety, taking into consideration all changes in the method of operation 
and system functionalities, both within normal PTC system availability 
and in the case of a system failed state (unavailable), contemplated in 
conjunction with installation of the PTC system. The railroad submitting 
the RFA must, at FRA's request, perform field testing in accordance with 
Sec. 236.1035 or engage in Verification and Validation in accordance 
with Sec. 236.1017.
    (g) FRA may issue at its discretion a new Type Approval number for a 
PTC system modified under this section.
    (h) Changes requiring filing of an RFA. Except as provided by 
paragraph (i), an RFA shall be filed to request the following:
    (1) Discontinuance of a PTC system, or other similar appliance or 
device;
    (2) Decrease of the PTC system's limits (e.g., exclusion or removal 
of a PTC system on a track segment);
    (3) Modification of a safety critical element of a PTC system; or
    (4) Modification of a PTC system that affects the safety critical 
functionality of any other PTC system with which it interoperates.
    (i) Discontinuances not requiring the filing of an RFA. It is not 
necessary to file an RFA for the following discontinuances:
    (1) Removal of a PTC system from track approved for abandonment by 
formal proceeding;
    (2) Removal of PTC devices 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 the PTC devices that are used on a movable bridge 
that has been permanently closed by the formal approval of another 
government agency and is mechanically secured in the closed position for 
rail traffic; or
    (4) Removal of the PTC system from service for a period not to 
exceed 6 months that is necessitated by catastrophic occurrence such as 
derailment, flood, fire, or hurricane, or earthquake.
    (j) Changes not requiring the filing of an RFA. When the resultant 
change to the PTC system will comply with an approved PTCSP of this 
part, it is not necessary to file for approval to decrease the limits of 
a system when it involves the:
    (1) Decrease of the limits of a PTC system when interlocked 
switches, derails, or movable-point frogs are not involved;
    (2) Removal of an electric or mechanical lock, or signal used in 
lieu thereof, from hand-operated switch in a PTC system where train 
speed over such switch does not exceed 20 miles per hour, and use of 
those devices has not been part of the considerations for approval of a 
PTCSP; or
    (3) Removal of an electric or mechanical lock, or signal used in 
lieu thereof, from a hand-operated switch in a PTC system where trains 
are not permitted to clear the main track at such switch and use of 
those devices has not been a part of the considerations for approval of 
a PTCSP.
    (k) Modifications not requiring the filing of an RFA. When the 
resultant arrangement will comply with an approved PTCSP of this part, 
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) Installation of devices used to provide protection against 
unusual contingencies such as landslide, burned

[[Page 886]]

bridges, high water, high and wide loads, or dragging equipment;
    (3) Elimination of existing track other than a second main track;
    (4) Extension or shortening of a passing siding; or
    (5) The temporary or permanent arrangement of existing systems 
necessitated by highway-rail grade separation construction. Temporary 
arrangements shall be removed within six months following completion of 
construction.



Sec. 236.1023  Errors and malfunctions.

    (a) Each railroad implementing a PTC system on its property shall 
establish and continually update a PTC Product Vendor List (PTCPVL) that 
includes all vendors and suppliers of each PTC system, subsystem, 
component, and associated product, and process in use system-wide. The 
PTCPVL shall be made available to FRA upon request.
    (b)(1) The railroad shall specify within its PTCSP all contractual 
arrangements with hardware and software suppliers or vendors for 
immediate notification between the parties of any and all safety-
critical software failures, upgrades, patches, or revisions, as well as 
any hardware repairs, replacements, or modifications for their PTC 
system, subsystems, or components.
    (2) A vendor or supplier, on receipt of a report of any safety-
critical failure to their product, shall promptly notify all other 
railroads that are using that product, whether or not the other 
railroads have experienced the reported failure of that safety-critical 
system, subsystem, or component.
    (3) The notification from a supplier to any railroad shall include 
explanation from the supplier of the reasons for such notification, the 
circumstances associated with the failure, and any recommended 
mitigation actions to be taken pending determination of the root cause 
and final corrective actions.
    (c) The railroad shall:
    (1) Specify the railroad's process and procedures in its PTCSP for 
action upon their receipt of notification of safety-critical failure, as 
well as receipt of a safety-critical upgrade, patch, revision, repair, 
replacement, or modification.
    (2) Identify configuration/revision control measures in its PTCSP 
that are designed to ensure the safety-functional requirements and the 
safety-critical hazard mitigation processes are not compromised as a 
result of any change and that such a change can be audited.
    (d) The railroad shall provide to the applicable vendor or supplier 
the railroad's procedures for action upon notification of a safety-
critical failure, upgrade, patch, or revision for the PTC system, 
subsystem, component, product, or process, and actions to be taken until 
the faulty system, subsystem, or component has been adjusted, repaired 
or replaced.
    (e) After the product is placed in service, the railroad shall 
maintain a database of all safety-relevant hazards as set forth in the 
PTCSP and those that had not previously been identified in the PTCSP. If 
the frequency of the safety-relevant hazard exceeds the thresholds set 
forth in the PTCSP, or has not been previously identified in the 
appropriate risk analysis, the railroad shall:
    (1) Notify the applicable vendor or supplier and FRA of the failure, 
malfunction, or defective condition that decreased or eliminated the 
safety functionality;
    (2) Keep the applicable vendor or supplier and FRA apprised on a 
continual basis of the status of any and all subsequent failures; and
    (3) Take prompt counter measures to reduce or eliminate the 
frequency of the safety-relevant hazards below the threshold identified 
in the PTCSP.
    (f) Each notification to FRA required by this section shall:
    (1) Be made within 15 days after the vendor, supplier, or railroad 
discovers the failure, malfunction, or defective condition. However, a 
report that is due on a Saturday or a Sunday may be delivered on the 
following Monday and one that is due on a holiday may be delivered on 
the next business day;
    (2) Be transmitted in a manner and form acceptable to the Associate 
Administrator and by the most expeditious method available; and

[[Page 887]]

    (3) Include as much available and applicable information as 
possible, including:
    (i) PTC system name and model;
    (ii) Identification of the part, component, or system involved, 
including the part number as applicable;
    (iii) Nature of the failure, malfunctions, or defective condition;
    (iv) Mitigation taken to ensure the safety of train operation, 
railroad employees, and the public; and
    (v) The estimated time to correct the failure.
    (4) In the event that all information required by paragraph (f)(3) 
of this section is not immediately available, the non-available 
information shall be forwarded to the Associate Administrator as soon as 
practicable in supplemental reports.
    (g) Whenever any investigation of an accident or service difficulty 
report shows that a PTC system or product is unsafe because of a 
manufacturing or design defect, the railroad and its vendor or supplier 
shall, upon request of the Associate Administrator, report to the 
Associate Administrator the results of its investigation and any action 
taken or proposed to correct that defect.
    (h) PTC system and product suppliers and vendors shall:
    (1) Promptly report any safety-relevant failures or defective 
conditions, previously unidentified hazards, and recommended mitigation 
actions in their PTC system, subsystem, or component to each railroad 
using the product; and
    (2) Notify FRA of any safety-relevant failure, defective condition, 
or previously unidentified hazard discovered by the vendor or supplier 
and the identity of each affected and notified railroad.
    (i) The requirements of this section do not apply to failures, 
malfunctions, or defective conditions that:
    (1) Are caused by improper maintenance or improper usage; or
    (2) Have been previously identified to the FRA, vendor or supplier, 
and applicable user railroads.
    (j) When any safety-critical PTC system, subsystem, or component 
fails to perform its intended function, the cause shall be determined 
and the faulty product adjusted, repaired, or replaced without undue 
delay. Until corrective action is completed, a railroad shall take 
appropriate action to ensure safety and reliability as specified within 
its PTCSP.
    (k) Any railroad experiencing a failure of a system resulting in a 
more favorable aspect than intended or other condition hazardous to the 
movement of a train shall comply with the reporting requirements, 
including the making of a telephonic report of an accident or incident 
involving such failure, under part 233 of this chapter. Filing of one or 
more reports under part 233 of this chapter does not exempt a railroad, 
vendor, or supplier from the reporting requirements contained in this 
section.



Sec. 236.1025  [Reserved]



Sec. 236.1027  PTC system exclusions.

    (a) The requirements of this subpart apply to each office automation 
system that performs safety-critical functions within, or affects the 
safety performance of, the PTC system. For purposes of this section, 
``office automation system'' means any centralized or distributed 
computer-based system that directly or indirectly controls the active 
movement of trains in a rail network.
    (b) Changes or modifications to PTC systems otherwise excluded from 
the requirements of this subpart by this section do not exclude those 
PTC systems from the requirements of this subpart if the changes or 
modifications result in a degradation of safety or a material decrease 
in safety-critical functionality.
    (c) Primary train control systems cannot be integrated with 
locomotive electronic systems unless the complete integrated systems:
    (1) Have been shown to be designed on fail-safe principles;
    (2) Have demonstrated to operate in a fail-safe mode;
    (3) Have a manual fail-safe fallback and override to allow the 
locomotive to be brought to a safe stop in the event of any loss of 
electronic control; and
    (4) Are included in the approved and applicable PTCDP and PTCSP.

[[Page 888]]

    (d) PTC systems excluded by this section from the requirements of 
this subpart remain subject to subparts A through H of this part as 
applicable.



Sec. 236.1029  PTC system use and failures.

    (a) When any safety-critical PTC system component fails to perform 
its intended function, the cause must be determined and the faulty 
component adjusted, repaired, or replaced without undue delay. Until 
repair of such essential components is completed, a railroad shall take 
appropriate action as specified in its PTCSP.
    (b) En route failures. Except as provided in paragraphs (c) and (g) 
of this section, where a controlling locomotive that is operating in, or 
is to be operated within, a PTC-equipped track segment experiences PTC 
system failure or the PTC system is otherwise cut out while en route 
(i.e., after the train has departed its initial terminal), the train may 
only continue in accordance with all of the following:
    (1) Except as provided in paragraph (b)(5) of this section, where no 
block signal system is in use, the train may proceed at a speed not to 
exceed 40 miles per hour; however, if the involved train is transporting 
one or more cars containing PIH materials, excluding those cars 
containing only a residue of PIH materials, the train may only proceed 
at a speed not to exceed 30 miles per hour.
    (2) Where a block signal system is in place:
    (i) A passenger train may proceed at a speed not to exceed 59 miles 
per hour;
    (ii) A freight train transporting one or more cars containing PIH 
materials, excluding those cars containing only a residue of PIH 
materials, may proceed at a speed not to exceed 40 miles per hour; and
    (iii) Any other freight train may proceed at a speed not to exceed 
49 miles per hour.
    (3) Where a cab signal system with an automatic train control system 
is in use, the train may proceed at a speed not to exceed 79 miles per 
hour.
    (4) A report of the failure or cut-out must be made to a designated 
railroad officer of the host railroad as soon as safe and practicable.
    (5) Where the PTC system is the exclusive method of delivering 
mandatory directives, an absolute block must be established in advance 
of the train as soon as safe and practicable, and the train shall not 
exceed restricted speed until the absolute block in advance of the train 
is established.
    (6) Where the failure or cut-out is a result of a defective onboard 
PTC apparatus, the train may continue no farther than the next forward 
designated location for the repair or exchange of onboard PTC 
apparatuses.
    (c) Exception for alternative system failure procedure. A railroad 
may submit for approval a PTCSP, an RFA, or an Order of Particular 
Applicability with an alternative system failure procedure other than 
that required by paragraph (b) of this section. FRA may, in its 
discretion, approve such an alternative system failure procedure if it 
provides similar requirements of, and an equivalent or greater level of 
safety as, the requirements of paragraph (b) of this section.
    (d) Each railroad shall comply with all provisions in the applicable 
PTCDP and PTCSP for each PTC system it uses and shall operate within the 
scope of initial operational assumptions and predefined changes 
identified.
    (e) The normal functioning of any safety-critical PTC system must 
not be interfered with in testing or otherwise without first taking 
measures to provide for the safe movement of trains, locomotives, 
roadway workers, and on-track equipment that depend on the normal 
functioning of the system.
    (f) [Reserved]
    (g) Temporary exceptions. From October 21, 2014 through the 24 
months following the date of required PTC system implementation 
established by section 20157 of title 49 of the United States Code--
    (1) A railroad's PTCSP or Order of Particular Applicability may 
provide for compliance with the en route failure requirements of Sec. 
236.567 instead of paragraph (b) of this section where a controlling 
locomotive that is operating in, or is to be operated within, a PTC-
equipped track segment experiences PTC system failure or the PTC system 
is otherwise cut out while en route;

[[Page 889]]

    (2) A train may proceed as prescribed under either paragraph (b) of 
this section or Sec. 236.567 where the PTC system fails to initialize 
for any reason prior to the train's departure from its initial terminal; 
and
    (3) A railroad's PTCSP may provide for the temporary disabling of 
PTC system service where necessary to perform PTC system repair or 
maintenance. In this paragraph (g)(3), ``PTC system service'' does not 
refer to the failure of the onboard PTC apparatus for a single 
locomotive, locomotive consist, or train.
    (i) The PTCSP shall specify appropriate operating rules to apply 
when the PTC system is temporarily disabled in accordance with this 
paragraph (g)(3).
    (ii) The railroad shall make reasonable efforts to schedule the 
temporary disabling of PTC system service for times posing the least 
risk to railroad safety.
    (iii) The railroad shall provide notice to the FRA regional office 
having jurisdiction over that territory at least 7 days in advance of 
planned temporary disabling of PTC system service and contemporaneous 
notice for unplanned temporary disabling of PTC system service.
    (iv) The PTC system that is temporarily disabled in accordance with 
this paragraph (g)(3) shall be placed back into service without undue 
delay.
    (h) Annual report of system failures. Annually, by April 16 of each 
year following the date of required PTC system implementation 
established by section 20157 of title 49 of the United States Code, each 
railroad shall provide FRA with a report of the number of PTC failures 
that occurred during the previous calendar year. The report shall 
identify failures by category, including but not limited to locomotive, 
wayside, communications, and back office system failures.

[75 FR 2699, Jan. 15, 2010, as amended at 79 FR 49717, Aug. 22, 2014]



Sec. 236.1031  Previously approved PTC systems.

    (a) Any PTC system fully implemented and operational prior to March 
16, 2010, may receive PTC System Certification if the applicable PTC 
railroad, or one or more system suppliers and one or more PTC railroads, 
submits a Request for Expedited Certification (REC) letter to the 
Associate Administrator. The REC letter must do one of the following:
    (1) Reference a product safety plan (PSP) approved by FRA under 
subpart H of this part and include a document fulfilling the 
requirements under Sec. Sec. 236.1011 and 236.1013 not already included 
in the PSP;
    (2) Attest that the PTC system has been approved by FRA and in 
operation for at least 5 years and has already received an assessment of 
Verification and Validation from an independent third party under part 
236 or a waiver supporting such operation; or
    (3) Attest that the PTC system is recognized under an Order issued 
prior to March 16, 2010.
    (b) If an REC letter conforms to paragraph (a)(1) of this section, 
the Associate Administrator, at his or her sole discretion, may also 
issue a new Type Approval for the PTC system.
    (c) In order to receive a Type Approval or PTC System Certification 
under paragraph (a) or (b) of this section, the PTC system must be shown 
to reliably execute the functionalities required by Sec. Sec. 236.1005 
and 236.1007 and otherwise conform to this subpart.
    (d) Previous approval or recognition of a train control system, 
together with an established service history, may, at the request of the 
PTC railroad, and consistent with available safety data, be credited 
toward satisfaction of the safety case requirements set forth in this 
part for the PTCSP with respect to all functionalities and 
implementations contemplated by the approval or recognition.
    (e) To the extent that the PTC system proposed for implementation 
under this subpart is different in significant detail from the system 
previously approved or recognized, the changes shall be fully analyzed 
in the PTCDP or PTCSP as would be the case absent prior approval or 
recognition.
    (f) As used in this section--
    (1) Approved refers to approval of a Product Safety Plan under 
subpart H of this part.
    (2) Recognized refers to official action permitting a system to be 
implemented

[[Page 890]]

for control of train operations under an FRA order or waiver, after 
review of safety case documentation for the implementation.
    (g) Upon receipt of an REC, FRA will consider all safety case 
information to the extent feasible and appropriate, given the specific 
facts before the agency. Nothing in this section limits re-use of any 
applicable safety case information by a party other than the party 
receiving:
    (1) A prior approval or recognition referred to in this section; or
    (2) A Type Approval or PTC System Certification under this subpart.



Sec. 236.1033  Communications and security requirements.

    (a) All wireless communications between the office, wayside, and 
onboard components in a PTC system shall provide cryptographic message 
integrity and authentication.
    (b) Cryptographic keys required under paragraph (a) of this section 
shall:
    (1) Use an algorithm approved by the National Institute of Standards 
(NIST) or a similarly recognized and FRA approved standards body;
    (2) Be distributed using manual or automated methods, or a 
combination of both; and
    (3) Be revoked:
    (i) If compromised by unauthorized disclosure of the cleartext key; 
or
    (ii) When the key algorithm reaches its lifespan as defined by the 
standards body responsible for approval of the algorithm.
    (c) The cleartext form of the cryptographic keys shall be protected 
from unauthorized disclosure, modification, or substitution, except 
during key entry when the cleartext keys and key components may be 
temporarily displayed to allow visual verification. When encrypted keys 
or key components are entered, the cryptographically protected cleartext 
key or key components shall not be displayed.
    (d) Access to cleartext keys shall be protected by a tamper 
resistant mechanism.
    (e) Each railroad electing to also provide cryptographic message 
confidentiality shall:
    (1) Comply with the same requirements for message integrity and 
authentication under this section; and
    (2) Only use keys meeting or exceeding the security strength 
required to protect the data as defined in the railroad's PTCSP and 
required under Sec. 236.1013(a)(7).
    (f) Each railroad, or its vendor or supplier, shall have a 
prioritized service restoration and mitigation plan for scheduled and 
unscheduled interruptions of service. This plan shall be included in the 
PTCDP or PTCSP as required by Sec. Sec. 236.1013 or 236.1015, as 
applicable, and made available to FRA upon request, without undue delay, 
for restoration of communication services that support PTC system 
services.
    (g) Each railroad may elect to impose more restrictive requirements 
than those in this section, consistent with interoperability 
requirements specified in the PTCSP for the system.



Sec. 236.1035  Field testing requirements.

    (a) Before any field testing of an uncertified PTC system, or a 
product of an uncertified PTC system, or any regression testing of a 
certified PTC system is conducted on the general rail system, the 
railroad requesting the testing must provide:
    (1) A complete description of the PTC system;
    (2) An operational concepts document;
    (3) A complete description of the specific test procedures, 
including the measures that will be taken to protect trains and on-track 
equipment;
    (4) An analysis of the applicability of the requirements of subparts 
A through G of this part to the PTC system that will not apply during 
testing;
    (5) The date the proposed testing shall begin;
    (6) The test locations; and
    (7) The effect on the current method of operation the PTC system 
will or may have under test.
    (b) FRA may impose additional testing conditions that it believes 
may be necessary for the safety of train operations.
    (c) Relief from regulations other than from subparts A through G of 
this part that the railroad believes are necessary

[[Page 891]]

to support the field testing, must be requested in accordance with part 
211 of this title.



Sec. 236.1037  Records retention.

    (a) Each railroad with a PTC system required to be installed under 
this subpart shall maintain at a designated office on the railroad:
    (1) A current copy of each FRA approved Type Approval, if any, 
PTCDP, and PTCSP that it holds;
    (2) Adequate documentation to demonstrate that the PTCSP and PTCDP 
meet the safety requirements of this subpart, including the risk 
assessment;
    (3) An Operations and Maintenance Manual, pursuant to Sec. 
236.1039; and
    (4) Training and testing records pursuant to Sec. 236.1043(b).
    (b) Results of inspections and tests specified in the PTCSP and 
PTCDP must be recorded pursuant to Sec. 236.110.
    (c) Each contractor providing services relating to the testing, 
maintenance, or operation of a PTC system required to be installed under 
this subpart shall maintain at a designated office training records 
required under Sec. 236.1039(b).
    (d) After the PTC system is placed in service, the railroad shall 
maintain a database of all safety-relevant hazards as set forth in the 
PTCSP and PTCDP and those that had not been previously identified in 
either document. If the frequency of the safety-relevant hazards exceeds 
the threshold set forth in either of these documents, then the railroad 
shall:
    (1) Report the inconsistency in writing by mail, facsimile, e-mail, 
or hand delivery to the Director, Office of Safety Assurance and 
Compliance, FRA, 1200 New Jersey Ave, SE, Mail Stop 25, Washington, DC 
20590, within 15 days of discovery. Documents that are hand delivered 
must not be enclosed in an envelope;
    (2) Take prompt countermeasures to reduce the frequency of each 
safety-relevant hazard to below the threshold set forth in the PTCSP and 
PTCDP; and
    (3) Provide a final report when the inconsistency is resolved to the 
FRA Director, Office of Safety Assurance and Compliance, on the results 
of the analysis and countermeasures taken to reduce the frequency of the 
safety-relevant hazard(s) below the threshold set forth in the PTCSP and 
PTCDP.



Sec. 236.1039  Operations and Maintenance Manual.

    (a) The railroad shall catalog and maintain all documents as 
specified in the PTCDP and PTCSP for the installation, maintenance, 
repair, modification, inspection, and testing of the PTC system and have 
them in one Operations and Maintenance Manual, readily available to 
persons required to perform such tasks and for inspection by FRA and 
FRA-certified state inspectors.
    (b) Plans required for proper maintenance, repair, inspection, and 
testing of safety-critical PTC systems must be adequate in detail and 
must be made available for inspection by FRA and FRA-certified state 
inspectors where such PTC systems are deployed or maintained. They must 
identify all software versions, revisions, and revision dates. Plans 
must be legible and correct.
    (c) Hardware, software, and firmware revisions must be documented in 
the Operations and Maintenance Manual according to the railroad's 
configuration management control plan and any additional configuration/
revision control measures specified in the PTCDP and PTCSP.
    (d) Safety-critical components, including spare equipment, must be 
positively identified, handled, replaced, and repaired in accordance 
with the procedures specified in the PTCDP and PTCSP.
    (e) Each railroad shall designate in its Operations and Maintenance 
Manual an appropriate railroad officer responsible for issues relating 
to scheduled interruptions of service contemplated by Sec. 236.1029.



Sec. 236.1041  Training and qualification program, general.

    (a) Training program for PTC personnel. Employers shall establish 
and implement training and qualification programs for PTC systems 
subject to this subpart. These programs must meet the minimum 
requirements set forth in the PTCDP and PTCSP in Sec. Sec. 236.1039 
through 236.1045, as appropriate, for the following personnel:

[[Page 892]]

    (1) Persons whose duties include installing, maintaining, repairing, 
modifying, inspecting, and testing safety-critical elements of the 
railroad's PTC systems, including central office, wayside, or onboard 
subsystems;
    (2) Persons who dispatch train operations (issue or communicate any 
mandatory directive that is executed or enforced, or is intended to be 
executed or enforced, by a train control system subject to this 
subpart);
    (3) Persons who operate trains or serve as a train or engine crew 
member subject to instruction and testing under part 217 of this 
chapter, on a train operating in territory where a train control system 
subject to this subpart is in use;
    (4) Roadway workers whose duties require them to know and understand 
how a train control system affects their safety and how to avoid 
interfering with its proper functioning; and
    (5) The direct supervisors of persons listed in paragraphs (a)(1) 
through (a)(4) of this section.
    (b) Competencies. The employer's program must provide training for 
persons who perform the functions described in paragraph (a) of this 
section to ensure that they have the necessary knowledge and skills to 
effectively complete their duties related to operation and maintenance 
of the PTC system.



Sec. 236.1043  Task analysis and basic requirements.

    (a) Training structure and delivery. As part of the program required 
by Sec. 236.1041, the employer shall, at a minimum:
    (1) Identify the specific goals of the training program with regard 
to the target population (craft, experience level, scope of work, etc.), 
task(s), and desired success rate;
    (2) Based on a formal task analysis, identify the installation, 
maintenance, repair, modification, inspection, testing, and operating 
tasks that must be performed on a railroad's PTC systems. This includes 
the development of failure scenarios and the actions expected under such 
scenarios;
    (3) Develop written procedures for the performance of the tasks 
identified;
    (4) Identify the additional knowledge, skills, and abilities above 
those required for basic job performance necessary to perform each task;
    (5) Develop a training and evaluation curriculum that includes 
classroom, simulator, computer-based, hands-on, or other formally 
structured training designed to impart the knowledge, skills, and 
abilities identified as necessary to perform each task;
    (6) Prior to assignment of related tasks, require all persons 
mentioned in Sec. 236.1041(a) to successfully complete a training 
curriculum and pass an examination that covers the PTC system and 
appropriate rules and tasks for which they are responsible (however, 
such persons may perform such tasks under the direct onsite supervision 
of a qualified person prior to completing such training and passing the 
examination);
    (7) Require periodic refresher training and evaluation at intervals 
specified in the PTCDP and PTCSP that includes classroom, simulator, 
computer-based, hands-on, or other formally structured training and 
testing, except with respect to basic skills for which proficiency is 
known to remain high as a result of frequent repetition of the task; and
    (8) Conduct regular and periodic evaluations of the effectiveness of 
the training program specified in Sec. 236.1041(a)(1) verifying the 
adequacy of the training material and its validity with respect to 
current railroads PTC systems and operations.
    (b) Training records. Employers shall retain records which designate 
persons who are qualified under this section until new designations are 
recorded or for at least one year after such persons leave applicable 
service. These records shall be kept in a designated location and be 
available for inspection and replication by FRA and FRA-certified State 
inspectors



Sec. 236.1045  Training specific to office control personnel.

    (a) Any person responsible for issuing or communicating mandatory 
directives in territory where PTC systems are or will be in use shall be 
trained in the following areas, as applicable:

[[Page 893]]

    (1) Instructions concerning the interface between the computer-aided 
dispatching system and the train control system, with respect to the 
safe movement of trains and other on-track equipment;
    (2) Railroad operating rules applicable to the train control system, 
including provision for movement and protection of roadway workers, 
unequipped trains, trains with failed or cut-out train control onboard 
systems, and other on-track equipment; and
    (3) Instructions concerning control of trains and other on-track 
equipment in case the train control system fails, including periodic 
practical exercises or simulations, and operational testing under part 
217 of this chapter to ensure the continued capability of the personnel 
to provide for safe operations under the alternative method of 
operation.
    (b) [Reserved]



Sec. 236.1047  Training specific to locomotive engineers and other
operating personnel.

    (a) Operating personnel. Training provided under this subpart for 
any locomotive engineer or other person who participates in the 
operation of a train in train control territory shall be defined in the 
PTCDP as well as the PTCSP. The following elements shall be addressed:
    (1) Familiarization with train control equipment onboard the 
locomotive and the functioning of that equipment as part of the system 
and in relation to other onboard systems under that person's control;
    (2) Any actions required of the onboard personnel to enable, or 
enter data to, the system, such as consist data, and the role of that 
function in the safe operation of the train;
    (3) Sequencing of interventions by the system, including pre-
enforcement notification, enforcement notification, penalty application 
initiation and post-penalty application procedures;
    (4) Railroad operating rules and testing (part 217) applicable to 
the train control system, including provisions for movement and 
protection of any unequipped trains, or trains with failed or cut-out 
train control onboard systems and other on-track equipment;
    (5) Means to detect deviations from proper functioning of onboard 
train control equipment and instructions regarding the actions to be 
taken with respect to control of the train and notification of 
designated railroad personnel; and
    (6) Information needed to prevent unintentional interference with 
the proper functioning of onboard train control equipment.
    (b) Locomotive engineer training. Training required under this 
subpart for a locomotive engineer, together with required records, shall 
be integrated into the program of training required by part 240 of this 
chapter.
    (c) Full automatic operation. The following special requirements 
apply in the event a train control system is used to effect full 
automatic operation of the train:
    (1) The PTCDP and PTCSP shall identify all safety hazards to be 
mitigated by the locomotive engineer.
    (2) The PTCDP and PTCSP shall address and describe the training 
required with provisions for the maintenance of skills proficiency. As a 
minimum, the training program must:
    (i) As described in Sec. 236.1043(a)(2), develop failure scenarios 
which incorporate the safety hazards identified in the PTCDP and PTCSP 
including the return of train operations to a fully manual mode;
    (ii) Provide training, consistent with Sec. 236.1047(a), for safe 
train operations under all failure scenarios and identified safety 
hazards that affect train operations;
    (iii) Provide training, consistent with Sec. 236.1047(a), for safe 
train operations under manual control; and
    (iv) Consistent with Sec. 236.1047(a), ensure maintenance of manual 
train operating skills by requiring manual starting and stopping of the 
train for an appropriate number of trips and by one or more of the 
following methods:
    (A) Manual operation of a train for a 4-hour work period;
    (B) Simulated manual operation of a train for a minimum of 4 hours 
in a Type I simulator as required; or
    (C) Other means as determined following consultation between the 
railroad and designated representatives of the affected employees and 
approved

[[Page 894]]

by FRA. The PTCDP and PTCSP shall designate the appropriate frequency 
when manual operation, starting, and stopping must be conducted, and the 
appropriate frequency of simulated manual operation.
    (d) Conductor training. Training required under this subpart for a 
conductor, together with required records, shall be integrated into the 
program of training required under this chapter.



Sec. 236.1049  Training specific to roadway workers.

    (a) Roadway worker training. Training required under this subpart 
for a roadway worker shall be integrated into the program of instruction 
required under part 214, subpart C of this chapter (``Roadway Worker 
Protection''), consistent with task analysis requirements of Sec. 
236.1043. This training shall provide instruction for roadway workers 
who provide protection for themselves or roadway work groups.
    (b) Training subject areas. (1) Instruction for roadway workers 
shall ensure an understanding of the role of processor-based signal and 
train control equipment in establishing protection for roadway workers 
and their equipment.
    (2) Instruction for all roadway workers working in territories where 
PTC is required under this subpart shall ensure recognition of 
processor-based signal and train control equipment on the wayside and an 
understanding of how to avoid interference with its proper functioning.
    (3) Instructions concerning the recognition of system failures and 
the provision of alternative methods of on-track safety in case the 
train control system fails, including periodic practical exercises or 
simulations and operational testing under part 217 of this chapter to 
ensure the continued capability of roadway workers to be free from the 
danger of being struck by a moving train or other on-track equipment.



          Sec. Appendix A to Part 236--Civil Penalties \1\, \2\

------------------------------------------------------------------------
                                                               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 indicating        1,000        2,000
 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
236.18 Software management control plan:......
    Failure to develop and adopt a plan.......       $5,000      $10,000
    Failure to fully implement plan...........        5,000       10,000
    Inadequate plan...........................        2,500       10,000
 
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................................

[[Page 895]]

 
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
 
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 restricted        2,500        5,000
 
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 in        1,000        2,000
 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 896]]

 
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 magnets        1,000        2,000
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...................................
    (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........
------------------------------------------------------------------------

[[Page 897]]

 
  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; equalizing        1,000        2,000
 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; equalizing        1,000        2,000
 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 type;        1,000        2,000
 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
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
------------------------------------------------------------------------

[[Page 898]]

 
   Subpart F--Dragging Equipment and Slide Detectors and Other Similar
                      Protective Devices; Standards
 
------------------------------------------------------------------------
236.601 Signals controlled by devices;                1,000        2,000
 location.....................................
    Subpart H--Standards for Processor-Based Signal and Train Control
                                 Systems
------------------------------------------------------------------------
236.905 Railroad Safety Program Plan (RSPP):
    Failure to develop and submit RSPP when           5,000        7,500
     required.................................
    Failure to obtain FRA approval for a              5,000        7,500
     modification to RSPP.....................
236.907 Product Safety Plan (PSP):
    Failure to develop a PSP..................        5,000        7,500
    Failure to submit a PSP when required.....        5,000        7,500
236.909 Minimum Performance Standard:
    Failure to make analyses or documentation         2,500        5,000
     available................................
    Failure to determine that the standard has        5,000        7,500
     been met.................................
236.913 Notification to FRA of PSPs:                  2,500        5,000
    Failure to prepare a PSP or PSP amendment         5,000        7,500
     as required..............................
    Failure to submit a PSP or PSP amendment          5,000        7,500
     as required..............................
    Field testing without authorization or           10,000       20,000
     approval.................................
236.915 Implementation and operation:
    (a) Operation of product without                 10,000       20,000
     authorization or approval................
    (b) Failure to comply with PSP............        2,500        5,000
    (c) Interference with normal functioning          7,500       15,000
     safety-critical product..................
    (d) Failure to determine cause and adjust,        5,000        7,500
     repair or replace without undue delay or
     take appropriate action pending repair...
236.917 Retention of records:
    Failure to maintain records as required...        7,500       15,000
    Failure to report inconsistency...........       10,000       20,000
    Failure to take prompt countermeasures....       10,000       20,000
    Failure to provide final report...........        2,500        5,000
236.919 Operations and Maintenance Manual.....        3,000        6,000
236.921 Training and qualification program,           3,000        6,000
 general......................................
236.923 Task analysis and basic requirements:
    Failure to develop an acceptable training         2,500        5,000
     program..................................
    Failure to train persons as required......        2,500        5,000
    Failure to conduct evaluation of training         2,500        5,000
     program as required......................
    Failure to maintain records as required...        1,500        3,000
236.925 Training specific to control office           2,500        5,000
 personnel....................................
236.927 Training specific to locomotive               2,500        5,000
 engineers and other operating personnel......
236.929 Training specific to roadway workers..        2,500       5,000
                Subpart I--Positive Train Control Systems
------------------------------------------------------------------------
236.1005 Positive Train Control System
 Requirements:
    Failure to timely complete PTC system            16,000       25,000
     installation on track segment where PTC
     is required..............................
    Commencement of revenue service prior to         16,000       25,000
     obtaining PTC System Certification.......
    Failure of the PTC system to perform a            5,000        7,500
     safety-critical function required by this
     section..................................
    Operating outside the limits of an               15,000       25,000
     approved de minimis exception............
    Failure to integrate a hazard detector....       15,000       25,000
    Non-compliant event recorder..............        2,500        5,000
    Failure of event recorder.................        2,500        5,000
    Failure to provide notice, obtain                 5,000        7,500
     approval, or follow a condition for
     temporary rerouting when required........
    Exceeding the allowed percentage of               5,000        7,500
     controlling locomotives operating out of
     an initial terminal after receiving a
     failed initialization....................
236.1006 Equipping locomotives operating in
 PTC territory:
    Failure to adhere to a PTCIP..............        (\2\)        (\2\)
    Operating in PTC territory a controlling         15,000       25,000
     locomotive without a required and
     operative PTC onboard apparatus..........
    Operating with a PTC onboard apparatus           15,000       25,000
     that is not functioning in accordance
     with the applicable PTCSP................
    Failure to report as prescribed by this           5,000        7,500
     section..................................
    Non-compliant operation of unequipped            15,000       25,000
     trains in PTC territory..................
    Failure to equip locomotives in accordance       15,000       25,000
     with the applicable PTCIP................
    Failure to comply with conditions of a            (\2\)        (\2\)
     yard movement exception..................
    Improper arrangement of the PTC system            2,500        5,000
     onboard apparatus........................
    Engineer performing prohibited duties.....        5,000        7,500
236.1007 Additional requirements for high-
 speed service:
    Installing or operating a PTC system             15,000       25,000
     without the required safety-critical
     functional attributes of a block signal
     system...................................
    Operation of passenger trains at speed           15,000       25,000
     equal to or greater than 60 mph on non-
     PTC-equipped territory where required....
    Operation of freight trains at speed equal       15,000       25,000
     to or greater than 50 mph on non-PTC-
     equipped territory where required........

[[Page 899]]

 
    Failure to fully implement incursion              5,000        7,500
     protection where required................
236.1009 Procedural requirements:
    Failure to file PTCIP when required.......        5,000        7,500
    Failure to amend PTCIP when required......        5,000        7,500
    Failure to obtain Type Approval when              5,000        7,500
     required.................................
    Failure to update NPI.....................        5,000        7,500
    Operation of PTC system without system           16,000       25,000
     certification............................
    Failure to comply with FRA condition or           (\2\)        (\2\)
     modification.............................
    Failure to report as required.............        5,000        7,500
    Failure to provide FRA access.............       10,000       16,000
236.1011 PTCIP content requirements:
    Failure to install a PTC system as               11,000       16,000
     required.................................
    Failure to maintain a PTCIP as required...        (\2\)        (\2\)
236.1013 PTCDP content requirements and Type
 Approval:
    Failure to maintain quality control system        5,000        7,500
    Inappropriate use of Type Approval........        5,000        7,500
236.1015 PTCSP content requirements and PTC
 System Certification:
    Failure to implement PTC system in               16,000       25,000
     accordance with the associated PTCSP and
     resultant system certification...........
    Failure to maintain PTC system in                16,000       25,000
     accordance with the associated PTCSP and
     resultant system certification...........
    Failure to maintain required supporting           2,500        5,000
     documentation............................
236.1017 Independent third party Verification
 and Validation:
    Failure to conduct independent third party       11,000       16,000
     Verification and Validation when ordered.
236.1019 Main line track exceptions:
    Operations conducted in non-compliance           16,000       25,000
     with the passenger terminal exception....
    Operations conducted in non-compliance           16,000       25,000
     with the limited operations exception....
    Failure to request modification of the           11,000       16,000
     PTCIP or PTCSP when required.............
    Operations conducted in violation of             16,000       25,000
     (c)(2)...................................
    Operations conducted in violation of             25,000       25,000
     (c)(3)...................................
236.1021 Discontinuances, material
 modifications, and amendments:
    Failure to update PTCDP when required.....        5,000        7,500
    Failure to update PTCSP when required.....        5,000        7,500
    Failure to immediately adopt and comply           5,000        7,500
     with approved RFA........................
    Discontinuance or modification of a PTC          11,000       16,000
     system without approval when required....
236.1023 Errors and malfunctions:
    Railroad failure to provide proper                5,000        7,500
     notification of PTC system error or
     malfunction..............................
    Failure to maintain PTCPVL................        2,500        5,000
    Supplier failure to provide proper                5,000        7,500
     notification of previously identified PTC
     system error or malfunction..............
    Failure to provide timely notification....        5,000        7,500
    Failure to provide appropriate protective        15,000       25,000
     measures in the event of PTC system
     failure..................................
236.1027 Exclusions:
    Integration of primary train control              5,000        7,500
     system with locomotive electronic system
     without approval.........................
236.1029 PTC system use and en route failures:
    Failure to determine cause of PTC system          5,000        7,500
     component failure without undue delay....
    Failure to adjust, repair, or replace             5,000        7,500
     faulty PTC system component without undue
     delay....................................
    Failure to take appropriate action pending       15,000       25,000
     adjustment, repair, or replacement of
     faulty PTC system component..............
    PTC territory operation with an                   5,000        7,500
     inoperative PTC onboard apparatus........
    Interference with the normal functioning         15,000       25,000
     of safety-critical PTC system............
236.1033 Communications and security
 requirements:
    Failure to provide cryptographic message          5,000        7,500
     integrity and authentication.............
    Improper use of revoked cryptographic key.        5,000       15,000
    Failure to protect cryptographic keys from        5,000       15,000
     unauthorized disclosure, modification, or
     substitution.............................
    Failure to establish prioritized service          5,000        7,500
     restoration and mitigation plan for
     communication services...................
236.1035 Field testing requirements:
    Field testing without authorization or           10,000       20,000
     approval.................................
    Failure to comply with FRA condition......        (\2\)        (\2\)
236.1037 Records retention:
    Failure to maintain records and databases         7,500       15,000
     as required..............................
    Failure to report inconsistency...........       10,000       20,000
    Failure to take prompt countermeasures....       10,000       20,000
    Failure to provide final report...........        2,500        5,000
236.1039 Operations and Maintenance Manual:
    Failure to implement and maintain                 3,000        6,000
     Operations and Maintenance Manual as
     required.................................
    Failure to make Operations and Maintenance       10,000       16,000
     Manual available to FRA when required....
    Failure to make Operations and Maintenance       15,000       25,000
     Manual available to persons required to
     performed the required tasks.............
    Amends Operations and Maintenance Manual          5,000       10,000
     without FRA approval.....................

[[Page 900]]

 
236.1043 Task analysis and basic requirements:
    Failure to develop and maintain an               10,000       20,000
     acceptable training program..............
    Failure to train persons as required......        2,500        5,000
    Failure to conduct evaluation of training         2,500        5,000
     program as required......................
    Failure to maintain records as required...        1,500        3,000
236.1045 Training specific to office control
 personnel:
    Failure to conduct training unique to             2,500        5,000
     office control personnel.................
236.1047 Training specific to locomotive
 engineers and other operating personnel:
    Failure to conduct training unique to             2,500        5,000
     locomotive engineers and other operating
     personnel................................
236.1049 Training specific to roadway workers:
    Failure to conduct training unique to             2,500        5,000
     roadway workers..........................
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a civil
  penalty of up to $109,819 per day for any violation where
  circumstances warrant. See 49 CFR part 209, Appendix A.
\2\ Each plan has numerous conditions and requirements with varying
  degrees of importance or impact. Thus, a single recommended civil
  penalty amount for a violation for failure to adhere to each plan or
  condition is not advisable or warranted. When a violation of a plan or
  condition is found, FRA may consider a variety of factors to determine
  the appropriate civil penalty to assess, including any underlying or
  related violation.


[53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11624, Mar. 10, 1998; 
69 FR 30595, May 28, 2004; 70 FR 11104, Mar. 7, 2005; 73 FR 79704, Dec. 
30, 2008; 75 FR 2715, Jan. 15, 2010; 77 FR 24422, Apr. 24, 2012; 81 FR 
10129, Feb. 29, 2016; 81 FR 43112, July 1, 2016]



          Sec. Appendix B to Part 236--Risk Assessment Criteria

    The safety-critical performance of each product for which risk 
assessment is required under this part must be assessed in accordance 
with the following minimum criteria or other criteria if demonstrated to 
the Associate Administrator for Safety to be equally suitable:
    (a) How are risk metrics to be expressed? The risk metric for the 
proposed product must describe with a high degree of confidence the 
accumulated risk of a train control system that operates over the 
designated life-cycle of the product. Each risk metric for the proposed 
product must be expressed with an upper bound, as estimated with a 
sensitivity analysis, and the risk value selected must be demonstrated 
to have a high degree of confidence.
    (b) How does the risk assessment handle interaction risks for 
interconnected subsystems/components? The risk assessment of each 
safety-critical system (product) must account not only for the risks 
associated with each subsystem or component, but also for the risks 
associated with interactions (interfaces) between such subsystems.
    (c) What is the main principle in computing risk for the previous 
and current conditions? The risk for the previous condition must be 
computed using the same metrics as for the new system being proposed. A 
full risk assessment must consider the entire railroad environment where 
the product is being applied, and show all aspects of the previous 
condition that are affected by the installation of the product, 
considering all faults, operating errors, exposure scenarios, and 
consequences that are related as described in this part. For the full 
risk assessment, the total societal cost of the potential numbers of 
accidents assessed for both previous and new system conditions must be 
computed for comparison. An abbreviated risk assessment must, as a 
minimum, clearly compute the MTTHE for all of the hazardous events 
identified for both previous and current conditions. The comparison 
between MTTHE for both conditions is to determine whether the product 
implementation meets the safety criteria as required by subpart H or 
subpart I of this part as applicable.
    (d) What major system characteristics must be included when relevant 
to risk assessment? Each risk calculation must consider the total 
signaling and train control system and method of operation, as subjected 
to a list of hazards to be mitigated by the signaling and train control 
system. The methodology requirements must include the following major 
characteristics, when they are relevant to the product being considered:
    (1) Track plan infrastructure, switches, rail crossings at grade and 
highway-rail grade crossings as applicable;
    (2) Train movement density for freight, work, and passenger trains 
where applicable and computed over a time span of not less than 12 
months;
    (3) Train movement operational rules, as enforced by the dispatcher, 
roadway worker/Employee in Charge, and train crew behaviors;
    (4) Wayside subsystems and components;
    (5) Onboard subsystems and components;
    (6) Consist contents such as hazardous material, oversize loads; and
    (7) Operating speeds if the provisions of part 236 cite additional 
requirements for certain type of train control systems to be used at 
such speeds for freight and passenger trains.
    (e) What other relevant parameters must be determined for the 
subsystems and components?

[[Page 901]]

In order to derive the frequency of hazardous events (or MTTHE) 
applicable for a product, subsystem or component included in the risk 
assessment, the railroad may use various techniques, such as reliability 
and availability calculations for subsystems and components, Fault Tree 
Analysis (FTA) of the subsystems, and results of the application of 
safety design principles as noted in Appendix C to this part. The MTTHE 
is to be derived for both fail-safe and non-fail-safe subsystems or 
components. The lower bounds of the MTTF or MTBF determined from the 
system sensitivity analysis, which account for all necessary and well 
justified assumptions, may be used to represent the estimate of MTTHE 
for the associated non-fail-safe subsystem or component in the risk 
assessment.
    (f) How are processor-based subsystems/components assessed? (1) An 
MTTHE value must be calculated for each processor-based subsystem or 
component, or both, indicating the safety-critical behavior of the 
integrated hardware/software subsystem or component, or both. The human 
factor impact must be included in the assessment, whenever applicable, 
to provide the integrated MTTHE value. The MTTHE calculation must 
consider the rates of failures caused by permanent, transient, and 
intermittent faults accounting for the fault coverage of the integrated 
hardware/software subsystem or component, phased-interval maintenance, 
and restoration of the detected failures.
    (2) Software fault/failure analysis must be based on the assessment 
of the design and implementation of all safety-related software 
including the application code, its operating/executive program, COTS 
software, and associated device drivers, as well as historical 
performance data, analytical methods and experimental safety-critical 
performance testing performed on the subsystem or component. The 
software assessment process must demonstrate through repeatable 
predictive results that all software defects have been identified and 
corrected by process with a high degree of confidence.
    (g) How are non-processor-based subsystems/components assessed? (1) 
The safety-critical behavior of all non-processor-based components, 
which are part of a processor-based system or subsystem, must be 
quantified with an MTTHE metric. The MTTHE assessment methodology must 
consider failures caused by permanent, transient, and intermittent 
faults, phase-interval maintenance and restoration of operation after 
failures and the effect of fault coverage of each non-processor-based 
subsystem or component.
    (2) MTTHE compliance verification and validation must be based on 
the assessment of the design for adequacy by a documented verification 
and validation process, historical performance data, analytical methods 
and experimental safety-critical performance testing performed on the 
subsystem or component. The non-processor-based quantification 
compliance must be demonstrated to have a high degree of confidence.
    (h) What assumptions must be documented for risk assessment? (1) The 
railroad shall document any assumptions regarding the derivation of risk 
metrics used. For example, for the full risk assessment, all assumptions 
made about each value of the parameters used in the calculation of total 
cost of accidents should be documented. For abbreviated risk assessment, 
all assumptions made for MTHHE derivation using existing reliability and 
availability data on the current system components should be documented. 
The railroad shall document these assumptions in such a form as to 
permit later comparisons with in-service experience.
    (2) The railroad shall document any assumptions regarding human 
performance. The documentation shall be in such a form as to facilitate 
later comparisons with in-service experience.
    (3) The railroad shall document any assumptions regarding software 
defects. These assumptions shall be in a form that permit the railroad 
to project the likelihood of detecting an in-service software defect. 
These assumptions shall be documented in such a form as to permit later 
comparisons with in-service experience.
    (4) The railroad shall document all of the identified safety-
critical fault paths to a mishap as predicted by the safety analysis 
methodology. The documentation shall be in such a form as to facilitate 
later comparisons with in-service faults.

[75 FR 2717, Jan. 15, 2010]



  Sec. Appendix C to Part 236--Safety Assurance Criteria and Processes

    (a) What is the purpose of this appendix? This appendix provides 
safety criteria and processes that the designer must use to develop and 
validate the product that meets safety requirements of this part. FRA 
uses the criteria and processes set forth in this appendix to evaluate 
the validity of safety targets and the results of system safety analyses 
provided in the RSPP, PSP, PTCIP, PTCDP, and PTCSP documents as 
appropriate. An analysis performed under this appendix must:
    (1) Address each of the safety principles of paragraph (b) of this 
appendix, or explain why they are not relevant, and
    (2) Employ a validation and verification process pursuant to 
paragraph (c) of this appendix.
    (b) What safety principles must be followed during product 
development? The designer shall address each of the following safety 
considerations principles when designing and demonstrating the safety of 
products covered

[[Page 902]]

by subpart H or I of this part. In the event that any of these 
principles are not followed, the PSP or PTCDP or PTCSP shall state both 
the reason(s) for departure and the alternative(s) utilized to mitigate 
or eliminate the hazards associated with the design principle not 
followed.
    (1) System safety under normal operating conditions. The system (all 
its elements including hardware and software) must be designed to assure 
safe operation with no hazardous events under normal anticipated 
operating conditions with proper inputs and within the expected range of 
environmental conditions. All safety-critical functions must be 
performed properly under these normal conditions. The system shall 
operate safely even in the absence of prescribed operator actions or 
procedures. The designer must identify and categorize all hazards that 
may lead to unsafe system operation. Hazards categorized as 
unacceptable, which are determined by hazard analysis, must be 
eliminated by design. Best effort shall also be made by the designer to 
eliminate by design the hazards categorized as undesirable. Those 
undesirable hazards that cannot be eliminated should be mitigated to the 
acceptable level as required by this part.
    (2) System safety under failures.
    (i) It must be shown how the product is designed to eliminate or 
mitigate unsafe systematic failures--those conditions which can be 
attributed to human error that could occur at various stages throughout 
product development. This includes unsafe errors in the software due to 
human error in the software specification, design, or coding phases; 
human errors that could impact hardware design; unsafe conditions that 
could occur because of an improperly designed human-machine interface; 
installation and maintenance errors; and errors associated with making 
modifications.
    (ii) The product must be shown to operate safely under conditions of 
random hardware failures. This includes single hardware failures as well 
as multiple hardware failures that may occur at different times but 
remain undetected (latent) and react in combination with a subsequent 
failure at a later time to cause an unsafe operating situation. In 
instances involving a latent failure, a subsequent failure is similar to 
there being a single failure. In the event of a transient failure, and 
if so designed, the system should restart itself if it is safe to do so. 
Frequency of attempted restarts must be considered in the hazard 
analysis required by Sec. 236.907(a)(8).
    (iii) There shall be no single point failures in the product that 
can result in hazards categorized as unacceptable or undesirable. 
Occurrence of credible single point failures that can result in hazards 
must be detected and the product must achieve a known safe state that 
eliminates the possibility of false activation of any physical 
appliance.
    (iv) If one non-self-revealing failure combined with a second 
failure can cause a hazard that is categorized as unacceptable or 
undesirable, then the second failure must be detected and the product 
must achieve a known safe state that eliminates the possibility of false 
activation of any physical appliance.
    (v) Another concern of multiple failures involves common mode 
failures in which two or more subsystems or components intended to 
compensate one another to perform the same function all fail by the same 
mode and result in unsafe conditions. This is of particular concern in 
instances in which two or more elements (hardware or software, or both) 
are used in combination to ensure safety. If a common mode failure 
exists, then any analysis performed under this appendix cannot rely on 
the assumption that failures are independent. Examples include: The use 
of redundancy in which two or more elements perform a given function in 
parallel and when one (hardware or software) element checks/monitors 
another element (of hardware or software) to help ensure its safe 
operation. Common mode failure relates to independence, which must be 
ensured in these instances. When dealing with the effects of hardware 
failure, the designer shall address the effects of the failure not only 
on other hardware, but also on the execution of the software, since 
hardware failures can greatly affect how the software operates.
    (3) Closed loop principle. System design adhering to the closed loop 
principle requires that all conditions necessary for the existence of 
any permissive state or action be verified to be present before the 
permissive state or action can be initiated. Likewise the requisite 
conditions shall be verified to be continuously present for the 
permissive state or action to be maintained. This is in contrast to 
allowing a permissive state or action to be initiated or maintained in 
the absence of detected failures. In addition, closed loop design 
requires that failure to perform a logical operation, or absence of a 
logical input, output or decision shall not cause an unsafe condition, 
i.e. system safety does not depend upon the occurrence of an action or 
logical decision.
    (4) Safety assurance concepts. The product design must include one 
or more of the following Safety Assurance Concepts as described in IEEE-
1483 standard to ensure that failures are detected and the product is 
placed in a safe state. One or more different principles may be applied 
to each individual subsystem or component, depending on the safety 
design objectives of that part of the product.
    (i) Design diversity and self-checking concept. This concept 
requires that all critical functions be performed in diverse ways, using 
diverse software operations and/or diverse

[[Page 903]]

hardware channels, and that critical hardware be tested with Self-
Checking routines. Permissive outputs are allowed only if the results of 
the diverse operations correspond, and the Self-Checking process reveals 
no failures in either execution of software or in any monitored input or 
output hardware. If the diverse operations do not agree or if the 
checking reveals critical failures, safety-critical functions and 
outputs must default to a known safe state.
    (ii) Checked redundancy concept. The Checked Redundancy concept 
requires implementation of two or more identical, independent hardware 
units, each executing identical software and performing identical 
functions. A means is to be provided to periodically compare vital 
parameters and results of the independent redundant units, requiring 
agreement of all compared parameters to assert or maintain a permissive 
output. If the units do not agree, safety-critical functions and outputs 
must default to a known safe state.
    (iii) N-version programming concept. This concept requires a 
processor-based product to use at least two software programs performing 
identical functions and executing concurrently in a cycle. The software 
programs must be written by independent teams, using different tools. 
The multiple independently written software programs comprise a 
redundant system, and may be executed either on separate hardware units 
(which may or may not be identical) or within one hardware unit. A means 
is to be provided to compare the results and output states of the 
multiple redundant software systems. If the system results do not agree, 
then the safety-critical functions and outputs must default to a known 
safe state.
    (iv) Numerical assurance concept. This concept requires that the 
state of each vital parameter of the product or system be uniquely 
represented by a large encoded numerical value, such that permissive 
results are calculated by pseudo-randomly combining the representative 
numerical values of each of the critical constituent parameters of a 
permissive decision. Vital algorithms must be entirely represented by 
data structures containing numerical values with verified 
characteristics, and no vital decisions are to be made in the executing 
software, only by the numerical representations themselves. In the event 
of critical failures, the safety-critical functions and outputs must 
default to a known safe state.
    (v) Intrinsic fail-safe design concept. Intrinsically fail-safe 
hardware circuits or systems are those that employ discrete mechanical 
and/or electrical components. The fail-safe operation for a product or 
subsystem designed using this principle concept requires a verification 
that the effect of every relevant failure mode of each component, and 
relevant combinations of component failure modes, be considered, 
analyzed, and documented. This is typically performed by a comprehensive 
failure modes and effects analysis (FMEA) which must show no residual 
unmitigated failures. In the event of critical failures, the safety-
critical functions and outputs must default to a known safe state.
    (5) Human factor engineering principle. The product design must 
sufficiently incorporate human factors engineering that is appropriate 
to the complexity of the product; the educational, mental, and physical 
capabilities of the intended operators and maintainers; the degree of 
required human interaction with the component; and the environment in 
which the product will be used.
    (6) System safety under external influences. The product must be 
shown to operate safely when subjected to different external influences, 
including:
    (i) Electrical influences such as power supply anomalies/transients, 
abnormal/improper input conditions (e.g., outside of normal range inputs 
relative to amplitude and frequency, unusual combinations of inputs) 
including those related to a human operator, and others such as 
electromagnetic interference or electrostatic discharges, or both;
    (ii) Mechanical influences such as vibration and shock; and
    (iii) Climatic conditions such as temperature and humidity.
    (7) System safety after modifications. Safety must be ensured 
following modifications to the hardware or software, or both. All or 
some of the concerns identified in this paragraph may be applicable 
depending upon the nature and extent of the modifications. Such 
modifications must follow all of the concept, design, implementation and 
test processes and principles as documented in the PSP for the original 
product. Regression testing must be comprehensive and documented to 
include all scenarios which are affected by the change made, and the 
operating modes of the changed product during normal and failure state 
(fallback) operation.
    (c) What standards are acceptable for Verification and Validation? 
(1) The standards employed for Verification or Validation, or both, of 
products subject to this subpart must be sufficient to support 
achievement of the applicable requirements of subpart H and subpart I of 
this part.
    (2) U.S. Department of Defense Military Standard (MIL-STD) 882C, 
``System Safety Program Requirements'' (January 19, 1993), is recognized 
as providing appropriate risk analysis processes for incorporation into 
verification and validation standards.
    (3) The following standards designed for application to processor-
based signal and train control systems are recognized as acceptable with 
respect to applicable elements of safety analysis required by subpart H 
and subpart I

[[Page 904]]

of this part. The latest versions of the standards listed below should 
be used unless otherwise provided.
    (i) IEEE standards as follows:
    (A) IEEE 1483-2000, Standard for the Verification of Vital Functions 
in Processor-Based Systems Used in Rail Transit Control.
    (B) IEEE 1474.2-2003, Standard for user interface requirements in 
communications based train control (CBTC) systems.
    (C) IEEE 1474.1-2004, Standard for Communications-Based Train 
Control (CBTC) Performance and Functional Requirements.
    (ii) CENELEC Standards as follows:
    (A) EN50129: 2003, Railway Applications: Communications, Signaling, 
and Processing Systems-Safety Related Electronic Systems for Signaling; 
and
    (B) EN50155:2001/A1:2002, Railway Applications: Electronic Equipment 
Used in Rolling Stock.
    (iii) ATCS Specification 200 Communications Systems Architecture.
    (iv) ATCS Specification 250 Message Formats.
    (v) AREMA 2009 Communications and Signal Manual of Recommended 
Practices, Part 16, Part 17, 21, and 23.
    (vi) Safety of High-Speed Ground Transportation Systems. Analytical 
Methodology for Safety Validation of Computer Controlled Subsystems. 
Volume II: Development of a Safety Validation Methodology. Final Report 
September 1995. Author: Jonathan F. Luedeke, Battelle. DOT/FRA/ORD-95/
10.2.
    (vii) IEC 61508 (International Electrotechnical Commission), 
Functional Safety of Electrical/Electronic/Programmable/Electronic 
Safety (E/E/P/ES) Related Systems, Parts 1-7 as follows:
    (A) IEC 61508-1 (1998-12) Part 1: General requirements and IEC 
61508-1 Corr. (1999-05) Corrigendum 1--Part 1: General Requirements.
    (B) IEC 61508-2 (2000-05) Part 2: Requirements for electrical/
electronic/programmable electronic safety-related systems.
    (C) IEC 61508-3 (1998-12) Part 3: Software requirements and IEC 
61508-3 Corr. 1 (1999-04) Corrigendum 1--Part 3: Software requirements.
    (D) IEC 61508-4 (1998-12) Part 4: Definitions and abbreviations and 
IEC 61508-4 Corr. 1 (1999-04) Corrigendum 1--Part 4: Definitions and 
abbreviations.
    (E) IEC 61508-5 (1998-12) Part 5: Examples of methods for the 
determination of safety integrity levels and IEC 61508-5 Corr. 1 (1999-
04) Corrigendum 1--Part 5: Examples of methods for determination of 
safety integrity levels.
    (F) IEC 61508-6 (2000-04) Part 6: Guidelines on the applications of 
IEC 61508-2 and -3.
    (G) IEC 61508-7 (2000-03) Part 7: Overview of techniques and 
measures.
    (H) IEC 62278: 2002, Railway Applications: Specification and 
Demonstration of Reliability, Availability, Maintainability and Safety 
(RAMS);
    (I) IEC 62279: 2002 Railway Applications: Software for Railway 
Control and Protection Systems;
    (4) Use of unpublished standards, including proprietary standards, 
is authorized to the extent that such standards are shown to achieve the 
requirements of this part. However, any such standards shall be 
available for inspection and replication by FRA and for public 
examination in any public proceeding before the FRA to which they are 
relevant.
    (5) The various standards provided in this paragraph are for 
illustrative purposes only. Copies of these standards can be obtained in 
accordance with the following:
    (i) U.S. government standards and technical publications may be 
obtained by contacting the federal National Technical Information 
Service, 5301 Shawnee Rd, Alexandria, VA 22312.
    (ii) U.S. National Standards may be obtained by contacting the 
American National Standards Institute, 25 West 43rd Street, 4 Floor, New 
York, NY 10036.
    (iii) IEC Standards may be obtained by contacting the International 
Electrotechnical Commission, 3, rue de Varemb[eacute], P.O. Box 131 CH--
1211, GENEVA, 20, Switzerland.
    (iv) CENLEC Standards may be obtained by contacting any of one the 
national standards bodies that make up the European Committee for 
Electrotechnical Standardization.
    (v) IEEE standards may be obtained by contacting the IEEE 
Publications Office, 10662 Los Vaqueros Circle, P.O. Box 3014, Los 
Alamitos, CA 90720-1264.
    (vi) AREMA standards may be obtained from the American Railway 
Engineering and Maintenance-of-Way Association, 10003 Derekwood Lane, 
Suite 210, Lanham, MD 20706.

[75 FR 2718, Jan. 15, 2010]



  Sec. Appendix D to Part 236--Independent Review of Verification and 
                               Validation

    (a) This appendix provides minimum requirements for independent 
third-party assessment of product safety verification and validation 
pursuant to subpart H or subpart I of this part. The goal of this 
assessment is to provide an independent evaluation of the product 
manufacturer's utilization of safety design practices during the 
product's development and testing phases, as required by any mutually 
agreed upon controlling documents and standards and the applicable 
railroad's:
    (1) Railroad Safety Program Plan (RSPP) and Product Safety Plan 
(PSP) for processor based systems developed under subpart H or,

[[Page 905]]

    (2) PTC Product Development Plan (PTCDP) and PTC Safety Plan (PTCSP) 
for PTC systems developed under subpart I.
    (b) The supplier may request advice and assistance of the reviewer 
concerning the actions identified in paragraphs (c) through (g) of this 
appendix. However, the reviewer shall not engage in any design efforts 
associated with the product, the products subsystems, or the products 
components, in order to preserve the reviewer's independence and 
maintain the supplier's proprietary right to the product.
    (c) The supplier shall provide the reviewer access to any and all 
documentation that the reviewer requests and attendance at any design 
review or walkthrough that the reviewer determines as necessary to 
complete and accomplish the third party assessment. The reviewer may be 
accompanied by representatives of FRA as necessary, in FRA's judgment, 
for FRA to monitor the assessment.
    (d) The reviewer shall evaluate the product with respect to safety 
and comment on the adequacy of the processes which the supplier applies 
to the design and development of the product. At a minimum, the reviewer 
shall compare the supplier processes with acceptable validation and 
verification methodology and employ any other such tests or comparisons 
if they have been agreed to previously with FRA. Based on these 
analyses, the reviewer shall identify and document any significant 
safety vulnerabilities which are not adequately mitigated by the 
supplier's (or user's) processes. Finally, the reviewer shall evaluate 
and document the adequacy of the railroad's
    (1) RSPP, the PSP, and any other documents pertinent to a product 
being developed under subpart H of this part; or
    (2) PTCDP and PTCSP for systems being developed under subpart I of 
this part.
    (e) The reviewer shall analyze the Hazard Log and/or any other 
hazard analysis documents for comprehensiveness and compliance with 
applicable railroad, vendor, supplier, industry, national, and 
international standards.
    (f) The reviewer shall analyze all Fault Tree Analyses (FTA), 
Failure Mode and Effects Criticality Analysis (FMECA), and other hazard 
analyses for completeness, correctness, and compliance with applicable 
railroad, vendor, supplier, industry, national and international 
standards.
    (g) The reviewer shall randomly select various safety-critical 
software, and hardware modules, if directed by FRA, for audit to verify 
whether the requirements of the applicable railroad, vendor, supplier, 
industry, national, and international standards were followed. The 
number of modules audited must be determined as a representative number 
sufficient to provide confidence that all unaudited modules were 
developed in compliance with the applicable railroad, vendor, supplier, 
industry, national, and international standards.
    (h) The reviewer shall evaluate and comment on the plan for 
installation and test procedures of the product for revenue service.
    (i) The reviewer shall prepare a final report of the assessment. The 
report shall be submitted to the railroad prior to the commencement of 
installation testing and contain at least the following information:
    (1) Reviewer's evaluation of the adequacy of the PSP in the case of 
products developed under subpart H, or PTCSP for products developed 
under subpart I of this part, including the supplier's MTTHE and risk 
estimates for the product, and the supplier's confidence interval in 
these estimates;
    (2) Product vulnerabilities, potentially hazardous failure modes, or 
potentially hazardous operating circumstances which the reviewer felt 
were not adequately identified, tracked, mitigated, and corrected by 
either the vendor or supplier or the railroad;
    (3) A clear statement of position for all parties involved for each 
product vulnerability cited by the reviewer;
    (4) Identification of any documentation or information sought by the 
reviewer that was denied, incomplete, or inadequate;
    (5) A listing of each applicable vendor, supplier, industry, 
national, or international standard, procedure or process which was not 
properly followed;
    (6) Identification of the software verification and validation 
procedures, as well as the hardware verification validation procedures 
if deemed appropriate by FRA, for the product's safety-critical 
applications, and the reviewer's evaluation of the adequacy of these 
procedures;
    (7) Methods employed by the product manufacturer to develop safety-
critical software;
    (8) If deemed applicable by FRA, the methods employed by the product 
manufacturer to develop safety-critical hardware by generally acceptable 
techniques;
    (9) Method by which the supplier or railroad addresses 
comprehensiveness of the product design which considers the safety 
elements listed in paragraph (b) of appendix C to this part.

[75 FR 2720, Jan. 15, 2010]



    Sec. Appendix E to Part 236--Human-Machine Interface (HMI) Design

    (a) This appendix provides human factors design criteria applicable 
to both subpart H and subpart I of this part. HMI design criteria will 
minimize negative safety effects by causing designers to consider human 
factors in the development of HMIs. The product design should 
sufficiently incorporate

[[Page 906]]

human factors engineering that is appropriate to the complexity of the 
product; the gender, educational, mental, and physical capabilities of 
the intended operators and maintainers; the degree of required human 
interaction with the component; and the environment in which the product 
will be used.
    (b) As used in this section, ``designer'' means anyone who specifies 
requirements for--or designs a system or subsystem, or both, for--a 
product subject to subpart H or subpart I of this part, and ``operator'' 
means any human who is intended to receive information from, provide 
information to, or perform repairs or maintenance on a safety-critical 
product subject to subpart H or I of this part.
    (c) Human factors issues the designers must consider with regard to 
the general function of a system include:
    (1) Reduced situational awareness and over-reliance. HMI design must 
give an operator active functions to perform, feedback on the results of 
the operator's actions, and information on the automatic functions of 
the system as well as its performance. The operator must be ``in-the-
loop.'' Designers must consider at a minimum the following methods of 
maintaining an active role for human operators:
    (i) The system must require an operator to initiate action to 
operate the train and require an operator to remain ``in-the-loop'' for 
at least 30 minutes at a time;
    (ii) The system must provide timely feedback to an operator 
regarding the system's automated actions, the reasons for such actions, 
and the effects of the operator's manual actions on the system;
    (iii) The system must warn operators in advance when it requires an 
operator to take action;
    (iv) HMI design must equalize an operator's workload; and
    (v) HMI design must not distract from the operator's safety related 
duties.
    (2) Expectation of predictability and consistency in product 
behavior and communications. HMI design must accommodate an operator's 
expectation of logical and consistent relationships between actions and 
results. Similar objects must behave consistently when an operator 
performs the same action upon them.
    (3) End user limited ability to process information. HMI design must 
therefore minimize an operator's information processing load. To 
minimize information processing load, the designer must:
    (i) Present integrated information that directly supports the 
variety and types of decisions that an operator makes;
    (ii) Provide information in a format or representation that 
minimizes the time required to understand and act; and
    (iii) Conduct utility tests of decision aids to establish clear 
benefits such as processing time saved or improved quality of decisions.
    (4) End user limited memory. HMI design must therefore minimize an 
operator's information processing load.
    (i) To minimize short-term memory load, the designer shall integrate 
data or information from multiple sources into a single format or 
representation (``chunking'') and design so that three or fewer 
``chunks'' of information need to be remembered at any one time.
    (ii) To minimize long-term memory load, the designer shall design to 
support recognition memory, design memory aids to minimize the amount of 
information that must be recalled from unaided memory when making 
critical decisions, and promote active processing of the information.
    (d) Design systems that anticipate possible user errors and include 
capabilities to catch errors before they propagate through the system;
    (1) Conduct cognitive task analyses prior to designing the system to 
better understand the information processing requirements of operators 
when making critical decisions; and
    (2) Present information that accurately represents or predicts 
system states.
    (e) When creating displays and controls, the designer must consider 
user ergonomics and shall:
    (1) Locate displays as close as possible to the controls that affect 
them;
    (2) Locate displays and controls based on an operator's position;
    (3) Arrange controls to minimize the need for the operator to change 
position;
    (4) Arrange controls according to their expected order of use;
    (5) Group similar controls together;
    (6) Design for high stimulus-response compatibility (geometric and 
conceptual);
    (7) Design safety-critical controls to require more than one 
positive action to activate (e.g., auto stick shift requires two 
movements to go into reverse);
    (8) Design controls to allow easy recovery from error; and
    (9) Design display and controls to reflect specific gender and 
physical limitations of the intended operators.
    (f) The designer shall also address information management. To that 
end, HMI design shall:
    (1) Display information in a manner which emphasizes its relative 
importance;
    (2) Comply with the ANSI/HFS 100-1988 standard;
    (3) Utilize a display luminance that has a difference of at least 
35cd/m2 between the foreground and background (the displays should be 
capable of a minimum contrast 3:1 with 7:1 preferred, and controls 
should be

[[Page 907]]

provided to adjust the brightness level and contrast level);
    (4) Display only the information necessary to the user;
    (5) Where text is needed, use short, simple sentences or phrases 
with wording that an operator will understand and appropriate to the 
educational and cognitive capabilities of the intended operator;
    (6) Use complete words where possible; where abbreviations are 
necessary, choose a commonly accepted abbreviation or consistent method 
and select commonly used terms and words that the operator will 
understand;
    (7) Adopt a consistent format for all display screens by placing 
each design element in a consistent and specified location;
    (8) Display critical information in the center of the operator's 
field of view by placing items that need to be found quickly in the 
upper left hand corner and items which are not time-critical in the 
lower right hand corner of the field of view;
    (9) Group items that belong together;
    (10) Design all visual displays to meet human performance criteria 
under monochrome conditions and add color only if it will help the user 
in performing a task, and use color coding as a redundant coding 
technique;
    (11) Limit the number of colors over a group of displays to no more 
than seven;
    (12) Design warnings to match the level of risk or danger with the 
alerting nature of the signal; and
    (13) With respect to information entry, avoid full QWERTY keyboards 
for data entry.
    (g) With respect to problem management, the HMI designer shall 
ensure that the:
    (1) HMI design must enhance an operator's situation awareness;
    (2) HMI design must support response selection and scheduling; and
    (3) HMI design must support contingency planning.
    (h) Ensure that electronics equipment radio frequency emissions are 
compliant with appropriate Federal Communications Commission 
regulations. The FCC rules and regulations are codified in Title 47 of 
the Code of Federal Regulations (CFR).
    (1) Electronics equipment must have appropriate FCC Equipment 
Authorizations. The following documentation is applicable to obtaining 
FCC Equipment Authorization:
    (i) OET Bulletin Number 61 (October, 1992 Supersedes May, 1987 
issue) FCC Equipment Authorization Program for Radio Frequency Devices. 
This document provides an overview of the equipment authorization 
program to control radio interference from radio transmitters and 
certain other electronic products and an overview of how to obtain an 
equipment authorization.
    (ii) OET Bulletin 63: (October 1993) Understanding The FCC Part 15 
Regulations for Low Power, Non-Licensed Transmitters. This document 
provides a basic understanding of the FCC regulations for low power, 
unlicensed transmitters, and includes answers to some commonly-asked 
questions. This edition of the bulletin does not contain information 
concerning personal communication services (PCS) transmitters operating 
under Part 15, Subpart D of the rules.
    (iii) 47 Code of Federal Regulations Parts 0 to 19. The FCC rules 
and regulations governing PCS transmitters may be found in 47 CFR, Parts 
0 to 19.
    (iv) OET Bulletin 62 (December 1993) Understanding The FCC 
Regulations for Computers and other Digital Devices. This document has 
been prepared to provide a basic understanding of the FCC regulations 
for digital (computing) devices, and includes answers to some commonly-
asked questions.
    (2) Designers must comply with FCC requirements for Maximum 
Permissible Exposure limits for field strength and power density for the 
transmitters operating at frequencies of 300 kHz to 100 GHz and specific 
absorption rate (SAR) limits for devices operating within close 
proximity to the body. The Commission's requirements are detailed in 
parts 1 and 2 of the FCC's Rules and Regulations (47 CFR 1.1307(b), 
1.1310, 2.1091, 2.1093). The following documentation is applicable to 
demonstrating whether proposed or existing transmitting facilities, 
operations or devices comply with limits for human exposure to 
radiofrequency RF fields adopted by the FCC:
    (i) OET Bulletin No. 65 (Edition 97-01, August 1997), ``Evaluating 
Compliance With FCC Guidelines For Human Exposure To Radiofrequency 
Electromagnetic Fields'',
    (ii) OET Bulletin No 65 Supplement A, (Edition 97-01, August 1997), 
OET Bulletin No 65 Supplement B (Edition 97-01, August 1997) and
    (iii) OET Bulletin No 65 Supplement C (Edition 01-01, June 2001).
    (3) The bulletin and supplements offer guidelines and suggestions 
for evaluating compliance. However, they are not intended to establish 
mandatory procedures. Other methods and procedures may be acceptable if 
based on sound engineering practice.

[75 FR 2720, Feb. 15, 2010]



   Sec. Appendix F to Part 236--Minimum Requirements of FRA Directed 
Independent Third-Party Assessment of PTC System Safety Verification and 
                               Validation

    (a) This appendix provides minimum requirements for mandatory 
independent third-party assessment of PTC system safety

[[Page 908]]

verification and validation pursuant to subpart H or I of this part. The 
goal of this assessment is to provide an independent evaluation of the 
PTC system manufacturer's utilization of safety design practices during 
the PTC system's development and testing phases, as required by the 
applicable PSP, PTCDP, and PTCSP, the applicable requirements of subpart 
H or I of this part, and any other previously agreed-upon controlling 
documents or standards.
    (b) The supplier may request advice and assistance of the 
independent third-party reviewer concerning the actions identified in 
paragraphs (c) through (g) of this appendix. However, the reviewer 
should not engage in design efforts in order to preserve the reviewer's 
independence and maintain the supplier's proprietary right to the PTC 
system.
    (c) The supplier shall provide the reviewer access to any and all 
documentation that the reviewer requests and attendance at any design 
review or walkthrough that the reviewer determines as necessary to 
complete and accomplish the third party assessment. The reviewer may be 
accompanied by representatives of FRA as necessary, in FRA's judgment, 
for FRA to monitor the assessment.
    (d) The reviewer shall evaluate with respect to safety and comment 
on the adequacy of the processes which the supplier applies to the 
design and development of the PTC system. At a minimum, the reviewer 
shall evaluate the supplier design and development process regarding the 
use of an appropriate design methodology. The reviewer may use the 
comparison processes and test procedures that have been previously 
agreed to with FRA. Based on these analyses, the reviewer shall identify 
and document any significant safety vulnerabilities which are not 
adequately mitigated by the supplier's (or user's) processes. Finally, 
the reviewer shall evaluate the adequacy of the railroad's applicable 
PSP or PTCSP, and any other documents pertinent to the PTC system being 
assessed.
    (e) The reviewer shall analyze the Hazard Log and/or any other 
hazard analysis documents for comprehensiveness and compliance with 
railroad, vendor, supplier, industry, national, or international 
standards.
    (f) The reviewer shall analyze all Fault Tree Analyses (FTA), 
Failure Mode and Effects Criticality Analysis (FMECA), and other hazard 
analyses for completeness, correctness, and compliance with railroad, 
vendor, supplier, industry, national, or international standards.
    (g) The reviewer shall randomly select various safety-critical 
software modules, as well as safety-critical hardware components if 
required by FRA for audit to verify whether the railroad, vendor, 
supplier, industry, national, or international standards were followed. 
The number of modules audited must be determined as a representative 
number sufficient to provide confidence that all unaudited modules were 
developed in compliance with railroad, vendor, supplier, industry, 
national, or international standards
    (h) The reviewer shall evaluate and comment on the plan for 
installation and test procedures of the PTC system for revenue service.
    (i) The reviewer shall prepare a final report of the assessment. The 
report shall be submitted to the railroad prior to the commencement of 
installation testing and contain at least the following information:
    (1) Reviewer's evaluation of the adequacy of the PSP or PTCSP 
including the supplier's MTTHE and risk estimates for the PTC system, 
and the supplier's confidence interval in these estimates;
    (2) PTC system vulnerabilities, potentially hazardous failure modes, 
or potentially hazardous operating circumstances which the reviewer felt 
were not adequately identified, tracked or mitigated;
    (3) A clear statement of position for all parties involved for each 
PTC system vulnerability cited by the reviewer;
    (4) Identification of any documentation or information sought by the 
reviewer that was denied, incomplete, or inadequate;
    (5) A listing of each applicable vendor, supplier, industry, 
national or international standard, process, or procedure which was not 
properly followed;
    (6) Identification of the hardware and software verification and 
validation procedures for the PTC system's safety-critical applications, 
and the reviewer's evaluation of the adequacy of these procedures;
    (7) Methods employed by PTC system manufacturer to develop safety-
critical software; and
    (8) If directed by FRA, methods employed by PTC system manufacturer 
to develop safety-critical hardware.

[75 FR 2721, Jan. 15, 2010]



PART 237_BRIDGE SAFETY STANDARDS--Table of Contents



                            Subpart A_General

Sec.
237.1 Application.
237.3 Responsibility for compliance.
237.5 Definitions.
237.7 Penalties.
237.9 Waivers.

               Subpart B_Railroad Bridge Safety Assurance

237.31 Adoption of bridge management programs.
237.33 Content of bridge management programs.

[[Page 909]]

    Subpart C_Qualifications and Designations of Responsible Persons

237.51 Railroad bridge engineers.
237.53 Railroad bridge inspectors.
237.55 Railroad bridge supervisors.
237.57 Designation of individuals.

                      Subpart D_Capacity of Bridges

237.71 Determination of bridge load capacities.
237.73 Protection of bridges from over-weight and over-dimension loads.

                       Subpart E_Bridge Inspection

237.101 Scheduling of bridge inspections.
237.103 Bridge inspection procedures.
237.105 Special inspections.
237.107 Conduct of bridge inspections.
237.109 Bridge inspection records.
237.111 Review of bridge inspection reports.

              Subpart F_Repair and Modification of Bridges

237.131 Design.
237.133 Supervision of repairs and modifications.

   Subpart G_Documentation, Records, and Audits of Bridge Management 
                                Programs

237.151 Audits; general.
237.153 Audits of inspections.
237.155 Documents and records.

Appendix A to Part 237--Supplemental Statement of Agency Policy on the 
          Safety of Railroad Bridges
Appendix B to Part 237--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20102-20114; Public Law 110-432, Div. A, Sec. 
417; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    Source: 75 FR 41302, July 15, 2010, unless otherwise noted.



                            Subpart A_General



Sec. 237.1  Application.

    (a) Except as provided in paragraphs (b) or (c) of this section, 
this part applies to all owners of railroad track with a gage of two 
feet or more and which is supported by a bridge.
    (b) This part does not apply to bridges on track used exclusively 
for rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (c) This part does not apply to bridges located within an 
installation which is not part of the general railroad system of 
transportation and over which trains are not operated by a railroad.



Sec. 237.3  Responsibility for compliance.

    (a) Except as provided in paragraph (b) of this section, an owner of 
track to which this part applies is responsible for compliance.
    (b) If an owner of track to which this part applies assigns 
responsibility for the bridges that carry 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 segment and the individual 
bridges in the assignment;
    (5) A statement as to the competence and ability of the assignee to 
carry out the bridge safety 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.
    (c) The Administrator may hold the track owner or the assignee, or 
both, responsible for compliance with this part and subject to penalties 
under Sec. 237.7.
    (d) 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.
    (e) 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

[[Page 910]]

that function in accordance with this part.
    (f) Where an owner of track to which this part applies has 
previously assigned responsibility for a segment of track to another 
person as prescribed in 49 CFR 213.5(c), additional notification to FRA 
is not required.
    (g) FRA reserves the right to reject an assignment of responsibility 
under Sec. 237.3(b) for cause shown.



Sec. 237.5  Definitions.

    For the purposes of this part--
    Bridge modification means a change to the configuration of a 
railroad bridge that affects the load capacity of the bridge.
    Bridge repair means remediation of damage or deterioration which has 
affected the structural integrity of a railroad bridge.
    Railroad bridge means any structure with a deck, regardless of 
length, which supports one or more railroad tracks, or any other 
undergrade structure with an individual span length of 10 feet or more 
located at such a depth that it is affected by live loads.
    Track owner means a person responsible for compliance in accordance 
with Sec. 237.3.



Sec. 237.7  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 $839 and not more than $27,455 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 $109,819 
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 Administrator of the Federal Railroad Administration to be 
responsible under Sec. 237.3(d). 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.

[75 FR 41302, July 15, 2010, as amended at 77 FR 24422, Apr. 24, 2012; 
81 FR 43112, July 1, 2016]



Sec. 237.9  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. If a waiver is granted, the Administrator 
publishes a notice in the Federal Register containing the reasons for 
granting the waiver.



               Subpart B_Railroad Bridge Safety Assurance



Sec. 237.31  Adoption of bridge management programs.

    Each track owner shall adopt a bridge safety management program to 
prevent the deterioration of railroad bridges by preserving their 
capability to safely carry the traffic to be operated over them, and 
reduce the risk of human casualties, environmental damage, and 
disruption to the Nation's railroad transportation system that would 
result from a catastrophic bridge failure, not later than the dates in 
the following schedule:
    (a) March 14, 2011: Class I carriers;

[[Page 911]]

    (b) March 14, 2011: Owners of track segments which are part of the 
general railroad system of transportation and which carry more than ten 
scheduled passenger trains per week;
    (c) September 13, 2011: Class II carriers to which paragraph (b) of 
this section does not apply; and
    (d) September 13, 2012: All other track owners subject to this part 
and not described paragraphs (a) through (c) of this section.



Sec. 237.33  Content of bridge management programs.

    Each bridge management program adopted in compliance with this part 
shall include, as a minimum, the following:
    (a) An accurate inventory of railroad bridges, which shall include a 
unique identifier for each bridge, its location, configuration, type of 
construction, number of spans, span lengths, and all other information 
necessary to provide for the management of bridge safety;
    (b) A record of the safe load capacity of each bridge;
    (c) A provision to obtain and maintain the design documents of each 
bridge if available, and to document all repairs, modifications, and 
inspections of each bridge; and
    (d) A bridge inspection program covering as a minimum:
    (1) Inspection personnel safety considerations;
    (2) Types of inspection including required detail;
    (3) Definitions of defect levels along with associated condition 
codes if condition codes are used;
    (4) The method of documenting inspections including standard forms 
or formats;
    (5) Structure type and component nomenclature; and
    (6) Numbering or identification protocol for substructure units, 
spans, and individual components.



    Subpart C_Qualifications and Designations of Responsible Persons



Sec. 237.51  Railroad bridge engineers.

    (a) A railroad bridge engineer shall be a person who is determined 
by the track owner to be competent to perform the following functions as 
they apply to the particular engineering work to be performed:
    (1) Determine the forces and stresses in railroad bridges and bridge 
components;
    (2) Prescribe safe loading conditions for railroad bridges;
    (3) Prescribe inspection and maintenance procedures for railroad 
bridges; and
    (4) Design repairs and modifications to railroad bridges.
    (b) The educational qualifications of a railroad bridge engineer 
shall include either:
    (1) A degree in engineering granted by a school of engineering with 
at least one program accredited by ABET, Inc. or its successor 
organization as a professional engineering curriculum, or a degree from 
a program accredited as a professional engineering curriculum by a 
foreign organization recognized by ABET, Inc. or its successor; or
    (2) Current registration as a professional engineer.
    (c) Nothing in this part affects the States' authority to regulate 
the professional practice of engineering.



Sec. 237.53  Railroad bridge inspectors.

    A railroad bridge inspector shall be a person who is determined by 
the track owner to be technically competent to view, measure, report and 
record the condition of a railroad bridge and its individual components 
which that person is designated to inspect. An inspector shall be 
designated to authorize or restrict the operation of railroad traffic 
over a bridge according to its immediate condition or state of repair.



Sec. 237.55  Railroad bridge supervisors.

    A railroad bridge supervisor shall be a person, regardless of 
position title, who is determined by the track owner to be technically 
competent to supervise the construction, modification or repair of a 
railroad bridge in conformance with common or particular specifications, 
plans and instructions applicable to the work to be performed, and to 
authorize or restrict the operation of railroad traffic over a bridge 
according to its immediate condition or state of repair.

[[Page 912]]



Sec. 237.57  Designations of individuals.

    Each track owner shall designate those individuals qualified as 
railroad bridge engineers, railroad bridge inspectors and railroad 
bridge supervisors. Each individual designation shall include the basis 
for the designation in effect and shall be recorded.



                      Subpart D_Capacity of Bridges



Sec. 237.71  Determination of bridge load capacities.

    (a) Each track owner shall determine the load capacity of each of 
its railroad bridges. The load capacity need not be the ultimate or 
maximum load capacity, but must be a safe load capacity.
    (b) The load capacity of each bridge shall be documented in the 
track owner's bridge management program, together with the method by 
which the capacity was determined.
    (c) The determination of load capacity shall be made by a railroad 
bridge engineer using appropriate engineering methods and standards that 
are particularly applicable to railroad bridges.
    (d) Bridge load capacity may be determined from existing design and 
modification records of a bridge, provided that the bridge substantially 
conforms to its recorded configuration. Otherwise, the load capacity of 
a bridge shall be determined by measurement and calculation of the 
properties of its individual components, or other methods as determined 
by a railroad bridge engineer.
    (e) If a track owner has a group of bridges for which the load 
capacity has not already been determined, the owner shall schedule the 
evaluation of those bridges according to their relative priority, as 
established by a railroad bridge engineer. The initial determination of 
load capacity shall be completed not later than five years following the 
required date for adoption of the track owner's bridge management 
program in conformance with Sec. 237.31.
    (f) Where a bridge inspection reveals that, in the determination of 
the railroad bridge engineer, the condition of a bridge or a bridge 
component might adversely affect the ability of the bridge to carry the 
traffic being operated, a new capacity shall be determined.
    (g) Bridge load capacity may be expressed in terms of numerical 
values related to a standard system of bridge loads, but shall in any 
case be stated in terms of weight and length of individual or combined 
cars and locomotives, for the use of transportation personnel.
    (h) Bridge load capacity may be expressed in terms of both normal 
and maximum load conditions. Operation of equipment that produces forces 
greater than the normal capacity shall be subject to any restrictions or 
conditions that may be prescribed by a railroad bridge engineer.



Sec. 237.73  Protection of bridges from over-weight and over-dimension
loads.

    (a) Each track owner shall issue instructions to the personnel who 
are responsible for the configuration and operation of trains over its 
bridges to prevent the operation of cars, locomotives and other 
equipment that would exceed the capacity or dimensions of its bridges.
    (b) The instructions regarding weight shall be expressed in terms of 
maximum equipment weights, and either minimum equipment lengths or axle 
spacing.
    (c) The instructions regarding dimensions shall be expressed in 
terms of feet and inches of cross section and equipment length, in 
conformance with common railroad industry practice for reporting 
dimensions of exceptional equipment in interchange in which height above 
top-of-rail is shown for each cross section measurement, followed by the 
width of the car of the shipment at that height.
    (d) The instructions may apply to individual structures, or to a 
defined line segment or group(s) of line segments where the published 
capacities and dimensions are within the limits of all structures on the 
subject line segments.



                       Subpart E_Bridge Inspection



Sec. 237.101  Scheduling of bridge inspections.

    (a) Each bridge management program shall include a provision for 
scheduling

[[Page 913]]

an inspection for each bridge in railroad service at least once in each 
calendar year, with not more than 540 days between any successive 
inspections.
    (b) A bridge shall be inspected more frequently than provided for in 
the bridge management program when a railroad bridge engineer determines 
that such inspection frequency is necessary considering conditions noted 
on prior inspections, the type and configuration of the bridge, and the 
weight and frequency of traffic carried on the bridge.
    (c) Each bridge management program shall define requirements for the 
special inspection of a bridge to be performed whenever the bridge is 
involved in an event which might have compromised the integrity of the 
bridge, including but not limited to a flood, fire, earthquake, 
derailment or vehicular or vessel impact.
    (d) Any railroad bridge that has not been in railroad service and 
has not been inspected in accordance with this section within the 
previous 540 days shall be inspected and the inspection report reviewed 
by a railroad bridge engineer prior to the resumption of railroad 
service.



Sec. 237.103  Bridge inspection procedures.

    (a) Each bridge management program shall specify the procedure to be 
used for inspection of individual bridges or classes and types of 
bridges.
    (b) The bridge inspection procedures shall be as specified by a 
railroad bridge engineer who is designated as responsible for the 
conduct and review of the inspections. The inspection procedures shall 
incorporate the methods, means of access, and level of detail to be 
recorded for the various components of that bridge or class of bridges.
    (c) The bridge inspection procedures shall ensure that the level of 
detail and the inspection procedures are appropriate to: the 
configuration of the bridge; conditions found during previous 
inspections; the nature of the railroad traffic moved over the bridge 
(including equipment weights, train frequency and length, levels of 
passenger and hazardous materials traffic); and vulnerability of the 
bridge to damage.
    (d) The bridge inspection procedures shall be designed to detect, 
report and protect deterioration and deficiencies before they present a 
hazard to safe train operation.



Sec. 237.105  Special inspections.

    (a) Each bridge management program shall prescribe a procedure for 
protection of train operations and for inspection of any bridge that 
might have been damaged by a natural or accidental event, including but 
not limited to a flood, fire, earthquake, derailment or vehicular or 
vessel impact.
    (b) Each bridge management program shall provide for the detection 
of scour or deterioration of bridge components that are submerged, or 
that are subject to water flow.



Sec. 237.107  Conduct of bridge inspections.

    Bridge inspections shall be conducted under the direct supervision 
of a designated railroad bridge inspector, who shall be responsible for 
the accuracy of the results and the conformity of the inspection to the 
bridge management program.



Sec. 237.109  Bridge inspection records.

    (a) Each track owner to which this part applies shall keep a record 
of each inspection required to be performed on those bridges under this 
part.
    (b) Each record of an inspection under the bridge management program 
prescribed in this part shall be prepared from notes taken on the day(s) 
the inspection is made, supplemented with sketches and photographs as 
needed. Such record will be dated with the date(s) the physical 
inspection takes place and the date the record is created, and it will 
be signed or otherwise certified by the person making the inspection.
    (c) Each bridge management program shall specify that every bridge 
inspection report shall include, as a minimum, the following 
information:
    (1) A precise identification of the bridge inspected;
    (2) The date on which the physical inspection was completed;

[[Page 914]]

    (3) The identification and written or electronic signature of the 
inspector;
    (4) The type of inspection performed, in conformance with the 
definitions of inspection types in the bridge management program;
    (5) An indication on the report as to whether any item noted thereon 
requires expedited or critical review by a railroad bridge engineer, and 
any restrictions placed at the time of the inspection;
    (6) The condition of components inspected, which may be in a 
condition reporting format prescribed in the bridge management program, 
together with any narrative descriptions necessary for the correct 
interpretation of the report; and
    (7) When an inspection does not encompass the entire bridge, the 
portions of the bridge which were inspected shall be identified in the 
report.
    (d) An initial report of each bridge inspection shall be placed in 
the location designated in the bridge management program within 30 
calendar days of the completion of the inspection unless the complete 
inspection report is filed first. The initial report shall include the 
information required by paragraphs (c)(1) through (c)(5) of this 
section.
    (e) A complete report of each bridge inspection, including as a 
minimum the information required in paragraphs (c)(1) through (c)(6) of 
this section, shall be placed in the location designated in the bridge 
management program within 120 calendar days of the completion of the 
inspection.
    (f) Each bridge inspection program shall specify the retention 
period and location for bridge inspection records. The retention period 
shall be no less than two years following the completion of the 
inspection. Records of underwater inspections shall be retained until 
the completion and review of the next underwater inspection of the 
bridge.
    (g) If a bridge inspector, supervisor, or engineer discovers a 
deficient condition on a bridge that affects the immediate safety of 
train operations, that person shall report the condition as promptly as 
possible to the person who controls the operation of trains on the 
bridge in order to protect the safety of train operations.



Sec. 237.111  Review of bridge inspection reports.

    Bridge inspection reports shall be reviewed by railroad bridge 
supervisors and railroad bridge engineers to:
    (a) Determine whether inspections have been performed in accordance 
with the prescribed schedule and specified procedures;
    (b) Evaluate whether any items on the report represent a present or 
potential hazard to safety;
    (c) Prescribe any modifications to the inspection procedures or 
frequency for that particular bridge;
    (d) Schedule any repairs or modifications to the bridge required to 
maintain its structural integrity; and
    (e) Determine the need for further higher-level review.



              Subpart F_Repair and Modification of Bridges



Sec. 237.131  Design.

    Each repair or modification which materially modifies the capacity 
of a bridge or the stresses in any primary load-carrying component of a 
bridge shall be designed by a railroad bridge engineer. The design shall 
specify the manner in which railroad traffic or other live loads may be 
permitted on the bridge while it is being modified or repaired. Designs 
and procedures for repair or modification of bridges of a common 
configuration, such as timber trestles, or instructions for in-kind 
replacement of bridge components, may be issued as a common standard. 
Where the common standard addresses procedures and methods that could 
materially modify the capacity of a bridge or the stresses in any 
primary load-carrying component of a bridge, the standard shall be 
designed and issued by a qualified railroad bridge engineer.



Sec. 237.133  Supervision of repairs and modifications.

    Each repair or modification pursuant to this part shall be performed 
under the immediate supervision of a railroad bridge supervisor as 
defined in Sec. 237.55

[[Page 915]]

of this part who is designated and authorized by the track owner to 
supervise the particular work to be performed. The railroad bridge 
supervisor shall ensure that railroad traffic or other live loads 
permitted on the bridge under repair or modification are in conformity 
with the specifications in the design.



   Subpart G_Documentation, Records, and Audits of Bridge Management 
                                Programs



Sec. 237.151  Audits; general.

    Each program adopted to comply with this part shall include 
provisions for auditing the effectiveness of the several provisions of 
that program, including the validity of bridge inspection reports and 
bridge inventory data, and the correct application of movement 
restrictions to railroad equipment of exceptional weight or 
configuration.



Sec. 237.153  Audits of inspections.

    (a) Each bridge management program shall incorporate provisions for 
an internal audit to determine whether the inspection provisions of the 
program are being followed, and whether the program itself is 
effectively providing for the continued safety of the subject bridges.
    (b) The inspection audit shall include an evaluation of a 
representative sampling of bridge inspection reports at the bridges 
noted on the reports to determine whether the reports accurately 
describe the condition of the bridge.



Sec. 237.155  Documents and records.

    Each track owner required to implement a bridge management program 
and keep records under this part shall make those program documents and 
records available for inspection and reproduction by the Federal 
Railroad Administration.
    (a) Electronic recordkeeping; general. For purposes of compliance 
with the recordkeeping requirements of this part, a track owner may 
create and maintain any of the records required by this part through 
electronic transmission, storage, and retrieval provided that all of the 
following conditions are met:
    (1) The system used to generate the electronic record meets all 
requirements of this subpart;
    (2) The electronically generated record contains the information 
required by this part;
    (3) The track owner monitors its electronic records database through 
sufficient number of monitoring indicators to ensure a high degree of 
accuracy of these records;
    (4) The track owner shall train its employees who use the system on 
the proper use of the electronic recordkeeping system; and
    (5) The track owner maintains an information technology security 
program adequate to ensure the integrity of the system, including the 
prevention of unauthorized access to the program logic or individual 
records.
    (b) System security. The integrity of the bridge inspection records 
must be protected by a security system that incorporates a user identity 
and password, or a comparable method, to establish appropriate levels of 
program and record data access meeting all of the following standards:
    (1) No two individuals have the same electronic identity;
    (2) A record cannot be deleted or altered by any individual after 
the record is certified by the employee who created the record;
    (3) Any amendment to a record is either--
    (i) Electronically stored apart from the record that it amends; or
    (ii) Electronically attached to the record as information without 
changing the original record;
    (4) Each amendment to a record uniquely identifies the person making 
the amendment; and
    (5) The electronic system provides for the maintenance of inspection 
records as originally submitted without corruption or loss of data.



Sec. Appendix A to Part 237--Supplemental Statement of Agency Policy on 
                     the Safety of Railroad Bridges

    A Statement of Agency Policy on the Safety of Railroad Bridges was 
originally published by FRA in 2000 as Appendix C of the

[[Page 916]]

Federal Track Safety Standards, 49 CFR Part 213. With the promulgation 
of 49 CFR Part 237, Bridge Safety Standards, many of the non-regulatory 
provisions in that Policy Statement have been incorporated into the 
bridge safety standards in this part.
    However, FRA has determined that other non-regulatory items are 
still useful as information and guidance for track owners. Those 
provisions of the Policy Statement are therefore retained and placed in 
this Appendix in lieu of their former location in the Track Safety 
Standards.

                                 General

    1. The structural integrity of bridges that carry railroad tracks is 
important to the safety of railroad employees and to the public. The 
responsibility for the safety of railroad bridges is specified in Sec. 
237.3, ``Responsibility for compliance.''
    2. The capacity of a bridge to safely support its traffic can be 
determined only by intelligent application of engineering principles and 
the law of physics. Track owners should use those principles to assess 
the integrity of railroad bridges.
    3. The long term ability of a structure to perform its function is 
an economic issue beyond the intent of this policy. In assessing a 
bridge's structural condition, FRA focuses on the present safety of the 
structure, rather than its appearance or long term usefulness.
    4. FRA inspectors conduct regular evaluations of railroad bridge 
inspection and management practices. The objective of these evaluations 
is to document the practices of the evaluated railroad, to disclose any 
program weaknesses that could affect the safety of the public or 
railroad employees, and to assure compliance with the terms of this 
regulation. If the evaluation discloses problems, FRA seeks a 
cooperative resolution. If safety is jeopardized by a track owner's 
failure to resolve a bridge problem, FRA will use appropriate measures, 
including assessing civil penalties and issuance of emergency orders, to 
protect the safety of railroad employees and the public.
    5. This policy statement addresses the integrity of bridges that 
carry railroad tracks. It does not address the integrity of other types 
of structures on railroad property (i.e., tunnels, highway bridges over 
railroads, or other structures on or over the right-of-way).
    6. The guidelines published in this statement are advisory. They do 
not have the force of regulations or orders, which FRA may enforce using 
civil penalties or other means. The guidelines supplement the 
requirements of part 237 and are retained for information and guidance.

                               Guidelines

    1. Responsibility for safety of railroad bridges.
    (a) The responsibility for the safety of railroad bridges is 
specified in Sec. 237.3.
    (b) The track owner should maintain current information regarding 
loads that may be operated over the bridge, either from its own 
engineering evaluations or as provided by a competent engineer 
representing the track owner. Information on permissible loads may be 
communicated by the track owner either in terms of specific car and 
locomotive configurations and weights, or as values representing a 
standard railroad bridge rating reference system. The most common 
standard bridge rating reference system incorporated in the Manual for 
Railway Engineering of the American Railway Engineering and Maintenance-
of-Way Association is the dimensional and proportional load 
configuration devised by Theodore Cooper. Other reference systems may be 
used where convenient, provided their effects can be defined in terms of 
shear, bending and pier reactions as necessary for a comprehensive 
evaluation and statement of the capacity of a bridge.
    (c) The owner of the track on a bridge should advise other railroads 
operating on that track of the maximum loads permitted on the bridge 
stated in terms of car and locomotive configurations and weights. No 
railroad should operate a load which exceeds those limits without 
specific authority from, and in accordance with restrictions placed by, 
the track owner.
    2. Capacity of railroad bridges.
    (a) The safe capacity of bridges should be determined pursuant to 
Sec. 237.71.
    (b) Proper analysis of a bridge requires knowledge of the actual 
dimensions, materials and properties of the structural members of the 
bridge, their condition, and the stresses imposed in those members by 
the service loads.
    (c) The factors which were used for the design of a bridge can 
generally be used to determine and rate the load capacity of a bridge 
provided:
    (i) The condition of the bridge has not changed significantly; and
    (ii) The stresses resulting from the service loads can be correlated 
to the stresses for which the bridge was designed or rated.
    3. Railroad bridge loads.
    (a) Control of loads is governed by Sec. 237.73.
    (b) Authority for exceptions. Equipment exceeding the nominal weight 
restriction on a bridge should be operated only under conditions 
determined by a competent railroad bridge engineer who has properly 
analyzed the stresses resulting from the proposed loads and has 
determined that the proposed operation can be conducted safely without 
damaging the bridge.
    (c) Operating conditions. Operating conditions for exceptional loads 
may include speed restrictions, restriction of traffic from

[[Page 917]]

adjacent multiple tracks, and weight limitations on adjacent cars in the 
same train.
    4. Railroad bridge records.
    (a) The organization responsible for the safety of a bridge should 
keep design, construction, maintenance and repair records readily 
accessible to permit the determination of safe loads. Having design or 
rating drawings and calculations that conform to the actual structure 
greatly simplifies the process of making accurate determinations of safe 
bridge loads. This provision is governed by Sec. 237.33.
    (b) Organizations acquiring railroad property should obtain original 
or usable copies of all bridge records and drawings, and protect or 
maintain knowledge of the location of the original records.
    5. Specifications for design and rating of railroad bridges.
    (a) The recommended specifications for the design and rating of 
bridges are those found in the Manual for Railway Engineering published 
by the American Railway Engineering and Maintenance-of-Way Association. 
These specifications incorporate recognized principles of structural 
design and analysis to provide for the safe and economic utilization of 
railroad bridges during their expected useful lives. These 
specifications are continually reviewed and revised by committees of 
competent engineers. Other specifications for design and rating, 
however, have been successfully used by some railroads and may continue 
to be suitable.
    (b) A bridge can be rated for capacity according to current 
specifications regardless of the specification to which it was 
originally designed.
    6. Periodic inspections of railroad bridges.
    (a) Periodic bridge inspections by competent inspectors are 
necessary to determine whether a structure conforms to its design or 
rating condition and, if not, the degree of nonconformity. See Sec. 
237.101. Section 237.101(a) calls for every railroad bridge to be 
inspected at least once in each calendar year. Deterioration or damage 
may occur during the course of a year regardless of the level of traffic 
that passes over a bridge. Inspections at more frequent intervals may be 
required by the nature or condition of a structure or intensive traffic 
levels.
    7. Underwater inspections of railroad bridges.
    (a) Inspections of bridges should include measuring and recording 
the condition of substructure support at locations subject to erosion 
from moving water.
    (b) Stream beds often are not visible to the inspector. Indirect 
measurements by sounding, probing, or any other appropriate means are 
necessary in these cases. A series of records of these readings will 
provide the best information in the event unexpected changes suddenly 
occur. Where such indirect measurements do not provide the necessary 
assurance of foundation integrity, diving inspections should be 
performed as prescribed by a competent engineer.
    8. Seismic considerations.
    (a) Owners of bridges should be aware of the risks posed by 
earthquakes in the areas in which their bridges are located. Precautions 
should be taken to protect the safety of trains and the public following 
an earthquake.
    (b) Contingency plans for seismic events should be prepared in 
advance, taking into account the potential for seismic activity in an 
area.
    (c) The predicted attenuation of ground motion varies considerably 
within the United States. Local ground motion attenuation values and the 
magnitude of an earthquake both influence the extent of the area 
affected by an earthquake. Regions with low frequency of seismic events 
produce less data from which to predict attenuation factors. That 
uncertainty should be considered when designating the area in which 
precautions should be taken following the first notice of an earthquake. 
In fact, earthquakes in such regions might propagate their effects over 
much wider areas than earthquakes of the same magnitude occurring in 
regions with frequent seismic activity.
    9. Special inspections of railroad bridges.
    Requirements for special inspections of railroad bridges are found 
in Sec. 237.105.
    10. Railroad bridge inspection records.
    (a) The requirements for recording and reporting bridge inspections 
are found in Sec. 237.109.
    (b) Information from bridge inspection reports should be 
incorporated into a bridge management program to ensure that exceptions 
on the reports are corrected or accounted for. A series of inspection 
reports prepared over time should be maintained so as to provide a 
valuable record of trends and rates of degradation of bridge components. 
The reports should be structured to promote comprehensive inspections 
and effective communication between an inspector and an engineer who 
performs an analysis of a bridge.
    (c) An inspection report should be comprehensible to a competent 
person without interpretation by the reporting inspector.
    11. Railroad bridge inspectors and engineers.
    (a) Bridge inspections should be performed by technicians whose 
training and experience enable them to detect and record indications of 
distress on a bridge. Inspectors should provide accurate measurements 
and other information about the condition of the bridge in enough detail 
so that an engineer can make a proper evaluation of the safety of the 
bridge. Qualifications of personnel are addressed in subpart C to part 
237.
    (b) Accurate information about the condition of a bridge should be 
evaluated by an engineer who is competent to determine the capacity of 
the bridge. The inspector and the

[[Page 918]]

evaluator often are not the same individual; therefore, the quality of 
the bridge evaluation depends on the quality of the communication 
between them. Review of inspection reports is addressed in Sec. 
237.111.
    12. Scheduling inspections.
    (a) A bridge management program should include a means to ensure 
that each bridge under the program is inspected at the frequency 
prescribed for that bridge by a competent engineer. Scheduling of bridge 
inspections is addressed in Sec. 237.101.
    (b) Bridge inspections should be scheduled from an accurate bridge 
inventory list that includes the due date of the next inspection.
    13. Special considerations for railroad bridges.
    Railroad bridges differ from other types of bridges in the types of 
loads they carry, in their modes of failure and indications of distress, 
and in their construction details and components. Proper inspection and 
analysis of railroad bridges require familiarity with the loads, details 
and indications of distress that are unique to this class of structure. 
Particular care should be taken that modifications to railroad bridges, 
including retrofits for protection against the effects of earthquakes, 
are suitable for the structure to which they are to be applied. 
Modifications should not adversely affect the serviceability of neither 
the bridge nor its accessibility for periodic or special inspection.
    14. Railroad implementation of bridge safety programs.
    FRA recommends that each track owner or other entity which is 
responsible for the integrity of bridges which support its track should 
comply with the intent of this regulation by adopting and implementing 
an effective and comprehensive program to ensure the safety of its 
bridges. The bridge safety program should incorporate the following 
essential elements, applied according to the configuration of the 
railroad and its bridges. The basis of the program should be in one 
comprehensive and coherent document which is available to all railroad 
personnel and other persons who are responsible for the application of 
any portion of the program. The program should include:
    (a) Clearly defined roles and responsibilities of all persons who 
are designated or authorized to make determinations regarding the 
integrity of the track owner's bridges. The designations may be made by 
position or by individual;
    (b) Provisions for a complete inventory of bridges that carry the 
owner's track, to include the following information on each bridge:
    (1) A unique identifier, such as milepost location and a subdivision 
code;
    (2) The location of the bridge by nearest town or station, and 
geographic coordinates;
    (3) The name of the geographic features crossed by the bridge;
    (4) The number of tracks on the bridge;
    (5) The number of spans in the bridge;
    (6) The lengths of the spans;
    (7) Types of construction of:
    (i) Substructure;
    (ii) Superstructure; and
    (iii) Deck;
    (8) Overall length of the bridge;
    (9) Dates of:
    (i) Construction;
    (ii) Major renovation; and
    (iii) Strengthening; and
    (10) Identification of entities responsible for maintenance of the 
bridge or its different components.
    (c) Known capacity of its bridges as determined by rating by 
competent railroad bridge engineer or by design documents;
    (d) Procedures for the control of movement of high, wide or heavy 
loads exceeding the nominal capacity of bridges;
    (e) Instructions for the maintenance of permanent records of design, 
construction, modification, and repair;
    (f) Railroad-specific procedures and standards for design and rating 
of bridges;
    (g) Detailed bridge inspection policy, including:
    (1) Inspector qualifications; including:
    (i) Bridge experience or appropriate educational training;
    (ii) Training on bridge inspection procedures; and
    (iii) Training on Railroad Workplace Safety; and
    (2) Type and frequency of inspection; including:
    (i) Periodic (at least annually);
    (ii) Underwater;
    (iii) Special;
    (iv) Seismic; and
    (v) Cursory inspections of overhead bridges that are not the 
responsibility of the railroad;
    (3) Inspection schedule for each bridge;
    (4) Documentation of inspections; including:
    (i) Date;
    (ii) Name of inspector;
    (iii) Reporting Format; and
    (iv) Coherence of information;
    (5) Inspection Report Review Process;
    (6) Record retention; and
    (7) Tracking of critical deficiencies to resolution; and
    (h) Provide for the protection of train operations following an 
inspection, noting a critical deficiency, repair, modification or 
adverse event and should include:
    (1) A listing of qualifications of personnel permitted to authorize 
train operations following an adverse event; and
    (2) Detailed internal program audit procedures to ensure compliance 
with the provisions of the program.

[[Page 919]]

         Appendix B to Part 237--Schedule of Civil Penalties\1\

------------------------------------------------------------------------
                                                              Willful
               Section \2\                   Violation       violation
------------------------------------------------------------------------
               Subpart B--Railroad Bridge Safety Assurance
------------------------------------------------------------------------
237.31 Adoption of bridge management              $9,500         $17,000
 program................................
237.33 Content of bridge management
 program:
    (a) Inventory of railroad bridges...           2,500           5,000
    (b) Record of safe load capacity....           5,500          10,000
    (c) Provision to obtain and
     maintain:
        (i) Design documents............           5,500          10,000
        (ii) Documentation of repairs              2,500           5,000
         and modifications..............
        (iii) Inspection reports........           2,500           5,000
    (d) Bridge inspection program                  2,500           5,000
     content............................
------------------------------------------------------------------------
     Subpart C--Qualification and Designation of Responsible Persons
------------------------------------------------------------------------
237.51 Railroad bridge engineers:
    (a) Competency......................           5,500          10,000
    (b) Educational qualification.......           2,500           5,000
237.53 Railroad bridge inspectors.......           5,500          10,000
237.55 Railroad bridge supervisors......           5,500          10,000
237.57 Designation of individuals.......           2,500           5,000
------------------------------------------------------------------------
                     Subpart D--Capacity of Bridges
------------------------------------------------------------------------
237.71 Determination of bridge load
 capacities:
    (a) Safe load capacity..............           5,500          10,000
    (b) Load capacity documented........           5,500          10,000
    (c) Load capacity determined by a              5,500          10,000
     railroad bridge engineer...........
    (d) Method of load capacity                    2,500           5,000
     determination......................
    (e) Prioritization of load capacity            2,500           5,000
     determination......................
    (f) New load capacity determined due           2,500           5,000
     to change in condition.............
    (g) Load capacity stated in terms of           2,500           5,000
     weight and length of equipment.....
    (h) Restriction on operations by               5,500          10,000
     railroad bridge engineer...........
237.73 Protection of bridges from over-
 weight and over-dimension equipment:
    (a) Instructions issued.............           5,500          10,000
    (b) Weight instructions.............           2,500           5,000
    (c) Dimensional instructions........           2,500           5,000
    (d) Incorrect instructions issued...           2,500           5,000
------------------------------------------------------------------------
                      Subpart E--Bridge Inspection
------------------------------------------------------------------------
237.101 Scheduling of bridge
 inspections:
    (a) Scheduling:
        (i) Failure to inspect..........           9,500          17,000
        (ii) Inspection within calendar            2,500           5,000
         year...........................
        (iii) Inspection frequency                 2,500           5,000
         exceeding 540 days.............
    (b) Increased inspection frequency..           5,500          10,000
    (c) Special inspections.............           2,500           5,000
    (d) Resumption of railroad                     9,500          17,000
     operations prior to inspection &
     review.............................
237.103 Bridge inspection procedures....           2,500           5,000
237.105 Special inspections:
    (a) Procedures to protect train                2,500           5,000
     operations and requiring special
     inspections........................
    (b) Provision for the detection of             2,500           5,000
     scour or underwater deterioration..
237.107 Conduct of bridge inspections...           5,500          10,000
237.109 Bridge inspection records:
    (a) Record of inspection............           2,500           5,000
    (b) Inspection record:
        (i) Certification and date......           2,500           5,000
        (ii) Falsification..............  ..............          17,000
    (c) Inspection record information...           2,500           5,000
    (d) Initial report within 30 days...           2,500           5,000
    (e) Final inspection report within             2,500           5,000
     120 calendar days..................
    (f) Retention.......................           2,500           5,000
    (g) Prompt reporting of dangerous              5,500          10,000
     conditions.........................
237.111 Review of bridge inspection
 reports.
    (a) Review by railroad bridge                  2,500           5,000
     engineers and supervisors..........
    (b) Appropriate action concerning              5,500          10,000
     present or potential safety hazards
    (c) Modification of inspection                 2,500           5,000
     frequency or procedures............
    (d) Scheduling remedial action......           2,500           5,000
    (e) Higher-level review.............           2,500           5,000
------------------------------------------------------------------------
              Subpart F--Repair and Modification of Bridges
------------------------------------------------------------------------
237.131 Design..........................           5,500          10,000

[[Page 920]]

 
237.133 Supervision of repairs and                 5,500          10,000
 modifications..........................
------------------------------------------------------------------------
    Subpart G--Documentation, Records and Audits of Bridge Management
                                Programs
------------------------------------------------------------------------
237.151 Audits; general.................           2,500           5,000
237.153 Audits of inspections...........           2,500           5,000
237.155 Documents and records:
    (a) Electronic recordkeeping,                  2,500           5,000
     general............................
    (b) System security.................           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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 237. If
  more than one item is listed as a type of violation of a given
  section, each item is also designated by a ``penalty code,'' which is
  used to facilitate assessment of civil penalties, and which may or may
  not correspond to any subsection designation(s). For convenience,
  penalty citations will cite the CFR section and the penalty code, if
  any. FRA reserves the right, should litigation become necessary, to
  substitute in its complaint the CFR citation in place of the combined
  CFR and penalty code citation, should they differ.


[75 FR 41302, July 15, 2010, as amended at 77 FR 24422, Apr. 24, 2012; 
81 FR 43112, July 1, 2016]



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 of repairs to 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 electronic 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.
238.112 Door emergency egress and rescue access systems.
238.113 Emergency window exits.
238.114 Rescue access windows.
238.115 Emergency lighting.
238.117 Protection against personal injury.
238.119 Rim-stamped straight-plate wheels.
238.121 Emergency communication.
238.123 Emergency roof access.
238.125 Marking and instructions for emergency egress and rescue access.
238.127 Low-location emergency exit path marking.
238.131 Exterior side door safety systems--new passenger cars and 
          locomotives used in passenger service.
238.133 Exterior side door safety systems--all passenger cars and 
          locomotives used in a passenger service.
238.135 Operating practices for exterior side door safety systems.
238.137 Mixed consist; operating equipment with incompatible exterior 
          side door systems.

Figure 1 to Subpart B of Part 238--Example of Location and Staggering of 
          Emergency Window Exits--Sec. 238.113
Figure 1A to Subpart B of Part 238--Example of Location of Rescue Access 
          Windows--Sec. 238.114
Figure 1B to Subpart B of Part 238--Example of Location and Staggering 
          of Emergency Window Exits and Location of Rescue Access 
          Windows--Sec. Sec. 238.113 and 238.114
Figure 1C to Subpart B of Part 238--Example of a Passenger Compartment 
          Including a Vestibule Connected by an Open Passageway and 
          Excluding a Vestibule Separated by an Interior Door--
          Sec. Sec. 238.113 and 238.114
Figure 2 to Subpart B of Part 238--Example of a Multi-Level Car 
          Complying with Window Location and Staggering Requirements--
          Sec. Sec. 238.113 and 238.114
Figure 2A to Subpart B of Part 238--Example of an Intermediate Level 
          Seating Area of a Multi-Level Car Complying With Window 
          Location Requirements--Sec. Sec. 238.113 and 238.114
Figure 2B to Subpart B of Part 238--Example of an Intermediate Level 
          Seating Area of a Multi-Level Car Complying With Window 
          Location Requirements--Sec. Sec. 238.113 and 238.114

[[Page 921]]

Figure 3 to Subpart B of Part 238--Example of Location and Marking of 
          Structural Weak Points on Roof of Passenger Car--Sec. 238.123

     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--general.
238.230 Safety appliances--new equipment.
238.231 Brake system.
238.233 Interior fittings and surfaces.
238.235 [Reserved]
238.237 Automated monitoring.

Figure 1 to Subpart C of Part 238

 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.
238.321 Out-of-service credit.

     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.
238.428 Overheat sensors.
238.429 Safety appliances.
238.431 Brake system.
238.433 Draft system.
238.435 Interior fittings and surfaces.
238.437 [Reserved]
238.439 Doors.
238.441 Emergency roof access.
238.443 Headlights.
238.445 Automated monitoring.
238.447 Train operator's controls and power car cab layout.

Figure 1 to Subpart E of Part 238--Power Car Cab Forward End Structure 
          Conceptual Implementation
Figure 2 to Subpart E of Part 238--Power Car Cab Rear End Structure 
          Conceptual Implementation
Figure 3 to Subpart E of Part 238--Trailer Car End Structure Conceptual 
          Implementation
Figure 4 to Subpart E of Part 238--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 to Part 238--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 [Reserved]
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
Appendix F to Part 238--Alternative Dynamic Performance Requirements for 
          Front End Structures of Cab Cars and MU Locomotives


[[Page 922]]


    Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303, 20306, 
20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    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 Sec. Sec. 238.15, 
238.17, 238.19, 238.107, 238.109, and subpart D of this part effective 
January 1, 2002.
    (1) A railroad may request earlier application of the requirements 
contained in Sec. Sec. 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 Sec. Sec. 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 apply beginning 
September 9, 1999.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41305, July 3, 2000; 67 
FR 19989, Apr. 23, 2002]



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 Transportation Association.
    Actuator means a self-contained brake system component that 
generates the force to apply the brake shoe or brake pad to the wheel or 
disc. An actuator typically consists of a cylinder, piston, and piston 
rod.
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.

[[Page 923]]

    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.
    Block 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.
    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 designed retarding force on the train. A brake is not effective 
if its piston travel is in excess of the maximum prescribed limits. On 
vehicles equipped with nominal 12-inch stroke brake cylinders, the brake 
is not effective if its piston travel exceeds 10\1/2\ inches.
    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.
    By-pass means a device designed to override a function.
    Calendar day means a time period running from one midnight to the 
next midnight on a given date.

[[Page 924]]

    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 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.
    Door isolation lock means a cutout/lockout mechanism installed at 
each exterior side door panel to secure a door in the closed and latched 
position, provide a door-closed indication to the summary circuit, and 
remove power from the door motor or door motor controls.
    Door summary circuit means a trainline door circuit that provides an 
indication to the controlling cab of the train that all exterior side 
doors are closed as intended, or locked out with a door isolation lock, 
or both.
    Dual-function window means a window that is intended to serve as 
both an emergency window exit and a rescue access window and that meets 
the applicable requirements set forth in both Sec. Sec. 238.113 and 
238.114.
    Emergency brake application means an irretrievable brake application 
resulting in the maximum retarding force available from the train brake 
system.
    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 the segment of a side-facing glazing panel

[[Page 925]]

that has been designed to permit rapid and easy removal from inside a 
passenger car in an emergency situation.
    End-frame door means an end-facing door normally located between, or 
adjacent to, the collision posts or similar end-frame structural 
elements.
    End-of-train circuit means a feature typically used to determine the 
physical end of the train, or the last passenger car in the train, or 
both, for the door summary circuit.
    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.
    Exterior side door safety system means a system of safety features 
that enable the safe operation of the exterior side doors of a passenger 
car or train. The exterior side door safety system includes 
appurtenances and components that control, operate, and display the 
status of the exterior side doors, and is interlocked with the train's 
traction power control.
    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 vessel that extends 
outside the car body structure of a locomotive.
    Fuel tank, internal means a fuel containment vessel 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.
    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:

[[Page 926]]

    (1) Passenger equipment subject to this part that is in passenger or 
revenue service in the United States; and
    (2) All other passenger equipment subject to this part in the United 
States, unless the passenger equipment:
    (i) Is being handled in accordance with Sec. Sec. 238.15, 238.17, 
238.305(d), 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.
    Intercom means a device through which voice communication is 
transmitted and received.
    Intercom system means a two-way, voice communication system.
    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.
    Intermediate level means a level of a multi-level passenger car that 
is used for passenger seating and is normally located between two main 
levels. An intermediate level normally contains two, separate seating 
areas, one at each end of the car, and is normally connected to each 
main level by stairs.
    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.
    Main level means a level of a passenger car that contains a 
passenger compartment whose length is equal to or greater than half the 
length of the car.
    MIL-STD-882 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 program to identify and then 
eliminate the hazards of a system or reduce the associated risk to an 
acceptable level.
    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

[[Page 927]]

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.
    No-motion system means a system on a train that detects the motion 
of the train.
    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.
    PA system (or public address system) means a one-way, voice 
communication system.
    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 compartment means an area of a passenger car that consists 
of a seating area and any vestibule that is connected to the seating 
area by an open passageway.
    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 piston in the brake cylinder or actuator and limited by the brake 
shoes being forced against the wheel or disc.

[[Page 928]]

    Piston travel indicator means a device directly activated by the 
movement of the brake cylinder piston, the disc brake actuator, or the 
tread brake unit cylinder piston that provides an indication of the 
piston travel.
    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 during 
at least 50 percent of the time that the person is working. 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 workday engaged in any one readily identifiable type of activity. 
Time spent supervising employees engaged in the functions of 
troubleshooting, inspection, testing, maintenance, or repair of train 
brake and mechanical components and systems covered by this part shall 
be considered work which is generally consistent with the function of 
troubleshooting of such systems and components for the purpose of the 
definition of this term and the definition of ``Qualified Maintenance 
Person.''
    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 who has received, as a part of the 
training, qualification, and designation program required under Sec. 
238.109, instruction and training necessary to perform one or more 
functions required under this part. The railroad is responsible for 
determining that the person has the knowledge and skills necessary to 
perform the required function for which the person is assigned 
responsibility. The railroad determines the qualifications and 
competencies for employees designated to perform various functions in 
the manner set forth in this part. Although the rule uses the term 
``qualified person'' to describe a person responsible for performing 
various functions required under this part, a person may be deemed 
qualified to perform some functions but not qualified to perform other 
functions. For example, although a person may be deemed qualified to 
perform the Class II brake test required by this part, that same person 
may or may not be qualified to perform the Class IA brake test or 
authorize the movement of defective equipment under this part. The 
railroad will determine the required functions for which an individual 
will be deemed a ``qualified person'' based upon the instruction and 
training the

[[Page 929]]

individual has received pursuant to Sec. 238.109 on a particular 
function.
    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.
    Rescue access window means a side-facing exterior window intended 
for use by emergency responders to gain access to passengers in an 
emergency situation.
    Respond as intended means to produce the result that a device or 
system is designed to produce.
    Retroreflective material means a material that is capable of 
reflecting light rays back to the light source and that conforms to the 
specifications for Type I Sheeting as specified in ASTM International 
Standard D 4956-07, ``Standard Specification for Retroreflective 
Sheeting for Traffic Control.'' The Director of the Federal Register 
approves the incorporation by reference of this standard in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy of the 
incorporated standard from ASTM International, 100 Barr Harbor Drive, 
P.O. Box C700, West Conshohocken, PA 19428-2959. You may inspect a copy 
of the incorporated standard at the Federal Railroad Administration, 
Docket Clerk, 1200 New Jersey Avenue, SE., Washington, DC, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to 
http://www.archives.gov/federal-register/cfr/ibr-locations.html.
    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 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.
    Seating area means an area of a passenger car that normally contains 
passenger seating.
    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

[[Page 930]]

train can be performed safely only while at a maintenance or shop 
location where personnel can safely get under a unit or between units.
    Semi-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.
    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 that carry passengers, often using antiquated equipment, with 
the conveyance of the passengers to a particular destination not being 
the principal purpose. Train movements of new passenger equipment for 
demonstration purposes are not tourist, scenic, historic, or excursion 
operations.
    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.
    Trainline door circuit means a circuit used to convey door signals 
over the length of a train.
    Train, long-distance intercity passenger means a passenger train 
that provides service between large cities more than

[[Page 931]]

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, is located adjacent to a side exit door, and is used in 
passing from a seating area to a side exit door.
    Vestibule door means a door separating a seating area from a 
vestibule. End-frame doors and doors separating sleeping compartments or 
similar private compartments from a passageway are not vestibule 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.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41305, July 3, 2000; 67 
FR 19989, Apr. 23, 2002; 71 FR 36916, June 28, 2006; 71 FR 61857, Oct. 
19, 2006; 73 FR 6400, Feb. 1, 2008; 78 FR 71812, Nov. 29, 2013; 80 FR 
76146, Dec. 7, 2015]



Sec. 238.7  Waivers.

    (a) A 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 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,

[[Page 932]]

    (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 $839 and not more than $27,455 
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 $109,819 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.

[64 FR 25660, May 12, 1999, as amended at 69 FR 30595, May 28, 2004; 72 
FR 51198, Sept. 6, 2007; 73 FR 79704, Dec. 30, 2008; 77 FR 24422, Apr. 
24, 2012; 81 FR 43112, July 1, 2016]



Sec. 238.13  Preemptive effect.

    (a) 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 or security 
hazard; is not incompatible with a law, regulation, or order of the 
United States Government; and does not unreasonably burden interstate 
commerce.
    (b) This part establishes Federal standards of care for railroad 
passenger equipment. This part does not preempt an action under State 
law seeking damages for personal injury, death, or property damage 
alleging that a party has failed to comply with the Federal standard of 
care established by this part, including a plan or program required by 
this part. Provisions of a plan or program that exceed the requirements 
of this part are not included in the Federal standard of care.
    (c) Under 49 U.S.C. 20701-20703 (formerly the Locomotive (Boiler) 
Inspection Act), the field of locomotive safety is preempted, extending 
to the design, the construction, and the material of every part of the 
locomotive and tender and all appurtenances thereof. To the extent that 
the regulations in this part establish requirements affecting locomotive 
safety, the scope of preemption is provided by 49 U.S.C. 20701-20703.

[75 FR 1227, Jan. 8, 2010]

[[Page 933]]



Sec. 238.15  Movement of passenger equipment with power brake defects.

    Beginning on January 1, 2002, 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 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 at the time a Class I or IA brake test is performed. 
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 at the time that a 
Class I or IA brake test (or, for Tier II trains, the equivalent) is 
performed 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 inoperative or ineffective power brakes or 
any other 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. 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

[[Page 934]]

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.
    (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 trains equipped with only 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 in the train.
    (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 
do not render power brakes inoperative for purposes of this calculation:
    (A) Failure or cutting out of secondary brake systems;
    (B) Inoperative or otherwise defective handbrakes or parking brakes;
    (C) Piston travel that is in excess of the Class I brake test limits 
required in Sec. 238.313 but that does not exceed the maximum 
prescribed limits for considering the brakes to be effective; 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

[[Page 935]]

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, 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 speed of the train shall be restricted to 20 mph or less; 
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.

[[Page 936]]

    (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.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000; 67 
FR 19990, Apr. 23, 2002]



Sec. 238.17  Movement of passenger equipment with other than power 
brake defects.

    Beginning on January 1, 2002, 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 
Sec. Sec. 238.303(e)(15), (e)(17) and (e)(18), 238.305(c) and (d), and 
238.307(c)(1), 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) Limitations on movement of passenger equipment that develops 
defects en route. Except as provided in Sec. Sec. 238.303(e)(15), 
(e)(17) and (e)(18), 238.305(c), 238.307(c)(1), and 238.503(f), 
passenger equipment that develops en route to its destination, after its 
calendar day mechanical inspection is performed and before its next 
calendar day mechanical inspection is performed, any condition 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 or, 
if applicable, the specified 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.

[[Page 937]]

    (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 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 in 
accordance with the railroad's procedures for handling defective 
equipment.
    (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 
(an on-track rolling test is acceptable) or when 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 100 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

[[Page 938]]

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 Notice for Repair under 
part 216 of this chapter unless the movement is made in accordance with 
the restrictions contained in the Special Notice.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000; 71 
FR 61857, Oct. 19, 2006; 73 FR 6400, Feb. 1, 2008]



Sec. 238.19  Reporting and tracking of repairs to defective passenger
equipment.

    (a) General. Beginning on January 1, 2002, 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 was discovered;
    (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.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000]



Sec. 238.21  Special approval procedure.

    (a) General. The following procedures govern consideration and 
action upon requests for special approval of alternative standards under 
Sec. 238.103, Sec. 238.223, Sec. 238.229, Sec. 238.309, Sec. 
238.311, Sec. 238.405, or Sec. 238.427; for approval of alternative 
compliance under Sec. 238.201, Sec. 238.229, or Sec. 238.230; 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;

[[Page 939]]

    (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. Sec. 238.201(b), 238.229(j)(2), 
and 238.230(d); and
    (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) 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, 1200 New 
Jersey Avenue, SE., Mail Stop 25, Washington, DC 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) and (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) Each comment shall be submitted to the U.S. Department of 
Transportation, Docket Operations (M-30), West Building Ground Floor, 
Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590, and 
shall contain the assigned docket number for that proceeding. The form 
of such submission may be in written or electronic form consistent with 
the standards and requirements established by the Federal Docket 
Management System and posted on its web site at http://
www.regulations.gov.
    (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.

[64 FR 25660, May 12, 1999, as amended at 64 FR 70196, Dec. 16, 1999; 71 
FR 61858, Oct. 19, 2006; 74 FR 25174, May 27, 2009]



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

[[Page 940]]

sections: Sec. Sec. 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 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.
    (3) For purposes of complying with the requirements of this 
paragraph, a railroad may rely on the results of tests of material 
conducted in accordance with the standards and performance criteria for 
flammability and smoke emission characteristics as specified in appendix 
B to this part in effect on July 12, 1999 (see 49 CFR parts 200-399, 
revised as of October 1, 1999), if prior to June 25, 2002 the material 
is--
    (i) Installed in a passenger car or locomotive;
    (ii) Held in inventory by the railroad; or
    (iii) Ordered by the railroad.
    (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 cars and 
locomotives. In procuring new passenger cars and locomotives, each 
railroad shall ensure that fire safety considerations and features in 
the design of this equipment reduce the risk of personal injury caused 
by fire to an acceptable level in its operating environment using a 
formal safety methodology such as MIL-STD-882. 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) Identify, analyze, and prioritize the fire hazards inherent in 
the design of the equipment.
    (2) Take effective steps to design the equipment and select 
materials which help provide sufficient fire resistance to reasonably 
ensure adequate time to detect a fire and safely evacuate the passengers 
and crewmembers, if a fire cannot be prevented. Factors to consider 
include potential ignition sources; the type, quantity, and location of 
the materials; and availability of rapid and safe egress to the exterior 
of the equipment under conditions secure from fire, smoke, and other 
hazards.
    (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.

[[Page 941]]

    (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, 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 such 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) Explain how safety issues are resolved in the design of the 
equipment and selection of materials to reduce the risk of each fire 
hazard.
    (9) Describe the analysis and testing necessary to demonstrate that 
the fire protection approach taken in the design of the equipment and 
selection of materials meets the fire protection requirements of this 
part.
    (d) Fire safety analysis for existing passenger cars and 
locomotives. (1) Not later than January 10, 2001, each passenger 
railroad shall complete a preliminary fire safety analysis for each 
category of existing passenger cars and locomotives and 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 cars and locomotives and rail 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 final fire safety analysis for all categories of 
existing passenger cars and locomotives and rail 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

[[Page 942]]

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 passenger cars and 
locomotives to a new category of rail 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, a ``category of existing passenger 
cars and locomotives and 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 with those 
procedures that it designates as mandatory for the safety of the 
equipment and its occupants.

[64 FR 25660, May 12, 1999, as amended at 67 FR 42909, June 25, 2002]



Sec. 238.105  Train electronic hardware and software safety.

    The requirements of this section apply to electronic 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 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 hardware and software system functions as intended.
    (c) The hardware and software safety program shall include a 
description of how the following will be accomplished, achieved, carried 
out, or implemented to ensure safety and reliability:
    (1) The hardware and software design process;
    (2) The hardware and software design documentation;
    (3) The hardware and software hazard analysis;
    (4) Hardware and software safety reviews;
    (5) Hardware and software hazard monitoring and tracking;
    (6) Hardware and software integration safety testing; and
    (7) Demonstration of overall hardware and software system safety as 
part of the pre-revenue service testing of the equipment.
    (d)(1) Hardware and software that controls or monitors a train's 
primary braking system shall either:
    (i) Fail safely by initiating a full service or emergency brake 
application in the event of a hardware or software failure that could 
impair the ability of the engineer to apply or release the brakes; or
    (ii) Provide the engineer access to direct manual control of the 
primary braking system (service or emergency braking).

[[Page 943]]

    (2) Hardware and software that controls or monitors the ability to 
shut down a train's main power and fuel intake system shall either:
    (i) Fail safely by shutting down the main power and cutting off the 
intake of fuel in the event of a hardware or software failure that could 
impair the ability of the train crew to command that electronic 
function; or
    (ii) The ability to shut down the main power and fuel intake by non-
electronic means shall be provided to the train crew.
    (e) The railroad shall comply with the elements of its hardware and 
software safety program that affect the safety of the passenger 
equipment.

[67 FR 19990, Apr. 23, 2002, as amended at 77 FR 21356, Apr. 9, 2012]



Sec. 238.107  Inspection, testing, and maintenance plan.

    (a) General. Beginning on January 1, 2002, 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.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000]



Sec. 238.109  Training, qualification, and designation program.

    (a) Beginning on January 1, 2002, each railroad shall have adopted a 
training, qualification, and designation program for employees and 
contractors that perform any of the inspections, tests, or maintenance 
required by this part, and shall have 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 required by this part that must be performed on each type of 
equipment that the railroad operates;
    (2) Develop written procedures for the performance of the tasks 
identified in paragraph (b)(1) of this section;
    (3) Identify the skills and knowledge necessary to perform each task 
identified in paragraph (b)(1) of this section;
    (4) Adopt a training curriculum that includes classroom and ``hands-
on'' lessons designed to impart the skills and knowledge identified as 
necessary to perform each task identified in paragraph (b)(1) of this 
section. The 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 that are required by this part as well as the specific 
Federal regulatory requirements contained in this

[[Page 944]]

part related to equipment and tasks for which they are responsible;
    (6) Require all employees and contractors to pass either a written 
or an oral examination covering the equipment and tasks for which they 
are responsible that are required by this part 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 by this part that must 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; except, employees and contractors that have 
completed their initial training under this part prior to January 1, 
2002, shall not be required to complete their first periodic refresher 
training until four years after the completion of their initial 
training, and every three years thereafter;
    (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.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000; 67 
FR 19990, Apr. 23, 2002]



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 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

[[Page 945]]

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 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. 238.112  Door emergency egress and rescue access systems.

    Except as provided in Sec. 238.439--
    (a) 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

[[Page 946]]

other implement. If the door is dual-leafed, only one of the door leaves 
is required to respond to the manual override device.
    (b) Each Tier I passenger car ordered on or after September 8, 2000, 
or placed in service for the first time on or after September 9, 2002, 
and all Tier II passenger cars shall have a minimum of two exterior side 
doors, one in each side of the car. Each such door shall provide a 
minimum clear opening with dimensions of 30 inches horizontally by 74 
inches vertically. A set of dual-leafed doors is considered a single 
door for purposes of this paragraph. 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.

    Note to paragraph (b):
    The Americans with Disabilities Act (ADA) Accessibility 
Specifications for Transportation Vehicles also contain requirements for 
doorway clearance (See 49 CFR Part 38).

    (c) A manual override device used to open a powered, exterior door 
may be protected with a cover or a screen capable of removal without 
requiring the use of a tool or other implement.
    (d)(1) Prior to January 28, 2015, all door exits intended for 
emergency egress shall either be lighted or conspicuously and legibly 
marked with luminescent material on the inside of each car, and legible 
and understandable instructions shall be provided for their use at or 
near each such door.
    (2) On or after January 28, 2015, all door exits intended for 
emergency egress shall be marked, and instructions provided for their 
use, as specified in Sec. 238.125.
    (e)(1) Prior to January 28, 2015, all doors intended for access by 
emergency responders shall be marked on the exterior of the car with 
retroreflective material, and legible and understandable instructions 
shall be posted at or near each such door.
    (2) On or after January 28, 2015, all doors intended for access by 
emergency responders shall be marked, and instructions provided for 
their use, as specified in Sec. 238.125.
    (f) Vestibule doors and other interior doors intended for passage 
through a passenger car. The requirements of paragraphs (f)(1) through 
(6) of this section apply only to passenger cars ordered on or after 
January 28, 2014, or placed in service for the first time on or after 
January 29, 2018.
    (1) General. Except for a door providing access to a control 
compartment and a bi-parting door, which is subject to the requirements 
in paragraph (f)(3) of this section, each vestibule door and any other 
interior door intended for passage through a passenger car shall be 
equipped with a removable panel or removable window in the event the 
door will not open in an emergency, or the car is on its side and the 
door is difficult to open. If the door is powered, it shall have a 
manual override device that conforms with the requirements of paragraphs 
(f)(4) through (6) of this section.
    (2) Removable panels and windows--(i) Ease of operability. Each 
removable panel or removable window shall be designed to permit rapid 
and easy removal from each side of the door during an emergency 
situation without requiring the use of a tool or other implement.
    (ii) Dimensions. Removal of the panel or window shall create an 
unobstructed opening in the door with minimum dimensions of 21 inches 
horizontally by 28 inches vertically.
    (iii) Location. Each removable panel or removable window shall be 
located so that the lowest point of the opening created by removing the 
panel or window is no higher than 18 inches above the floor.
    (3) Bi-parting doors. Each powered, bi-parting vestibule door and 
any other interior, powered bi-parting door intended for passage through 
a passenger car shall be equipped with a manual override device and 
mechanism to retain each door leaf in the open position (e.g., ratchet 
and pawl, or sprag). Each manual override device shall conform with the 
requirements of paragraphs (f)(4), (f)(5)(ii), and (f)(6) of this 
section.

[[Page 947]]

    (4) Manual override devices. Each manual override device shall be:
    (i) Capable of releasing the door or door leaf, if the door is bi-
parting, to permit it to be opened without power;
    (ii) Located adjacent to the door or door leaf, if the door is bi-
parting, it controls; and
    (iii) Designed and maintained so that a person may readily access 
and operate the override device from each side of the door without the 
use of a tool or other implement.
    (5) Marking and instructions. (i) Each removable panel or removable 
window in a vestibule door or other interior door intended for passage 
through a passenger car shall be conspicuously and legibly marked with 
luminescent material on each side of the door as specified in section 
5.4.2 of APTA PR-PS-S-002-98, Rev. 3, ``Standard for Emergency Signage 
for Egress/Access of Passenger Rail Equipment,'' Authorized October 7, 
2007, or an alternative standard providing at least an equivalent level 
of safety, if approved by FRA pursuant to Sec. 238.21. Legible and 
understandable operating instructions shall be posted on each side of 
the door at each such panel or window. 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 
Transportation Association, 1666 K Street NW., Washington, DC 20006, 
www.aptastandards.com. You may inspect a copy of the document at the 
Federal Railroad Administration, Docket Clerk, 1200 New Jersey Avenue 
SE., Washington, DC or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
    (ii) For bi-parting doors, each manual override device and each 
retention mechanism shall be conspicuously and legibly marked with 
luminescent material. Legible and understandable operating instructions 
for each manual override device and each retention mechanism shall be 
posted at or near each such device or mechanism.
    (6) Testing. At an interval not to exceed 184 days, as part of the 
periodic mechanical inspection, each railroad shall test a 
representative sample of the door removable panels, removable windows, 
manual override devices, and retention mechanisms on its cars, as 
applicable, to determine that they operate as intended. The sampling 
method must conform with a formalized statistical test method.

[78 FR 71812, Nov. 29, 2013]



Sec. 238.113  Emergency window exits.

    (a) Number and location. Except as provided in paragraph (a)(3) of 
this section, the following requirements in this paragraph (a) apply on 
or after April 1, 2008--
    (1) Single-level passenger cars. Each single-level passenger car 
shall have a minimum of four emergency window exits. At least one 
emergency window exit shall be located in each side of each end (half) 
of the car, in a staggered configuration where practical. (See Figure 1 
to this subpart; see also Figures 1b and 1c to this subpart.)
    (2) Multi-level passenger cars--main levels. Each main level in a 
multi-level passenger car is subject to the same requirements specified 
for single-level passenger cars in paragraph (a)(1) of this section.
    (3) Multi-level passenger cars--levels with seating areas other than 
main levels.
    (i) Except as provided in paragraphs (a)(3)(ii) and (iii) of this 
section, on or after August 1, 2009, any level other than a main level 
used for passenger seating in a multi-level passenger car, such as an 
intermediate level, shall have a minimum of two emergency window exits 
in each seating area. The emergency window exits shall be accessible to 
passengers in the seating area without requiring movement through an 
interior door or to another level of the car. At least one emergency 
window exit shall be located in each side of the seating area. An 
emergency window exit may be located within an exterior side door in the 
passenger compartment if it is not practical to place the window exit in 
the side of the seating area. (See Figures 2 and 2a to this subpart.)

[[Page 948]]

    (ii) Only one emergency window exit is required in a seating area in 
a passenger compartment if:
    (A) It is not practical to place an emergency window exit in a side 
of the passenger compartment due to the need to provide accessible 
accommodations under the Americans with Disabilities Act of 1990;
    (B) There are no more than four seats in the seating area; and
    (C) A suitable, alternate arrangement for emergency egress is 
provided.
    (iii) For passenger cars ordered prior to April 1, 2009, and placed 
in service prior to April 1, 2011, only one emergency window exit is 
required in a seating area in a passenger compartment if--
    (A) It is not practicable to place a window exit in a side of the 
passenger compartment (due to the presence of a structure such as a 
bathroom, electrical locker, or kitchen); and
    (B) There are no more than eight seats in the seating area.
    (4) Cars with a sleeping compartment or similar private compartment. 
Each level of a passenger car with a sleeping compartment or a similar 
private compartment intended to be occupied by a passenger or train 
crewmember shall have at least one emergency window exit in each such 
compartment. For purposes of this paragraph (a)(4), a bathroom, kitchen, 
or locomotive cab is not considered a ``compartment.''
    (b) Ease of operability. On or after November 8, 1999, each 
emergency window exit shall be designed to permit rapid and easy removal 
from the inside of the car during an emergency situation without 
requiring the use of a tool or other implement.
    (c) Dimensions. Except as provided in paragraphs (c)(1) and (c)(2) 
of this section, each emergency window exit in a passenger car, 
including a sleeping car, ordered on or after September 8, 2000, or 
placed in service for the first time on or after September 9, 2002, 
shall have an unobstructed opening with minimum dimensions of 26 inches 
horizontally by 24 inches vertically. A seatback is not an obstruction 
if it can be moved away from the window opening without using a tool or 
other implement.
    (1) Emergency window exits in exterior side doors. An emergency 
window exit located within an exterior side door, in accordance with the 
requirements of paragraph (a)(3)(i) of this section, may have an 
unobstructed opening with minimum dimensions of 24 inches horizontally 
by 26 inches vertically.
    (2) Additional emergency window exits. Any emergency window exit in 
addition to the minimum number required by paragraph (a) of this section 
that has been designated for use by the railroad need not comply with 
the minimum dimension requirements in paragraph (c) of this section, but 
must otherwise comply with all requirements in this part applicable to 
emergency window exits.
    (d) Marking and instructions. (1) Prior to January 28, 2015, each 
emergency window exit shall be conspicuously and legibly marked with 
luminescent material on the inside of each car to facilitate egress. 
Legible and understandable operating instructions, including 
instructions for removing the window, shall be posted at or near each 
such window exit.
    (2) On or after January 28, 2015, each emergency window exit shall 
be marked, and instructions provided for its use, as specified in Sec. 
238.125.
    (3) If window removal may be hindered by the presence of a seatback, 
headrest, luggage rack, or other fixture, the instructions shall state 
the method for allowing rapid and easy removal of the window, taking 
into account the fixture(s), and this portion of the instructions may be 
in written or pictorial format. This paragraph (d)(3) applies to each 
emergency window exit subject to paragraph (d)(1) or (2) of this 
section.
    (e) Periodic testing. At an interval not to exceed 184 days, as part 
of the periodic mechanical inspection, each railroad shall test a 
representative sample of emergency window exits on its cars to determine 
that they operate as intended. The sampling method must conform with a 
formalized statistical test method.

[73 FR 6401, Feb. 1, 2008, as amended at 78 FR 71813, Nov. 29, 2013]

[[Page 949]]



Sec. 238.114  Rescue access windows.

    (a) Number and location. Except as provided in paragraph (a)(1)(ii) 
of this section, the following requirements in this paragraph (a) apply 
on or after April 1, 2008--
    (1) Single-level passenger cars. Except as provided in this 
paragraph (a)(1) and in paragraphs (a)(1)(i), (a)(1)(ii), and (a)(5) of 
this section, each single-level passenger car shall have a minimum of 
two rescue access windows. At least one rescue access window shall be 
located in each side of the car entirely within 15 feet of the car's 
centerline, or entirely within 7\1/2\ feet of the centerline if the car 
does not exceed 45 feet in length. (See Figure 1a to this subpart; see 
also Figures 1b and 1c to this subpart.) If the seating level is 
obstructed by an interior door or otherwise partitioned into separate 
seating areas, each separate seating area shall have a minimum of one 
rescue access window in each side of the seating area, located as near 
to the center of the car as practical.
    (i) For a single-level passenger car ordered prior to April 1, 2009, 
and placed in service prior to April 1, 2011, rescue access windows may 
be located farther than the above prescribed distances from the car's 
centerline, or located within exterior side doors, or both, if at least 
one rescue access window is located within each side of each end (half) 
of the same passenger compartment.
    (ii) For a single-level passenger car ordered prior to September 8, 
2000, and placed in service prior to September 9, 2002, the requirements 
of paragraph (a)(1) apply on or after August 1, 2009 if the car has at 
least two exterior side doors (or door leaves), each with a manual 
override device, and such doors (or door leaves) are located one on each 
side of the car, in opposite ends (halves) of the car (i.e., in 
diagonally-opposite quadrants). The manual override device shall be--
    (A) Capable of releasing the door (or door leaf) to permit it to be 
opened without power from outside the car;
    (B) Located adjacent to the door (or door leaf) that it controls; 
and
    (C) Designed and maintained so that a person can access the override 
device from outside the car without using a tool or other implement.
    (2) Multi-level passenger cars--main levels. Each main level in a 
multi-level passenger car is subject to the same requirements specified 
for single-level passenger cars in paragraph (a)(1) of this section, 
with the exception of paragraph (a)(1)(ii), which is not applicable.
    (3) Multi-level passenger cars--levels with seating areas other than 
main levels. (i) Except as provided in paragraphs (a)(3)(ii) and 
(a)(3)(iii) of this section, any level other than a main level used for 
passenger seating in a multi-level passenger car, such as an 
intermediate level, shall have a minimum of two rescue access windows in 
each seating area. The rescue access windows shall permit emergency 
responders to gain access to passengers in the seating area without 
requiring movement through an interior door or to another level of the 
car. At least one rescue access window shall be located in each side of 
the seating area. A rescue access window may be located within an 
exterior side door in the passenger compartment if it is not practical 
to place the access window in the side of the seating area. (See Figures 
2 and 2a of this subpart.)
    (ii) Only one rescue access window is required in a seating area in 
a passenger compartment if--
    (A) It is not practical to place a rescue access window in a side of 
the passenger compartment due to the need to provide accessible 
accommodations under the Americans with Disabilities Act of 1990;
    (B) There are no more than four seats in the seating area; and
    (C) A suitable, alternate arrangement for rescue access is provided.
    (iii) For passenger cars ordered prior to April 1, 2009, and placed 
in service prior to April 1, 2011, only one rescue access window is 
required in a seating area in a passenger compartment if--
    (A) It is not practicable to place an access window in a side of the 
passenger compartment (due to the presence of a structure such as a 
bathroom, electrical locker, or kitchen); and
    (B) There are no more than eight seats in the seating area.
    (4) Cars with a sleeping compartment or similar private compartment. 
Each level

[[Page 950]]

of a passenger car with a sleeping compartment or a similar private 
compartment intended to be occupied by a passenger or train crewmember 
shall have a minimum of one rescue access window in each such 
compartment. For purposes of this paragraph, a bathroom, kitchen, or 
locomotive cab is not considered a ``compartment.''
    (5) Dual-function windows. If, on any level of a passenger car, the 
emergency window exits installed to meet the minimum requirements of 
Sec. 238.113 are also intended to function as rescue access windows, 
the minimum requirements for the number and location of rescue access 
windows in paragraphs (a)(1) through (a)(4) of this section are also met 
for that level.
    (b) Ease of operability. On or after April 1, 2008, each rescue 
access window must be capable of being removed without unreasonable 
delay by an emergency responder using either--
    (1) A provided external mechanism; or
    (2) Tools or implements that are commonly available to the responder 
in a passenger train emergency.
    (c) Dimensions. Each rescue access window in a passenger car, 
including a sleeping car, ordered on or after April 1, 2009, or placed 
in service for the first time on or after April 1, 2011, shall have an 
unobstructed opening with minimum dimensions of 26 inches horizontally 
by 24 inches vertically. A rescue access window located within an 
exterior side door, in accordance with the requirements of paragraph 
(a)(3)(i) of this section, may have an unobstructed opening with minimum 
dimensions of 24 inches horizontally by 26 inches vertically. A seatback 
is not an obstruction if it can be moved away from the window opening 
without using a tool or other implement.
    (d) Marking and instructions. (1) Prior to January 28, 2015, each 
rescue access window shall be marked with retroreflective material on 
the exterior of each car. A unique and easily recognizable symbol, sign, 
or other conspicuous marking shall also be used to identify each such 
window. Legible and understandable window-access instructions, including 
instructions for removing the window, shall be posted at or near each 
rescue access window.
    (2) On or after January 28, 2015, each rescue access window shall be 
marked, and instructions provided for its use, as specified in Sec. 
238.125.

[73 FR 6401, Feb. 1, 2008, as amended at 78 FR 71813, Nov. 29, 2013]



Sec. 238.115  Emergency lighting.

    (a) Prior to January 1, 2017, the requirements specified in 
paragraphs (a)(1) through (4) of this section apply 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. 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 (a).
    (b)(1) As further specified in paragraph (b)(2) of this section, on 
or after January 1, 2017, emergency lighting shall be provided in each 
passenger car in accordance with the minimum requirements specified in 
APTA PR-E-S-013-99, Rev. 1, ``Standard for Emergency Lighting System 
Design for Passenger Cars,'' Authorized October 7, 2007, or an 
alternative standard providing at least an equivalent level of

[[Page 951]]

safety if 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 Transportation Association, 1666 K Street NW., Washington, DC 
20006, www.aptastandards.com. You may inspect a copy of the document at 
the Federal Railroad Administration, Docket Clerk, 1200 New Jersey 
Avenue SE., Washington, DC or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
    (2) No later than December 31, 2015, at least 70 percent of each 
railroad's passenger cars that were ordered prior to September 8, 2000, 
and placed in service prior to September 9, 2002, shall be in compliance 
with the emergency lighting requirements provided in paragraph (b)(1) of 
this section.

[78 FR 71813, Nov. 29, 2013]



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 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.



Sec. 238.121  Emergency communication.

    (a) PA system (public address system). (1) Existing Tier I passenger 
cars. On or after January 1, 2012, each Tier I passenger car shall be 
equipped with a PA system that provides a means for a train crewmember 
to communicate by voice to passengers of his or her train in an 
emergency situation.
    (2) New Tier I and all Tier II passenger cars. Each Tier I passenger 
car ordered on or after April 1, 2008, or placed in service for the 
first time on or after April 1, 2010, and all Tier II passenger cars 
shall be equipped with a PA system that provides a means for a train 
crewmember to communicate by voice to passengers of his or her train in 
an emergency situation. The PA system shall also provide a means for a 
train crewmember to communicate by voice in an emergency situation to 
persons in the immediate vicinity of his or her train (e.g., persons on 
the station platform). The PA system may be part of the same system as 
the intercom system.
    (b) Intercom system. (1) New Tier I and all Tier II passenger cars. 
Each Tier I passenger car ordered on or after April 1, 2008, or placed 
in service for the first time on or after April 1, 2010, and all Tier II 
passenger cars shall be equipped with an intercom system that provides a 
means for passengers and crewmembers to communicate by voice with each 
other in an emergency situation. Except as further specified, at least 
one intercom that is accessible to

[[Page 952]]

passengers without using a tool or other implement shall be located in 
each end (half) of each car. If any passenger car does not exceed 45 
feet in length, or if a Tier II passenger car was ordered prior to May 
12, 1999, only one such intercom is required. The intercom system may be 
part of the same system as the PA system.
    (2) Marking and instructions. The following requirements apply to 
each passenger car:
    (i) Prior to January 28, 2016, the location of each intercom 
intended for passenger use shall be conspicuously marked with 
luminescent material and legible and understandable operating 
instructions shall be posted at or near each such intercom.
    (ii) On or after January 28, 2016, each intercom intended for 
passenger use shall be marked in accordance with section 5.4.2 of APTA 
PR-PS-S-002-98, Rev. 3, ``Standard for Emergency Signage for Egress/
Access of Passenger Rail Equipment,'' Authorized October 7, 2007, or an 
alternative standard providing at least an equivalent level of safety, 
if approved by FRA pursuant to Sec. 238.21. Legible and understandable 
operating instructions shall be posted at or near each such intercom. 
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 Transportation Association, 1666 K Street NW., 
Washington, DC 20006, www.aptastandards.com. You may inspect a copy of 
the document at the Federal Railroad Administration, Docket Clerk, 1200 
New Jersey Avenue SE., Washington, DC or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (c) Back-up power. PA and intercom systems in Tier I passenger cars 
ordered on or after April 1, 2008, or placed in service for the first 
time on or after April 1, 2010, and in all Tier II passenger cars shall 
have a back-up power system capable of--
    (1) Operating in all equipment orientations within 45 degrees of 
vertical;
    (2) Operating after the initial shock of a collision or derailment 
resulting in the following individually applied accelerations:
    (i) Longitudinal: 8g;
    (ii) Lateral: 4g; and
    (iii) Vertical: 4g; and
    (3) Powering each system to allow intermittent emergency 
communication for a minimum period of 90 minutes. Intermittent 
communication shall be considered equivalent to continuous communication 
during the last 15 minutes of the 90-minute minimum period.

[73 FR 6402, Feb. 1, 2008, as amended at 78 FR 71814, Nov. 29, 2013]



Sec. 238.123  Emergency roof access.

    Except as provided in Sec. 238.441 of this chapter--
    (a) Number and dimensions. Each passenger car ordered on or after 
April 1, 2009, or placed in service for the first time on or after April 
1, 2011, shall have a minimum of two emergency roof access locations, 
each with a minimum opening of 26 inches longitudinally (i.e., parallel 
to the longitudinal axis of the car) by 24 inches laterally.
    (b) Means of access. Emergency roof access shall be provided by 
means of a hatch, or a conspicuously marked structural weak point in the 
roof for access by properly equipped emergency response personnel.
    (c) Location. Emergency roof access locations shall be situated as 
practical so that when a car is on its side--
    (1) One emergency access location is wholly within each half of the 
roof as divided top from bottom; and
    (2) One emergency access location is wholly within each half of the 
roof as divided left from right. (See Figure 3 to this subpart.)
    (d) Obstructions. The ceiling space below each emergency roof access 
location shall be free from wire, cabling, conduit, and piping. This 
space shall also be free of any rigid secondary structure (e.g., a 
diffuser or diffuser support, lighting back fixture, mounted PA 
equipment, or luggage rack) where practicable. If emergency roof access 
is provided by means of a hatch,

[[Page 953]]

it shall be possible to push interior panels or liners out of their 
retention devices and into the interior of the vehicle after removing 
the hatch. If emergency roof access is provided by means of a structural 
weak point, it shall be permissible to cut through interior panels, 
liners, or other non-rigid secondary structures after making the cutout 
hole in the roof, provided any such additional cutting necessary to 
access the interior of the vehicle permits a minimum opening of the 
dimensions specified in paragraph (a) to be maintained.
    (e) Marking and instructions. (1) Prior to January 28, 2015, each 
emergency roof access location shall be conspicuously marked with 
retroreflective material of contrasting color. As further specified, 
legible and understandable instructions shall be posted at or near each 
such location. If emergency roof access is provided by means of a 
structural weak point--
    (i) The retroreflective material shall conspicuously mark the line 
along which the roof skin shall be cut; and
    (ii) A sign plate with a retroreflective border shall also state as 
follows:

                CAUTION--DO NOT USE FLAME CUTTING DEVICES

                 CAUTION--WARN PASSENGERS BEFORE CUTTING

                  CUT ALONG DASHED LINE TO GAIN ACCESS

               ROOF CONSTRUCTION--[STATE RELEVANT DETAILS]

    (2) On or after January 28, 2015, each emergency roof access 
location shall be marked, and instructions provided for its use, as 
specified in Sec. 238.125.

[73 FR 6403, Feb. 1, 2008, as amended at 78 FR 71814, Nov. 29, 2013]



Sec. 238.125  Marking and instructions for emergency egress
and rescue access.

    On or after January 28, 2015, emergency signage and markings shall 
be provided for each passenger car in accordance with the minimum 
requirements specified in APTA PR-PS-S-002-98, Rev. 3, ``Standard for 
Emergency Signage for Egress/Access of Passenger Rail Equipment,'' 
Authorized October 7, 2007, or an alternative standard providing at 
least an equivalent level of safety, if 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 Transportation 
Association, 1666 K Street NW., Washington, DC 20006, 
www.aptastandards.com. You may inspect a copy of the document at the 
Federal Railroad Administration, Docket Clerk, 1200 New Jersey Avenue 
SE., Washington, DC or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.

[78 FR 71814, Nov. 29, 2013]



Sec. 238.127  Low-location emergency exit path marking.

    On or after January 28, 2015, low-location emergency exit path 
marking shall be provided in each passenger car in accordance with the 
minimum requirements specified in APTA PR-PS-S-004-99, Rev. 2, 
``Standard for Low-Location Exit Path Marking,'' Authorized October 7, 
2007, or an alternative standard providing at least an equivalent level 
of safety, if 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 Transportation Association, 1666 K Street NW., 
Washington, DC 20006, www.aptastandards.com. You may inspect a copy of 
the document at the Federal Railroad Administration, Docket Clerk, 1200 
New Jersey Avenue SE., Washington, DC or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/

[[Page 954]]

code--of--federal--regulations/ibr--locations.html

[78 FR 71814, Nov. 29, 2013]



Sec. 238.131  Exterior side door safety systems--new passenger 
cars and locomotives used in passenger service.

    (a) Safety systems for powered exterior side doors. All powered 
exterior side door safety systems in passenger cars, and connected door 
safety systems in locomotives used in passenger service, that are 
ordered on or after April 5, 2016, or placed in service for the first 
time on or after February 5, 2018, shall:
    (1) Be built in accordance with APTA standard PR-M-S-18-10, 
``Standard for Powered Exterior Side Door System Design for New 
Passenger Cars,'' approved February 11, 2011. In particular, locomotives 
used in passenger service shall be connected or interlocked with the 
door summary circuit to prohibit the train from developing tractive 
power if an exterior side door in a passenger car is not closed, unless 
the door is under the direct physical control of a crewmember for his or 
her exclusive use. 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 Transportation 
Association, 1666 K Street NW., Suite 1100, Washington, DC 20006 
(telephone 202-496-4800; www.apta.com). You may inspect a copy of the 
document at the Federal Railroad Administration, Docket Clerk, 1200 New 
Jersey Avenue SE., Washington, DC or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html;
    (2) Be designed based on a Failure Modes, Effects, Criticality 
Analysis (FMECA);
    (3) Contain an obstruction detection system sufficient to detect and 
react to both small and large obstructions and allow the obstruction to 
be released when detected;
    (4) Be designed so that activation of a door by-pass feature does 
not affect the operation of the obstruction detection system;
    (5) Require a door control panel key or other secure device to 
activate a door control panel;
    (6) Not be operated from a door control panel when the door control 
panel key or other secure device is removed; and
    (7) Not be affected by the movement or position of the locomotive 
throttle. A train's throttle position shall neither open nor close the 
exterior side doors on the train.
    (b) Safety system for manual and powered exterior side doors. All 
manual and powered exterior side door systems in passenger cars, and 
connected door safety systems in locomotives used in passenger service, 
that are ordered on or after April 5, 2016, or placed in service for the 
first time on or after February 5, 2018 shall be:
    (1) Designed with a door summary circuit and so connected or 
interlocked as to prohibit the train from developing tractive power if 
an exterior side door in a passenger car is not closed, unless the door 
is under the direct physical control of a crewmember for his or her 
exclusive use;
    (2) Connected to interior and exterior side door status indicators;
    (3) Connected to a door summary status indicator that is readily 
viewable to the engineer from his or her normal position in the 
operating cab; and
    (4) If equipped with a door by-pass device, designed so that the by-
pass device functions only when activated from the operating cab of the 
train.
    (c) Additional requirements. In addition to the requirements of this 
section, requirements related to exterior side door safety on passenger 
trains are provided in Sec. Sec. 238.112, 238.133, 238.135, 238.137, 
and 238.439.

[80 FR 76147, Dec. 7, 2015]



Sec. 238.133  Exterior side door safety systems--all passenger cars
and locomotives used in a passenger service.

    (a) By-pass device verification--(1) Visual inspection. Except as 
provided in paragraphs (a)(2) and (3) of this section, a member of the 
crew of each passenger train must verify by observation that all door 
by-pass devices that can affect

[[Page 955]]

the safe operation of the train are sealed in the normal (non-by-pass) 
position when taking control of the train.
    (2) Functional test. Instead of a visual inspection of the door by-
pass devices, the railroad may develop a plan to perform a functional 
test to determine that the door summary status indicator is functioning 
as intended. The functional test plan shall be made available for 
inspection by FRA.
    (3) Face-to-face relief. Crewmembers taking control of a train do 
not need to perform either a visual inspection or a functional test of 
the door by-pass devices in cases of face-to-face relief of another 
train crew and notification by that crew as to the functioning of the 
door by-pass devices.
    (b) Unsealed door by-pass device. A crewmember must notify the 
railroad's designated authority pursuant to the railroad's defect 
reporting system if a door by-pass device that could affect the safe 
operation of the train is found unsealed during the train's daily 
operation. If the train crew can test the door safety system and 
determine that the door summary status indicator is functioning as 
intended, the train may travel in service until the next forward repair 
point where a seal can be applied by a qualified maintenance person 
(QMP) or until its next calendar day inspection, whichever occurs first; 
if not, the train crew must follow the procedures outlined in paragraph 
(c) of this section.
    (c) En route failure. If it becomes necessary to activate a door by-
pass device, the train may continue to its destination terminal, 
provided that the train crew conducts a safety briefing that includes a 
description of the location(s) where crewmembers will position 
themselves on the train in order to observe the boarding and alighting 
of passengers, notifies the railroad's designated authority that the 
train's door by-pass device has been activated, and adheres to the 
operating rules required by Sec. 238.135. After the train has reached 
its destination terminal, the train may continue in passenger service 
until its arrival at the next forward repair point or its next calendar 
day inspection, whichever occurs first, provided that prior to movement 
of equipment with a door by-pass device activated:
    (1) An on-site QMP shall determine that repairs cannot be made at 
the time and it is safe to move the equipment in passenger service. If a 
QMP is not available on site, these determinations may be made based 
upon a description of the condition provided by an on-site qualified 
person (QP) to a QMP offsite; and
    (2) The QP or QMP shall notify the crewmember in charge of the 
movement of the train that the door by-pass device has been activated. 
The train crew must then hold a safety briefing that includes 
information such as the locations where each crewmember will position 
himself or herself on the train to ensure that passengers board and 
alight from the train safely.
    (d) Records. The railroad shall maintain a record of each door by-
pass activation and each unintended opening of a powered exterior side 
door, including any repair(s) made, in the defect tracking system as 
required by Sec. 238.19.
    (e) Door control panels. Exterior side doors shall not be capable of 
operation from a door control panel when the key or other similar device 
is removed.
    (f) End-of-train circuit. End-of-train circuit integrity shall be 
maintained. When switches are used to establish the end-of-train 
circuit, the switches shall be secured in a manner to prevent access by 
unauthorized personnel.
    (g) Exterior side door safety system override devices. (1) Exterior 
side door safety system override devices that can adversely affect the 
train's door safety system must be inactive and sealed in all passenger 
cars and locomotives in the train consist, including cab cars and MU 
locomotives, if they are so equipped.
    (2) As part of the equipment's calendar day inspection, all exterior 
side door safety system override devices must be inactive and sealed in 
all passenger cars and all locomotives in the train consist, including 
cab cars and MU locomotives, if they are so equipped.

[80 FR 76147, Dec. 7, 2015]

[[Page 956]]



Sec. 238.135  Operating practices for exterior side door safety systems.

    (a) At the beginning of his or her duty assignment prior to the 
train's departure, each crewmember must participate in a safety briefing 
that identifies each crewmember's responsibilities relating to the safe 
operation of the train's exterior side doors, including responsibilities 
for the safe operation of the exterior side doors when arriving at or 
departing a station.
    (b) After April 5, 2016, all passenger train exterior side doors and 
trap doors must be closed when a train is in motion between stations 
except when:
    (1) The train is departing or arriving at a station if:
    (i) A crewmember needs to observe the station platform; and
    (ii) The open door is attended by the crewmember; or
    (2) A crewmember must perform on-ground functions, such as, but not 
limited to, lining switches, making up or splitting the train, providing 
crossing protection, or inspecting the train.
    (c)(1) Except as provided in paragraph (b) of this section, 
passenger railroads must receive special approval from FRA's Associate 
Administrator for Railroad Safety/Chief Safety Officer to operate 
passenger trains with exterior side doors or trap doors, or both, open 
between stations.
    (2) Any request for special approval must include:
    (i) A written justification explaining the need to operate a 
passenger train with its exterior side doors or trap doors, or both, 
open between stations; and
    (ii) A detailed hazard analysis, including a description of specific 
measures to mitigate any added risk.
    (3) The request must be signed by the chief executive officer (CEO), 
or equivalent, of the organization(s) making the request.
    (4) FRA may request that the passenger railroad submit additional 
information to support its request before FRA approves the request.
    (d) No later than December 6, 2018, each railroad shall adopt and 
comply with operating rules on how to safely override a door summary 
circuit or no-motion system, or both, in the event of an en route 
exterior side door failure or malfunction on a passenger train. 
Railroads shall provide these written rules to their crewmembers and 
control center personnel and make them available for inspection by FRA. 
These written rules shall include:
    (1) Instructions to crewmembers and control center personnel, 
describing what conditions must be present in order to override the door 
summary circuit or no-motion system, or both; and
    (2) Steps crewmembers and control center personnel must take after 
the door summary circuit or no-motion system, or both, have been 
overridden to help provide for continued passenger safety.
    (e) No later than December 6, 2018, each passenger train crewmember 
must be trained on:
    (1) The requirements of this section; and
    (2) How to identify and isolate equipment with a malfunctioning 
exterior powered or manual side door.
    (f) No later than December 6, 2018, each railroad shall adopt and 
comply with operating rules requiring train crewmembers to determine the 
status of their train's exterior side doors so that their train may 
safely depart a station. These rules shall require crewmembers to 
determine that there are no obstructions in their train's exterior side 
doors before the train departs.
    (g) Beginning December 6, 2018, each railroad shall periodically 
conduct operational (efficiency) tests and observations of its operating 
crewmembers and control center personnel as appropriate to their roles, 
to determine each individual's knowledge of the railroad's powered and 
manual exterior side door safety procedures for its passenger trains.

[80 FR 76148, Dec. 7, 2015]



Sec. 238.137  Mixed consist; operating equipment with incompatible
exterior side door systems.

    (a) A train made up of equipment with incompatible exterior side 
door systems shall be operated within the constraints of each such door 
system.
    (b) No later than December 6, 2018, each railroad shall adopt and 
comply with operating rules to provide for the

[[Page 957]]

safe use of equipment with incompatible exterior side door systems when 
utilized in a mixed consist.

[80 FR 76148, Dec. 7, 2015]

[[Page 958]]



    Sec. Figure 1 to Subpart B of Part 238--Example of Location and 
           Staggering of Emergency Window Exits--Sec. 238.113
[GRAPHIC] [TIFF OMITTED] TR01FE08.001


[73 FR 6403, Feb. 1, 2008]

[[Page 959]]



 Sec. Figure 1A to Subpart B of Part 238--Example of Location of Rescue 
                      Access Windows--Sec. 238.114
[GRAPHIC] [TIFF OMITTED] TR01FE08.002


[73 FR 6403, Feb. 1, 2008]

[[Page 960]]



    Sec. Figure 1B to Subpart B of Part 238--Example of Location and 
   Staggering of Emergency Window Exits and Location of Rescue Access 
                 Windows--Sec. Sec. 238.113 and 238.114
[GRAPHIC] [TIFF OMITTED] TR01FE08.003


[73 FR 6403, Feb. 1, 2008]

[[Page 961]]



    Sec. Figure 1C to Subpart B of Part 238--Example of a Passenger 
 Compartment Including a Vestibule Connected by an Open Passageway and 
Excluding a Vestibule Separated by an Interior Door--Sec. Sec. 238.113 
                               and 238.114
[GRAPHIC] [TIFF OMITTED] TR01FE08.004


[73 FR 6403, Feb. 1, 2008]

[[Page 962]]



  Sec. Figure 2 to Subpart B of Part 238--Example of a Multi-Level Car 
 Complying with Window Location and Staggering Requirements--Sec. Sec. 
                           238.113 and 238.114
[GRAPHIC] [TIFF OMITTED] TR01FE08.005


[73 FR 6403, Feb. 1, 2008]

[[Page 963]]



  Sec. Figure 2A to Subpart B of Part 238--Example of an Intermediate 
 Level Seating Area of a Multi-Level Car Complying With Window Location 
              Requirements--Sec. Sec. 238.113 and 238.114
[GRAPHIC] [TIFF OMITTED] TR01FE08.006


[73 FR 6403, Feb. 1, 2008]

[[Page 964]]



  Sec. Figure 2B to Subpart B of Part 238--Example of an Intermediate 
 Level Seating Area of a Multi-Level Car Complying With Window Location 
              Requirements--Sec. Sec. 238.113 and 238.114
[GRAPHIC] [TIFF OMITTED] TR01FE08.007


[73 FR 6403, Feb. 1, 2008]

[[Page 965]]



Sec. Figure 3 to Subpart B of Part 238--Example of Location and Marking 
    of Structural Weak Points on Roof of Passenger Car--Sec. 238.123
[GRAPHIC] [TIFF OMITTED] TR01FE08.008


[73 FR 6403, Feb. 1, 2008]

[[Page 966]]



     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. 238.203--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. Any 
such passenger equipment remains subject to the requirements of Sec. 
229.141 of this chapter, as applicable.
    (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 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).

[64 FR 25660, May 12, 1999, as amended at 67 FR 19990, Apr. 23, 2002; 71 
FR 36916, June 28, 2006]



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:

[[Page 967]]

    (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;
    (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. Each petition shall be submitted to the Associate 
Administrator for Safety, Federal Railroad Administration, 1200 New 
Jersey Avenue, SE., Mail Stop 25, Washington, DC 20590.

[[Page 968]]

    (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) Each comment shall be submitted to the U.S. Department of 
Transportation, Docket Operations (M-30), West Building Ground Floor, 
Room W12B140, 1200 New Jersey Avenue, SE., Washington, DC 20590, and 
shall contain the assigned docket number for that proceeding. The form 
of such submission may be in written or electronic form consistent with 
the standards and requirements established by the Federal Docket 
Management System and posted on its web site at http://
www.regulations.gov.
    (h) Disposition of petitions (1) If the Administrator finds it 
necessary or desirable, 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.

[64 FR 25660, May 12, 1999, as amended at 64 FR 70196, Dec. 16, 1999; 67 
FR 19991, Apr. 23, 2002; 74 FR 25174, May 27, 2009]



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, and prior to March 9, 2010, 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. All 
passenger equipment placed in service for the first time on or after 
March 9, 2010, 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 permanent deformation. When coupled 
together in any combination to join two vehicles, AAR Type H and Type F 
tight-lock couplers satisfy the requirements of this paragraph (a).
    (b) Except for a cab car or an MU locomotive, 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 both an upward and 
downward vertical force of 200,000 pounds without failure. Locomotives 
required to be constructed in accordance with subpart D of part 229 of 
this chapter shall have an anti-climbing mechanism in compliance with 
Sec. 229.206 of this chapter, in lieu of the requirements of this 
paragraph.

[75 FR 1227, Jan. 8, 2010]



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

[[Page 969]]

Sec. 238.205(a), such passenger equipment also complies with the 
requirements of this section.



Sec. 238.209  Forward end structure of locomotives, including cab 
cars and MU locomotives.

    (a)(1) The skin covering the forward-facing end of each locomotive, 
including a cab car and an MU locomotive, shall be:
    (i) Equivalent to a \1/2\-inch steel plate with a yield strength of 
25,000 pounds-per-square-inch--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;
    (ii) Designed to inhibit the entry of fluids into the occupied cab 
area of the equipment; and
    (iii) 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.
    (2) As used in this paragraph (a), the term ``skin'' does not 
include forward-facing windows and doors.
    (b) The forward end structure of a cab car or an MU locomotive may 
comply with the requirements of appendix F to this part in lieu of the 
requirements of either Sec. 238.211 (Collision posts) or Sec. 238.213 
(Corner posts), or both, provided that the end structure is designed to 
protect the occupied volume for its full height, from the underframe to 
the anti-telescoping plate (if used) or roof rails.

[75 FR 1228, Jan. 8, 2010]



Sec. 238.211  Collision posts.

    (a) Except as further specified in this paragraph, paragraphs (b) 
through (d) of this section, and Sec. 238.209(b)--
    (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, at each end. 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 (a) do not apply to 
unoccupied passenger equipment operating in a passenger train, or to the 
rear end of a locomotive if the end is unoccupied by design.
    (b) Except for a locomotive that is constructed on or after January 
1, 2009, and is subject to the requirements of subpart D of part 229 of 
this chapter, 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) of this section is 
required to withstand.
    (c)(1) Each cab car and MU locomotive ordered on or after May 10, 
2010, or placed in service for the first time on or after March 8, 2012, 
shall have at its forward end, in lieu of the structural protection 
described in paragraphs (a) and (b) of this section, two forward 
collision posts, located at approximately the one-third points 
laterally, meeting the requirements set

[[Page 970]]

forth in paragraphs (c)(2) and (c)(3) of this section:
    (2) Each collision post acting together with its supporting car body 
structure shall be capable of withstanding the following loads 
individually applied at any angle within 15 degrees of the longitudinal 
axis:
    (i) A 500,000-pound horizontal force applied at a point even with 
the top of the underframe, without exceeding the ultimate strength of 
either the post or its supporting car body structure;
    (ii) A 200,000-pound horizontal force applied at a point 30 inches 
above the top of the underframe, without exceeding the ultimate strength 
of either the post or its supporting car body structure; and
    (iii) A 60,000-pound horizontal force applied at any height along 
the post above the top of the underframe, without permanent deformation 
of either the post or its supporting car body structure.
    (3) Prior to or during structural deformation, each collision post 
acting together with its supporting car body structure shall be capable 
of absorbing a minimum of 135,000 foot-pounds of energy (0.18 megajoule) 
with no more than 10 inches of longitudinal, permanent deformation into 
the occupied volume, in accordance with the following:
    (i) The collision post shall be loaded longitudinally at a height of 
30 inches above the top of the underframe;
    (ii) The load shall be applied with a fixture, or its equivalent, 
having a width sufficient to distribute the load directly into the webs 
of the post, but of no more than 36 inches, and either:
    (A) A flat plate with a height of 6 inches; or
    (B) A curved surface with a diameter of no more than 48 inches; and
    (iii) There shall be no complete separation of the post, its 
connection to the underframe, its connection to either the roof 
structure or anti-telescoping plate (if used), or of its supporting car 
body structure.
    (d) The end structure requirements of this section apply only to the 
ends of a semi-permanently coupled consist of articulated units, 
provided that:
    (1) The railroad submits to FRA 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.

[75 FR 1228, Jan. 8, 2010]



Sec. 238.213  Corner posts.

    (a)(1) Except as further specified in paragraphs (b) and (c) of this 
section and Sec. 238.209(b), each passenger car shall have at each end 
of the car, placed ahead of the occupied volume, two full-height corner 
posts, each capable of resisting together with its supporting car body 
structure:
    (i) A 150,000-pound horizontal force applied at a point even with 
the top of the underframe, without exceeding the ultimate strength of 
either the post or its supporting car body structure;
    (ii) A 20,000-pound horizontal force applied at the point of 
attachment to the roof structure, without exceeding the ultimate 
strength of either the post or its supporting car body structure; and
    (iii) A 30,000-pound horizontal force applied at a point 18 inches 
above the top of the underframe, without permanent deformation of either 
the post or its supporting car body structure.
    (2) For purposes of this paragraph (a), the orientation of the 
applied horizontal forces shall range from longitudinal inward to 
lateral inward.
    (b)(1) Except as provided in paragraph (c) of this section, each cab 
car and MU locomotive ordered on or after May 10, 2010, or placed in 
service for the first time on or after March 8, 2012, shall have at its 
forward end, in lieu of the structural protection described in paragraph 
(a) of this section, two corner posts ahead of the occupied volume, 
meeting all of the requirements set forth in paragraphs (b)(2) and 
(b)(3) of this section:
    (2) Each corner post acting together with its supporting car body 
structure shall be capable of withstanding the following loads 
individually applied toward the inside of the vehicle at all angles in 
the range from longitudinal to lateral:

[[Page 971]]

    (i) A 300,000-pound horizontal force applied at a point even with 
the top of the underframe, without exceeding the ultimate strength of 
either the post or its supporting car body structure;
    (ii) A 100,000-pound horizontal force applied at a point 18 inches 
above the top of the underframe, without permanent deformation of either 
the post or its supporting car body structure; and
    (iii) A 45,000-pound horizontal force applied at any height along 
the post above the top of the underframe, without permanent deformation 
of either the post or its supporting car body structure.
    (3) Prior to or during structural deformation, each corner post 
acting together with its supporting car body structure shall be capable 
of absorbing a minimum of 120,000 foot-pounds of energy (0.16 megajoule) 
with no more than 10 inches of longitudinal, permanent deformation into 
the occupied volume, in accordance with the following:
    (i) The corner post shall be loaded longitudinally at a height of 30 
inches above the top of the underframe;
    (ii) The load shall be applied with a fixture, or its equivalent, 
having a width sufficient to distribute the load directly into the webs 
of the post, but of no more than 36 inches and either:
    (A) A flat plate with a height of 6 inches; or
    (B) A curved surface with a diameter of no more than 48 inches; and
    (iii) There shall be no complete separation of the post, its 
connection to the underframe, its connection to either the roof 
structure or anti-telescoping plate (if used), or of its supporting car 
body structure.
    (c)(1) Each cab car and MU locomotive ordered on or after May 10, 
2010, or placed in service for the first time on or after March 8, 2012, 
utilizing low-level passenger boarding on the non-operating side of the 
cab end shall meet the corner post requirements of paragraph (b) of this 
section for the corner post on the side of the cab containing the 
control stand. In lieu of the requirements of paragraph (b) of this 
section, and after FRA review and approval of a plan, including 
acceptance criteria, to evaluate compliance with this paragraph (c), 
each such cab car and MU locomotive may have two corner posts on the 
opposite (non-operating) side of the cab from the control stand meeting 
all of the requirements set forth in paragraphs (c)(2) through (c)(4) of 
this section:
    (2) One corner post shall be located ahead of the stepwell and, 
acting together with its supporting car body structure, shall be capable 
of withstanding the following horizontal loads individually applied 
toward the inside of the vehicle:
    (i) A 150,000-pound longitudinal force applied at a point even with 
the top of the underframe, without exceeding the ultimate strength of 
either the post or its supporting car body structure;
    (ii) A 30,000-pound longitudinal force applied at a point 18 inches 
above the top of the underframe, without permanent deformation of either 
the post or its supporting car body structure;
    (iii) A 30,000-pound longitudinal force applied at the point of 
attachment to the roof structure, without permanent deformation of 
either the post or its supporting car body structure;
    (iv) A 20,000-pound longitudinal force applied at any height along 
the post above the top of the underframe, without permanent deformation 
of either the post or its supporting car body structure;
    (v) A 300,000-pound lateral force applied at a point even with the 
top of the underframe, without exceeding the ultimate strength of either 
the post or its supporting car body structure;
    (vi) A 100,000-pound lateral force applied at a point 18 inches 
above the top of underframe, without permanent deformation of either the 
post or its supporting car body structure; and
    (vii) A 45,000-pound lateral force applied at any height along the 
post above the top of the underframe, without permanent deformation of 
either the post or its supporting car body structure.
    (3) A second corner post shall be located behind the stepwell and, 
acting together with its supporting car body structure, shall be capable 
of withstanding the following horizontal loads individually applied 
toward the inside of the vehicle:
    (i) A 300,000-pound longitudinal force applied at a point even with 
the top of

[[Page 972]]

the underframe, without exceeding the ultimate strength of either the 
post or its supporting car body structure;
    (ii) A 100,000-pound longitudinal force applied at a point 18 inches 
above the top of the underframe, without permanent deformation of either 
the post or its supporting car body structure;
    (iii) A 45,000-pound longitudinal force applied at any height along 
the post above the top of the underframe, without permanent deformation 
of either the post or its supporting car body structure;
    (iv) A 100,000-pound lateral force applied at a point even with the 
top of the underframe, without exceeding the ultimate strength of either 
the post or its supporting car body structure;
    (v) A 30,000-pound lateral force applied at a point 18 inches above 
the top of the underframe, without permanent deformation of either the 
post or its supporting car body structure; and
    (vi) A 20,000-pound lateral force applied at any height along the 
post above the top of the underframe, without permanent deformation of 
either the post or its supporting car body structure.
    (4) Prior to or during structural deformation, the two posts in 
combination acting together with their supporting body structure shall 
be capable of absorbing a minimum of 120,000 foot-pounds of energy (0.16 
megajoule) in accordance with the following:
    (i) The corner posts shall be loaded longitudinally at a height of 
30 inches above the top of the underframe;
    (ii) The load shall be applied with a fixture, or its equivalent, 
having a width sufficient to distribute the load directly into the webs 
of the post, but of no more than 36 inches and either:
    (A) A flat plate with a height of 6 inches; or
    (B) A curved surface with a diameter of no more than 48 inches; and
    (iii) The corner post located behind the stepwell shall have no more 
than 10 inches of longitudinal, permanent deformation. There shall be no 
complete separation of the corner post located behind the stepwell, its 
connection to the underframe, its connection to either the roof 
structure or anti-telescoping plate (if used), or of its supporting car 
body structure. The corner post ahead of the stepwell is permitted to 
fail. (A graphical description of the forward end of a cab car or an MU 
locomotive utilizing low-level passenger boarding on the non-operating 
side of the cab end is provided in Figure 1 to subpart C of this part.)

[75 FR 1229, Jan. 8, 2010]



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

[[Page 973]]

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 the following 
individually applied loads: 2g vertically on the mass of the truck; and 
250,000 pounds in any horizontal direction on the truck, along with the 
resulting vertical reaction to this load. 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 
component attached to the truck by design.

[67 FR 19991, Apr. 23, 2002]



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
    (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.

    Locomotive fuel tanks shall comply with either the following or an 
industry standard providing at least an equivalent level of safety if 
approved by FRA under Sec. 238.21:
    (a) External fuel tanks. External locomotive fuel tanks shall comply 
with the requirements contained in Appendix D to this part.
    (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 5/16-inch thick steel plate with a yield strength of 
25,000 pounds per square inch. 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.

[67 FR 19991, Apr. 23, 2002]



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.

[[Page 974]]

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 truck hunting 
at all operating speeds. If truck hunting does occur, a railroad shall 
immediately take appropriate action to prevent derailment. Truck hunting 
is defined in Sec. 213.333 of this chapter.
    (b) Nothing in this section shall affect the requirements of the 
Track Safety Standards in part 213 of this chapter as they apply to 
passenger equipment as provided in that part. In particular--
    (1) Pre-revenue service qualification. All passenger equipment 
intended for service at speeds greater than 90 mph or at any curving 
speed producing more than 5 inches of cant deficiency shall demonstrate 
safe operation during pre-revenue service qualification in accordance 
with Sec. 213.345 of this chapter and is subject to the requirements of 
either Sec. 213.57 or Sec. 213.329 of this chapter, as appropriate.
    (2) Revenue service operation. All passenger equipment intended for 
service at speeds greater than 90 mph or at any curving speed producing 
more than 5 inches of cant deficiency is subject to the requirements of 
Sec. 213.333 of this chapter and either Sec. 213.57 or Sec. 213.329 
of this chapter, as appropriate.

[78 FR 16125, Mar. 13, 2013]



Sec. 238.229  Safety appliances--general.

    (a) 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 of this chapter.
    (b) Except as provided in this part, FRA interprets the provisions 
in part 231 of this chapter that expressly mandate that the manner of 
application of a safety appliance be a bolt, rivet, or screw to mean 
that the safety appliance and any related bracket or support used to 
attach that safety appliance to the equipment shall be so affixed to the 
equipment. Specifically, FRA prohibits the use of welding as a method of 
attachment of any such safety appliance or related bracket or support. A 
``safety appliance bracket or support'' means a component or part 
attached to the equipment for the sole purpose of securing or attaching 
of the

[[Page 975]]

safety appliance. FRA does allow the welded attachment of a brace or 
stiffener used in connection with a mechanically fastened safety 
appliance. In order to be considered a ``brace'' or ``stiffener,'' the 
component or part shall not be necessary for the attachment of the 
safety appliance to the equipment and is used solely to provide extra 
strength or steadiness to the safety appliance.
    (c) Welded safety appliances. (1) Passenger equipment placed in 
service prior to January 1, 2007, that is equipped with a safety 
appliance, required by the ``manner of application'' provisions in part 
231 of this chapter to be attached by a mechanical fastener (i.e., 
bolts, rivets, or screws), and the safety appliance is mechanically 
fastened to a bracket or support that is attached to the equipment by 
welding may continue to be used in service provided all of the 
requirements in paragraphs (e) through (k) of this section are met. The 
welded safety appliance bracket or support only needs to receive the 
initial visual inspection required under paragraph (g)(1) of this 
section if all of the following conditions are met:
    (i) The welded safety appliance bracket or support meets all of the 
conditions contained in Sec. 238.230(b)(1) for being considered part of 
the car body;
    (ii) The weld on the safety appliance bracket or support does not 
contain any defect as defined in paragraph (d) of this section; and
    (iii) The railroad submits a written list to FRA identifying each 
piece of passenger equipment equipped with a welded safety appliance 
bracket or support as described in paragraph (c)(1)(i) and (c)(1)(ii) of 
this section and provides a description of the specific safety appliance 
bracket or support.
    (2) Passenger equipment placed in service prior to January 1, 2007, 
that is equipped with a safety appliance that is directly attached to 
the equipment by welding (i.e., no mechanical fastening of any kind) 
shall be considered defective and immediately handled for repair 
pursuant to the requirements contained in Sec. 238.17(e) unless the 
railroad meets the following:
    (i) The railroad submits a written list to FRA that identifies each 
piece of passenger equipment equipped with a welded safety appliance as 
described in paragraph (c)(2) of this section and provides a description 
of the specific safety appliance; and
    (ii) The involved safety appliance(s) on such equipment are 
inspected and handled pursuant to the requirements contained in 
paragraphs (g) through (k) of this section.
    (d) Defective welded safety appliance or welded safety appliance 
bracket or support. Passenger equipment with a welded safety appliance 
or a welded safety appliance bracket or support will be considered 
defective and shall be handled in accordance with Sec. 238.17(e) if any 
part or portion of the weld contains a defect. Any repairs made to such 
equipment shall be in accordance with the inspection plan required in 
paragraph (g) of this section and the remedial actions identified in 
paragraph (j) of this section. A defect for the purposes of this section 
means a crack or fracture of any visibly discernible length or width. 
When appropriate, civil penalties for improperly using or hauling a 
piece of equipment with a defective welded safety appliance or safety 
appliance bracket or support addressed in this section will be assessed 
as an improperly applied safety appliance pursuant to the penalty 
schedule contained in Appendix A to part 231 of this chapter under the 
appropriate defect code contained therein.
    (e) Identification of equipment. The railroad shall submit a written 
list to FRA that identifies each piece of passenger equipment equipped 
with a welded safety appliance bracket or support by January 1, 2007. 
Passenger equipment placed in service prior to January 1, 2007, but not 
discovered until after January 1, 2007, shall be immediately added to 
the railroad's written list and shall be immediately inspected in 
accordance with paragraph (g) through (k) of this section. The written 
list submitted by the railroad shall contain the following:
    (1) The equipment number;
    (2) The equipment type;
    (3) The safety appliance bracket(s) or support(s) affected;

[[Page 976]]

    (4) Any equipment and any specific safety appliance bracket(s) or 
supports(s) on the equipment that will not be subject to the inspection 
plan required in paragraph (g) of this section;
    (5) A detailed explanation for any such exclusion recommended in 
paragraph (e)(4) of this section;
    (f) FRA's Associate Administrator for Safety reserves the right to 
disapprove any exclusion recommended by the railroad in paragraphs 
(c)(2)(i) and (d)(4) of this section and will provide written 
notification to the railroad of any such determination.
    (g) Inspection plans. The railroad shall adopt and comply with and 
submit to FRA upon request a written safety appliance inspection plan. 
At a minimum, the plan shall include the following:
    (1) Except as provided in paragraph (c)(1) of this section, an 
initial visual inspection (within 1 year of date of publication) and 
periodic re-inspections (at intervals not to exceed 6 years) of each 
welded safety appliance bracket or support identified in paragraph (e) 
of this section. If significant disassembly of a car is necessary to 
visually inspect the involved safety appliance bracket or support, the 
initial visual inspection may be conducted at the equipment's first 
periodic brake equipment maintenance interval pursuant to Sec. 238.309 
occurring after January 1, 2007.
    (2) Identify the personnel that will conduct the initial and 
periodic inspections and any training those individuals are required to 
receive in accordance with the criteria contained in paragraph (h) of 
this section.
    (3) Identify the specific procedures and criteria for conducting the 
initial and periodic safety appliance inspections in accordance with the 
requirements and criteria contained in paragraph (i) of this section.
    (4) Identify when and what type of potential repairs or potential 
remedial action will be required for any defective welded safety 
appliance bracket or support discovered during the initial or periodic 
safety appliance inspection in accordance with paragraph (j) of this 
section.
    (5) Identify the records that will be maintained that are related to 
the initial and periodic safety appliance inspections in accordance with 
the requirements contained in paragraph (k) of this section.
    (h) Inspection personnel. The initial and periodic safety appliance 
inspections shall be performed by individuals properly trained and 
qualified to identify defective weld conditions. At a minimum, these 
personnel include the following:
    (1) A qualified maintenance person (QMP) with at least 4 hours of 
training specific to the identification of weld defects and the 
railroad's weld inspection procedures;
    (2) A current certified welding inspector (CWI) pursuant to American 
Welding Society Standard--AWS QC-1, Standard for AWS Certification of 
Welding Inspectors (1996) or its current revised equivalent;
    (3) A person possessing a current Canadian Welding Bureau (CWB) 
certification pursuant to the Canadian Standards Association Standard 
W59 (2003) or its current revised equivalent;
    (4) A person possessing a current level II or level III visual 
inspector certification from the American Society for Non-destructive 
Testing pursuant to Recommended Practice SNT-TC-1A--Personnel 
Qualification and Certification in Nondestructive Testing (2001) or its 
current revised equivalent; or
    (5) A person possessing a current certification under any other 
nationally or internationally recognized welding qualification standard 
that is equivalent to those identified in paragraphs (h)(2) through 
(h)(4) of this section.
    (i) Inspection procedures. The initial and periodic safety appliance 
inspections shall be conducted in accordance with the procedures and 
criteria established in the railroad's inspection plan. At a minimum, 
these procedures and criteria shall include:
    (1) A complete visual inspection of the entire welded surface of any 
safety appliance bracket or support identified in paragraph (e) of this 
section.
    (2) The visual inspection shall occur after the complete removal of 
any dirt, grease, rust, or any other foreign matter from the welded 
portion of the involved safety appliance bracket or support. Removal of 
paint is not required.

[[Page 977]]

    (3) The railroad shall disassemble any equipment necessary to permit 
full visual inspection of the involved weld.
    (4) Any materials necessary to conduct a complete inspection must be 
made available to the inspection personnel throughout the inspection 
process. These include but are not limited to such items as mirrors, 
magnifying glasses, or other location specific inspection aids. Remote 
viewing aids possessing equivalent sensitivity are permissible for 
restricted areas.
    (5) Any weld found with a defect as defined in paragraph (d) of this 
section during the initial or periodic safety appliance inspection shall 
be inspected by either a certified weld inspector identified in 
paragraphs (h)(2) through (h)(5) of this section or a welding or 
materials engineer possessing a professional engineer's license for a 
final determination. No car with a defect in the weld of a safety 
appliance or its attachment may continue in use until a final 
determination as to the existence of a defect is made by the personnel 
identified in this paragraph.
    (6) A weld finally determined to contain a defect shall be handled 
for repair in accordance with Sec. 238.17(e) and repaired in accordance 
with the remedial action criteria contained in paragraph (j) of this 
section.
    (j) Remedial action. Unless a defect in a weld is known to have been 
caused by crash damage, the railroad shall conduct a failure and 
engineering analysis of any weld identified in paragraph (e) of this 
section determined to have a break or crack either during the initial or 
periodic safety appliance inspection or while otherwise in service to 
determine if the break or crack is the result of crash damage, improper 
construction, or inadequate design. Based on the results of the 
analysis, the repair of the involved safety appliance bracket or support 
shall be handled as follows:
    (1) A defect in a weld due to crash damage (i.e., impact of the 
safety appliance by an outside force during service or an accident) or 
improper construction (i.e., the weld did not conform to the engineered 
design) shall be reattached by either mechanically fastening the safety 
appliance or the safety appliance bracket or support to the equipment or 
welding the safety appliance bracket or support to the equipment in a 
manner that is at least as strong as the original design or at least 
twice the strength of a bolted mechanical attachment, whichever is 
greater. If welding is used to repair the damaged appliance, bracket, or 
support the following requirements shall be met:
    (i) The repair shall be conducted in accordance with the welding 
procedures contained in APTA Standard SS-C&S-020-03--Standard for 
Passenger Rail Vehicle Structural Repair (September 2003); or an 
alternative procedure approved by FRA pursuant to Sec. 238.21. The 
Director of the Federal Register approves incorporation by reference of 
the APTA Standard SS-C&S-020-03 (September 2003), ``Standard for 
Passenger Rail Vehicle Structural Repair,'' in this section in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy 
of the incorporated standard from the American Public Transportation 
Association, 1666 K Street, Washington, DC 20006. You may inspect a copy 
of the incorporated standard at the Federal Railroad Administration, 
Docket Clerk, 1200 New Jersey Avenue, SE., Washington, DC 20590 or at 
the National Archives and Records Administration (NARA). For information 
on the availability of this material at NARA, call 202-741-6030, or go 
to http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html;
    (ii) A qualified individual under paragraph (h) of this section 
shall inspect the weld to ensure it is free of any cracks or fractures 
prior to the equipment being placed in-service;
    (iii) The welded safety appliance bracket or support shall receive a 
periodic safety appliance inspection pursuant to the requirements 
contained in paragraphs (g) through (i) of this section; and
    (iv) A record of the welded repair pursuant to the requirements of 
paragraph (k) of this section shall be maintained by the railroad.
    (2) A defect in the weld that is due to inadequate design (i.e., 
unanticipated stresses or loads during service) shall be handled in 
accordance with the following:

[[Page 978]]

    (i) The railroad must immediately notify FRA's Associate 
Administrator for Safety in writing of its discovery of a defective weld 
that is due to inadequate design;
    (ii) The involved safety appliance or the safety appliance bracket 
or support shall be reattached to the equipment by mechanically 
fastening the safety appliance or the safety appliance bracket or 
support to the equipment unless such mechanical fastening is impractical 
due to the design of the equipment;
    (iii) The railroad shall develop and comply with a written plan 
submitted to and approved by FRA's Associate Administrator for Safety 
detailing a schedule for all passenger equipment in that series of cars 
with a similar welded safety appliance bracket or support to have the 
involved safety appliance or the safety appliance bracket or support 
mechanically fastened to the equipment; and
    (iv) If a railroad determines that the design of the equipment makes 
it impractical to mechanically fasten the safety appliance or the safety 
appliance bracket or support to the equipment, then the railroad shall 
submit a request to FRA for special approval of alternative compliance 
pursuant to Sec. 238.21. Such a request shall explain the necessity for 
any relief sought and shall contain appropriate data and analysis 
supporting its determination that any alternative method of attachment 
provides at least an equivalent level of safety.
    (k) Records. Railroads shall maintain written or electronic records 
of the inspection and repair of the welded safety appliance brackets or 
supports on any equipment identified in paragraph (e) of this section. 
The records shall be made available to FRA upon request. At a minimum, 
these records shall include all of the following:
    (1) Training or certification records for any person performing any 
of the inspections or repairs required in this section.
    (2) The date, time, location, and identification of the person 
performing the initial and periodic safety appliance inspections for 
each piece of equipment identified in paragraph (e) of this section. 
This includes the identification of the person making any final 
determination as to the existence of a defect under paragraph (i)(5) of 
this section.
    (3) A record of all passenger equipment found with a safety 
appliance weldment that is defective either during the initial or 
periodic safety appliance inspection or while the equipment is in-
service. This record shall also identify the cause of the crack or 
fracture.
    (4) The date, time, location, identification of the person making 
the repair, and the nature of the repair to any welded safety appliance 
bracket or support identified in paragraph (e) of this section.

[71 FR 61858, Oct. 19, 2006, as amended at 74 FR 25174, May 27, 2009]



Sec. 238.230  Safety appliances--new equipment.

    (a) Applicability. This section applies to passenger equipment 
placed in service on or after January 1, 2007.
    (b) Welded safety sppliances. Except as provided in this section, 
all passenger equipment placed into service on or after January 1, 2007, 
that is equipped with a safety appliance, required by the ``manner of 
application'' provisions in part 231 of this chapter to be attached by a 
mechanical fastener (i.e., bolts, rivets, or screws), shall have the 
safety appliance and any bracket or support necessary to attach the 
safety appliance to the piece of equipment mechanically fastened to the 
piece of equipment.
    (1) Safety appliance brackets or supports considered part of the car 
body. Safety appliance brackets or supports will be considered part of 
the car body and will not be required to be mechanically fastened to the 
piece of passenger equipment if all of the following are met:
    (i) The bracket or support is welded to a surface of the equipment's 
body that is at a minimum 3/16-inch sheet steel or structurally 
reinforced to provide the equivalent strength and rigidity of 3/16-inch 
sheet steel;
    (ii) The area of the weld is sufficient to ensure a minimum weld 
strength, based on yield, of three times the strength of the number of 
SAE grade 2, \1/2\ inch diameter bolts that would be required for each 
attachment;

[[Page 979]]

    (iii) Except for any access required for attachment of the safety 
appliance, the weld is continuous around the perimeter of the surface of 
the bracket or support;
    (iv) The attachment is made with fillet welds at least 3/16-inch in 
size;
    (v) The weld is designed for infinite fatigue life in the 
application that it will be placed;
    (vi) The weld is performed in accordance with the welding process 
and the quality control procedures contained in the current American 
Welding Society (AWS) Standard, the Canadian Welding Bureau (CWB) 
Standard, or an equivalent nationally or internationally recognized 
welding standard;
    (vii) The weld is performed by an individual possessing the 
qualifications to be certified under the current AWS Standard, CWB 
Standard, or any equivalent nationally or internationally recognized 
welding qualification standard;
    (viii) The weld is inspected by an individual qualified to determine 
that all of the conditions identified in paragraph (b)(1)(i) through 
(b)(1)(vii) of this section are met prior to the equipment being placed 
in service; and
    (ix) A written or electronic record of the inspection required in 
paragraph (b)(1)(viii) of this section shall be retained by the railroad 
operating the equipment and shall be provided to FRA upon request. At a 
minimum, this record shall include the date, time, location, 
identification of the person performing the inspection, and the 
qualifications of the person performing the inspection.
    (2) Directly welded safety appliances. Passenger equipment that is 
equipped with a safety appliance that is directly attached to the 
equipment by welding (i.e., no mechanical fastening of any kind) may be 
placed in service only if the railroad meets the following:
    (i) The railroad submits a written list to FRA that identifies each 
piece of new passenger equipment equipped with a welded safety appliance 
as described in paragraph (b)(2) of this section and provides a 
description of the specific safety appliance;
    (ii) The railroad provides a detailed basis as to why the design of 
the vehicle or placement of the safety appliance requires that the 
safety appliance be directly welded to the equipment; and
    (iii) The involved safety appliance(s) on such equipment are 
inspected and handled pursuant to the requirements contained in Sec. 
238.229(g) through (k).
    (3) Other welded safety appliances and safety appliance brackets and 
supports. Except for safety appliance brackets and supports identified 
in paragraph (b)(1) of this section, safety appliance brackets and 
supports on passenger equipment shall not be welded to the car body 
unless the design of the equipment makes it impractical to mechanically 
fasten the safety appliance and it is impossible to meet the conditions 
for considering the bracket or support part of the car body contained in 
paragraph (b)(1) of this section. Prior to placing a piece of passenger 
equipment in service with a welded safety appliance bracket or support 
as described in this paragraph, the railroad shall submit documentation 
to FRA, for FRA's review and approval, containing all of the following 
information:
    (i) Identification of the equipment by number, type, series, 
operating railroad, and other pertinent data;
    (ii) Identification of the safety appliance bracket(s) or support(s) 
not mechanically fastened to the equipment and not considered part of 
the car body under paragraph (b)(1) of this section;
    (iii) A detailed analysis describing the necessity to attach the 
safety appliance bracket or support to the equipment by a means other 
than mechanical fastening;
    (iv) A detailed analysis describing the inability to make the 
bracket or support part of the car body as provided for in paragraph 
(b)(1) of this section; and
    (v) A copy and description of the consensus or other appropriate 
industry standard used to ensure the effectiveness and strength of the 
attachment;
    (c) Inspection and repair. Passenger equipment with a welded safety 
appliance or a welded safety appliance bracket or support will be 
considered defective and shall be handled in accordance with Sec. 
238.17(e) if any part or portion of the weld is defective as defined in 
Sec. 238.229(d). When appropriate, civil penalties for improperly using 
or

[[Page 980]]

hauling a piece of equipment with a defective welded safety appliance or 
safety appliance bracket or support addressed in this section will be 
assessed pursuant to the penalty schedule contained in Appendix A to 
part 231 of this chapter under the appropriate defect code contained 
therein.
    (1) Any safety appliance bracket or support approved by FRA pursuant 
to paragraph (b)(3) of this section shall be inspected and handled in 
accordance with the requirements contained in Sec. 238.229(g) through 
(k).
    (2) Any repair to a safety appliance bracket or support considered 
to be part of the car body under paragraph (b)(1) of this section shall 
be conducted in accordance with APTA Standard SS-C&S-020-03--Standard 
for Passenger Rail Vehicle Structural Repair (September 2003), or an 
alternative procedure approved by FRA pursuant to Sec. 238.21, and 
shall ensure that the repair meets the requirements contained in 
paragraphs (b)(1)(i) through (b)(1)(vii) of this section. The Director 
of the Federal Register approves incorporation by reference of the APTA 
Standard SS-C&S-020-03 (September 2003), ``Standard for Passenger Rail 
Vehicle Structural Repair,'' in this section in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. You may obtain a copy of the incorporated 
standard from the American Public Transportation Association, 1666 K 
Street, Washington, DC 20006. You may inspect a copy of the incorporated 
standard at the Federal Railroad Administration, Docket Clerk, 1200 New 
Jersey Avenue, SE., Washington, DC 20590 or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (d) Passenger cars of special construction. A railroad or a 
railroad's recognized representative may submit a request for special 
approval of alternative compliance pursuant to Sec. 238.21 relating to 
the safety appliance arrangements on any passenger car considered a car 
of special construction under Sec. 231.18 of this chapter. Any such 
petition shall be in the form of an industry-wide standard and at a 
minimum shall:
    (1) Identify the type(s) of car to which the standard would be 
applicable;
    (2) As nearly as possible, based upon the design of the equipment, 
ensure that the standard provides for the same complement of handholds, 
sill steps, ladders, hand or parking brakes, running boards, and other 
safety appliances as are required for a piece of equipment of the 
nearest approximate type already identified in part 231 of this chapter;
    (3) Comply with all statutory requirements relating to safety 
appliances contained at 49 U.S.C. 20301 and 20302;
    (4) Specifically address the number, dimension, location, and manner 
of application of each safety appliance contained in the standard;
    (5) Provide specific analysis regarding why and how the standard was 
developed and specifically discuss the need or benefit of the safety 
appliance arrangement contained in the standard;
    (6) Include drawings, sketches, or other visual aids that provide 
detailed information relating to the design, location, placement, and 
attachment of the safety appliances; and
    (7) Demonstrate the ergonomic suitability of the proposed 
arrangements in normal use.
    (e) Any industry standard approved pursuant to Sec. 238.21 will be 
enforced against any person who violates any provision of the approved 
standard or causes the violation of any such provision. Civil penalties 
will be assessed under part 231 of this chapter by using the applicable 
defect code contained in appendix A to part 231 of this chapter.

[71 FR 61860, Oct. 19, 2006, as amended at 74 FR 25174, May 27, 2009]



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

[[Page 981]]

speed within the signal spacing existing on the track over which the 
train is operating.
    (b) Where practicable, the 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. Passenger equipment not designed in 
this manner shall be equipped and handled in accordance with one of the 
following:
    (1) Equipped with piston travel indicators as defined in Sec. 238.5 
or devices of similar design and inspected pursuant to the requirements 
contained in Sec. 238.313 (j); or
    (2) Equipped with brake indicators as defined in Sec. 238.5, 
designed so that the pressure sensor is placed in a location so that 
nothing may interfere with the air flow to brake cylinder and inspected 
pursuant to the requirements contained in Sec. 238.313 (j).
    (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.
    (3) Except for MU locomotives, on locomotives so equipped, the hand 
or parking brake as well as its parts and connections shall be 
inspected, and necessary repairs made, as often as service requires but 
no less frequently than every 368 days. The date of the last inspection 
shall be either entered on Form FRA F 6180-49A, suitably stenciled or 
tagged on the equipment, or maintained electronically provided FRA has 
access to the record upon request.
    (4) A train's air brake shall not be depended upon to hold 
unattended equipment (including a locomotive, a car, or a train whether 
or not locomotive is attached). For purposes of this section, 
``unattended equipment'' means equipment left standing and unmanned in 
such a manner that the brake system of the equipment cannot be readily 
controlled by a qualified person. Unattended equipment shall be secured 
in accordance with the following requirements:
    (i) A sufficient number of hand or parking brakes shall be applied 
to hold the equipment. Railroads shall develop and implement a process 
or procedure to verify that the applied hand or parking brakes will 
sufficiently hold the

[[Page 982]]

equipment with the air brakes released;
    (ii) Except for equipment connected to a source of compressed air 
(e.g., locomotive or ground air source), prior to leaving equipment 
unattended, the brake pipe shall be reduced to zero at a rate that is no 
less than a service rate reduction;
    (iii) At a minimum, the hand or parking brake shall be fully applied 
on at least one locomotive or vehicle in an unattended locomotive 
consist or train;
    (iv) A railroad shall develop, adopt, and comply with procedures for 
securing any unattended locomotive required to have a hand or parking 
brake applied when the locomotive is not equipped with an operative hand 
or parking brake;
    (v) A railroad shall adopt and comply with instructions to address 
throttle position, status of the reverser lever, position of the 
generator field switch, status of the independent brakes, position of 
the isolation switch, and position of the automatic brake valve, or the 
functional equivalent of these items, on all unattended locomotives. The 
procedures and instruction shall take into account weather conditions as 
they relate to throttle position and reverser handle; and
    (vi) Any hand or parking brakes applied to hold unattended equipment 
shall not be released until it is known that the air brake system is 
properly charged.
    (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 ordered after September 8, 2000, or placed in 
service for the first time after September 9, 2002, that are 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;
    (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--
    (1) All the cars in the train consist shall be set up in the same 
operating mode or
    (2) Up to two cars may be operated in direct release mode when the 
rest of the cars in the train are operated in graduated release mode, 
provided that the cars operated in direct release mode are hauled at the 
rear of the train consist.
    (n) Before adjusting piston travel or working on brake rigging, the 
cutout cock in the brake pipe branch must be closed and the air 
reservoirs must be voided of all compressed air. When cutout cocks are 
provided in brake cylinder pipes, these cutout cocks may be closed, and 
air reservoirs need not be voided of all compressed air.
    (o) All passenger trains to which this part applies shall comply 
with the requirements covering the use of two-way end-of-train devices 
contained in part 232 of this chapter.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000; 71 
FR 61861, Oct. 19, 2006]



Sec. 238.233  Interior fittings and surfaces.

    (a) Each seat in a passenger car shall--

[[Page 983]]

    (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) Locomotives required to be constructed in accordance with 
subpart D of part 229 of this chapter shall have cab seat attachment in 
compliance with Sec. 229.206 of this chapter, in lieu of the following 
requirements of this paragraph. 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.

[64 FR 25660, May 12, 1999, as amended at 71 FR 36917, June 28, 2006]



Sec. 238.235  [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

[[Page 984]]

shall initiate a penalty brake application.
    (d) The following procedures apply if the alerter or deadman control 
fails en route and causes the locomotive to be in non-compliance with 
paragraph (a):
    (1)(i) A second person qualified on the signal system and trained to 
apply the emergency brake 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 calendar 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.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]



                 Sec. Figure 1 to Subpart C of Part 238
[GRAPHIC] [TIFF OMITTED] TR08JA10.004


[75 FR 1230, Jan. 8, 2010]



 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 the brake system as well as 
other mechanical and electrical components covered by this part.

[[Page 985]]

    (b) Beginning on January 1, 2002, 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.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000]



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 in accordance with the following:
    (1) Except as provided in paragraph (b)(2) of this section, 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 notice is provided to the train crew 
that an exterior mechanical inspection was performed on the car or 
vehicle on the last day it was used in passenger service. The notice 
required by this section shall contain the date, time, and location of 
the last exterior mechanical inspection;
    (2) Each express car, freight car, and each unit of intermodal 
equipment (e.g., RoadRailers [supreg]) added to a passenger train shall 
receive an exterior calendar day mechanical inspection at the time it is 
added to the train, unless notice is provided to the train crew that an 
exterior mechanical inspection was performed on the car within the 
previous calendar day. The notice required by this section shall contain 
the date, time, and location of the last exterior mechanical inspection.
    (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:

[[Page 986]]

    (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 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 operate in that manner; 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) Except as provided in paragraph (e)(8)(iii) of this section, 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

[[Page 987]]

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 accordance 
with the following requirements:
    (A) A tag bearing the words ``inoperative dynamic brakes'' shall be 
securely displayed in a conspicuous location in the cab of the 
locomotive and contain the locomotive number, the date and location 
where the condition was discovered, and the signature of the individual 
who discovered 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 or 
removed from service by or at the locomotive's next exterior calendar 
day mechanical inspection.
    (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 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.
    (16) 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.
    (17) Each air compressor, on passenger equipment so equipped, shall 
be in effective and operative condition. MU passenger equipment found 
with an inoperative or ineffective air compressor at the time of its 
exterior calendar day mechanical inspection may remain in passenger 
service until the equipment's next exterior calendar day mechanical 
inspection where it must be repaired or removed from passenger service; 
provided, all of the following requirements are met:
    (i) The equipment has an inherent redundancy of air compressors, due 
to either the make-up of the train consist or the design of the 
equipment;
    (ii) The railroad demonstrates through verifiable data, analysis, or 
actual testing that the safety and integrity of a train is not 
compromised in any manner by the inoperative or ineffective air 
compressor. The data, analysis, or test shall establish the maximum 
number of air compressors that may be inoperative based on size of the 
train consist, the type of passenger equipment in the train, and the 
number of service and emergency brake applications typically expected in 
the run profile for the involved train;
    (iii) The involved train does not exceed the maximum number of 
inoperative or ineffective air compressors established in accordance 
with paragraph (e)(17)(ii) of this section;
    (iv) A qualified maintenance person determines and verifies that the 
inoperative or ineffective air compressor does not compromise the safety 
or integrity of the train and that it is safe

[[Page 988]]

to move the equipment in passenger service;
    (v) The train crew is informed in writing of the number of units in 
the train consist with inoperative or ineffective air compressors at the 
location where the train crew first takes charge of the train;
    (vi) A record is maintained of the inoperative or ineffective air 
compressor pursuant to the requirements contained in Sec. 238.17(c)(4); 
and
    (vii) Prior to operating equipment under the provisions contained in 
this paragraph, the railroad shall provide in writing to FRA's Associate 
Administrator for Safety the maximum number of inoperative or 
ineffective air compressors identified in accordance with paragraph 
(e)(17)(ii) of this section.
    (viii) The data, analysis, or testing developed and conducted under 
paragraph (e)(17)(ii) of this section shall be made available to FRA 
upon request. FRA's Associate Administrator for Safety may revoke a 
railroad's ability to utilize the flexibility provided in this paragraph 
if the railroad fails to comply with the maximum limits established 
under paragraph (e)(17)(ii) or if such maximum limits are not supported 
by credible data or do not provide adequate safety assurances.
    (18) All rescue-access-related exterior markings, signage, and 
instructions required by Sec. Sec. 238.112 and 238.114 shall be in 
place and, as applicable, conspicuous or legible, or both.
    (i) Except as provided in paragraphs (e)(18)(ii) and (iii) of this 
section, passenger equipment that has any required rescue-access-related 
exterior marking, signage, or instruction that is missing, illegible, or 
inconspicuous may remain in passenger service until no later than the 
equipment's fourth exterior calendar day mechanical inspection or next 
periodic mechanical inspection required under Sec. 238.307, whichever 
occurs first, after the noncomplying condition is discovered, where the 
car shall be repaired or removed from service.
    (ii) A passenger car having more than 50 percent of the windows on a 
side of a level of the car designated and properly marked for rescue 
access that has any required rescue-access-related exterior marking, 
signage, or instruction that is missing, illegible, or inconspicuous on 
any of the other windows on that side and level of the car may remain in 
passenger service until no later than the car's next periodic mechanical 
inspection required under Sec. 238.307, where the car shall be repaired 
or removed from service.
    (iii) A passenger car that is a sleeping car that has more than two 
consecutive windows with any required rescue access-related exterior 
marking, signage, or instruction at or near their locations that is 
missing, illegible, or inconspicuous may remain in passenger service 
until no later than the car's next periodic mechanical inspection 
required under Sec. 238.307, where the car shall be repaired or removed 
from service.
    (iv) A record shall be maintained of any noncomplying marking, 
signage, or instruction described in paragraphs (e)(18)(i) through (iii) 
of this section that contains the date and time that the defective 
condition was first discovered. This record shall be retained until all 
necessary repairs are completed.
    (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;

[[Page 989]]

    (ii) The place, date, and time of the inspection;
    (iii) Any non-complying conditions found; and
    (iv) The signature or electronic identification 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.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000; 71 
FR 61862, Oct. 19, 2006; 73 FR 6412, Feb. 1, 2008; 78 FR 71814, Nov. 29, 
2013]



Sec. 238.305  Interior calendar day mechanical inspection of passenger
cars.

    (a) Except as provided in paragraph (e) 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 when 
discovered in service, except as provided in paragraphs (c)(8) through 
(13) and paragraph (d) 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) 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.
    (3) All D rings, pull handles, or other means to access manual door 
releases are in place based on a visual inspection.
    (4) All emergency equipment, including a fire extinguisher, pry bar, 
auxiliary portable lighting, and first aid kits, as applicable, are in 
place.
    (5) The words ``Emergency Brake Valve'' are legibly stenciled or 
marked near each brake pipe valve or shown on an adjacent badge plate.
    (6) 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.
    (7) All safety-related signage is in place and legible.
    (8) All trap doors safely operate and securely latch in place in 
both the up and down position. A non-complying car may continue in 
passenger service pursuant to paragraph (d) of this section, if the trap 
door can be secured by locking out the door for which it is used.
    (9) All vestibule steps are illuminated. A non-complying car may 
continue in passenger service pursuant to paragraph (d) of this section, 
if the car will be used solely in high-platform service.
    (10) All end doors and side doors operate safely and as intended. A 
noncomplying car may continue in passenger service pursuant to paragraph 
(d) of this section--
    (i) If at least one operative and accessible door is available on 
each side of the car;
    (ii) The train crew is provided written notification of the 
noncomplying condition; and
    (iii) A notice is prominently displayed directly on the defective 
door indicating that the door is defective.
    (11) Low-location emergency exit path markings required by Sec. 
238.127 are in place and conspicuous.
    (12) On passenger cars so equipped, public address and intercom 
systems shall be operative and function as intended. A passenger car 
with an inoperative or nonfunctioning public address or intercom system 
may remain in passenger service until no later than the

[[Page 990]]

car's fourth interior calendar day mechanical inspection or next 
periodic mechanical inspection required under Sec. 238.307, whichever 
occurs first, or for a passenger car used in long-distance intercity 
train service until the eighth interior calendar day mechanical 
inspection or next periodic mechanical inspection required under Sec. 
238.307, whichever occurs first, after the noncomplying condition is 
discovered, where it shall be repaired or removed from service; 
provided, the train crew is given written notification of the 
noncomplying condition, and all of the requirements contained in 
paragraph (d)(3) of this section are met.
    (13) Removable panels and removable windows in vestibule doors and 
in other interior doors used for passage through a passenger car are 
properly in place and secured, based on a visual inspection. A 
noncomplying passenger car may remain in passenger service until no 
later than the car's fourth interior calendar day mechanical inspection 
or next periodic mechanical inspection required under Sec. 238.307, 
whichever occurs first, or for a passenger car used in long-distance 
intercity train service until the eighth interior calendar day 
mechanical inspection or next periodic mechanical inspection required 
under Sec. 238.307, whichever occurs first, after the noncomplying 
condition is discovered, where it shall be repaired or removed from 
service; provided--
    (i) The railroad has developed and follows written procedures for 
mitigating the hazard(s) caused by the noncomplying condition. The 
railroad's procedures shall include consideration of the type of door in 
which the removable panel or removable window is located, the manner in 
which the door is normally opened, and the risk of personal injury 
resulting from a missing, broken, or improperly secured removable panel 
or removable window; and
    (ii) The train crew is provided written notification of the 
noncomplying condition.
    (d) Any passenger car found not to be in compliance with the 
requirements contained in paragraphs (c)(5) through (11) of this section 
at the time of its interior calendar day mechanical inspection may 
remain in passenger service until the car's next interior calendar day 
mechanical inspection, where it must be repaired or removed from 
passenger service; provided, all of the specific conditions contained in 
paragraphs (c)(8) through (10) of this section are met and all of the 
following requirements are met:
    (1) A qualified person or a qualified maintenance person determines 
that the repairs necessary to bring the car into compliance cannot be 
performed at the time that the current day's interior mechanical 
inspection is conducted;
    (2) A qualified person or a qualified maintenance person determines 
that it is safe to move the equipment in passenger service; and
    (3) A record is maintained of the non-complying condition with the 
date and time that the condition was first discovered.
    (e) 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.
    (f) 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 or electronic identification 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.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41308, July 3, 2000; 73 
FR 6412, Feb. 1, 2008; 78 FR 71814, Nov. 29, 2013]

[[Page 991]]



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) 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. If a car is 
found with a seat that is not in compliance with this requirement while 
being used between periodic mechanical inspections, the equipment may 
continue to be used in passenger service until the performance of an 
interior calendar day mechanical inspection pursuant to Sec. 238.305 on 
the day following the discovery of the defective condition provided the 
seat is rendered unuseable, a notice is prominently displayed on the 
seat, and a record is maintained with the date and time that the non-
complying condition was discovered.
    (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)(i) A representative sample of the following emergency systems 
properly operate:
    (A) Door removable panels, removable windows, manual override 
devices, and retention mechanisms, as applicable, in accordance with 
Sec. 238.112; and
    (B) Emergency window exits, in accordance with Sec. 238.113.
    (ii) This portion of the periodic mechanical inspection may be 
conducted independently of the other requirements in this paragraph (c); 
and
    (iii) Each railroad shall retain records of the inspection, testing, 
and maintenance of the emergency window exits for two calendar years 
after the end of the calendar year to which they relate.
    (5) With regard to the following emergency systems:
    (i) Emergency lighting systems required under Sec. 238.115 are in 
place and operational; and
    (ii) Low-location emergency exit path marking systems required under 
Sec. 238.127 are operational.
    (6) 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

[[Page 992]]

    (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''.
    (7) Each coupler is in the following condition:
    (i) The distance between the guard arm and the knuckle nose is not 
more than 5\1/8\ 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, to the extent possible without 
dropping cover plates.
    (8) All trucks are equipped with a device or securing arrangement to 
prevent the truck and car body from separating in case of derailment.
    (9) All center castings on trucks are not cracked or broken, to the 
extent possible without jacking the car and rolling out the trucks. 
However, an extensive inspection of all center castings shall be 
conducted by jacking the equipment and rolling out the trucks at each 
COT&S cycle provided in Sec. 238.309 for the equipment.
    (10) 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.
    (11) 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.
    (12) 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.
    (13) The hand or parking brake shall be applied and released to 
determine that it functions as intended.
    (d) At an interval not to exceed 368 days, the periodic mechanical 
inspection shall specifically include inspection of the following:
    (1) Manual door releases, to determine that all manual door releases 
operate as intended;
    (2) The hand or parking brake as well as its parts and connections, 
to determine that they are in proper condition and operate as intended. 
The date of the last inspection shall be either entered on Form FRA F 
6180-49A, suitably stenciled or tagged on the equipment, or maintained 
electronically provided FRA has access to the record upon request; and
    (3) Emergency roof access markings and instructions required under 
Sec. 238.123(e), to determine that they are in place and, as 
applicable, conspicuous or legible, or both.
    (e) Records. (1) A record shall be maintained of each periodic 
mechanical inspection required to be performed by this section. This 
record shall be maintained in writing or electronically, provided FRA 
has access to the record upon request. The record shall be maintained 
either in the railroad's files, the cab of the locomotive, or a 
designated location in the passenger car. Except as provided in 
paragraph (c)(4) of this section, the record shall be retained until the 
next periodic mechanical inspection of the same type is performed and 
shall contain the following information:
    (i) The date of the inspection;
    (ii) The location where the inspection was performed;
    (iii) The signature or electronic identification of the inspector; 
and
    (iv) The signature or electronic identification of the inspector's 
supervisor.
    (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,

[[Page 993]]

tests, component replacement and renewals, and failures shall be 
retained for not less than three (3) inspection intervals.
    (f) Nonconformity with any of the conditions set forth in this 
section renders the car or vehicle defective whenever discovered in 
service.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41308, July 3, 2000; 71 
FR 61862, Oct. 19, 2006; 73 FR 6412, Feb. 1, 2008; 78 FR 71815, Nov. 29, 
2013]



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) DMU and MU locomotives. The brake equipment and brake cylinders 
of each DMU or MU locomotive shall be cleaned, repaired, and tested, and 
the filtering devices or dirt collectors located in the main reservoir 
supply line to the air brake system cleaned, repaired, or replaced at 
intervals in accordance with the following schedule:
    (1) Every 736 days if the DMU or MU locomotive is part of a fleet 
that is not 100 percent equipped with air dryers;
    (2) Every 1,104 days if the DMU or 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.);
    (3) Every 1,840 days if the DMU or MU locomotive is part of a fleet 
that is 100 percent equipped with air dryers and is equipped with KB-
HL1, KB-HS1, or KBCT1; and,
    (4) Every 736 days for all other DMU or MU locomotives.
    (c) Conventional locomotives. The brake equipment of each 
conventional locomotive shall be cleaned, repaired, and tested in 
accordance with the schedule provided in Sec. 229.29 of this chapter.
    (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 2,208 days for a coach or vehicle equipped with an AB-type 
brake system.
    (2) Every 1,476 days for a coach or vehicle equipped with a 26-C or 
equivalent brake system; and
    (3) Every 1,104 days for a coach or vehicle equipped with other than 
an AB, ABD, ABDX, 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 1,840 days for locomotives equipped with CCB-1, CCB-2, 
CCB-26, EPIC 1 (formerly EPIC 3102), EPIC 3102D2, EPIC 2, KB-HS1, or 
Fastbrake brake systems.
    (2) 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;
    (3) 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
    (4) 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 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

[[Page 994]]

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.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41309, July 3, 2000; 77 
FR 21357, Apr. 9, 2012]



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, 1200 New Jersey Avenue, SE., Washington, DC or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html.
    (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) Except for private cars, a 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.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41309, July 3, 2000; 74 
FR 25174, May 27, 2009]

[[Page 995]]



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 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 passenger car and each unpowered vehicle added to a 
passenger train shall receive a Class I or Class IA brake test at the 
time it is added to the train unless notice 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. The notice required by this section shall contain the 
date, time, and location of the last Class I brake test.
    (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 be performed at the air pressure at 
which the train's air brakes will be operated, but not less than 90 psi, 
and shall be made to 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 a piston travel indicator, or in the case of 
tread or disc brakes by determining that the brake shoe or pad provides 
pressure to the wheel. For vehicles equipped with 8\1/2\-inch or 10-inch 
diameter brake cylinders, piston travel shall be within 7 to 9 inches. 
If piston travel is found to be less than 7 inches or more than 9 
inches, it must be adjusted to nominally 7\1/2\ inches. Proper release 
of the brakes can be determined by observation of the clearance between 
the brake shoe and the wheel or between the brake pad and the brake 
disc.
    (4) The communicating signal system is tested and known to be 
operating as intended; a tested and operating two-way radio system meets 
this requirement;
    (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 operates as intended and 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

[[Page 996]]

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, which may be accomplished by observation of an 
application and release of the brakes on the last car in the train.
    (h) Records. A record shall be maintained of each Class I brake test 
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 date and time that the Class I brake test was performed;
    (ii) The location where the test was performed;
    (iii) The identification number of the controlling locomotive of the 
train;
    (iv) The total number of cars inspected during the test; and
    (v) The signature or electronic identification of the inspector.
    (3) 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.
    (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.
    (j) In addition to complying with all the Class I brake test 
requirements performed by a qualified maintenance person as contained in 
paragraphs (a) through (i) of this section, railroads operating 
passenger equipment that is not designed to permit the visual 
observation of the brake actuation and release without the inspector 
going on, under, or between the equipment in accordance with Sec. 
238.231(b) shall perform an additional inspection. At a minimum, the 
additional inspection requirement for such equipment shall include all 
of the following:
    (1) An additional inspection by a qualified maintenance person of 
all items and components contained in paragraphs (g)(1) through (g)(15) 
of this section;
    (2) The additional inspection shall be conducted at an interval not 
to exceed five (5) in-service days and shall be conducted while the 
equipment is over an inspection pit or on a raised inspection track; and
    (3) A record of the additional inspection shall be maintained 
pursuant to the requirements contained in paragraph (h) of this section. 
This record can be combined with the Class I brake test record.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41309, July 3, 2000; 71 
FR 61862, Oct. 19, 2006]



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.

[[Page 997]]

    (c) A Class IA brake test may be performed at a shop or yard site 
and is not required to be repeated at the first passenger terminal if 
the train remains on a source of compressed air and:
    (1) The train remains in the custody of the train crew; or
    (2) The train crew receives notice that the Class IA brake test has 
been performed.
    (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) A Class IA brake test shall be performed at the air pressure at 
which the train's air brakes will be operated and shall determine and 
ensure 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) For MU locomotives that utilize an electric signal to 
communicate a service brake application and only a pneumatic signal to 
propagate an emergency brake application, the emergency brake 
application functions as intended.
    (4) Each angle cock and cutout cock is properly set;
    (5) The communication of brake pipe pressure changes at the rear of 
the train is verified, which may be accomplished by observation of an 
application and release of the brakes on the last car in the train; and
    (6) The communicating signal system is tested and known to be 
operating as intended; a tested and operating two-way radio system meets 
this requirement.
    (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.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 
FR 19991, Apr. 23, 2002]



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 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:

[[Page 998]]

    (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 or similar device 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) For MU locomotives that utilize an electric signal to 
communicate a service brake application and only a pneumatic signal to 
propagate an emergency brake application, the emergency brake 
application functions as intended.
    (3) The communicating signal system is tested and known to be 
operating as intended; a tested and operating two-way radio system meets 
this requirement.

[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 
FR 19991, Apr. 23, 2002]



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.



Sec. 238.321  Out-of-service credit.

    When a passenger car is out of service for 30 or more consecutive 
days or is out of service when it is due for any test or inspection 
required by Sec. 238.307 or Sec. 238.309 an out of use notation 
showing the number of out of service days shall be made in the records 
required under Sec. Sec. 238.307(e) and 238.309(f). If the passenger 
car is out of service for one or more periods of at least 30 consecutive 
days, the interval prescribed for any test or inspection required by 
Sec. Sec. 238.307 and 238.309 may be extended by the number of days in 
each period the passenger car is out of service since the last test or 
inspection in question. A movement made in accordance with Sec. 229.9 
of this chapter or Sec. 238.17 is not considered service for the 
purposes of determining the out-of-service credit.

[71 FR 61862, Oct. 19, 2006]



     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 the unoccupied volumes shall be designed to be 
structurally weaker than the occupied volume. During a collision, the 
designated sections within

[[Page 999]]

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 1000]]



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 500,000 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.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]

[[Page 1001]]



Sec. 238.413  End structures of trailer cars.

    (a) Except as provided in paragraph (b) of this section, the end 
structure of 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.

[[Page 1002]]

For purposes of this paragraph, local yielding is allowed provided the 
resulting deformations in no way intrude upon the occupied volume of the 
car.
    (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 the 
following individually applied loads: 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, along with the resulting vertical 
reaction to this load.
    (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.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]



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 in a passenger car and a power car cab shall 
also, in the orientation in which it is installed in the car:
    (1) Resist the impact of a 12-pound solid steel sphere traveling (i) 
at the maximum speed at which the car will operate (ii) at an impact 
angle no less severe than horizontal to the car, with no penetration or 
spall. An impact angle that is perpendicular (90 degrees) to the 
window's surface shall be considered the most severe impact angle for 
purposes of this requirement; and
    (2) Demonstrate anti-spalling performance by the use of a 0.001-inch 
thick 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; and
    (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 lieu of the requirements 
specified in paragraphs (a) and (b) of this section:
    (1) Each end-facing exterior window shall, in the orientation in 
which it is installed in the vehicle, resist the impact of a 12-pound 
solid steel sphere traveling (i) at the maximum speed at which the 
vehicle will operate (ii) at an impact angle no less severe than 
horizontal to the vehicle, with no penetration or spall. An impact angle 
that is perpendicular to the window's surface shall be considered the 
most severe impact angle for purposes of this requirement.
    (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 0.002-
inch thick aluminum witness plate, placed 12 inches from the window's 
surface during all impact tests. The witness plate shall contain no 
marks from

[[Page 1003]]

spalled glazing particles after any impact test; and
    (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;
    (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.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]



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.

[[Page 1004]]

    (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.
    (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) All passenger equipment shall meet the safety performance 
standards for suspension systems contained in part 213 of this chapter, 
or alternative standards providing at least equivalent safety if 
approved by FRA under the provisions of Sec. 238.21. In particular--
    (i) Pre-revenue service qualification. All passenger equipment shall 
demonstrate safe operation during pre-revenue service qualification in 
accordance with Sec. 213.345 of this chapter and is subject to the 
requirements of Sec. 213.329 of this chapter.
    (ii) Revenue service operation. All passenger equipment in service 
is subject to the requirements of Sec. Sec. 213.329 and 213.333 of this 
chapter.
    (b) Carbody acceleration. A passenger car shall not operate under 
conditions that result in a steady-state lateral acceleration greater 
than 0.15g, as measured parallel to the car floor inside the passenger 
compartment. Additional carbody acceleration limits are specified in 
Sec. 213.333 of this chapter.
    (c) Truck (hunting) acceleration. Each truck shall be equipped with 
a permanently installed lateral accelerometer mounted on the truck 
frame. If truck hunting is detected, the train monitoring system shall 
provide an alarm to the locomotive engineer, and the train shall be 
slowed to a speed at least 5 mph less than the speed at which the truck 
hunting stopped. Truck hunting is defined in Sec. 213.333 of this 
chapter.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002; 78 
FR 16126, Mar. 13, 2013]



Sec. 238.428  Overheat sensors.

    Overheat sensors for each wheelset journal bearing shall be 
provided. The sensors may be placed either onboard the equipment or at 
reasonable intervals along the railroad's right-of-way.

[78 FR 16126, Mar. 13, 2013]



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 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

[[Page 1005]]

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 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

[[Page 1006]]

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 an end 
handhold that is located and installed so that an individual can safely 
couple and uncouple the trainsets. The end handhold shall be not more 
than 16 inches from each side of the car and shall extend the remaining 
length of the end of the car. (If the equipment is designed with a 
tapered nose, the side of the car shall be determined based on the outer 
dimension of the tapered nose where the end handhold is attached.) The 
end handhold shall also meet the mechanical strength and design 
requirements contained in paragraphs (c), (d)(3), and (d)(6) of this 
section. If the trainsets are semi-permanently coupled, this safety 
appliance is 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.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]



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

[[Page 1007]]

the braking force on each wheel to prevent sliding during braking. In 
the 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 are 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.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]

[[Page 1008]]



Sec. 238.437  [Reserved]



Sec. 238.439  Doors.

    In addition to the requirements of Sec. 238.112--
    (a) 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.
    (b) Each powered, exterior side door in a passenger car shall be 
connected to an emergency back-up power system.
    (c) For a passenger car ordered prior to January 28, 2014, and 
placed in service prior to January 29, 2018, 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.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19993, Apr. 23, 2002; 78 
FR 71815, Nov. 29, 2013]



Sec. 238.441  Emergency roof access.

    (a) Existing passenger cars and power cars. Each passenger car and 
power car ordered prior to April 1, 2009 and placed in service for the 
first time prior to April 1, 2011, shall have a minimum of one roof 
hatch emergency access location with a minimum opening of 26 inches by 
24 inches, or at least one structural weak point in the roof providing a 
minimum opening of the same dimensions, to provide access for properly 
equipped emergency response personnel. Each emergency roof access 
location shall be conspicuously marked, and legible and understandable 
operating instructions shall be posted at or near each such location. On 
or after January 28, 2015, such markings shall also conform with the 
requirements specified in Sec. 238.125.
    (b) New passenger cars. Each passenger car ordered on or after April 
1, 2009 or placed in service for the first time on or after April 1, 
2011, shall comply with the emergency roof access requirements specified 
in Sec. 238.123.
    (c) New power cars. Each power car ordered on or after April 1, 
2009, or placed in service for the first time on or after April 1, 2011, 
shall have a minimum of one emergency roof access location, with a 
minimum opening of 26 inches longitudinally by 24 inches laterally, and 
comply with the emergency roof access requirements specified in 
Sec. Sec. 238.123(b), (d), and (e).

[73 FR 6412, Feb. 1, 2008, as amended at 78 FR 71815, Nov. 29, 2013]



Sec. 238.443  Headlights.

    (a) 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 arranged to illuminate a person standing between the rails 800 
feet ahead of the power car under clear weather conditions. The other 
headlight shall be arranged to illuminate a person standing between the 
rails 1,500 feet ahead of the power car under clear weather conditions.
    (b) A power car with a headlight not in compliance with the 
requirements of paragraph (a) of this section shall be moved in 
accordance with the following:
    (1) If one of the headlights is defective, the defect shall be 
considered a non-running gear defect subject to the provisions contained 
in Sec. 238.17 of this part.
    (2) If both headlights are defective, the power car shall be 
inspected and tagged in accordance with the requirements contained in 
Sec. 238.17(c) relating to non-running gear defects. The power car may 
continue to be used in passenger service only to the nearest forward 
location where the repairs necessary to bring the power car into 
compliance can be made or to the power car's next calendar day 
mechanical inspection, whichever occurs first.

[67 FR 19993, Apr. 23, 2002]



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;

[[Page 1009]]

    (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.
    (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.

[[Page 1010]]



   Sec. Figure 1 to Subpart E of Part 238--Power Car Cab Forward End 
                   Structure Conceptual Implementation
[GRAPHIC] [TIFF OMITTED] TR12MY99.000


[[Page 1011]]





Sec. Figure 2 to Subpart E of Part 238--Power Car Cab Rear End Structure 
                Conceptual Implementation 1--to Subpart E
[GRAPHIC] [TIFF OMITTED] TR23AP02.006


[[Page 1012]]





   Sec. Figure 3 to Subpart E of Part 238--Trailer Car End Structure 
                Conceptual Implementation 1--to Subpart E
[GRAPHIC] [TIFF OMITTED] TR12MY99.002


[[Page 1013]]





 Sec. Figure 4 to Subpart E of Part 238--Trailer Car In-Board Vestibule 
         End Structure Conceptual Implementation 1--to Subpart E
[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

[[Page 1014]]

    (6) The training, qualification, and designation of employees and 
contractors to perform inspections, tests, and maintenance.
    (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. The 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 exceptions:
    (1) The movement of a Tier II power car with a non-complying 
headlight shall be conducted in accordance with Sec. 238.443(b) of this 
part; and
    (2) When a failure of a 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

[[Page 1015]]

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.
    (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.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19994, Apr. 23, 2002]



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, 1200 New Jersey Avenue, SE., 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

[[Page 1016]]

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) Each comment shall be submitted to the Associate Administrator 
for Safety, Federal Railroad Administration, 1200 New Jersey Avenue, 
SE., Mail Stop 25, Washington, DC 20590.
    (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.

[64 FR 25660, May 12, 1999, as amended at 74 FR 25174, May 27, 2009]



 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 a formal safety methodology such as MIL-STD-
882; 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

[[Page 1017]]

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 a formal safety methodology such as MIL-STD-
882;
    (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 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.

[64 FR 25660, May 12, 1999, as amended at 67 FR 19994, Apr. 23, 2002]



      Sec. Appendix A to Part 238--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                                                               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 electronic hardware and software
 safety:
    (a), (b), (c) Failure to develop and              7,500       11,000
     maintain hardware and software safety....
    (d) Failure to include required design            5,000        7,500
     features.................................
    (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..................................

[[Page 1018]]

 
    (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
238.112 Door emergency egress and rescue              2,500        5,000
 access systems...............................
238.113 Emergency window exits................        2,500        5,000
238.114 Rescue access windows.................        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
238.121 Emergency communication...............        2,500        5,000
238.123 Emergency roof access.................        2,500        5,000
238.125 Marking and instructions for emergency        2,500        5,000
 egress and rescue access.....................
238.127 Low-location emergency exit path              2,500        5,000
 marking......................................
238.131 Exterior side door safety systems--new       10,000       15,000
 passenger cars and locomotives used in
 passenger service............................
238.133 Exterior side door safety systems--all
 passenger cars and locomotives used in a
 passenger service:
    (a)(1) Failure to verify position of by-          2,500        5,000
     pass device or by-pass device not sealed.
    (a)(2) Failure to provide functional test         5,000        7,500
     plan.....................................
    (a)(3) Failure to perform visual                  2,500        5,000
     inspection or functional test............
(b) Unsealed door by-pass device:
    (b)(1) Door by-pass device not inactive,          2,500        5,000
     sealed, or seal ineffective..............
    (b)(2) Failure to notify designated               5,000        7,500
     authority................................
    (b)(3) Movement beyond repair point.......        7,500       11,000
    (b)(4) Door by-pass device not sealed by          2,500        5,000
     QMP at calendar day inspection...........
    (c)(1) Failure to follow en route by-pass         7,500       11,000
     activation procedures; improper movement
     of defective equipment...................
    (c)(2) Failure to use QMP.................        5,000        7,500
    (d) Failure to maintain record............        2,000        4,000
    (e) Door control panel not inactive when          5,000        7,500
     the key or other similar device is
     removed..................................
(f) End-of-train circuit:
    (f)(1) End-of-train circuit integrity not         5,000        7,500
     maintained...............................
    (f)(2) Switches not secured to prevent            2,500        5,000
     unauthorized access......................
    (g) Door by-pass device not inactive,             2,500        5,000
     sealed or seal ineffective...............
238.135 Operating practices for exterior side
 door safety systems:
    (a) Failure to conduct proper safety              7,500       11,000
     briefing.................................
    (b)(1) Exterior side doors and trap doors        10,000       15,000
     not closed when a train is in motion
     between stations.........................
    (b)(2) Failure to follow conditions for          10,000       15,000
     operating a train while in motion between
     stations with an exterior side door or
     trap door open...........................
    (d) Failure to adopt and comply with              9,500       13,000
     operating rules on how to safely override
     a door summary circuit or no-motion
     system...................................
    (e) Failure to provide training...........        9,500       13,000
    (f) Failure to adopt and comply with              9,500       13,000
     operating rules requiring crewmembers to
     determine the status of the train's
     exterior side doors......................
    (g) Failure to periodically conduct               9,500       13,000
     operational (efficiency) tests and
     observations.............................
238.137 Mixed consist; operating equipment
 with incompatible exterior side door systems:
    (a) Incompatible exterior side door               5,000        7,500
     systems not operated within the
     constraints of each door safety system...
    (b) Failure to adopt and comply with              9,500       13,000
     operating rules to provide for the safe
     use of equipment with incompatible
     exterior side door systems when utilized
     in a mixed consist.......................
 
  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
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
238.229 Safety appliances--general:...........
    (e) Failure to properly identify equipment        2,500        5,000
     (per car)................................
    (g) Failure to adopt or comply with               2,500        5,000
     inspection plan..........................
    (h) Failure to use qualified person (per          2,500        5,000
     car).....................................
    (i) Failure to properly conduct initial or        2,500        5,000
     periodic inspection (per car)............
    (j) Failure to take proper remedial action        2,500        5,000
     (per car)................................
    (k) Failure to maintain records (per car).        2,000        4,000

[[Page 1019]]

 
238.230 Safety appliances--new equipment:.....
    (b)(2) Failure to identify welded                 2,500        5,000
     appliance (per car)......................
    (b)(3) Failure to receive approval for use        2,500        5,000
     (per car)................................
    (c)(2) Failure to make proper repair (per         2,500        5,000
     car).....................................
238.231 Brake System (a)-(g), (i)-(n).........        2,500        5,000
    (h)(1), (2) Hand or parking brake missing         5,000        7,500
     or inoperative...........................
    (h)(3) Hand or parking brake inspection or        2,500        5,000
     record (per car).........................
    (h)(4) Hand or parking brake not applied          5,000        7,500
     to hold unattended equipment or
     prematurely released.....................
238.233 Interior fittings and surfaces........        2,500        7,500
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           2,500        5,000
           more but less than 3 in
           length.............................
          (B) One spot 3 or more in        5,000        7,500
           length.............................
          (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         2,500        5,000
           less than 1\5/8\ in
           length; and more than \1/2\ but less than \5/8\
           in width...........................
          (B) 1\5/8\ or more in            5,000        7,500
           length and \5/8\ 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        2,500        5,000
           less than 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..
    (e)(16) 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............................
    (e)(17) Air compressor inoperative........        2,500        5,000
    (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

[[Page 1020]]

 
    (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) Floors not free of condition that          2,500        5,000
     creates hazard...........................
    (c)(3) Access to manual door release not          2,000        4,000
     in place.................................
    (c)(4) Emergency equipment not in place...        1,000        2,000
    (c)(5) Emergency brake valve not stenciled        2,500        5,000
     or marked................................
    (c)(6) Door or cover plates not properly          2,500        5,000
     marked...................................
    (c)(7) Safety signage not in place or             1,000        2,000
     legible..................................
    (c)(8) Trap door unsafe or improperly             2,500        5,000
     secured..................................
    (c)(9) Vestibule steps not illuminated....        2,000        4,000
    (c)(10) Door not safely operate as                2,500        5,000
     intended.................................
    (c)(11) Seat broken, loose, or not                2,500        5,000
     properly attached........................
    (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..........................
    (f) Record of inspection:
        (1), (4) Failure to maintain record of        2,000        4,000
         inspection...........................
        (2) Record contains insufficient              1,000        2,000
         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) Seat or seat attachment broken or          2,500        5,000
     loose....................................
    (c)(2) Luggage rack broken or loose.......        2,500        5,000
    (c)(3) Bed, bunks, or restraints broken or        2,500        5,000
     loose....................................
    (c)(4) Emergency window exit not properly         2,500        5,000
     operate..................................
    (c)(5) Emergency lighting not operational.        2,500        5,000
    (c)(6) Switches not in proper condition...        2,500        5,000
    (c)(7) Coupler not in proper condition....        2,500        5,000
    (c)(8) Truck not equipped with securing           2,500        5,000
     arrangement..............................
    (c)(9) Truck center casting cracked or            5,000        7,500
     broken...................................
    (c)(10) General conditions endangering            2,500        5,000
     crew, passengers.........................
    (c)(13) Hand or parking brake test not            2,500        5,000
     performed................................
    (d)(1) Manual door release not operate as         2,500        5,000
     intended.................................
    (d)(2) Hand or parking brake inspection           2,500        5,000
     not performed............................
    (e)(1) Failure to maintain record of              2,000        4,000
     inspection...............................
        (i)-(iv) Record contains insufficient         1,000        2,000
         information..........................
    (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.....................
        (3) Failure to adjust piston travel           2,500        5,000
         (per car)............................
    (h) Failure to maintain record............        2,000        4,000
    (j) Failure to perform additional Class I         5,000        7,500
     brake test...............................
    (j)(3) 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.................

[[Page 1021]]

 
238.319 Running brake tests:
    (a), (b) Failure to perform test..........        2,000        4,000
238.321 Out-of-service credit.................        1,000        2,000
 
 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
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.....................        2,500        5,000
238.428 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 [Reserved]............................  ...........  ...........
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 access.................        2,500        5,000
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.......

[[Page 1022]]

 
    (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.......
    (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 $27,455
  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 $109,819 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.
\2\ The penalty schedule uses section numbers from 49 CFR part 238. If
  more than one item is listed as a type of violation of a given
  section, each item is also designated by a ``penalty code,'' which is
  used to facilitate assessment of civil penalties, and which may or may
  not correspond to any subsection designation(s). For convenience,
  penalty citations will cite the CFR section and the penalty code, if
  any. FRA reserves the right, should litigation become necessary, to
  substitute in its complaint the CFR citation in place of the combined
  CFR and penalty code citation, should they differ.


[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 
FR 19994, Apr. 23, 2002; 72 FR 51198, Sept. 6, 2007; 73 FR 6413, Feb. 1, 
2008; 73 FR 79704, Dec. 30, 2008; 77 FR 24422, Apr. 24, 2012; 78 FR 
16126, Mar. 13, 2013; 78 FR 71815, Nov. 29, 2013; 80 FR 76148, Dec. 7, 
2015; 81 FR 43112, July 1, 2016]



 Sec. 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 contains 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, 1200 New Jersey 
Avenue, SE., Washington, DC 20950 or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html. 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 1166-00, 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 3675-98, Standard Test Method for Surface Flammability 
of Flexible Cellular Materials Using a Radiant Heat Energy Source.
    (v) ASTM E 119-00a, Standard Test Methods for Fire Tests of Building 
Construction and Materials.

[[Page 1023]]

    (vi) ASTM E 162-98, Standard Test Method for Surface Flammability of 
Materials Using a Radiant Heat Energy Source.
    (vii) ASTM E 648-00, Standard Test Method for Critical Radiant Flux 
of Floor-Covering Systems Using a Radiant Heat Energy Source.
    (viii) ASTM E 662-01, Standard Test Method for Specific Optical 
Density of Smoke Generated by Solid Materials.
    (ix) ASTM E 1354-99, Standard Test Method for Heat and Visible Smoke 
Release Rates for Materials and Products Using an Oxygen Consumption 
Calorimeter.
    (x) ASTM E 1537-99, Standard Test Method for Fire Testing of 
Upholstered Furniture.
    (xi) ASTM E 1590-01, Standard Test Method for Fire Testing of 
Mattresses.
    (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) State of California, Department of Consumer Affairs, Bureau of 
Home Furnishings and Thermal Insulation, 3485 Orange Grove Avenue, North 
Highlands, CA 95660-5595.
    (i) California Technical Bulletin (Cal TB) 129, Flammability Test 
Procedure for Mattresses for Use in Public Buildings (October, 1992).
    (ii) Cal TB 133, Flammability Test Procedure for Seating Furniture 
for Use in Public Occupancies (January, 1991).
    (b) Definitions. As used in this appendix--
    Average heat release rate (q//180) means, as 
defined in ASTM E 1354-99, the average heat release rate per unit area 
in the time period beginning at the time of ignition and ending 180 
seconds later.
    Critical radiant flux (C.R.F.) means, as defined in ASTM E 648-00, 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-
98, 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.
    Heat release rate means, as defined in ASTM E 1354-99, the heat 
evolved from a specimen per unit of time.
    Specific extinction area ([sigma]f) means, as defined in 
ASTM E 1354-99, specific extinction area for smoke.
    Specific optical density (Ds) means, as defined in ASTM E 
662-01, 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/cm\2\ for a specified 
period of time.
    Surface flammability means the rate at which flames will travel 
along surfaces.
    (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 1024]]

[GRAPHIC] [TIFF OMITTED] TR25JN02.000

    \1\ Materials tested for surface flammability shall not exhibit any 
flaming running or dripping.
    \2\ The ASTM E 662-01 maximum test limits for smoke emission 
(specific optical density) shall be measured in either the flaming or

[[Page 1025]]

non-flaming mode, utilizing the mode which generates the most smoke.
    \3\ Testing of a complete seat assembly (including cushions, fabric 
layers, upholstery) according to ASTM E 1537-99 using the pass/fail 
criteria of Cal TB 133, and testing of a complete mattress assembly 
(including foam and ticking) according to ASTM E 1590-01 using the pass/
fail criteria of Cal TB 129 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 assembly will be used in 
relation to the risk of vandalism, puncture, cutting, or other acts 
which may expose the individual components of the assemblies to an 
ignition source. Notes 5, 6, 7, and 8 apply.
    \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 I 2 (Dynamic Fatigue Test by the Roller 
Shear at Constant Force) or Test I 3 (Dynamic Fatigue Test by 
Constant Force Pounding) both using Procedure B, except that the test 
samples shall be a minimum of 6 inches (154 mm) by 18 inches (457 mm) by 
the thickness of the material in its end use configuration, or multiples 
thereof. If Test I 3 is used, the size of the indentor 
described in paragraph 96.2 shall be modified to accommodate the 
specified test specimen.
    \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\ Signage is not required to meet any flammability or smoke 
emission performance criteria specified in this Appendix.
    \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 are exempt from flammability and smoke emission 
performance requirements, provided that the surface area of any 
individual small part is less than 16 square inches (100 cm\2\) 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 to flame 
spread.
    \11\ If the surface area of any individual small part is less than 
16 square inches (100 cm\2\) in end use configuration, materials used to 
fabricate such a part may be tested in accordance with ASTM E 1354-99 as 
an alternative to both (a) the ASTM E 162-98 flammability test 
procedure, or the appropriate flammability test procedure otherwise 
specified in the table, and (b) the ASTM E 662-01 smoke generation test 
procedure. Testing shall be at 50 kW/m\2\ applied heat flux with a 
retainer frame. Materials tested in accordance with ASTM E 1354-99 shall 
meet the following performance criteria: average heat release rate (q\//
\ 180) less than or equal to 100 kW/m\2\, and average 
specific extinction area ([sigma]f) less than or equal to 500 
m\2\/kg over the same 180-second period.
    \12\ Carpeting used as a wall or ceiling covering shall be tested 
according to ASTM E 162-98 and ASTM E 662-01 and meet the respective 
criteria of I s less than or equal to 35 and D s 
(1.5) less than or equal to 100 and D s (4.0) less than or 
equal to 200. Notes 1 and 2 apply.
    \13\ Floor covering shall be tested with padding in accordance with 
ASTM E 648-00, if the padding is used in the actual installation.
    \14\ For double window glazing, only the interior glazing is 
required to meet the requirements specified herein. (The exterior 
glazing is not required to meet these requirements.)
    \15\ Penetrations (ducts, etc.) shall be designed against acting as 
passageways for fire and smoke and representative penetrations shall be 
included as part of test assemblies.
    \16\ A structural flooring assembly separating the interior of a 
vehicle from its undercarriage 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 it 
serves to truly test 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.
    \17\ Portions of the vehicle body 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

[[Page 1026]]

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. These portions include equipment carrying 
portions of a vehicle's roof and the interior structure separating the 
levels of a bi-level car, but do not include a flooring assembly subject 
to Note 16. A railroad is not required to use the ASTM E 119-00a test 
method.

[67 FR 42910, June 25, 2002, as amended at 74 FR 25175, May 27, 2009]



                 Sec. Appendix C to Part 238 [Reserved]



  Sec. 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 
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.



  Sec. 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

[[Page 1027]]

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 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:

[[Page 1028]]

    (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.



      Sec. Appendix F to Part 238--Alternative Dynamic Performance 
  Requirements for Front End Structures of Cab Cars and MU Locomotives

    As specified in Sec. 238.209(b), the forward end of a cab car or an 
MU locomotive may comply with the requirements of this appendix in lieu 
of the requirements of either Sec. 238.211 (Collision posts) or Sec. 
238.213 (Corner posts), or both. The requirements of this appendix are 
intended to be equivalent to the requirements of those sections and 
allow for the application of dynamic performance criteria to cab cars 
and MU locomotives as an alternative to the requirements of those 
sections. The alternative dynamic performance requirements are 
applicable to all cab cars and MU locomotives, and may in particular be 
helpful for evaluating the compliance of cab cars and MU locomotives 
with shaped-noses or crash energy management designs, or both. In any 
case, the end structure must be designed to protect the occupied volume 
for its full height, from the underframe to the anti-telescoping plate 
(if used) or roof rails.
    The requirements of this appendix are provided only as alternatives 
to the requirements of Sec. Sec. 238.211 and 238.213, not in addition 
to the requirements of those sections. Cab cars and MU locomotives are 
not required to comply with both the requirements of those sections and 
the requirements of this appendix, together.

              Alternative Requirements for Collision Posts

    (a)(1) In lieu of meeting the requirements of Sec. 238.211, the 
front end frame acting together with its supporting car body structure 
shall be capable of absorbing a minimum of 135,000 foot-pounds of energy 
(0.18 megajoule) prior to or during structural deformation by 
withstanding a frontal impact with a rigid object in accordance with all 
of the requirements set forth in paragraphs (a)(2) through (a)(4) of 
this appendix:
    (2)(i) The striking surface of the object shall be centered at a 
height of 30 inches above the top of the underframe;
    (ii) The striking surface of the object shall have a width of no 
more than 36 inches and a diameter of no more than 48 inches;
    (iii) The center of the striking surface shall be offset by 19 
inches laterally from the center of the cab car or MU locomotive, and on 
the weaker side of the end frame if the end frame's strength is not 
symmetrical; and
    (iv) Only the striking surface of the object interacts with the end 
frame structure.
    (3) As a result of the impact, there shall be no more than 10 inches 
of longitudinal, permanent deformation into the occupied volume. There 
shall also be no complete separation of the post, its connection to the 
underframe, its connection to either the roof structure or the anti-
telescoping plate (if used), or of its supporting car body structure. (A 
graphical description of the frontal impact is provided in Figure 1 to 
this appendix.)
    (4) The nominal weights of the object and the cab car or MU 
locomotive, as ballasted, and the speed of the object may be adjusted to 
impart the minimum of 135,000 foot-pounds of energy (0.18 megajoule) to 
be absorbed (Ea), in accordance with the following formula:

Ea = E0-Ef

Where:

E0 = Energy of initially moving object at impact = \1/2\ 
          m1*V0\2\.
Ef = Energy after impact = \1/2\ (m1 + 
          m2)*Vf\2\.
V0 = Speed of initially moving object at impact.
Vf = Speed of both objects after collision = 
          m1*V0/(m1 + m2).
m1 = Mass of initially moving object.
m2 = Mass of initially standing object.

    (Figure 1 shows as an example a cab car or an MU locomotive having a 
weight of 100,000 pounds and the impact object having a weight of 14,000 
pounds, so that a minimum

[[Page 1029]]

speed of 18.2 mph would satisfy the collision-energy requirement.)

                Alternative Requirements for Corner Posts

    (b)(1) In lieu of meeting the requirements of Sec. 238.213, the 
front end frame acting together with its supporting car body structure 
shall be capable of absorbing a minimum of 120,000 foot-pounds of energy 
(0.16 megajoule) prior to or during structural deformation by 
withstanding a frontal impact with a rigid object in accordance with all 
of the requirements set forth in paragraphs (b)(2) through (b)(4) of 
this appendix:
    (2)(i) The striking surface of the object shall be centered at a 
height of 30 inches above the top of the underframe;
    (ii) The striking surface of the object shall have a width of no 
more than 36 inches and a diameter of no more than 48 inches;
    (iii) The center of the striking surface shall be aligned with the 
outboard edge of the cab car or MU locomotive, and on the weaker side of 
the end frame if the end frame's strength is not symmetrical; and
    (iv) Only the striking surface of the object interacts with the end 
frame structure.
    (3)(i) Except as provided in paragraph (b)(3)(ii) of this appendix, 
as a result of the impact, there shall be no more than 10 inches of 
longitudinal, permanent deformation into the occupied volume. There 
shall also be no complete separation of the post, its connection to the 
underframe, its connection to either the roof structure or the anti-
telescoping plate (if used), or of its supporting car body structure. (A 
graphical description of the frontal impact is provided in Figure 2 to 
this appendix.); and
    (ii) After FRA review and approval of a plan, including acceptance 
criteria, to evaluate compliance with this paragraph (b), cab cars and 
MU locomotives utilizing low-level passenger boarding on the non-
operating side of the cab may have two, full-height corner posts on that 
side, one post located ahead of the stepwell and one located behind it, 
so that the corner post located ahead of the stepwell is permitted to 
fail provided that--
    (A) The corner post located behind the stepwell shall have no more 
than 10 inches of longitudinal, permanent deformation; and
    (B) There shall be no complete separation of that post, its 
connection to the underframe, its connection to either the roof 
structure or the anti-telescoping plate (if used), or of its supporting 
car body structure.
    (4) The nominal weights of the object and the cab car or MU 
locomotive, as ballasted, and the speed of the object may be adjusted to 
impart the minimum of 120,000 foot-pounds of energy (0.16 megajoule) to 
be absorbed (Ea), in accordance with the following formula:

Ea = E0-Ef

Where:

E0 = Energy of initially moving object at impact = \1/2\ 
          m1*V0\2\.
Ef = Energy after impact = \1/2\ (m1 + 
          m2)*Vf\2\.
V0 = Speed of initially moving object at impact.
Vf = Speed of both objects after collision = 
          m1*V0/(m1 + m2).
m1 = Mass of initially moving object.
m2 = Mass of initially standing object.

    (Figure 2 shows as an example a cab car or an MU locomotive having a 
weight of 100,000 pounds and the impact object having a weight of 14,000 
pounds, so that a minimum speed of 17.1 mph would satisfy the collision-
energy requirement.)

[[Page 1030]]

[GRAPHIC] [TIFF OMITTED] TR08JA10.005


[[Page 1031]]


[GRAPHIC] [TIFF OMITTED] TR08JA10.006


[75 FR 1230, Jan. 8, 2010]

[[Page 1032]]



PART 239_PASSENGER TRAIN EMERGENCY PREPAREDNESS--Table of Contents



                            Subpart A_General

Sec.
239.1 Purpose and scope.
239.3 Application.
239.5 [Reserved]
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 [Reserved]

  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 Tests and Inspections; Records, Recordkeeping, and 
                         Availability of Records

239.301 Operational tests and inspections.
239.303 Electronic recordkeeping.

Appendix A to Part 239--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20102-20103, 20105-20114, 20133, 21301, 21304, 
and 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    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.



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  [Reserved]



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:

[[Page 1033]]

    (1) On-board functions connected with the movement of the train 
(i.e., an employee of the railroad, or of a contractor to the railroad, 
who is assigned to perform service subject to the Federal hours of 
service requirements 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, on-line emergency responder, or outside 
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 response communications center means a central location, 
or a group of individuals, designated by a railroad with responsibility 
for establishing, coordinating, or maintaining communication with 
outside emergency responders, representatives of adjacent rail modes of 
transportation, or appropriate railroad officials during a passenger 
train emergency. The emergency response communications center may be 
part of the control center.
    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--

[[Page 1034]]

    (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.
    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.

[63 FR 24676, May 4, 1998, as amended at 79 FR 18147, Mar. 31, 2014]



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 $839 and not more than $27,455 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 $109,819 
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.

[63 FR 24676, May 4, 1998, as amended at 69 FR 30595, May 28, 2004; 72 
FR 51198, Sept. 6, 2007; 73 FR 79704, Dec. 30, 2008; 77 FR 24422, Apr. 
24, 2012; 81 FR 43112, July 1, 2016]



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: Sec. Sec. 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

[[Page 1035]]

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) Notification by control center or emergency response 
communications center. The control center or the emergency response 
communications center, as applicable under the plan, 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 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 and emergency response communications center 
personnel. The railroad's emergency preparedness plan shall require 
initial training of responsible control center personnel and any 
emergency response communications center personnel employed by the 
railroad, under a contract or subcontract with the railroad, or employed 
by a contractor or subcontractor to the railroad, as well as periodic 
training at least once every two calendar years thereafter, on 
appropriate courses of action for each potential emergency situation 
under the plan. At a minimum, the initial and periodic training shall 
include the following:
    (A) Territory familiarization (e.g., access points for emergency 
responders along the railroad's right-of-way; special circumstances 
(e.g., tunnels); parallel operations; and other operating conditions 
(e.g., elevated structures, bridges, and electrified territory) 
including areas along the railroad's right-of-way that are remote and 
that would likely present challenges for individuals responding to a 
passenger train emergency);
    (B) Procedures to retrieve and communicate information to aid 
emergency personnel in responding to an emergency situation;
    (C) Protocols governing internal communications between appropriate 
control center and emergency response communications center personnel 
whenever an imminent potential or actual emergency situation exists, as 
applicable under the plan; and
    (D) Protocols for establishing and maintaining external 
communications between the railroad's control center or emergency 
response communications center, or both, and emergency responders and 
adjacent modes of transportation, as applicable under the plan.
    (iii) Initial training schedule for current personnel. The 
railroad's emergency preparedness plan shall provide for the completion 
of initial training of all on-board and responsible control center 
personnel, as well as any emergency response communications center 
personnel, who are employed by the railroad, under a contract or 
subcontract with the railroad, or employed by a contractor or 
subcontractor to 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

[[Page 1036]]

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 personnel. The railroad's 
emergency preparedness plan shall provide for the completion of initial 
training of all on-board and responsible control center personnel, as 
well as any emergency response communications center personnel, who are 
hired by the railroad, contracted or subcontracted by the railroad, or 
hired by the contractor or subcontractor to the railroad after the date 
on which the plan is conditionally approved under Sec. 239.201(b)(1). 
Each of these individuals shall receive initial training within 90 days 
after the individual's initial date of service.
    (v) Testing of on-board, control center, and emergency response 
communications center personnel. The railroad shall have procedures for 
testing an individual being evaluated for qualification under the 
emergency preparedness plan who is employed by the railroad, under a 
contract or subcontract with the railroad, or employed by a contractor 
or subcontractor to the railroad. The types of testing selected by the 
railroad shall be--
    (A) Designed to accurately measure the individual'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 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.

[[Page 1037]]

    (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.
    (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 4 x 4 inches);
    (B) Two large gauze pads (at least 8 x 10 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.

[[Page 1038]]

    (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.
    (8) Procedures regarding passengers with disabilities. The 
railroad's emergency preparedness plan shall include procedures to 
promote the safety of passengers with disabilities under all conditions 
identified in its emergency preparedness plan, such as during a train 
evacuation. These procedures shall include, but not be limited to, a 
process for notifying emergency responders in an emergency situation 
about the presence and general location of each such passenger when the 
railroad has knowledge that the passenger is on board the train. The 
railroad does not have knowledge that such passenger has a disability 
unless a crewmember has actual knowledge of the disability, such as 
where a passenger (or his or her companion or fellow passenger) has 
expressly informed a crewmember on the train of the disability or where 
the disability is readily apparent. Nothing in this part requires the 
railroad to maintain any list of train passengers.
    (b) [Reserved]

[63 FR 24676, May 4, 1998, as amended at 79 FR 18147, Mar. 31, 2014]



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 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

[[Page 1039]]

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. To the extent practicable, all on-board personnel, control 
center personnel, and any other employees involved in the emergency 
situation or full-scale simulation shall participate in the session 
either:
    (1) In person;
    (2) Offsite via teleconference; or
    (3) In writing, by a statement responding to questions provided 
prior to the session, and by responding to any follow-up questions.
    (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 or the emergency response 
communications center promptly initiated the required notifications, as 
applicable under the plan;
    (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, including any passengers with a disability or injury 
(when the railroad has knowledge of any such passengers).
    (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.

[63 FR 24676, May 4, 1998, as amended at 78 FR 71816, Nov. 29, 2013; 79 
FR 18148, Mar. 31, 2014]



Sec. 239.107  [Reserved]



  Subpart C_Review, Approval, and Retention of Emergency Preparedness 
                                  Plans



Sec. 239.201  Emergency preparedness plan; filing and approval.

    (a) Filing of plan and amendments--(1) Filing of plan. Each 
passenger railroad

[[Page 1040]]

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 Railroad 
Safety and Chief Safety Officer, Federal Railroad Administration, 1200 
New Jersey Avenue SE., Mail Stop 25, Washington, DC 20590, not less than 
60 days prior to commencing passenger operations. Any passenger railroad 
that has an emergency preparedness plan approved by FRA as of July 29, 
2014, is considered to have timely filed its plan. The emergency 
preparedness plan shall include the name, title, address (street address 
and, if available, email 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.
    (2) Filing of amendments to the plan. (i) Except as provided in 
paragraph (a)(2)(ii) of this section, 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 of the amendment. When filing an amendment, the railroad must 
include a written summary of the proposed changes to the previously 
approved plan and, as applicable, a training plan describing how and 
when current and new employees and others within the scope of the 
training requirement at Sec. 239.101(a)(2) would be trained on any 
amendment.
    (ii) If the proposed amendment is limited to adding or changing the 
name, title, street address, email address, or telephone number of the 
primary person to be contacted on each affected railroad with regard to 
the review of the plan, approval is not required under the process in 
paragraph (b)(3)(i) of this section. These proposed amendments may be 
implemented by the railroad upon filing with FRA's Associate 
Administrator for Railroad Safety and Chief Safety Officer. All other 
proposed amendments must comply with the formal approval process in 
paragraph (b)(3)(i) of this section.
    (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 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

[[Page 1041]]

FRA's written notice that the plan was not finally approved.
    (3) Review of amendments. (i) Except as provided in paragraph 
(a)(2)(ii) of this section, FRA will normally 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.

[63 FR 24676, May 4, 1998, as amended at 74 FR 25175, May 27, 2009; 79 
FR 18148, Mar. 31, 2014]



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 Tests and Inspections; Records, Recordkeeping, and 
                         Availability of Records



Sec. 239.301  Operational tests and inspections.

    (a) Requirement to conduct operational tests and inspections. Each 
railroad to which this part applies shall periodically conduct 
operational tests and inspections of on-board personnel, responsible 
control center personnel, and, as applicable, emergency response 
communications center personnel employed by the railroad, under a 
contract or subcontract with the railroad, or employed by a contractor 
or subcontractor to the railroad, to determine the extent of compliance 
with its emergency preparedness plan.
    (1) Program of operational tests and inspections. Operational tests 
and inspections shall be conducted in accordance with the railroad's 
program. A new railroad shall adopt such a program within 30 days of 
commencing rail operations. The program shall--
    (i) Provide for operational testing and inspection on appropriate 
courses of action in response to various potential emergency situations 
and on the responsibilities of an employee of the railroad, of an 
individual who is a contractor or subcontractor to the railroad, or an 
employee of a contractor of subcontractor to the railroad, as they 
relate to the railroad's emergency preparedness plan.
    (ii) Describe each type of operational test and inspection required, 
including the means and procedures used to carry it out.
    (iii) State the purpose of each type of operational test and 
inspection.
    (iv) State, according to operating divisions where applicable, the 
frequency with which each type of operational test and inspection is to 
be conducted.
    (v) Identify the officer(s) by name, job title, and division or 
system, who shall be responsible for ensuring that the program of 
operational tests and inspections is properly implemented. A railroad 
with operating divisions shall identify at least one officer at the 
system headquarters who is responsible for overseeing the entire program 
and the implementation by each division.
    (vi) Require that each railroad officer who conducts operational 
tests and inspections be trained on those aspects of the railroad's 
emergency preparedness plan that are relevant to the operational tests 
and inspections that the officer conducts, and that the officer be 
qualified on the procedures for conducting such operational tests and 
inspections in accordance with the railroad's program of operational 
tests and inspections and the requirements of this section.
    (2) The program of operational tests and inspections required by 
paragraph (a)(1) of this section may be combined

[[Page 1042]]

with the written program of operational tests and inspections required 
by Sec. 217.9(c) of this chapter.
    (b) Maintaining records of operational tests and inspections. Each 
railroad to which this part applies shall maintain a record of the date, 
time, place, and result of each operational test and inspection 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 or inspection, the name of each employee tested, and sufficient 
information to identify the relevant facts relied on for evaluation 
purposes.
    (c) Retaining operational test and inspection records. Each record 
required by paragraph (b) of this section shall be retained at the 
system headquarters of the railroad and, as applicable, at the division 
headquarters for the division where the test or inspection was 
conducted, for one calendar year after the end of the calendar year to 
which the test or inspection relates. Each such record shall be retained 
either in hard copy or electronically, if pursuant to Sec. 239.303, and 
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) Retaining records of program of operational tests and 
inspections. Each railroad shall retain one copy of its current 
operational testing and inspection program 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, and, as 
applicable, at each division headquarters where the operational tests 
and inspections are conducted, for three calendar years after the end of 
the calendar year to which they relate. These records shall be retained 
either in hard copy or electronically, if pursuant to Sec. 239.303, and 
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.
    (e) Six-month review of tests and inspections and adjustments to the 
program of operational tests and inspections. Not less than once every 
six months, the officer(s) responsible for overseeing the entire program 
of operational tests and inspections under this section and the 
implementation of the program by each division, if any, or the system, 
as designated pursuant to paragraph (a)(1)(v) of this section, shall 
conduct periodic reviews and analyses as provided in this paragraph, 
prepare records of reviews as provided in this paragraph, and retain one 
copy of these records at the system headquarters, and, as applicable, at 
each division headquarters. Each such review and record shall be 
completed within 30 days of the close of the period being reviewed. The 
record of each such review shall be retained (in hard copy or 
electronically, if pursuant to Sec. 239.303) for a period of one year 
after the end of the calendar year to which the review relates, and be 
made available to representatives of FRA for inspection and copying 
during normal business hours. In particular, each designated officer's 
review and record shall include the following:
    (1) The operational testing and inspection data for each division, 
if any, or the system to determine compliance by the railroad testing 
officers with its program of operational tests and inspections required 
by paragraph (a)(1) of this section. At a minimum, this review shall 
include the name of each railroad testing officer, the number of tests 
and inspections conducted by each officer, and whether the officer 
conducted the minimum number of each type of test or inspection required 
by the railroad's program;
    (2) Accident/incident data, the results of prior operational tests 
and inspections under this section, and other pertinent safety data for 
each division, if any, or the system to identify the relevant operating 
rules related to those accidents/incidents that occurred during the 
period. Based upon the results of that review of the data for each 
division, if any, or the system, the designated officer(s) shall make 
any necessary adjustments to the tests and inspections required of 
railroad officers for the subsequent period(s); and
    (3) Implementation of the program of operational tests and 
inspections under this section from a system perspective, to ensure that 
the program is being

[[Page 1043]]

utilized as intended, that the other reviews provided for in this 
paragraph have been properly completed, that appropriate adjustments 
have been made to the distribution of tests and inspections required, 
and that the railroad testing officers are appropriately directing their 
efforts.
    (f) Annual summary of operational tests and inspections. Before 
March 1 of each calendar year, each railroad to which this part applies 
shall prepare and retain at the system headquarters of the railroad and, 
as applicable, at each of its division headquarters, one copy of a 
summary of the following with respect to its previous calendar year 
activities: The number, type, and result of each operational test and 
inspection, stated according to operating divisions as applicable, that 
was conducted as required by paragraph (a) of this section. A record of 
each such summary shall be retained (in hard copy or electronically, if 
pursuant to Sec. 239.303) for three calendar years after the end of the 
calendar year to which the record relates and 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.

[79 FR 18149, Mar. 31, 2014]



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.



      Sec. 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 or electronic 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 or ERCC.................
        (iii) Failure to designate                 2,500           5,000
         employee responsible for
         maintaining current emergency
         telephone numbers for use in
         notifications..................
    (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 and
         ERCC personnel.................
        (iii) Completion of initial                2,500           5,000
         training of each on-board,
         control center, and ERCC
         personnel by the specified date
        (iv) Completion of initial                 2,500           5,000
         training of each newly-hired on-
         board, control center, and ERCC
         personnel by the specified date
        (v) Adequate procedures to                 2,500           5,000
         evaluate and test on-board,
         control center, and ERCC
         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.........

[[Page 1044]]

 
        (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........................
    (a)(8) Failure of the plan to                  2,500           5,000
     include procedures promoting the
     safety of passengers with
     disabilities.......................
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.
    (c) Failure to design the debrief              2,500           5,000
     and critique session to determine
     the five items specified...........
    (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...............
        (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..........................
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..
        (iv) Failure of a railroad to              1,000           2,000
         file a summary of 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 Tests and
 Inspections; Records, Recordkeeping,
 and Availability of Records
239.301 Operational tests and
 inspections
    (a) Failure to periodically conduct            2,500           5,000
     operational tests and inspections
     of applicable personnel in
     accordance with program of
     operational tests and inspections..
    (a)(1) Failure to adopt a program of           5,000           7,500
     operational tests and inspections
     that meets the minimum requirements
     within 30 days of commencing rail
     operations.........................
    (a)(1)(vi) Failure to train or                 2,500           5,000
     qualify each railroad officer who
     conducts operational tests and
     inspections on aspects of the e-
     prep plan and program procedures
     relevant to the operational tests
     and inspections that the officer
     conducts...........................
    (b)(1) Failure to maintain a record.           2,500           5,000
    (b)(2) Record improperly completed..           1,000           1,000
    (c)(1), (d)(1), (e)(2), (f)(1):                2,500           5,000
     Failure to retain a copy of the
     record.............................
    (c)(2), (d)(2), (e)(3), (f)(2):                1,000           2,000
     Failure to make record available...
    (e)(1) Failure to conduct six-month            4,000           7,500
     review and analysis of required
     data and make any necessary or
     appropriate adjustments to the
     program of operational tests and
     inspections........................
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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.

[[Page 1045]]

 
\2\ The penalty schedule uses section numbers from 49 CFR part 239. If
  more than one item is listed as a type of violation of a given
  section, each item is also designated by a ``penalty code,'' which is
  used to facilitate assessment of civil penalties, and which may or may
  not correspond to any subsection designation(s). For convenience,
  penalty citations will cite the CFR section and the penalty code, if
  any. FRA reserves the right, should litigation become necessary, to
  substitute in its complaint the CFR citation in place of the combined
  CFR and penalty code citation, should they differ.


[63 FR 24676, May 4, 1998, as amended at 69 FR 30595, May 28, 2004; 73 
FR 79704, Dec. 30, 2008; 77 FR 24422, Apr. 24, 2012; 78 FR 71816, Nov. 
29, 2013; 79 FR 18150, Mar. 31, 2014; 81 FR 43112, July 1, 2016]



PART 240_QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS--
Table of Contents



                            Subpart A_General

Sec.
240.1 Purpose and scope.
240.3 Application and responsibility for compliance.
240.5 Preemptive effect and construction.
240.7 Definitions.
240.9 Waivers.
240.11 Penalties and 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.
240.104 Criteria for determining whether movement of roadway maintenance 
          equipment or a dual purpose vehicle requires a certified 
          locomotive engineer.
240.105 Criteria for selection of designated supervisors of locomotive 
          engineers.
240.107 Criteria for designation of classes of service.
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 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.
240.231 Requirements for locomotive engineers unfamiliar with physical 
          characteristics in other than joint operations.

         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

[[Page 1046]]

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
Appendix F to Part 240--Medical Standards Guidelines

    Authority: 49 U.S.C. 20103, 20107, 20135, 21301, 21304, 21311; 28 
U.S.C. 2461, note; and 49 CFR 1.89.

    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 standards for the 
eligibility, training, testing, certification and monitoring of all 
locomotive engineers to whom it applies. This part does not restrict a 
railroad from adopting and enforcing additional or more stringent 
requirements 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.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60988, Nov. 8, 1999]



Sec. 240.3  Application and responsibility for compliance.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all railroads.
    (b) This part does not apply to--
    (1) A railroad that operates only on track inside an installation 
that is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    (c) Although the duties imposed by this part are generally stated in 
terms of the duty of a railroad, each person, including a contractor for 
a railroad, who performs any function covered by this part must perform 
that function in accordance with this part.

[64 FR 60988, Nov. 8, 1999]



Sec. 240.5  Preemptive effect and construction.

    (a) 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; is not incompatible with a law, regulation, or order of the 
United States Government; and does not impose an unreasonable 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.
    (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 or prohibit 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.

[[Page 1047]]

    (f) 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 removal from service or other adverse action taken as a 
consequence of this part.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19002, Apr. 9, 1993; 64 
FR 60988, Nov. 8, 1999]



Sec. 240.7  Definitions.

    As used in this part--
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    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.
    Dual purpose vehicle means a piece of on-track equipment that is 
capable of moving railroad rolling stock and may also function as 
roadway maintenance equipment.
    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.
    File, filed and filing mean submission of a document under this part 
on the date when the Docket Clerk receives it, or if sent by mail on or 
after September 4, 2001, the date mailing was completed.
    FRA means the Federal Railroad Administration.
    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
    (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 
specialized roadway maintenance equipment or a dual purpose vehicle 
operating in accordance with Sec. 240.104(a)(2)):

[[Page 1048]]

    (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 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.
    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.
    Qualified means a person who has passed all appropriate training and 
testing programs required by the railroad and this part and who, 
therefore, has actual knowledge or may reasonably be expected to have 
knowledge of the subject on which the person is qualified.
    Railroad means any form of nonhighway ground transportation that 
runs on rails or electromagnetic guideways and any entity providing such 
transportation, including
    (1) 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
    (2) 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.
    Railroad Officer means any supervisory employee of a railroad.
    Railroad rolling stock is on-track equipment that is either a 
freight car (as defined in Sec. 215.5 of this chapter) or a passenger 
car (as defined in Sec. 238.5 of this chapter).
    Roadway maintenance equipment is on-track equipment powered by any 
means of energy other than hand power which is used in conjunction with 
maintenance, repair, construction or inspection of track, bridges, 
roadway, signal, communications, or electric traction systems.
    Segment means any portion of a railroad assigned to the supervision 
of one superintendent or equivalent transportation officer.
    Service has the meaning given in Rule 5 of the Federal Rules of 
Civil Procedure as amended. Similarly, the computation of time 
provisions in Rule 6 of the Federal Rules of Civil Procedure as amended 
are also applicable in this part. See also the definition of ``filing'' 
in this section.

[[Page 1049]]

    Specialized roadway maintenance equipment is roadway maintenance 
equipment that does not have the capability to move railroad rolling 
stock. Any alteration of such equipment that enables it to move railroad 
rolling stock will require that the equipment be treated as a dual 
purpose vehicle.
    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 
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; 64 FR 60989, Nov. 8, 1999; 65 FR 58483, Sept. 
29, 2000; 67 FR 24, Jan. 2, 2002; 74 FR 68182, Dec. 23, 2009]



Sec. 240.9  Waivers.

    (a) A 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 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, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60989, Nov. 8, 1999]



Sec. 240.11  Penalties and consequences for noncompliance.

    (a) A 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

[[Page 1050]]

$839 and not more than $27,455 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 $109,819 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) A person 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) A 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.
    (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; 
64 FR 60989, Nov. 8, 1999; 69 FR 30595, May 28, 2004; 72 FR 51198, Sept. 
6, 2007; 73 FR 79704, Dec. 30, 2008; 77 FR 24422, Apr. 24, 2012; 81 FR 
43112, July 1, 2016]



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: Sec. Sec. 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) Each railroad subject to this part shall have in effect a 
written program for certifying the qualifications of locomotive 
engineers.
    (b) Each railroad shall have such a program in effect prior to 
commencing operations.
    (c) 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.

[56 FR 28254, June 19, 1991, as amended at 74 FR 68182, Dec. 23, 2009]



Sec. 240.103  Approval of design of individual railroad programs
by FRA.

    (a) Each railroad shall submit its written certification 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 
to this part and shall submit this written certification program for 
approval at least 60 days before commencing operations.
    (b) That submission shall state the railroad's election either:

[[Page 1051]]

    (1) To accept responsibility for the training of student engineers 
and 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.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60990, Nov. 8, 1999]



Sec. 240.104  Criteria for determining whether movement of roadway 
maintenance equipment or a dual purpose vehicle requires a certified 
locomotive engineer.

    (a) A railroad is not required to use a certified locomotive 
engineer to perform the following functions:
    (1) Operate specialized roadway maintenance equipment; or
    (2) Operate a dual purpose vehicle that is:
    (i) Being operated in conjunction with roadway maintenance and 
related maintenance of way functions, including traveling to and from 
the work site;
    (ii) Moving under authority of railroad operating rules designated 
for the movement of roadway maintenance equipment that ensure the 
protection of such equipment from train movements; and
    (iii) Being operated by an individual trained and qualified in 
accordance with Sec. Sec. 214.341, 214.343, and 214.355 of this 
chapter.
    (b) A railroad is required to use a certified locomotive engineer 
when operating a dual purpose vehicle other than in accordance with 
paragraph (a)(2) of this section.

[64 FR 60990, Nov. 8, 1999]



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;

[[Page 1052]]

    (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 who is qualified on the physical 
characteristics of the portion of the railroad on which that person will 
perform the duties of a Designated Supervisor of Locomotive Engineers.
    (c) If a railroad does not have any Designated Supervisors of 
Locomotive Engineers, and wishes to hire one, the chief operating 
officer of the railroad shall make a determination in writing that the 
Designated Supervisor of Locomotive Engineers designate possesses the 
necessary performance skills in accordance with Sec. 240.127. This 
determination shall take into account any special operating 
characteristics which are unique to that railroad.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60990, Nov. 8, 1999]



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.
    (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.
    (e) A railroad shall not reclassify the certification of any type of 
certified engineer to a more restrictive class of certificate or a 
student engineer certificate during the period in which the 
certification is otherwise valid.

[56 FR 28254, June 19, 1991, as amended at 74 FR 68182, Dec. 23, 2009]



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. Sec. 240.111, 240.113, 
240.115, 240.117, 240.119, and 240.217.
    (e) When evaluating 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

[[Page 1053]]

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.

[56 FR 28254, June 19, 1991, as amended at 74 FR 68182, Dec. 23, 2009]



Sec. 240.111  Individual's duty to furnish data on prior safety 
conduct as motor vehicle operator.

    (a) Except for persons covered by Sec. 240.109(h), each person 
seeking certification or recertification under this part shall, within 
366 days preceding the date of the railroad's decision on certification 
or recertification:
    (1) Take the actions required by paragraphs (b) through (f) 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
    (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, 1200 New 
Jersey Avenue, SE., 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

[[Page 1054]]

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) Each certified locomotive engineer or person seeking initial 
certification shall report motor vehicle incidents described in Sec. 
240.115 (b)(1) and (2) to the employing railroad within 48 hours of 
being convicted for, or completed state action to cancel, revoke, 
suspend, or deny a motor vehicle drivers license for, such violations. 
For the purposes of engineer certification, no railroad shall require 
reporting earlier than 48 hours after the conviction, or completed state 
action to cancel, revoke, or deny a motor vehicle drivers license.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60990, Nov. 8, 1999; 74 
FR 25175, May 27, 2009; 74 FR 68182, Dec. 23, 2009]



Sec. 240.113  Individual's duty to furnish data on prior safety 
conduct as an employee of a different railroad.

    (a) Except for persons covered by Sec. 240.109(h), each person 
seeking certification under this part shall, within 366 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 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.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60990, Nov. 8, 1999; 74 
FR 68182, Dec. 23, 2009]



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

[[Page 1055]]

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)(1) 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 his or 
her certification revoked.
    (2) A Designated Supervisor of Locomotive Engineers, a certified 
locomotive engineer pilot or an instructor engineer who is monitoring, 
piloting or instructing a locomotive engineer and fails to take 
appropriate action to prevent a violation of paragraph (e) of this 
section, shall have his or her certification revoked. Appropriate action 
does not mean that a supervisor, pilot or instructor must prevent a 
violation from occurring at all costs; the duty may be met by warning an 
engineer of a potential or foreseeable violation. A Designated 
Supervisor of Locomotive Engineers will not be held culpable under this 
section when this monitoring event is conducted as part of the 
railroad's operational compliance tests as defined in Sec. Sec. 217.9 
and 240.303 of this chapter.
    (3) A person who is a certified locomotive engineer but is called by 
a railroad to perform the duty of a train crew member other than that of 
locomotive engineer, and is performing such other duty, shall not have 
his or her certification revoked based on actions taken or not taken 
while performing that duty.
    (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 paragraphs (e)(1) through (e)(5) of this 
section that occurred within a period of 36 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 section.
    (e) A railroad shall only consider violations of its operating rules 
and practices that involve:
    (1) Failure to control a locomotive or train in accordance with a 
signal indication, excluding a hand or a radio signal indication or a 
switch, 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. Where restricted speed is in 
effect, railroads shall consider only those violations of the 
conditional clause of restricted speed rules (i.e., the clause that 
requires stopping within one half of the locomotive engineer's range of 
vision), or the operational equivalent thereof, which cause reportable 
accidents or incidents under part 225 of this chapter, except for 
accidents and incidents that are classified as ``covered data'' under

[[Page 1056]]

Sec. 225.5 of this chapter (i.e., employee injury/illness cases 
reportable exclusively because a physician or other licensed health care 
professional either made a one-time topical application of a 
prescription-strength medication to the employee's injury or made a 
written recommendation that the employee: Take one or more days away 
from work when the employee instead reports to work (or would have 
reported had he or she been scheduled) and takes no days away from work 
in connection with the injury or illness; work restricted duty for one 
or more days when the employee instead works unrestricted (or would have 
worked unrestricted had he or she been scheduled) and takes no other 
days of restricted work activity in connection with the injury or 
illness; or take over-the-counter medication at a dosage equal to or 
greater than the minimum prescription strength, whether or not the 
employee actually takes the medication, as instances of failure to 
adhere to this section;
    (3) Failure to adhere to procedures for the safe use of train or 
engine brakes when the procedures are required for compliance with the 
Class I, Class IA, Class II, Class III, or transfer train brake test 
provisions of 49 CFR part 232 or when the procedures are required for 
compliance with the Class I, Class IA, Class II, or running brake test 
provisions of 49 CFR part 238;
    (4) Occupying main track or a segment of main track without proper 
authority or permission;
    (5) Failure to comply with prohibitions against tampering with 
locomotive mounted safety devices, or knowingly operating or permitting 
to be operated a train with an unauthorized disabled safety device in 
the controlling locomotive. (See 49 CFR part 218, subpart D and appendix 
C to part 218);
    (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)(1) 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.
    (2) A violation of one or more operating rules or practices 
described in paragraph (e)(1) through (e)(5) of this section that occurs 
during a properly conducted operational compliance test subject to the 
provisions of this chapter shall be counted in determining the periods 
of ineligibility described in paragraph (g) of this section.
    (3) An operational test that is not conducted in compliance with 
this part, a railroad's operating rules, or a railroad's program under 
Sec. 217.9 of this chapter, will not be considered a legitimate test of 
operational skill or knowledge, and will not be considered for 
certification, recertification or revocation purposes.
    (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 in paragraphs (e)(1) 
through (e)(5) of this section, the person shall have his or her 
certificate revoked for a period of one month.
    (ii) In the case of two separate incidents involving a violation of 
one or more of the operating rules or practices described in paragraphs 
(e)(1) through (e)(5) of this section, that occurred within 24 months of 
each other, the person shall have his or her certificate revoked for a 
period of six months.
    (iii) In the case of three separate incidents involving violations 
of one or more of the operating rules or practices, described in 
paragraphs (e)(1) through (e)(6) of this section, that occurred within 
36 months of each other, the person shall have his or her certificate 
revoked for a period of one year.
    (iv) In the case of four separate incidents involving violations of 
one or more of the operating rules or practices, described in paragraphs 
(e)(1)

[[Page 1057]]

through (e)(6) of this section, that occurred within 36 months of each 
other, the person shall have his or her certificate revoked for a period 
of three years.
    (v) Where, based on the occurrence of violations described in 
paragraph (e)(6) of this section, different periods of ineligibility may 
result under the provisions of this section and Sec. 240.119, the 
longest period of revocation shall control.
    (h) Future eligibility to hold certificate. A person whose 
certification has been denied or revoked shall be eligible for grant or 
reinstatement of the certificate prior to the expiration of the initial 
period of revocation only if:
    (1) The denial or revocation of certification in accordance with the 
provisions of paragraph (g)(3) of this section is for a period of one 
year or less;
    (2) Certification was denied or revoked for reasons other than 
noncompliance with Sec. 219.101 of this chapter;
    (3) The person has been evaluated by a Designated Supervisor of 
Locomotive Engineers and determined to have received adequate remedial 
training;
    (4) 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
    (5) At least one half the pertinent period of ineligibility 
specified in paragraph (g)(3) of this section has elapsed.

[64 FR 60990, Nov. 8, 1999, as amended at 68 FR 10139, Mar. 3, 2003; 74 
FR 68182, Dec. 23, 2009]



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

[[Page 1058]]

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
    (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

[[Page 1059]]

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. In order to be currently certified as a 
locomotive engineer, except as permitted by paragraph (e) of this 
section, a person's vision and hearing shall meet or exceed the 
standards prescribed in this section and appendix F to this part. It is 
recommended that each test conducted pursuant to this section should be 
performed according to any directions supplied by the manufacturer of 
such test and any American National Standards Institute (ANSI) standards 
that are applicable.
    (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
    (3) The ability to recognize and distinguish between the colors of 
railroad signals as demonstrated by successfully completing one of the 
tests in appendix F to this part.
    (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 shall, upon request, be subject to further medical 
evaluation by a railroad's medical examiner to determine that person's 
ability to safely operate a locomotive. In accordance with the guidance 
prescribed in appendix F to this part, a person is entitled to one 
retest without making any showing and to another retest if the person 
provides evidence substantiating that circumstances have changed since 
the last test to the extent that the person could now arguably operate a 
locomotive or train safely. The railroad shall provide its medical 
examiner with a copy of this part, including all appendices. If, after 
consultation with one of the railroad's designated supervisors of 
locomotive engineers, the medical examiner concludes that, despite not 
meeting the threshold(s) in paragraphs (c) and (d) of this section, 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.
    (f) As a condition of maintaining certification, each certified 
locomotive engineer shall notify his or her employing railroad's medical 
department or, if no such department exists, an appropriate railroad 
official if the person's best correctable vision or hearing has 
deteriorated to the extent that the person no longer meets one or more 
of the prescribed vision or hearing standards or requirements of this 
section. This notification is required prior to any subsequent operation 
of a locomotive or train which would require a certified locomotive 
engineer.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60992, Nov. 8, 1999]



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

[[Page 1060]]

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 as determined by a qualified Designated 
Supervisor of Locomotive Engineers), 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.
    (d) Pursuant to paragraphs (b) and (c) of this section, a person may 
acquire familiarity with the physical characteristics of a territory 
through the following methods if the specific conditions included in the 
description of each method are met. The methods used by a railroad for 
familiarizing its engineers with new territory while starting up a new 
railroad, starting operations over newly acquired rail lines, or 
reopening of a long unused route, shall be described in the railroad's 
locomotive engineer qualification program required under this part and 
submitted according to the procedures described in Appendix B to this 
part.
    (1) If ownership of a railroad is being transferred from one company 
to another, the engineer(s) of the acquiring company may receive 
familiarization training from the selling company prior to the acquiring 
railroad commencing operation; or
    (2) Failing to obtain familiarization training from the previous 
owner, opening a new rail line, or reopening an unused route would 
require that the engineer(s) obtain familiarization through other 
methods. Acceptable methods of obtaining familiarization include using 
hyrail trips or initial lite locomotive trips in compliance with what is 
specified in the railroad's locomotive engineer qualification program 
required under this part and submitted according to the procedures 
described in Appendix B to this part.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60992, Nov. 8, 1999]



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

[[Page 1061]]

    (v) Compliance with Federal safety rules;
    (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, 
who does not need to be qualified on the physical characteristics of the 
territory over which the test will be conducted;
    (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.
    (e) Each railroad's program shall indicate the types of actions the 
railroad will take in the event that a person fails an initial 
examination or a reexamination of his or her performance skills in 
accordance with the procedures required under Sec. 240.211.
    (f) Each railroad's program shall describe the scoring system used 
by the railroad during a skills test administered in accordance with the 
procedures required under Sec. 240.211. The description shall include 
the skills to be tested and the weight or possible score that each skill 
will be given.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60992, Nov. 8, 1999; 74 
FR 68183, Dec. 23, 2009]



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

[[Page 1062]]

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 monitored each 
calendar year by a Designated Supervisor of Locomotive Engineers, who 
does not need to be qualified on the physical characteristics of the 
territory over which the operational performance monitoring will be 
conducted;
    (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 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:
    (i) 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;
    (ii) 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; or
    (iii) 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;
    (3) 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
    (4) Designed so that individual tests are administered without prior 
notice to the engineer being tested.
    (f) Each railroad's program shall indicate the types of actions the 
railroad will take in the event that it finds deficiencies with a 
locomotive engineer's performance during an operational monitoring 
observation or unannounced compliance test administered in accordance 
with the procedures required under Sec. 240.303.
    (g) Each railroad's program shall describe the scoring system used 
by the railroad during an operational monitoring observation or 
unannounced compliance test administered in accordance with the 
procedures required under Sec. 240.303.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60992, Nov. 8, 1999; 74 
FR 68183, Dec. 23, 2009]



          Subpart C_Implementation of the Certification Process



Sec. 240.201  Implementation.

    (a) Each railroad 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.

[[Page 1063]]

    (b) 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 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 a 36-month period unless that person has 
been determined to be qualified in accordance with procedures that 
comply with subpart C.
    (d) 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) 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 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) 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) 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) 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.

[74 FR 68183, Dec. 23, 2009]



Sec. 240.203  Determinations required as a prerequisite to
certification.

    (a) Except as provided in paragraph (b), 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 Sec. Sec. 
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:

[[Page 1064]]

    (1) The person successfully completed a training program that 
complies with Sec. 240.123;
    (2) The person meets the eligibility requirements of Sec. Sec. 
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; 
74 FR 68183, Dec. 23, 2009]



Sec. 240.205  Procedures for determining eligibility based on prior
safety conduct.

    (a) 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 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.

[56 FR 28254, June 19, 1991, as amended at 74 FR 68183, Dec. 23, 2009]



Sec. 240.207  Procedures for making the determination on vision
and hearing acuity.

    (a) 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.

[56 FR 28254, June 19, 1991, as amended at 74 FR 68184, Dec. 23, 2009]



Sec. 240.209  Procedures for making the determination on knowledge.

    (a) 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

[[Page 1065]]

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 a 
reexamination of his or her knowledge.

[56 FR 28254, June 19, 1991, as amended at 74 FR 68184, Dec. 23, 2009]



Sec. 240.211  Procedures for making the determination on performance
skills.

    (a) 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.

[56 FR 28254, June 19, 1991, as amended at 74 FR 68184, Dec. 23, 2009]



Sec. 240.213  Procedures for making the determination on completion
of training program.

    (a) 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) A qualified Designated Supervisor of Locomotive Engineers has 
determined that the person is familiar with the physical characteristics 
of the railroad or its pertinent segments.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60992, Nov. 8, 1999; 74 
FR 68184, Dec. 23, 2009]



Sec. 240.215  Retaining information supporting determinations.

    (a) 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;

[[Page 1066]]

    (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 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; 74 
FR 68184, Dec. 23, 2009]

[[Page 1067]]



Sec. 240.217  Time limitations for making determinations.

    (a) 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 366 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 366 days 
before the date of the railroad's recertification decision;
    (3) A determination concerning demonstrated knowledge and the 
knowledge examination being relied on was conducted more than 366 days 
before 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 
366 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 36 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; 64 FR 60992, Nov. 8, 1999; 74 FR 68184, Dec. 
23, 2009]



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 Sec. Sec. 
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) A railroad shall maintain a written record identifying each 
person designated by it as a supervisor of locomotive engineers.
    (b) 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

[[Page 1068]]

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).

[56 FR 28254, June 19, 1991, as amended at 74 FR 68184, Dec. 23, 2009]



Sec. 240.223  Criteria for the certificate.

    (a) As a minimum, each certificate issued in compliance with this 
part shall:
    (1) Identify the railroad or parent company 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 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; 64 
FR 60993, Nov. 8, 1999]



Sec. 240.225  Reliance on qualification determinations made by other
railroads.

    (a) A 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. The railroad's certification 
program shall address how the railroad will administer the training of 
previously uncertified engineers with extensive operating experience or 
previously certified engineers who have had their certification expire. 
If a railroad's certification program fails to specify how to train a 
previously certified engineer hired from another railroad, then the 
railroad shall require the newly hired engineer to take the hiring 
railroad's entire training program. A railroad relying on another's 
certification shall determine that:
    (1) The prior certification is still valid in accordance with the 
provisions of Sec. Sec. 240.201, 240.217, and 240.307;
    (2) The prior certification was for the same classification of 
locomotive or train service as the certification being issued under this 
section;
    (3) The person has received training on and visually observed the 
physical characteristics of the new territory in accordance with Sec. 
240.123;
    (4) The person has demonstrated the necessary knowledge concerning 
the

[[Page 1069]]

railroad's operating rules in accordance with Sec. 240.125;
    (5) The person has demonstrated the necessary performance skills 
concerning the railroad's operating rules in accordance with Sec. 
240.127.
    (b) [Reserved]

[64 FR 60993, Nov. 8, 1999, as amended at 74 FR 68184, Dec. 23, 2009]



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 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) A railroad that controls joint operations may rely on the 
certification issued by another railroad under the following conditions:
    (1) The controlling railroad shall determine:
    (i) That the person has been certified as a qualified engineer under 
the provisions of this part by the railroad which employs that 
individual;
    (ii) 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;
    (iii) That the person certified as a locomotive engineer by the 
other railroad has the necessary operating skills concerning the joint 
operations territory; and
    (iv) 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; and,
    (2) The railroad which employs the individual shall determine that 
the person called to operate on the controlling railroad is a certified 
engineer who is qualified to operate on that track segment; and
    (3) Each locomotive engineer who is called to operate on another 
railroad shall:
    (i) Be qualified on the segment of track upon which he or she will 
operate in accordance with the requirements set forth by the controlling 
railroad; and,
    (ii) Immediately notify the railroad upon which he or she is 
employed if he or she is not qualified to perform that service.
    (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

[[Page 1070]]

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; 64 
FR 60993, Nov. 8, 1999]



Sec. 240.231  Requirements for locomotive engineers unfamiliar with
physical characteristics in other than joint operations.

    (a) Except as provided in paragraph (b) of this section, no 
locomotive engineer shall operate a locomotive over a territory unless 
he or she is qualified on the physical characteristics of the territory 
pursuant to the railroad's certification program.
    (b) Except as provided in paragraph (c) of this section, if a 
locomotive engineer lacks qualification on the physical characteristics 
required by paragraph (a) of this section, he or she shall be assisted 
by a pilot qualified over the territory pursuant to the railroad's 
certification program.
    (1) For a locomotive engineer who has never been qualified on the 
physical characteristics of the territory over which he or she is to 
operate a locomotive or train, the pilot shall be a person qualified and 
certified as a locomotive engineer who is not an assigned crew member.
    (2) For a locomotive engineer who was previously qualified on the 
physical characteristics of the territory over which he or she is to 
operate a locomotive or train, but whose qualification has expired, the 
pilot may be any person, who is not an assigned crew member, qualified 
on the physical characteristics of the territory.
    (c) Pilots are not required if the movement is on a section of track 
with an average grade of less than 1% over 3 continuous miles, and
    (1) The track is other than a main track; or
    (2) The maximum distance the locomotive or train will be operated 
does not exceed one mile; or
    (3) The maximum authorized speed for any operation on the track does 
not exceed 20 miles per hour; or
    (4) 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.

[64 FR 60993, Nov. 8, 1999]



         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.

[[Page 1071]]



Sec. 240.303  Operational monitoring requirements.

    (a) Each railroad to which this part applies shall, prior to FRA 
approval of its program 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:
    (i) 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;
    (ii) 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; or
    (iii) 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;
    (2) 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;
    (3) Be conducted so that individual tests are administered without 
prior notice to the locomotive engineer being tested; and
    (4) 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.

[56 FR 28254, June 19, 1991, as amended at 74 FR 68184, Dec. 23, 2009]



Sec. 240.305  Prohibited conduct.

    (a) It shall be unlawful to:
    (1) Operate a locomotive or train past a signal indication, 
excluding a hand or a radio signal indication or a switch, that requires 
a complete stop before passing it; or
    (2) Operate a locomotive or train at a speed which exceeds the 
maximum authorized limit by at least 10 miles per hour. Where restricted 
speed is in effect, only those violations of the conditional clause of 
restricted speed rules (i.e., the clause that requires stopping within 
one half of the locomotive engineer's range of vision), or the 
operational equivalent thereof, which cause reportable accidents or 
incidents under part 225 of this chapter, shall be considered instances 
of failure to adhere to this section; or
    (3) Operate a locomotive or train without adhering to procedures for 
the safe use of train or engine brakes when the procedures are required 
for compliance with the Class I, Class IA, Class II, Class III, or 
transfer train brake test provisions of 49 CFR part 232 or when the 
procedures are required for compliance with the class 1, class 1A, class 
II, or running brake test provisions of 49 CFR part 238;
    (4) Fail to comply with any mandatory directive concerning the 
movement of a locomotive or train by occupying main track or a segment 
of main track without proper authority or permission;
    (5) Fail to comply with prohibitions against tampering with 
locomotive mounted safety devices, or knowingly operate or permit to be 
operated a train with an unauthorized disabled safety device in the 
controlling locomotive. (See 49 CFR part 218, subpart D, and appendix C 
to part 218);
    (6) Be a Designated Supervisor of Locomotive Engineers, a certified 
locomotive engineer pilot or an instructor engineer who is monitoring, 
piloting or instructing a locomotive engineer and fails to take 
appropriate action to prevent a violation of paragraphs (a)(1)

[[Page 1072]]

through (a)(5) of this section. Appropriate action does not mean that a 
supervisor, pilot or instructor must prevent a violation from occurring 
at all costs; the duty may be met by warning an engineer of a potential 
or foreseeable violation. A Designated Supervisor of Locomotive 
Engineers will not be held culpable under this section when this 
monitoring event is conducted as part of the railroad's operational 
compliance tests as defined in Sec. Sec. 217.9 and 240.303 of this 
chapter.
    (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; 64 
FR 60993, Nov. 8, 1999; 74 FR 68184, Dec. 23, 2009]



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 
regarding violations of Sec. 240.117(e) or Sec. 240.119(c) of this 
chapter, 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's certificate, provide 
notice of the reason for the suspension, the pending revocation, and an 
opportunity for a hearing before a presiding officer other than the 
investigating officer. The notice may initially be given either orally 
or in writing. If given orally, it must be confirmed in writing and the 
written confirmation must be made promptly. Written confirmation which 
conforms to the notification provisions of an applicable collective 
bargaining agreement shall be deemed to satisfy the written confirmation 
requirements of this section. In the absence of an applicable collective 
bargaining agreement provision, the written confirmation must be made 
within 96 hours.
    (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), (f), (i) and (j) of 
this section, a hearing required by this section shall be conducted in 
accordance with the following procedures:

[[Page 1073]]

    (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 
investigating 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) No later than 10 days after the close of the record, a railroad 
official, other than the investigating officer, shall prepare and sign 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 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 a railroad official, other than the investigating officer, 
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.

[[Page 1074]]

    (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.
    (i) A railroad:
    (1) Shall not determine that the person failed to meet the 
qualification requirements of this part and shall not revoke the 
person's certification as provided for in paragraph (a) of this section 
if sufficient evidence exists to establish that an intervening cause 
prevented or materially impaired the locomotive engineer's ability to 
comply with the railroad operating rule or practice which constitutes a 
violation under Sec. 240.117(e)(1) through (e)(5) of this part; or
    (2) May determine that the person meets the qualification 
requirements of this part and decide not to revoke the person's 
certification as provided for in paragraph (a) of this section if 
sufficient evidence exists to establish that the violation of Sec. 
240.117(e)(1) through (e)(5) of this part was of a minimal nature and 
had no direct or potential effect on rail safety.
    (j) The railroad shall place the relevant information in the records 
maintained in compliance with Sec. 240.309 for Class I (including the 
National Railroad Passenger Corporation) and Class II railroads, and 
Sec. 240.215 for Class III railroads if sufficient evidence meeting the 
criteria provided in paragraph (i) of this section, becomes available 
either:
    (1) Prior to a railroad's action to suspend the certificate as 
provided for in paragraph (b)(1) of this section; or
    (2) Prior to the convening of the hearing provided for in this 
section;
    (k) Provided that the railroad makes a good faith determination 
after a reasonable inquiry that the course of conduct provided for in 
paragraph (i) of this section is appropriate, the railroad which does 
not suspend a locomotive engineer's certification, as provided for in 
paragraph (a) of this section, is not in violation of paragraph (a) of 
this section.

[58 FR 19004, Apr. 9, 1993, as amended at 60 FR 53137, Oct. 12, 1995; 64 
FR 60994, Nov. 8, 1999; 74 FR 68185, Dec. 23, 2009]



Sec. 240.309  Railroad oversight responsibilities.

    (a) No later than March 31 of each year, 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, information about the nature of detected 
poor safety conduct shall be capable of segregation for study and 
evaluation purposes into the following categories:
    (1) Incidents involving noncompliance with part 218;
    (2) Incidents involving noncompliance with part 219;
    (3) Incidents involving noncompliance with the procedures for the 
safe use of train or engine brakes when the procedures are required for 
compliance

[[Page 1075]]

with the Class I, Class IA, Class II, Class III, or transfer train brake 
test provisions of 49 CFR part 232 or when the procedures are required 
for compliance with the Class 1, Class 1A, Class II, or running brake 
test provisions of 49 CFR part 238;
    (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 resulting in operation of a locomotive or train past any signal, 
excluding a hand or a radio signal indication or a switch, that requires 
a complete stop before passing it;
    (6) Incidents involving noncompliance with the provisions of 
restricted speed, and the operational equivalent thereof, that must be 
reported under the provisions of part 225 of this chapter;
    (7) Incidents involving occupying main track or a segment of main 
track without proper authority or permission;
    (8) Incidents involving the failure to comply with prohibitions 
against tampering with locomotive mounted safety devices, or knowingly 
operating or permitting to be operated a train with an unauthorized or 
disabled safety device in the controlling locomotive;
    (9) Incidents involving noncompliance with the railroad's operating 
practices (including train handling procedures) resulting in excessive 
in-train force levels; and
    (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.
    (h) 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 reflect 
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.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60994, Nov. 8, 1999; 74 
FR 68185, Dec. 23, 2009]



                 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

[[Page 1076]]

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 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, Office of Chief 
Counsel, Federal Railroad Administration, 1200 New Jersey Avenue, SE., 
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 petitioner's e-mail address (if available);
    (v) The name and address of the railroad; and
    (vi) 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 120 days after the date of the 
railroad's revocation decision will be denied as untimely except that 
the Locomotive Engineer Review Board for cause shown may extend the 
petition filing period at any time in its discretion:
    (1) Provided the request for extension is filed before the 
expiration of the period provided in this paragraph (d); or
    (2) Provided that the failure to timely file was the result of 
excusable neglect.
    (e) A party aggrieved by a Board decision to deny a petition as 
untimely may file an appeal with the Administrator in accordance with 
Sec. 240.411.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60995, Nov. 8, 1999; 64 
FR 70196, Dec. 16, 1999; 74 FR 25175, May 27, 2009]



Sec. 240.405  Processing qualification review petitions.

    (a) Each petition shall be acknowledged in writing by FRA. The 
acknowledgment shall contain the docket number assigned to the petition 
and a statement of FRA's intention that the Board will render a decision 
on this petition within 180 days from the date that the railroad's 
response is received or from the date upon which the railroad's response 
period has lapsed pursuant to paragraph (c) of this section.
    (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 60 days to 
submit to FRA any information that the railroad considers pertinent to 
the petition. Late filings will only be considered to the extent 
practicable.
    (d) A railroad that submits such information shall:
    (1) Identify the petitioner by name and the docket number of the 
review proceeding;

[[Page 1077]]

    (2) Provide a copy of the information being submitted to FRA to the 
petitioner.
    (3) Submit the information in triplicate to the Docket Clerk, 
Federal Railroad Administration, 1200 New Jersey Avenue, SE., 
Washington, DC 20590;
    (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.

[56 FR 28254, June 19, 1991, as amended at 64 FR 60995, Nov. 8, 1999; 74 
FR 25175, May 27, 2009]



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, 
within 20 days of service of the Board's decision on that party, file a 
written request with the U.S. Department of Transportation, Docket 
Operations (M-30), West Building Ground Floor, Room W12-140, 1200 New 
Jersey Avenue, SE., Washington, DC 20590. The form of such request may 
be in written or electronic form consistent with the standards and 
requirements established by the Federal Docket Management System and 
posted on its web site at http://www.regulations.gov.
    (c) The result of a failure to request a hearing within the period 
provided in paragraph (b) of this section is that the 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, as amended at 64 FR 70196, Dec. 16, 1999; 
74 FR 25175, May 27, 2009]



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

[[Page 1078]]

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 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

[[Page 1079]]

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 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, 1200 New Jersey 
Avenue, SE., Washington, DC 20590. A copy of the appeal shall be served 
on each party. The appeal shall set forth objections to the

[[Page 1080]]

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 remand, vacate, affirm, reverse, alter or 
modify the decision of the presiding officer and the Administrator's 
decision constitutes final agency action except where the terms of the 
Administrator's decision (for example, remanding a case to the presiding 
officer) show that the parties' administrative remedies have not been 
exhausted.
    (f) Where a party files an appeal from a Locomotive Engineer Review 
Board decision pursuant to Sec. 240.403(e), the Administrator may 
affirm or vacate the Board's decision, and may remand the petition to 
the Board for further proceedings. An Administrator's decision to affirm 
the Board's decision constitutes final agency action.

[56 FR 28254, June 19, 1991, as amended at 60 FR 53138, Oct. 12, 1995; 
64 FR 60995, Nov. 8, 1999; 74 FR 25175, May 27, 2009]



      Sec. 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
240.104--Allowing uncertified person to operate        5,000      10,000
 non-traditional locomotives....................
240.105--Failure to have or execute adequate           2,500       5,000
 procedure for 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
  (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
    (g) Failure to notify of absence of license.         750       1,500
    (h) Failure to submit request in timely              750       1,500
     manner.....................................
    (i) Failure to report within 48 hours or           1,000       2,000
     railroad taking certification action for
     not reporting earlier than 48 hours........
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-j) 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

[[Page 1081]]

 
  (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.............................
    (f) Failure of engineer to notify...........       2,500       5,000
240.123--Failure to have:
  (b) Adequate procedures for continuing               2,500       5,000
   education....................................
  (c) 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 evaluating skill         2,500       5,000
   performance..................................
  (c) adequate procedures for documenting 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) 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
  (b) 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
  (b) 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
  (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...........       1,000       2,000
  (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......................       1,000       2,000
  (b) Failure to designate those with signatory        1,000       2,000
   authority....................................
  (d) Falsification of certificate..............         (-)      10,000
240.225--Railroad Relying on Determination of
 Another:
    (a) Failure to address in program or failure       5,000       7,500
     to require newly hired engineer to take
     entire training program....................

[[Page 1082]]

 
        (1) Reliance on expired certification...       2,500       5,000
        (2) Reliance on wrong class of service..       2,500       5,000
        (3) Failure to familiarize person with         2,000       4,000
         new operational territory..............
        (4) Failure to determine knowledge......       2,000       4,000
        (5) Failure to determine performance           2,000       4,000
         skills.................................
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--Requirements for Joint Operations
 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) Failure of..............................
        (1) controlling railroad certifying            4,000       8,000
         without determining certification
         status, knowledge, skills, or
         familiarity with physical
         characteristics........................
        (2) employing railroad to determine            4,000       8,000
         person's certified and qualified status
         for controlling railroad...............
        (3) person to notify employing railroad        4,000       8,000
         of lack of qualifications..............
    (d) Failure to provide qualified person.....       2,000       4,000
240.231--Persons Qualified on Physical
 Characteristics in Other Than Joint Operations:
    (a) Person unqualified, no exception applies       5,000      10,000
     or railroad does not adequately address in
     program....................................
    (b) Failure to have a pilot.................
        (1) for engineer who has never been            4,000       8,000
         qualified..............................
        (2) for engineer previously qualified...       2,500       5,000
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) passing of stop signal..............       2,500       5,000
        (2) control of speed....................       2,500       5,000
        (3) brake tests.........................       2,500       5,000
        (4) occupancy of main track.............       2,500       5,000
        (5) tampering on operation with disabled       2,500       5,000
         safety device..........................
        (6) supervisor, pilot, or instructor           2,500       5,000
         fails to take appropriate action.......
    (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         4,000       8,000
     of limitations or railroad requiring
     engineer to exceed limitations.............
        (d) Failure of engineer to notify              4,000       8,000
         railroad of 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             2,500       5,000
     opportunity, or untimely procedures........
    (c-h) Failure of railroad to comply with           1,000       2,000
     hearing or waiver procedures...............
    (j) Failure of railroad to make record......       2,500       5,000
    (k) Failure of railroad to conduct                 5,000      10,000
     reasonable inquiry or make good faith
     determination..............................
240.309--Oversight Responsibility Report:
    (a) Failure to report or to report on time..       1,000       2,000
    (b-h) 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 $109,819 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; 64 FR 60995, Nov. 8, 1999; 69 FR 30595, May 
28, 2004; 73 FR 79704, Dec. 30, 2008; 74 FR 68185, Dec. 23, 2009; 77 FR 
24422, Apr. 24, 2012; 81 FR 43112, July 1, 2016]

[[Page 1083]]



 Sec. 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 
Sec. Sec. 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 1200 New Jersey Avenue, SE., 
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 1084]]

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 1085]]

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). However, the railroad must describe the scoring 
system used by the railroad during a skills test administered in 
accordance with the procedures required under Sec. 240.211. The 
description shall include the skills to be tested and the weight or 
possible score that each skill will be given. The section should also 
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

[[Page 1086]]

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.
    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 must also describe 
the scoring system used by the railroad during an operational monitoring 
observation or unannounced compliance test administered in accordance 
with the procedures required under Sec. 240.303. 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 Sec. Sec. 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

[[Page 1087]]

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 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.

[56 FR 28254, June 19, 1991, as amended at 74 FR 25175, May 27, 2009; 74 
FR 68185, Dec. 23, 2009]



  Sec. 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 
Sec. Sec. 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

[[Page 1088]]

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 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, 1200 
New Jersey Avenue, SE., 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

[[Page 1089]]

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 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 agency 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.

[56 FR 28254, June 19, 1991, as amended at 74 FR 25175, May 27, 2009]



   Sec. 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.

[56 FR 28254, June 19, 1991, as amended at 74 FR 68185, Dec. 23, 2009]



Sec. 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

[[Page 1090]]

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.

                   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 an 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

[[Page 1091]]

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 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.



        Sec. Appendix F to Part 240--Medical Standards Guidelines

    (1) The purpose of this appendix is to provide greater guidance on 
the procedures that should be employed in administering the vision and 
hearing requirements of Sec. Sec. 240.121 and 240,207.
    (2) In determining whether a person has the visual acuity that meets 
or exceeds the requirements of this part, the following testing 
protocols are deemed acceptable testing methods for determining whether 
a person has the ability to recognize and distinguish among the colors 
used as signals in the railroad industry. The acceptable test methods 
are shown in the left hand column and the criteria that should be 
employed to determine whether a person has failed the particular testing 
protocol are shown in the right hand column.

------------------------------------------------------------------------
             Accepted tests                      Failure criteria
------------------------------------------------------------------------
                     PSEUDOISOCHROMATIC PLATE TESTS
------------------------------------------------------------------------
American Optical Company 1965..........  5 or more errors on plates 1-
                                          15.
AOC--Hardy-Rand-Ritter plates--second    Any error on plates 1-6 (plates
 edition.                                 1-4 are for demonstration--
                                          test plate 1 is actually plate
                                          5 in book)
Dvorine--Second edition................  3 or more errors on plates 1-15
Ishihara (14 plate)....................  2 or more errors on plates 1-
                                          11.
Ishihara (16 plate)....................  2 or more errors on plates 1-8.
Ishihara (24 plate)....................  3 or more errors on plates 1-
                                          15.
Ishihara (38 plate)....................  4 or more errors on plates 1-
                                          21.
Richmond Plates 1983...................  5 or more errors on plates 1-
                                          15.
------------------------------------------------------------------------
                       MULTIFUNCTION VISION TESTER
------------------------------------------------------------------------
Keystone Orthoscope....................  Any error.
OPTEC 2000.............................  Any error.
Titmus Vision Tester...................  Any error.
Titmus II Vision Tester................  Any error.
------------------------------------------------------------------------

    (3) In administering any of these protocols, the person conducting 
the examination should be aware that railroad signals do not always 
occur in the same sequence and that ``yellow signals'' do not always 
appear to be the same. It is not acceptable to use ``yarn''

[[Page 1092]]

or other materials to conduct a simple test to determine whether the 
certification candidate has the requisite vision. No person shall be 
allowed to wear chromatic lenses during an initial test of the person's 
color vision; the initial test is one conducted in accordance with one 
of the accepted tests in the chart and Sec. 240.121(c)(3).
    (4) An examinee who fails to meet the criteria in the chart, may be 
further evaluated as determined by the railroad's medical examiner. 
Ophthalmologic referral, field testing, or other practical color testing 
may be utilized depending on the experience of the examinee. The 
railroad's medical examiner will review all pertinent information and, 
under some circumstances, may restrict an examinee who does not meet the 
criteria from operating the train at night, during adverse weather 
conditions or under other circumstances. The intent of Sec. 240.121(e) 
is not to provide an examinee with the right to make an infinite number 
of requests for further evaluation, but to provide an examinee with at 
least one opportunity to prove that a hearing or vision test failure 
does not mean the examinee cannot safely operate a locomotive or train. 
Appropriate further medical evaluation could include providing another 
approved scientific screening test or a field test. All railroads should 
retain the discretion to limit the number of retests that an examinee 
can request but any cap placed on the number of retests should not limit 
retesting when changed circumstances would make such retesting 
appropriate. Changed circumstances would most likely occur if the 
examinee's medical condition has improved in some way or if technology 
has advanced to the extent that it arguably could compensate for a 
hearing or vision deficiency.
    (5) Engineers who wear contact lenses should have good tolerance to 
the lenses and should be instructed to have a pair of corrective glasses 
available when on duty.

[64 FR 60996, Nov. 8, 1999]



PART 241_UNITED STATES LOCATIONAL REQUIREMENT FOR DISPATCHING OF
UNITED STATES RAIL OPERATIONS--Table of Contents



Sec.
241.1 Purpose and scope.
241.3 Application and responsibility for compliance.
241.5 Definitions.
241.7 Waivers.
241.9 Prohibition against extraterritorial dispatching; exceptions.
241.11 Prohibition against conducting a railroad operation dispatched by 
          an extraterritorial dispatcher; exceptions.
241.13 Prohibition against track owner's requiring or permitting use of 
          its line for a railroad operation dispatched by an 
          extraterritorial dispatcher; exceptions.
241.15 Penalties and other consequences for noncompliance.
241.17 Preemptive effect.
241.19 Information collection.

Appendix A to Part 241--List of Lines Being Extraterritorially 
          Dispatched in Accordance With the Regulations Contained in 49 
          CFR Part 241, Revised as of October 1, 2002
Appendix B to Part 241--Schedule of Civil Penalties
Appendix C to Part 241--Geographical Boundaries of FRA's Regions and 
          Addresses of FRA's Regional Headquarters

    Authority: 49 U.S.C. 20103, 20107, 21301, 21304, 21311; 28 U.S.C. 
2461, note; 49 CFR 1.89.

    Source: 67 FR 75960, Dec. 10, 2002, unless otherwise noted.



Sec. 241.1  Purpose and scope.

    (a) The purpose of this part is to prevent railroad accidents and 
incidents, and consequent injuries, deaths, and property damage, that 
would result from improper dispatching of railroad operations in the 
United States by individuals located outside of the United States.
    (b) This part prohibits extraterritorial dispatching of railroad 
operations, conducting railroad operations that are extraterritorially 
dispatched, and allowing track to be used for such operations, subject 
to certain stated exceptions. This part does not restrict a railroad 
from adopting and enforcing additional or more stringent requirements 
not inconsistent with this part.



Sec. 241.3  Application and responsibility for compliance.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all railroads.
    (b) This part does not apply to--
    (1) A railroad that operates only on track inside an installation 
that is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    (c) Although the duties imposed by this part are generally stated in 
terms

[[Page 1093]]

of a duty of a railroad, each person, including a contractor for a 
railroad, who performs a function covered by this part, shall perform 
that function in accordance with this part.



Sec. 241.5  Definitions.

    As used in this part:
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Dispatch means--
    (1) To perform a function that would be classified as a duty of a 
``dispatching service employee,'' as that term is defined by the hours 
of service laws at 49 U.S.C. 21101(2), if the function were to be 
performed in the United States. For example, to dispatch means, by the 
use of an electrical or mechanical device--
    (i) To control the movement of a train or other on-track equipment 
by the issuance of a written or verbal authority or permission affecting 
a railroad operation, or by establishing a route through the use of a 
railroad signal or train control system but not merely by aligning or 
realigning a switch; or
    (ii) To control the occupancy of a track by a roadway worker or 
stationary on-track equipment, or both; or
    (iii) To issue an authority for working limits to a roadway worker.
    (2) The term dispatch does not include the action of personnel in 
the field--
    (i) Effecting implementation of a written or verbal authority or 
permission affecting a railroad operation or an authority or permission 
affecting a railroad operation or an authority for working limits to a 
roadway worker (e.g., initiating an interlocking timing device, 
authorizing a train to enter working limits); or
    (ii) Operating a function of a signal system designed for use by 
those personnel.
    Dispatcher means any individual who dispatches.
    Emergency means an unexpected and unforeseeable event or situation 
that affects a railroad's ability to use a dispatcher in the United 
States to dispatch a railroad operation in the United States and that, 
absent the railroad's use of an extraterritorial dispatcher to dispatch 
the railroad operation, would either materially disrupt rail service or 
pose a substantial safety hazard.
    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.
    Extraterritorial dispatcher means a dispatcher who, while located 
outside of the United States, dispatches a railroad operation that 
occurs in the United States.
    Extraterritorial dispatching means the act of dispatching a railroad 
operation that occurs on trackage in the United States by a dispatcher 
located outside of the United States.
    Fringe border dispatching means the act of extraterritorial 
dispatching a railroad operation that occurs on trackage in the United 
States immediately adjacent to the border between the United States and 
Canada or the border between the United States and Mexico by a 
dispatcher who is a railroad employee located in Canada or Mexico.
    FRA means the Federal Railroad Administration, United States 
Department of Transportation.
    Movement of a train means the movement of one or more locomotives 
coupled with or without cars, requiring an air brake test in accordance 
with part 232 or part 238 of this chapter, 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.
    Occupancy of a track by a roadway worker or stationary on-track 
equipment or both refers to the physical presence of a roadway worker or 
stationary on-track equipment, or both, on a track for the purpose of 
making an inspection, repair, or another activity not associated with 
the movement of a train or other on-track equipment.
    Person means an entity of a 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; an owner, 
manufacturer, lessor, or lessee

[[Page 1094]]

of railroad equipment, track, or facilities; an independent contractor 
providing goods or services to a railroad; and an employee of such 
owner, manufacturer, lessor, lessee, or independent contractor.
    Railroad means any form of nonhighway ground transportation that 
runs on rails or electromagnetic guideways and any person providing such 
transportation, including--
    (1) 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
    (2) 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.
    Railroad contractor means a contractor to a railroad or a 
subcontractor to a contractor to a railroad.
    Railroad operation means the movement of a train or other on-track 
equipment (other than on-track equipment used in a switching operation 
or where the operation is that of classifying and assembling rail cars 
within a railroad yard for the purpose of making or breaking up a 
train), or the activity that is the subject of an authority issued to a 
roadway worker for working limits.
    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.
    State means a State of the United States of America or the District 
of Columbia.
    United States means all of the States.
    Working limits means a segment of track with definite boundaries 
established in accordance with part 214 of this chapter 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 in part 214 
of this chapter.



Sec. 241.7  Waivers.

    (a) General. (1) A person subject to a requirement of this part may 
petition the Administrator for a waiver of compliance with such 
requirement. Except as provided in paragraph (b) of this section, the 
filing of such a petition does not affect that person's responsibility 
for compliance with that requirement while the petition is being 
considered.
    (2) (i) Each petition for waiver under this section shall be filed 
in the manner and contain the information required by part 211 of this 
chapter.
    (ii) Petitions seeking approval to conduct fringe border operations 
shall also comply with the requirements of paragraph (c) of this 
section.
    (iii) Petitioners not filing under paragraph (c) of this section 
should review the guidelines at 66 FR 63942 (Dec. 11, 2001), and frame 
their petitions to address the safety and security concerns articulated 
in the preamble, or contact the Office of the Chief Counsel, RCC-12, 
FRA, 1200 New Jersey Avenue, SE., Stop 10, Washington, DC 20590, for a 
copy of the guidelines.
    (3) 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 that the 
Administrator deems necessary.
    (b) Special dispensation for existing extraterritorial dispatching. 
(1) A railroad that files a waiver request seeking to continue 
extraterritorial dispatch of an operation that it has dispatched from 
Canada or Mexico pursuant to regulations contained in 49 CFR part 241, 
revised as of October 1, 2002, may continue extraterritorial dispatching 
of that operation until the railroad's waiver request is acted upon by 
FRA if the petition is filed no later than April 11, 2003.
    (2) If the waiver request is for an operation not listed in appendix 
A to this

[[Page 1095]]

part, the waiver request must describe when the extraterritorial 
dispatching of the operation commenced and how the dispatching was 
authorized by regulations contained in 49 CFR part 241, revised as of 
October 1, 2002. FRA will notify the railroad if FRA determines that the 
operation was not permitted by the terms of those regulations.
    (c) Fringe border dispatching. (1) A waiver request to have a 
railroad employee located in Canada or in Mexico dispatch a railroad 
operation in the United States immediately adjacent to the border of the 
country in which the dispatcher conducts the dispatching will generally 
be approved by FRA, subject to any conditions imposed by FRA, if the 
waiver request meets all of the terms of paragraphs (c)(2) and (3) of 
this section. A proponent of a waiver request may seek relief from the 
terms of paragraphs (c)(2) and (3) of this section.
    (2) The railroad proposing to conduct the fringe border dispatching 
shall supply the following documents as part of the waiver request:
    (i) A description, by railroad division, applicable subdivision(s), 
and mileposts, of the line proposed to be dispatched;
    (ii) A copy of the operating rules of the railroad that would apply 
to the proposed fringe border dispatching, including hours of service 
limitations, and the railroad's program for testing the dispatchers in 
accordance with these operating rules and for ensuring that the 
dispatchers do not work in excess of the hours of service restrictions;
    (iii) A copy of the railroad's drug and alcohol abuse prevention 
program that applies to the fringe border dispatchers. The program 
shall, to the extent permitted by the laws of the country where the 
dispatching occurs, contain the following:
    (A) Preemployment drug testing;
    (B) A general prohibition on possession and use of alcohol and drugs 
while on duty;
    (C) Reasonable cause alcohol and drug testing;
    (D) A policy dealing with co-worker and self-reporting of alcohol 
and drug abuse problems;
    (E) Post-accident testing; and
    (F) Random drug testing;
    (iv) The steps the railroad has taken to ensure the security of the 
dispatch center where the fringe border dispatching will take place;
    (v) The railroad's plans for complying with the requirements of 
paragraph (c)(3) of this section; and
    (vi) A verification from a government agency in the country where 
the dispatching will occur that the agency has safety jurisdiction over 
the railroad and the proposed dispatching, and that the railroad's 
safety programs referenced in paragraphs (c)(2)(ii) and (iii) of this 
section meet the safety requirements established by the agency or, in 
the absence of established safety requirements, that the programs are 
satisfactory to the agency.
    (3) Except as otherwise approved by FRA, fringe border dispatching 
must comply with the following requirements:
    (i) The trackage in the United States being extraterritorially 
dispatched shall not exceed the following route miles, measured from the 
point that the trackage crosses the United States border:
    (A) For operations conducted pursuant to the regulations contained 
in 49 CFR part 241, revised as of October 1, 2002, the route miles shall 
be the miles normally operated by the railroad in conducting the 
operation; and
    (B) For all other operations, the route miles shall not exceed five 
miles.
    (ii) Except for unforeseen circumstances such as equipment failure, 
accident, casualty, or incapacitation of a crew member, each 
extraterritorially dispatched train shall be under the control of the 
same assigned crew for the entire trip over the extraterritorially 
dispatched trackage.
    (iii) The fringe border dispatcher shall communicate instructions to 
the train crew and maintenance of way employees working on the line in 
the English language and, when referencing units of measurement, shall 
use English units of measurement.
    (iv) The rail line shall be under the exclusive control of a single 
dispatching district or desk; and
    (v) The dispatching of the train shall be transferred from the 
fringe border dispatcher to a dispatcher located in

[[Page 1096]]

the United States at one of the following locations within the mileage 
limits mandated in paragraph (c)(3)(i) of this section:
    (A) Interchange point;
    (B) Signal control point;
    (C) Junction of two rail lines;
    (D) Established crew change point;
    (E) Yard or yard limits location;
    (F) Inspection point for U.S. Customs, Immigration and 
Naturalization Service, Department of Agriculture, or other governmental 
inspection; or
    (G) Location where there is a change in the method of train 
operations.

[67 FR 75960, Dec. 10, 2002, as amended at 74 FR 25175, May 27, 2009]



Sec. 241.9  Prohibition against extraterritorial dispatching;
exceptions.

    (a) General. Except as provided in Sec. 241.7(d) and paragraphs (b) 
and (c) of this section, a railroad subject to this part shall not 
require or permit a dispatcher located outside the United States to 
dispatch a railroad operation that occurs in the United States if the 
dispatcher is employed by the railroad or by a contractor to the 
railroad.
    (b) Transitional period to continue existing extraterritorial 
dispatching. A railroad that has normally extraterritorially dispatched 
railroad track in the United States from Canada or Mexico pursuant to 
the regulations contained in 49 CFR part 241, revised as of October 1, 
2002, may continue extraterritorial dispatching of that railroad track 
until April 10, 2003, to permit the railroad an opportunity to file a 
waiver request pursuant to Sec. 241.7.
    (c) Emergencies. (1) In an emergency situation, a railroad may 
require or permit one of its dispatchers located outside the United 
States to dispatch a railroad operation that occurs in the United 
States, provided that:
    (i) The dispatching railroad notifies the FRA Regional Administrator 
of each FRA region where the railroad operation was conducted, in 
writing as soon as practicable, of the emergency; and
    (ii) The extraterritorial dispatching is limited to the duration of 
the emergency.
    (2) Written notification may be made either on paper or by 
electronic mail.
    (3) A list of the States that make up the FRA regions and the street 
and e-mail addresses and fax numbers of the FRA Regional Administrators 
appears in appendix C to this part.
    (d) Liability. The Administrator may hold either the railroad that 
employs the dispatcher or the railroad contractor that employs the 
dispatcher, or both, responsible for compliance with this section and 
subject to civil penalties under Sec. 241.15.



Sec. 241.11  Prohibition against conducting a railroad operation 
dispatched by an extraterritorial dispatcher; exceptions.

    (a) General. Except as provided in Sec. 241.5(d) or paragraphs (b) 
and (c) of this section, a railroad subject to this part shall not 
conduct, or contract for the conduct of, a railroad operation in the 
United States that is dispatched from a location outside of the United 
States.
    (b) Transitional period to continue existing extraterritorial 
dispatching. A railroad that has normally conducted, or contracted for 
the conduct of, a railroad operation in the United States that is 
extraterritorially dispatched pursuant to the regulations contained in 
49 CFR part 241, revised as of October 1, 2002, may continue to conduct 
or contract for the conduct of the operation until April 10, 2003, to 
permit the railroad an opportunity to file a waiver request pursuant to 
Sec. 241.7.
    (c) Emergencies. (1) In an emergency situation, a railroad may 
conduct, or contract for the conduct of, a railroad operation in the 
United States that is dispatched from a location outside the United 
States, provided that:
    (i) The dispatching railroad notifies the FRA Regional Administrator 
of each FRA region where the railroad operation was conducted, in 
writing as soon as practicable, of the emergency; and
    (ii) The extraterritorial dispatching is limited to the duration of 
the emergency.
    (2) Written notification may be made either on paper or by 
electronic mail.
    (3) A list of the States that make up the FRA regions and the street 
and e-

[[Page 1097]]

mail addresses and fax numbers of the FRA Regional Administrators 
appears in appendix C to this part.
    (d) Liability. The Administrator may hold either the railroad that 
conducts the railroad operation or the railroad contractor that conducts 
the operation, or both, responsible for compliance with this section and 
subject to civil penalties under Sec. 241.15.



Sec. 241.13  Prohibition against track owner's requiring or permitting
use of its line for a railroad operation dispatched by an
extraterritorial dispatcher; exceptions.
          

    (a) General. Except as provided in paragraphs (b) and (c) of this 
section, an owner of railroad track located in the United States shall 
not require or permit the track to be used for a railroad operation that 
is dispatched from outside the United States.
    (b) Transitional period to continue existing extraterritorial 
dispatching. An owner of a track segment located in the United States 
that is extraterritorially dispatched pursuant to the regulations 
contained in 49 CFR 241, revised as of October 1, 2002, may require or 
permit the track segment to be continued to be used for a railroad 
operation that is extraterritorially dispatched until April 10, 2003, to 
permit the railroad an opportunity to file a waiver request pursuant to 
Sec. 241.7.
    (c) Emergencies. In an emergency situation, an owner of railroad 
track located in the United States may require or permit the track to be 
used for a railroad operation that is dispatched from outside the United 
States, provided that:
    (1) The dispatching railroad notifies the FRA Regional Administrator 
of each FRA region where the operation was conducted, in writing as soon 
as practicable, of the emergency and
    (2) The extraterritorial dispatching is limited to the duration of 
the emergency. Written notification may be made either on paper or by 
electronic mail.
    (d) Liability. The Administrator may hold either the track owner or 
the assignee under Sec. 213.5(c) of this chapter (if any), or both, 
responsible for compliance with this section and subject to civil 
penalties under Sec. 241.15. A common carrier by railroad that is 
directed by the Surface Transportation Board to provide service over the 
track in the United States of another railroad under 49 U.S.C. 11123 is 
considered the owner of that track for the purposes of the application 
of this section during the period that the directed service order 
remains in effect.



Sec. 241.15  Penalties and other consequences for noncompliance.

    (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 $839 and not more than $27,455 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 $109,819 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense.
    (b) An individual who violates any requirement of this part or 
causes the violation of any such requirement may be subject to 
disqualification from safety-sensitive service in accordance with part 
209 of this chapter.
    (c) A 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.

[67 FR 75960, Dec. 10, 2002, as amended at 69 FR 30595, May 28, 2004; 72 
FR 51198, Sept. 6, 2007; 73 FR 79704, Dec. 30, 2008; 77 FR 24423, Apr. 
24, 2012; 81 FR 43112, July 1, 2016]



Sec. 241.17  Preemptive effect.

    Under 49 U.S.C. 20106, the regulations in this part preempt 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 does not impose an unreasonable burden on interstate 
commerce.

[[Page 1098]]



Sec. 241.19  Information collection.

    (a) The information collection requirements of this part are being 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.).
    (b) The information collection requirements are found in the 
following sections: Sec. 241.7(a), (b), (c); 241.9(c); 241.11(c); 
241.13(c); and 214.15. When an effective date for these sections is 
established, FRA will publish notice of that date in the Federal 
Register.



  Sec. Appendix A to Part 241--List of Lines Being Extraterritorially 
 Dispatched in Accordance With the Regulations Contained in 49 CFR Part 
                   241, Revised as of October 1, 2002

------------------------------------------------------------------------
 Description of United States    Length of United
      track segment being         States' track     Railroad conducting
 extraterritorially dispatched       segment          the dispatching
------------------------------------------------------------------------
Maine: Between Vanceboro,       99 miles.........  Eastern Maine Ry. Co.
 Maine and Brownville
 Junction, Maine.
Michigan:
    U.S. trackage between       1.8 miles........  Canadian Pacific
     Windsor, Ontario, and                          Railway Company.
     Detroit, Michigan.
    U.S. trackage between       3.1 miles........  Canadian National
     Sarnia, Ontario, and Port                      Railway Company
     Huron, Michigan.                               (CN).
Minnesota: Sprague              43.8 miles.......  CN.
 Subdivision, between
 Baudette, Minnesota, and
 International Boundary,
 Minnesota.
------------------------------------------------------------------------



      Sec. Appendix B to Part 241--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
                                                               Willful
                  Section \2\                    Violation    violation
------------------------------------------------------------------------
241.9(a) Requiring or permitting                     $7,500      $11,000
 extraterritorial dispatching of a railroad
 operation....................................
    (b) Failing to notify FRA about                   5,000        7,500
     extraterritorial dispatching of a
     railroad operation in an emergency
     situation................................
241.11 Conducting a railroad operation that is
 extraterritorially dispatched:
    (a)(1) Generally..........................        7,500       11,000
    (a)(2) In an emergency situation-where            2,500        5,000
     dispatching railroad fails to notify FRA
     of the extraterritorial dispatching......
241.13 Requiring or permitting track to be
 used for the conduct of a railroad operation
 that is extraterritorially dispatched:
    (a)(1) Generally..........................        7,500       11,000
    (a)(2) In an emergency situation-where            2,500       5,000
     dispatching railroad fails to notify FRA
     of the extraterritorial dispatching......
------------------------------------------------------------------------
\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 $109,819 for any violation where circumstances warrant. See 49
  U.S.C. 21301, 21304 and 49 CFR part 209, appendix A.
\2\ Further designations for certain provisions, not found in the CFR
  citation for those provisions, and not found in this appendix, 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 civil penalty demand letter.


[67 FR 75960, Dec. 10, 2002, as amended at 73 FR 79705, Dec. 30, 2008; 
77 FR 24423, Apr. 24, 2012; 81 FR 43112, July 1, 2016]



 Sec. Appendix C to Part 241--Geographical Boundaries of FRA's Regions 
              and Addresses of FRA's Regional Headquarters

    The geographical boundaries of FRA's eight regions and the addresses 
for the regional headquarters of those regions are as follows:
    (1) Region 1 consists of Maine, Vermont, New Hampshire, New York, 
Massachusetts, Rhode Island, Connecticut, and New Jersey. The mailing 
address of the Regional Headquarters is: 55 Broadway, Room 1077, 
Cambridge, Massachusetts 02142. The fax number is 617-494-2967. The 
electronic mail (E-mail) address of the Regional Administrator for 
Region 1 is: [email protected].
    (2) Region 2 consists of Pennsylvania, Delaware, Maryland, Ohio, 
West Virginia, Virginia, and Washington, DC. The mailing address of the 
Regional Headquarters is: Two International Plaza, Suite 550, 
Philadelphia, Pennsylvania 19113. The fax number is 610-521-8225. The E-
mail address of the Regional Administrator for Region 2 is: 
[email protected].

[[Page 1099]]

    (3) Region 3 consists of Kentucky, Tennessee, North Carolina, South 
Carolina, Georgia, Alabama, Mississippi, and Florida. The mailing 
address of the Regional Headquarters is: Atlanta Federal Center, 61 
Forsythe Street, SW., Suite 16T20, Atlanta, Georgia 30303. The fax 
number is 404-562-3830. The E-mail address of the Regional Administrator 
for Region 3 is: [email protected].
    (4) Region 4 consists of Minnesota, Wisconsin, Michigan, Illinois, 
and Indiana. The mailing address of the Regional Headquarters is: 300 
West Adams Street, Rm 310, Chicago, Illinois 60606. The fax number is 
312-886-9634. The E-mail address of the Regional Administrator for 
Region 4 is: [email protected].
    (5) Region 5 consists of New Mexico, Oklahoma, Arkansas, Louisiana 
and Texas. The mailing address of the Regional Headquarters is: 4100 
International Plaza, Suite 450, Fort Worth, Texas, 76109-4820. The fax 
number is 817-284-3804. The E-mail address of the Regional Administrator 
for Region 5 is: [email protected].
    (6) Region 6 consists of Nebraska, Iowa, Colorado, Kansas, and 
Missouri. The mailing address of the Regional Headquarters is: 911 
Locust Street, Suite 464, Kansas City, Missouri 64106. The fax number is 
816-329-3867. The E-mail address of the Regional Administrator for 
Region 6 is: [email protected].
    (7) Region 7 consists of California, Nevada, Utah, Arizona, and 
Hawaii. The mailing address of the Regional Headquarters is: 801 I 
Street, Suite 466, Sacramento, California 95814. The fax number is 916-
498-6546. The E-mail address of the Regional Administrator for Region 7 
is: [email protected].
    (8) Region 8 consists of Washington, Idaho, Montana, North Dakota, 
Oregon, Wyoming, South Dakota, and Alaska. The mailing address of the 
Regional Headquarters is: Murdock Executive Plaza, 703 Broadway, Suite 
650, Vancouver, Washington 98660. The fax number is 360-696-7548. The E-
mail address of the Regional Administrator for Region 8 is: 
[email protected].

[67 FR 75960, Dec. 10, 2002, as amended at 69 FR 30595, May 28, 2004]



PART 242_QUALIFICATION AND CERTIFICATION OF CONDUCTORS--
Table of Contents



                            Subpart A_General

Sec.
242.1 Purpose and scope.
242.3 Application and responsibility for compliance.
242.5 Effect and construction.
242.7 Definitions.
242.9 Waivers.
242.11 Penalties and consequences for noncompliance.
242.13 Information collection requirements.

             Subpart B_Program and Eligibility Requirements

242.101 Certification program required.
242.103 Approval of design of individual railroad programs by FRA.
242.105 Schedule for implementation.
242.107 Types of service.
242.109 Determinations required for certification and recertification.
242.111 Prior safety conduct as motor vehicle operator.
242.113 Prior safety conduct as an employee of a different railroad.
242.115 Substance abuse disorders and alcohol drug rules compliance.
242.117 Vision and hearing acuity.
242.119 Training.
242.121 Knowledge testing.
242.123 Monitoring operational performance.
242.125 Certification determinations made by other railroads.
242.127 Reliance on qualification requirements of other countries.

          Subpart C_Administration of the Certification Program

242.201 Time limitations for certification.
242.203 Retaining information supporting determinations.
242.205 Identification of certified persons and recordkeeping.
242.207 Certificate components.
242.209 Maintenance of the certificate.
242.211 Replacement of certificates.
242.213 Multiple certifications.
242.215 Railroad oversight responsibilities.

        Subpart D_Territorial Qualification and Joint Operations

242.301 Requirements for territorial qualification.

            Subpart E_Denial and Revocation of Certification

242.401 Denial of certification.
242.403 Criteria for revoking certification.
242.405 Periods of ineligibility.
242.407 Process for revoking certification.

                 Subpart F_Dispute Resolution Procedures

242.501 Review board established.
242.503 Petition requirements.
242.505 Processing certification review petitions.
242.507 Request for a hearing.
242.509 Hearings.
242.511 Appeals.

[[Page 1100]]


Appendix A to Part 242--Schedule of Civil Penalties
Appendix B to Part 242--Procedures for Submission and Approval of 
          Conductor Certification Programs
Appendix C to Part 242--Procedures for Obtaining and Evaluating Motor 
          Vehicle Driving Record Data
Appendix D to Part 242--Medical Standards Guidelines
Appendix E to Part 242--Application of Rrevocable Events

    Authority: 49 U.S.C. 20103, 20107, 20135, 20138, 20162, 20163, 
21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    Source: 76 FR 69841, Nov. 9, 2011, unless otherwise noted.



                            Subpart A_General



Sec. 242.1  Purpose and scope.

    (a) The purpose of this part is to ensure that only those persons 
who meet minimum Federal safety standards serve as conductors, to reduce 
the rate and number of accidents and incidents and to improve railroad 
safety.
    (b) This part prescribes minimum Federal safety standards for the 
eligibility, training, testing, certification and monitoring of all 
conductors to whom it applies. This part does not restrict a railroad 
from adopting and enforcing additional or more stringent requirements 
consistent with this part.
    (c) The conductor certification requirements prescribed in this part 
apply to any person who meets the definition of conductor contained in 
Sec. 242.7, regardless of the fact that the person may have a job 
classification title other than that of conductor.



Sec. 242.3  Application and responsibility for compliance.

    (a) This part applies to all railroads, except:
    (1) Railroads that operate only on track inside an installation that 
is not part of the general railroad system of transportation (i.e., 
plant railroads, as defined in Sec. 242.7);
    (2) Tourist, scenic, historic, or excursion operations that are not 
part of the general railroad system of transportation as defined in 
Sec. 242.7; or
    (3) Rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    (b) Although the duties imposed by this part are generally stated in 
terms of the duty of a railroad, each person, including a contractor for 
a railroad, who performs any function covered by this part, must perform 
that function in accordance with this part.



Sec. 242.5  Effect and construction.

    (a) FRA does not intend, by use of the term conductor in this part, 
to alter the terms, conditions, or interpretation of existing collective 
bargaining agreements that employ other job classification titles when 
identifying a person who is the crew member in charge of a movement that 
requires a locomotive engineer.
    (b) FRA does not intend by issuance of these regulations to 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.
    (c) Except as provided in Sec. 242.213, nothing in this part shall 
be construed to create or prohibit 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.
    (d) 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 removal from service or other adverse action taken as a 
consequence of this part.



Sec. 242.7  Definitions.

    As used in this part--
    Administrator means the Administrator of the FRA or the 
Administrator's delegate.
    Alcohol means ethyl alcohol (ethanol) and includes use or possession 
of any beverage, mixture, or preparation containing ethyl alcohol.
    Conductor means the crewmember in charge of a ``train or yard crew'' 
as defined in part 218 of this chapter. See also the definition of 
``passenger conductor'' in this section.

[[Page 1101]]

    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).
    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.
    Drug and alcohol counselor (DAC) means a person who meets the 
credentialing and qualification requirements of a ``Substance Abuse 
Professional'' (SAP), as provided in 49 CFR part 40.
    Dual purpose vehicle means a piece of on-track equipment that is 
capable of moving railroad rolling stock and may also function as 
roadway maintenance equipment.
    File, filed and filing mean submission of a document under this part 
on the date when the Docket Clerk receives it, or if sent by mail, the 
date mailing was completed.
    FRA means the Federal Railroad Administration.
    FRA representative means the FRA Associate Administrator for 
Railroad Safety/Chief Safety Officer 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.
    Ineligible or ineligibility means that a person is legally 
disqualified from serving as a certified conductor. The term covers a 
number of circumstances in which a person may not serve as a certified 
conductor. Revocation of certification pursuant to Sec. 242.407 and 
denial of certification pursuant to Sec. 242.401 are two examples in 
which a person would be ineligible to serve as a conductor. A period of 
ineligibility may end when a condition or conditions are met. For 
example, when a person meets the conditions to serve as a conductor 
following an alcohol or drug violation pursuant to Sec. 242.115.
    Job aid means information regarding other than main track physical 
characteristics that supplements the operating instructions of the 
territory over which the locomotive or train movement will occur. See 
definitions of ``main track'' and ``physical characteristics'' in this 
section. A job aid may consist of training on the territory pursuant to 
Sec. 242.119, maps, charts or visual aids of the territory, or a person 
or persons to contact who are qualified on the territory and who can 
describe the physical characteristics of the territory. At a minimum, a 
job aid must cover characteristics of a territory including: permanent 
close clearances, location of permanent derails and switches, assigned 
radio frequencies in use and special instructions required for movement, 
if any, and railroad-identified unique operating conditions.
    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 
specialized roadway maintenance equipment or a dual purpose vehicle 
operating in accordance with Sec. 240.104(a)(2) of this chapter):
    (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 
Sec. Sec. 218.5 and 218.29(a)(1) of this chapter; or

[[Page 1102]]

    (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.
    Locomotive engineer certificate means a certificate issued pursuant 
to part 240 of this chapter.
    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; positive train 
control as defined in part 236 of this chapter; 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 make an honest and fully informed 
evaluation of the condition of an employee.
    On-the-job training means job training that occurs in the workplace, 
i.e., the employee learns the job while doing the job.
    Passenger conductor means a conductor who has also received 
emergency preparedness training under part 239 of this chapter. See also 
the definition of ``conductor'' in this section.
    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.
    Physical characteristics means the actual track profile of and 
physical location for points within a specific yard or route that affect 
the movement of a locomotive or train. Physical characteristics includes 
both main track physical characteristics (see definition of ``main 
track'' in this section) and other than main track physical 
characteristics.
    Plant railroad means a plant or installation that owns or leases a 
locomotive, uses that locomotive to switch cars throughout the plant or 
installation, and is moving goods solely for use in the facility's own 
industrial processes. The plant or installation could include track 
immediately adjacent to the plant or installation if the plant railroad 
leases the track from the general system railroad and the 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. A plant or installation 
that operates a locomotive to switch or move cars for other entities, 
even if solely within the confines of the plant or installation, rather 
than for its own purposes or industrial processes, will not be 
considered a plant railroad because the performance of such activity 
makes the operation part of the general railroad system of 
transportation.
    Qualified means a person who has successfully completed all 
instruction, training and examination programs required by the employer, 
and the applicable parts of this chapter and that the person therefore 
may reasonably be expected to be proficient on all safety related tasks 
the person is assigned to perform.
    Qualified instructor means a person who has demonstrated, pursuant 
to the railroad's written program, an adequate knowledge of the subjects 
under instruction and, where applicable, has the necessary operating 
experience to effectively instruct in the field, and has the following 
qualifications:
    (1) Is a certified conductor under this part; and
    (2) Has been selected as such by a designated railroad officer, in 
concurrence with the designated employee representative, where present; 
or
    (3) In absence of concurrence provided in paragraph (2) of this 
definition, has a minimum of 12 months service working as a train 
service employee.
    If a railroad does not have designated employee representation, then 
a person

[[Page 1103]]

employed by the railroad need not comply with paragraphs (2) or (3) of 
this definition to be a qualified instructor.
    Railroad means any form of nonhighway ground transportation that 
runs on rails or electromagnetic guideways and any entity providing such 
transportation, including:
    (1) 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
    (2) 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.
    Railroad officer means any supervisory employee of a railroad.
    Railroad rolling stock is on-track equipment that is either a 
``railroad freight car'' (as defined in Sec. 215.5 of this chapter) or 
a ``passenger car'' (as defined in Sec. 238.5 of this chapter).
    Remote control operator (RCO) means a certified locomotive engineer, 
as defined in Sec. 240.7 of this chapter, certified by a railroad to 
operate remote control locomotives pursuant to Sec. 240.107 of this 
chapter.
    Roadway maintenance equipment is on-track equipment powered by any 
means of energy other than hand power which is used in conjunction with 
maintenance, repair, construction or inspection of track, bridges, 
roadway, signal, communications, or electric traction systems.
    Serve or service, in the context of serving documents, has the 
meaning given in Rule 5 of the Federal Rules of Civil Procedure as 
amended. Similarly, the computation of time provisions in Rule 6 of the 
Federal Rules of Civil Procedure as amended are also applicable in this 
part. See also the definition of ``filing'' in this section.
    Specialized roadway maintenance equipment is roadway maintenance 
equipment that does not have the capability to move railroad rolling 
stock. Any alteration of such equipment that enables it to move railroad 
rolling stock will require that the equipment be treated as a dual 
purpose vehicle.
    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 is currently using alcohol or 
other drugs, except under medical supervision consistent with the 
restrictions described in Sec. 219.103 of this chapter or has failed to 
successfully complete primary treatment or successfully participate in 
aftercare as directed by a DAC or SAP.
    Substance Abuse Professional (SAP) means a person who meets the 
qualifications of a substance abuse professional, as provided in part 40 
of this title.
    Territorial qualifications means possessing the necessary knowledge 
concerning a railroad's operating rules and timetable special 
instructions including familiarity with applicable main track and other 
than main track physical characteristics of the territory over which the 
locomotive or train movement will occur.
    Tourist, scenic, historic, or excursion operations that are not part 
of the general railroad system of transportation means a tourist, 
scenic, historic, or excursion operation conducted only on track used 
exclusively for that purpose (i.e., there is no freight, intercity 
passenger, or commuter passenger railroad operation on the track).



Sec. 242.9  Waivers.

    (a) A 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 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

[[Page 1104]]

safety, the Administrator may grant the waiver subject to any conditions 
the Administrator deems necessary.



Sec. 242.11  Penalties and consequences for noncompliance.

    (a) A 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 $839 and not more than $27,455 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 $109,819 
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) A person 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) A 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.
    (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 rail safety laws.

[76 FR 69841, Nov. 9, 2011, as amended at 77 FR 24423, Apr. 24, 2012; 81 
FR 43113, July 1, 2016]



Sec. 242.13  Information collection requirements.

    (a) The information collection requirements of this Part are being 
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 not 
yet been assigned an OMB control number.
    (b) The information collection requirements are found in the 
following sections: Sec. Sec. 242.9, 242.101, 242.103, 242.105, 
242.107, 242.109, 242.111, 242.113, 242.115, 242.117, 242.119, 242.121, 
242.123, 242.125, 242.127, 242.203, 242.205, 242.209, 242.211, 242.213, 
242.215, 242.301, 242.401, 242.403, 242.405, and 242.407.



             Subpart B_Program and Eligibility Requirements



Sec. 242.101  Certification program required.

    (a) After the pertinent date specified in Sec. 242.105(d) or (e), 
each railroad shall have a certification program approved in accordance 
with Sec. 242.103 that includes:
    (1) A designation of the types of service that it determines will be 
used in compliance with the criteria established in Sec. 242.107;
    (2) A procedure for evaluating prior safety conduct that complies 
with the criteria established in Sec. 242.109;
    (3) A procedure for evaluating visual and hearing acuity that 
complies with the criteria established in Sec. 242.117;
    (4) A procedure for training that complies with the criteria 
established in Sec. 242.119;
    (5) A procedure for knowledge testing that complies with the 
criteria established in Sec. 242.121; and
    (6) A procedure for monitoring operational performance that complies 
with the criteria established in Sec. 242.123.
    (b) [Reserved]



Sec. 242.103  Approval of design of individual railroad programs 
by FRA.

    (a) Each railroad shall submit its written certification program and 
request for approval in accordance with the procedures contained in 
appendix B of this part according to the following schedule:
    (1) A Class I railroad (including the National Railroad Passenger 
Corporation), Class II railroad, or railroad providing commuter service 
shall submit a program no later than September 30, 2012; and
    (2) A Class III railroad (including a switching and terminal or 
other railroad not otherwise classified) shall submit a program no later 
than January 31, 2013.
    (b) A railroad commencing operations after the pertinent date 
specified in paragraph (a) of this section

[[Page 1105]]

shall submit its written certification program and request for approval 
in accordance with the procedures contained in appendix B to this part 
at least 60 days prior to commencing operations.
    (c) Each railroad shall:
    (1) Simultaneous with its filing with the FRA, serve a copy of the 
submission filed pursuant to paragraph (a) or (b) of this section, a 
resubmission filed pursuant to paragraph (h) of this section, or a 
material modification filed pursuant to paragraph (i) of this section on 
the president of each labor organization that represents the railroad's 
employees subject to this part; and
    (2) Include in its submission filed pursuant to paragraph (a) or (b) 
of this section, a resubmission filed pursuant to paragraph (h) of this 
section, or a material modification filed pursuant to paragraph (i) of 
this section a statement affirming that the railroad has served a copy 
on the president of each labor organization that represents the 
railroad's employees subject to this part, together with a list of the 
names and addresses of persons served.
    (d) Not later than 45 days from the date of filing a submission 
pursuant to paragraph (a) or (b) of this section, a resubmission 
pursuant to paragraph (h) of this section, or a material modification 
pursuant to paragraph (i) of this section, any designated representative 
of railroad employees subject to this part may comment on the 
submission, resubmission, or material modification:
    (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) Each comment shall be submitted to the Associate Administrator 
for Railroad Safety/Chief Safety Officer, FRA, 1200 New Jersey Avenue 
SE., Washington, DC 20590; and
    (3) The commenter shall certify that a copy of the comment was 
served on the railroad.
    (e) The submission required by paragraph (a) or (b) of this section 
shall state the railroad's election either:
    (1) To accept responsibility for the training of conductors and 
thereby obtain authority for that railroad to initially certify a person 
as a conductor in an appropriate type of service; or
    (2) To recertify only conductors previously certified by other 
railroads.
    (f) A railroad that elects to accept responsibility for the training 
of conductors 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.
    (g) A railroad's program is considered approved and may be 
implemented 30 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 so long as the railroad has complied with the requirements of 
paragraph (h) of this section.
    (h) 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 to this part.
    (2) If the program does not conform, the railroad shall resubmit its 
program.
    (i) 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 60 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 to

[[Page 1106]]

the pertinent portion of the procedures contained in appendix B of this 
part.
    (3) The modification submission will be handled in accordance with 
the procedures of paragraphs (g) and (h) of this section as though it 
were a new program.

[76 FR 69841, Nov. 9, 2011, as amended at 77 FR 6491, Feb. 8, 2012]



Sec. 242.105  Schedule for implementation.

    (a) By September 1, 2012, each railroad shall:
    (1) In writing, designate as certified conductors all persons 
authorized by the railroad to perform the duties of a conductor as of 
January 1, 2012; and
    (2) Issue a certificate that complies with Sec. 242.207 to each 
person that it designates.
    (b) After September 1, 2012, each railroad shall:
    (1) In writing, designate as a certified conductor any person who 
has been authorized by the railroad to perform the duties of a conductor 
between January 1, 2012 and the pertinent date in paragraph (d) or (e) 
of this section; and
    (2) Issue a certificate that complies with Sec. 242.207 to each 
person that it designates.
    (c) No railroad shall permit or require a person, designated as a 
certified conductor under the provisions of paragraph (a) or (b) of this 
section, to perform service as a certified conductor for more than a 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 (d) or (e) of this section unless 
that person has been certified in accordance with procedures that comply 
with subpart B of this part.
    (1) Except as provided in paragraph (c)(3) of this section, a person 
who has been designated as a certified conductor under the provisions of 
paragraph (a) or (b) of this section and who is eligible to receive a 
retirement pension in accordance with the terms of an applicable 
agreement or in accordance with the terms of the Railroad Retirement Act 
(45 U.S.C. 231) within 36 months from the pertinent date for compliance 
with the mandatory procedures for testing and evaluation set forth in 
the applicable provisions of paragraph (d) or (e) of this section, may 
request, in writing, that a railroad not recertify that person, pursuant 
to subpart B of this part, until 36 months from the pertinent date for 
compliance with the mandatory procedures for testing and evaluation set 
forth in the applicable provisions of paragraph (d) or (e) of this 
section.
    (2) Upon receipt of a written request pursuant to paragraph (c)(1) 
of this section, a railroad may wait to recertify the person making the 
request until the end of the 36-month period described in paragraph (c) 
of this section. If a railroad grants any request, it must grant the 
request of all eligible persons to every extent possible.
    (3) A person who is subject to recertification under part 240 of 
this chapter may not make a request pursuant to paragraph (c)(1) of this 
section.
    (d) After December 1, 2012, no Class I railroad (including the 
National Railroad Passenger Corporation), Class II railroad, or railroad 
providing commuter service shall initially certify or recertify a person 
as a conductor unless that person has been tested and evaluated in 
accordance with procedures that comply with subpart B of this part and 
issued a certificate that complies with Sec. 242.207.
    (e) After April 1, 2013, no Class III railroad (including a 
switching and terminal or other railroad not otherwise classified) shall 
initially certify or recertify a person as a conductor unless that 
person has been tested and evaluated in accordance with procedures that 
comply with subpart B of this part and issued a certificate that 
complies with Sec. 242.207.
    (f) After the applicable dates specified in paragraphs (d) and (e) 
of this section, no person shall serve as a conductor in any type of 
service and no railroad shall require or permit any person to serve as a 
conductor in any type of service unless that person has been tested and 
evaluated in accordance with procedures that comply with subpart B of 
this part and issued a certificate that complies with Sec. 242.207.

[76 FR 69841, Nov. 9, 2011, as amended at 77 FR 6491, Feb. 8, 2012]

[[Page 1107]]



Sec. 242.107  Types of service.

    (a) Each railroad's program shall state which of the two types of 
service (conductor and passenger conductor), provided for in paragraph 
(b) of this section, that it will cover.
    (b) A railroad may issue certificates for either of the following 
types of service:
    (1) Conductor; and
    (2) Passenger conductor.
    (c) A railroad shall not reclassify the certification of any type of 
certified conductor to a different type of conductor certification 
during the period in which the certification is otherwise valid except 
when a conductor completes the emergency training identified in part 239 
of this chapter and is certified as a passenger conductor.
    (d) Each railroad is authorized to impose additional conditions or 
operational restrictions on the service a conductor may perform beyond 
those identified in this section provided those conditions or 
restrictions are not inconsistent with this part.



Sec. 242.109  Determinations required for certification and recertification.

    (a) After the pertinent date specified in Sec. 242.105(d) or (e), 
each railroad, prior to initially certifying or recertifying any person 
as a conductor, shall, in accordance with its FRA-approved program, 
determine in writing that:
    (1) The individual meets the eligibility requirements of Sec. Sec. 
242.111, 242.113, 242.115, and 242.403; and
    (2) The individual meets the vision and hearing acuity standards of 
Sec. 242.117 (``Vision and hearing acuity'');
    (3) The individual has the necessary knowledge, as demonstrated by 
successfully completing a test that meets the requirements of Sec. 
242.121 (``Knowledge testing''); and
    (4) Where a person has not previously been certified, that the 
person has completed a training program that meets the requirements of 
Sec. 242.119 (``Training'').
    (b) When evaluating a person's prior safety conduct, a railroad 
shall not consider information concerning prior 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. Sec. 242.111, 242.115 or 242.403.
    (c) In order to make the determination required under paragraph (a) 
of this section, a railroad shall have on file documents pertinent to 
those determinations.
    (d) 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. 242.115, if the railroad believes the record 
contains information that could be sufficient to render the person 
ineligible for certification under this subpart.
    (e) 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. 242.203.
    (f) 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 conductor.
    (g) Nothing in this section, Sec. 242.111 or Sec. 242.113 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. 242.111 or Sec. 242.113.



Sec. 242.111  Prior safety conduct as motor vehicle operator.

    (a) Each railroad shall adopt and comply with a program meeting the 
requirements of this section. When any person (including, but not 
limited to, each railroad, railroad officer, supervisor, and employee) 
violates any requirement of a program which complies with the 
requirements of this section, that person shall be considered to

[[Page 1108]]

have violated the requirements of this section.
    (b) Except as provided in paragraphs (c), (d), (e), and (f) of this 
section, after the pertinent date specified in Sec. 242.105(d) or (e), 
each railroad, prior to initially certifying or recertifying any person 
as a conductor for any type of service, shall determine that the person 
meets the eligibility requirements of this section involving prior 
conduct as a motor vehicle operator.
    (c) A railroad shall initially certify a person as a conductor for 
60 days if the person:
    (1) Requested the information required by paragraph (h) of this 
section at least 60 days prior to the date of the decision to certify 
that person; and
    (2) Otherwise meets the eligibility requirements provided in Sec. 
242.109.
    (d) A railroad shall recertify a person as a conductor for 60 days 
from the expiration date of that person's certification if the person:
    (1) Requested the information required by paragraph (h) of this 
section at least 60 days prior to the date of the decision to recertify 
that person; and
    (2) Otherwise meets the eligibility requirements provided in Sec. 
242.109.
    (e) Except as provided in paragraph (f) of this section, if a 
railroad who certified or recertified a person pursuant to paragraph (c) 
or (d) of this section does not obtain and evaluate the information 
required pursuant to paragraph (h) of this section within 60 days of the 
pertinent dates identified in paragraph (c) or (d) of this section, that 
person will be ineligible to perform as a conductor until the 
information can be evaluated.
    (f) If a person requests the information required pursuant to 
paragraph (h) of this section but is unable to obtain it, that person or 
the railroad certifying or recertifying that person may petition for a 
waiver of the requirements of paragraph (b) of this section in 
accordance with the provisions of part 211 of this chapter. A railroad 
shall certify or recertify a person during the pendency of the waiver 
request if the person otherwise meets the eligibility requirements 
provided in Sec. 242.109.
    (g) Individual's duty. Except for persons designated as conductors 
under Sec. 242.105(a) or (b) or for persons covered by Sec. 
242.109(f), each person seeking certification or recertification under 
this part shall, within 366 days preceding the date of the railroad's 
decision on certification or recertification:
    (1) Take the actions required by paragraphs (h) through (j) of this 
section to make information concerning his or her driving 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, Federal, or foreign law to make information 
concerning his or her driving record available to that railroad.
    (h) Each person seeking certification or recertification under this 
part shall request, in writing, that the chief of each driver licensing 
agency identified in paragraph (i) 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.
    (i) Each person shall request the information required under 
paragraph (h) of this section from:
    (1) The chief of the driver licensing agency of any jurisdiction, 
including a state or foreign country, which last issued that person a 
driver's license; and
    (2) The chief of the driver licensing agency of any other 
jurisdiction, including states or foreign countries, that issued or 
reissued the person a driver's license within the preceding five years.
    (j) If advised by the railroad that a driver licensing agency has 
informed the railroad that additional information concerning that 
person's driving history may exist in the files of a state agency or 
foreign country not previously contacted in accordance with this 
section, such person shall:
    (1) Request in writing that the chief of the driver licensing 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, Federal, or 
foreign law to obtain that additional information.

[[Page 1109]]

    (k) Any person who has never obtained a motor vehicle driving 
license is not required to comply with the provisions of paragraph (h) 
of this section but shall notify the railroad of that fact in accordance 
with procedures of the railroad that comply with Sec. 242.109(f).
    (l) Each certified conductor or person seeking initial certification 
shall report motor vehicle incidents described in paragraphs (n)(1) and 
(2) of this section to the employing railroad within 48 hours of being 
convicted for, or completed state action to cancel, revoke, suspend, or 
deny a motor vehicle drivers license for, such violations. For purposes 
of this paragraph and paragraph (n) of this section, ``state action'' 
means action of the jurisdiction that has issued the motor vehicle 
driver's license, including a foreign country. For the purposes of 
conductor certification, no railroad shall require reporting earlier 
than 48 hours after the conviction, or completed state action to cancel, 
revoke, or deny a motor vehicle drivers license.
    (m) Evaluation of record. When evaluating a person's motor vehicle 
driving record, a railroad shall not consider information concerning 
motor vehicle driving incidents that occurred:
    (1) Prior to the effective date of this rule;
    (2) More than 36 months before the month in which the railroad is 
making its certification decision; or
    (3) At a time other than that specifically provided for in 
Sec. Sec. 242.111, 242.115, or 242.403.
    (n) A railroad 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; or
    (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 or foreign 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.
    (o) If such an incident is identified:
    (1) The railroad shall provide the data to the railroad's DAC, 
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 DAC 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 DAC, condition certification upon 
participation in any needed aftercare and/or follow-up testing for 
alcohol or drugs deemed necessary by the DAC consistent with the 
technical standards specified in Sec. 242.115(f)(3).
    (4) If the person is evaluated as currently affected by an active 
substance abuse disorder, the provisions of Sec. 242.115(d) will apply.
    (5) If the person fails to comply with the requirements of paragraph 
(o)(2) of this section, the person shall be ineligible to perform as a 
conductor until such time as the person complies with the requirements.



Sec. 242.113  Prior safety conduct as an employee of a different
railroad.

    (a) Each railroad shall adopt and comply with a program which 
complies with the requirements of this section. When any person 
including, but not limited to, each railroad, railroad officer, 
supervisor, and employee violates any requirement of a program which 
complies with the requirements of this section, that person shall be 
considered to have violated the requirements of this section.
    (b) After the pertinent date specified in Sec. 242.105(d) or (e), 
each railroad, prior to initially certifying or recertifying any person 
as a conductor for any type of service, shall determine that the person 
meets the eligibility requirements of this section.

[[Page 1110]]

    (c) Except for persons designated as conductors under Sec. 
242.105(a) or (b) or for persons covered by Sec. 242.109(f), each 
person seeking certification or recertification under this part shall, 
within 366 days preceding the date of the railroad's decision on 
certification or recertification:
    (1) 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 pertaining to compliance or non-compliance with Sec. Sec. 
242.111, 242.115, and 242.403 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.



Sec. 242.115  Substance abuse disorders and alcohol drug rules
compliance.

    (a) Each railroad shall adopt and comply with a program which 
complies with the requirements of this section. When any person, 
including, but not limited to, each railroad, railroad officer, 
supervisor, and employee, violates any requirement of a program which 
complies with the requirements of this section, that person shall be 
considered to have violated the requirements of this section.
    (b) After the pertinent date specified in Sec. 242.105(d) or (e), 
each railroad, prior to initially certifying or recertifying any person 
as a conductor for any type of service, shall determine that the person 
meets the eligibility requirements of this section.
    (c) In order to make the determination required under paragraph (d) 
of this section, a railroad shall have on file documents pertinent to 
that determination, including a written document from its DAC which 
states 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.
    (d) Fitness requirement. (1) A person who has an active substance 
abuse disorder shall be denied certification or recertification as a 
conductor.
    (2) Except as provided in paragraph (g) of this section, a certified 
conductor who is determined to have an active substance abuse disorder 
shall be ineligible to hold certification. Consistent with other 
provisions of this part, certification may be reinstated as provided in 
paragraph (f) 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. 242.111), 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 ineligibility for certification.
    (e) Prior alcohol/drug conduct; Federal rule compliance. (1) In 
determining whether a person may be or remain certified as a conductor, 
a railroad shall consider conduct described in paragraph (e)(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 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 section shall begin:
    (i) For a person not currently certified, on the date of the 
railroad's written determination that the most recent incident has 
occurred; or
    (ii) 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 section shall be 
determined in accordance with the following standards:

[[Page 1111]]

    (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 
(f) of this section. In the case of two violations of Sec. 219.102 of 
this chapter, 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 conductor waives investigation, in which case the certificate shall 
be deemed suspended during evaluation and any required primary treatment 
as described in paragraph (f)). In the case of two or more violations of 
Sec. 219.101 of this chapter, the person shall be ineligible to hold a 
certificate for a period of five years.
    (iv) A refusal 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 shall be treated, for purposes of 
ineligibility under this paragraph, in the same manner as a violation 
of:
    (A) Section 219.102 of this chapter, in the case of a refusal to 
provide a urine specimen for testing; or
    (B) Section 219.101 of this chapter, in the case of a refusal to 
provide a breath sample for alcohol testing or a blood specimen for 
mandatory post-accident toxicological testing.
    (f) 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 (e) 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 a SAP 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 SAP prior to return to service; and
    (iii) In accordance with the testing procedures of subpart H of part 
219 of this chapter, has had an alcohol test with an alcohol 
concentration of less than .02 and presented a urine sample that tested 
negative for controlled substances assayed.
    (2) A conductor 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 SAP 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 SAP, to be afforded leave from employment for 
counseling or treatment, or to employment as a conductor. Nor does it 
restrict any discretion available to the railroad to take disciplinary 
action based on conduct described herein.
    (g) 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 a conductor 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

[[Page 1112]]

that, at least with respect to a certified conductor or a candidate for 
certification, the policy of confidentiality is waived (to the extent 
that the railroad shall receive from the SAP or DAC 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.



Sec. 242.117  Vision and hearing acuity.

    (a) Each railroad shall adopt and comply with a program which 
complies with the requirements of this section. When any person 
including, but not limited to, each railroad, railroad officer, 
supervisor, and employee violates any requirement of a program which 
complies with the requirements of this section, that person shall be 
considered to have violated the requirements of this section.
    (b) After the pertinent date specified in Sec. 242.105(d) or (e), 
each railroad, prior to initially certifying or recertifying any person 
as a conductor for any class of service, shall determine that the person 
meets the standards for visual acuity and hearing acuity prescribed in 
this section.
    (c) In order to make the determination required under paragraph (b) 
of this section, 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 the person cannot safely 
perform as a conductor even with conditions attached.
    (d) 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.
    (e) 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 this section or to meet 
a lower threshold determined by the railroad's medical examiner to be 
sufficient to perform as a conductor, that fact shall be noted on the 
certificate issued in accordance with the provisions of this part.
    (f) Any person with such a certificate notation shall use the 
relevant corrective device(s) while performing as a conductor unless the 
railroad's medical examiner subsequently determines in writing that the 
person can safely perform without using the device.
    (g) Fitness requirement: In order to be currently certified as a 
conductor, except as permitted by paragraph (j) of this section, a 
person's vision and hearing shall meet or exceed the standards 
prescribed in this section and Appendix D to this part. It is 
recommended that each test conducted pursuant to this section should be 
performed according to any directions supplied by the manufacturer of 
such test and any American National Standards Institute (ANSI) standards 
that are applicable.
    (h) Except as provided in paragraph (j) of this section, 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
    (3) The ability to recognize and distinguish between the colors of 
railroad

[[Page 1113]]

signals as demonstrated by successfully completing one of the tests in 
Appendix E to this part.
    (i) Except as provided in paragraph (j) of this section, each person 
shall have a hearing test or audiogram that shows the person's hearing 
acuity meets or exceeds the following thresholds: The person does not 
have an average hearing loss in the better ear greater than 40 decibels 
with or without use of a hearing aid, at 500 Hz, 1,000 Hz, and 2,000 Hz. 
The hearing test or audiogram shall meet the requirements of one of the 
following:
    (1) As required in 29 CFR 1910.95(h) (OSHA);
    (2) As required in Sec. 227.111 of this chapter; or
    (3) Conducted using an audiometer that meets the specifications of 
and are maintained and used in accordance with ANSI S3.6-2004 
``Specifications for Audiometers.''
    (j) A person not meeting the thresholds in paragraphs (h) and (i) of 
this section shall, upon request, be subject to further medical 
evaluation by a railroad's medical examiner to determine that person's 
ability to safely perform as a conductor. In accordance with the 
guidance prescribed in Appendix D to this part, a person is entitled to 
one retest without making any showing and to another retest if the 
person provides evidence substantiating that circumstances have changed 
since the last test to the extent that the person could now safely 
perform as a conductor. The railroad shall provide its medical examiner 
with a copy of this part, including all appendices. If, after 
consultation with a railroad officer, the medical examiner concludes 
that, despite not meeting the threshold(s) in paragraphs (h) and (i) of 
this section, the person has the ability to safely perform as a 
conductor, the person may be certified as a conductor and such 
certification conditioned on any special restrictions the medical 
examiner determines in writing to be necessary.
    (k) As a condition of maintaining certification, each certified 
conductor shall notify his or her employing railroad's medical 
department or, if no such department exists, an appropriate railroad 
official if the person's best correctable vision or hearing has 
deteriorated to the extent that the person no longer meets one or more 
of the prescribed vision or hearing standards or requirements of this 
section. This notification is required prior to any subsequent 
performance as a conductor.



Sec. 242.119  Training.

    (a) Each railroad shall adopt and comply with a program that meets 
the requirements of this section. When any person including, but not 
limited to, each railroad, railroad officer, supervisor, and employee 
violates any requirement of a program which complies with the 
requirements of this section, that person shall be considered to have 
violated the requirements of this section.
    (b) After the pertinent date specified in Sec. 242.105(d) or (e), 
each railroad, prior to the initial issuance of a certificate to any 
person as a conductor, shall determine that the person has, in 
accordance with the requirements of this section, the knowledge to 
safely perform as a conductor in each type of service that the person 
will be permitted to perform.
    (c) In making this determination, a railroad shall have written 
documentation showing that:
    (1) The person completed a training program that complies with 
paragraph (d) of this section;
    (2) The person demonstrated his or her knowledge by achieving a 
passing grade under the testing and evaluation procedures of that 
training program; and
    (3) The person demonstrated that he or she is qualified on the 
physical characteristics of the railroad, or its pertinent segments, 
over which that person will perform service.
    (d) A railroad that elects to train a previously untrained person to 
be a conductor shall develop an initial training program which, at a 
minimum, includes the following:
    (1) Determine how training must be structured, developed, and 
delivered, including an appropriate combination of classroom, simulator, 
computer-based, correspondence, on-the-job training, or other formal 
training. The curriculum shall be designed to impart knowledge of, and 
ability to comply with applicable Federal railroad safety

[[Page 1114]]

laws, regulations, and orders, as well as any relevant railroad rules 
and procedures promulgated to implement those applicable Federal 
railroad safety laws, regulations, and orders. This training shall 
document a person's knowledge of, and ability to comply with, Federal 
railroad safety laws, regulations, and orders, as well as railroad rules 
and procedures.
    (2) The on-the-job portion of the training program shall consist of 
the following three key components:
    (i) A brief statement describing the tasks and related steps the 
employee learning the job shall be able to perform;
    (ii) A statement of the conditions (e.g., prerequisites, tools, 
equipment, documentation, briefings, demonstrations, and practice) 
necessary for learning transfer; and
    (iii) A statement of the standards by which proficiency is measured 
through a combination of task/step accuracy, completeness, and 
repetition.
    (3) Prior to beginning the initial safety-related tasks associated 
with on-the-job exercises, employers shall make any relevant information 
or materials, such as operating rules, safety rules, or other rules 
available to employees involved for referencing.
    (4) The tasks and related steps associated with on-the-job exercises 
for a particular type of conductor service (e.g., passenger conductor) 
shall be maintained together in one manual, checklist, or similar 
document. This reference shall be made available to all employees 
involved in those on-the-job exercises.
    (5) When new safety-related railroad laws, regulations, orders, 
technologies, procedures, or equipment are introduced into the 
workplace, the railroad must review its training program and modify its 
training plan accordingly.
    (e) Prior to a previously untrained person being certified as a 
conductor, a railroad shall require the person to:
    (1) Successfully complete the formal initial training program 
developed pursuant to paragraph (d) of this section and any associated 
examinations covering the skills and knowledge the person will need to 
possess in order to perform the tasks necessary to be a conductor; and
    (2) Demonstrate, to the satisfaction of the railroad with input from 
a qualified instructor, on-the-job proficiency by successfully 
completing the tasks necessary to be a conductor. However, a person may 
perform such tasks under the direct onsite supervision of a person, who 
has the necessary operating experience, as part of the on-the-job 
training process prior to completing such training and passing the field 
evaluation; and
    (3) Demonstrate knowledge of the physical characteristics of any 
assigned territory by successfully completing a test created by a person 
qualified on the physical characteristics of the territory.
    (f) If a railroad uses a written test for purposes of paragraph 
(e)(3) of this section, the railroad must provide the person(s) being 
tested with an opportunity to consult with a supervisory employee, who 
possesses territorial qualifications for the territory, to explain a 
question.
    (g) A person may acquire familiarity with the physical 
characteristics of a territory through the following methods:
    (1) The methods used by a railroad for familiarizing its conductors 
with new territory while starting up a new railroad;
    (2) The methods used by a railroad for starting operations over 
newly acquired rail lines; or
    (3) The methods used by a railroad for reopening of a long unused 
route.
    (h) The methods listed in paragraph (g) of this section shall be 
described in the railroad's conductor qualification program required 
under this part and submitted according to the procedures described in 
Appendix B to this part.
    (i) If ownership of a railroad is being transferred from one company 
to another, the conductor(s) of the acquiring company may receive 
familiarization training from the selling company prior to the acquiring 
railroad commencing operation.
    (j) A railroad shall designate in its program required by this 
section the time period in which a conductor must be absent from a 
territory or yard, before requalification on physical characteristics is 
required.

[[Page 1115]]

    (k) A railroad's program shall include the procedures used to 
qualify or requalify a person on the physical characteristics.
    (l) A railroad shall provide for the continuing education of 
certified conductors to ensure that each conductor maintains the 
necessary knowledge concerning railroad safety and operating rules and 
compliance with all applicable Federal regulations, including, but not 
limited to, hazardous materials, passenger train emergency preparedness, 
brake system safety standards, pre-departure inspection procedures, and 
passenger equipment safety standards, and physical characteristics of a 
territory.



Sec. 242.121  Knowledge testing.

    (a) Each railroad shall adopt and comply with a program that meets 
the requirements of this section. When any person including, but not 
limited to, each railroad, railroad officer, supervisor, and employee 
violates any requirement of a program which complies with the 
requirements of this section, that person shall be considered to have 
violated the requirements of this section.
    (b) After the pertinent date specified in Sec. 242.105(d) or (e), 
each railroad, prior to initially certifying or recertifying any person 
as a conductor for any type of service, shall determine that the person 
has, in accordance with the requirements of this section, demonstrated 
sufficient knowledge of the railroad's rules and practices for the safe 
movement of trains.
    (c) In order to make the knowledge determination required by 
paragraph (b) of this section, a railroad shall have procedures for 
testing a person being evaluated for certification as a conductor that 
shall be:
    (1) Designed to examine a person's knowledge of the railroad's 
operating rules and practices for the safe movement of trains;
    (2) Objective in nature;
    (3) Administered in written or electronic form;
    (4) Cover the following subjects:
    (i) Safety and operating rules;
    (ii) Timetable instructions;
    (iii) Compliance with all applicable Federal regulations;
    (iv) Physical characteristics of the territory on which a person 
will be or is currently serving as a conductor; and
    (v) Use of any job aid that a railroad may provide a conductor;
    (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.
    (e) For purposes of paragraph (c) of this section, the railroad must 
provide the person(s) being tested with an opportunity to consult with a 
supervisory employee, who possesses territorial qualifications for the 
territory, to explain a question.
    (f) The documentation shall indicate whether the person passed or 
failed the test.
    (g) If a person fails to pass the test, no railroad shall permit or 
require that person to function as a conductor prior to that person's 
achieving a passing score during a reexamination of the person's 
knowledge.



Sec. 242.123  Monitoring operational performance.

    (a) Each railroad shall adopt and comply with a program that meets 
the requirements of this section. When any person including, but not 
limited to, each railroad, railroad officer, supervisor, and employee 
violates any requirement of a program which complies with the 
requirements of this section, that person shall be considered to have 
violated the requirements of this section.
    (b) Each railroad shall have a program to monitor the conduct of its 
certified conductors by performing unannounced operating rules 
compliance tests. The program shall include procedures to address the 
testing of certified conductors who are not given an unannounced 
compliance test in a calendar year pursuant to paragraph (f) of this

[[Page 1116]]

section. At a minimum, such procedures shall include the following:
    (1) A requirement that an unannounced compliance test must be 
conducted within 30 days of a return to conductor service; and
    (2) The railroad must retain a written record indicating the date 
that the conductor stopped performing service that requires 
certification pursuant to this part, the date that the conductor 
returned to performing service that requires certification pursuant to 
this part, and the date that the unannounced compliance test was 
performed.
    (c) Except as provided in paragraph (f) of this section, each 
conductor shall be given at least one unannounced compliance test in 
each calendar year by a railroad officer who meets the requirements of 
Sec. 217.9(b)(1) of this chapter.
    (d) The unannounced test program shall:
    (1) Test those persons certified as a conductor pursuant to Sec. 
242.107(b)(1) for compliance with one or more operational tests in 
accordance with the provisions of Sec. 217.9 of this chapter; and one 
or more provisions of Sec. Sec. 218.99 through 218.109 of this chapter; 
and
    (2) Test those persons certified as a passenger conductor pursuant 
to Sec. 242.107(b)(2) for compliance with one or more operational tests 
in accordance with the provisions of Sec. 217.9 of this chapter.
    (i) For persons certified as passenger conductors pursuant to Sec. 
242.107(b)(2) who do not require compliance with part 218, subpart F of 
this chapter except under emergency circumstances, the requirement for 
an annual, unannounced test on the requirements of part 218, subpart F 
may be satisfied by annual training.
    (ii) [Reserved]
    (e) Each railroad's program shall indicate the action the railroad 
will take in the event that it finds deficiencies with a conductor's 
performance during an unannounced compliance test administered in 
accordance with this section.
    (f) A certified conductor who is not performing a service that 
requires certification pursuant to this part need not be given an 
unannounced compliance test. However, when the certified conductor 
returns to a service that requires certification pursuant to this part, 
that certified conductor must be tested pursuant to this section within 
30 days of his or her return.



Sec. 242.125  Certification determinations made by other railroads.

    (a) A railroad that is considering certification of a person as a 
conductor may rely on determinations made by another railroad concerning 
that person's certification. The railroad's certification program shall 
address how the railroad will administer the training of previously 
uncertified conductors with extensive operating experience or previously 
certified conductors who have had their certification expire. If a 
railroad's certification program fails to specify how it will train a 
previously certified conductor hired from another railroad, then the 
railroad shall require the newly hired conductor to take the hiring 
railroad's entire training program.
    (b) A railroad relying on another railroad's certification shall 
determine that:
    (1) The prior certification is still valid in accordance with the 
provisions of Sec. Sec. 242.201 and 242.407;
    (2) The prior certification was for the same type of service as the 
certification being issued under this section;
    (3) The person has received training on the physical characteristics 
of the new territory in accordance with Sec. 242.119; and
    (4) The person has demonstrated the necessary knowledge concerning 
the railroad's operating rules in accordance with Sec. 242.121.



Sec. 242.127  Reliance on qualification requirements of other
countries.

    A Canadian railroad that is required to comply with this regulation 
or a railroad that conducts joint operations with a Canadian railroad 
may certify that a person is eligible to be a conductor provided it 
determines that:
    (a) The person is employed by the Canadian railroad; and
    (b) The person meets or exceeds the qualifications standards issued 
by Transport Canada for such service.

[[Page 1117]]



          Subpart C_Administration of the Certification Program



Sec. 242.201  Time limitations for certification.

    (a) After the pertinent date in Sec. 242.105(d) or (e), a railroad 
shall not certify or recertify a person as a conductor in any type of 
service, if the railroad is making:
    (1) A determination concerning eligibility under Sec. Sec. 242.111, 
242.113, 242.115, and 242.403 and the eligibility data being relied on 
was furnished more than 366 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 450 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 366 days 
before the date of the railroad's certification decision; or
    (4) A determination concerning demonstrated knowledge and the 
knowledge examination being relied on was conducted more than 24 months 
before the date of the railroad's recertification decision if the 
railroad administers a knowledge testing program pursuant to Sec. 
242.121 at intervals that do not exceed 24 months.
    (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)(3) of this section, Sec. 242.125, or Sec. 242.127.
    (c) No railroad shall:
    (1) Permit or require a person, designated under Sec. 242.105(a) or 
(b), to perform service as a certified conductor 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 Sec. 242.105(d) or (e) unless that person has 
been determined to be eligible in accordance with procedures that comply 
with subpart B of this part.
    (2) Certify a person as a conductor for an interval of more than 36 
months; or
    (3) Rely on a certification issued by another railroad that is more 
than 36 months old.
    (d) Except as provided for in Sec. 242.105 concerning initial 
implementation of the program, a railroad shall issue each person 
designated as a certified conductor a certificate that complies with 
Sec. 242.207 no later than 30 days from the date of its decision to 
certify or recertify that person.



Sec. 242.203  Retaining information supporting determinations.

    (a) After the pertinent date in Sec. 242.105(d) or (e), a railroad 
that issues, denies, or revokes a certificate after making the 
determinations required under Sec. 242.109 shall maintain a record for 
each certified conductor or applicant for certification that contains 
the information the railroad relied on in making the determinations.
    (b) A railroad shall retain the following information:
    (1) Relevant data from the railroad's records concerning the 
person's prior safety conduct;
    (2) Relevant data furnished by another railroad;
    (3) Relevant data furnished by a governmental agency concerning the 
person's motor vehicle driving record;
    (4) Relevant data furnished by the person seeking certification 
concerning his or her eligibility;
    (5) The relevant test results data concerning hearing and vision 
acuity;
    (6) If applicable, the relevant data concerning the professional 
opinion of the railroad's medical examiner on the adequacy of the 
person's hearing or vision acuity;
    (7) Relevant data from the railroad's records concerning the 
person's success or failure of the passage of knowledge test(s) under 
Sec. 242.121;
    (8) A sample copy of the written knowledge test or tests 
administered; and
    (9) The relevant data from the railroad's records concerning the 
person's success or failure on unannounced operating rules compliance 
tests the railroad performed to monitor the conductor's performance in 
accordance with Sec. 242.123.
    (c) If a railroad is relying on successful completion of an approved 
training

[[Page 1118]]

program conducted by another entity, the relying railroad shall maintain 
a record for each certified conductor that contains the relevant data 
furnished by the training entity concerning the person's demonstration 
of knowledge and relied on by the railroad in making its determinations.
    (d) If a railroad is relying on a certification decision initially 
made by another railroad, the relying railroad shall maintain a record 
for each certified conductor that contains the relevant data furnished 
by the other railroad which it relied on in making its determinations.
    (e) 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.
    (f) 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.
    (g) 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 maintains an information technology security 
program adequate to ensure the integrity of the electronic data storage 
system, including the prevention of unauthorized access to the program 
logic or individual records;
    (2) The program and data storage system must be protected by a 
security system that utilizes an employee identification number and 
password, or a comparable method, to establish appropriate levels of 
program access meeting all of the following standards:
    (i) No two individuals have the same electronic identity; and
    (ii) A record cannot be deleted or altered by any individual after 
the record is certified by the employee who created the record;
    (3) Any amendment to a record is either:
    (i) Electronically stored apart from the record that it amends; or
    (ii) Electronically attached to the record as information without 
changing the original record;
    (4) Each amendment to a record uniquely identifies the person making 
the amendment;
    (5) The system employed by the railroad for data storage permits 
reasonable access and retrieval of the information in usable format when 
requested to furnish data by FRA representatives; and
    (6) Information retrieved from the system can be easily produced in 
a printed format which can be readily provided to FRA representatives in 
a timely manner 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.



Sec. 242.205  Identification of certified persons and recordkeeping.

    (a) After September 1, 2012, a railroad shall maintain a list 
identifying each person designated as a certified conductor. That list 
shall indicate the types of service the railroad determines each person 
is authorized to perform and date of the railroad's certification 
decision.
    (b) If a railroad employs conductors working in joint operations 
territory, the list shall include person(s) determined by that railroad 
to be certified as conductor(s) and possessing the necessary territorial 
qualifications for the applicable territory in accordance with Sec. 
242.301.
    (c) The list required by paragraphs (a) and (b) of this section 
shall:
    (1) Be updated at least annually;
    (2) Be available at the divisional or regional headquarters of the 
railroad; and
    (3) Be available for inspection or copying by FRA during regular 
business hours.
    (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 the list required by this section; or

[[Page 1119]]

    (2) Otherwise falsify such list through material misstatement, 
omission, or mutilation.
    (e) Nothing in this section precludes a railroad from maintaining 
the list required this section in an electronic format provided that:
    (1) The railroad maintains an information technology security 
program adequate to ensure the integrity of the electronic data storage 
system, including the prevention of unauthorized access to the program 
logic or the list;
    (2) The program and data storage system must be protected by a 
security system that utilizes an employee identification number and 
password, or a comparable method, to establish appropriate levels of 
program access meeting all of the following standards:
    (i) No two individuals have the same electronic identity; and
    (ii) An entry on the list cannot be deleted or altered by any 
individual after the entry is certified by the employee who created the 
entry;
    (3) Any amendment to the list is either:
    (i) Electronically stored apart from the entry on the list that it 
amends; or
    (ii) Electronically attached to the entry on the list as information 
without changing the original entry;
    (4) Each amendment to the list uniquely identifies the person making 
the amendment;
    (5) The system employed by the railroad for data storage permits 
reasonable access and retrieval of the information in usable format when 
requested to furnish data by FRA representatives; and
    (6) Information retrieved from the system can be easily produced in 
a printed format which can be readily provided to FRA representatives in 
a timely manner 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.

[76 FR 69841, Nov. 9, 2011, as amended at 77 FR 6491, Feb. 8, 2012]



Sec. 242.207  Certificate components.

    (a) At a minimum, each certificate issued in compliance with this 
part shall:
    (1) Identify the railroad or parent company 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 eligible to perform as a conductor or as a passenger 
conductor;
    (3) Identify the person to whom it is being issued (including the 
person's name, employee identification number, the year of birth, and 
either a physical description or photograph of the person);
    (4) Identify any conditions or limitations, including the type of 
service or conditions to ameliorate vision or hearing acuity 
deficiencies, that restrict the person's operational authority;
    (5) Show the effective date of each certification held;
    (6) Be signed by an individual designated in accordance with 
paragraph (b) of this section; and
    (7) Be of sufficiently small size to permit being carried in an 
ordinary pocket wallet.
    (b) Each railroad shall designate in writing any person that it 
authorizes to sign the certificates described in this section. The 
designation shall 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.



Sec. 242.209  Maintenance of the certificate.

    (a) Each conductor who has received a certificate required under 
this part shall:
    (1) Have that certificate in his or her possession while on duty as 
a conductor; and
    (2) Display that certificate upon the receipt of a request to do so 
from:

[[Page 1120]]

    (i) A representative of the Federal Railroad Administration,
    (ii) A State inspector authorized under part 212 of this chapter,
    (iii) An officer of the issuing railroad, or
    (iv) An officer of another railroad when serving as a conductor in 
joint operations territory.
    (b) Any conductor who is notified or called to serve as a conductor 
and such service would cause the conductor 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 authorized to 
perform that anticipated service and it shall be unlawful for the 
railroad to require such service.
    (c) Nothing in this section shall be deemed to alter a certified 
conductor's duty to comply with other provisions of this chapter 
concerning railroad safety.



Sec. 242.211  Replacement of certificates.

    (a) A railroad shall have a system for the prompt replacement of 
lost, stolen or mutilated certificates at no cost to conductors. That 
system shall be reasonably accessible to certified conductors in need of 
a replacement certificate or temporary replacement certificate.
    (b) At a minimum, a temporary replacement certificate must identify 
the person to whom it is being issued (including the person's name, 
identification number and year of birth); indicate the date of issuance; 
and be authorized by a designated supervisor. Temporary replacement 
certificates may be delivered electronically and are valid for a period 
no greater than 30 days.



Sec. 242.213  Multiple certifications.

    (a) A person may hold certification for multiple types of conductor 
service.
    (b) A person may hold both conductor and locomotive engineer 
certification.
    (c) A railroad that issues multiple certificates to a person, shall, 
to the extent possible, coordinate the expiration date of those 
certificates.
    (d) Except as provided in paragraph (e) of this section, a 
locomotive engineer, including a remote control operator, who is 
operating a locomotive without an assigned certified conductor must 
either be:
    (1) Certified as both a locomotive engineer under part 240 of this 
chapter and as a conductor under this part; or
    (2) Accompanied by a person certified as a conductor under this part 
but who will be attached to the crew in a manner similar to that of an 
independent assignment.
    (e) Passenger railroad operations: If the conductor is removed from 
a train for a medical, police or other such emergency after the train 
departs from an initial terminal, the train may proceed to the first 
location where the conductor can be replaced without incurring undue 
delay without the locomotive engineer being a certified conductor. 
However, an assistant conductor or brakeman must be on the train and the 
locomotive engineer must be informed that there is no certified 
conductor on the train prior to any movement.
    (f) During the duration of any certification interval, a person who 
holds a current conductor and/or locomotive engineer certificate from 
more than one railroad shall immediately notify the other certifying 
railroad(s) if he or she is denied conductor or locomotive engineer 
recertification under Sec. 242.401 or Sec. 240.219 of this chapter or 
has his or her conductor or locomotive engineer certification revoked 
under Sec. 242.407 or Sec. 240.307 of this chapter by another 
railroad.
    (g) A person who is certified to perform multiple types of conductor 
service and who has had any of those certifications revoked under Sec. 
242.407 may not perform any type of conductor service during the period 
of revocation.
    (h) A person who holds a current conductor and locomotive engineer 
certificate and who has had his or her conductor certification revoked 
under Sec. 242.407 for a violation of Sec. 242.403(e)(1) through (5) 
or (e)(12) may not work as a locomotive engineer during the period of 
revocation. However, a person who holds a current conductor and 
locomotive engineer certificate and who has had his or her conductor 
certification revoked under Sec. 242.407 for a violation of Sec. 
242.403(e)(6) through (11) may work as a locomotive engineer during the 
period of revocation.

[[Page 1121]]

    (1) For purposes of determining the period for which a person may 
not work as a certified locomotive engineer due to a revocation of his 
or her conductor certification, only violations of Sec. 242.403(e)(1) 
through (5) or (e)(12) will be counted. Thus, a person who holds a 
current conductor and locomotive engineer certificate and who has had 
his or her conductor certification revoked three times in less than 36 
months for two violations of Sec. 242.403(e)(6) and one violation of 
Sec. 242.403(e)(1) would have his or her conductor certificate revoked 
for 1 year, but would not be permitted to work as a locomotive engineer 
for one month (i.e., the period of revocation for one violation of Sec. 
242.403(e)(1)).
    (i) A person who holds a current conductor and locomotive engineer 
certificate and who has had his or her locomotive engineer certification 
revoked under Sec. 240.307 of this chapter may not work as a conductor 
during the period of revocation.
    (j) A person who has had his or her locomotive engineer 
certification revoked under Sec. 240.307 of this chapter may not obtain 
a conductor certificate pursuant to this part during the period of 
revocation.
    (k) A person who had his or her conductor certification revoked 
under Sec. 242.407 for violations of Sec. 242.403(e)(1) through (5) or 
(e)(12) may not obtain a locomotive engineer certificate pursuant to 
part 240 of this chapter during the period of revocation.
    (l) A railroad that denies a person conductor certification or 
recertification under Sec. 242.401 shall not, solely on the basis of 
that denial, deny or revoke that person's locomotive engineer 
certification or recertification.
    (m) A railroad that denies a person locomotive engineer 
certification or recertification under Sec. 240.219 of this chapter 
shall not, solely on the basis of that denial, deny or revoke that 
person's conductor certification or recertification.
    (n) In lieu of issuing multiple certificates, a railroad may issue 
one certificate to a person who is certified to perform multiple types 
of conductor service or is certified as a conductor and a locomotive 
engineer. The certificate must comply with Sec. 240.223 of this chapter 
and Sec. 242.207.
    (o) A person who holds a current conductor and locomotive engineer 
certificate and who is involved in a revocable event under Sec. 242.407 
or Sec. 240.307 of this chapter may only have one certificate revoked 
for that event. The determination by the railroad as to which 
certificate to revoke for the revocable event must be based on the work 
the person was performing at the time the event occurred.



Sec. 242.215  Railroad oversight responsibilities.

    (a) No later than March 31 of each year (beginning in calendar year 
2014), each Class I railroad (including the National Railroad Passenger 
Corporation and a railroad providing commuter service) and each 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 conductors 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 conductors;
    (3) The number and type of operational monitoring test failures 
recorded by railroad officers who meet the requirements of Sec. 
217.9(b)(1) of this chapter; and
    (4) If the railroad conducts joint operations with another railroad, 
the number of conductors employed by the other railroad(s) which: were 
involved in events described in this paragraph and were determined to be 
certified and to have possessed the necessary territorial qualifications 
for joint operations purposes by the controlling railroad.
    (c) Based on that review and analysis, each railroad shall determine 
what action(s) it will take to improve the safety of railroad operations 
to reduce or eliminate future incidents of that nature.

[[Page 1122]]

    (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, information about the nature of detected 
poor safety conduct shall be capable of segregation for study and 
evaluation purposes into the following categories:
    (1) Incidents involving noncompliance with part 218 of this chapter;
    (2) Incidents involving noncompliance with part 219 of this chapter;
    (3) Incidents involving noncompliance with the procedures for the 
safe use of train or engine brakes when the procedures are required for 
compliance with the Class I, Class IA, Class II, Class III, or transfer 
train brake test provisions of part 232 of this chapter or when the 
procedures are required for compliance with the Class 1, Class 1A, Class 
II, or running brake test provisions of part 238 of this chapter;
    (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 resulting in operation of a locomotive or train past any signal, 
excluding a hand or a radio signal indication or a switch, that requires 
a complete stop before passing it;
    (6) Incidents involving noncompliance with the provisions of 
restricted speed, and the operational equivalent thereof, that must be 
reported under the provisions of part 225 of this chapter;
    (7) Incidents involving occupying main track or a segment of main 
track without proper authority or permission; and
    (8) Incidents involving the failure to comply with prohibitions 
against tampering with locomotive mounted safety devices, or knowingly 
operating or permitting to be operated a train with an unauthorized or 
disabled safety device in the controlling locomotive.
    (f) For reporting purposes, an instance of poor safety conduct 
involving a person who holds both conductor certification pursuant to 
this part and locomotive engineer certification pursuant to part 240 of 
this chapter need only be reported once (either under 49 CFR 240.309 of 
this chapter or this section). The determination as to where to report 
the instance of poor safety conduct should be based on the work the 
person was performing at the time the conduct occurred.
    (g) For reporting purposes each category of detected poor safety 
conduct identified in paragraph (b) 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 railroad:
    (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.
    (h) For reporting purposes each category of detected poor safety 
conduct identified in paragraph (b) 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.
    (i) For reporting purposes, each category of detected poor safety 
conduct

[[Page 1123]]

identified in paragraph (b) 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 reflect 
incidents requiring an FRA accident/incident report under part 225 of 
this chapter; and
    (3) The number of incidents within that total which were detected as 
a result of a scheduled operational monitoring effort.

[76 FR 69841, Nov. 9, 2011, as amended at 77 FR 6491, Feb. 8, 2012]



        Subpart D_Territorial Qualification and Joint Operations



Sec. 242.301  Requirements for territorial qualification.

    (a) Except as provided in paragraph (c), (d), or (e) of this 
section, a railroad, including a railroad that employs conductors 
working in joint operations territory, shall not permit or require a 
person to serve as a conductor unless that railroad determines that the 
person is certified as a conductor and possesses the necessary 
territorial qualifications for the applicable territory pursuant to 
Sec. 242.119.
    (b) Each person who is called to serve as a conductor shall:
    (1) Meet the territorial qualification requirements on the segment 
of track upon which he or she will serve as a conductor; and
    (2) Immediately notify the railroad upon which he or she is employed 
if he or she does not meet the required territorial qualifications.
    (c) Except as provided in paragraph (e) of this section, if a 
conductor lacks territorial qualification on main track physical 
characteristics required by paragraph (a) of this section, he or she 
shall be assisted by a person who meets the territorial qualification 
requirements for main track physical characteristics.
    (1) For a conductor who has never been qualified on main track 
physical characteristics of the territory over which he or she is to 
serve as a conductor, the assistant shall be a person who is certified 
as a conductor, meets the territorial qualification requirements for 
main track physical characteristics, and is not an assigned crew member.
    (2) For a conductor who was previously qualified on main track 
physical characteristics of the territory over which he or she is to 
serve as a conductor, but whose qualification has been expired for one 
year or less and who regularly traversed the territory prior to the 
expiration of the qualification, the assistant may be any person, 
including an assigned crewmember, who meets the territorial 
qualification requirements for main track physical characteristics.
    (3) For a conductor who was previously qualified on main track 
physical characteristics of the territory over which he or she is to 
serve as a conductor, and whose qualification has been expired for one 
year or less but who has not regularly traversed the territory prior to 
the expiration of the qualification, or a conductor whose territorial 
qualification on main track has been expired for more than a year, the 
assistant may be any person, including an assigned crewmember other than 
the locomotive engineer so long as serving as the assistant would not 
conflict with that crewmember's other safety sensitive duties, who meets 
the territorial qualification requirements for main track physical 
characteristics.
    (d) If a conductor lacks territorial qualification on other than 
main track physical characteristics required by paragraph (a) of this 
section, where practicable, he or she shall be assisted by a person who 
is a certified conductor and meets the territorial qualification 
requirements for other than main track physical characteristics. Where 
not practicable, the conductor shall be provided an appropriate up-to-
date job aid.
    (e) An assistant is not required if the movement is on a section of 
main track with an average grade of less than 1% over 3 continuous 
miles, and
    (1) The maximum distance the locomotive or train will be operated 
does not exceed one mile; or
    (2) The maximum authorized speed for any operation on the track does 
not exceed 20 miles per hour; or

[[Page 1124]]

    (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.

[76 FR 69841, Nov. 9, 2011, as amended at 77 FR 6491, Feb. 8, 2012]



            Subpart E_Denial and Revocation of Certification



Sec. 242.401  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. A railroad shall provide the 
conductor candidate with any written documents or records, including 
written statements, related to failure to meet a requirement of this 
part which support its pending denial decision.
    (b) This section does not require further opportunity to comment if 
the railroad's denial is based solely on factors addressed by Sec. Sec. 
242.111, 242.115, or 242.403 and the opportunity to comment afforded by 
Sec. 242.109 has been provided.
    (c) If a railroad denies a person certification or recertification, 
it shall notify the person of the adverse decision and explain, in 
writing, the basis for its denial decision. The basis for a railroad's 
denial decision shall address any explanation or rebuttal information 
that the conductor candidate may have provided in writing pursuant to 
paragraph (a) of this section. The document explaining the basis for the 
denial shall be served on the person within 10 days after the railroad's 
decision and shall give the date of the decision.
    (d) A railroad shall not deny the person's certification for failing 
to comply with a railroad operating rule or practice which constitutes a 
violation under Sec. 242.403(e)(1) through (11) of this part if 
sufficient evidence exists to establish that an intervening cause 
prevented or materially impaired the conductor's ability to comply with 
that railroad operating rule or practice.



Sec. 242.403  Criteria for revoking certification.

    (a) Each railroad shall adopt and comply with a program which meets 
the requirements of this section. When any person including, but not 
limited to, each railroad, railroad officer, supervisor, and employee 
violates any requirement of a program which complies with the 
requirements of this section, that person shall be considered to have 
violated the requirements of this section.
    (b) It shall be unlawful to fail to comply with any of the railroad 
rules and practices described in paragraph (e) of this section.
    (c)(1) A certified conductor who has demonstrated a failure to 
comply with railroad rules and practices described in paragraph (e) of 
this section shall have his or her certification revoked.
    (2) A certified conductor who is monitoring, piloting, or 
instructing a conductor and fails to take appropriate action to prevent 
a violation of paragraph (e) of this section shall have his or her 
certification revoked. Appropriate action does not mean that a 
supervisor, pilot, or instructor must prevent a violation from occurring 
at all costs; the duty may be met by warning the conductor or the 
engineer, as appropriate, of a potential or foreseeable violation.
    (3) A certified conductor who is called by a railroad to perform the 
duty of a train crew member other than that of conductor or locomotive 
engineer shall not have his or her certification revoked based on 
actions taken or not taken while performing that duty.
    (d) Limitations on consideration of prior operating rule compliance 
data: In determining whether a person may be or remain certified as a 
conductor, a railroad shall consider as operating rule compliance data 
only conduct described in paragraphs (e)(1) through (e)(11) of this 
section that occurred within a period of 36 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 section.

[[Page 1125]]

    (e) A railroad shall only consider violations of its operating rules 
and practices that involve:
    (1) Failure to take appropriate action to prevent the locomotive 
engineer of the train the conductor is assigned to from failing to 
control a locomotive or train in accordance with a signal indication, 
excluding a hand or a radio signal indication or a switch, that requires 
a complete stop before passing it, when the conductor is located in the 
operating cab, or otherwise has knowledge of the signal indication. 
Appropriate action does not mean that a conductor must prevent a 
violation from occurring at all costs; the duty may be met by warning an 
engineer of a potential or foreseeable violation.
    (2) Failure to take appropriate action to prevent the locomotive 
engineer of the train the conductor is assigned to from failing to 
adhere to the following limitations concerning train speed:
    (i) When the conductor is located in the operating cab and the speed 
at which the train was operated exceeds the maximum authorized limit by 
at least 10 miles per hour. Where restricted speed is in effect, 
railroads shall consider only those violations of the conditional clause 
of restricted speed rules (i.e., the clause that requires stopping 
within one half of the locomotive engineer's range of vision), or the 
operational equivalent thereof, which cause reportable accidents or 
incidents under part 225 of this chapter, except for accidents and 
incidents that are classified as ``covered data'' under Sec. 225.5 of 
this chapter. Appropriate action does not mean that a conductor must 
prevent a violation from occurring at all costs; the duty may be met by 
warning an engineer of a potential or foreseeable violation.
    (ii) When not in the operating cab, the conductor is deemed to have 
taken appropriate action when in compliance with all applicable Railroad 
Operating Rules and Special Instructions.
    (3) Failure to perform or have knowledge that a required brake test 
was performed pursuant to the Class I, Class IA, Class II, Class III, or 
transfer train brake test provisions of part 232 of this chapter or the 
Class 1, Class 1A, Class II, or running brake test provisions of part 
238 of this chapter.
    (4) Failure to take appropriate action to prevent the locomotive 
engineer of the train the conductor is assigned to from occupying main 
track or a segment of main track without proper authority or permission. 
Appropriate action does not mean that a conductor must prevent a 
violation from occurring at all costs; the duty may be met by warning an 
engineer of a potential or foreseeable violation.
    (5) Failure to comply with prohibitions against tampering with 
locomotive mounted safety devices; knowingly fail to take appropriate 
action to prevent the locomotive engineer of the train the conductor is 
assigned to from failing to comply with prohibitions against tampering 
with locomotive mounted safety devices; or knowingly fail to take 
appropriate action to prevent the locomotive engineer of the train the 
conductor is assigned to from operating or permitting to be operated a 
train with an unauthorized disabled safety device in the controlling 
locomotive. (See 49 CFR part 218, subpart D and appendix C to part 218);
    (6) Failure to comply with the provisions of Sec. 218.99 of this 
chapter (Shoving or pushing movements). Railroads shall only consider 
those violations of Sec. 218.99 of this chapter which cause reportable 
accidents or incidents under part 225 of this chapter, except for 
accidents and incidents that are classified as ``covered data'' under 
Sec. 225.5 of this chapter.
    (7) Failure to comply with the provisions of Sec. 218.101 of this 
chapter (Leaving rolling and on-track maintenance-of-way equipment in 
the clear). Railroads shall only consider those violations of Sec. 
218.101 of this chapter which cause reportable accidents or incidents 
under part 225 of this chapter, except for accidents and incidents that 
are classified as ``covered data'' under Sec. 225.5 of this chapter.
    (8) Failure to comply with the provisions of Sec. 218.103 of this 
chapter (Hand-operated switches, including crossover switches). 
Railroads shall only consider those violations of Sec. 218.103 of this 
chapter which cause reportable accidents or incidents under part 225 of 
this chapter, except for accidents and incidents that are classified as 
``covered data'' under Sec. 225.5 of this chapter.

[[Page 1126]]

    (9) Failure to comply with the provisions of Sec. 218.105 of this 
chapter (Additional operational requirements for hand-operated main 
track switches). Railroads shall only consider those violations of Sec. 
218.105 of this chapter which cause reportable accidents or incidents 
under part 225 of this chapter, except for accidents and incidents that 
are classified as ``covered data'' under Sec. 225.5 of this chapter.
    (10) Failure to comply with the provisions of Sec. 218.107 of this 
chapter (Additional operational requirements for hand-operated crossover 
switches). Railroads shall only consider those violations of Sec. 
218.107 of this chapter which cause reportable accidents or incidents 
under part 225 of this chapter, except for accidents and incidents that 
are classified as ``covered data'' under Sec. 225.5 of this chapter.
    (11) Failure to comply with the provisions of Sec. 218.109 of this 
chapter (Hand-operated fixed derails). Railroads shall only consider 
those violations of Sec. 218.109 of this chapter which cause reportable 
accidents or incidents under part 225 of this chapter, except for 
accidents and incidents that are classified as ``covered data'' under 
Sec. 225.5 of this chapter.
    (12) Failure to comply with Sec. 219.101 of this chapter; however 
such incidents shall be considered as a violation only for the purposes 
of Sec. 242.405(a)(2) and (3).
    (f)(1) 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.
    (2) A violation of one or more operating rules or practices 
described in paragraphs (e)(1) through (11) of this section that occurs 
during a properly conducted operational compliance test subject to the 
provisions of this chapter shall be counted in determining the periods 
of ineligibility described in Sec. 242.405.
    (3) An operational test that is not conducted in compliance with 
this part, a railroad's operating rules, or a railroad's program under 
Sec. 217.9 of this chapter, will not be considered a legitimate test of 
operational skill or knowledge, and will not be considered for 
certification, recertification or revocation purposes.
    (4) A railroad shall not be permitted to deny or revoke an 
employee's certification based upon additional conditions or operational 
restrictions imposed pursuant to Sec. 242.107(d).



Sec. 242.405  Periods of ineligibility.

    (a) 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) On other than main track where restricted speed or the 
operational equivalent thereof is in effect, the period of revocation 
for a violation of Sec. 242.403(e)(6) through (8), (10), or (11) shall 
be reduced by one half provided that another revocable event has not 
occurred within the previous 12 months.
    (ii) In the case of a single incident involving violation of one or 
more of the operating rules or practices described in Sec. 
242.403(e)(1) through (11), the person shall have his or her certificate 
revoked for a period of 30 calendar days.
    (iii) In the case of two separate incidents involving a violation of 
one or more of the operating rules or practices described in Sec. 
242.403(e)(1) through (11), that occurred within 24 months of each 
other, the person shall have his or her certificate revoked for a period 
of six months.
    (iv) In the case of three separate incidents involving violations of 
one or more of the operating rules or practices, described in Sec. 
242.403(e)(1) through (12), that occurred within 36 months of each 
other, the person shall have his or her certificate revoked for a period 
of one year.
    (v) In the case of four separate incidents involving violations of 
one or more of the operating rules or practices, described in Sec. 
242.403(e)(1) through (12), that occurred within 36 months of each 
other, the person shall have his or her certificate revoked for a period 
of three years.

[[Page 1127]]

    (vi) Where, based on the occurrence of violations described in Sec. 
242.403(e)(12), different periods of ineligibility may result under the 
provisions of this section and Sec. 242.115, the longest period of 
revocation shall control.
    (b) Any or all periods of revocation provided in paragraph (a) of 
this section may consist of training.
    (c) Reduction in period of ineligibility: A person whose 
certification is denied or revoked shall be eligible for grant or 
reinstatement of the certificate prior to the expiration of the initial 
period of ineligibility only if:
    (1) The denial or revocation of certification in accordance with the 
provisions of paragraph (a)(3) of this section is for a period of one 
year or less;
    (2) Certification is denied or revoked for reasons other than 
noncompliance with Sec. 219.101 of this chapter;
    (3) The person is evaluated by a railroad officer and determined to 
have received adequate remedial training;
    (4) The person successfully completes any mandatory program of 
training or retraining, if that is determined to be necessary by the 
railroad prior to return to service; and
    (5) At least one half the pertinent period of ineligibility 
specified in paragraph (a)(3) of this section has elapsed.



Sec. 242.407  Process for revoking certification.

    (a) Except as provided for in Sec. 242.115(g), a railroad that 
certifies or recertifies a person as a conductor and, during the period 
that certification is valid, acquires reliable information regarding 
violation(s) of Sec. 242.403(e) or Sec. 242.115(e) of this chapter 
shall revoke the person's conductor certificate.
    (b) Pending a revocation determination under this section, the 
railroad shall:
    (1) Upon receipt of reliable information regarding violation(s) of 
Sec. 242.403(e) or Sec. 242.115(e) of this chapter, immediately 
suspend the person's certificate;
    (2) Prior to or upon suspending the person's certificate, provide 
notice of the reason for the suspension, the pending revocation, and an 
opportunity for a hearing before a presiding officer other than the 
investigating officer. The notice may initially be given either orally 
or in writing. If given orally, it must be confirmed in writing and the 
written confirmation must be made promptly. Written confirmation which 
conforms to the notification provisions of an applicable collective 
bargaining agreement shall be deemed to satisfy the written confirmation 
requirements of this section. In the absence of an applicable collective 
bargaining agreement provision, the written confirmation must be made 
within 96 hours.
    (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) No later than the convening of the hearing and notwithstanding 
the terms of an applicable collective bargaining agreement, the railroad 
convening the hearing shall provide the person with a copy of the 
written information and list of witnesses the railroad will present at 
the hearing. If requested, a recess to the start of the hearing will be 
granted if that information is not provided until just prior to the 
convening of the hearing. If the information was provided through 
statements of an employee of the convening railroad, the railroad will 
make that employee available for examination during the hearing required 
by paragraph (b)(3) of this section. Examination may be telephonic where 
it is impractical to provide the witness at the hearing.
    (5) Determine, on the record of the hearing, whether the person no 
longer meets the certification requirements of this part stating 
explicitly the basis for the conclusion reached;
    (6) When appropriate, impose the pertinent period of revocation 
provided for in Sec. 242.405 or Sec. 242.115; and
    (7) Retain the record of the hearing for 3 years after the date the 
decision is rendered.
    (c) Except as provided for in paragraphs (d), (f), (i), and (j) 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 conductor

[[Page 1128]]

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 proficient person authorized by the railroad other than the 
investigating 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 the 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) No later than 10 days after the close of the record, a railroad 
official, other than the investigating officer, shall prepare and sign 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 
citations to all applicable railroad rules and practices;
    (ii) State whether the railroad official found that a revocable 
event occurred and the applicable period of revocation with a citation 
to 49 CFR 242.405 (Periods of revocation); and
    (iii) Be served on the employee and the employee's representative, 
if any, with the railroad to retain proof of that service.
    (12) The railroad shall have the burden of proving that the 
conductor's conduct was not in compliance with the applicable railroad 
operating 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 a railroad official, other than the investigating officer, 
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. 242.127 or Sec. 242.301, 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 in accordance with the provisions 
of this section. The requirement to provide a hearing under this section 
is satisfied

[[Page 1129]]

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. 242.405.
    (i) A railroad:
    (1) Shall not revoke the person's certification as provided for in 
paragraph (a) of this section if sufficient evidence exists to establish 
that an intervening cause prevented or materially impaired the 
conductor's ability to comply with the railroad operating rule or 
practice which constitutes a violation under Sec. 242.403(e)(1) through 
(e)(11); or
    (2) May decide not to revoke the person's certification as provided 
for in paragraph (a) of this section if sufficient evidence exists to 
establish that the violation of Sec. 242.403(e)(1) through (11) was of 
a minimal nature and had no direct or potential effect on rail safety.
    (j) The railroad shall place the relevant information in the records 
maintained in compliance with Sec. 242.215 for Class I (including the 
National Railroad Passenger Corporation) and Class II railroads, and 
Sec. 242.203 for Class III railroads if sufficient evidence meeting the 
criteria provided in paragraph (i) of this section, becomes available 
either:
    (1) Prior to a railroad's action to suspend the certificate as 
provided for in paragraph (b)(1) of this section; or
    (2) Prior to the convening of the hearing provided for in this 
section;
    (k) Provided that the railroad makes a good faith determination 
after a reasonable inquiry that the course of conduct provided for in 
paragraph (i) of this section is appropriate, the railroad which does 
not suspend a conductor's certification, as provided for in paragraph 
(b) of this section, is not in violation of paragraph (a) of this 
section.



                 Subpart F_Dispute Resolution Procedures



Sec. 242.501  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 certification 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 Administrator has delegated initial responsibility for 
adjudicating such disputes to the Operating Crew Review Board.
    (c) The Operating Crew Review Board shall be composed of employees 
of the Federal Railroad Administration selected by the Administrator.



Sec. 242.503  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 filed with the Docket Clerk, U.S. Department of 
Transportation, Docket Operations (M-30), West Building Ground Floor, 
Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590. The form 
of such request may be in written or electronic form consistent with the 
standards and requirements established by the Federal Docket Management 
System and posted on its Web site at http://www.regulations.gov.
    (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 petitioner's email address (if available);
    (v) The name and address of the railroad; and
    (vi) The facts that the petitioner believes constitute the improper 
action

[[Page 1130]]

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 or reasonably available to the petitioner that 
document that railroad's decision; and
    (6) Be filed in a timely manner.
    (7) Be supplemented, if requested by the Operating Crew Review 
Board, with a copy of the information under 49 CFR 40.329 that 
laboratories, medical review officers, and other service agents are 
required to release to employees. The petitioner must provide written 
explanation in response to an Operating Crew Review Board request if 
written documents that should be reasonably available to the petitioner 
are not supplied.
    (c) A petition seeking review of a railroad's decision to deny 
certification or recertification or revoke certification in accordance 
with the procedures required by Sec. 242.407 filed with FRA more than 
120 days after the date the railroad's denial or revocation decision was 
served on the petitioner will be denied as untimely except that the 
Operating Crew Review Board for cause shown may extend the petition 
filing period at any time in its discretion:
    (1) Provided the request for extension is filed before the 
expiration of the period provided in this paragraph; or
    (2) Provided that the failure to timely file was the result of 
excusable neglect.
    (d) A party aggrieved by a Board decision to deny a petition as 
untimely or not in compliance with the requirements of this section may 
file an appeal with the Administrator in accordance with Sec. 242.511.



Sec. 242.505  Processing certification review petitions.

    (a) Each petition shall be acknowledged in writing by FRA. The 
acknowledgment shall contain the docket number assigned to the petition 
and a statement of FRA's intention that the Board will attempt to render 
a decision on this petition within 180 days from the date that the 
railroad's response is received or from the date upon which the 
railroad's response period has lapsed pursuant to paragraph (c) of this 
section.
    (b) Upon receipt of the petition, FRA will notify the railroad that 
it has received the petition and where the petition may be accessed.
    (c) Within 60 days from the date of the notification provided in 
paragraph (b) of this section, the railroad may submit to FRA any 
information that the railroad considers pertinent to the petition. Late 
filings will only be considered to the extent practicable.
    (d) A railroad that submits such information shall:
    (1) Identify the petitioner by name and the docket number of the 
review proceeding and provide the railroad's email address (if 
available);
    (2) Serve a copy of the information being submitted to FRA to the 
petitioner and petitioner's representative, if any; and
    (3) File the information with the Docket Clerk, U.S. Department of 
Transportation, Docket Operations (M-30), West Building Ground Floor, 
Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590. The form 
of such information may be in written or electronic form consistent with 
the standards and requirements established by the Federal Docket 
Management System and posted on its Web site at http://
www.regulations.gov.
    (e) Each petition will then be referred to the Operating Crew Review 
Board for a decision.
    (f) Based on the record, the Board shall have the authority to 
grant, deny, dismiss or remand the petition.
    (g) If the Board finds that there is insufficient basis for granting 
or denying the petition, the Board shall issue an order affording the 
parties an opportunity to provide additional information or argument 
consistent with its findings.
    (h) Standard of review for factual issues: When considering factual 
issues, the Board will determine whether there is substantial evidence 
to support the railroad's decision, and a negative finding is grounds 
for granting the petition.

[[Page 1131]]

    (i) Standard of review for procedural issues: When considering 
procedural issues, the Board will determine whether substantial harm was 
caused the petitioner by virtue of the failure to adhere to the dictated 
procedures for making the railroad's decision. A finding of substantial 
harm is grounds for reversing the railroad's decision. To establish 
grounds upon which the Board may grant relief, Petitioner must show:
    (1) That procedural error occurred, and
    (2) The procedural error caused substantial harm.
    (j) Standard of review for legal issues: Pursuant to its reviewing 
role, the Board will consider whether the railroad's legal 
interpretations are correct based on a de novo review.
    (k) 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 certification 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.
    (l) The Board's written decision shall be served on the petitioner, 
including the petitioner's representative, if any, and the railroad.



Sec. 242.507  Request for a hearing.

    (a) If adversely affected by the Operating Crew Review Board's 
decision, either the petitioner before the Board or the railroad 
involved shall have a right to an administrative proceeding as 
prescribed by Sec. 242.509.
    (b) To exercise that right, the adversely affected party shall, 
within 20 days of service of the Board's decision on that party, file a 
written request with the Docket Clerk, U.S. Department of 
Transportation, Docket Operations (M-30), West Building Ground Floor, 
Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590. The form 
of such request may be in written or electronic form consistent with the 
standards and requirements established by the Federal Docket Management 
System and posted on its Web site at http://www.regulations.gov.
    (c) If a party fails to request a hearing within the period provided 
in paragraph (b) of this section, the Operating Crew 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, telephone number, and email address (if 
available) 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.



Sec. 242.509  Hearings.

    (a) An administrative hearing for a conductor certification 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

[[Page 1132]]

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 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. 242.507(c) 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

[[Page 1133]]

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 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 Operating Crew 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 was 
correct. Conversely, if the petitioner before the Operating Crew 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. 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.



Sec. 242.511  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, 1200 New Jersey Avenue 
SE., Washington, DC 20590 and with the Docket Clerk, U.S. Department of 
Transportation, Docket Operations (M-30), West Building Ground Floor, 
Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590. A copy 
of the appeal shall be served on each party. The appeal shall set forth 
objections to the

[[Page 1134]]

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 remand, vacate, affirm, reverse, alter or 
modify the decision of the presiding officer and the Administrator's 
decision constitutes final agency action except where the terms of the 
Administrator's decision (for example, remanding a case to the presiding 
officer) show that the parties' administrative remedies have not been 
exhausted.
    (f) An appeal from an Operating Crew Review Board decision pursuant 
to Sec. 242.503(d) must be filed within 35 days of issuance of the 
decision with the Federal Railroad Administrator, 1200 New Jersey Avenue 
SE., Washington, DC 20590 and with the Docket Clerk, U.S. Department of 
Transportation, Docket Operations (M-30), West Building Ground Floor, 
Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590. A copy 
of the appeal shall be served on each party. The Administrator may 
affirm or vacate the Board's decision, and may remand the petition to 
the Board for further proceedings. An Administrator's decision to affirm 
the Board's decision constitutes final agency action.



      Sec. Appendix A to Part 242--Schedule of Civil Penalties \1\

    A penalty may be assessed against an individual only for a willful 
violation. The Administrator reserves the right to assess a penalty of 
up to $100,000 for any violation where circumstances warrant. See 49 CFR 
part 209, Appendix A.

------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
Subpart B--Program and Eligibility
 Requirements:
    242.101--Program failures:
        (a) Failure to have program.....         $10,000         $20,000
            (a)(1)-(6) Program that                2,500           5,000
             fails to address a subject.
    242.103--Program approval:
        (a)-(b) Failure to follow                  1,000           2,000
         Appendix B.....................
        (c) Failure to comply with                 1,000           2,000
         filing requirements............
        (h) to resubmit, when directed             1,000           2,000
         by FRA.........................
    242.105--Schedule for
     implementation:
        (a)-(b) Failure to designate               2,000           4,000
         conductors.....................
        (c) Allowing uncertified person            7,500          15,000
         to serve as conductor..........
        (d)-(e) Certifying without                 2,500           5,000
         complying with subpart B or
         failure to issue a certificate.
        (f) Serving as a conductor                 7,500          15,000
         without complying with subpart
         B or being issued a certificate
    242.107--Types of service:
        (a) Failure to designate types             2,000           4,000
         of service.....................
        (c) Reclassifying a certificate.           2,500           5,000
    242.109--Certification and
     recertification determinations:
        (a) Failure to determine in                2,500           5,000
         writing the requirements of
         (a)(1), (a)(2), (a)(3), and/or
         (a)(4).........................
        (b) Considering excluded data...           2,000           4,000
        (c) Failure to have required               1,000           2,000
         documents on file..............
        (d), (e) Failure to provide                2,000           4,000
         timely review opportunity......
    242.111--Motor vehicle operator
     records:
        (a) Failure to implement program           6,000  ..............
         meeting requirements...........
        (b) Failure to determine                   5,000           7,500
         eligibility requirements met...
        (c) Failure to initially certify           2,000           4,000
        (d) Failure to recertify........           2,000           4,000
        (e) Allowing person to serve as            7,500          15,000
         conductor before information is
         evaluated......................

[[Page 1135]]

 
        (f) Failure to certify or                  2,000           4,000
         certify during pendency of
         waiver request.................
        (g) Failure to take action to              1,000           2,000
         make information available.....
        (h), (i), (j) Failure to request           1,000           2,000
         record.........................
        (k) Failure to notify of absence           1,000           2,000
         of license.....................
        (l) Failure to report in timely            1,000           2,000
         manner or railroad taking
         certification action for not
         reporting earlier than 48 hours
        (m), (n) Considering excluded              2,000           4,000
         data...........................
        (o) Failure to:                   ..............  ..............
            (1) Consider data...........           6,000          10,000
            (3), (4) Properly act in               2,500           5,000
             response to data...........
    242.113--Prior safety conduct:
        (a) Failure to implement program           6,000  ..............
         meeting requirements...........
        (b) Failure to determine                   5,000           7,500
         eligibility requirements met...
        (c) Failure to request record or           2,000           2,000
         take required action...........
    242.115--Substance abuse/rules:
        (a) Failure to implement program           6,000  ..............
         meeting requirements...........
        (b) Failure to determine                   5,000           7,500
         eligibility requirements met...
        (c) Failure to have basis for              2,500           5,000
         taking action..................
        (d)-(g) Failure to comply with             2,500           5,000
         requirements...................
    242.117--Vision and hearing acuity:
        (a) Failure to implement program           6,000  ..............
         meeting requirements...........
        (b) Failure to determine                   5,000           7,500
         eligibility requirements met...
        (c) Failure to have basis for              1,000           2,000
         finding proper acuity..........
        (d) Acuity examination performed           1,000           2,000
         by unauthorized person.........
        (e) Failure to note need for               1,000           2,000
         device to achieve acuity.......
        (f) Failure to use device needed           1,000           2,000
         for proper acuity..............
        (h)-(j) Failure to comply with             2,500           5,000
         requirements...................
        (k) Failure of conductor to                2,500           5,000
         notify.........................
    242.119--Training:
        (a) Failure to implement program           6,000  ..............
         meeting requirements...........
        (b) Failure to determine                   5,000           7,500
         eligibility requirements met...
        (c) Failure to determine in                2,500           5,000
         writing the requirements of
         (c)(1), (c)(2), and/or (c)(3)..
        (d) Failure to:
            (1) Make determination,                2,500           5,000
             include proper curriculum,
             and/or document knowledge
             and ability................
            (2) Failure to include                 1,000           2,000
             component..................
            (3) Failure to make                    1,000           2,000
             information available......
            (4) Failure to maintain                1,000           2,000
             steps or tasks in one
             manual or make available...
            (5) Failure to review and              1,000           2,000
             modify training plan.......
        (e) Failure to require person to           2,500           5,000
         meet requirements..............
        (f) Failure to provide                     1,000           2,000
         opportunity to consult.........
        (g)-(k) Failure to have adequate           2,500           5,000
         procedures or include
         procedures in program..........
        (l) Failure to have adequate               2,500           5,000
         procedures for or provide
         continuing education...........
    242.121--Knowledge testing:
        (a) Failure to implement program           6,000  ..............
         meeting requirements...........
        (b) Failure to determine                   5,000           7,500
         eligibility requirements met...
        (c) Failure to have adequate               2,500           5,000
         procedures for testing
         knowledge......................
        (d) Failure to properly document           2,500           5,000
         testing........................
        (e) Failure to provide                     2,500           5,000
         opportunity to consult.........
        (f) Failure to document whether            2,500           5,000
         test was passed or failed......
        (g) Allowing person to serve as            2,500           5,000
         a conductor despite test
         failure........................
    242.123--Monitoring operational
     performance:
        (a)-(b) Failure to implement               6,000  ..............
         program meeting requirements...
        (c) Failure to test each                   2,500           5,000
         conductor annually.............
        (d) Failure to test properly....           2,500           5,000
        (e) Failure to indicate the                2,500           5,000
         action to be take..............
        (f) Failure to test within time            2,500           5,000
         limits.........................
    242.125--Reliance on determination
     of another:
        (a) Failure to address in                  5,000           7,500
         program or require newly hired
         conductor to take entire
         training program...............
        (b) Failure to make any required           2,500           5,000
         determinations.................
242.127--Relying on requirements of a
 country:
        (a)-(b) Failure to determine               2,500           5,000
         person employed and meets
         Canadian standards.............
Subpart C--Administration of the
 Certification Program:
    242.201--Time limitations:
        (a), (c), and (d) Exceeding time           2,000           4,000
         limit..........................
    242.203--Supporting information:
        (a), (c)-(e) Failure to have a             2,500           5,000
         record.........................
        (b) Failure to have a complete             2,000           4,000
         record.........................
        (f) Falsification of a record...             (-)          10,000

[[Page 1136]]

 
        (g) Failure to comply with                 2,000           4,000
         requirements if records
         maintained electronically......
    242.205--Identification of persons:
        (a)-(b) Failure to have a record           2,500           5,000
        (c) Failure to update or make a            2,000           4,000
         record available...............
        (d) Falsification of a record...             (-)          10,000
        (e) Failure to comply with                 2,000           4,000
         requirements if records
         maintained electronically......
    242.207--Certificate components:
        (a) Improper certificate........           1,000           2,000
        (b) Failure to designate those             1,000           2,000
         with signing authority.........
        (d) Falsification of a                       (-)          10,000
         certificate....................
    242.209--Maintenance of the
     certificate:
        (a) Failure of conductor to                1,000           2,000
         carry certificate or display
         certificate when requested.....
        (b) Failure of conductor to                4,000           8,000
         notify railroad of limitations
         or railroad requiring conductor
         to exceed limitations..........
    242.211--Replacement of
     certificates:
        (a) Failure to have a reasonably           2,000           4,000
         accessible system for
         certificate replacement........
        (b) Failure to comply with                 1,000           2,000
         requirements for temporary
         replacement certificates.......
    242.213--Multiple certifications:
        (d) Allowing an engineer to                7,500          15,000
         operate without a conductor
         where the engineer is not
         certified as a conductor or not
         accompanied by a certified
         conductor......................
        (e) Failure to comply with                 2,500           5,000
         emergency restrictions.........
        (f) Failure of conductor to                4,000           8,000
         notify railroad of denial or
         revocation.....................
        (g) Performing conductor service           7,500          15,000
         with a revoked conductor
         certificate....................
        (h), (k) Performing work as an             7,500          15,000
         engineer or obtaining an
         engineer certificate with a
         conductor certification revoked
         for a violation of
         242.403(e)(1)-(e)(5) or (e)(12)
        (i), (j) Performing work as a              7,500          15,000
         conductor or obtaining a
         conductor certificate with an
         engineer certification revoked
         under 240.307..................
        (l) Denying or revoking engineer           4,000           8,000
         certification or
         recertification based solely on
         the denial of conductor
         certification..................
        (m) Denying or revoking                    4,000           8,000
         conductor certification or
         recertification based solely on
         the denial of engineer
         certification..................
    242.215--Oversight responsibility:
        (a) Failure to perform annual              2,000           4,000
         review and analysis or perform
         on time........................
        (b)-(i) Incomplete or inaccurate           2,500           5,000
         report.........................
Subpart D--Territorial Qualification and
 Joint Operations
    242.301--Territorial qualification:
        (a) Allowing uncertified person            7,500          15,000
         or person not territorially
         qualified to serve as a
         conductor......................
        (b) Failure to notify railroad             4,000           8,000
         of lack of qualifications......
        (c) Failure to provide required            4,000           8,000
         assistance.....................
        (d) Failure to provide                     4,000           8,000
         assistance or up-to-date job
         aid............................
Subpart E--Denial and Revocation of
 Certification
    242.401--Denial of certification:
        (a) Failure to notify or provide           2,000           4,000
         opportunity for comment........
        (c) Failure to notify, provide             2,000           4,000
         data, or untimely notification.
    242.403--Revocation criteria:
        (a) Failure to implement program           6,000  ..............
         meeting requirements...........
        (b) Unlawful failure to comply             2,500           5,000
         with rules and practices.......
        (c) Failure to revoke                      2,500           5,000
         certification..................
        (d) Considering excluded data...           2,500           5,000
        (e) Considering unlisted                   2,500           5,000
         violations of operating rules
         and practices..................
        (f) Improperly counting or                 2,500           5,000
         considering violations.........
    242.405--Periods of ineligibility:
        (a)-(c) Imposition of incorrect            2,500           5,000
         period of ineligibility........
    242.407--Revocation of
     certification:
        (a) Failure to revoke                      7,500          15,000
         certification..................
        (b) Failure to suspend, notify,            2,500           5,000
         provide hearing opportunity, or
         improper procedures............
        (c)-(h) Failure of railroad to             2,500           5,000
         comply with hearing or waiver
         procedures.....................
        (j) Failure of railroad to make            1,000           2,000
         record.........................
        (k) Failure of railroad to                 5,000          10,000
         conduct reasonable inquiry or
         make good faith determination..
------------------------------------------------------------------------
\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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[76 FR 69841, Nov. 9, 2011, as amended at 77 FR 24423, Apr. 24, 2012; 81 
FR 43113, July 1, 2016]

[[Page 1137]]



 Sec. Appendix B to Part 242--Procedures for Submission and Approval of 
                    Conductor Certification 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 conductor in 
accordance with the requirements of this part. It also contains guidance 
on how FRA will exercise its review and approval responsibilities.

                        Submission by a Railroad

    As provided for in Sec. 242.101, each railroad must have a program 
for determining the certification of each person it permits or requires 
to perform as a conductor or as a passenger conductor. Each railroad 
must submit its individual program to FRA for approval as provided for 
in Sec. 242.103. 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 Railroad Safety/Chief Safety Officer, FRA. The mailing 
address for FRA is 1200 New Jersey Avenue SE., Washington, DC 20590. 
Simultaneous with its filing with the FRA, each railroad must serve a 
copy of its submission on the president of each labor organization that 
represents the railroad's employees subject to this part.
    Each railroad is authorized to file by electronic means any program 
submissions required under this part. Prior to any person submitting a 
railroad's first program submission electronically, the person shall 
provide the Associate Administrator with the following information in 
writing:
    (1) The name of the railroad;
    (2) The names of two individuals, including job titles, who will be 
the railroad's points of contact and will be the only individuals 
allowed access to FRA's secure document submission site;
    (3) The mailing addresses for the railroad's points of contact;
    (4) The railroad's system or main headquarters address located in 
the United States;
    (5) The email addresses for the railroad's points of contact; and
    (6) The daytime telephone numbers for the railroad's points of 
contact.
    A request for electronic submission or FRA review of written 
materials shall be addressed to the Associate Administrator for Railroad 
Safety/Chief Safety Officer, Federal Railroad Administration, 1200 New 
Jersey Avenue SE., Washington, DC 20590. Upon receipt of a request for 
electronic submission that contains the information listed above, FRA 
will then contact the requestor with instructions for electronically 
submitting its program.
    A railroad that electronically submits an initial program or new 
portions or revisions to an approved program required by this part shall 
be considered to have provided its consent to receive approval or 
disapproval notices from FRA by email. FRA may electronically store any 
materials required by this part regardless of whether the railroad that 
submits the materials does so by delivering the written materials to the 
Associate Administrator and opts not to submit the materials 
electronically. A railroad that opts not to submit the materials 
required by this part electronically, but provides one or more email 
addresses in its submission, shall be considered to have provided its 
consent to receive approval or disapproval notices from FRA by email or 
mail.

                     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 certified conductors or recertify 
only conductors previously certified by other railroads. See Sec. 
242.103(b).
    If a railroad elects not to provide initial conductor training, the 
railroad is obligated to state so in its submission. A railroad that 
makes this election will be limited to recertifying persons initially 
certified by another railroad. A railroad that makes this election can 
rescind it by obtaining FRA approval of a modification of its program. 
See Sec. 242.103(f).
    If a railroad elects to accept responsibility for training persons 
not previously trained to be conductors, 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

[[Page 1138]]

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 types of service the railroad will 
employ. See Sec. 242.107.

   Section 2 of the Submission: Training Persons Previously Certified

    The second section of the request must contain information 
concerning the railroad's program for training previously certified 
conductors. As provided for in Sec. 242.119(l) each railroad must have 
a program for the ongoing education of its conductors to assure that 
they maintain the necessary knowledge concerning operating rules and 
practices, familiarity with physical characteristics, and relevant 
Federal safety rules.
    Section 242.119(l) 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 conductors remain knowledgeable 
concerning the safe discharge of their responsibilities so as to comply 
with the performance standard set forth in Sec. 242.119(l). 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, use of classroom, use of computer 
based training, use of film or slide presentations, and use of on-job-
training) and which aspects of the program are voluntary or mandatory.
    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, conductors need to have their fundamental knowledge of 
operating rules and procedures 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 ensure that 
conductors remain knowledgeable about the territory over which a 
conductor is authorized to perform but from which the conductor 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 conductors are 
authorized to work over.
    In addition to stating how long a conductor must be absent from a 
territory before their qualification on the physical characteristics of 
the territory expires, railroads must also state in their programs the 
number of times a person must pass over a territory per year to be 
considered to have ``regularly traversed'' a territory for purposes of 
Sec. 242.301(c). Since territories differ in their complexity, 
railroads will be given discretion to determine how many times a 
conductor must pass over a territory to be considered to have 
``regularly traversed'' a territory.

 Section 3 of the Submission: Testing and Evaluating Persons Previously 
                                Certified

    The third section of the request must contain information concerning 
the railroad's program for testing and evaluating previously certified 
conductors. As provided for in Sec. 242.121, each railroad must have a 
program for the ongoing testing and evaluating of its conductors to 
assure that they have the necessary knowledge and skills concerning 
operating rules and practices, familiarity with physical characteristics 
of the territory, and relevant Federal safety rules. Similarly, each 
railroad must have a program for ongoing testing and evaluating to 
assure that its conductors have the necessary vision and hearing acuity 
as provided for in Sec. 242.117.
    Section 242.121 requires 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 performance as a conductor. Section 242.121 
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) Safety and 
operating rules; (ii) timetable instructions; (iii) physical 
characteristics of the territory; and (iv) compliance with all 
applicable Federal regulations. The test must accurately measure the 
person's knowledge of all of these areas.
    Section 242.121 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

[[Page 1139]]

any) to be given to particular subject matter responses, selection of 
passing scores, and the manner of presenting the test information). The 
railroad must describe in this section how it will use that latitude to 
assure that its conductors will demonstrate their knowledge concerning 
the safe discharge of their responsibilities so as to comply with the 
performance standard set forth in Sec. 242.121.
    Section 242.117 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 
perform as a conductor. 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 
perform as a conductor.

 Section 4 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 conductors, the 
fourth section of the request must contain information concerning the 
railroad's program for educating, testing, and evaluating persons not 
previously trained as conductors. As provided for in Sec. 242.119(d), a 
railroad that is issuing an initial certification to a person to be a 
conductor must have a program for the training, testing, and evaluating 
of its conductors to assure that they acquire the necessary knowledge 
and skills concerning operating rules and practices, familiarity with 
physical characteristics of the territory, and relevant Federal safety 
rules.
    Section 242.119 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 conductors will acquire sufficient knowledge and skill 
and demonstrate their knowledge and skills concerning the safe discharge 
of their 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 conductors 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 territory, must indicate 
how the student will be provided with the required familiarization with 
the physical characteristics for its territory.

   Section 5 of the Submission: Monitoring Operational Performance by 
                          Certified Conductors

    The fifth section of the request must contain information concerning 
the railroad's program for monitoring the operation of its certified 
conductors. As provided for in Sec. 242.123, each railroad must have a 
program for the ongoing monitoring of its conductors to assure that they 
perform in conformity with the railroad's operating rules and practices 
and relevant Federal safety rules.

 Section 6 of the Submission: Procedures for Routine Administration of 
                   the Conductor 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 conductors. At a minimum 
this section needs to address the procedural aspects of the rule's 
provisions identified in the following paragraph.
    Section 242.109 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 242.111, 242.115 and 242.403 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 242.109, 242.201, and 242.401 
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 will or will be 
not certified; and how it will communicate adverse decisions. 
Documentation of the factual basis the railroad relied on in making 
determinations under Sec. Sec. 242.109, 242.117, 242.119 and 242.121 is 
required, but these sections permit the railroad to select the 
procedures it will employ to accomplish compliance with these 
provisions. Sections 242.125 and 242.127 permit reliance on 
certification/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. 242.301 
permits the use of railroad selected procedures to meet the requirements 
for certification of conductors performing service in joint operations 
territory.

[[Page 1140]]

Sections 242.211 and 242.407 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 
the 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. 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. 242.103.
    Rather than establish rigid requirements for each element of the 
program, FRA has given railroads discretion to select the design of 
their individual programs within a specified context for each element. 
The 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 rule.
    In reviewing program submissions, FRA will focus on the degree to 
which a particular program deviates from the norms identified in its 
rule. To the degree that a particular program submission materially 
deviates from the norms set out in its rule, 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 conductors who have the knowledge and ability to safely 
perform as conductors.

[76 FR 69841, Nov. 9, 2011, as amended at 77 FR 6491, Feb. 8, 2012]



  Sec. Appendix C to Part 242--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 
Sec. Sec. 242.109 and 242.111 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 
conductor.
    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 or foreign country.

            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 conductors to request that their current state drivers 
licensing agency or agencies furnish such data directly to the railroad 
considering certifying them as a conductor. 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.
    Once the railroad has obtained the motor vehicle driving record(s), 
the railroad must afford the prospective conductor an opportunity to 
review that record and respond in writing to its contents in accordance 
with the provisions of Sec. 242.401. 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.



        Sec. Appendix D to Part 242--Medical Standards Guidelines

    (1) The purpose of this appendix is to provide greater guidance on 
the procedures that should be employed in administering the vision and 
hearing requirements of Sec. 242.117.
    (2) In determining whether a person has the visual acuity that meets 
or exceeds the requirements of this part, the following testing 
protocols are deemed acceptable testing methods for determining whether 
a person has the ability to recognize and distinguish

[[Page 1141]]

among the colors used as signals in the railroad industry. The 
acceptable test methods are shown in the left hand column and the 
criteria that should be employed to determine whether a person has 
failed the particular testing protocol are shown in the right hand 
column.

------------------------------------------------------------------------
             Accepted tests                      Failure criteria
------------------------------------------------------------------------
                     Pseudoisochromatic Plate Tests
------------------------------------------------------------------------
American Optical Company 1965..........  5 or more errors on plates 1-
                                          15.
AOC--Hardy-Rand-Ritter plates--second    Any error on plates 1-6 (plates
 edition.                                 1-4 are for demonstration--
                                          test plate 1 is actually plate
                                          5 in book).
Dvorine--Second edition................  3 or more errors on plates 1-
                                          15.
Ishihara (14 plate)....................  2 or more errors on plates 1-
                                          11.
Ishihara (16 plate)....................  2 or more errors on plates 1-8.
Ishihara (24 plate)....................  3 or more errors on plates 1-
                                          15.
Ishihara (38 plate)....................  4 or more errors on plates 1-
                                          21.
Richmond Plates 1983...................  5 or more errors on plates 1-
                                          15.
------------------------------------------------------------------------
                       Multifunction Vision Tester
------------------------------------------------------------------------
Keystone Orthoscope....................  Any error.
OPTEC 2000.............................  Any error.
Titmus Vision Tester...................  Any error.
Titmus II Vision Tester................  Any error.
------------------------------------------------------------------------

    (3) In administering any of these protocols, the person conducting 
the examination should be aware that railroad signals do not always 
occur in the same sequence and that ``yellow signals'' do not always 
appear to be the same. It is not acceptable to use ``yarn'' or other 
materials to conduct a simple test to determine whether the 
certification candidate has the requisite vision. No person shall be 
allowed to wear chromatic lenses during an initial test of the person's 
color vision; the initial test is one conducted in accordance with one 
of the accepted tests in the chart and Sec. 242.117(h)(3).
    (4) An examinee who fails to meet the criteria in the chart, may be 
further evaluated as determined by the railroad's medical examiner. 
Ophthalmologic referral, field testing, or other practical color testing 
may be utilized depending on the experience of the examinee. The 
railroad's medical examiner will review all pertinent information and, 
under some circumstances, may restrict an examinee who does not meet the 
criteria for serving as a conductor at night, during adverse weather 
conditions or under other circumstances. The intent of Sec. 242.117(j) 
is not to provide an examinee with the right to make an infinite number 
of requests for further evaluation, but to provide an examinee with at 
least one opportunity to prove that a hearing or vision test failure 
does not mean the examinee cannot safely perform as a conductor. 
Appropriate further medical evaluation could include providing another 
approved scientific screening test or a field test. All railroads should 
retain the discretion to limit the number of retests that an examinee 
can request but any cap placed on the number of retests should not limit 
retesting when changed circumstances would make such retesting 
appropriate. Changed circumstances would most likely occur if the 
examinee's medical condition has improved in some way or if technology 
has advanced to the extent that it arguably could compensate for a 
hearing or vision deficiency.
    (5) Conductors who wear contact lenses should have good tolerance to 
the lenses and should be instructed to have a pair of corrective glasses 
available when on duty.

[[Page 1142]]

[GRAPHIC] [TIFF OMITTED] TR09NO11.001



PART 243_TRAINING, QUALIFICATION, AND OVERSIGHT FOR SAFETY-RELATED
RAILROAD EMPLOYEES--Table of Contents



                            Subpart A_General

Sec.
243.1 Purpose and scope.
243.3 Application and responsibility for compliance.
243.5 Definitions.
243.7 Penalties and consequences for noncompliance.

            Subpart B_Program Components and Approval Process

243.101 Employer program required.
243.103 Training components identified in program.
243.105 Optional model program development.
243.107 Training program submission, introductory information required.
243.109 Training program submission, review, and approval process.
243.111 Approval of programs filed by training organizations or learning 
          institutions.
243.113 Electronic and written program submission requirements.

       Subpart C_Program Implementation and Oversight Requirements

243.201 Employee qualification requirements.
243.203 Records.
243.205 Periodic oversight.
243.207 Annual review.
243.209 Railroad maintained list of contractors utilized.

Appendix to Part 243--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107, 20131-20155, 20162, 20301-20306, 
20701-20702, 21301-21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    Source: 79 FR 66501, Nov. 7, 2014, unless otherwise noted.



                            Subpart A_General



Sec. 243.1  Purpose and scope.

    (a) The purpose of this part is to ensure that any person employed 
by a railroad or a contractor of a railroad as a safety-related railroad 
employee is trained and qualified to comply with any relevant Federal 
railroad safety laws, regulations, and orders, as well as any relevant 
railroad rules and procedures promulgated to implement those Federal 
railroad safety laws, regulations, and orders.
    (b) This part contains the general minimum training and 
qualification requirements for each category and subcategory of safety-
related railroad employee, regardless of whether the employee is 
employed by a railroad or a contractor of a railroad. Contractors shall 
coordinate with railroads and comply with the contents of this part, 
including those aspects of training that

[[Page 1143]]

are specific to the contracting railroad's rules and procedures.
    (c) The requirements in this part do not exempt any other 
requirement in this chapter.
    (d) Unless otherwise noted, this part augments other training and 
qualification requirements contained in this chapter.
    (e) The requirements in this part do not address hazardous materials 
training of ``hazmat employees'' as defined in 49 CFR 171.8 as such 
training is required pursuant to 49 CFR part 172, subpart H.



Sec. 243.3  Application and responsibility for compliance.

    (a) This part applies to all railroads, contractors of railroads, 
and training organizations or learning institutions that train safety-
related railroad employees except:
    (1) Railroads or contractors of railroads that operate only on track 
inside an installation that is not part of the general railroad system 
of transportation (i.e., plant railroads, as defined in Sec. 243.5);
    (2) Tourist, scenic, historic, or excursion operations that are not 
part of the general railroad system of transportation as defined in 
Sec. 243.5; or
    (3) Rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    (b) Although the duties imposed by this part are generally stated in 
terms of the duty of a railroad, each person, including a contractor for 
a railroad, who performs any duty covered by this part, shall perform 
that duty in accordance with this part.



Sec. 243.5  Definitions.

    As used in this part--
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Associate Administrator means the Associate Administrator for 
Railroad Safety and Chief Safety Officer of the Federal Railroad 
Administration or that person's delegate as designated in writing.
    Calendar year means the period of time beginning on January 1 and 
ending on December 31 of each year.
    Contractor means a person under contract with a railroad, including, 
but not limited to, a prime contractor or a subcontractor.
    Designated instructor means a person designated as such by an 
employer, training organization, or learning institution, who has 
demonstrated, pursuant to the training program submitted by the 
employer, training organization, or learning institution, an adequate 
knowledge of the subject matter under instruction and, where applicable, 
has the necessary experience to effectively provide formal training of 
the subject matter.
    Employer means a railroad or a contractor of a railroad that employs 
at least one safety-related railroad employee.
    Formal training means training that has a structured and defined 
curriculum, and which provides an opportunity for training participants 
to have questions timely answered during the training or at a later 
date. In the context of this part, formal training may include, but is 
not limited to, classroom, computer-based, correspondence, on-the-job, 
simulator, or laboratory training.
    Knowledge-based training is a type of formal training that is not 
task-based and is intended to convey information required for a safety-
related railroad employee to comply with Federal railroad safety laws, 
regulations, and orders, as well as any relevant railroad rules and 
procedures promulgated to implement those Federal railroad safety laws, 
regulations, and orders.
    On-the-job training (OJT) means job training that occurs in the 
workplace, i.e., the employee learns the job while doing the job.
    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,

[[Page 1144]]

manufacturer, lessor, lessee, or independent contractor.
    Plant railroad means a plant or installation that owns or leases a 
locomotive, uses that locomotive to switch cars throughout the plant or 
installation, and is moving goods solely for use in the facility's own 
industrial processes. The plant or installation could include track 
immediately adjacent to the plant or installation if the plant railroad 
leases the track from the general system railroad and the 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. A plant or installation 
that operates a locomotive to switch or move cars for other entities, 
even if solely within the confines of the plant or installation, rather 
than for its own purposes or industrial processes, will not be 
considered a plant railroad because the performance of such activity 
makes the operation part of the general railroad system of 
transportation.
    Qualified means that a person has successfully completed all 
instruction, training, and examination programs required by both the 
employer and this part, and that the person, therefore, may reasonably 
be expected to proficiently perform his or her duties in compliance with 
all Federal railroad safety laws, regulations, and orders.
    Refresher training means periodic retraining required by an employer 
for each safety-related railroad employee to remain qualified.
    Safety-related duty means either a safety-related task or a 
knowledge-based prohibition that a person meeting the definition of a 
safety-related railroad employee is required to comply with, when such 
duty is covered by any Federal railroad safety law, regulation, or 
order.
    Safety-related railroad employee means an individual who is engaged 
or compensated by an employer to:
    (1) Perform work covered under the hours of service laws found at 49 
U.S.C. 21101, et seq.;
    (2) Perform work as an operating railroad employee who is not 
subject to the hours of service laws found at 49 U.S.C. 21101, et seq.;
    (3) In the application of parts 213 and 214 of this chapter, 
inspect, install, repair, or maintain track, roadbed, and signal and 
communication systems, including a roadway worker or railroad bridge 
worker as defined in Sec. 214.7 of this chapter;
    (4) Inspect, repair, or maintain locomotives, passenger cars or 
freight cars;
    (5) Inspect, repair, or maintain other railroad on-track equipment 
when such equipment is in a service that constitutes a train movement 
under part 232 of this chapter;
    (6) Determine that an on-track roadway maintenance machine or hi-
rail vehicle may be used in accordance with part 214, subpart D of this 
chapter, without repair of a non-complying condition;
    (7) Directly instruct, mentor, inspect, or test, as a primary duty, 
any person while that other person is engaged in a safety-related task; 
or
    (8) Directly supervise the performance of safety-related duties in 
connection with periodic oversight in accordance with Sec. 243.205.
    Safety-related task means a task that a person meeting the 
definition of a safety-related railroad employee performs, when such 
task is covered by any Federal railroad safety law, regulation, or 
order.
    Task-based training means a type of formal training with a primary 
focus on teaching the skills necessary to perform specific tasks that 
require some degree of neuromuscular coordination.
    Tourist, scenic, historic, or excursion operations that are not part 
of the general railroad system of transportation means a tourist, 
scenic, historic, or excursion operation conducted only on track used 
exclusively for that purpose (i.e., there is no freight, intercity 
passenger, or commuter passenger railroad operation on the track).



Sec. 243.7  Penalties and consequences for noncompliance.

    (a) A 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 $869 and not more than $27,455 per violation, except that: 
Penalties may be assessed against individuals only for willful 
violations, and, where a grossly

[[Page 1145]]

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 $109,819 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) A person 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) A 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.

[79 FR 66501, Nov. 7, 2014, as amended at 81 FR 43113, July 1, 2016]



            Subpart B_Program Components and Approval Process



Sec. 243.101  Employer program required.

    (a)(1) Effective January 1, 2018, each employer conducting 
operations subject to this part with 400,000 total employee work hours 
annually or more shall submit, adopt, and comply with a training program 
for its safety-related railroad employees.
    (2) Effective January 1, 2019 or four years from the date of 
issuance of FRA's Interim Final Compliance Guide, whichever is later, 
each employer conducting operations subject to this part with less than 
400,000 total employee work hours annually shall submit, adopt, and 
comply with a training program for its safety-related railroad 
employees.
    (b) Except for an employer subject to the requirement in paragraph 
(a)(2) of this section, an employer commencing operations subject to 
this part after January 1, 2018 shall submit a training program for its 
safety-related railroad employees prior to commencing operations. Upon 
commencing operations, the employer shall adopt and comply with the 
training program.
    (c) In the program required by this part, the employer shall:
    (1) Classify its safety-related railroad employees in occupational 
categories or subcategories by craft, class, task, or other suitable 
terminology;
    (2) Define the occupational categories or subcategories of safety-
related railroad employees. The definition of each category or 
subcategory shall include a list of the Federal railroad safety laws, 
regulations, and orders that the employee is required to comply with, 
based on the employee's assignments and duties, broken down at a minimum 
to the applicable part of the Code of Federal Regulations, section of 
the United States Code, or citation to an order. The listing of the 
Federal requirements shall contain the descriptive title of each law, 
regulation, or order;
    (3) Create tables or utilize other suitable formats which summarize 
the information required in paragraphs (c)(1) and (2) of this section, 
segregated by major railroad departments (e.g., Operations, Maintenance 
of Way, Maintenance of Equipment, Signal and Communications). After 
listing the major departments, the tables or other formats should list 
the categories and subcategories of safety-related railroad employees 
within those departments;
    (4) Develop procedures to design and develop key learning points for 
any task-based or knowledge-based training; and
    (5) Determine how training shall be structured, developed, and 
delivered, including an appropriate combination of classroom, simulator, 
computer-based, correspondence, OJT, or other formal training. The 
curriculum shall be designed to impart knowledge of, and ability to 
comply with applicable Federal railroad safety laws, regulations, and 
orders, as well as any relevant railroad rules and procedures 
promulgated to implement those applicable Federal railroad safety laws, 
regulations, and orders.
    (d) On-the-job (OJT) training requirements:
    (1) If a training program has OJT, the OJT portion of the training 
program shall consist of the following three key components:
    (i) A brief statement describing the tasks and related steps the 
employee

[[Page 1146]]

learning the job shall be able to perform;
    (ii) A statement of the conditions (prerequisites, tools, equipment, 
documentation, briefings, demonstrations, and practice) necessary for 
learning transfer; and
    (iii) A statement of the standards by which proficiency is measured 
through a combination of task/step accuracy, completeness, and 
repetition.
    (2) Prior to beginning the initial safety-related tasks associated 
with OJT exercises, employers shall make any relevant information or 
materials, such as operating rules, safety rules, or other rules 
available to employees involved for referencing.
    (3) The tasks and related steps associated with OJT exercises for a 
particular category or subcategory of employee shall be maintained 
together in one manual, checklist, or similar document. This reference 
shall be made available to all employees involved in those OJT 
exercises.
    (e) Contractor's responsibility to validate approved program to a 
railroad: A contractor that chooses to train its own safety-related 
railroad employees shall provide each railroad that utilizes it with a 
document indicating that the contractor's program of training was 
approved by FRA. A contractor is being utilized by a railroad when any 
of the contractor's employees conduct safety-related duties on behalf of 
the railroad and the railroad does not otherwise qualify those employees 
of the contractor that are allowed to perform those duties.
    (f) Railroad's responsibility to retain contractor's validation of 
program: A railroad that chooses to utilize contractor employees to 
perform safety-related duties and relies on contractor-provided training 
as the basis for those employees' qualification to perform those duties 
shall retain a document from the contractor indicating that the 
contractor's program was approved by FRA. A copy of the document 
required in paragraph (e) of this section satisfies this requirement.



Sec. 243.103  Training components identified in program.

    (a) Each employer's program shall include the following components:
    (1) A unique name and identifier for each formal course of study;
    (2) A course outline for each course that includes the following:
    (i) Any prerequisites to course attendance;
    (ii) A brief description of the course, including the terminal 
learning objectives;
    (iii) A brief description of the target audience, e.g., a list of 
the occupational categories and subcategories of employees the course 
will be delivered to;
    (iv) The method(s) of course delivery, which may include, but are 
not limited to, classroom, computer-based, on-the-job, simulator, 
laboratory, correspondence courses, or any combination thereof;
    (v) The anticipated course duration;
    (vi) A syllabus of the course to include any applicable U.S.C. 
chapters, 49 CFR parts, or FRA orders covered in the training; and
    (vii) The kind of assessment (written test, performance test, verbal 
test, OJT standard, etc.) performed to demonstrate employee competency.
    (3) A document for each OJT program component that includes the 
following:
    (i) The roles and responsibilities of each category of person 
involved in the administration and implementation, guidelines for 
program coordination, and the progression and application of the OJT;
    (ii) A listing of the occupational categories and subcategories of 
employees for which the OJT program applies; and
    (iii) Details of the safety-related tasks and subtasks, conditions, 
and standards covered by the program components.
    (4) The job title and telephone number of the employer's primary 
training point(s) of contact, listed separately by major department or 
employee occupational category, if applicable.
    (5) If any training organization or learning institution developed 
and will deliver all or any part of the training, the employer must 
include the following:
    (i) A narrative, text table, or other suitable format which 
describes those portions of the training that fit into this category;

[[Page 1147]]

    (ii) The business name of the organization that developed and will 
deliver the training; and
    (iii) The job title and telephone number of the training 
organization or learning institution's primary training point of 
contact.
    (b) An employer that is required to submit similar training programs 
or plans pursuant to other regulatory requirements contained elsewhere 
in this chapter may elect to cross-reference these other programs or 
plans in the program required by this part rather than resubmitting that 
similar program or plan. When any such similar program or plan did not 
include the OJT components specified in paragraph (a)(3) of this 
section, the employer shall supplement its program in accordance with 
this part by providing that additional information.
    (c) If an employer arranges job-related practice and practice 
related feedback sessions to supplement classroom, laboratory, simulator 
training, or OJT, the program shall include a description of the 
supplemental training.
    (d) FRA may require modifications to any programs, including those 
programs referenced in paragraph (b) of this section, if it determines 
essential program components, such as OJT, or arranged practice and 
feedback, are missing or inadequate.



Sec. 243.105  Optional model program development.

    (a) Any organization, business, or association may develop and 
submit one or more model training programs to FRA for review and 
approval so that the model program(s) may be used by multiple employers.
    (1) Any such model program should be submitted with a unique 
identifier associated with the program, or FRA will assign a unique 
identifier.
    (2) The program associated with the organization's unique identifier 
shall include all information required by Sec. 243.103.
    (3) Each model training program submitted to FRA prior to May 1, 
2017 is considered approved and may be implemented 180 days after the 
date of submission unless the Associate Administrator advises the 
organization, business, or association that developed and submitted the 
program that all or part of the program does not conform.
    (b) An employer that chooses to use a model program approved by FRA 
is not required to submit the entire program to FRA. Instead, the 
employer must submit only the unique identifier, and all other 
information that is specific to that employer or deviates from the model 
program.



Sec. 243.107  Training program submission, introductory information
required.

    (a) An employer who provides or is responsible for the training of 
safety-related railroad employees shall submit its training program to 
FRA for review and approval. Each employer shall state in its submission 
whether, at the time of filing, it:
    (1) Primarily conducts the training program of its own safety-
related railroad employees, utilizing its own resources;
    (2) Conducts any training for other than its own safety-related 
railroad employees;
    (3) Implements any training programs conducted by some other entity 
on its behalf but adopted by that employer;
    (4) Qualifies safety-related railroad employees previously qualified 
by other employers;
    (5) Qualifies safety-related railroad employees previously trained 
by training organizations or learning institutions; or
    (6) Any combination of paragraph (a)(1) through (5) of this section.
    (b) An employer who utilizes any of the options specified in 
paragraphs (a)(2) through (5) of this section shall provide the 
following information in its submission:
    (1) The categories of safety-related railroad employees who, at the 
time of filing, will receive training utilizing one or more of these 
options; and
    (2) Whether the training delivered, utilizing one or more of these 
options, composes all or part of the overall training program regimen 
for that category of employee at the time of filing.
    (c) An employer that elects to use training organizations or 
learning institutions to train some or all of its safety-related 
railroad employees, or

[[Page 1148]]

to hire new safety-related railroad employees that have previously 
received training from any training organizations or learning 
institutions, shall include the full name of the training organization 
or learning institution in its submission.



Sec. 243.109  Training program submission, review, and approval
process.

    (a) Initial programs. (1) Apprenticeship or similar intern programs, 
that began prior to submission of the employer's initial program filed 
in accordance with this part, shall be described in the employer's 
initial program. Any such apprenticeship or similar intern programs may 
continue, but if the Associate Administrator advises the employer of 
specific deficiencies, the employer shall resubmit that portion of its 
program, as revised to address specific deficiencies, within 90 days 
after the date of any notice of deficiencies from the Associate 
Administrator. A failure to resubmit the program with the necessary 
revisions shall be considered a failure to implement a program under 
this part. The Associate Administrator may extend this 90-day period 
upon written request.
    (2) An employer's initial program, as required by Sec. 243.101(a) 
or (b), must be submitted to the Associate Administrator and is 
considered approved, and may be implemented immediately upon submission. 
Following submission, the Associate Administrator will review the 
program and inform the employer as to whether the initial program 
conforms to this part. If the Associate Administrator determines that 
all or part of the program does not conform, the Associate Administrator 
will inform the employer of the specific deficiencies. The deficient 
portions of the non-conforming program may remain in effect until 
approval of the revised program, unless FRA provides notification 
otherwise. An employer shall resubmit the portion of its program, as 
revised to address specific deficiencies, within 90 days after the date 
of any notice of deficiencies from the Associate Administrator. A 
failure to resubmit the program with the necessary revisions shall be 
considered a failure to implement a program under this part. The 
Associate Administrator may extend this 90-day period upon written 
request.
    (b) Previously approved programs require an informational filing 
when modified. The employer must review its previously approved training 
program and modify it accordingly when new safety-related Federal 
railroad laws, regulations, or orders are issued, or new safety-related 
technologies, procedures, or equipment are introduced into the workplace 
and result in new knowledge requirements, safety-related tasks, or 
modification of existing safety-related duties. An employer that 
modifies its training program for these described reasons shall submit 
an informational filing to the Associate Administrator not later than 30 
days after the end of the calendar year in which the modification 
occurred, unless FRA advises otherwise to individual employers, one or 
more group of employers, or the general public. Programs modified in 
accordance with this paragraph, after the initial FRA approval, are 
considered approved upon being modified and may be implemented 
immediately. Any program deficiencies noted by the Associate 
Administrator shall be addressed in the same manner as paragraph (a)(2) 
of this section. The filing shall contain a summary description of 
sufficient detail that FRA can associate the changes with the employer's 
previously approved program, and shall include:
    (1) Descriptions of all new or refresher training courses developed 
since the previous FRA approval, using the same criteria required for an 
initial filing;
    (2) Explanations whenever OJT or arranged practice is added to, or 
discontinued from, a program;
    (3) Explanations as to how the methods of delivering training, or 
qualifying employees has changed; and
    (4) A statement from an organization, business, or association that 
has submitted a model program pursuant to this part, that the 
organization, business, or association has informed each employer who 
requested the right to use the affected training program of the changes 
and the need for the employer to comply with those changes that apply to 
the employer's operation.
    (c) New portions or revisions to an approved program. Substantial 
additions

[[Page 1149]]

or revisions to a previously approved program, that are not described as 
informational filings in accordance with paragraph (b) of this section, 
shall be considered approved and may be implemented immediately upon 
submission. Following submission, the Associate Administrator will 
review the new portions or revisions to the previously approved program 
and inform the employer as to whether the modifications conform to this 
part. Any program deficiencies noted by the Associate Administrator 
shall be addressed in the same manner as paragraph (a)(2) of this 
section. The Associate Administrator will inform the employer as to 
whether a new portion or revision to an approved program conforms to 
this part. If the Associate Administrator has determined that the 
changes do not conform to this part, the employer shall resubmit the 
portion of its program, as revised to address specific deficiencies, 
within 90 days after the date of any notice of deficiencies from the 
Associate Administrator. Failure to resubmit the program with the 
necessary revisions shall be considered a failure to implement a program 
under this part. The Associate Administrator may extend this 90-day 
period upon written request.
    (d) Additional submission, resubmission, or informational filing 
requirement for railroads. (1) Each railroad shall:
    (i) Simultaneous with its filing with the FRA, serve a copy of any 
submission, resubmission, or informational filing required pursuant to 
this section, to the president of each labor organization that 
represents the railroad's employees subject to this part; and
    (ii) Include in its submission, resubmission, or informational 
filing required pursuant to this section a statement affirming that the 
railroad has served a copy to the president of each labor organization 
that represents the railroad's employees subject to this part, together 
with a list of the names and addresses of persons served.
    (2) Not later than 90 days from the date a railroad files its 
submission, resubmission, or informational filing required pursuant to 
this section, a representative designated by the president of each labor 
organization that represents railroad employees subject to this part, 
may file a comment on the submission, resubmission, or informational 
filing:
    (i) Each comment shall be submitted to the Associate Administrator 
for Railroad Safety/Chief Safety Officer, Federal Railroad 
Administration, 1200 New Jersey Avenue SE., Washington, DC 20590; and
    (ii) The commenter shall certify that a copy of the comment was 
served on the railroad.



Sec. 243.111  Approval of programs filed by training organizations
or learning institutions.

    (a) A training organization or learning institution that provides 
training services for safety-related railroad employees, including 
providing such training services to independent students who enroll with 
such training organization or learning institution and who will rely on 
the training services provided to qualify to become safety-related 
railroad employees, must submit its program to FRA for review and 
approval.
    (b) A training organization or learning institution that has 
provided training services to employers covered by this part prior to 
January 1, 2017 may continue to offer such training services without FRA 
approval until January 1, 2018. The Associate Administrator may extend 
this period at any time based on a written request. Such written 
requests for an extension of time to submit a program should contain any 
factors the training organization or learning institution wants the 
Associate Administrator to consider prior to approving or disapproving 
the extension.
    (c) A program submitted by a training organization or learning 
institution must include all information required for an employer's 
program in accordance with this part, unless the requirement could only 
apply to an employer's program. The submitted program for a training 
organization or learning institution must also include the following 
information:
    (1) The full corporate or business name of the training organization 
or learning institution;
    (2) The training organization or learning institution's primary 
business and email address;

[[Page 1150]]

    (3) The training organization or learning institution's primary 
telephone number and point of contact;
    (4) A listing of the training organization or learning institution's 
designated instructors;
    (5) A resume for each designated instructor, showing how the 
instructor achieved the subject-matter and training expertise necessary 
to develop and deliver training to safety-related railroad employees, 
unless the designated instructors are currently employed by a railroad;
    (6) A list of references of employer customers the learning 
organization or training institution has provided services to in the 
past; and
    (7) A brief summary statement indicating how the training 
organization or learning institution determined the knowledge, skills, 
and abilities necessary to develop the training courses it provides to 
employers and independent students who enroll with such training 
organization or learning institution in order to become safety-related 
railroad employees. This brief summary should be of sufficient detail so 
that FRA can ascertain the methodologies the training organization or 
learning institution used during training development.
    (d) Except as specified in paragraph (b) of this section, prior 
approval by the Associate Administrator is required before FRA will 
accept such training as sufficient to meet the requirements of this 
part. The Associate Administrator will advise the training organization 
or learning institution in writing whether FRA has approved the program. 
If all or part of the program is not approved by FRA, the Associate 
Administrator will inform the training organization or learning 
institution of specific deficiencies. At the time that the Associate 
Administrator informs of any deficiencies, the Associate Administrator 
will clarify whether any particular training courses shall be considered 
approved.
    (e) Previously approved programs require an informational filing 
when modified. The training organization or learning institution shall 
review its previously approved training program and modify it 
accordingly when new safety-related Federal railroad laws, regulations, 
or orders are issued, or new safety-related technologies, procedures, or 
equipment are introduced into the workplace and result in new knowledge 
requirements, safety-related tasks, or in modifications of existing 
safety-related duties. A training organization or learning institution 
that modifies its training program for these described reasons shall 
submit an informational filing to the Associate Administrator not later 
than 30 days after the end of the calendar year in which the 
modification occurred, unless FRA advises otherwise. Programs modified 
in accordance with this paragraph are considered approved upon 
modification and may be implemented immediately. Any program 
deficiencies noted by the Associate Administrator shall be addressed as 
specified in this section. The filing shall contain a summary 
description of sufficient detail so that FRA can associate the changes 
with the training organization's or learning institution's previously 
approved program, and shall include:
    (1) Descriptions of all new or refresher training courses developed 
after the previous FRA approval, using the same criteria required for an 
initial filing;
    (2) Explanations whenever OJT or arranged practice is added to, or 
discontinued from, a program; and
    (3) Explanations as to how the methods of delivering training, or 
qualifying employees has changed.
    (f) New portions or revisions to an approved program: Substantial 
additions or revisions to a previously approved program, that are not 
described as informational filings in accordance with paragraph (e) of 
this section, shall require prior approval by the Associate 
Administrator before FRA will accept such training as sufficient to meet 
the requirements of this part. The Associate Administrator will advise 
the training organization or learning institution in writing whether FRA 
has approved the new or revised program. If all or part of the program 
is not approved by FRA, the Associate Administrator will inform the 
training organization or learning institution of specific deficiencies. 
At the time that the Associate Administrator informs the

[[Page 1151]]

training organization or learning institution of any deficiencies, the 
Associate Administrator will clarify whether any particular new or 
revised training courses shall be considered approved.
    (g) Training organizations and learning institutions subject to this 
part are required to maintain records for each safety-related railroad 
employee that attends the training, in accordance with the recordkeeping 
requirements of this part.
    (h) Training organizations and learning institutions subject to this 
part shall provide a student's training transcript or training record to 
any employer upon request by the student.



Sec. 243.113  Electronic and written program submission requirements.

    (a) Except for an employer with less than 400,000 total employee 
work hours annually, each employer, training organization, or learning 
institution to which this part applies is required to file by electronic 
means any program submissions required under this part in accordance 
with the requirements of this section. Each organization, business, or 
association that develops an optional model program in accordance with 
Sec. 243.105 of this part is required to electronically file the 
program in accordance with the requirements of this section.
    (b) Prior to any person's first program submission electronically, 
the person shall provide the Associate Administrator with the following 
information in writing:
    (1) The name of the employer, organization, learning institution, 
business, or association;
    (2) The names of two individuals, including job titles, who will be 
the person's points of contact and will be the only individuals allowed 
access to FRA's secure document submission site;
    (3) The mailing addresses for the person's points of contact;
    (4) The person's system or main headquarters address located in the 
United States;
    (5) The email addresses for the person's points of contact; and
    (6) The daytime telephone numbers for the person's points of 
contact.
    (c) A person that electronically submits an initial program, 
informational filing, or new portions or revisions to an approved 
program required by this part shall be considered to have provided its 
consent to receive approval or disapproval notices from FRA by email.
    (d) A request for FRA review of written materials shall be addressed 
to the Associate Administrator for Railroad Safety/Chief Safety Officer, 
Federal Railroad Administration, 1200 New Jersey Avenue SE., Washington, 
DC 20590.
    (e) FRA may electronically store any materials required by this part 
regardless of whether the person that submits the materials does so by 
delivering the written materials to the Associate Administrator and opts 
not to submit the materials electronically.
    (f) A person that opts not to submit the materials required by this 
part electronically, but provides one or more email addresses in its 
submission, shall be considered to have provided consent to receive 
approval or disapproval notices from FRA by email or mail.



       Subpart C_Program Implementation and Oversight Requirements



Sec. 243.201  Employee qualification requirements.

    (a) Designating existing employees:
    (1) By no later than September 1, 2018, each employer with 400,000 
total employee work hours annually or more in operation as of January 1, 
2018, shall declare the designation of each of its existing safety-
related railroad employees by occupational category or subcategory, and 
only permit designated employees to perform safety-related service in 
that occupational category or subcategory. The Associate Administrator 
may extend this period based on a written request.
    (2) By no later than September 1, 2019 or four years and eight 
months from the date of issuance of FRA's Interim Final Compliance 
Guide, whichever is later, each employer with less than 400,000 total 
employee work hours annually in operation as of January 1, 2019, shall 
declare the designation of

[[Page 1152]]

each of its existing safety-related railroad employees by occupational 
category or subcategory, and only permit designated employees to perform 
safety-related service in that occupational category or subcategory. The 
Associate Administrator may extend this period based on a written 
request.
    (b) Except for an employer subject to the requirement in paragraph 
(a)(2) of this section, an employer commencing operations after January 
1, 2018 shall declare the designation of each of its existing safety-
related railroad employees by occupational category or subcategory prior 
to beginning operations, and only permit designated employees to perform 
safety-related service in that category or subcategory. Any person 
designated shall have met the requirements for newly hired employees or 
those assigned new safety-related duties in accordance with paragraph 
(c) of this section.
    (c) Newly hired employees or those assigned new safety-related 
duty:. The following requirements apply to qualifying a safety-related 
railroad employee who, subsequent to the employer's designation in 
accordance with paragraphs (a) and (b) of this section, is newly hired 
or is to engage in a safety-related task not associated with the 
employee's previous training.
    (1) Prior to an employee becoming a qualified member of an 
occupational category or subcategory, the employer shall require a 
safety-related railroad employee who is newly hired or is to engage in 
safety-related duties not associated with the employee's previous 
training to successfully complete the formal training curriculum for 
that category or subcategory of safety-related railroad employee. 
Successful completion of the formal training curriculum includes passing 
any required examinations covering the skills and knowledge the employee 
will need to possess in order to perform the safety-related duties 
necessary to be a member of the occupational category or subcategory.
    (2) If the training curriculum includes OJT, the employee shall 
demonstrate, to the satisfaction of a designated instructor, OJT 
proficiency by successfully completing the safety-related tasks 
necessary to become a qualified member of the occupational category or 
subcategory. However, as part of the OJT process and prior to completing 
such training and passing the field evaluation, a person may perform 
such tasks under the direct onsite observation of any qualified person, 
provided the qualified person has been advised of the circumstances and 
is capable of intervening if an unsafe act or non-compliance with 
Federal railroad safety laws, regulations, or orders is observed. An 
employee designated to provide formal training to other employees, and 
who is not a designated instructor, shall be qualified on the safety-
related topics or tasks in accordance with the employer's training 
program and the requirements of this part.
    (d) Employees previously qualified or trained, but not by the 
current employer: If an employee has received relevant qualification or 
training for a particular occupational category or subcategory through 
participation in a FRA-approved training program submitted by an entity 
other than the employee's current employer, that training shall satisfy 
the requirements of this part:
    (1) Provided that:
    (i) A current record of training is obtained from that other entity; 
or
    (ii) When a current record of training is unavailable from that 
other entity, an employer performs testing to ensure the employee has 
the knowledge necessary to be a member of that category or subcategory 
of safety-related railroad employee; and
    (2) When the employee, in the previous 180 days, has either not 
performed the safety-related duties or not received initial or periodic 
training for an occupational category or subcategory, the employer shall 
perform testing to ensure the employee has retained the knowledge 
necessary to remain a member of that occupational category or 
subcategory. In the situation where an employee's records are 
unavailable and the employee is subject to testing under paragraph 
(d)(1)(ii) of this section, no additional testing is required.
    (e) Refresher training requirements and options:

[[Page 1153]]

    (1) Beginning January 1, 2020, each employer with 400,000 total 
employee work hours annually or more shall deliver refresher training at 
an interval not to exceed 3 calendar years from the date of an 
employee's last training event, except where refresher training is 
specifically required more frequently in accordance with this chapter. 
If the last training event occurs prior to FRA's approval of the 
employer's training program, the employer shall provide refresher 
training either within 3 calendar years from that prior training event 
or no later than December 31, 2022. Each employer shall ensure that, as 
part of each employee's refresher training, the employee is trained and 
qualified on the application of any Federal railroad safety laws, 
regulations, and orders the person is required to comply with, as well 
as any relevant railroad rules and procedures promulgated to implement 
those Federal railroad safety laws, regulations, and orders.
    (2) Beginning January 1, 2021 or six years from the date of issuance 
of FRA's Interim Final Compliance Guide, whichever is later, each 
employer with less than 400,000 total employee work hours annually shall 
deliver refresher training at an interval not to exceed 3 calendar years 
from the date of an employee's last training event, except where 
refresher training is specifically required more frequently in 
accordance with this chapter. If the last training event occurs prior to 
FRA's approval of the employer's training program, the employer shall 
provide refresher training either within 3 calendar years from that 
prior training event or no later than December 31, 2023. Each employer 
shall ensure that, as part of each employee's refresher training, the 
employee is trained and qualified on the application of any Federal 
railroad safety laws, regulations, and orders the person is required to 
comply with, as well as any relevant railroad rules and procedures 
promulgated to implement those Federal railroad safety laws, 
regulations, and orders.



Sec. 243.203  Records.

    (a) General requirements for qualification status records; 
accessibility. Each employer shall maintain records to demonstrate the 
qualification status of each safety-related railroad employee that it 
employs.
    (1) The records for former safety-related railroad employees shall 
be accessible for 6 years at the employer's system headquarters after 
the employment relationship ends.
    (2) Current employee records shall be accessible at the employer's 
system headquarters.
    (b) Employee information. The records shall include the following 
information concerning each such employee:
    (1) The name of the employee;
    (2) Occupational category or subcategory designations for which the 
employee is deemed qualified;
    (3) The dates that each formal training course was completed;
    (4) The title of each formal training course successfully completed;
    (5) If the safety-related railroad employee attended safety-related 
training offered by a business, a training organization, or a learning 
institution with an FRA-approved program, a copy of the transcript or 
appropriate record from that business, training organization, or 
learning institution;
    (6) The employee's OJT performance, which shall include the unique 
name or identifier of the OJT program component in accordance with Sec. 
243.103, the date the OJT program component was successfully completed, 
and the identification of the person(s) determining that the employee 
successfully completed all OJT training necessary to be considered 
qualified to perform the safety-related tasks identified with the 
occupational categories or subcategories for which the employee is 
designated in accordance with the program required by this part;
    (7) The date that the employee's status is determined to be 
qualified and the employee is designated to perform the safety-related 
duties identified with any particular occupational categories or 
subcategories, in accordance with the program required by this part;
    (8) If an employee's qualification status was transferred from 
another entity with an approved program, a copy of the training record 
from that other entity; and

[[Page 1154]]

    (9) Any additional information required by this part.
    (c) Record accessibility for other than individual employee records. 
Except for records demonstrating the qualification status of each 
safety-related railroad employee as described in paragraph (b) of this 
section or otherwise specified in this part, each test, inspection, 
annual review, or other event record required by this part shall be 
accessible for 3 calendar years after the end of the calendar year to 
which the event relates. Each employer shall make these records 
accessible at one headquarters location within the United States, 
including, but not limited to, a railroad's system headquarters, a 
holding company's headquarters, a joint venture's headquarters, a 
contractor's principal place of business or other headquarters located 
where the contractor is incorporated. This requirement does not prohibit 
an employer with divisions from also maintaining any of these records at 
any division headquarters.
    (d) Availability of records. Each employer, training organization, 
or learning institution required to maintain records under this part 
shall:
    (1) Make all records available for inspection and copying/
photocopying to representatives of FRA, upon request during normal 
business hours; and
    (2) Make an employee's records available for inspection and copying/
photocopying to that employee, former employee, or such person's 
representative upon written authorization by such employee during normal 
business hours.
    (e) Electronic recordkeeping. Nothing in this section precludes an 
employer, a training organization, or a learning institution from 
maintaining the information required to be retained under this part in 
an electronic format provided that:
    (1) The employer, training organization, or learning institution 
maintains an information technology security program adequate to ensure 
the integrity of the electronic data storage system, including the 
prevention of unauthorized access to the program logic or individual 
records;
    (2) The program and data storage system must be protected by a 
security system that utilizes an employee identification number and 
password, or a comparable method, to establish appropriate levels of 
program access meeting all of the following standards:
    (i) No two individuals have the same electronic identity; and
    (ii) A record cannot be deleted or altered by any individual after 
the record is certified by the employee who created the record;
    (3) Any amendment to a record is either:
    (i) Electronically stored apart from the record that it amends; or
    (ii) Electronically attached to the record as information without 
changing the original record;
    (4) Each amendment to a record uniquely identifies the person making 
the amendment;
    (5) The system employed by the employer, training organization, or 
learning institution for data storage permits reasonable access and 
retrieval of the information in usable format when requested to furnish 
data by FRA representatives; and
    (6) Information retrieved from the system can be easily produced in 
a printed format which can be readily provided to FRA representatives in 
a timely manner 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.
    (f) Transfer of records. If an employer ceases to do business and 
its assets will be transferred to a successor employer, it shall 
transfer to the successor employer all records required to be maintained 
under this part, and the successor employer shall retain them for the 
remainder of the period prescribed in this part.



Sec. 243.205  Periodic oversight.

    (a) General. As part of the program required in accordance with this 
part, an employer shall adopt and comply with a program to conduct 
periodic oversight tests and inspections to determine if safety-related 
railroad employees comply with Federal railroad safety laws, 
regulations, and orders particular to FRA-regulated personal and work 
group safety. The program of periodic oversight shall commence on

[[Page 1155]]

the day the employer files its program with FRA pursuant to Sec. 
243.101(a) or on the day the employer commences operations pursuant to 
Sec. 243.101(b). The data gathered through the testing and inspection 
components of the program shall be used to determine whether systemic 
performance gaps exist, and to determine if modifications to the 
training component of the program are appropriate to close those gaps.
    (b) Locomotive engineer and conductor oversight exception. Periodic 
oversight specified in this section is not required for employees 
covered by parts 240 and 242 of this chapter, but a railroad shall use 
results of the assessments required by those parts to determine if 
changes in its training programs are necessary to close any proficiency 
gaps found during those assessments.
    (c) Railroad oversight. Each railroad shall identify supervisory 
employees, by category or subcategory, responsible for conducting 
periodic oversight tests and inspections for the safety-related railroad 
employees that it authorizes to perform safety-related duties on its 
property, except a railroad is not required to:
    (1) Provide oversight for a contractor's safety-related railroad 
employees if that contractor is required to conduct its own periodic 
oversight because it meets the criteria specified in paragraph (g) of 
this section;
    (2) Provide oversight for categories or subcategories of a 
contractor's safety-related railroad employees if the railroad does not 
employ supervisory employees who are qualified as safety-related 
railroad employees in those categories or subcategories; or
    (3) Provide oversight for any supervisory employee identified by the 
railroad as responsible for conducting oversight in accordance with this 
section.
    (d) Operational test exception for a railroad. A railroad is not 
required to perform operational tests of safety-related railroad 
employees employed by a contractor.
    (e) Railroad oversight for contractors. A railroad may choose to 
require supervisory employees to perform oversight of safety-related 
railroad employees employed by a contractor either:
    (1) When oversight test and inspection sessions are scheduled 
specifically to determine if safety-related employees are in compliance 
with Federal railroad safety laws, regulations, and orders particular to 
FRA-regulated personal and work group safety; or
    (2) When a qualified railroad supervisory employee's duties place 
this person in the vicinity of one or more safety-related railroad 
employees employed by a contractor and performing the oversight would 
result in minimal disruption of this person's other assigned duties.
    (f) Railroad's duty to notify contractor of non-compliance. A 
railroad that finds evidence of contractor employee non-compliance with 
Federal railroad safety laws, regulations, and orders particular to FRA-
regulated personal and work group safety during the periodic oversight 
shall provide that employee and that employee's employer with details of 
the non-compliance.
    (g) Contractor oversight. Each contractor shall conduct periodic 
oversight tests and inspections of its safety-related railroad employees 
provided:
    (1) A contractor employs more than 15 safety-related railroad 
employees;
    (2) A contractor relies on training it directly provides to its own 
employees as the basis for qualifying those employees to perform safety-
related duties on a railroad; and
    (3) A contractor employs supervisory safety-related railroad 
employees capable of performing oversight.
    (h) Oversight divided by agreement. Notwithstanding the requirements 
of paragraphs (c) and (g) of this section, a railroad and a contractor 
may agree that the contractor will provide the oversight by specifying 
in the program that the railroad has trained the contractor employees 
responsible for training and oversight.
    (i) Detailed records required. Each employer that conducts periodic 
oversight in accordance with this section must keep a record of the 
date, time, place, and result of each test or inspection. The records 
shall specify each person administering tests and inspections, and each 
person tested. The record shall also provide a method to record whether 
the employee complied with

[[Page 1156]]

the monitored duties, and any interventions used to remediate non-
compliance. Modifications of the program required by Sec. 217.9 of this 
chapter may be used in lieu of this oversight program, provided a 
railroad specifies it has done so in its program submitted in accordance 
with this part.
    (j) Additional records requirement. Records required under this 
section are subject to the requirements of Sec. 243.203.



Sec. 243.207  Annual review.

    (a) The purpose of this review is to determine if knowledge or 
performance gaps exist in the application of Federal railroad safety 
laws, regulations, and orders. This section shall apply to each railroad 
once a program has been approved by FRA in accordance with this part. 
This section does not apply to a railroad with less than 400,000 total 
employee work hours annually. This section does not apply to employers 
other than railroads except as specified in paragraph (f) of this 
section.
    (b) Except as provided for in paragraph (a) of this section, each 
railroad that is required to conduct periodic oversight in accordance 
with Sec. 243.205 is also required to conduct an annual review, as 
provided in this section, and shall retain, at its system headquarters, 
one copy of the written annual review.
    (c) Each railroad shall designate a person(s) who shall conduct a 
written annual review. The annual review shall be designed to identify 
knowledge or performance gaps in occupational categories and determine 
whether adjustments to the training component of the program are the 
appropriate intervention to close those gaps or otherwise improve the 
effectiveness of the program. Such review shall include analysis of the 
following data:
    (1) Periodic oversight data required by Sec. 243.205;
    (2) Reportable accident/incident data as defined in part 225 of this 
chapter;
    (3) FRA inspection report data;
    (4) Employee training feedback received through a course evaluation 
process, if such feedback is available; and
    (5) Feedback received from labor representatives, if such feedback 
is available.
    (d) Based upon the results of the annual review, the designated 
person(s) shall coordinate any necessary adjustments to the initial and 
refresher training programs. At the railroad's option, the annual review 
required under this section may be conducted in conjunction with any 
periodic review required under part 217 of this chapter.
    (e) If a railroad utilizes a contractor that directly trains its own 
safety-related railroad employees, the railroad shall notify the 
contractor of the relevant training program adjustments made to the 
railroad's program in accordance with paragraph (d) of this section.
    (f) A contractor shall use any information provided by a railroad to 
adjust its training specific to the Federal railroad safety laws, 
regulations, and orders particular to FRA-regulated personal and work 
group safety.
    (g) Prior to September 1 of each calendar year, each railroad to 
which this section applies shall complete its annual review for the 
previous calendar year.



Sec. 243.209  Railroad maintained list of contractors utilized.

    (a) Each railroad utilizing contractors to supply the railroad with 
safety-related railroad employees shall maintain a list, at its system 
headquarters, with information regarding each contractor utilized 
unless:
    (1) The railroad qualifies each of the contractor's safety-related 
railroad employees utilized; and
    (2) The railroad maintains the training records for each of the 
contractor's safety-related railroad employees utilized.
    (b) The listing required by paragraph (a) of this section shall 
include:
    (1) The full corporate or business name of the contractor;
    (2) The contractor's primary business and email address; and
    (3) The contractor's primary telephone number.
    (c) The information required by this section shall be continuously 
updated as additional contractors are utilized, and no contractor 
information shall be deleted from the list unless the contractor has not 
been utilized for at

[[Page 1157]]

least 3 years from the end of the calendar year the contractor was last 
utilized.



       Sec. Appendix to Part 243--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
           Section                  Violation         Willful violation
------------------------------------------------------------------------
           Subpart B--Program Components and Approval Process
------------------------------------------------------------------------
243.101--Employer program
 required:
    (a-c) Complete failure    $7,500-12,500         $11,000-$16,000
     to submit, adopt, or
     comply with program.
    (a-c) Partial failure to  4,500-9,500           6,500-13,000
     submit, adopt, or
     comply with program; or
     failure to correct
     deficiencies upon FRA's
     request.
    (d) OJT program           2,000-4,500           4,000-6,500
     requirements or failure
     to make reference
     materials available.
    (e-f) Program validation  2,000                 4,000
243.105 Claiming optional     2,000-4,500           4,000-6,500
 model program is FRA-
 approved, when it is not:.
243.109 Training program
 submission, review, and
 approval process:
    (a) Failure to timely     2,000-4,500           4,000-6,500
     resubmit program.
    (b) Failure to timely     2,000-4,500           4,000-6,500
     submit informational
     filing.
    (c) Failure to submit     4,500                 6,500
     new portions or
     revisions.
    (d) Railroad failure to   1,000                 2,000
     serve program.
243.111 Approval of programs
 filed by training
 organizations or learning
 institutions:
    (a-b) Claiming training   2,000-4,500           4,000-6,500
     is FRA-approved, when
     it is not.
    (c-f) FRA approved some   2,000-4,500           4,000-6,500
     training, but all
     conditions not met.
    (g-h) Records...........  1,000                 2,000
------------------------------------------------------------------------
      Subpart C--Program Implementation and Oversight Requirements
------------------------------------------------------------------------
243.201 Employee qualification requirements:
    (a-b) Failure to          1,000                 2,000
     designate an employee.
    (c-f) Other failures and  1,000                 2,000
     refresher training (per
     employee).
243.203 Records:
    (a-f) Failure to          1,000                 2,000
     maintain records (per
     employee).
243.205 Periodic oversight..  4,500-9,500           6,500-13,000
243.207 Annual review.......  4,500                 6,500
243.209 Railroad maintained   4,500                 6,500
 list of contractors
 utilized.
------------------------------------------------------------------------
\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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[79 FR 66501, Nov. 7, 2014, as amended at 81 FR 43113, July 1, 2016]



PART 244_REGULATIONS ON SAFETY INTEGRATION PLANS GOVERNING RAILROAD
CONSOLIDATIONS, MERGERS, AND ACQUISITIONS OF CONTROL--Table of Contents



                            Subpart A_General

Sec.
244.1 Scope, application, and purpose.
244.3 Preemptive effect.
244.5 Penalties.
244.7 Waivers.
244.9 Definitions.

                   Subpart B_Safety Integration Plans

244.11 Contents of a Safety Integration Plan.
244.13 Subjects to be addressed in a Safety Integration Plan involving 
          an amalgamation of operations.
244.15 Subjects to be addressed in a Safety Integration Plan not 
          involving an amalgamation of operations.
244.17 Procedures.
244.19 Disposition.
244.21 Compliance and Enforcement.

Appendix A to Part 244--Schedule of Civil Penalties [Reserved]

    Authority: 49 U.S.C. 20103, 20107, 21301; 5 U.S.C. 553 and 559; 28 
U.S.C. 2461, note; and 49 CFR 1.89.

    Source: 67 FR 11604, Mar. 15, 2002, unless otherwise noted.



                            Subpart A_General



Sec. 244.1  Scope, application, and purpose.

    (a) This part prescribes requirements for filing and implementing a 
Safety Integration Plan with FRA whenever a Class I railroad proposes to 
consolidate with, merge with, or acquire control of another Class I 
railroad, or with a Class II railroad where there is a proposed 
amalgamation of operations.
    (b) The purpose of this part is to achieve a reasonable level of 
railroad safety during the implementation of

[[Page 1158]]

transactions described in paragraph (a) of this section. This part does 
not preclude a railroad from taking additional measures not inconsistent 
with this part to provide for safety in connection with a transaction.
    (c) The requirements prescribed under this part apply only to FRA's 
disposition of a regulated transaction filed by an applicant. The 
transactions covered by this part also require separate filing with and 
approval by the Surface Transportation Board. See 49 CFR part 1106.



Sec. 244.3  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:
    (a) Is necessary to eliminate or reduce an essentially local safety 
hazard;
    (b) Is not incompatible with a law, regulation, or order of the 
United States Government; and
    (c) Does not unreasonably burden interstate commerce.



Sec. 244.5  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 $839, but not more than $27,455 per day, 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 $109,819 per violation 
may be assessed. Each day a violation continues shall constitute a 
separate offense.
    (b) As specified in Sec. 244.21, FRA may also exercise any of its 
other enforcement remedies if a railroad fails to comply with Sec. 
244.21.
    (c) Any person who knowingly and willfully makes a false entry in a 
record or report required by this part shall be subject to criminal 
penalties under 49 U.S.C. 21311.

[67 FR 11604, Mar. 15, 2002, as amended at 69 FR 30595, May 28, 2004; 72 
FR 51198, Sept. 6, 2007; 73 FR 79705, Dec. 30, 2008; 77 FR 24423, Apr. 
24, 2012; 81 FR 43113, July 1, 2016]



Sec. 244.7  Waivers.

    (a) A person subject to a requirement of this part may petition the 
Administrator for a waiver of compliance with any requirement of this 
part. The filing of such a petition does not affect that person's 
responsibility for compliance with that requirement pending action on 
such a petition.
    (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, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary.
    (d) The procedures governing a petition for a waiver that are 
prescribed under this part apply only to FRA's disposition of such a 
petition. A person seeking a waiver of a Surface Transportation Board 
regulation would need to file a petition for a waiver with the Board. 
(See 49 CFR 1106.5.)



Sec. 244.9  Definitions.

    As used in this part--
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Amalgamation of operations means the migration, combination, or 
unification of one set of railroad operations with another set of 
railroad operations, including, but not limited to, the allocation of 
resources affecting railroad operations (e.g., changes in personnel, 
track, bridges, or communication or signal systems; or use or deployment 
of maintenance-of-way equipment, locomotives, or freight or passenger 
cars).
    Applicant means a Class I railroad or a Class II railroad engaging 
in a transaction subject to this part.
    Best practices means measures that are tried, tested, and proven to 
be the

[[Page 1159]]

safest and most efficient rules or instructions governing railroad 
operations.
    Class I or Class II railroad has the meaning assigned by regulations 
of the Surface Transportation Board (49 CFR part 1201; General 
Instructions 1-1), as those regulations may be revised by the Board 
(including modifications in class thresholds based on the revenue 
deflator formula) from time to time.
    Corporate culture means the totality of the commitments, written and 
oral directives, and practices that make up the way a railroad's 
management and its employees operate their railroad.
    Control means actual control, legal control, or the power to 
exercise control through:
    (1) Common directors, officers, stockholders, a voting trust, or a 
holding or investment company, or
    (2) Any other means. See 49 U.S.C. 10102.
    Consolidation means the creation of a new Class I railroad by 
combining existing Class I railroads or a Class I railroad and a Class 
II railroad where there is an amalgamation of operations, or by a 
railroad or a corporate parent of a Class I railroad taking over the 
assets or assuming the liabilities, or both, of another Class I railroad 
such that the resulting unified entity has the combined capital, powers, 
and subsidiaries and affiliates, if applicable, of all of its 
constituents.
    Environmental documentation means either an Environmental Assessment 
or Environmental Impact Statement prepared in accordance with the 
Surface Transportation Board's environmental rules at 49 CFR part 1105.
    Merger means the acquisition of one Class I railroad or Class II 
railroad where there is amalgamation of operations by a Class I railroad 
such that the acquiring railroad or a corporate parent of that railroad 
acquires the stock, assets, liabilities, powers, subsidiaries and 
affiliates of the railroad acquired.
    Person means an entity of any type covered under 1 U.S.C. 1, 
including 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.
    Railroad means any form of non-highway ground transportation that 
runs 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 those systems use new 
technologies not associated with traditional railroads. The term does 
not include rapid transit operations in an urban area that are not 
connected to the general railroad system of transportation.
    Safety Integration Plan means a comprehensive written plan submitted 
to and approved by FRA in compliance with this part that demonstrates in 
required detail how an applicant will provide for safe railroad 
operations during and after any transaction covered by this part, and 
otherwise assure compliance with the Federal railroad safety laws.
    Section of Environmental Analysis or ``SEA'' means the Section of 
the Surface Transportation Board that prepares its environmental 
documentation and analyses.
    Transaction means a consolidation, merger, or acquisition of control 
subject to the requirements of this part.



                   Subpart B_Safety Integration Plans



Sec. 244.11  Contents of a Safety Integration Plan.

    Each Safety Integration Plan shall contain the following information 
for each subject matter identified in Sec. 244.13 or Sec. 244.15:
    (a) A detailed description of how the applicant differs from each 
railroad it proposes to acquire or with which the applicant proposes to 
consolidate or merge, including the rules or instructions governing 
railroad operations of these railroads;

[[Page 1160]]

    (b) A detailed description of the proposed manner of operations of 
the resulting railroad, including a reconciliation of the differing 
rules or instructions governing railroad operations of the railroads 
involved in the transaction;
    (c) The measures to be taken to comply with applicable Federal 
railroad safety laws and regulations;
    (d) The proposed specific measures, expressed step-by-step, for each 
relevant subject matter that the applicant believes will result in safe 
implementation of the proposed transaction consistent with the 
requirements of this part;
    (e) The allocation of resources, expressed as human and capital 
resources within designated operating budgets, directed to complete 
safety-relevant operations subject to the transaction; and
    (f) The timetable, targeted in specific terms from commencement to 
completion, for implementing paragraphs (c), (d) and (e) of this 
section.



Sec. 244.13  Subjects to be addressed in a Safety Integration Plan
involving an amalgamation of operations.

    Each Safety Integration Plan involving an amalgamation of operations 
shall address the following subjects for railroad operations conducted 
on property subject to the transaction:
    (a) Corporate culture. Each applicant shall:
    (1) Identify and describe differences for each safety-related area 
between the corporate cultures of the railroads involved in the 
transaction;
    (2) Describe how these cultures lead to different practices 
governing rail operations; and
    (3) Describe, in step-by-step measures, the integration of these 
corporate cultures and the manner in which it will produce a system of 
``best practices'' when the transaction is implemented.
    (b) Training. Each applicant shall identify classroom and field 
courses, lectures, tests, and other educational or instructional forums 
designed to ensure the proficiency, qualification, and familiarity with 
the operating rules and operating tasks of territory assigned of the 
following employees, either when these employees are assigned to a new 
territory or the operating rules on a given territory are changed:
    (1) Employees who perform train and engine service;
    (2) Employees who inspect and maintain track and bridges;
    (3) Employees who inspect, maintain and repair any type of on-track 
equipment, including locomotives, passenger cars, and freight cars of 
all types;
    (4) Dispatchers or operators;
    (5) Employees who inspect and maintain signal and train control 
devices and systems;
    (6) Hazardous materials personnel, including information technology 
personnel who affect the transportation of hazardous materials;
    (7) Employees who maintain or upgrade communication systems 
affecting rail operations; and
    (8) Supervisors of employees enumerated in paragraphs (b)(1) through 
(7) of this section.
    (c) Operating practices--(1) Operating rules. Each applicant shall 
identify the operating rules, timetables, and timetable special 
instructions to govern railroad operations, including yard or terminal 
operations and freight or passenger service.
    (2) Alcohol and drug. Each applicant shall identify the post-
accident toxicological testing, reasonable cause testing, and random 
alcohol and drug testing programs as required under 49 CFR part 219.
    (3) Qualification and certification of locomotive engineers. Each 
applicant shall identify the program for qualifying and certifying 
locomotive engineers under 49 CFR part 240.
    (4) Hours of service laws. Each applicant shall identify the 
procedures for complying with the Federal hours of service laws and 
related measures to minimize fatigue of employees covered by 49 U.S.C. 
chapter 211.
    (d) Motive power and equipment. Each applicant shall identify the 
qualification standards for employees who inspect, maintain, or repair 
railroad freight or passenger cars and locomotives, and the designated 
facilities used, or to be used, to repair such equipment.

[[Page 1161]]

    (e) Signal and train control. Each applicant shall identify the 
signal and train control systems governing railroad operations and 
maintenance, and any planned amendments or modifications to capital 
improvement and research and development projects for signal and train 
control operations.
    (f) Track Safety Standards and bridge structures. Each applicant 
shall identify the maintenance and inspection programs for track and 
bridges, and the qualification standards for roadway workers.
    (g) Hazardous Materials. Each applicant shall identify an inspection 
program covering the following areas:
    (1) Field inspection practices;
    (2) Hazardous materials communication standards;
    (3) Emergency response procedures; and
    (4) Information technology systems and personnel employed for 
transmitting or receiving information accompanying hazardous materials 
shipments. The inspection program should identify preventive measures 
that will be employed to respond to potential information technology 
integration and hazardous materials documentation deficiencies.
    (h) Dispatching operations. Each applicant shall identify:
    (1) The railroad dispatching system to be adopted;
    (2) The migration of the existing dispatching systems to the adopted 
system, if applicable; and
    (3) The criteria used to determine workload and duties performed by 
operators or dispatchers employed to execute operations.
    (i) Highway-rail grade crossing systems. Each applicant shall 
identify a program, including its development and implementation, 
covering the following:
    (1) Identification of the highway-rail grade crossings at which 
there will be an increase in rail traffic resulting from the 
transaction;
    (2) An applicant's existing grade-crossing programs as they apply to 
grade crossings identified in paragraph (i)(1) of this section;
    (3) Integration of the grade crossing programs of the railroads 
subject to the transaction to the extent the programs may be different;
    (4) Emergency response actions;
    (5) Avoidance of blocked or obstructed highway-rail crossing systems 
by trains, locomotives, railroad cars, or other pieces of rolling 
equipment; and
    (6) Signs employed for changes in rail traffic patterns.
    (j) Personnel staffing. Each applicant shall identify the number of 
employees by job category, currently and proposed, to perform the 
following types of functions when there is a projected change of 
operations that will impact workforce duties or responsibilities for 
employees of that job category:
    (1) Train and engine service;
    (2) Yard and terminal service;
    (3) Dispatching operations;
    (4) Roadway maintenance;
    (5) Freight car and locomotive maintenance;
    (6) Maintenance of signal and train control systems, devices, and 
appliances;
    (7) Hazardous materials operations; and
    (8) Managers responsible for oversight of safety programs.
    (k) Capital investment. Each applicant shall identify the capital 
investment program, clearly displaying planned investments in track and 
structures, signals and train control, and locomotives and equipment. 
The program shall describe any differences from the program currently in 
place on each of the railroads involved in the transaction.
    (l) Information systems compatibility. Each applicant shall identify 
measures providing for a seamless interchange of information relating to 
the following subject matters:
    (1) Train consists;
    (2) Movements and movement history of locomotives and railroad 
freight cars;
    (3) Dispatching operations;
    (4) Emergency termination of operations; and
    (5) Transportation of hazardous materials.

[67 FR 11604, Mar. 15, 2002, as amended at 67 FR 68045, Nov. 8, 2002]

[[Page 1162]]



Sec. 244.15  Subjects to be addressed in a Safety Integration Plan
not involving an amalgamation of operations.

    If an applicant does not propose an amalgamation of operations 
conducted on properties subject to the transaction, the applicant shall 
not be required to file a Safety Integration Plan unless directed to do 
so by FRA.



Sec. 244.17  Procedures.

    (a) Each applicant shall file one original of a proposed Safety 
Integration Plan with the Associate Administrator for Safety, FRA, 1200 
New Jersey Avenue, SE., Mail Stop 25, Washington, DC, 20590, no later 
than 60 days after the date it files its application with the Surface 
Transportation Board.
    (b) The applicant shall submit such additional information necessary 
to support its proposed Safety Integration Plan as FRA may require to 
satisfy the requirements of this part.
    (c) The applicant shall coordinate with FRA to resolve FRA's 
comments on the proposed Safety Integration Plan until such plan is 
approved.
    (d) FRA will file its findings and conclusions on the proposed 
Safety Integration Plan with the Board's Section of Environmental 
Analysis at a date sufficiently in advance of the Board's issuance of 
its draft environmental documentation in the case to permit 
incorporation in the draft environmental document.
    (e) Assuming FRA approves the proposed Safety Integration Plan and 
the Surface Transportation Board approves the transaction and adopts the 
Plan, each applicant involved in the transaction shall coordinate with 
FRA in implementing the approved Safety Integration Plan.
    (f) During implementation of an approved Safety Integration Plan, 
FRA expects that an applicant may change and refine its Safety 
Integration Plan in response to unforeseen developments. An applicant 
shall communicate with FRA about such developments and submit amendments 
to its Safety Integration Plan to FRA for approval.
    (g) During implementation of an approved Safety Integration Plan, 
FRA will inform the Surface Transportation Board about implementation of 
the plan at times and in a manner designed to aid the Board's exercise 
of its continuing jurisdiction over the approved transaction in 
accordance with an agreement that FRA and the Board will enter into and 
execute. Pursuant to such agreement, FRA will consult with the Board at 
all appropriate stages of implementation, and will advise the Board on 
the status of the implementation process:
    (1) For a period of no more than five years after the Board approves 
the transaction,
    (2) For an oversight period for the transaction established by the 
Board, or
    (3) Until FRA advises the Board in writing that the integration of 
operations subject to the transaction is complete, whichever is shorter.
    (h) Request for Confidential Treatment. Each applicant requesting 
that advanced drafts of the proposed Safety Integration Plan and 
information in support of the proposed and approved plan that are filed 
with FRA receive confidential treatment shall comply with the procedures 
enumerated at 49 CFR 209.11.

[67 FR 11604, Mar. 15, 2002, as amended at 74 FR 25176, May 27, 2009]



Sec. 244.19  Disposition.

    (a) Standard of review. FRA reviews an applicant's Safety 
Integration Plan, and any amendments thereto, to determine whether it 
provides a reasonable assurance of safety at every step of the 
transaction. In making this determination, FRA will consider whether the 
plan:
    (1) Is thorough, complete, and clear; and
    (2) Describes in adequate detail a logical and workable transition 
from conditions existing before the transaction to conditions intended 
to exist after consummation of the transaction.
    (b) Approval of the Safety Integration Plan and Amendments Thereto. 
FRA approves a Safety Integration Plan, and any amendments thereto, that 
meets the standard set forth in paragraph (a) of this section. The 
approval will be conditioned on an applicant's execution of all of the 
elements contained in the plan, including any amendments to the plan 
approved by FRA.

[[Page 1163]]

    (c) Amendment--(1) By the applicant. The applicant may amend its 
Safety Integration Plan, from time to time, provided it explains the 
need for the proposed amendment in writing to FRA. Any amendment shall 
take effect no earlier than 30 days after its submission to FRA, unless 
it is either approved or disapproved by FRA within that period. Any 
disapproval of an amendment shall be in accordance with the requirements 
prescribed in paragraph (b) of this section.
    (2) By FRA. FRA may request an applicant to amend its approved 
Safety Integration Plan from time to time should circumstances warrant.

[67 FR 11604, Mar. 15, 2002, as amended at 67 FR 68045, Nov. 8, 2002]



Sec. 244.21  Compliance and Enforcement.

    (a) After the Surface Transportation Board has approved a 
transaction subject to this part, a railroad implementing a transaction 
subject to this part shall operate in accordance with the Safety 
Implementation Plan approved by FRA until the properties involved in the 
transaction are completely integrated into the form contemplated in the 
Surface Transportation Board's approval of the transaction.
    (b) FRA may exercise any or all of its enforcement remedies 
authorized by the Federal railroad safety laws if a railroad fails to 
comply with paragraph (a) of this section or to execute any measure 
contained in a Safety Implementation Plan approved by FRA.



   Sec. Appendix A to Part 244--Schedule of Civil Penalties [Reserved]

                           PART 245 [RESERVED]



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:
    (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.

[[Page 1164]]

    (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 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]

[[Page 1165]]



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;
    (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

[[Page 1166]]

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.
    (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

[[Page 1167]]

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, 
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

[[Page 1168]]

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.

Appendix A to Part 256--Certificate

    Authority: Sec. 4(i) of the Department of Transportation Act, 49 
U.S.C. 5561-5568, as amended by (1) sec. 15 of the Amtrak Improvement 
Act of 1974, Public Law 93-496, 88 Stat. 1528; (2) sec. 13 of the Amtrak 
Improvement Act of 1975, Public Law 94-25, 89 Stat. 93; (3) sec. 706 of 
the Railroad Revitalization and Regulatory Reform Act of 1976, Publaw 
Law 94-210, 90 Stat. 125; and (4) sec. 219(a) of the Rail Transportation 
Improvement Act, Public Law 94-555, 90 Stat. 2629; and regulations of 
the Office of the Secretary of Transportation, 49 CFR 1.49(r).

[[Page 1169]]

  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:
    (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

[[Page 1170]]

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;
    (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

[[Page 1171]]

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:
    (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

[[Page 1172]]

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 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

[[Page 1173]]

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;
    (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;

[[Page 1174]]

    (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;
    (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

[[Page 1175]]

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;
    (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

[[Page 1176]]

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 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

[[Page 1177]]

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 shall be filed with the Federal 
Railroad Administrator, Department of Transportation, 1200 New Jersey 
Avenue, SE., Washington, DC 20590.
    (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, as amended at 74 FR 25176, May 27, 2009]



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 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

[[Page 1178]]

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]



                Sec. 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 LOANS AND LOAN GUARANTEES UNDER THE
RAILROAD REHABILITATION AND IMPROVEMENT FINANCING PROGRAM--
Table of Contents



                           Subpart A_Overview

Sec.
260.1 Program authority.
260.3 Definitions.
260.5 Eligible purposes.
260.7 Priority consideration.
260.9 Loan terms.
260.11 Investigation charge.
260.13 Credit reform.
260.15 Credit risk premium.

 Subpart B_FRA Policies and Procedures for Evaluating Applications for 
                          Financial Assistance

260.17 Credit risk premium analysis.
260.19 Preapplication meeting.

             Subpart C_Applications for Financial Assistance

260.21 Eligibility.
260.23 Form and content of application generally.
260.25 Additional information for Applicants not having a credit rating.
260.27 Additional information for loan guarantees.
260.29 Third party consultants.
260.31 Execution and filing of the application.
260.33 Information requests.
260.35 Environmental assessment.

   Subpart D_Standards for Maintenance of Facilities Involved in the 
                                 Project

260.37 Applicability.
260.39 Maintenance standards.
260.41 Inspection and reporting.
260.43 Impact on other laws.

       Subpart E_Procedures To Be Followed in the Event of Default

260.45 Events of default for guaranteed loans.
260.47 Events of default for direct loans.
260.49 Avoiding defaults.

[[Page 1179]]

                    Subpart F_Loan Guarantees_Lenders

260.51 Conditions of guarantee.
260.53 Lenders' functions and responsibilities.
260.55 Lender's loan servicing.

    Authority: 45 U.S.C. 821, 822, 823; 49 CFR 1.49.

    Source: 65 FR 41841, July 6, 2000, unless otherwise noted.



                           Subpart A_Overview



Sec. 260.1  Program authority.

    Section 502 of the Railroad Revitalization and Regulatory Reform Act 
of 1976, as amended, 45 U.S.C. 821 et seq., authorizes the Secretary of 
Transportation to provide direct loans and loan guarantees to State and 
local governments, government sponsored authorities and corporations, 
railroads, and joint ventures that include at least one railroad. The 
Secretary's authority has been delegated to the Administrator of the 
Federal Railroad Administration, an agency of the Department of 
Transportation.



Sec. 260.3  Definitions.

    As used in this part--
    (a) Act means the Railroad Revitalization and Regulatory Reform Act 
of 1976, as amended, 45 U.S.C. 821 et seq.
    (b) Administrator means the Federal Railroad Administrator, or his 
or her representative.
    (c) Applicant means any State or local government, government 
sponsored authority or corporation, railroad, or group of two or more 
entities, at least one of which is a railroad, participating in a joint 
venture, that submits an application to the Administrator for a direct 
loan or the guarantee of an existing obligation under which it is an 
obligor or for a commitment to guarantee a new obligation.
    (d) Borrower means an Applicant that has been approved for, and has 
received, financial assistance under this part.
    (e) Credit risk premium means that portion of the total subsidy cost 
to the Government of a direct loan or loan guarantee that is not covered 
by Federal appropriations and which must be paid by Applicant or its 
non-Federal infrastructure partner before that direct loan can be 
disbursed or loan guarantee can be issued.
    (f) Direct loan means a disbursement of funds by the Government to a 
non-federal borrower under a contract that requires the repayment of 
such funds.
    (g) FRA means the Federal Railroad Administration.
    (h) Financial assistance means a direct loan, or a guarantee of a 
new loan issued under this part.
    (i) Holder means the current owner of an obligation or the entity 
retained by the owner to service and collect an obligation which is 
guaranteed under the provisions of this part.
    (j) Including means including but not limited to.
    (k) Infrastructure partner means any non-Federal source of the 
Credit Risk Premium which must be paid to the Administrator in lieu of, 
or in combination with, an appropriation in connection with financial 
assistance provided under this part.
    (l) Intermodal means of or relating to the connection between rail 
service and other modes of transportation, including all parts of 
facilities at which such connection is made.
    (m) Lender means the non-Federal entity making a loan to an 
Applicant for which a loan guarantee under this part is sought.
    (n) Loan guarantee means any guarantee, insurance, or other pledge 
with respect to the payment of all or a part of the principal or 
interest on any debt obligation of a non-Federal borrower to a non-
Federal Lender, but does not include the insurance of deposits, shares, 
or other withdrawable accounts in financial institutions.
    (o) Obligation means a bond, note, conditional sale agreement, 
equipment trust certificate, security agreement, or other obligation.
    (p) Obligor means the debtor under an obligation, including the 
original obligor and any successor or assignee of such obligor.
    (q) Project means the purpose for which financial assistance is 
requested.
    (r) Railroad means a rail carrier subject to part A of subtitle IV 
of title 49, United States Code.
    (s) Subsidy cost of a direct loan means the net present value, at 
the time when

[[Page 1180]]

the direct loan is disbursed, of the following estimated cash flows:
    (1) Loan disbursements;
    (2) Repayments of principal; and
    (3) Payments of interest and other payments by or to the Government 
over the life of the loan after adjusting for estimated defaults, 
prepayments, fees, penalties, and other recoveries; including the 
effects of changes in loan terms resulting from the exercise by the 
borrower of an option included in the loan contract.
    (t) Subsidy cost of a loan guarantee means the net present value, at 
the time when the guaranteed loan is disbursed, of the following 
estimated cash flows:
    (1) Payments by the Government to cover defaults, delinquencies, 
interest subsidies, or other payments; and
    (2) The payments to the Government including origination and other 
fees, penalties and recoveries.



Sec. 260.5  Eligible purposes.

    (a) Financial assistance under this part is available solely to:
    (1) Acquire, improve, or rehabilitate intermodal or rail freight or 
passenger equipment or facilities, including track, components of track, 
bridges, yards, buildings, and shops;
    (2) Refinance outstanding debt incurred for purposes described in 
paragraph (a)(1) of this section; or
    (3) Develop or establish new intermodal or railroad facilities.
    (b) Financial assistance under this part cannot be used for railroad 
operating expenses.



Sec. 260.7  Priority consideration.

    When evaluating applications, the Administrator will give priority 
consideration (but not necessarily in the following order) to projects 
that:
    (a) Enhance public safety;
    (b) Enhance the environment;
    (c) Promote economic development;
    (d) Enable United States companies to be more competitive in 
international markets;
    (e) Are endorsed by the plans prepared under section 135 of title 
23, United States Code, by the State or States in which they are 
located; or
    (f) Preserve or enhance rail or intermodal service to small 
communities or rural areas.



Sec. 260.9  Loan terms.

    The maximum repayment period for direct loans and guaranteed loans 
under this part is 25 years from the date of execution. The interest 
rate on direct loans will be equal to the rate on Treasury securities of 
a similar term. In general, the financial assistance provided will be 
required to be repaid prior to the end of the useful life of the project 
it is used to fund.



Sec. 260.11  Investigation charge.

    (a) Applicants for financial assistance under this part may be 
required to pay an investigation charge of up to one-half of one percent 
of the principal amount of the direct loan or portion of the loan to be 
guaranteed.
    (b) When an investigation charge is assessed, one-half of the 
investigation charge shall be paid by Applicant at the time a formal 
application is submitted to FRA.
    (c) Within 60 days after the date of filing of the application, 
Applicant shall pay to the Administrator the balance of the 
investigation charge.



Sec. 260.13  Credit reform.

    The Federal Credit Reform Act of 1990, 2 U.S.C. 661, requires 
Federal agencies to set aside the subsidy cost of new credit assistance 
provided in the form of direct loans or loan guarantees. The subsidy 
cost will be the estimated long term cost to the Government of the loan 
or loan guarantee. The subsidy cost associated with each direct loan or 
loan guarantee, which the Administrator must set aside, may be funded by 
Federal appropriations, direct payment of a Credit Risk Premium by the 
Applicant or a non-Federal infrastructure partner on behalf of the 
Applicant, or any combination thereof.



Sec. 260.15  Credit risk premium.

    (a) Where available Federal appropriations are inadequate to cover 
the subsidy cost, a non-Federal infrastructure partner may pay to the 
Administrator a Credit Risk Premium adequate to cover that portion of 
the subsidy

[[Page 1181]]

cost not covered by Federal appropriations. Where there is no Federal 
appropriation, the Credit Risk Premium must cover the entire subsidy 
cost.
    (b) The amount of the Credit Risk Premium required for each direct 
loan or loan guarantee, if any, shall be established by the 
Administrator. The Credit Risk Premium shall be determined based on the 
credit risk and anticipated recovery in the event of default, including 
the recovery of collateral.
    (c) The Credit Risk Premium must be paid before the disbursement of 
a direct or guaranteed loan. Where the borrower draws down the direct or 
guaranteed loan in several increments, the borrower may pay a portion of 
the total Credit Risk Premium for each increment equal to the proportion 
of that increment to the total amount of the direct or guaranteed loan.
    (d) Each direct loan and loan guarantee made by the Administrator 
will be included in one cohort of direct loans or one cohort of loan 
guarantees, respectively, made during that same fiscal year, or longer 
period, as may be determined by the Administrator. When all obligations 
in a cohort have been satisfied or liquidated, the amount of Credit Risk 
Premiums, paid by applicants or infrastructure partners, remaining in 
the cohort, after deductions made to mitigate losses from any loan or 
loan guarantee in the cohort, together with interest accrued thereon, 
will be repaid on a pro rata basis to each original payor of a Credit 
Risk Premium for any obligation which was fully satisfied. If the 
Administrator's estimate of the default risk cost of each loan is 
accurate, the aggregate of Credit Risk Premiums associated with each 
cohort of loans will fully offset all losses in the cohort and none will 
remain to be returned to the payees.



 Subpart B_FRA Policies and Procedures for Evaluating Applications for 
                          Financial Assistance



Sec. 260.17  Credit risk premium analysis.

    (a) When Federal appropriations are not available to cover the total 
subsidy cost, the Administrator will determine the Credit Risk Premium 
necessary for each direct loan or loan guarantee by estimating the 
credit risk and the potential recovery in the event of a default of each 
project evaluating the factors described in paragraphs (b) and (c) of 
this section.
    (b) Establishing the credit risk.
    (1) Where an Applicant has received a recent credit rating from one 
or more nationally recognized rating agencies, that rating will be used 
to estimate the credit risk.
    (2) Where an Applicant has not received a credit rating from a 
credit rating agency, the Administrator will determine the credit risk 
based on an evaluation of the following factors:
    (i) Business risk, based on Applicant's:
    (A) Industry outlook;
    (B) Market position;
    (C) Management and financial policies;
    (D) Capital expenditures; and
    (E) Operating efficiency.
    (ii) Financial risk, based on Applicant?s past and projected:
    (A) Profitability;
    (B) Liquidity;
    (C) Financial strength;
    (D) Size; and
    (E) Level of capital expenditures; and
    (iii) Project risk, based on the proposed project's:
    (A) Potential for improving revenues, profitability and cash flow 
from operations; and
    (B) Reliance on third parties for success.
    (c) The potential recovery in the event of a default will be based 
on:
    (1) The nature of the Applicant's assets; and
    (2) Liquidation value of the collateral offered, including the terms 
and conditions of the lien securing the collateral.



Sec. 260.19  Preapplication meeting.

    Potential Applicants may request a meeting with the FRA Associate 
Administrator for Railroad Development to discuss the nature of the 
project being considered. Applicants must be prepared to provide at 
least the following information:
    (a) Applicant's name, address, and contact person;

[[Page 1182]]

    (b) Name of the proposed infrastructure partner(s), if any, 
including the identification of potential amounts of funding from each;
    (c) Amount of the direct loan or loan guarantee request, and a 
description of the technical aspects of the project including a map of 
the existing railroad lines with the location of the project indicated;
    (d) Brief description and estimate of the economic impact, including 
future demand for service, improvements that can be achieved, the 
project's relation to the priorities listed in Sec. 260.7, along with 
any feasibility, market or other studies that may have been done as 
attachments;
    (e) Amount of Applicant's equity and a description of collateral 
offered, with estimated values, including the basis of such, to be 
offered as security for the loan;
    (f) If applicable, the names and addresses of the Applicant's 
parent, affiliates, and subsidiary corporations, if any, and a 
description of the ownership relationship and the level of guarantee, if 
any, to be offered;
    (g) For existing companies, a current balance sheet and an income 
statement not more than 90 days old and financial statements for the 
borrower and any parent, affiliates, and subsidiaries for at least the 
four most recent years; and
    (h) Information relevant to the potential environmental impacts of 
the project in the context of applicable Federal law.



             Subpart C_Applications for Financial Assistance



Sec. 260.21  Eligibility.

    The Administrator may make a direct loan to an Applicant, or 
guarantee the payment of the principal balance and any interest of an 
obligation of an Applicant prior to, on, or after the date of execution 
or the date of disbursement of such obligation, if the proceeds of such 
direct loan or obligation shall be, or have been, used by the Applicant 
for the eligible purposes listed in Sec. 260.5(a)(1), (2), and (3).



Sec. 260.23  Form and content of application generally.

    Each application shall include, in the order indicated and 
identified by applicable paragraph numbers and letters corresponding to 
those used in this section, the following information:
    (a) Full and correct name and principal business address of the 
Applicant;
    (b) 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 
partnership, association, or other form of organization other than a 
corporation, a full description of the organization should be furnished;
    (c) Name, title, and address of the person to whom correspondence 
regarding the application should be addressed.
    (d) A 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 financial statements (if 
applicable) and financing arrangements of each participant, portion of 
the work to be performed by each participant, and anticipated 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;
    (e) A detailed description of the amount and timing of the financial 
assistance that is being requested and its purpose or purposes, 
including:
    (1) Detailed description of the project and its purpose or purposes;
    (2) 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;
    (3) Each part or sub-part into which the project may reasonably be 
divided and the priority and schedule of expenditure for each part or 
sub-part; and
    (4) Proposed dates of commencement and completion of the project and 
estimated timing of the expenditure of the proceeds of the obligation;

[[Page 1183]]

    (5) A map of Applicant's existing railroad with location of project 
indicated, if appropriate.
    (f) A listing and description of the collateral to be offered the 
Administrator in connection with any financial assistance provided; 
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;
    (g) A 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:
    (1) Status of any claims under litigation; and
    (2) 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;
    (h) To the extent such information is available, an analysis that 
includes:
    (1) A 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 or facilities, that the 
financing is justified by present and future probable demand for rail 
services or facilities, will meet existing needs for such services or 
facilities, and will provide shippers or passengers with improved 
service;
    (2) Description of the impact of the project upon the projected 
freight or passenger traffic to be originated, terminated, or carried by 
the Applicant for at least the five years immediately following 
completion of the project;
    (3) Explanation of the manner in which the project will increase the 
economical and efficient utilization of equipment and facilities; and
    (4) Description of cost savings or any other benefit which would 
accrue to the Applicant from the project;
    (i) A statement as to how the project will contribute to, or 
enhance, the safe operation of the railroad, considering such factors as 
the occupational safety and health of the employees and the improvement 
of the physical and other conditions that have caused or may cause 
serious injury or loss of life to the public or significant property 
damage;
    (j) A statement of the Applicant's maintenance program for its 
entire rail system and planned maintenance program for the equipment or 
facilities financed by the proceeds of the financial assistance;
    (k) A certified statement in the form contained in Sec. 260.31(d) 
that Applicant will pay to the Administrator, in accordance with Sec. 
260.11, the investigation charge with respect to the application.
    (l) Information relevant to the potential environmental impacts of 
the project in the context of applicable Federal laws;
    (m) Any additional information that the Applicant deems appropriate 
to convey a full and complete understanding of the project, the 
project's relations to the priorities listed in Sec. 260.7, and its 
impact, or to assist the Administrator in making the statutorily 
prescribed findings; and
    (n) Any other information which the Administrator may deem necessary 
concerning an application filed under this part.
    (o) Railroad applicants must also submit a copy of application for 
financing for the project in the private sector, including terms 
requested, from at least one commercial lender, and its response 
refusing to provide such financing.



Sec. 260.25  Additional information for Applicants not having
a credit rating.

    Each application submitted by Applicants not having a recent credit 
rating from one or more nationally recognized rating agencies shall 
include, in the order indicated and identified by applicable numbers and 
letters corresponding to those used in this section, the following 
information:
    (a) A narrative statement detailing management's business plan to 
enhance Applicant's ability to provide

[[Page 1184]]

rail services including a discussion of the following:
    (1) Applicant's current and prospective traffic base, including by 
commodity and geographic region, major markets served, major interchange 
points, and market development plans;
    (2) Applicant's current operating patterns, and plans, if any, to 
enhance its ability to serve its current and prospective traffic base;
    (3) System-wide plans to maintain equipment and rights-of-way at 
current or improved levels; and
    (4) Specific plans for rationalization of marginal or uneconomic 
services;
    (b) Detailed financial information, including:
    (1) Financial statements prepared by a Certified Public Accountant 
(audited, if available), for the four calendar years immediately 
preceding the date of filing of the application, including:
    (i) A copy of Applicant's most recent year-end general balance sheet 
and a copy of Applicant's most recent unaudited general balance sheet; 
and
    (ii) Applicant's most recent annual income statement and a spread 
sheet showing unaudited monthly and year-to-date income statement data 
up to the date the application is filed;
    (2) Projected financial statements, including 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:
    (i) Forecasted annual income statement;
    (ii) Forecasted year-end balance sheets. These spread sheets shall 
be accompanied by a statement setting forth the bases for such 
forecasts; and
    (iii) A spread sheet showing changes in financial position for the 
year in which the application is filed, including the period ending on 
the date of the application based upon actual data and the period from 
the date of the application to the end of the year, based upon estimated 
and forecasted data;
    (c) Capital spending plans for the next five years;
    (d) Cash flow projections;
    (e) Contingency plans for termination of the project before 
completion, if necessary; and
    (f) A narrative description of Applicant's management team, 
including:
    (1) Rail experience of top management;
    (2) Management's plans for achieving growth and its long-term 
capital spending plan; and
    (3) A narrative description of Applicant's workforce and the 
historical rate of employee turnover.



Sec. 260.27  Additional information for loan guarantees.

    Applications for a loan guarantee shall also include in the order 
indicated and identified by applicable numbers and letters corresponding 
to those used in this section, the following information:
    (a) With respect to each existing obligation to be refinanced or 
proposed obligation:
    (1) A certified copy of proposed or executed obligation agreements;
    (2) A detailed description of the obligation, and a description of 
the series or issue of which the obligation is, or will be, a part, 
including:
    (i) Effective date, or anticipated effective date;
    (ii) Where a guarantee is sought for an outstanding obligation being 
refinanced, actual effective rate of interest; or where the obligation 
is new, the terms of the proposed obligation including the proposed 
effective rate of interest; and
    (iii) All related documents, whether executed or proposed;
    (3) For an existing obligation, the Applicant's payment history on 
that obligation; and
    (b) With respect to each existing Lender, Holder, or prospective 
Lender, a statement as to:
    (1) Full and correct name and principal business address;
    (2) Reference to applicable provisions of law and the charter or 
other governing instruments conferring authority to do business on the 
Lender, Holder, or prospective Lender;
    (3) Brief statement of the circumstances and negotiations leading to 
the agreement by the Lender, Holder, or prospective Lender to make the 
loan;

[[Page 1185]]

    (4) Brief statement of the nature and extent of any affiliation or 
business relationship between the Lender, Holder, or prospective Lender 
and the Applicant or any of Applicant's directors, partners, or 
principal executive officers; and.
    (5) Full and complete statement of all sums to be provided by the 
Lender or Holder, or to be provided by the prospective Lender in 
connection with the proposed obligation including:
    (i) 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 Lender, Holder or prospective Lender or any of its directors, 
partners, or officers; and
    (ii) Amount of the cash payment, or the nature and value of other 
consideration.



Sec. 260.29  Third party consultants.

    Applicants may utilize independent third-party consultants to 
prepare a financial evaluation of the proposed project and the 
applicant, if approved by FRA. Providing such an evaluation would 
greatly assist FRA in the evaluation of the application and would 
significantly reduce the time necessary for FRA to process the 
application. We encourage the use of third party consultants.



Sec. 260.31  Execution and filing of the application.

    (a) The original application shall bear the date of execution, be 
signed in 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 or she is the (Title of 
official) of the (Name of Applicant); that he or she 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 
or she 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 or she 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 or her knowledge, information, and belief; and that Applicant will 
pay the balance of the investigation charge in accordance with Sec. 
260.11.

(Signature of official)
(Date)
    (b) 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 or she is (Title of officer) of 
(Name of Applicant); that he or she 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 
practices; 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 or she has examined the financial 
statements and supporting schedules included in this application and to 
the best of his or her knowledge 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.

(Signature of official)
(Date)

    (c) The Applicant shall pay the investigation charge in accordance 
with Sec. 260.11.
    (d) The application shall be accompanied by a transmittal letter in 
form as follows:


[[Page 1186]]


Federal Railroad Administrator, c/o Associate Administrator for Railroad 
Development, Federal Railroad Administration, Washington, D.C. 20590
    Re: Application for financial assistance under the Railroad 
Rehabilitation and Improvement Financing Program.

    Dear Sir or Madam: 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 investigation fee in the amount equal to one-half the total 
investigation fee established by the Administrator. By this filing, 
Applicant requests the Administrator to investigate the application and 
make the necessary findings upon which Applicant's eligibility for a 
direct loan or loan guarantee may be determined. Applicant understands 
that neither the acceptance of this filing, the deposit of the 
investigation charge, 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 with respect to the investigation 
of the application, the appraisal of security being offered, and the 
making of the necessary determinations and findings, and promises to 
pay, within 60 days, the remainder of the investigation fee required by 
the Administrator. Applicant understands that the Administrator will 
establish the amount of Credit Risk Premium due from Applicant, if any, 
as provided in Sec. 260.15. Applicant agrees to pay such Credit Risk 
Premium prior to the disbursement of direct or guaranteed loan, as 
appropriate. Such Credit Risk Premium may be refunded as provided in 
Sec. 260.15.
     Respectfully submitted.

Applicant(s)
Seal(s) by Its(Their).

    (e) The original application and supporting papers, and two copies 
thereof for the use of the Administrator, shall be filed with the 
Associate Administrator for Railroad Development of the Federal Railroad 
Administration, 1200 New Jersey Avenue, SE., MailStop 20, 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.

[65 FR 41841, July 6, 2000, as amended at 74 FR 25176, May 27, 2009]



Sec. 260.33  Information requests.

    If an Applicant desires that any information submitted in its 
application or any 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 to the extent 
permitted by law.



Sec. 260.35  Environmental assessment.

    (a) The provision of financial assistance by the Administrator under 
this Part is subject to a variety of environmental and historic 
preservation statutes and implementing regulations including the 
National Environmental Policy Act (``NEPA'') (42 U.S.C. 4332 et seq.), 
Section 4(f) of the Department of Transportation Act (49 U.S.C. 303(c)), 
the National Historic Preservation Act (16 U.S.C. 470(f)), the Coastal 
Zone Management Act (16 U.S.C. 1451), and the Endangered Species Act (16 
U.S.C. 1531). Appropriate environmental/historic preservation 
documentation must be completed and approved by the Administrator prior 
to a decision by the Administrator on the applicant's financial 
assistance request. FRA's ``Procedures for Considering Environmental 
Impacts'' (``FRA's Environmental Procedures'') (65 FR 28545 (May 26, 
1999)) or any replacement environmental review procedures that the FRA 
may later issue and the NEPA regulation of the Council on Environmental 
Quality (``CEQ Regulation'') (40 CFR Part 1500) will govern the FRA's 
compliance with applicable environmental/historic preservation review 
requirements.
    (b) The Administrator, in cooperation with the applicant, has the 
responsibility to manage the preparation of the appropriate 
environmental document. The role of the applicant will be determined by 
the Administrator in accordance with the CEQ Regulation and 
Environmental Procedures.
    (c) Depending on the type, size and potential environmental impact 
of the project for which the applicant is seeking financial assistance, 
FRA will need to determine whether the project is categorically excluded 
from detailed environmental review under FRA's Environmental Procedures 
and, if not, to

[[Page 1187]]

prepare or have prepared an Environmental Assessment leading to an 
Environmental Impact Statement (EIS) or a Finding of No Significant 
Impact. At the discretion of the Administrator, Applicants may be 
required to prepare and submit an environmental assessment of the 
proposed project or to submit adequate documentation to support a 
finding that the project is categorically excluded from detailed 
environmental review. If the applicant is a public agency that has 
statewide jurisdiction or is a local unit of government acting through a 
statewide agency, and meets the requirements of section 102(2)(D) of 
NEPA, the applicant may be requested to prepare the EIS and other 
environmental documents under the Administrator's guidance.
    (d) Applicants are strongly urged to consult with the Associate 
Administrator for Railroad Development at the earliest possible stage in 
project development in order to assure that the environmental/historic 
preservation review process can be completed in a timely manner.
    (e) Applicants may not initiate any activities that would have an 
adverse environmental impact or limit the choice of reasonable 
alternatives in advance of the completion of the environmental review 
process. This does not preclude development by applicants of plans or 
designs or performance of other work necessary to support the 
application for financial assistance.



   Subpart D_Standards for Maintenance of Facilities Involved in the 
                                 Project



Sec. 260.37  Applicability.

    This subpart prescribes standards governing the maintenance of 
facilities that are being, or have been, acquired, rehabilitated, 
improved, or constructed with the proceeds of a direct loan or a 
guaranteed loan issued under this part for the period during which any 
portion of the principal or interest of such obligation remains unpaid.



Sec. 260.39  Maintenance standards.

    (a) When the proceeds of a direct loan or an obligation guaranteed 
by the Administrator under this part are, or were, used to acquire, 
rehabilitate, improve or construct track, roadbed, and related 
structures, Borrower 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, specified in the Application at 
which the rehabilitated, improved, acquired, or constructed track is to 
be operated upon completion of the project.
    (b) When the proceeds of a direct loan or an obligation guaranteed 
by the Administrator under this part are, or were, used for equipment or 
facilities, the Borrower shall, during the period in which any portion 
of the principal or interest in such obligation remains unpaid, maintain 
such equipment or 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 equipment or 
facilities.



Sec. 260.41  Inspection and reporting.

    (a) Equipment or facilities subject to the provisions of this 
subpart may be inspected at such times as the Administrator deems 
necessary to assure compliance with the standards set forth in Sec. 
260.39. Each Borrower 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 Borrower shall submit annually to the Administrator 
financial records and other documents detailing the maintenance and 
inspections performed which demonstrate that the Borrower has complied 
with the standards in Sec. 260.39.



Sec. 260.43  Impact on other laws.

    Standards issued under this subpart shall not be construed to 
relieve the Borrower of any obligation to comply with any other Federal, 
State, or local law or regulation.

[[Page 1188]]



       Subpart E_Procedures To Be Followed in the Event of Default



Sec. 260.45  Events of default for guaranteed loans.

    (a) If the Borrower is more than 30 days past due on a payment or is 
in violation of any covenant or condition of the loan documents and such 
violation constitutes a default under the provisions of the loan 
documents, Lender must notify the Administrator in writing and must 
continue to submit this information to the Administrator each month 
until such time as the loan is no longer in default; and the 
Administrator will pay the Lender of the obligation, or the Lenders's 
agent, an amount equal to the past due interest on the guaranteed 
portion of the defaulted loan. This payment will in no way reduce the 
Borrower's obligation to the Lender to make all payments of principal 
and interest in accordance with the note. If the loan is brought 
current, the Lender will repay to the Agency any interest payments made 
by the Agency, plus accrued interest at the note rate.
    (b) If the default has continued for more than 90 days, the 
Administrator will pay to the Lender, or the Lender's agent, 90 percent 
of the unpaid guaranteed principal. If, subsequent to this payment being 
made, the default is cured and liquidation is no longer appropriate, the 
Lender will repay such funds to the Administrator, plus interest at the 
note rate.
    (c) After the default has continued for more than 90 days, the 
Lender shall expeditiously submit to the Administrator, in writing, its 
proposed detailed plan to resolve the default by liquidating the 
collateral or by any other means. If the resolution will require the 
liquidation of the collateral, then the Lender's plan shall include:
    (1) Proof adequate to establish that the Lender is legally in 
possession of the obligation, or is the agent for a Holder who is 
legally in possession of the obligation, and a statement of the current 
loan balance and accrued interest to date and the method of computing 
the interest;
    (2) A full and complete list of all collateral, including any 
personal and corporate guarantees;
    (3) The recommended liquidation methods for making the maximum 
collection possible and the justification for such methods, including 
recommended action for acquiring and disposing of all collateral and 
collecting from any guarantors;
    (4) Necessary steps for preservation of the collateral;
    (5) Copies of the Borrower's latest available financial statements;
    (6) Copies of any guarantor's latest available financial statements;
    (7) An itemized list of estimated liquidation expenses expected to 
be incurred along with justification for each expense;
    (8) A schedule to periodically report to the FRA on the progress of 
liquidation;
    (9) Proposed protective bid amounts on collateral to be sold at 
auction and a breakdown to show how the amounts were determined;
    (10) If a voluntary conveyance is considered, the proposed amount to 
be credited to the guaranteed debt;
    (11) Legal opinions, as appropriate;
    (12) The Lender will obtain an independent appraisal on all 
collateral securing the loan which will reflect the fair market value 
and potential liquidation value. In order to formulate a liquidation 
plan that maximizes recovery, the appraisal shall consider the presence 
of hazardous substances, petroleum products, or other environmental 
hazards, which may adversely impact the market value of the collateral; 
and
    (13) The anticipated expenses associated with the liquidation will 
be considered a cost of liquidation.
    (d) The Administrator will inform the Lender in writing whether the 
Administrator concurs in the Lender's liquidation plan. Should the 
Administrator and the Lender not agree on the liquidation plan, 
negotiations will take place between the Administrator and the Lender to 
resolve the disagreement. When the liquidation plan is approved by the 
Administrator, the Lender will proceed expeditiously with liquidation. 
The liquidation plan may be modified when conditions warrant. All 
modifications must be approved in writing by the Administrator prior to 
implementation.

[[Page 1189]]

    (e) Lender will account for funds during the period of liquidation 
and will provide the Administrator with reports at least quarterly on 
the progress of liquidation including disposition of collateral, 
resulting costs, and additional procedures necessary for successful 
completion of the liquidation.
    (f) Within 30 days after final liquidation of all collateral, the 
Lender will prepare and submit to the Administrator a final report in 
which the Lender must account for all funds during the period of 
liquidation, disposition of the collateral, all costs incurred, and any 
other information necessary for the successful completion of 
liquidation. Upon receipt of the final accounting and report of loss, 
the Administrator may audit all applicable documentation to confirm the 
final loss. The Lender will make its records available and otherwise 
assist the Administrator in making any investigation.
    (g) The Administrator shall be subrogated to all the rights of the 
Lender, or if Lender is agent for a Holder then to all of the rights of 
the Holder, with respect to the Borrower to the extent of the 
Administrator's payment to the Lender under this section.
    (h) When the Administrator finds the final report to be proper in 
all respects:
    (1) All amounts recovered in liquidation shall be paid to the 
Administrator; and
    (2) The remaining obligation of the Administrator to the Lender 
under the guarantee, if any, will be paid directly to Lender by the 
Administrator.
    (i) The Administrator shall not be required to make any payment 
under paragraphs (a) and (b) of this section if the Administrator finds, 
before the expiration of the periods described in such subsections, that 
the default has been remedied.
    (j) The Administrator shall have the right to charge Borrower 
interest, penalties and administrative costs, including all of the 
United States' legally assessed or reasonably incurred expenses of its 
counsel and court costs in connection with any proceeding brought or 
threatened to enforce payment or performance under applicable loan 
documents, in accordance with OMB Circular A-129 (www.whitehouse.gov/
omb), as it may be revised from time to time.



Sec. 260.47  Events of default for direct loans.

    (a) Upon the Borrower's failure to make a scheduled payment, or upon 
the Borrower's violation of any covenant or condition of the loan 
documents which constitutes a default under the provisions of the loan 
documents, the Administrator, at the Administrator's discretion may:
    (1) Exercise any and all remedies available under the provisions of 
the loan agreement and other loan documents, including any guarantees, 
or inherent in law or equity;
    (2) Terminate further borrowing of funds;
    (3) Take possession of assets pledged as collateral; and
    (4) Liquidate pledged collateral.
    (b) The Administrator shall have the right to charge Borrower 
interest, penalties and administrative costs, including all of the 
United States' legally assessed or reasonably incurred expenses of its 
counsel and court costs in connection with any proceeding brought or 
threatened to enforce payment or performance under applicable loan 
documents, in accordance with OMB Circular A-129, as it may be revised 
from time to time.



Sec. 260.49  Avoiding defaults.

    Borrowers are encouraged to contact the Administrator prior to the 
occurrence of an event of default to explore possible avenues for 
avoiding such an occurrence.



                    Subpart F_Loan Guarantees_Lenders



Sec. 260.51  Conditions of guarantee.

    (a) The percentage of the obligation for which Applicant seeks a 
guarantee is a matter of negotiation between the Lender and the 
Applicant, subject to the Administrator's approval. The maximum 
percentage of the total obligation that the Administrator will guarantee 
is 80 percent. The amount of guarantee allowed will depend on the total 
credit quality of the transaction and the level of risk believed to be 
assumed by the Administrator.
    (b) A guarantee under this part constitutes an obligation supported 
by the

[[Page 1190]]

full faith and credit of the United States and is incontestable except 
for fraud or misrepresentation of which a Lender or Holder has actual 
knowledge at the time it becomes such Lender or Holder or which a Lender 
or Holder participates in or condones. In addition, the guarantee will 
be unenforceable by the Lender or the Holder to the extent any loss is 
occasioned by the violation of usury laws, negligent servicing, or 
failure to obtain the required security regardless of the time at which 
the Administrator acquires knowledge thereof. Any losses occasioned will 
be unenforceable to the extent that loan funds are used for purposes 
other than those specifically approved by FRA in its guarantee.
    (c) The Administrator may guarantee an Applicant's obligation to any 
Lender provided such Lender can establish to the satisfaction of the 
Administrator that it has the legal authority and sufficient expertise 
and financial strength to operate a successful lending program. Loan 
guarantees will only be approved for Lenders with adequate experience 
and expertise to make, secure, service, and collect the loans.
    (d) The Lender may sell all of the guaranteed portion of the loan on 
the secondary market, provided the loan is not in default, or retain the 
entire loan.
    (e) When a guaranteed portion of a loan is sold to a Holder, the 
Holder shall succeed to all rights of the Lender under the loan 
guarantee to the extent of the portion purchased. The Lender will remain 
bound to all obligations under the loan guarantee and the provisions of 
this part. In the event of material fraud, negligence or 
misrepresentation by the Lender or the Lender's participation in or 
condoning of such material fraud, negligence or misrepresentation, the 
Lender will be liable for payments made by the Agency to any Holder.



Sec. 260.53  Lenders' functions and responsibilities.

    Lenders have the primary responsibility for the successful delivery 
of the program consistent with the policies and procedures outlined in 
this part. All Lenders obtaining or requesting a loan guarantee from the 
Administrator are responsible for:
    (a) Loan processing. Lender shall be responsible for all aspects of 
loan processing, including:
    (1) Processing applications for the loan to be guaranteed;
    (2) Developing and maintaining adequately documented loan files;
    (3) Recommending only loan proposals that are eligible and 
financially feasible;
    (4) Obtaining valid evidence of debt and collateral in accordance 
with sound lending practices;
    (5) Supervising construction, where appropriate;
    (6) Distributing loan funds;
    (7) Servicing guaranteed loans in a prudent manner, including 
liquidation if necessary; and
    (8) Obtaining the Administrator's approval or concurrence as 
required in the loan guarantee documentation;
    (b) Credit evaluation. Lender must analyze all credit factors 
associated with each proposed loan and apply its professional judgment 
to determine that the credit factors, considered in combination, ensure 
loan repayment. The Lender must have an adequate underwriting process to 
ensure that loans are reviewed by other than the originating officer. 
There must be good credit documentation procedures;
    (c) Environmental responsibilities. Lender has a responsibility to 
become familiar with Federal environmental requirements; to consider, in 
consultation with the prospective borrower, the potential environmental 
impacts of their proposals at the earliest planning stages; and to 
develop proposals that minimize the potential to adversely impact the 
environment. Lender must alert the Administrator to any controversial 
environmental issues related to a proposed project or items that may 
require extensive environmental review. Lender must assist borrowers as 
necessary to comply with the environmental requirements outlined in this 
part. Additionally, Lender will assist in the collection of additional 
data when the Agency needs such data to complete its environmental 
review of the proposal; and assist in the resolution of environmental 
problems;

[[Page 1191]]

    (d) Loan closing. The Lender will conduct or arrange for loan 
closings; and
    (e) Fees and charges. The Lender may establish charges and fees for 
the loan provided they are similar to those normally charged other 
Applicants for the same type of loan in the ordinary course of business.



Sec. 260.55  Lender's loan servicing.

    (a) The lender is responsible for servicing the entire loan and for 
taking all servicing actions that are prudent. This responsibility 
includes but is not limited to the collection of payments, obtaining 
compliance with the covenants and provisions in the loan documents, 
obtaining and analyzing financial statements, verification of tax 
payments, and insurance premiums, and maintaining liens on collateral.
    (b) The lender must report the outstanding principal and interest 
balance on each guaranteed loan semiannually.
    (c) At the Administrator's request, the Lender will periodically 
meet with the Administrator to ascertain how the guaranteed loan is 
being serviced and that the conditions and covenants of the loan 
documents are being enforced.
    (d) The Lender must obtain and forward to the Administrator the 
Borrower's annual financial statements within 120 days after the end of 
the Borrower's fiscal year and the due date of other reports as required 
by the loan documents. The Lender must analyze the financial statements 
and provide the Agency with a written summary of the Lender's analysis 
and conclusions, including trends, strengths, weaknesses, extraordinary 
transactions, and other indications of the financial condition of the 
Borrower.
    (e) Neither the Lender nor the Holder shall alter, nor approve any 
amendments of, any loan instrument without the prior written approval of 
the Administrator.



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 262_IMPLEMENTATION OF PROGRAM FOR CAPITAL GRANTS FOR RAIL LINE
RELOCATION AND IMPROVEMENT PROJECTS--Table of Contents



Sec.
262.1 Purpose.
262.3 Definitions.
262.5 Allocation requirements.
262.7 Eligibility.
262.9 Criteria for selection of projects.
262.11 Application process.
262.13 Matching requirements.
262.15 Environmental assessment.
262.17 Combining grant awards.
262.19 Close-out procedures.

    Authority: 49 U.S.C. 20154 and 49 CFR 1.49.

    Source: 73 FR 39886, July 11, 2008, unless otherwise noted.



Sec. 262.1  Purpose.

    The purpose of this part is to carry out the statutory mandate set 
forth in 49 U.S.C. 20154 requiring the Secretary of Transportation to 
promulgate regulations implementing a capital grants program to provide 
financial assistance for local rail line relocation and improvement 
projects.



Sec. 262.3  Definitions.

    Administrator means the Federal Railroad Administrator, or his or 
her delegate.
    Allowable costs means those project costs for which Federal funding 
may be expended under this part. Only construction and construction-
related costs will be allowable.
    Construction means supervising, inspecting, demolition, actually 
building, and incurring all costs incidental to building a project 
described in Sec. 262.9 of this part, including bond costs and other 
costs related to the issuance of

[[Page 1192]]

bonds or other debt financing instruments and costs incurred by the 
Grantee in performing project related audits, and includes:
    (1) Locating, surveying, and mapping;
    (2) Track and related structure installation, restoration, and 
rehabilitation;
    (3) Acquisition of rights-of-way;
    (4) Relocation assistance, acquisition of replacement housing sites, 
and acquisition and rehabilitation, relocation, and construction of 
replacement housing;
    (5) Elimination of obstacles and relocation of utilities; and
    (6) Any other activities as defined by FRA, including architectural 
and engineering costs, and costs associated with compliance with the 
National Environmental Policy Act, National Historic Preservation Act, 
and related statutes, regulations, and orders.
    FRA means the Federal Railroad Administration.
    Improvement means repair or enhancement to existing rail 
infrastructure, or construction of new rail infrastructure, that results 
in improvements to the efficiency of the rail system and the safety of 
those affected by the system.
    Non-federal share means the portion of the allowable cost of the 
local rail line relocation or improvement project that is being paid for 
through cash or in-kind contributions by a State or other non-Federal 
entity or any combination thereof.
    Private entity means any domestic or foreign nongovernmental for-
profit or not-for-profit organization.
    Project means the local rail line relocation or improvement for 
which a grant is requested under this section.
    Quality of life means the level of social, environmental and 
economic satisfaction and well being a community experiences, and 
includes factors such as first responders' emergency response time, 
impact on emergency services, accessibility to the disabled as required 
under the Americans with Disabilities Act and section 504 of the 
Rehabilitation Act of 1973 (as amended), school access, safety, traffic 
delay and congestion, the environment, grade crossing safety, and noise 
levels.
    Real property means land, including land improvements, structures 
and appurtenances thereto, excluding movable machinery and equipment.
    Relocation means moving a rail line vertically or laterally to a new 
location. Vertical relocation refers to raising above the current ground 
level or sinking below the current ground level a rail line. Lateral 
relocation refers to moving a rail line horizontally to a new location.
    Secretary means the Secretary of Transportation.
    State except as used in Sec. 262.17, means any of the fifty United 
States, a political subdivision of a State, and the District of 
Columbia. In Sec. 262.17, State means any of the fifty United States 
and the District of Columbia.
    Tangible personal property means property, other than real property, 
that has a physical existence and an intrinsic value, including 
machinery, equipment and vehicles.



Sec. 262.5  Allocation requirements.

    At least fifty percent of all grant funds awarded under this section 
out of funds appropriated for a fiscal year shall be provided as grant 
awards of not more than $20,000,000 each. Designated, high-priority 
projects will be excluded from this allocation formula. FRA will adjust 
the $20,000,000 amount to reflect inflation for fiscal years beginning 
after fiscal year 2006 based on the materials and supplies component 
from the all-inclusive index of the AAR Railroad Cost Indexes.



Sec. 262.7  Eligibility.

    (a) A State is eligible for a grant from FRA under this section for 
any construction project for the improvement of the route or structure 
of a rail line that either:
    (1) Is carried out for the purpose of mitigating the adverse effects 
of rail traffic on safety, motor vehicle traffic flow, community quality 
of life, or economic development; or
    (2) Involves a lateral or vertical relocation of any portion of the 
rail line.
    (b) Only costs associated with construction as defined in Sec. 
262.3 will be considered allowable costs.

[[Page 1193]]



Sec. 262.9  Criteria for selection of projects.

    Applicants must submit evidence sufficient for the FRA to determine 
whether projects proposed for Federal investment are cost-effective in 
terms of the benefits achieved in relation to the funds expended. To 
that end, the FRA will consider the anticipated public and private 
benefits associated with each rail line relocation or improvement 
project. In evaluating applications, FRA will consider the following 
factors in determining whether to grant an award to a State under this 
part.
    (a) The capability of the State to fund the rail line relocation 
project without Federal grant funding;
    (b) The requirement and limitation relating to allocation of grant 
funds provided in Sec. 262.5;
    (c) Equitable treatment of various regions of the United States;
    (d) The effects of the rail line, relocated or improved as proposed, 
on motor vehicle and pedestrian traffic, safety, community quality of 
life, and area commerce;
    (e) The effects of the rail line, relocated as proposed, on the 
freight rail and passenger rail operations on the line;
    (f) Any other factors FRA determines to be relevant to assessing the 
effectiveness and/or efficiency of the grant application in achieving 
the goals of the national program, including the level of commitment of 
non-Federal and/or private funds to a project and the anticipated public 
and private benefits.



Sec. 262.11  Application process.

    (a) All grant applications for opportunities funded under this 
subsection must be submitted to FRA through www.grants.gov. 
Opportunities to apply will be posted by FRA on www.grants.gov only 
after funds have been appropriated for Capital Grants for Rail Line 
Relocation Projects. The electronic posting will contain all of the 
information needed to apply for the grant, including required supporting 
documentation.
    (b) In addition to the information required with an individual 
application, a State must submit a description of the anticipated public 
and private benefits associated with each rail line relocation or 
improvement project described in Sec. 262.7(a)(1) and (2) and the 
State's assessment of how those benefits outweigh the costs of the 
proposed project. The determination of such benefits shall be developed 
in consultation with the owner and user of the rail line being relocated 
or improved or other private entity involved in the project. The State 
should also identify any financial contributions or commitments it has 
secured from private entities that are expected to benefit from the 
proposed project.
    (c) Potential applicants may request a meeting with the FRA 
Associate Administrator for Railroad Development or his designee to 
discuss the nature of the project being considered.



Sec. 262.13  Matching requirements.

    (a) A State or other non-Federal entity shall pay at least ten 
percent of the construction costs of a project that is funded in part by 
the grant awarded under this section.
    (b) The non-Federal share required by paragraph (a) of this section 
may be paid in cash or in-kind. In-kind contributions that are permitted 
to be counted under this section are as follows:
    (1) A contribution of real property or tangible personal property 
(whether provided by the State or a person for the state) needed for the 
project;
    (2) A contribution of the services of employees of the State or 
other non-Federal entity or allowable costs, calculated on the basis of 
costs incurred by the State or other non-Federal entity for the pay and 
benefits of the employees, but excluding overhead and general 
administrative costs;
    (3) A payment of any allowable costs that were incurred for the 
project before the filing of an application for a grant for the project 
under this part, and any in-kind contributions that were made for the 
project before the filing of the application; if and to the extent that 
the costs were incurred or in-kind contributions were made, as the case 
may be, to comply with a provision of a statute required to be satisfied 
in order to carry out the project.

[[Page 1194]]

    (c) In determining whether to approve an application, FRA will 
consider the feasibility of seeking financial contributions or 
commitments from private entities involved with the project in 
proportion to the expected benefits determined under Sec. 262.11(b) 
that accrue to such entities from the project.



Sec. 262.15  Environmental assessment.

    (a) The provision of grant funds by FRA under this Part is subject 
to a variety of environmental and historic preservation statutes and 
implementing regulations including, but not limited to, the National 
Environmental Policy Act (NEPA) (42 U.S.C. 4332 et seq.), Section 4(f) 
of the Department of Transportation Act (49 U.S.C. 303(c)), the National 
Historic Preservation Act (16 U.S.C. 470(f)), and the Endangered Species 
Act (16 U.S.C. 1531). Appropriate environmental and historic 
documentation must be completed and approved by the Administrator prior 
to a decision by FRA to approve a project for physical construction. 
FRA's ``Procedures for Considering Environmental Impacts,'' as posted at 
http://www.fra.dot.gov/us/content/252, the NEPA regulation of the 
Council on Environmental Quality (40 CFR part 1500) and the Advisory 
Council on Historic Preservation Protection of Historic Properties 
regulation (36 CFR part 800) will govern FRA's compliance with 
applicable environmental and historic preservation review requirements.
    (b) States have two options for proceeding with environmental/
historic preservation reviews. A State may file an application under 
subsection Sec. 262.11 seeking funds for preliminary design and 
environmental/historic preservation compliance for a potentially 
eligible project and FRA will review and decide on the application as 
outlined in this Part. Alternatively, a State may proceed with and fund 
any costs associated with environmental/historic preservation reviews 
(including environmental assessments and categorical excisions, but not 
environmental impact statements since there are restrictions on what 
types of entities can manage an environmental impact statement) and seek 
reimbursement from FRA for these costs to the extent they otherwise 
qualify as allowable costs if FRA later approves the project for 
physical construction and enters into a grant agreement with the State. 
If a State pays for the compliance work itself, it may apply this cost 
to the 10% matching requirement if a grant is awarded. Applicants should 
consult with FRA before beginning any environmental or historic 
preservation analysis.



Sec. 262.17  Combining grant awards.

    Two or more States, but not political subdivisions of States, may, 
pursuant to an agreement entered into by the States, combine any part of 
the amounts provided through grants for a project under this section 
provided:
    (1) The project will benefit each of the States entering into the 
agreement; and
    (2) The agreement is not a violation of the law of any such State.



Sec. 262.19  Close-out procedures.

    (a) Thirty days before the end of the grant period, FRA will notify 
the State that the period of performance for the grant is about to 
expire and that close-out procedures will be initiated.
    (b) Within 90 days after the expiration or termination of the grant, 
the State must submit to FRA any or all of the following information, 
depending on the terms of the grant:
    (1) Final performance or progress report;
    (2) Financial Status Report (SF-269) or Outlay Report and Request 
for Reimbursement for Construction Programs (SF-271);
    (3) Final Request for Payment (SF-270);
    (4) Patent disclosure (if applicable);
    (5) Federally-owned Property Report (if applicable)
    (c) If the project is completed, within 90 days after the expiration 
or termination of the grant, the State shall complete a full inspection 
of all construction work completed under the grant and submit a report 
to FRA. If the project is not completed, the State shall submit a report 
detailing why the project was not completed.
    (d) FRA will review all close-out information submitted, and adjust 
payments as necessary. If FRA determines that the State is owed 
additional

[[Page 1195]]

funds, FRA will promptly make payment to the State for any unreimbursed 
allowable costs. If the State has received more funds than the total 
allowable costs, the State must immediately refund to the FRA any 
balance of unencumbered cash advanced that is not authorized to be 
retained for use on other grants.
    (e) FRA will notify the State in writing that the grant has been 
closed out.



PART 264_SURFACE TRANSPORTATION PROJECT DELIVERY PROGRAM APPLICATION 
REQUIREMENTS AND TERMINATION--Table of Contents



    Authority: 23 U.S.C. 327; 49 CFR 1.81.



Sec. 264.101  Procedures for complying with the surface transportation
project delivery program application requirements and termination.

    The procedures for complying with the surface transportation project 
delivery program application requirements and termination are set forth 
in part 773 of title 23 of the Code of Federal Regulations.

[79 FR 55403, Sept. 16, 2014]



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

[[Page 1196]]

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.).
    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.

[[Page 1197]]

    (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 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

[[Page 1198]]

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
    (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;

[[Page 1199]]

    (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 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 referred 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

[[Page 1200]]

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 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.


[[Page 1201]]



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
    (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;

[[Page 1202]]

    (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.
    (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

[[Page 1203]]

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.
    (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;

[[Page 1204]]

    (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.
    (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 transportation 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

[[Page 1205]]

    (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;
    (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;

[[Page 1206]]

    (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 (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 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

[[Page 1207]]

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
    (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

[[Page 1208]]

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 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:

[[Page 1209]]

    (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 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

[[Page 1210]]

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.



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 Down-selection of one or more Maglev projects for further study 
          and selection of one project for final design, engineering, 
          and construction funding.

    Authority: 49 U.S.C. 322; 23 U.S.C. 322; 49 CFR 1.49.

    Source: 65 FR 2344, Jan. 14, 2000, 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 Sec. Sec. 268.3.
    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.

[[Page 1211]]

    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).
    TEA 21 means the Transportation Equity Act for the 21st Century 
(Public Law No. 105-178, 112 Stat. 107).



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--
September 15, 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) May 24, 1999--FRA announces grantees for planning grants.
    (iii) August 31, 1999--FRA awards planning grants for the conduct of 
activities listed in Phase II.
    (c) Phase II--Project Description Development (July 1, 1999--June 
30, 2000)--(1) Description. In Phase II, each grant recipient will 
prepare and submit to FRA a project description, supporting 
preconstruction planning reports, and an EA. Supporting reports may 
include demand and revenue analyses, project specification, cost 
estimates, scheduling, financial studies, a system safety plan 
(including supporting analysis), and other information in support of the 
project description. FRA will use this information in reaching a 
decision on which projects to down-select for completion of site-
specific environmental studies, investment grade revenue forecasts, and 
other studies and analyses necessary prior to initiation of 
construction. FRA will initiate documentation of environmental factors 
considered in the project selection process.
    (2) Timing of Major Milestones. (i) February 29, 2000--Deadline for 
submission of appropriate EA's needed by FRA for the down-selection of 
one or more projects under Phase III.
    (ii) June 30, 2000--Deadline for submission of project descriptions 
and any related supporting reports needed by FRA for down-selection of 
one or more projects.

[[Page 1212]]

    (d) Phase III--Project Selection Process (July 1, 2000--September 
30, 2000)--(1) Description. FRA will evaluate the information provided 
by the grant recipients under Phase II and will down-select one or more 
projects for completion of additional environmental studies, investment 
grade revenue forecasts, and other studies and analyses necessary prior 
to initiation of construction.
    (2) Timing of Major Milestones. September 30, 2000--FRA down-selects 
one or more project(s).
    (e) Phase IV--Project Development and Completion of Site-specific 
EIS (October 1, 2000--November 30, 2001)--(1) Description. The financial 
assistance recipient(s) down-selected in Phase III will complete 
additional environmental studies, investment grade revenue forecasts, 
and other studies and analyses necessary prior to initiation of 
construction, and address issues raised by FRA's review of system safety 
plans (including supporting analysis). They will also initiate final 
design and engineering work for the down-selected project(s). If more 
than one project is down-selected in Phase III, FRA will select one of 
them for final design, engineering, and construction funding. Detailed 
agreements for the construction and operation of the selected project 
will be negotiated.
    (2) Timing of Major Milestones. (i) March 31, 2001--If more than one 
project is down-selected in Phase III, FRA will select one project.
    (ii) December 31, 2001--FRA will issue a Final Record of Decision on 
the site-specific EIS for the one selected project, confirming the 
project design.
    (f) Phase V--Completion of Detailed Engineering and Construction 
January 1, 2002 and beyond). In Phase V, the sponsoring State or State-
designated authority will oversee the efforts of the public/private 
partnership formed to progress the selected project, to complete the 
detailed engineering designs, and finance, construct, equip, and operate 
the project in revenue service. Construction will be contingent upon the 
appropriation of Federal funds. In no event will construction be 
authorized until FRA is fully satisfied that the system will meet 
appropriate safety standards.



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.
    (c) Costs Incurred in Advance of Cooperative Agreement. Certain 
costs incurred in advance of the execution of a cooperative agreement 
between FRA and the grantee for pre-construction planning but after 
enactment of TEA

[[Page 1213]]

21 (June 9, 1998) will be eligible for reimbursement, but such costs are 
allowable only to the extent that they are otherwise allowable under the 
terms of a fully executed cooperative agreement.



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's; 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;
    (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 one 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 this paragraph (a) 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:

[[Page 1214]]

    (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 paragraphs (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 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 additional environmental studies 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

[[Page 1215]]

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 December 
31, 1998. Applications shall be submitted to: Administrator, Federal 
Railroad Administration, ATTN: Maglev Project, RDV-11, 1200 New Jersey 
Avenue, SE., Stop 20,Washington, DC 20590.

[65 FR 2344, Jan. 14, 2000, as amended at 74 FR 25176, May 27, 2009]



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 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. 269.11(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. 269.11 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

[[Page 1216]]

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); 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 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. (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.

    Note to Sec. 268.17: 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 this part 268 are 
designed to elicit whatever information an applicant may have pertaining 
to these criteria.



Sec. 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

[[Page 1217]]

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  Down-selection of one or more Maglev projects for further
study and selection of one project for final design, engineering,
and construction funding.
          

    (a) Upon completion of Phase III of the Maglev Deployment Program, 
FRA will down-select one or more projects to complete additional 
environmental studies, investment grade revenue forecasts, and other 
studies and analyses necessary prior to initiation of construction. 
Final design and engineering work will also be initiated for the down-
selected project(s). To be down-selected a project must appear to meet 
the project eligibility standards contained in Sec. 268.11 (b), rate 
highly in the project selection criteria specified in Sec. 268.17, be 
judged by FRA to have a good chance of being constructed with the 
Federal funds authorized for this program, and be successfully operated 
by a public/private partnership.
    (b) Only one project will be selected in Phase IV of the Maglev 
Deployment Program and be eligible for any Federal construction funds 
that 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 down-selected in Phase III and funded through 
Phase IV meets all of these standards, then FRA will evaluate and 
compare the eligible projects according to the set of project selection 
criteria contained in Sec. 268.17.
    (c) 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.
    (d) 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.



PART 269_ALTERNATE PASSENGER RAIL SERVICE PILOT PROGRAM--
Table of Contents



Sec.
269.1 Purpose.
269.3 Application.
269.5 Definitions.
269.7 Petitions.
269.9 Bid process.
269.11 Evaluation.
269.13 Award.
269.15 Access to facilities; employees.
269.17 Cessation of service.

    Authority: Sec. 214, Div. B, Pub. L. 110-432; 49 U.S.C. 24711; and 
49 CFR 1.49.

    Source: 76 FR 77724, Dec. 14, 2011, unless otherwise noted.



Sec. 269.1  Purpose.

    The purpose of this part is to carry out the statutory mandate set 
forth in 49 U.S.C. 24711 requiring FRA to develop a pilot program that 
permits a railroad that owns infrastructure over which Amtrak operates a 
passenger rail service route to petition FRA to be considered as a 
passenger rail service provider over that route in lieu of Amtrak.



Sec. 269.3  Application.

    (a) Certification. This part will not be applicable to any railroad, 
unless and until, the Secretary certifies that FRA has sufficient 
resources that are adequate to undertake the pilot program

[[Page 1218]]

developed by this part. FRA will provide notice of the certification on 
the FRA public Web site upon receipt.
    (b) Route limitations. The pilot program developed by this part will 
not be made available to more than two Amtrak intercity passenger rail 
routes.
    (c) Time limitations. Any railroad awarded a contract to provide 
passenger rail service under the pilot program developed by this part 
shall only provide such service for a period not to exceed either five 
years after October 16, 2008, or a later date authorized by statute.



Sec. 269.5  Definitions.

    As used in this part--
    Act means the Passenger Rail Investment and Improvement Act of 2008 
(Pub. L. 110-432, Division B (Oct. 16, 2008)).
    Administrator means the Federal Railroad Administrator, or the 
Federal Railroad Administrator's delegate.
    Amtrak means the National Railroad Passenger Corporation.
    File and Filed mean submission of a document under this part on the 
date the document was postmarked, or the date the document was emailed 
to FRA.
    Financial plan means a plan that contains, for each Federal fiscal 
year fully or partially covered by the bid: An annual projection of the 
revenues, expenses, capital expenditure requirements, and cash flows 
(from operating activities, investing activities, and financing 
activities, showing sources and uses of funds) attributable to the 
route; and a statement of the assumptions underlying the financial 
plan's contents.
    FRA means the Federal Railroad Administration.
    Operating plan means a plan that contains, for each Federal fiscal 
year fully or partially covered by the bid: A complete description of 
the service planned to be offered, including the train schedules, 
frequencies, equipment consists, fare structures, and such amenities as 
sleeping cars and food service provisions; station locations; hours of 
operation; provisions for accommodating the traveling public, including 
proposed arrangements for stations shared with other routes; expected 
ridership; passenger-miles; revenues by class of service between each 
city-pair proposed to be served; and a statement of the assumptions 
underlying the operating plan's contents.
    Passenger rail service route means those routes described in 49 
U.S.C. 24102(5)(B), (C), and (D) or in 49 U.S.C. 24702.
    Petitioner means a railroad, other than Amtrak, that has submitted a 
petition to FRA under section 269.7 of this part.
    Railroad means a rail carrier or rail carriers, as defined in 49 
U.S.C. 10102(5).
    Secretary means the Secretary of the U.S. Department of 
Transportation.



Sec. 269.7  Petitions.

    (a) In General. A railroad that owns infrastructure over which 
Amtrak operates a passenger rail service route may petition FRA to be 
considered as a passenger rail service provider over that route in lieu 
of Amtrak for a period of time consistent with the time limitations 
described in Sec. 269.3(c) of this part.
    (b) Petition Requirements. Each petition shall:
    (1) Be filed with FRA no later than 45 days after FRA provides 
notice of the Secretary's certification pursuant to Sec. 269.3(a) of 
this part using the following method: email to [email protected];
    (2) Describe the petition as a ``Petition to Provide Passenger Rail 
Service under 49 CFR part 269''; and
    (3) Describe the route or routes over which the petitioner wants to 
provide passenger rail service and the Amtrak service that the 
petitioner wants to replace.
    (c) Future petitions. In the event that a statute extends the time 
period under which a railroad may provide passenger rail service 
pursuant to the pilot program developed by this part, petitions under 
this section shall be filed with FRA no later than 60 days after the 
later of the enactment of such statutory authority or the Secretary's 
issuance of the certification under Sec. 269.3(a), and shall otherwise 
comply with the requirements of this part.



Sec. 269.9  Bid process.

    (a) Amtrak notification. FRA will notify Amtrak of any eligible 
petition

[[Page 1219]]

filed with FRA no later than 30 days after FRA's receipt of such 
petition.
    (b) Bid requirements. A petitioner and Amtrak must both file a bid 
with FRA to provide passenger rail service over the route to which the 
petition relates no later than 60 days after the petition deadline 
established by Sec. 269.7 of this part using the following method: 
email to [email protected]. Each such bid must:
    (1) Provide FRA with sufficient information to evaluate the level of 
service described in the proposal, and to evaluate the proposal's 
compliance with the requirements described in Sec. 269.13(b) of this 
part;
    (2) Describe how the bidder would operate the route. This 
description must include, but is not limited to, an operating plan, a 
financial plan and, if applicable, any agreement(s) necessary for the 
operation of passenger service over right-of-way on the route that is 
not owned by the railroad. In addition, if the bidder intends to 
generate any revenues from ancillary activities (i.e., activities other 
than passenger transportation, accommodations, and food service) as part 
of its proposed operation of the route, then the bidder must fully 
describe such ancillary activities and identify their incremental impact 
in all relevant sections of the operating plan and the financial plan, 
and on the route's performance under the financial and performance 
metrics developed pursuant to section 207 of the Act, together with the 
assumptions underlying the estimates of such incremental impacts;
    (3) Describe what Amtrak passenger equipment would be needed, if 
any;
    (4) Describe in detail, including amounts, timing, and intended 
purpose, what sources of Federal and non-Federal funding the bidder 
would use, including but not limited to any Federal or State operating 
subsidy and any other Federal or State payments;
    (5) Contain a staffing plan describing the number of employees 
needed to operate the service, the job assignments and requirements, and 
the terms of work for prospective and current employees of the bidder 
for the service outlined in the bid; and
    (6) Describe how the passenger rail service would comply with the 
financial and performance metrics developed pursuant to section 207 of 
the Act. At a minimum, this description must include, for each Federal 
fiscal year fully or partially covered by the bid: a projection of the 
route's expected on-time performance and train delays according to the 
metrics developed pursuant to section 207 of the Act; and the net cash 
used in operating activities per passenger-mile (both before and after 
the application of any expected public subsidies) attributable to the 
route.
    (c) Supplemental information. FRA may request supplemental 
information from a petitioner and/or Amtrak where FRA determines such 
information is needed to evaluate a bid. In such a request, FRA will 
establish a deadline by which the supplemental information must be filed 
with FRA.



Sec. 269.11  Evaluation.

    FRA will select a winning bidder by evaluating the bids against the 
financial and performance metrics developed under section 207 of the Act 
and the requirements of this part, and will give preference in awarding 
contracts to bidders seeking to operate routes that have been identified 
as one of the five worst performing Amtrak routes under 49 U.S.C. 24710.



Sec. 269.13  Award.

    (a) Award. FRA will execute a contract with the winning bidder(s), 
consistent with the requirements of this section and as FRA may 
otherwise require, no later than 90 days after the bid deadline 
established by Sec. 269.9(b) of this part. FRA will provide timely 
notice of these selections to all petitioners and Amtrak.
    (b) Contract requirements. Among other things, the contract between 
FRA and a winning bidder shall:
    (1) Award to the winning bidder the right and obligation to provide 
passenger rail service over that route subject to such performance 
standards as FRA may require, consistent with the standards developed 
under section 207 of the Act, for a duration consistent with Sec. 
269.3(c) of this part;
    (2) Award to the winning bidder an operating subsidy for the first 
year at a level not in excess of the level in effect during the fiscal 
year preceding

[[Page 1220]]

the fiscal year in which the petition was received, adjusted for 
inflation, and for any subsequent years at such level, adjusted for 
inflation;
    (3) Condition the operating and subsidy rights upon the winning 
bidder continuing to provide passenger rail service on the route that is 
no less frequent, nor over a shorter distance, than Amtrak provided on 
that route before the award;
    (4) Condition the operating and subsidy rights upon the winning 
bidder's compliance with the minimum standards established under section 
207 of the Act and such additional performance standards as FRA may 
establish; and
    (5) Subject the winning bidder to the grant conditions established 
by 49 U.S.C. 24405.
    (c) Staffing Plan Publication. The winning bidder shall make their 
staffing plan required by Sec. 269.9(b)(4) of this part available to 
the public after the bid award.



Sec. 269.15  Access to facilities; employees.

    (a) Access to facilities. If the award under Sec. 269.13 of this 
part is made to a railroad other than Amtrak, Amtrak must provide access 
to its reservation system, stations, and facilities directly related to 
operations to the winning bidder awarded a contract under this part, in 
accordance with section 217 of the Act, necessary to carry out the 
purposes of this part.
    (b) Employees. The employees of any person used by a railroad in the 
operation of a route under this part shall be considered an employee of 
that railroad and subject to the applicable Federal laws and regulations 
governing similar crafts or classes of employees of Amtrak, including 
provisions under section 121 of the Amtrak Reform and Accountability Act 
of 1997 relating to employees who provide food and beverage service.
    (c) Hiring preference. The winning bidder shall provide hiring 
preference to qualified Amtrak employees displaced by the award of the 
bid, consistent with the staffing plan submitted by the winning bidder.



Sec. 269.17  Cessation of service.

    If a railroad awarded a route under this part ceases to operate the 
service or fails to fulfill its obligations under the contract required 
under Sec. 269.13 of this part, the Administrator, in collaboration 
with the Surface Transportation Board, shall take any necessary action 
consistent with title 49 of the United States Code to enforce the 
contract and ensure the continued provision of service, including the 
installment of an interim service provider and re-bidding the contract 
to operate the service. The entity providing service shall either be 
Amtrak or a railroad eligible for this pilot program under Sec. 269.7 
of this part.



PART 270_SYSTEM SAFETY PROGRAM--Table of Contents



                            Subpart A_General

Sec.
270.1 Purpose and scope.
270.3 Application.
270.5 Definitions.
270.7 Penalties and responsibility for compliance.

              Subpart B_System Safety Program Requirements

270.101 System safety program; general.
270.103 System safety program plan.
270.105 Discovery and admission as evidence of certain information.
270.107 Consultation requirements.

Subpart C_Review, Approval, and Retention of System Safety Program Plans

270.201 Filing and approval.
270.203 Retention of system safety program plan.

   Subpart D_System Safety Program Internal Assessments and External 
                                Auditing

270.301 General.
270.303 Internal system safety program assessment.
270.305 External safety audit.

Appendix A to Part 270--Schedule of Civil Penalties
Appendix B to Part 270--Federal Railroad Administration Guidance on the 
          System Safety Program Consultation Process

[[Page 1221]]

Appendix C to Part 270--Procedures for Submission of SSP Plans and 
          Statements from Directly Affected Employees

    Authority: 49 U.S.C. 20103, 20106-20107, 20118-20119, 20156, 21301, 
21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

    Source: 81 FR 53896, Aug. 12, 2016, unless otherwise noted.

    Effective Date Note: At 81 FR 53896, Aug. 12, 2016, part 270 was 
added, effective Oct. 11, 2016



                            Subpart A_General



Sec. 270.1  Purpose and scope.

    (a) The purpose of this part is to improve railroad safety through 
structured, proactive processes and procedures developed and implemented 
by railroads. This part requires certain railroads to establish a system 
safety program that systematically evaluates railroad safety hazards and 
the resulting risks on their systems and manages those risks to reduce 
the number and rates of railroad accidents, incidents, injuries, and 
fatalities.
    (b) This part prescribes minimum Federal safety standards for the 
preparation, adoption, and implementation of railroad system safety 
programs. This part does not restrict railroads from adopting and 
enforcing additional or more stringent requirements not inconsistent 
with this part.
    (c) This part prescribes the protection of information generated 
solely for the purpose of planning, implementing, or evaluating a system 
safety program under this part.



Sec. 270.3  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 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(2)), including public authorities operating passenger 
train service.
    (b) 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) Tourist, scenic, historic, or excursion operations, whether on 
or off the general railroad system of transportation;
    (3) Operation of private cars, including business/office cars and 
circus trains; or
    (4) Railroads that operate only on track inside an installation that 
is not part of the general railroad system of transportation (i.e., 
plant railroads, as defined in Sec. 270.5).



Sec. 270.5  Definitions.

    As used in this part--
    Administrator means the Federal Railroad Administrator or his or her 
delegate.
    Configuration management means a process that ensures that the 
configurations of all property, equipment, and system design elements 
are accurately documented.
    FRA means the Federal Railroad Administration.
    Fully implemented means that all elements of a system safety program 
as described in the SSP plan are established and applied to the safety 
management of the railroad.
    Hazard means any real or potential condition (as identified in the 
railroad's risk-based hazard analysis) that can cause injury, illness, 
or death; damage to or loss of a system, equipment, or property; or 
damage to the environment.
    Passenger means a person, excluding an on-duty employee, who is on 
board, boarding, or alighting from a rail vehicle for the purpose of 
travel.
    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 or subcontractor providing goods 
or services to a railroad; and any employee of such owner, manufacturer, 
lessor, lessee, or independent contractor or subcontractor.
    Plant railroad means a plant or installation that owns or leases a 
locomotive, uses that locomotive to switch

[[Page 1222]]

cars throughout the plant or installation, and is moving goods solely 
for use in the facility's own industrial processes. The plant or 
installation could include track immediately adjacent to the plant or 
installation if the plant railroad leases the track from the general 
system railroad and the 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. A plant or installation that operates a locomotive to switch or 
move cars for other entities, even if solely within the confines of the 
plant or installation, rather than for its own purposes or industrial 
processes, is not considered a plant railroad because the performance of 
such activity makes the operation part of the general railroad system of 
transportation.
    Positive train control system means a system designed to prevent 
train-to-train collisions, overspeed derailments, incursions into 
established work zone limits, and the movement of a train through a 
switch left in the wrong position, as described in subpart I of part 236 
of this chapter.
    Rail vehicle means railroad rolling stock, including, but not 
limited to, passenger and maintenance vehicles.
    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 or organization that provides railroad transportation, 
whether directly or by contracting out operation of the railroad to 
another person.
    Risk means the combination of the probability (or frequency of 
occurrence) and the consequence (or severity) of a hazard.
    Risk-based hazard management means the processes (including 
documentation) used to identify and analyze hazards, assess and rank 
corresponding risks, and eliminate or mitigate the resulting risks.
    Safety culture means the shared values, actions and behaviors that 
demonstrate commitment to safety over competing goals and demands.
    SSP plan means system safety program plan.
    System safety means the application of management, economic, and 
engineering principles and techniques to optimize all aspects of safety, 
within the constraints of operational effectiveness, time, and cost, 
throughout all phases of a system life cycle.
    System safety program means a comprehensive process for the 
application of management and engineering principles and techniques to 
optimize all aspects of safety.
    System safety program plan means a document developed by the 
railroad that implements and supports the railroad's system safety 
program.
    Tourist, scenic, historic, or excursion operations means railroad 
operations that carry passengers, often using antiquated equipment, with 
the conveyance of the passengers to a particular destination not being 
the principal purpose. Train movements of new passenger equipment for 
demonstration purposes are not tourist, scenic, historic, or excursion 
operations.



Sec. 270.7  Penalties and responsibility for compliance.

    (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 $839 and not more than $27,455 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 violation has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a

[[Page 1223]]

penalty not to exceed $109,819 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 to this part 
contains a schedule of civil penalty amounts used in connection with 
this part.
    (b) Although the requirements of this part are stated in terms of 
the duty of a railroad, when any person, including a contractor or 
subcontractor to a railroad, performs any function covered by this part, 
that person (whether or not a railroad) shall perform that function in 
accordance with this part.



              Subpart B_System Safety Program Requirements



Sec. 270.101  System safety program; general.

    (a) Each railroad subject to this part shall establish and fully 
implement a system safety program that continually and systematically 
evaluates railroad safety hazards on its system and manages the 
resulting risks to reduce the number and rates of railroad accidents, 
incidents, injuries, and fatalities. A system safety program shall 
include a risk-based hazard management program and risk-based hazard 
analysis designed to proactively identify hazards and mitigate or 
eliminate the resulting risks. The system safety program shall be fully 
implemented and supported by a written SSP plan described in Sec. 
270.103.
    (b) A railroad's system safety program shall be designed so that it 
promotes and supports a positive safety culture at the railroad.



Sec. 270.103  System safety program plan.

    (a) General. (1) Each railroad subject to this part shall adopt and 
fully implement a system safety program through a written SSP plan that, 
at a minimum, contains the elements in this section. This SSP plan shall 
be approved by FRA under the process specified in Sec. 270.201.
    (2) Each railroad subject to this part shall communicate with each 
railroad that hosts passenger train service for that railroad and 
coordinate the portions of the SSP plan applicable to the railroad 
hosting the passenger train service.
    (b) System safety program policy statement. Each railroad shall set 
forth in its SSP plan a policy statement that endorses the railroad's 
system safety program. This policy statement shall:
    (1) Define the railroad's authority for the establishment and 
implementation of the system safety program;
    (2) Describe the safety philosophy and safety culture of the 
railroad; and
    (3) Be signed by the chief official at the railroad.
    (c) System safety program goals. Each railroad shall set forth in 
its SSP plan a statement defining the goals for the railroad's system 
safety program. This statement shall describe clear strategies on how 
the goals will be achieved and what management's responsibilities are to 
achieve them. At a minimum, the goals shall be:
    (1) Long-term;
    (2) Meaningful;
    (3) Measurable; and
    (4) Focused on the identification of hazards and the mitigation or 
elimination of the resulting risks.
    (d) Railroad system description. (1) Each railroad shall set forth 
in its SSP plan a statement describing the railroad's system. The 
description shall include: the railroad's operations, including any host 
operations; the physical characteristics of the railroad; the scope of 
service; the railroad's maintenance activities; and any other pertinent 
aspects of the railroad's system.
    (2) Each railroad shall identify the persons that enter into a 
contractual relationship with the railroad to either perform significant 
safety-related services on the railroad's behalf or to utilize 
significant safety-related services provided by the railroad for 
purposes related to railroad operations.
    (3) Each railroad shall describe the relationships and 
responsibilities between the railroad and: host railroads, contract 
operators, shared track/corridor operators, and persons providing or 
utilizing significant safety-related services as identified by the 
railroad pursuant to paragraph (d)(2) of this section.

[[Page 1224]]

    (e) Railroad management and organizational structure. Each railroad 
shall set forth a statement in its SSP plan that describes the 
management and organizational structure of the railroad. This statement 
shall include the following:
    (1) A chart or other visual representation of the organizational 
structure of the railroad;
    (2) A description of the railroad's management responsibilities 
within the system safety program;
    (3) A description of how safety responsibilities are distributed 
within the railroad organization;
    (4) Clear identification of the lines of authority used by the 
railroad to manage safety issues; and
    (5) A description of the roles and responsibilities in the 
railroad's system safety program for each host railroad, contract 
operator, shared track/corridor operator, and any persons utilizing or 
providing significant safety-related services as identified by the 
railroad pursuant to (d)(2) of this section. As part of this 
description, the railroad shall describe how each host railroad, 
contractor operator, shared track/corridor operator, and any persons 
utilizing or providing significant safety-related services as identified 
by the railroad pursuant to paragraph (d)(2) of this section supports 
and participates in the railroad's system safety program, as 
appropriate.
    (f) System safety program implementation process. (1) Each railroad 
shall set forth a statement in its SSP plan that describes the process 
the railroad will use to implement its system safety program. As part of 
the railroad's implementation process, the railroad shall describe:
    (i) Roles and responsibilities of each position that has significant 
responsibility for implementing the system safety program, including 
those held by employees and other persons utilizing or providing 
significant safety-related services as identified by the railroad 
pursuant to (d)(2) of this section; and
    (ii) Milestones necessary to be reached to fully implement the 
program.
    (2) A railroad's system safety program shall be fully implemented 
within 36 months of FRA's approval of the SSP plan pursuant to subpart C 
of this part.
    (g) Maintenance, repair, and inspection program. (1) Each railroad 
shall identify and describe in its SSP plan the processes and procedures 
used for maintenance and repair of infrastructure and equipment directly 
affecting railroad safety. Examples of infrastructure and equipment that 
directly affect railroad safety include: Fixed facilities and equipment, 
rolling stock, signal and train control systems, track and right-of-way, 
passenger train/station platform interface (gaps), and traction power 
distribution systems.
    (2) Each description of the processes and procedures used for 
maintenance and repair of infrastructure and equipment directly 
affecting safety shall include the processes and procedures used to 
conduct testing and inspections of the infrastructure and equipment.
    (3) If a railroad has a manual or manuals that comply with all 
applicable Federal regulations and that describe the processes and 
procedures that satisfy this section, the railroad may reference those 
manuals in its SSP plan. FRA approval of a SSP plan that contains or 
references such manuals is not approval of the manuals themselves; each 
manual must independently comply with applicable regulations and is 
subject to a civil penalty if not in compliance with applicable 
regulations.
    (4) The identification and description required by this section of 
the processes and procedures used for maintenance, repair, and 
inspection of infrastructure and equipment directly affecting railroad 
safety is not intended to address and should not include procedures to 
address employee working conditions that arise in the course of 
conducting such maintenance, repair, and inspection of infrastructure 
and equipment directly affecting railroad safety as set forth in the 
plan. FRA does not intend to approve any specific portion of a SSP plan 
that relates exclusively to employee working conditions.
    (h) Rules compliance and procedures review. Each railroad shall set 
forth a statement describing the processes and procedures used by the 
railroad to develop, maintain, and comply with the

[[Page 1225]]

railroad's rules and procedures directly affecting railroad safety and 
to comply with the applicable railroad safety laws and regulations found 
in this chapter. The statement shall identify:
    (1) The railroad's operating and safety rules and maintenance 
procedures that are subject to review under this chapter;
    (2) Techniques used to assess the compliance of the railroad's 
employees with the railroad's operating and safety rules and maintenance 
procedures, and applicable railroad safety laws and regulations; and
    (3) Techniques used to assess the effectiveness of the railroad's 
supervision relating to the compliance with the railroad's operating and 
safety rules and maintenance procedures, and applicable railroad safety 
laws and regulations.
    (i) System safety program employee/contractor training. (1) Each 
employee who is responsible for implementing and supporting the system 
safety program, and any persons utilizing or providing significant 
safety-related services will be trained on the railroad's system safety 
program.
    (2) Each railroad shall establish and describe in its SSP plan the 
railroad's system safety program training plan. A system safety program 
training plan shall set forth the procedures by which employees that are 
responsible for implementing and supporting the system safety program, 
and any persons utilizing or providing significant safety-related 
services will be trained on the railroad's system safety program. A 
system safety program training plan shall help ensure that all personnel 
who are responsible for implementing and supporting the system safety 
program understand the goals of the program, are familiar with the 
elements of the program, and have the requisite knowledge and skills to 
fulfill their responsibilities under the program.
    (3) For each position identified pursuant to paragraph (f)(1)(i) of 
this section, the training plan shall describe the frequency and content 
of the system safety program training that the position receives.
    (4) If a position is not identified under paragraph (f)(1)(i) of 
this section as having significant responsibility to implement the 
system safety program but the position is safety-related or has a 
significant impact on safety, personnel in those positions shall receive 
training in basic system safety concepts and the system safety 
implications of their position.
    (5) Training under this subpart may include, but is not limited to, 
classroom, computer-based, or correspondence training.
    (6) The railroad shall keep a record of all training conducted under 
this part and update that record as necessary. The system safety program 
training plan shall set forth the process used to maintain and update 
the necessary training records required by this part.
    (7) The system safety program training plan shall set forth the 
process used by the railroad to ensure that it is complying with the 
training requirements set forth in the training plan.
    (j) Emergency management. Each railroad shall set forth a statement 
in its SSP plan that describes the processes used by the railroad to 
manage emergencies that may arise within its system including, but not 
limited to, the processes to comply with applicable emergency equipment 
standards in part 238 of this chapter and the passenger train emergency 
preparedness requirements in part 239 of this chapter.
    (k) Workplace safety. Each railroad shall set forth a statement in 
its SSP plan that describes the programs established by the railroad 
that protect the safety of the railroad's employees and contractors. The 
statement shall include a description of:
    (1) The processes that help ensure the safety of employees and 
contractors while working on or in close proximity to the railroad's 
property as described in paragraph (d) of this section;
    (2) The processes that help ensure that employees and contractors 
understand the requirements established by the railroad pursuant to 
paragraph (f)(1) of this section;
    (3) Any fitness-for-duty programs or any medical monitoring 
programs; and
    (4) The standards for the control of alcohol and drug use in part 
219 of this chapter.
    (l) Public safety outreach program. Each railroad shall establish 
and set

[[Page 1226]]

forth a statement in its SSP plan that describes its public safety 
outreach program to provide safety information to railroad passengers 
and the general public. Each railroad's safety outreach program shall 
provide a means for railroad passengers and the general public to report 
any observed hazards.
    (m) Accident/incident reporting and investigation. Each railroad 
shall set forth a statement in its SSP plan that describes the processes 
that the railroad uses to receive notification of accidents/incidents, 
investigate and report those accidents/incidents, and develop, 
implement, and track any corrective actions found necessary to address 
an investigation's finding(s).
    (n) Safety data acquisition. Each railroad establish and shall set 
forth a statement in its SSP plan that describes the processes it uses 
to collect, maintain, analyze, and distribute safety data in support of 
the system safety program.
    (o) Contract procurement requirements. Each railroad shall set forth 
a statement in its SSP plan that describes the process(es) used to help 
ensure that safety concerns and hazards are adequately addressed during 
the safety-related contract procurement process.
    (p) Risk-based hazard management program. Each railroad shall 
establish a risk-based hazard management program as part of the 
railroad's system safety program. The risk-based hazard management 
program shall be fully described in the SSP plan.
    (1) The risk-based hazard management program shall establish:
    (i) The processes or procedures used in the risk-based hazard 
analysis to identify hazards on the railroad's system;
    (ii) The processes or procedures used in the risk-based hazard 
analysis to analyze identified hazards and support the risk-based hazard 
management program;
    (iii) The methods used in the risk-based hazard analysis to 
determine the severity and frequency of hazards and to determine the 
corresponding risk;
    (iv) The methods used in the risk-based hazard analysis to identify 
actions that mitigate or eliminate hazards and corresponding risks;
    (v) The process for setting goals for the risk-based hazard 
management program and how performance against the goals will be 
reported;
    (vi) The process to make decisions that affect the safety of the 
rail system relative to the risk-based hazard management program;
    (vii) The methods used in the risk-based hazard management program 
to support continuous safety improvement throughout the life of the rail 
system; and
    (viii) The methods used to maintain records of identified hazards 
and risks and the mitigation or elimination of the identified hazards 
and risks throughout the life of the rail system.
    (2) The railroad's description of the risk-based hazard management 
program shall include:
    (i) The position title of the individual(s) responsible for 
administering the risk-based hazard management program;
    (ii) The identities of stakeholders who will participate in the 
risk-based hazard management program; and
    (iii) The position title of the participants and structure of any 
hazard management teams or safety committees that a railroad may 
establish to support the risk-based hazard management program.
    (q) Risk-based hazard analysis. (1) Once FRA approves a railroad's 
SSP plan pursuant to Sec. 270.201(b), the railroad shall apply the 
risk-based hazard analysis methodology identified in paragraphs 
(p)(1)(i) through (iii) of this section to identify and analyze hazards 
on the railroad system and to determine the resulting risks. At a 
minimum, the aspects of the railroad system that shall be analyzed 
include: Operating rules and practices, infrastructure, equipment, 
employee levels and schedules, management structure, employee training, 
and other aspects that have an impact on railroad safety not covered by 
railroad safety regulations or other Federal regulations.
    (2) A risk-based hazard analysis shall identify and the railroad 
shall implement specific actions using the methods described in 
paragraph (p)(1)(iv) of this section that will mitigate or eliminate the 
hazards and resulting

[[Page 1227]]

risks identified by paragraph (q)(1) of this section.
    (3) A railroad shall also conduct a risk-based hazard analysis 
pursuant to paragraphs (q)(1) and (2) of this section when there are 
significant operational changes, system extensions, system 
modifications, or other circumstances that have a direct impact on 
railroad safety.
    (r) Technology analysis and implementation plan. (1) A railroad 
shall develop, and periodically update as necessary, a technology 
analysis and implementation plan as described by this paragraph. The 
railroad shall include this technology analysis and implementation plan 
in its SSP plan.
    (2) A railroad's technology analysis and implementation plan shall 
describe the process the railroad will use to:
    (i) Identify and analyze current, new, or novel technologies that 
will mitigate or eliminate the hazards and resulting risks identified by 
the risk-based hazard analysis pursuant to paragraph (q)(1) of this 
section; and
    (ii) Analyze the safety impact, feasibility, and costs and benefits 
of implementing the technologies identified by the processes under 
paragraph (r)(2)(i) of this section that will mitigate or eliminate 
hazards and the resulting risks.
    (3) Once FRA approves a railroad's SSP plan pursuant to Sec. 
270.201(b), including the technology analysis and implementation plan, 
the railroad shall apply:
    (i) The processes described in paragraph (r)(2)(i) of this section 
to identify and analyze technologies that will mitigate or eliminate the 
hazards and resulting risks identified by the risk-based hazard analysis 
pursuant to paragraph (q)(1) of this section. At a minimum, the 
technologies a railroad shall consider as part of its technology 
analysis are: Processor-based technologies, positive train control 
systems, electronically-controlled pneumatic brakes, rail integrity 
inspection systems, rail integrity warning systems, switch position 
monitors and indicators, trespasser prevention technology, and highway-
rail grade crossing warning and protection technology; and
    (ii) The processes described in paragraph (r)(2)(ii) of this section 
to the technologies identified by the analysis under paragraph (r)(3)(i) 
of this section.
    (4) If a railroad decides to implement any of the technologies 
identified in paragraph (r)(3) of this section, in the technology 
analysis and implementation plan in the SSP plan, the railroad shall:
    (i) Describe how it will develop, adopt, implement, maintain, and 
use the identified technologies; and
    (ii) Set forth a prioritized implementation schedule for the 
development, adoption, implementation and maintenance of those 
technologies over a 10-year period.
    (5) Except as required by subpart I of part 236 of this chapter, if 
a railroad decides to implement a positive train control system as part 
of its technology analysis and implementation plan, the railroad shall 
set forth and comply with a schedule for implementation of the positive 
train control system consistent with the deadlines in the Positive Train 
Control Enforcement and Implementation Act of 2015, Public Law 114-73, 
129 Stat. 576-82 (Oct. 29, 2015), and 49 CFR 236.1005(b)(7).
    (6) The railroad shall not include in its SSP plan the analysis 
conducted pursuant to paragraph (r)(3) of this section. The railroad 
shall make the results of any analysis conducted pursuant to paragraph 
(r)(3) of this section available upon request to representatives of FRA 
and States participating under part 212 of this chapter.
    (s) Safety Assurance--(1) Change management. Each railroad shall 
establish and set forth a statement in its SSP plan describing the 
processes and procedures used by the railroad to manage significant 
operational changes, system extensions, system modifications, or other 
significant changes that will have a direct impact on railroad safety.
    (2) Configuration management. Each railroad shall establish a 
configuration management program and describe the program in its SSP 
plan. The configuration management program shall--
    (i) Identify who within the railroad has authority to make 
configuration changes;

[[Page 1228]]

    (ii) Establish processes to make configuration changes to the 
railroad's system; and
    (iii) Establish processes to ensure that all departments of the 
railroad affected by the configuration changes are formally notified and 
approve of the change.
    (3) Safety certification. Each railroad shall establish and set 
forth a statement in its SSP plan that describes the certification 
process used by the railroad to help ensure that safety concerns and 
hazards are adequately addressed before the initiation of operations or 
major projects to extend, rehabilitate, or modify an existing system or 
replace vehicles and equipment.
    (t) Safety culture. A railroad shall set forth a statement in its 
SSP plan that describes how it measures the success of its safety 
culture identified in paragraph (b)(2) of this section.



Sec. 270.105  Discovery and admission as evidence of certain 
information.

    (a) Protected information. Any information compiled or collected 
after August 14, 2017, solely for the purpose of planning, implementing, 
or evaluating a system safety program under this part shall not be 
subject to discovery, admitted into evidence, or considered for other 
purposes in a Federal or State court proceedings for damages involving 
personal injury, wrongful death, or property damage. For purposes of 
this section--
    (1) ``Information'' includes plans, reports, documents, surveys, 
schedules, lists, or data, and specifically includes a railroad's 
analysis of its safety risks under Sec. 270.103(q)(1) and a railroad's 
statement of mitigation measures under Sec. 270.103(q)(2); and
    (2) ``Solely'' means that a railroad originally compiled or 
collected the information for the exclusive purpose of planning, 
implementing, or evaluating a system safety program under this part. 
Information compiled or collected for any other purpose is not 
protected, even if the railroad also uses that information for a system 
safety program. ``Solely'' also means that a railroad continues to use 
that information only for its system safety program. If a railroad 
subsequently uses for any other purpose information that was initially 
compiled or collected for a system safety program, this section does not 
protect that information to the extent that it is used for the non-
system safety program purpose. The use of that information within the 
railroad's system safety program, however, remains protected. This 
section does not protect information that is required to be compiled or 
collected pursuant to any other provision of law or regulation.
    (b) Non-protected information. This section does not affect the 
discovery, admissibility, or consideration for other purposes in a 
Federal or State court proceedings for damages involving personal 
injury, wrongful death, or property damage of information compiled or 
collected for a purpose other than that specifically identified in 
paragraph (a) of this section. Such information shall continue to be 
discoverable, admissible, or considered for other purposes in a Federal 
or State court proceedings for damages involving personal injury, 
wrongful death, or property damage if it was discoverable, admissible, 
or considered for other purposes in a Federal or State court proceedings 
for damages involving personal injury, wrongful death, or property 
damage on or before August 14, 2017. Specifically, the types of 
information not affected by this section include:
    (1) Information compiled or collected on or before August 14, 2017;
    (2) Information compiled or collected on or before August 14, 2017, 
and that continues to be compiled or collected, even if used to plan, 
implement, or evaluate a railroad's system safety program; or
    (3) Information that is compiled or collected after August 14, 2017, 
and is compiled or collected for a purpose other than that identified in 
paragraph (a) of this section.
    (c) Information protected by other law or regulation. Nothing in 
this section shall affect or abridge in any way any other protection of 
information provided by another provision of law or regulation. Any such 
provision of law or regulation applies independently of the protections 
provided by this section.
    (d) Preemption. To the extent that State discovery rules and 
sunshine

[[Page 1229]]

laws would require disclosure of information protected by this section 
in a Federal or State court proceedings for damages involving personal 
injury, wrongful death, or property damage, those rules and laws are 
preempted.



Sec. 270.107  Consultation requirements.

    (a) General duty. (1) Each railroad required to establish a system 
safety program under this part shall in good faith consult with, and use 
its best efforts to reach agreement with, all of its directly affected 
employees, including any non-profit labor organization representing a 
class or craft of directly affected employees, on the contents of the 
SSP plan.
    (2) A railroad that consults with such a non-profit employee labor 
organization as required by paragraph (a)(1) of this section is 
considered to have consulted with the directly affected employees 
represented by that organization. If a railroad contracts out 
significant portions of its operations, the contractor and the 
contractor's employees performing the railroad's operations shall be 
considered directly affected employees for the purposes of this part.
    (3) A railroad shall have a preliminary meeting with its directly 
affected employees to discuss how the consultation process will proceed. 
A railroad is not required to discuss the substance of a SSP plan during 
this preliminary meeting. A railroad must:
    (i) Hold the preliminary meeting no later than April 10, 2017; and
    (ii) Notify the directly affected employees of the preliminary 
meeting no less than 60 days before it is held.
    (4) Appendix B to this part contains non-mandatory guidance on how a 
railroad may comply with the requirements of this section.
    (b) Railroad consultation statements. A railroad required to submit 
a SSP plan under Sec. 270.201 must also submit, together with the plan, 
a consultation statement that includes the following information:
    (1) A detailed description of the process the railroad utilized to 
consult with its directly affected employees;
    (2) If the railroad could not reach agreement with its directly 
affected employees on the contents of its SSP plan, identification of 
any known areas of disagreement and an explanation of why it believes 
agreement was not reached; and
    (3) A service list containing the name and contact information for 
each international/national president of any non-profit employee labor 
organization representing a class or craft of the railroad's directly 
affected employees. The service list must also contain the name and 
contact information for any directly affected employee who significantly 
participated in the consultation process independently of a non-profit 
employee labor organization. When a railroad submits its SSP plan and 
consultation statement to FRA pursuant to Sec. 270.201, it must also 
simultaneously send a copy of these documents to all individuals 
identified in the service list.
    (c) Statements from directly affected employees. (1) If a railroad 
and its directly affected employees cannot reach agreement on the 
proposed contents of a SSP plan, the directly affected employees may 
file a statement with the FRA Associate Administrator for Railroad 
Safety and Chief Safety Officer explaining their views on the plan on 
which agreement was not reached with the FRA Associate Administrator for 
Railroad Safety and Chief Safety Officer at Mail Stop 25, 1200 New 
Jersey Ave SE., Washington, DC 20590. The FRA Associate Administrator 
for Railroad Safety and Chief Safety Officer shall consider any such 
views during the plan review and approval process.
    (2) A railroad's directly affected employees have 30 days following 
the date of the railroad's submission of a proposed SSP plan to submit 
the statement described in paragraph (c)(1) of this section.
    (d) Consultation requirements for system safety program plan 
amendments. A railroad's SSP plan must include a description of the 
process the railroad will use to consult with its directly affected 
employees on any subsequent substantive amendments to the railroad's 
system safety program. The requirements of this paragraph do not apply 
to non-substantive amendments (e.g., amendments that update names and 
addresses of railroad personnel).

[[Page 1230]]



Subpart C_Review, Approval, and Retention of System Safety Program Plans



Sec. 270.201  Filing and approval.

    (a) Filing. (1) Each railroad to which this part applies shall 
submit one copy of its SSP plan to the FRA Associate Administrator for 
Railroad Safety and Chief Safety Officer, Mail Stop 25, 1200 New Jersey 
Avenue SE., Washington, DC 20590, no later than February 8, 2018 or not 
less than 90 days before commencing operations, whichever is later.
    (2) The railroad shall not include in its SSP plan the risk-based 
hazard analysis conducted pursuant to Sec. 270.103(q). The railroad 
shall make the results of any risk-based hazard analysis available upon 
request to representatives of FRA and States participating under part 
212 of this chapter.
    (3) The SSP plan shall include:
    (i) The signature, name, title, address, and telephone number of the 
chief safety officer who bears primary managerial authority for 
implementing the program for the submitting railroad. By signing, this 
chief official is certifying that the contents of the SSP plan are 
accurate and that the railroad will implement the contents of the 
program as approved by FRA;
    (ii) The contact information for the primary person responsible for 
managing the system safety program; and
    (iii) The contact information for the senior representatives of any 
host railroad, contract operator, shared track/corridor operator or 
persons utilizing or providing significant safety-related services.
    (4) As required by Sec. 270.107(b), each railroad must submit with 
its SSP plan a consultation statement describing how it consulted with 
its directly affected employees on the contents of its system safety 
program plan. Directly affected employees may also file a statement in 
accordance with Sec. 270.107(c).
    (b) Approval. (1) Within 90 days of receipt of a SSP plan, FRA will 
review the SSP plan to determine if the elements prescribed in this part 
are sufficiently addressed in the railroad's submission. This review 
will also consider any statement submitted by directly affected 
employees pursuant to Sec. 270.107(c).
    (2) FRA will notify each person identified by the railroad in Sec. 
270.201(a)(3) in writing whether the proposed plan has been approved by 
FRA, and, if not approved, the specific points in which the SSP plan is 
deficient. FRA will also provide this notification to each individual 
identified in the service list accompanying the consultation statement 
required under Sec. 270.107(b).
    (3) If FRA does not approve a SSP plan, the affected railroad shall 
amend the proposed plan to correct all deficiencies identified by FRA 
and provide FRA with a corrected copy of the SSP plan not later than 90 
days following receipt of FRA's written notice that the proposed SSP 
plan was not approved.
    (4) Approval of a railroad's SSP plan under this part does not 
constitute approval of the specific actions the railroad will implement 
under its SSP plan pursuant to Sec. 270.103(q)(2) and shall not be 
construed as establishing a Federal standard regarding those specific 
actions.
    (c) Review of amendments. (1)(i) A railroad shall submit any 
amendment(s) to the SSP plan to FRA not less than 60 days before the 
proposed effective date of the amendment(s). The railroad shall file the 
amended SSP plan with a cover letter outlining the changes made to the 
original approved SSP plan by the proposed amendment(s). The cover 
letter shall also describe the process the railroad used pursuant to 
Sec. 270.107(d) to consult with its directly affected employees on the 
amendment(s).
    (ii) If an amendment is safety-critical and the railroad is unable 
to submit the amended SSP plan to FRA 60 days before the proposed 
effective date of the amendment, the railroad shall submit the amended 
SSP plan with a cover letter outlining the changes made to the original 
approved SSP plan by the proposed amendment(s) and why the amendment is 
safety-critical to FRA as near as possible to 60 days before the 
proposed effective date of the amendment(s).
    (iii) If the proposed amendment is limited to adding or changing a 
name, title, address, or telephone number of a

[[Page 1231]]

person, FRA approval is not required under the process in paragraphs 
(c)(1)(i) and (ii) of this section, although the railroad shall still 
file the proposed amendment with FRA's Associate Administrator for 
Railroad Safety and Chief Safety Officer. These proposed amendments may 
be implemented by the railroad upon filing with FRA. All other proposed 
amendments must comply with the formal approval process in paragraph (c) 
of this section.
    (2)(i) Except as provided in paragraph (c)(1)(iii) of this section, 
FRA will review the proposed amended SSP plan within 45 days of receipt. 
FRA will then notify the primary contact person of each affected 
railroad whether the proposed amended plan has been approved by FRA, and 
if not approved, the specific points in which each proposed amendment to 
the SSP plan is deficient.
    (ii) If FRA has not notified the railroad by the proposed effective 
date of the amendment(s) whether the proposed amended plan has been 
approved or not, the railroad may implement the amendment(s) pending 
FRA's decision.
    (iii) If a proposed SSP plan amendment is not approved by FRA, no 
later than 60 days following the receipt of FRA's written notice, the 
railroad shall provide FRA either a corrected copy of the amendment that 
addresses all deficiencies noted by FRA or written notice that the 
railroad is retracting the amendment.
    (d) Reopened review. Following initial approval of a plan, or 
amendment, FRA may reopen consideration of the plan or amendment for 
cause stated.
    (e) Electronic submission. All documents required to be submitted to 
FRA under this part may be submitted electronically. Appendix C to this 
part provides instructions on electronic submission of documents.



Sec. 270.203  Retention of system safety program plan.

    Each railroad to which this part applies shall retain at its system 
headquarters, and at any division headquarters, one copy of the SSP plan 
required by this part and one copy of each subsequent amendment to that 
plan. 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.



   Subpart D_System Safety Program Internal Assessments and External 
                                Auditing



Sec. 270.301  General.

    The system safety program and its implementation shall be assessed 
internally by the railroad and audited externally by FRA or FRA's 
designee.



Sec. 270.303  Internal system safety program assessment.

    (a) Following FRA's initial approval of the railroad's SSP plan 
pursuant to Sec. 270.201, the railroad shall annually conduct an 
assessment of the extent to which:
    (1) The system safety program is fully implemented;
    (2) The railroad is in compliance with the implemented elements of 
the approved system safety program; and
    (3) The railroad has achieved the goals set forth in Sec. 
270.103(c).
    (b) As part of its SSP plan, the railroad shall set forth a 
statement describing the processes used to:
    (1) Conduct internal system safety program assessments;
    (2) Internally report the findings of the internal system safety 
program assessments;
    (3) Develop, track, and review recommendations as a result of the 
internal system safety program assessments;
    (4) Develop improvement plans based on the internal system safety 
program assessments. Improvement plans shall, at a minimum, identify who 
is responsible for carrying out the necessary tasks to address 
assessment findings and specify a schedule of target dates with 
milestones to implement the improvements that address the assessment 
findings; and
    (5) Manage revisions and updates to the SSP plan based on the 
internal system safety program assessments.
    (c)(1) Within 60 days of completing its internal SSP plan assessment 
pursuant to paragraph (a) of this section, the railroad shall:
    (i) Submit to FRA a copy of the railroad's internal assessment 
report that

[[Page 1232]]

includes a system safety program assessment and the status of internal 
assessment findings and improvement plans to the FRA Associate 
Administrator for Railroad Safety and Chief Safety Officer, Mail Stop 
25, 1200 New Jersey Avenue SE., Washington, DC 20590; and
    (ii) Outline the specific improvement plans for achieving full 
implementation of the SSP plan, as well as achieving the goals of the 
plan.
    (2) The railroad's chief official responsible for safety shall 
certify the results of the railroad's internal SSP plan assessment.



Sec. 270.305  External safety audit.

    (a) FRA may conduct, or cause to be conducted, external audits of a 
railroad's system safety program. Each audit will evaluate the 
railroad's compliance with the elements required by this part in the 
railroad's approved SSP plan. FRA shall provide the railroad written 
notification of the results of any audit.
    (b)(1) Within 60 days of FRA's written notification of the results 
of the audit, the railroad shall submit to FRA for approval an 
improvement plan to address the audit findings that require corrective 
action. At a minimum, the improvement plan shall identify who is 
responsible for carrying out the necessary tasks to address audit 
findings and specify target dates and milestones to implement the 
improvements that address the audit findings.
    (2) If FRA does not approve the railroad's improvement plan, FRA 
will notify the railroad of the specific deficiencies in the improvement 
plan. The affected railroad shall amend the proposed plan to correct the 
deficiencies identified by FRA and provide FRA with a corrected copy of 
the improvement plan no later than 30 days following its receipt of 
FRA's written notice that the proposed plan was not approved.
    (3) Upon request, the railroad shall provide to FRA and States 
participating under part 212 of this chapter for review a report upon 
request regarding the status of the implementation of the improvements 
set forth in the improvement plan established pursuant to paragraph 
(b)(1) of this section.



        Sec. Appendix A to Part 270--Schedule of Civil Penalties

                          Penalty Schedule \1\
------------------------------------------------------------------------
                                                              Willful
                                             Violation       violation
------------------------------------------------------------------------
              Subpart B--System Safety Program Requirements
------------------------------------------------------------------------
270.101--System safety program; general:
    (a) Failure to establish a system            $15,000         $30,000
     safety program.....................
    (a) Failure to include a risk-based           10,000          20,000
     hazard management program in the
     railroad's system safety program...
270.103--System safety program plan:
    (a)(1) Failure to include and comply           7,500          15,000
     with any required element or any
     sub-element in the SSP plan........
    (a)(2) Failure to communicate and              7,500          15,000
     coordinate with host railroad on
     the SSP plan.......................
270.107--Consultation Requirements:
    (a)(1) Failure to consult with                10,000          20,000
     directly affected employees........
    Failure to consult in good faith and/         10,000          20,000
     or use best efforts................
    (a)(3) Failure to hold preliminary             7,500          15,000
     meeting............................
    Failure to hold preliminary meeting            5,000          10,000
     within April 10, 2017..............
    Failure to notify directly affected            7,500          15,000
     employees no less than 60 days
     before meeting is held.............
    (b) Failure to submit consultation             7,500          15,000
     statement with plan submission.....
    Failure to include all required                5,000          10,000
     elements in consultation statement.
    (d) Failure to submit consultation             5,000          10,000
     statement with submission of plan
     amendment..........................
------------------------------------------------------------------------
         Subpart C--Review, Approval, and Retention of SSP Plans
------------------------------------------------------------------------
270.201--Filing and approval:
    (a)(1) Failure to file an initial             10,000          20,000
     SSP plan...........................
    Failure to file a SSP plan within 90          10,000          20,000
     days of commencing operations......
    (a)(3) Failure to include all                  5,000          10,000
     required information in submission.
    (b)(3) Failure to correct identified           7,500          15,000
     deficiencies and amend SSP plan....
    Failure to submit amended SSP plan..           7,500          15,000
    Failure to submit amended SSP plan             5,000          10,000
     within 90 days.....................

[[Page 1233]]

 
    (c)(1)(i) Failure to submit                    7,500          15,000
     amendment to SSP plan..............
    Failure to submit amendment to SSP             5,000          10,000
     plan within 60 days................
    (c)(2)(iii) Failure to submit                  7,500          15,000
     corrected amendment or notify FRA
     of retraction......................
    Failure to submit corrected                    5,000          10,000
     amendment within 60 days...........
270.203--Retention of SSP plan:
    Failure to retain a copy of the SSP           10,000          20,000
     plan at the system/division
     headquarters.......................
    Failure to make records available to           7,500          15,000
     representatives of FRA and States
     participating under part 212 of
     this chapter.......................
------------------------------------------------------------------------
   Subpart D--System Safety Program Internal Assessments and External
                                Auditing
------------------------------------------------------------------------
270.303--Internal program assessment:
    (a) Failure to conduct an annual              10,000          20,000
     internal assessment................
    Failure to include all required                7,500          15,000
     elements in the internal assessment
    (b) Failure to include a statement             5,000          10,000
     in the SSP plan describing the
     required elements..................
    (c)(1)(i) Failure to submit to FRA             7,500          15,000
     the internal assessment report.....
    Failure for the internal assessment            5,000          10,000
     report to contain all required
     elements and sub-elements..........
    (c)(1)(ii) Failure to develop and              7,500          15,000
     outline improvement plans..........
    Failure to comply with improvement             7,500          15,000
     plans..............................
    (c)(2) Failure of chief official               5,000          10,000
     responsible for safety to certify
     the results of the internal
     assessment.........................
270.305--External safety audit:
    (b)(1) Failure to submit improvement           7,500          15,000
     plans..............................
    Failure to submit improvement plans            5,000          10,000
     within 60 days.....................
    Failure to include all required                5,000          10,000
     elements in the improvement plans..
    (b)(2) Failure to amend and submit             7,500          15,000
     to FRA the improvement plan........
    Failure to submit amended                      5,000          10,000
     improvement plan within 30 days....
    (b)(3) Failure to provide a report             7,500          15,000
     regarding the status of the
     implementation of the improvements
     set forth in the improvement plan..
------------------------------------------------------------------------
\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 $109,819 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.



Sec. Appendix B to Part 270--Federal Railroad Administration Guidance on 
             the System Safety Program Consultation Process

    A railroad required to develop a system safety program under this 
part must in good faith consult with and use its best efforts to reach 
agreement with its directly affected employees on the contents of the 
SSP plan. See Sec. 270.107(a). This appendix discusses the meaning of 
the terms ``good faith'' and ``best efforts,'' and provides non-
mandatory guidance on how a railroad may comply with the requirement to 
consult with directly affected employees on the contents of its SSP 
plan. Guidance is provided for employees who are represented by a non-
profit employee labor organization and employees who are not represented 
by any such organization.

           The Meaning of ``Good Faith'' and ``Best Efforts''

    ``Good faith'' and ``best efforts'' are not interchangeable terms 
representing a vague standard for the Sec. 270.107 consultation 
process. Rather, each term has a specific and distinct meaning. When 
consulting with directly affected employees, therefore, a railroad must 
independently meet the standards for both the good faith and best 
efforts obligations. A railroad that does not meet the standard for one 
or the other will not be in compliance with the consultation 
requirements of Sec. 270.107.
    The good faith obligation requires a railroad to consult with 
employees in a manner that is honest, fair, and reasonable, and to 
genuinely pursue agreement on the contents of a SSP plan. If a railroad 
consults with its employees merely in a perfunctory manner, without 
genuinely pursuing agreement, it will not have met the good faith 
requirement. For example, a lack of good faith may be found if a 
railroad's directly affected employees express concerns with certain 
parts of the railroad's SSP plan, and the railroad neither addresses 
those concerns in further consultation nor attempts to address those 
concerns by making changes to the SSP plan.
    On the other hand, ``best efforts'' establishes a higher standard 
than that imposed by the good faith obligation, and describes the 
diligent attempts that a railroad must pursue to reach agreement with 
its employees on the contents of its system safety program. While the 
good faith obligation is concerned with the railroad's state of mind 
during the consultation process, the best efforts obligation is 
concerned with the specific efforts made by the railroad in an attempt 
to

[[Page 1234]]

reach agreement. This would include considerations such as whether a 
railroad had held sufficient meetings with its employees to address or 
make an attempt to address any concerns raised by the employees, or 
whether the railroad had made an effort to respond to feedback provided 
by employees during the consultation process. For example, a railroad 
would not meet the best efforts obligation if it did not initiate the 
consultation process in a timely manner, and thereby failed to provide 
employees sufficient time to engage in the consultation process. A 
railroad may, however, wish to hold off substantive consultations 
regarding the contents of its SSP until one year after the publication 
date of the rule to ensure that certain information generated as part of 
the process is protected from discovery and admissibility into evidence 
under Sec. 270.105 of the rule. Generally, best efforts are measured by 
the measures that a reasonable person in the same circumstances and of 
the same nature as the acting party would take. Therefore, the standard 
imposed by the best efforts obligation may vary with different 
railroads, depending on a railroad's size, resources, and number of 
employees.
    When reviewing SSP plans, FRA will determine on a case-by-case basis 
whether a railroad has met its Sec. 270.107 good faith and best efforts 
obligations. This determination will be based upon the consultation 
statement submitted by the railroad pursuant to Sec. 270.107(b) and any 
statements submitted by employees pursuant to Sec. 270.107(c). If FRA 
finds that these statements do not provide sufficient information to 
determine whether a railroad used good faith and best efforts to reach 
agreement, FRA may investigate further and contact the railroad or its 
employees to request additional information. If FRA determines that a 
railroad did not use good faith and best efforts, FRA may disapprove the 
SSP plan submitted by the railroad and direct the railroad to comply 
with the consultation requirements of Sec. 270.107. Pursuant to Sec. 
270.201(b)(3), if FRA does not approve the SSP plan, the railroad will 
have 90 days, following receipt of FRA's written notice that the plan 
was not approved, to correct any deficiency identified. In such cases, 
the identified deficiency would be that the railroad did not use good 
faith and best efforts to consult and reach agreement with its directly 
affected employees. If a railroad then does not submit to FRA within 90 
days a SSP plan meeting the consultation requirements of Sec. 270.107, 
the railroad could be subject to penalties for failure to comply with 
Sec. 270.201(b)(3).

 Guidance on How a Railroad May Consult With Directly Affected Employees

    Because the standard imposed by the best efforts obligation will 
vary depending upon the railroad, there may be countless ways for 
various railroads to comply with the consultation requirements of Sec. 
270.107. Therefore, FRA believes it is important to maintain a flexible 
approach to the Sec. 270.107 consultation requirements, to give a 
railroad and its directly affected employees the freedom to consult in a 
manner best suited to their specific circumstances.
    FRA is nevertheless providing guidance in this appendix as to how a 
railroad may proceed when consulting (utilizing good faith and best 
efforts) with employees in an attempt to reach agreement on the contents 
of a SSP plan. FRA believes this guidance may be useful as a starting 
point for railroads that are uncertain about how to comply with the 
Sec. 270.107 consultation requirements. This guidance distinguishes 
between employees who are represented by a non-profit employee labor 
organization and employees who are not, as the processes a railroad may 
use to consult with represented and non-represented employees could 
differ significantly.
    This guidance does not establish prescriptive requirements with 
which a railroad must comply, but merely outlines a consultation process 
a railroad may choose to follow. A railroad's consultation statement 
could indicate that the railroad followed the guidance in this appendix 
as evidence that it utilized good faith and best efforts to reach 
agreement with its employees on the contents of a SSP plan.

    Employees Represented by a Non-Profit Employee Labor Organization

    As provided in Sec. 270.107(a)(2), a railroad consulting with the 
representatives of a non-profit employee labor organization on the 
contents of a SSP plan will be considered to have consulted with the 
directly affected employees represented by that organization.
    A railroad may utilize the following process as a roadmap for using 
good faith and best efforts when consulting with represented employees 
in an attempt to reach agreement on the contents of a SSP plan.
     Pursuant to Sec. 270.107(a)(3)(i), a railroad 
must meet with representatives from a non-profit employee labor 
organization (representing a class or craft of the railroad's directly 
affected employees) no later than April 10, 2017, to begin the process 
of consulting on the contents of the railroad's SSP plan. A railroad 
must provide notice at least 60 days before the scheduled meeting.
     During the time between the initial meeting and 
the applicability date of Sec. 270.105 the parties may meet to discuss 
administrative details of the consultation process as necessary.
     Within 60 days after the applicability date of 
Sec. 270.105 a railroad should have a

[[Page 1235]]

meeting with the directed affected employees to discuss substantive 
issues with the SSP.
     Pursuant to Sec. 270.201(a)(1), a railroad would 
file its SSP plan with FRA no later than February 8, 2018, or not less 
than 90 days before commencing operations, whichever is later.
     As provided by Sec. 270.107(c), if agreement on 
the contents of a SSP plan could not be reached, a labor organization 
(representing a class or craft of the railroad's directly affected 
employees) may file a statement with the FRA Associate Administrator for 
Railroad Safety and Chief Safety Officer explaining its views on the 
plan on which agreement was not reached.

    Employees Who Are Not Represented by a Non-Profit Employee Labor 
                              Organization

    FRA recognizes that some (or all) of a railroad's directly affected 
employees may not be represented by a non-profit employee labor 
organization. For such non-represented employees, the consultation 
process described for represented employees may not be appropriate or 
sufficient. For example, FRA believes that a railroad with non-
represented employees should make a concerted effort to ensure that its 
non-represented employees are aware that they are able to participate in 
the development of the railroad's SSP plan. FRA therefore is providing 
the following guidance regarding how a railroad may utilize good faith 
and best efforts when consulting with non-represented employees on the 
contents of its SSP plan.
     By December 12, 2016 (i.e., within 60 days of the 
effective date of the final rule), a railroad may notify non-represented 
employees that--
    (1) The railroad is required to consult in good faith with, and use 
its best efforts to reach agreement with, all directly affected 
employees on the proposed contents of its SSP plan;
    (2) The railroad is required to meet with its directly affected 
employees within 180 days of the effective date of the final rule to 
address the consultation process;
    (3) Non-represented employees are invited to participate in the 
consultation process (and include instructions on how to engage in this 
process); and
    (4) If a railroad is unable to reach agreement with its directly 
affected employees on the contents of the proposed SSP plan, an employee 
may file a statement with the FRA Associate Administrator for Railroad 
Safety and Chief Safety Officer explaining his or her views on the plan 
on which agreement was not reached.
     This initial notification (and all subsequent 
communications, as necessary or appropriate) could be provided to non-
represented employees in the following ways:
    (1) Electronically, such as by email or an announcement on the 
railroad's Web site;
    (2) By posting the notification in a location easily accessible and 
visible to non-represented employees; or
    (3) By providing all non-represented employees a hard copy of the 
notification. A railroad could use any or all of these methods of 
communication, so long as the notification complies with the railroad's 
obligation to utilize best efforts in the consultation process.
     Following the initial notification and initial 
meeting to discuss the consultation process (and before the railroad 
submits its SSP plan to FRA), a railroad should provide non-represented 
employees a draft proposal of its SSP plan. This draft proposal should 
solicit additional input from non-represented employees, and the 
railroad should provide non-represented employees 60 days to submit 
comments to the railroad on the draft.
     Following this 60-day comment period and any 
changes to the draft SSP plan made as a result, the railroad should 
submit the proposed SSP plan to FRA, as required by this part.
     As provided by Sec. 270.107(c), if agreement on 
the contents of a SSP plan cannot be reached, then a non-represented 
employee may file a statement with the FRA Associate Administrator for 
Railroad Safety and Chief Safety Officer explaining his or her views on 
the plan on which agreement was not reached.



Sec. Appendix C to Part 270--Procedures for Submission of SSP Plans and 
               Statements From Directly Affected Employees

    This appendix establishes procedures for the submission of a 
railroad's SSP plan and statements by directly affected employees 
consistent with the requirements of this part.

        Submission by a Railroad and Directly Affected Employees

    As provided for in Sec. 270.101, a system safety program shall be 
fully implemented and supported by a written SSP plan. Each railroad 
must submit its SSP plan to FRA for approval as provided for in Sec. 
270.201.
    As provided for in Sec. 270.107(c), if a railroad and its directly 
affected employees cannot come to agreement on the proposed contents of 
the railroad's SSP plan, the directly affected employees have 30 days 
following the railroad's submission of its proposed SSP plan to submit a 
statement to the FRA Associate Administrator for Railroad Safety and 
Chief Safety Officer explaining the directly affected employees' views 
on the plan on which agreement was not reached.

[[Page 1236]]

    The railroad's and directly affected employees' submissions shall be 
sent to the FRA Associate Administrator for Railroad Safety and Chief 
Safety Officer, Mail Stop 25, 1200 New Jersey Avenue SE., Washington, DC 
20590. When a railroad submits its SSP plan and consultation statement 
to FRA pursuant to Sec. 270.201, it must also simultaneously send a 
copy of these documents to all individuals identified in the service 
list pursuant to Sec. 270.107(b)(3).
    Each railroad and directly affected employee is authorized to file 
by electronic means any submissions required under this part. Before any 
person submitting anything electronically, the person shall provide the 
FRA Associate Administrator for Railroad Safety and Chief Safety Officer 
with the following information in writing:
    (1) The name of the railroad or directly affected employee(s);
    (2) The names of two individuals, including job titles, who will be 
the railroad's or directly affected employees' points of contact and 
will be the only individuals allowed access to FRA's secure document 
submission site;
    (3) The mailing addresses for the railroad's or directly affected 
employees' points of contact;
    (4) The railroad's system or main headquarters address located in 
the United States;
    (5) The email addresses for the railroad's or directly affected 
employees' points of contact; and
    (6) The daytime telephone numbers for the railroad's or directly 
affected employees' points of contact.
    A request for electronic submission or FRA review of written 
materials shall be addressed to the FRA Associate Administrator for 
Railroad Safety and Chief Safety Officer, Mail Stop 25, 1200 New Jersey 
Avenue SE., Washington, DC 20590. Upon receipt of a request for 
electronic submission that contains the information listed above, FRA 
will then contact the requestor with instructions for electronically 
submitting its program or statement. A railroad that electronically 
submits an initial SSP plan or new portions or revisions to an approved 
program required by this part shall be considered to have provided its 
consent to receive approval or disapproval notices from FRA by email. 
FRA may electronically store any materials required by this part 
regardless of whether the railroad that submits the materials does so by 
delivering the written materials to the Associate Administrator and opts 
not to submit the materials electronically. A railroad that opts not to 
submit the materials required by this part electronically, but provides 
one or more email addresses in its submission, shall be considered to 
have provided its consent to receive approval or disapproval notices 
from FRA by email or mail.



PART 272_CRITICAL INCIDENT STRESS PLANS--Table of Contents



                            Subpart A_General

Sec.
272.1 Purpose.
272.3 Application.
272.5 General duty.
272.7 Coverage of a critical incident stress plan.
272.9 Definitions.
272.11 Penalties.

             Subpart B_Plan Components and Approval Process

272.101 Content of a critical incident stress plan.
272.103 Submission of critical incident stress plan for approval by the 
          Federal Railroad Administration.
272.105 Requirement to file critical incident stress plan 
          electronically.

Appendix A to Part 272--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107, 20109, note; 28 U.S.C. 2461, 
note; 49 CFR 1.89; and sec. 410, Div. A, Pub. L. 110-432, 122 Stat. 
4888.

    Source: 79 FR 16233, Mar. 25, 2014, unless otherwise noted.



                            Subpart A_General



Sec. 272.1  Purpose.

    (a) The purpose of this part is to promote the safety of railroad 
operations and the health and safety of railroad employees, especially 
those who are directly involved in a critical incident by requiring that 
the employing railroad offers and provides appropriate support services, 
including appropriate relief, to the directly-involved employees 
following that critical incident.
    (b) Nothing in this part constrains a railroad from implementing a 
critical incident stress plan that contains additional provisions beyond 
those specified in this part (including provisions covering additional 
incidents or persons), provided that such additional provisions are not 
inconsistent with this part.



Sec. 272.3  Application.

    This part applies to each
    (a) Class I railroad, including the National Railroad Passenger 
Corporation;
    (b) Intercity passenger railroad; or
    (c) Commuter railroad.

[[Page 1237]]



Sec. 272.5  General duty.

    A railroad subject to this part shall adopt a written critical 
incident stress plan approved by the Federal Railroad Administration 
under Sec. 272.103 and shall comply with that plan. Should a railroad 
subject to this part make a material modification to the approved plan, 
the railroad shall adopt the modified plan approved by the Federal 
Railroad Administration under Sec. 272.103 and shall comply with that 
plan, as revised.



Sec. 272.7  Coverage of a critical incident stress plan.

    The critical incident stress plan of a railroad subject to this part 
shall state that it covers, and shall cover, the following individuals 
employed by the railroad if they are directly involved (as defined in 
Sec. 272.9) in a critical incident:
    (a) Railroad employees who are subject to the hours of service laws 
at--
    (1) 49 U.S.C. 21103 (that is, train employees not subject to subpart 
F of part 228 of this chapter regarding the hours of service of train 
employees engaged in commuter or intercity rail passenger 
transportation);
    (2) 49 U.S.C. 21104 (signal employees); or
    (3) 49 U.S.C. 21105 (dispatching service employees);
    (b) Railroad employees who are subject to the hours of service 
regulations at subpart F of part 228 of this chapter (regarding the 
hours of service of train employees engaged in commuter or intercity 
rail passenger transportation);
    (c) Railroad employees who inspect, install, repair, or maintain 
railroad right-of-way or structures; and
    (d) Railroad employees who inspect, repair, or maintain locomotives, 
passenger cars, or freight cars.



Sec. 272.9  Definitions.

    As used in this part--
    Accident/incident has the meaning assigned to that term by part 225 
of this chapter.
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Associate Administrator means the Associate Administrator for 
Railroad Safety and Chief Safety Officer of the Federal Railroad 
Administration or that person's delegate.
    Class I has the meaning assigned to that term by the regulations of 
the Surface Transportation Board (49 CFR part 1201; General Instructions 
1-1).
    Commuter railroad means a railroad, as described by 49 U.S.C. 
20102(2), including public authorities operating passenger train 
service, that provides regularly-scheduled passenger service in a 
metropolitan or suburban area and commuter railroad service that was 
operated by the Consolidated Rail Corporation on January 1, 1979.
    Critical incident means either--
    (1) An accident/incident reportable to FRA under part 225 of this 
chapter that results in a fatality, loss of limb, or a similarly serious 
bodily injury; or
    (2) A catastrophic accident/incident reportable to FRA under part 
225 of this chapter that could be reasonably expected to impair a 
directly-involved employee's ability to perform his or her job duties 
safely.
    Directly-involved employee means a railroad employee covered under 
Sec. 272.7--
    (1) Whose actions are closely connected to the critical incident;
    (2) Who witnesses the critical incident in person as it occurs or 
who witnesses the immediate effects of the critical incident in person; 
or
    (3) Who is charged to directly intervene in, or respond to, the 
critical incident (excluding railroad police officers or investigators 
who routinely respond to and are specially trained to handle 
emergencies).
    FRA means the Federal Railroad Administration, 1200 New Jersey Ave. 
SE., Washington, DC 20590.
    Home terminal means an employee's regular reporting point at the 
beginning of the tour of duty.
    Intercity passenger railroad means a railroad, as described by 49 
U.S.C. 20102(2), including public authorities operating passenger train 
service, which provides regularly-scheduled passenger service between 
large cities.



Sec. 272.11  Penalties.

    (a) Civil penalties. A person who violates any requirement of this 
part, or

[[Page 1238]]

causes the violation of any such requirement, is subject to a civil 
penalty of at least $839 and not more than $27,455 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 $109,819 
per violation may be assessed. Each day that a violation continues is a 
separate offense. See appendix A to part 209 of this chapter for a 
statement of agency civil penalty policy.
    (b) Criminal penalties. A 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.

[79 FR 16233, Mar. 25, 2014, as amended at 81 FR 43113, July 1, 2016]



             Subpart B_Plan Components and Approval Process



Sec. 272.101  Content of a critical incident stress plan.

    Each critical incident stress plan under this part shall include, at 
a minimum, provisions for--
    (a) Informing each directly-involved employee as soon as practicable 
of the relief options available in accordance with the railroad's 
critical incident stress plan;
    (b) Offering timely relief from the balance of the duty tour for 
each directly-involved employee, after the employee has performed any 
actions necessary for the safety of persons and contemporaneous 
documentation of the incident;
    (c) Offering timely transportation to each directly-involved 
employee's home terminal, if necessary;
    (d) Offering counseling, guidance, and other appropriate support 
services to each directly-involved employee;
    (e) Permitting relief from the duty tour(s) subsequent to the 
critical incident, for an amount of time to be determined by each 
railroad, if requested by a directly-involved employee as may be 
necessary and reasonable;
    (f) Permitting each directly-involved employee such additional leave 
from normal duty as may be necessary and reasonable to receive 
preventive services or treatment related to the incident or both, 
provided the employee's clinical diagnosis supports the need for 
additional time off or the employee is in consultation with a health 
care professional related to the incident and such health care 
professional supports the need for additional time off in order for the 
employee to receive preventive services or treatment related to the 
incident, or both; and
    (g) Addressing how the railroad's employees operating or otherwise 
working on track owned by or operated over by a different railroad will 
be afforded the protections of the plan.



Sec. 272.103  Submission of critical incident stress plan for approval
by the Federal Railroad Administration.

    (a) Each railroad subject to this part shall submit to the Federal 
Railroad Administration, Office of Railroad Safety, 1200 New Jersey 
Avenue SE, Washington, DC 20590, for approval, the railroad's critical 
incident stress plan no later than 12 months after June 23, 2014.
    (b) Each railroad subject to this part shall--
    (1) Simultaneously with its filing with FRA, serve, either by hard 
copy or electronically, a copy of the submission filed pursuant to 
paragraph (a) of this section or a material modification filed pursuant 
to paragraph (e) of this section on the international/national president 
of any non-profit employee labor organization representing a class or 
craft of the railroad's employees subject to this part; and
    (2) Include in its submission filed pursuant to paragraph (a) of 
this section or a material modification filed pursuant to paragraph (e) 
of this section a statement affirming that the railroad has complied 
with the requirements of paragraph (b)(1) of this section, together with 
a list of the names and addresses of the persons served.
    (c) Not later than 90 days after the date of filing a submission 
pursuant to paragraph (a) of this section or a material modification 
pursuant to paragraph (e) of this section, a labor organization 
representing a class or craft of the railroad's employees subject to 
this

[[Page 1239]]

part, may file a comment on the submission or material modification.
    (1) Each comment shall be submitted to the Associate Administrator 
for Railroad Safety and Chief Safety Officer, FRA, 1200 New Jersey 
Avenue SE, Washington, DC 20590; and
    (2) The commenter shall certify that a copy of the comment was 
served on the railroad.
    (d) A critical incident stress plan is considered approved for 
purposes of this part if and when FRA notifies the railroad in writing 
that the critical incident stress plan is approved, or 120 days after 
FRA has received the railroad's critical incident stress plan, whichever 
occurs first.
    (e) After FRA's initial approval of a railroad's critical incident 
stress plan, if the railroad makes a material modification of the 
critical incident stress plan, the railroad shall submit to FRA for 
approval a copy of the critical incident stress plan as it has been 
revised to reflect the material modification within 30 days of making 
the material modification.
    (f) Upon FRA approval of a railroad's critical incident stress plan 
and any material modification of the critical incident stress plan, the 
railroad must make a copy of the railroad's plan and the material 
modification available to the railroad's employees identified in Sec. 
272.7.
    (g) Each railroad subject to this part must make a copy of the 
railroad's plan available for inspection and reproduction by the FRA.



Sec. 272.105  Requirement to file critical incident stress plan
electronically.

    (a) Each railroad subject to this part must submit its critical 
incident stress plan and any material modifications to that plan 
electronically through FRA's Web site at http://safetydata.fra.dot.gov/
OfficeofSafety/CISP.
    (b) The railroad's electronic submission shall provide the Associate 
Administrator with the following:
    (1) The name of the railroad;
    (2) The names of two individuals, including job titles, who will be 
the railroad's points of contact;
    (3) The mailing addresses for the railroad's points of contact;
    (4) The railroad's system or main headquarters address located in 
the United States;
    (5) The email addresses for the railroad's points of contact;
    (6) The daytime telephone numbers for the railroad's points of 
contact; and
    (7) An electronic copy of the railroad's critical incident stress 
plan or any material modifications to that plan being submitted for FRA 
approval.
    (c) FRA may electronically store any materials required by this 
part.



      Sec. Appendix A to Part 272--Schedule of Civil Penalties \1\

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

    \1\ A civil penalty may be assessed against an individual only for a 
willful violation. The Administrator reserves the right to assess a 
penalty of up to $109,819 for any violation where circumstances warrant. 
See 49 U.S.C. 21301, 21304 and 49 CFR part 209, Appendix A.

             SUBPART B--PLAN COMPONENTS AND APPROVAL PROCESS
------------------------------------------------------------------------
                                                             Willful
               Section                    Violation       violation \1\
------------------------------------------------------------------------
272.101 Content of a critical
 incident stress plan:
    (a) Failure to inform about                  5,000             6,000
     relief options.................
    (b) Failure to offer timely                  5,000            10,000
     relief from duty tour..........
    (c) Failure to offer timely                  5,000            10,000
     transportation to home terminal
    (d) Failure to offer counseling,             5,000            10,000
     guidance, support services.....
    (e) Failure to permit relief                 5,000            10,000
     from duty tour(s) subsequent to
     incident.......................
    (f) Failure to permit additional             5,000            10,000
     leave to receive preventive
     services or treatment related
     to the incident................
272.103 Submission of critical
 incident stress plan for approval
 by the Federal Railroad
 Administration.
    (a) Failure to submit a plan to              9,000            18,000
     FRA............................
    (b) Failure to simultaneously                5,000            10,000
     file a copy....................
    (e) Failure to submit a material             7,500            15,000
     modification to the plan.......

[[Page 1240]]

 
    (f) Failure to make a copy of                3,000             6,000
     the plan available to covered
     employees......................
    (g) Failure to make a copy of                3,000             6,000
     the plan available to FRA......
------------------------------------------------------------------------


[79 FR 16233, Mar. 25, 2014, as amended at 81 FR 43113, July 1, 2016]

                        PARTS 273	299 [RESERVED]

[[Page 1241]]



                              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.

  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 1243]]



                    Table of CFR Titles and Chapters




                     (Revised as of October 1, 2016)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--500)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 2--199)
        II  Office of Management and Budget Guidance (Parts 200--
                299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300--
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
         X  Department of the Treasury (Parts 1000--1099)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Housing and Urban Development (Parts 2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)
     XXVII  Small Business Administration (Parts 2700--2799)

[[Page 1244]]

    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   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)
        IV  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Parts 2100--2199)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600--3699)
    XXVIII  Department of Justice (Parts 3800--3899)

[[Page 1245]]

      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 (Parts 4300--
                4399)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)
     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)

[[Page 1246]]

     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
    XCVIII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Partys 10000--10049)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         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)

[[Page 1247]]

        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       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)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      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 Policy and New Uses, Department of 
                Agriculture (Parts 2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      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  National Institute of Food and 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  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)

[[Page 1248]]

         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 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)
      XIII  Nuclear Waste Technical Review Board (Parts 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--9499)

                      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)
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)

[[Page 1249]]

        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research (Parts 1600--1699)
      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)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    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--1199)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 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)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, 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)

[[Page 1250]]

       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  U.S. Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599)

                     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)

[[Page 1251]]

         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Office of Workers' Compensation Programs, 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 Service, 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  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (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  Millennium Challenge Corporation (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)

                          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)

[[Page 1252]]

       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 Housing and 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--1699)
         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)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799) [Reserved]
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [Reserved]
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

[[Page 1253]]

                           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 (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--End)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       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)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            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)

[[Page 1254]]

        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)
       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  Employee Benefits Security 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  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 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)

[[Page 1255]]

      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      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)
       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)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     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)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (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)

[[Page 1256]]

        IV  Office of Career, Technical and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  [Reserved]
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             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)
        VI  [Reserved]
       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)
        XV  Oklahoma City National Memorial Trust (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

[[Page 1257]]

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            Subtitle B--Other Provisions Relating to Public 
                Contracts
        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 Service, Department of 
                Labor (Parts 61-1--61-999)
   62--100  [Reserved]
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
  103--104  [Reserved]
       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)
  129--200  [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [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)

[[Page 1258]]

       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--599)
         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 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (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)

[[Page 1259]]

        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
        IX  Denali Commission (Parts 900--999)
         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  Administration for Children and Families, 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)

                          Title 46--Shipping

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (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)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)

[[Page 1260]]

         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  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  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  Broadcasting Board of Governors (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)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        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) 
                [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)

[[Page 1261]]

        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  Pipeline and Hazardous Materials Safety 
                Administration, Department of Transportation 
                (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Homeland Security (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 (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        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)

[[Page 1263]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of October 1, 2016)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  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
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, Office of           2, IX; 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
  National Institute of Food and Agriculture      7, XXXIV
  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
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII

[[Page 1264]]

Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
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
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase from People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Career, Technical and Adult Education, Office of  34, IV
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazardous Investigation       40, VI
     Board
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X, XIII
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX
     for the District of Columbia
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  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 Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense Contract Audit Agency                     32, I

[[Page 1265]]

Defense Department                                2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III; 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 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
Denali Commission                                 45, IX
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical and Adult Education, Office   34, IV
       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
  Career, Technical, and Adult Education, Office  34, IV
       of
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 11, II
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
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                             2, IX; 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                   2, XV; 5, LIV; 40, I, IV, 
                                                  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
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99

[[Page 1266]]

  National Drug Control Policy, Office of         2, XXXVI; 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-Import Bank of the United States           2, XXXV; 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
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
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                       5, XXXVII; 11, I
Federal Emergency Management Agency               44, I
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
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Agency                    5, LXXX; 12, XII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
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
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
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

[[Page 1267]]

Forest Service                                    36, II
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  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
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 5, XLV; 45, 
                                                  Subtitle A,
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X, XIII
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  2, XXX; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 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
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  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
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI

[[Page 1268]]

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
Industry and Security, Bureau of                  15, VII
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, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department                               2, XIV
  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
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Enforcement Bureau, Bureau of        30, II
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  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 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
Investment Security, Office of                    31, VIII
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                                2, XXVIII; 5, XXVIII; 28, 
                                                  I, XI; 40, IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  2, XXIX; 5, XLII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI

[[Page 1269]]

  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
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I, VII
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 Royalty Board                         37, III
  U.S. Copyright Office                           37, II
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   2, XXII; 45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    5, C; 34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Geospatial-Intelligence Agency           32, I
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
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

[[Page 1270]]

National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       2, XXV; 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, IV
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI
Natural Resource Revenue, Office of               30, XII
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Patent and Trademark Office, United States        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                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 5, IV; 45, 
                                                  VIII
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory 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 Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Privacy and Civil Liberties Oversight Board       6, X
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
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
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
Safety and Environmental Enforcement, Bureau of   30, II
Saint Lawrence Seaway Development Corporation     33, IV

[[Page 1271]]

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                5, XXXIV; 17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 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                                  2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
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
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                     2, XII; 5, L
  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
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               2, X;5, XXI; 12, XV; 17, 
                                                  IV; 31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection                   19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, 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
U.S. Copyright Office                             37, II
Utah Reclamation Mitigation and Conservation      43, III
   Commission
[[Page 1272]]

Veterans Affairs Department                       2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 1273]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2011 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, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.fdsys.gov. For changes to this volume of the CFR 
prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 1964-
1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. The 
``List of CFR Sections Affected 1986-2000'' is available at 
www.fdsys.gov.

                                  2011

49 CFR
                                                                   76 FR
                                                                    Page
Chapter II
213 Authority citation revised.....................................18084
    Regulation at 76 FR 18084 eff. date delayed....................34890
213.2 Removed......................................................18084
    Regulation at 76 FR 18084 eff. date delayed....................34890
213.109 Revised....................................................18084
    Regulation at 76 FR 18084 eff. date delayed....................34890
213.127 Revised....................................................18086
    Regulation at 76 FR 18086 eff. date delayed....................34890
213.234 Added......................................................18086
    Regulation at 76 FR 18086 eff. date delayed....................34890
    (a) amended; (d), (e) and (g) revised; eff. 11-8-11............55825
214 Authority citation revised.....................................74614
214.4 Removed......................................................74614
214.7 Introductory text added......................................74614
214.315 (a) revised................................................74614
214.335 Heading revised; (c) removed...............................74614
214.336 Added......................................................74615
214 Appendix A amended.............................................74619
219 Determination..................................................80781
225.5 Amended......................................................30863
225.19 (c) amended; (e) revised....................................72852
228 Authority citation revised.....................................50396
    Heading and authority citation revised.........................67087
228.1 (a) and (b) amended; (d) added; eff. 10-15-11................50396
    (b) amended; (c) added.........................................67087
228.3 (b) introductory text revised; eff. 10-15-11.................50396
    Revised........................................................67087
228.5 Amended; eff. 10-15-11.......................................50396
    228.5 Amended..................................................67087
228.6 Added........................................................67087
228.11 (c) revised; eff. 10-15-11..................................50397
228.13 Removed.....................................................67088
228.19 (c)(5) through (8) added; eff. 10-15-11.....................50397
228.21 Removed.....................................................67088
228.23 Removed.....................................................67088
228.101--228.107 (Subpart C) Heading revised.......................67088
228.101 Heading revised; (b) amended...............................67088
228.102 Added......................................................67088
228.301--228.335 (Subpart E) Added.................................67088
228.401--228.413 (Subpart F) Added; eff. 10-15-11..................50397
228 Appendix D added; eff. 10-15-11................................50400
    Appendix A amended; Appendix C removed.........................67092
231.33 Added.......................................................23726
231.35 Added.......................................................23726
242 Added..........................................................69841
269 Added..........................................................77724

[[Page 1274]]

                                  2012

49 CFR
                                                                   77 FR
                                                                    Page
Chapter II
Chapter II Policy statement........................................12408
    Regulation at 77 FR 12408 eff. date delayed to 1-1-13..........25610
209.409 Amended....................................................24418
209 Appendix A amended.............................................24418
    Appendix B amended.............................................24419
213.15 (a) amended.................................................24419
213 Appendix B amended.............................................24419
214 Regulation at 76 FR 74614 eff. date delayed to 7-1-13..........13978
214.4 Regulation at 76 FR 74614 eff. date delayed to 7-1-13........13978
214.5 Amended......................................................24419
214 Appendix A amended.............................................24419
214.7 Regulation at 76 FR 74614 eff. date delayed to 7-1-13........13978
214.315 Regulation at 76 FR 74614 eff. date delayed to 7-1-13......13978
214.335 Regulation at 76 FR 74614 eff. date delayed to 7-1-13......13978
214.336 Regulation at 76 FR 74615 eff. date delayed to 7-1-13......13978
214 Regulation at 76 FR 74619 eff. date delayed to 7-1-13..........13978
215.7 Amended......................................................24419
215 Appendix B amended.............................................24419
216.7 Amended......................................................24420
217.5 Amended......................................................24420
217 Appendix A amended.............................................24420
218.9 Amended......................................................24420
218 Appendix A amended.............................................24420
219 Determination..................................................75896
219.9 (a) amended..................................................24420
219 Appendix A amended.............................................24420
220.7 Amended......................................................24420
220 Appendix C amended.............................................24420
221.7 Amended......................................................24420
221 Appendix C amended.............................................24420
222.11 Amended.....................................................24420
222 Appendix H amended.............................................24420
223.7 Amended......................................................24420
223 Appendix B amended.............................................24420
224.11 (a) amended.................................................24420
224 Appendix A amended.............................................24420
225.19 (c) amended; (e) revised....................................71356
225.29 Amended.....................................................24421
225 Appendix A amended.............................................24421
227.9 (a) amended..................................................24421
227 Appendix G amended.............................................24421
228.6 Correctly amended............................................26704
228.21 Amended.....................................................24421
228 Appendices A and B amended.....................................24421
229 Technical correction...........................................23159
229.5 Amended......................................................21342
229.7 Revised......................................................21342
    (b) amended....................................................24421
229.15 Added.......................................................21342
    (a)(12)(xii) and (b)(4) revised................................75056
229.19 Revised.....................................................21343
229.20 Added.......................................................21343
    (d)(2) revised.................................................75056
229.23 Revised.....................................................21344
    (b)(2) and (h) revised.........................................75056
229.25 (d) and (e) revised; (f) added..............................21344
229.27 Revised.....................................................21345
229.29 Revised.....................................................21345
    (g)(1) revised.................................................75057
229.46 Revised.....................................................21346
229.61 Revised.....................................................21346
229.85 Revised.....................................................21346
229.114 Added......................................................21346
229.119 (d) and (e) revised; (g), (h) and (i) added................21346
229.123 Revised....................................................21347
229.125 (a), (d)(2) and (3) revised................................21347
229.133 (b)(1), (2), (c)(1) and (2) revised........................21348
229.140 Added......................................................21348
    (d) revised....................................................75057
229.301--229.319 (Subpart E) Added.................................21348
229.303 (a)(1), (2) and (b) revised................................75057
229.305 Amended....................................................75057
229 Appendix B amended......................................21351, 24421
    Appendix F added...............................................21352
230.4 (a) amended..................................................24421
231.0 (f) amended..................................................24421
231 Appendix A amended.............................................24421
    Appendix A correctly amended...................................26704
232.11 (a) amended.................................................24421
232 Appendix A amended.............................................24421
233.11 Amended.....................................................24422
233 Appendix A amended.............................................24422
234 Heading and authority citation revised.........................35190
234.1 Revised......................................................35190
234.3 Revised......................................................35190
234.5 Amended......................................................35191
234.6 (a) amended..................................................24422
234.101--234.109 (Subpart C) Heading revised.......................35191
234.301--234.317 (Subpart E) Added.................................35191
234 Appendix A amended.............................................24422
235.9 Amended......................................................24422

[[Page 1275]]

235 Appendix A amended.............................................24422
236.0 (f) amended..................................................24422
236.1003 (b) amended...............................................28305
236.1005 (b)(4)(i) revised; (b)(4)(ii) redesignated as 
        (b)(4)(iii); new (b)(4)(ii) added..........................28305
236.1020 Removed...................................................28305
236 Appendix A amended.............................................24422
237.7 (a) amended..................................................24422
237 Appendix B amended.............................................24422
238 Technical correction...........................................23159
238.11 (a) amended.................................................24422
238.105 (d)(1) revised.............................................21356
238.309 (b), (c) and (e) revised...................................21357
238 Appendix A amended.............................................24422
239.11 Amended.....................................................24422
239 Appendix A amended.............................................24422
240.11 (a) amended.................................................24422
240 Appendix A amended.............................................24422
241.15 (a) amended.................................................24423
241 Appendix B amended.............................................24423
242.11 (a) amended.................................................24423
242.103 (a) revised.................................................6491
242.105 (a), (b), (d) and (e) revised...............................6491
242.205 (a) revised.................................................6491
242.215 (a) revised.................................................6491
242.301 (c) revised.................................................6491
242 Appendix B amended..............................................6491
    Appendix A amended.............................................24423
244.5 (a) amended..................................................24423

                                  2013

49 CFR
                                                                   78 FR
                                                                    Page
Chapter II
209 Authority citaton revised.......................................9846
209.103 Revised.....................................................9846
209.105 (c) amended.................................................9846
209 Appendix B amended..............................................9847
213 Authority citation revised.....................................16100
213.1 (a) amended..................................................16100
213.7 (a)(2)(i) and (b)(2)(i) revised..............................16100
213.14 Added.......................................................16100
213.55 Revised.....................................................16100
213.57 Revised.....................................................16101
213.59 (a) amendedPG16101
213.63 Revised.....................................................16102
213.65 Added.......................................................16102
213.110 (c) through (f), (l), (p)(2) and (3) revised...............16102
213.305 (a)(2)(i) and (b)(2)(i) revised............................16103
213.307 Heading and (a) revised....................................16104
213.313 Added......................................................16104
213.323 (b) revised................................................16104
213.327 Revised....................................................16104
213.329 Revised....................................................16105
213.331 Revised....................................................16106
213.332 Added......................................................16107
213.333 Heading, (a), (b)(1), (2), (c), (g) introductory text, (h) 
        through (m) and table revised..............................16107
213.345 Revised....................................................16111
213.355 Revised....................................................16112
213 Appendix A revised.............................................16113
    Appendix B amended.............................................16114
    Appendix D added...............................................16116
214 Regulation at 76 FR 74614 eff. date delayed to 7-1-14..........33754
214.4 Regulation at 76 FR 74614 eff. date delayed to 7-1-14........33754
214.7 Regulation at 76 FR 74614 eff. date delayed to 7-1-14........33754
214.315 Regulation at 76 FR 74614 eff. date delayed to 7-1-14......33754
214.335 Regulation at 76 FR 74614 eff. date delayed to 7-1-14......33754
214.336 Regulation at 76 FR 74615 eff. date delayed to 7-1-14......33754
    (a)(2), (b) heading, introductory text, (c), (e)(2), (3)(i), 
table 1 and figure 1 revised; (a)(3) amended........................1766
214 Appendix A amended..............................................1770
219 uthority citation revised......................................14224
    Determination..................................................78275
219.5 Amended......................................................14224
219.13 Removed.....................................................14225
219.17 Revised.....................................................14225
219.211 (a) and (f)(2) revised; (b) amendedPG14225
219 Appendix B revised.............................................14225
225 Authority citation revised.....................................77603
225.19 (c) amended; (e) revised....................................77603
228 Policy statement...............................................58830
234 Authority citation revised.....................................16423
234.311 (a)(2)(ii) revised; (c) added..............................16423
234.317 (b), (c)(1)(i), (ii) and (e) revised.......................16423
236 Policy statement...............................................70888
238 Authority citation revised..............................16125, 71812
238.5 Amended......................................................71812
238.112 Added......................................................71812
238.113 (d) revised; (e) added.....................................71813
238.114 (d) revised................................................71813
238.115 Revised....................................................71813

[[Page 1276]]

238.121 (a)(2) amended; (b)(2) and (c) introductory text revised 
                                                                   71814
238.123 (e) introductory text, (1) and (2) redesignated as (e)(1), 
        (i) and (ii); new (e)(1) amended; new (e)(2) added.........71814
238.125 Added......................................................71814
238.127 Added......................................................71814
238.227 Revised....................................................16125
238.235 Removed....................................................71814
238.303 (e)(18) introductory text revised..........................71814
238.305 (a), (c) introductory text and (d) introductory text; 
        (c)(11) and (13) added.....................................71815
238.307 (c)(4), (5) and (e)(1) introductory text revised...........71815
238.427 (a)(2), (b) and (c) revised; (d) removed...................16126
238.428 Added......................................................16126
238.439 Introductory text added; (a), (b), (e) and (g) removed; 
        (c), (d) and (f) redesignated as (a), (b) and (c); new (c) 
        revised....................................................71815
238.441 (a) amended................................................71815
238 Appendix A amended; Appendix C removed.........................16126
    Appendix A amended.............................................71815
239 Authority citation revised.....................................71816
239.105 (a) revised................................................71816
239.107 Removed....................................................71816
239 Appendix A amended.............................................71816

                                  2014

49 CFR
                                                                   79 FR
                                                                    Page
Chapter II
213.3 (b) revised...................................................4256
213.113 Revised.....................................................4256
    Table correctly amended.........................................4633
213.119 (h)(7)(ii) removed..........................................4258
213.237 Revised.....................................................4258
213.238 Added.......................................................4259
213.241 (d) and (e) redesignated as (f) and (g); (c), new (f) and 
        new (g) revised; (d) and (e) added..........................4259
213 Appendix B amended..............................................4260
214 Authority citation revised...............................1766, 66500
214.7 Amended......................................................66500
214.315 (b) correctly reinstated; CFR correction...................45134
214.341 (b)(2) revised.............................................66501
214.357 Added......................................................66501
219 Policy statement...............................................75757
225 Authority citation revised.....................................77399
225.19 (c) amended; (e) revised....................................77399
229.17 Correctly reinstated; CFR correction........................21636
232 Authority citation revised.....................................66501
232.203 (b)(6)(iv), (e)(6), (7) and (8) revised....................66501
233 Authority citation revised.....................................37669
233.9 Removed......................................................37669
233.13 (b) revised.................................................37669
233 Appendix A amended.............................................37669
234.207 Revised; eff. 10-21-14.....................................49715
234.213 Revised; eff. 10-21-14.....................................49715
235 Authority citation revised.....................................49715
235.6 Added; eff. 10-21-14.........................................49715
236 Authority citation revised.....................................49715
236.0 (i) removed; eff. 10-21-14...................................49715
236.2 Revised; eff. 10-21-14.......................................49715
236.15 Revised; eff. 10-21-14......................................49715
236.567 Revised; eff. 10-21-14.....................................49715
236.1003 Amended; eff. 10-21-14....................................49716
236.1005 (a)(1)(i) table amended; (b)(4)(iii) heading, (A), (B) 
        and (C) revised; eff. 10-21-14.............................49716
236.1006 (a) revised; (b)(2) removed; (b)(5) and (d) added; eff. 
        10-21-14...................................................49716
236.1009 (a)(5) added; eff. 10-21-14...............................49717
236.1015 (d)(21) added; eff. 10-21-14..............................49717
236.1029 Heading, (b) and (c) revised; (a) amended; (f) removed; 
        (g) and (h) added; eff. 10-21-14...........................49717
239.5 Removed......................................................18147
239.7 Amended......................................................18147
239.101 (a)(1)(ii), (2)(ii), (iii) introductory text, (iv), (v) 
        introductory text and (A) revised; (a)(8) added............18147
239.105 (c)(3) and (5) revised.....................................18148
239.201 (a) and (b)(3)(i) revised..................................18148
239.301--239.303 (Subpart D) Heading revised.......................18149
239.301 Revised....................................................18149
239 Appendix A amended.............................................18150
264 Added; eff. 10-16-14...........................................55403
272 Added..........................................................16233

[[Page 1277]]

                                  2015

  (Regulations published from January 1, 2015, through October 1, 2015)

49 CFR
                                                                   80 FR
                                                                    Page
Chapter II
Chapter II Policy statement........................................14027
219 Policy statement...............................................38654
    Determination..................................................80682
225.19 (c) amended; (e) revised....................................80686
232 Authority citation revised.....................................47384
232.5 Amended; eff. 10-5-15........................................47384
232.103 (n) introductory text, (1), (2) and (3) revised; (n)(6) 
        through (11) added; eff. 10-5-15...........................47384
232.105 (h) added; eff. 10-5-15....................................47385
232 Appendix A amended; eff. 10-5-15...............................47386
234 Heading and authority citation revised...........................786
234.1 (a)(3) and (4) revised; (a)(5) added...........................786
234.401--234.409 (Subpart F) Added...................................786
234 Appendix A amended.............................................30364
238.5 Amended......................................................76146
238.131 Added......................................................76147
238.133 Added......................................................76147
238.135 Added......................................................76148
238.137 Added......................................................76148
238 Appendix A amended.............................................76148
240 Interpretation.................................................73122
242 Interpretation.................................................73122

                                  2016

  (Regulations published from January 1, 2016, through October 1, 2016)

49 CFR
                                                                   81 FR
                                                                    Page
Chapter II
209.103 (a) and (c) revised; interim...............................43104
209.105 (c) amended; interim.......................................43104
209.409 Amended; interim...........................................43108
209 Appendix B amended; interim.............................43104, 43109
    Appendix A amended; interim....................................43108
213.15 (a) amended; interim........................................43109
213 Appendix B amended; interim....................................43109
214 Authority citation revised.....................................37884
214.5 Amended; interim.............................................43109
214.7 Amended; eff. 4-1-17.........................................37884
214.113 (b) revised; eff. 4-1-17...................................37885
214.115 (b) revised; eff. 4-1-17...................................37885
214.117 (b) revised; eff. 4-1-17...................................37885
214.301 (c) revised; eff. 4-1-17...................................37885
214.302 Removed; eff. 4-1-17.......................................37885
214.305 Removed; eff. 4-1-17.......................................37885
214.307 Revised; eff. 4-1-17.......................................37885
214.309 Revised; eff. 4-1-17.......................................37885
214.315 (a)(3), (4) and (b) revised; (c), (d) and (e) amended; 
        (a)(5) added; eff. 4-1-17..................................37885
214.317 Revised; eff. 4-1-17.......................................37885
214.318 Added; eff. 4-1-17.........................................37886
214.319 Revised; eff. 4-1-17.......................................37886
214.320 Added; eff. 4-1-17.........................................37887
214.321 (a) introductory text, (b) introductory text, (2) and (d) 
        revised; (b)(4) and (e) added; eff. 4-1-17.................37887
214.322 Added; eff. 4-1-17.........................................37888
214.323 (a), (b) and (c) revised; (d) added; eff. 4-1-17...........37888
214.325 Introductory text revised; eff. 4-1-17.....................37888
214.327 (a)(6), (7) and (8) added; eff. 4-1-17.....................37888
214.329 (a) revised; eff. 4-1-17...................................37889
214.331 (e) added; eff. 4-1-17.....................................37889
214.333 (c) revised; eff. 4-1-17...................................37889
214.335 Revised; eff. 4-1-17.......................................37889
214.337 (c)(3) revised; (g) added; eff. 4-1-17.....................37889
214.339 Revised; eff. 4-1-17.......................................37889
214.343 (c) revised; eff. 4-1-17...................................37889
214.345 Introductory text revised; (f) added; eff. 4-1-17..........37889
214.347 (a)(5) added; (b) revised; eff. 4-1-17.....................37889
214.349 (b) revised; eff. 4-1-17...................................37890
214.351 (b) revised; eff. 4-1-17...................................37890
214.353 Heading, (a) introductory text, (1) and (b) revised; 
        (a)(5) added; eff. 4-1-17..................................37890
214.355 Heading and (b) revised; eff. 4-1-17.......................37890
214 Appendix A amended; eff. 4-1-17................................37890
    Appendix A amended; interim....................................43109
215 Authority citation revised.....................................43109
215.7 Amended; interim.............................................43109
215 Appendix B amended; interim....................................43109
216 Authority citation revised.....................................43109
216.7 Amended; interim.............................................43109
217 Authority citation revised.....................................43109
217.5 Amended; interim.............................................43109
217 Appendix A amended; interim....................................43109
218 Authority citation revised.....................................43109

[[Page 1278]]

218.9 Amended; interim.............................................43109
218 Appendix A amended; interim....................................43109
219 Authority citation revised.....................................37922
219.1 (a) revised; eff. 6-12-17....................................37922
219.3 Revised; eff. 6-12-17........................................37922
219.4 (a)(1), (b)(1) and (2) revised; eff. 6-12-17.................37923
219.5 Introductory text revised; amended; eff. 6-12-17.............37923
219.9 Revised; eff. 6-12-17........................................37926
    (a) amended; interim...........................................43109
219.10 Added; eff. 6-12-17.........................................37926
219.11 (a), (b)(1), (2) and (c) through (h) revised; eff. 6-12-17 
                                                                   37926
219.12 Added; eff. 6-12-17.........................................37927
219.23 Revised; eff. 6-12-17.......................................37927
219.25 Added; eff. 6-12-17.........................................37928
219.101 (a) revised; eff. 6-12-17..................................37928
219.102 Revised; eff. 6-12-17......................................37929
219.104 Revised; eff. 6-12-17......................................37929
219.105 Revised; eff. 6-12-17......................................37930
219.107 Revised; eff. 6-12-17......................................37930
219.201 (a) and (b) revised; eff. 6-12-17..........................37930
219.203 Revised; eff. 6-12-17......................................37931
219.205 Revised; eff. 6-12-17......................................37933
219.207 (a), (b) introductory text, (c) and (d) amended; eff. 6-
        12-17......................................................37933
219.209 (a)(2)(iv), (v) and (b) revised; (c) removed; eff. 6-12-17
                                                                   37933
219.211 (b), (c) and (e) amended; (g)(3) revised; eff. 6-12-17.....37934
219.213 (a) and (b) amended; eff. 6-12-17..........................37934
219.301--219.305 (Subpart D) Revised; eff. 6-12-17.................37934
219.401--219.409 (Subpart E) Revised; eff. 6-12-17.................37935
219.501 Revised; eff. 6-12-17......................................37936
219.502 (a) introductory text, (1), (2), (5) and (b) revised; eff. 
        6-12-17....................................................37936
219.503 Revised; eff. 6-12-17......................................37937
219.505 Revised; eff. 6-12-17......................................37937
219.601--219.625 (Subpart G) Revised; eff. 6-12-17.................37937
219.701 (a) and (b) amended; (c) removed; eff. 6-12-17.............37942
219.800 (b) and (d) amended; (f) added; eff. 6-12-17...............37942
219.901 Revised; eff. 6-12-17......................................37942
219.903 Revised; eff. 6-12-17......................................37942
219.905 Removed; eff. 6-12-17......................................37942
219.1001--219.1007 (Subpart K) Added; eff. 6-12-17.................37942
219 Appendix A revised; eff. 6-12-17...............................37944
    Appendix A amended; interim....................................43109
220 Authority citation revised.....................................43110
220.7 Amended; interim.............................................43110
220 Appendix C amended; interim....................................43110
221 Authority citation revised.....................................43110
221.7 Amended; interim.............................................43110
221 Appendix amended; interim......................................43110
222 Authority citation revised.....................................43110
222.11 Amended; interim............................................43110
222 Appendix H amended; interim....................................43110
223 Authority citation revised......................................6789
223.3 (b)(3) and (4) revised; (c) added.............................6789
223.5 Amended.......................................................6789
223.7 Amended; interim.............................................43110
223.11 (c) and (d) revised..........................................6790
223.13 (c) and (d) revised..........................................6790
223.15 (c) and (d) revised..........................................6790
223.17 Removed......................................................6790
223 Appendix B amended..............................................6790
    Appendix B amended; interim....................................43110
224 Authority citation revised.....................................43110
224.11 (a) amended; interim........................................43110
224 Appendix A amended; interim....................................43110
225.29 Amended; interim............................................43110
225 Appendix A amended; interim....................................43110
227 Authority citation revised.....................................43110
227.9 (a) amended; interim.........................................43110
227 Appendix G amended; interim....................................43110
228 Authority citation revised.....................................43110
228.6 (a) amended; interim.........................................43110
228 Appendices A and B amended; interim............................43111
229.7 (b) amended; interim.........................................43111
229 Appendix B amended; interim....................................43111
230 Authority citation revised.....................................43111
230.4 (a) amended; interim.........................................43111
231 Authority citation revised.....................................43111
231.0 (f) amended; interim.........................................43111
231 Appendix A amended; interim....................................43111
232.11 (a) amended; interim........................................43111
232 Appendix A amended; interim....................................43111

[[Page 1279]]

233.11 Amended; interim............................................43111
233 Appendix A amended; interim....................................43111
234.6 (a) amended; interim.........................................43111
234.401 Amended....................................................37532
234.403 (e) revised................................................37532
234.405 (a)(1), (3), (b) and (d) revised...........................37532
234.407 (a)(3), (b) and (d) revised................................37533
234.409 Revised....................................................37533
234.411 Revised....................................................37533
234.413 Heading revised............................................37534
234 Appendix A amended.............................................37534
    Appendix A amended; interim....................................43111
235.9 Amended; interim.............................................43112
235 Appendix A amended; interim....................................43112
236.0 (f) amended; interim.........................................43112
236.1005 (b)(1) introductory text and (6) revised; (b)(7) added....10128
236.1006 (b)(1), (3) and (4)(iii)(B) revised.......................10129
236.1009 (a)(5) revised............................................10129
236.1011 (a)(6)(ii), (7) and (b)(3) revised........................10129
236 Appendix A amended.............................................10129
    Appendix A amended; interim....................................43112
237 Authority citation revised.....................................43112
237.7 (a) amended; interim.........................................43112
237 Appendix B amended; interim....................................43112
238.11 (a) amended; interim........................................43112
238 Appendix A amended; interim....................................43112
239 Authority citation revised.....................................43112
239.11 Amended; interim............................................43112
239 Appendix A amended; interim....................................43112
240 Authority citation revised.....................................43112
240.11 (a) amended; interim........................................43112
240 Appendix A amended; interim....................................43112
241 Authority citation revised.....................................43112
241.15 (a) amended; interim........................................43112
241 Appendix B amended; interim....................................43112
242 Authority citation revised.....................................43112
242.11 (a) amended; interim........................................43113
242 Appendix A amended; interim....................................43113
243.7 (a) amended; interim.........................................43113
243 Appendix amended; interim......................................43113
244 Authority citation revised.....................................43113
244.5 (a) amended; interim.........................................43113
270 Added; eff. 10-11-16...........................................53896
272.11 (a) amended; interim........................................43113
272 Appendix A amended; interim....................................43113


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