49 CFR 193.2157 Coatings and coverings.
Insulation, sealants, or other coatings and coverings which are part
of an impounding system --
(a) Must be noncombustible in an installed condition when exposed to
an LNG fire resulting from a spill that covers the floor of the
impounding space;
(b) Must withstand exposure to fire from sources determined as
required by this part, other than impounded LNG, for a period of time
until fire protective or fire extinguishing action is taken; and
(c) When used for the purpose of maintaining the functional integrity
of an impounding system, must be capable of withstanding sudden exposure
to LNG without loss of such integrity.
49 CFR 193.2159 Floors.
Floors of Class 2 and Class 3 impounding systems must, to the extent
feasible --
(a) Slope away from the component or item impounded and to a sump
basin installed under 193.2171;
(b) Slope away from the nearest adjacent component;
(c) Drain surface waters from the floor at rates based on a storm of
10-year frequency and 1-hour duration and other natural water sources;
and
(d) Be designed to minimize the wetted floor area.
49 CFR 193.2161 Dikes, general.
(a) Penetrations in dikes to accommodate piping or any other purpose
are prohibited.
(b) An outer wall of a component served by an impounding system may
not be used as a dike except for a concrete wall designed to comply with
the requirements of 193.2155(c) or equivalent design impact loading.
49 CFR 193.2163 Vapor barriers.
If vapor barriers are installed in meeting the requirements of
193.2059, they must be designed and constructed to detain LNG vapor.
49 CFR 193.2165 Dike dimensions.
In addition to dike dimensions needed to comply with other
requirements of this subpart, to minimize the possibility that a
trajectory of accidentally discharged liquid would pass over the top of
a dike, the horizontal distance from the inner wall of the component or
vessel served to the closest inside edge of the top of the dike must at
least equal the vertical distance from the maximum liquid level in the
component or vessel to the inside edge of the top of the dike.
(45 FR 9203, Feb. 11, 1980, as amended by Amdt. 193-1, 45 FR 57419,
Aug. 28, 1980)
49 CFR 193.2167 Covered systems.
(a) A covered impounding system is prohibited unless it is --
(1) Sealed from the atmosphere and filled with an inert gas; or
(2) Permanently interconnected with the vapor space of the component
served.
(b) Flammable nonmetallic membranous covering is prohibited in a
covered system.
(c) For systems to which paragraph (a)(1) of this section applies,
instrumentation and controls must be provided to --
(1) Maintain pressures at a safe level; and
(2) Monitor gas concentrations in accordance with 193.2169.
(d) Dikes must have adequate structural strength to assure that they
can withstand impact from a collapsed cover and all anticipated
conditions which could cause a failure of the impounding space cover.
49 CFR 193.2169 Gas leak detection.
Appropriate areas within an impounding system where collection or
passage of LNG or LNG vapor could be expected must be equipped with
sensing and warning devices to monitor continuously for the presence of
LNG or LNG vapor and to warn before LNG gas concentration levels exceed
25 percent of the lower flammable limit.
49 CFR 193.2171 Sump basins.
Except for Class 1 impounding systems, a sump basin must be located
in each impounding system for collection of water.
49 CFR 193.2173 Water removal.
(a) Except for Class 1 systems, impounding systems must have sump
pumps and piping running over the dike to remove water collecting in the
sump basin.
(b) The water removal system must have adequate capacity to remove
water at rates which equal the maximum predictable collection rate from
a storm of 10-year frequency and 1-hour duration, and other natural
causes.
(c) Sump pumps for water removal must --
(1) Be operated as necessary to keep the impounding space as dry as
practical; and
(2) If sump pumps are designed for automatic operation, have
redundant automatic shutdown controls to prevent operation when LNG is
present.
49 CFR 193.2175 Shared impoundment.
When an impounding system serves more than one LNG storage tank, a
means must be provided to prevent low temperature or fire resulting from
leakage from any one of the storage tanks served causing any other
storage tank to leak. The means must not result in a vapor dispersion
distance which exceeds the exclusion zone required by 193.2059.
(Amdt. 193-1, 45 FR 57419, Aug. 28, 1980)
49 CFR 193.2179 Impoundment capacity; general.
In addition to capacities otherwise required by this subpart, an
impounding system must have sufficient volumetric capacity to provide
for --
(a) Displacement by the component, tank car, tank truck, container,
or dewar vessel served; and
(b) Where applicable, displacement which could occur when a higher
density substance than the liquid to be impounded enters the system,
considering all relevant means of assuring capacity.
49 CFR 193.2181 Impoundment capacity, LNG storage tanks.
(a) Except as provided in paragraph (b) of this section, each
impounding system serving an LNG storage tank must have a minimum
volumetric liquid impoundment capacity as follows:
(b) For purposes of this section, a covered impounding system serving
a single LNG storage tank may have a capacity of 110 percent of the LNG
tank's maximum liquid capacity if it is covered by a roof that is
separate and independent from the LNG storage tank.
49 CFR 193.2183 Impoundment capacity; equipment and transfer systems.
If an impounding system serves a component under 193.2149(b)
(1)-(3), it must have a minimum volumetric liquid impoundment capacity
equal to the sum of --
(a) One-hundred percent of the volume of liquid that could be
contained in the component and, where applicable, tank car or tank truck
served; and
(b) The maximum volume of liquid which could discharge into the
impounding space from any single failure of equipment or piping during
the time period necessary for spill detection, instrument response, and
sequenced shutdown by the automatic shutdown system under 193.2439.
49 CFR 193.2185 Impoundment capacity; parking areas, portable
containers.
Each impounding system serving an area listed under 193.2149(b) (4)
or (5) must have a minimum volumetric liquid impoundment capacity which
complies with the requirements of 193.2181, assuming each tank car,
tank truck, portable container, or dewar vessel to be a storage tank.
49 CFR 193.2185 LNG Storage Tanks
49 CFR 193.2187 General.
(a) LNG storage tanks must comply with the requirements of this
subpart and the other applicable requirements of this part.
(b) A flammable nonmetallic membrane liner may not be used as an
inner container in a storage tank.
49 CFR 193.2189 Loading forces.
Each part of an LNG storage tank must be designed to withstand
without loss of functional or structural integrity any predictable
combination of forces which would result in the highest stress to the
part, including the following:
(a) Internal design pressure determined under 193.2197.
(b) External design pressure determined under 193.2199.
(c) Weight of the structure.
(d) Weight of liquid to be stored, except that in no case will the
density assumed be less than 29.3 pounds per cubic foot (470 kilograms
per cubic meter).
(e) Loads due to testing required by 193.2327.
(f) Nonuniform reaction forces on the foundation due to predictable
settling and other movement.
(g) Superimposed forces from piping, stairways, and other connected
appurtenances.
(h) Predictable snow and ice loads.
(i) The loading of internal insulation on the inner container and
outer shell due to compaction and movement of the container and shell
over the design life of the insulation.
(j) In the case of vacuum insulation, the forces due to the vacuum.
(k) In the case of a positive pressure purge, the forces due to the
maximum positive pressure of the purge gas.
49 CFR 193.2191 Stratification.
LNG storage tanks with a capacity of 5,000 barrels or more must be
equipped with means to mitigate a potential for rollover and
overpressure such as:
(a) Selective filling at the top and bottom of the tank;
(b) Circulating liquid from the bottom to the top of the same tank;
or
(c) Transferring liquid selectively from the bottom of the tank to
the bottom or top of any adjacent storage tank.
49 CFR 193.2193 Movement and stress.
(a) Each operator shall determine for normal operations of each LNG
storage tank --
(1) The amount and pattern of predictable movement of components,
including transfer piping, and the foundation, which could result from
thermal cycling, loading forces, and ambient air changes; and
(2) For a storage tank with an inner container, the predictable
movement of the inner container and the outer shell in relation to each
other.
(b) Storage tanks must be designed to provide adequate allowance for
stress due to movement determined under paragraph (a) of this section,
including provisions that --
(1) Backfill does not cause excessive stresses on the tank structure
due to expansion of the storage tank during warmup;
(2) Insulation does not settle to a damaging degree or unsafe
condition during thermal cycling; and
(3) Expansion bends and other expansion or contraction devices are
adequate to prevent excessive stress on tank penetrations, especially
during cooldown from ambient temperatures.
49 CFR 193.2195 Penetrations.
(a) All penetrations in an LNG storage tank must be designed in
accordance with API 620, including appendix Q.
(b) The loadings on all penetrations must be determined by an
analysis of all contributing forces, including those from tank thermal
movements, connecting piping thermal movements, hydraulic forces,
applicable wind and earthquake forces, and the forces resulting from
settlement or movement of the tank foundation or pipe supports.
(c) All penetrations in an LNG storage tank below the design liquid
level must be fitted with an internal shutoff valve which is designed
and installed so that any failure of the nozzle penetrating the tank
will be outside the tank.
(d) The requirements of paragraphs (a) and (c) of this section do not
apply to shop fabricated tanks of 70,000 gallons or less capacity. All
penetrations in such tanks must be designed and installed in accordance
with the applicable provisions of section VIII, Division 1 of the ASME
Boiler and Pressure Vessel Code.
49 CFR 193.2197 Internal design pressure.
(a) Each operator shall establish the internal design pressure at the
top of each LNG storage tank, including a suitable margin above the
maximum allowable working pressure.
(b) The internal design pressure of a storage tank may not be lower
than the highest pressure in the vapor space resulting from each of the
following events or combination thereof that predictably might occur,
giving consideration to vapor handling equipment, relief devices in
accordance with 193.2429, and any other mitigating measures:
(1) Filling the tank with LNG including effects of increased
vaporization rate due to superheat and sensible heat of the added
liquid;
(2) Rollover;
(3) Fall in barometric pressure, using the worst combination of
amount of fall and rate of fall which might predictably occur;
(4) Loss of effective insulation that may result from an adjacent
fire, leak of liquid into the intertank space, or other predictable
accident; and
(5) Flash vaporization resulting from pump recirculation.
49 CFR 193.2199 External design pressure.
(a) Each operator shall establish the external design pressure at the
top of each LNG storage tank, including a suitable margin below the
minimum allowable working pressure.
(b) The external design pressure may not be higher than the lowest
vapor pressure in the vapor space resulting from each of the following
events or combinations thereof that predictably might occur, giving
consideration to gas makeup systems, vacuum relief devices in accordance
with 193.2429, and any other mitigating measures.
(1) Withdrawing liquid from the tank;
(2) Withdrawing gas from the tank;
(3) Adding subcooled LNG to the tank; and
(4) Rise in barometric pressure, based on the worst combination of
amount of rise and rate of rise which predictably might occur.
49 CFR 193.2201 Internal temperature.
The liquid container of each LNG storage tank and all tank parts used
in contact with LNG or its cold vapor shall be designed for the lowest
bulk liquid temperature which can be attained in the LNG storage tank.
49 CFR 193.2203 Foundation.
(a) Each LNG storage tank must have a stable foundation designed in
accordance with generally accepted structural engineering practices.
(b) Each foundation must support design loading forces without
detrimental settling that could impair the structural integrity of the
tank.
49 CFR 193.2205 Frost heave.
If the protection provided for LNG storage tank foundations from
frost heave under 193.2137(a) includes heating the foundation area --
(a) An instrumentation and alarm system must be provided to warn of
malfunction of the heating system; and
(b) A means to correct the malfunction must be provided.
49 CFR 193.2207 Insulation.
(a) Insulation on the outside of the outer shell of an LNG storage
tank may not be used to maintain stored LNG at an operating temperature
during normal operation.
(b) Insulation between an inner container and the outer shell of an
LNG storage tank must --
(1) Be compatible with the contained liquid and its vapor;
(2) In its installed condition, be noncombustible; and
(3) Not significantly lose insulating properties by melting,
settling, or other means due to a fire resulting from a spill that
covers the floor of the impounding space around the tank.
49 CFR 193.2209 Instrumentation for LNG storage tanks.
(a) Each LNG storage tank having a capacity over 70,000 gallons must
be equipped with a sufficient number of sensing devices and personnel
warning devices, as prescribed, which operate continuously while the
tank is in operation to assure that each of the following conditions is
not a potential hazard to the structural integrity or safety of the
tank:
(b) LNG storage tanks with a capacity of 70,000 gallons or less must
be equipped with the following:
(1) LNG liquid trycocks, when attended during the filling operation.
(2) Pressure gages and recorders with high pressure alarm.
(3) Differential pressure liquid level gage.
(c) Each storage tank must be designed as appropriate to provide for
compliance with the inspection requirements of this part.
49 CFR 193.2211 Metal storage tanks.
(a) Metal storage tanks with internal design pressures of not more
than 15 psig must be designed and constructed in accordance with API
Standard 620 and, where applicable, appendix Q of that standard.
(b) Metal storage tanks with internal design pressures above 15 psig
must be designed in accordance with the applicable division of section
VIII of the ASME Boiler and Pressure Vessel Code.
49 CFR 193.2213 Concrete storage tanks.
Concrete storage tanks must be designed and constructed in accordance
with section 4-3 of NFPA-59A.
49 CFR 193.2215 Thermal barriers.
Thermal barriers must be provided between piping and an outer shell
when necessary to prevent the outer shell from being exposed during
normal operation to temperatures lower than its design temperature.
49 CFR 193.2217 Support system.
(a) Saddles and legs must be designed in accordance with generally
accepted structural engineering practices, taking into account loads
during transportation, erection loads, and thermal loads.
(b) Storage tank stress concentrations from support systems must be
minimized by distribution of loads using pads, load rings, or other
means.
(c) For a storage tank with an inner container, support systems must
be designed to --
(1) Minimize thermal stresses imparted to the inner container and
outer shell from expansion and contraction; and
(2) Sustain the maximum applicable loading from shipping and
operating conditions.
(d) LNG storage tanks with an air space beneath the tank bottom or
its foundation must be designed to withstand without loss of functional
or structural integrity, the forces caused by the ignition of a
combustible vapor cloud in this space.
49 CFR 193.2219 Internal piping.
Piping connected to an inner container that is located in the space
between the inner container and outer shell must be designed for not
less than the pressure rating of the inner container. The piping must
contain expansion loops where necessary to protect against thermal and
other secondary stresses created by operation of the tank. Bellows may
not be used within the space between the inner container and outer
shell.
49 CFR 193.2221 Marking.
(a) Each operator shall install and maintain a name plate in an
accessible place on each storage tank and mark it in accordance with the
applicable code or standard incorporated by reference in 193.2211 or
193.2213.
(b) Each penetration in a storage tank must be marked indicating the
function of the penetration.
(c) Marking required by this section must not be obscured by
frosting.
49 CFR 193.2221 Design of Transfer Systems
49 CFR 193.2223 General.
(a) Transfer systems must comply with the requirements of this
subpart and other applicable requirements of this part.
(b) The design of transfer systems must provide for stress due to the
frequency of thermal cycling and intermittent use to which the transfer
system may be subjected.
(c) Slip type expansion joints are prohibited and packing-type joints
may not be used in transfer systems for LNG or flammable refrigerants.
(d) A suitable means must be provided to precool the piping in a
manner that prevents excessive stress prior to normal transfer of cold
fluids.
(e) Stresses due to thermal and hydraulic shock in the piping system
must be determined and accommodated by design to avoid damage to piping.
49 CFR 193.2227 Backflow.
(a) Each transfer system must operate with a means to --
(1) Prevent backflow of liquid from a receiving container, tank car,
or tank truck from causing a hazardous condition; and
(2) Maintain one-way flow where necessary for the integrity or safe
operation of the LNG facility.
(b) The means provided under paragraph (a)(1) of this section must be
located as close as practical to the point of connection of the transfer
system and the receiving container, tank car, or tank truck.
49 CFR 193.2229 Cargo transfer systems.
(a) Each cargo transfer system must have --
(1) A means of safely depressurizing and venting that system before
disconnection;
(2) A means to provide for safe vapor displacement during transfer;
(3) Transfer piping, pumps, and compressors located or protected by
suitable barriers so that they are safe from damage by tank car or tank
truck movements;
(4) A signal light at each control location or remotely located pumps
or compressors used for transfer which indicates whether the pump or
compressor is off or in operation; and
(5) A means of communication between loading or unloading areas and
other areas in which personnel are associated with the transfer
operations.
(b) Hoses and arms for cargo transfer systems must be designed as
follows --
(1) The design must accommodate operating pressures and temperatures
encountered during the transfers;
(2) Hoses must have a bursting pressure of not less than five times
the operating pressure.
(3) Arms must meet the requirements of ANSI B31.3.
(4) Adequate support must be provided, taking into account ice
formation.
(5) Couplings must be designed for the frequency of any coupling or
uncoupling.
49 CFR 193.2231 Cargo transfer area.
The transfer area of a cargo transfer system must be designed --
(a) To accommodate tank cars and tank trucks without excessive
maneuvering; and
(b) To permit tank trucks to enter or exit the transfer area without
backing.
49 CFR 193.2233 Shutoff valves.
(a) Shutoff valves on transfer systems must be located --
(1) On each liquid supply line, or common line to multiple supply
lines, to a storage tank, or to a cargo transfer system;
(2) On each vapor or liquid return line from multiple return lines,
used in a cargo transfer system;
(3) At the connection of a transfer system with a pipeline subject to
Part 192 of this chapter; and
(4) To provide for proper operation and maintenance of each transfer
system.
(b) Transfer system shutoff valves that are designated for operation
in the emergency procedures must be manually operable at the valve and
power operable at the valve and at a remote location at least 50 feet
from the valve.
49 CFR 193.2233 Subpart D -- Construction
49 CFR 193.2301 Scope.
This subpart prescribes requirements for the construction or
installation of components.
49 CFR 193.2303 Construction acceptance.
No person may place in service any component until it passes all
applicable inspections and tests prescribed by this subpart.
49 CFR 193.2304 Corrosion control overview.
(a) Subject to paragraph (b) of this section, components may not be
constructed, repaired, replaced, or significantly altered until a person
qualified under 193.2707(c) reviews the applicable design drawings and
materials specifications from a corrosion control viewpoint and
determines that the materials involved will not impair the safety or
reliability of the component or any associated components.
(b) The repair, replacement, or significant alteration of components
must be reviewed only if the action to be taken --
(1) Involves a change in the original materials specified;
(2) Is due to a failure caused by corrosion; or
(3) Is occasioned by inspection revealing a significant deterioration
of the component due to corrosion.
(Amdt. 193-2, 45 FR 70404, Oct. 23, 1980)
49 CFR 193.2305 Procedures.
(a) In performing construction, installation, inspection, or testing,
an operator must follow written specifications, procedures, and
drawings, as appropriate, that are consistent with this part, taking
into account relevant mechanical, chemical, and thermal properties,
component functions, and environmental effects that are involved.
(b) All procedures, including any field revisions, must be
substantiated by testing or experience to produce a component that is
reliable and complies with the design and installation requirements of
this part.
49 CFR 193.2307 Inspection.
(a) All construction, installation, and testing activities must be
inspected as frequently as necessary in accordance with a written plan
to assure that --
(1) Activities are in compliance with all applicable requirements of
this subpart; and
(2) Components comply with the applicable material, design,
fabrication, installation, and construction requirements of this part.
(b) In addition to the requirements of paragraph (a) of this section,
the construction of concrete storage tanks must be inspected in
accordance with ACI-311-75.
(c) Each operator shall have a quality assurance inspection program
to verify that components comply with their design specifications and
drawings, including any field design changes, before they are placed in
service.
49 CFR 193.2309 Inspection and testing methods
Except as otherwise provided by this subpart, each operator shall
determine, commensurate with the hazard that would result from failure
of the component concerned, the scope and nature of --
(a) Inspections and tests required by this subpart; and
(b) Inspection and testing procedures required by 193.2305.
49 CFR 193.2311 Cleanup.
After construction or installation, as the case may be, all
components must be cleaned to remove all detrimental contaminants which
could cause a hazard during operation, including the following:
(a) All flux residues used in brazing or soldering must be removed
from the joints and the base metal to prevent corrosive solutions from
being formed.
(b) All solvent type cleaners must be tested to ensure that they will
not damage equipment integrity or reliability.
(c) Incompatible chemicals must be removed.
(d) All contaminants must be captured and disposed of in a manner
that does not reduce the effectiveness of corrosion protection and
monitoring provided as required by this part.
49 CFR 193.2313 Pipe welding.
(a) Each operator shall provide the following for welding on
pressurized piping for LNG and other hazardous fluids:
(1) Welding procedures and welders qualified in accordance with
section IX of the ASME Boiler and Pressure Vessel Code or API 1104, as
applicable;
(2) When welding materials that are qualified by impact testing,
welding procedures selected to minimize degradation of low temperature
properties of the pipe material; and
(3) When welding attachments to pipe, procedures and techniques
selected to minimize the danger of burn-throughs and stress
intensification.
(b) Oxygen fuel gas welding is not permitted on flammable fluid
piping with a service temperature below ^29 C(^20 F).
(c) Marking materials for identifying welds on pipe must be
compatible with the basic pipe material.
(d) Surfaces of components that are less than 6.35 mm (0.25 in.)
thick may not be field die stamped.
(e) Where die stamping is permitted, any identification marks must be
made with a die having blunt edges to minimize stress concentration.
(45 FR 9203, Feb. 11, 1980, as amended at 47 FR 32720, July 29, 1982;
47 FR 33965, Aug. 5, 1982)
49 CFR 193.2315 Piping connections.
(a) Piping more than 2 inches nominal diameter must be joined by
welding, except that --
(1) Threaded or flanged connections may be used where necessary for
special connections, including connections for material transitions,
instrument connections, testing, and maintenance;
(2) Copper piping in nonflammable service may be joined by silver
brazing; and
(3) Material transitions may be made by any joining technique proven
reliable under 193.2305(b).
(b) If socket fittings are used, a clearance of 1.6 to 3.2 mm (0.063
to 0.126 in.) between the pipe end and the bottom of the socket recess
must be provided and appropriate measurement reference marks made on the
piping for the purpose of inspection.
(c) Threaded joints must be --
(1) Free of stress from external loading; and
(2) Seal welded, or sealed by other means which have been tested and
proven reliable.
(d) Compression type couplings must meet the requirements of ANSI
B31.3.
(e) Care shall be taken to ensure the tightness of all bolted
connections. Spring washers or other such devices designed to
compensate for the contraction and expansion of bolted connections
during operating cycles shall be used where required.
(f) The selection of gasket material shall include the consideration
of fire.
49 CFR 193.2317 Retesting.
After testing required by this subpart is completed on a component to
contain a hazardous fluid, the component must be retested whenever --
(a) Penetration welding other than tie-in welding is performed; or
(b) The structural integrity of the component is disturbed.
49 CFR 193.2319 Strength tests.
(a) A strength test must be performed on each piping system and
container to determine whether the component is capable of performing
its design function, taking into account --
(1) The maximum allowable working pressure;
(2) The maximum weight of product which the component may contain or
support;
(b) For piping, the test required by paragraph (a) of this section
must include a pressure test conducted in accordance with section 337 of
ANSI B31.3, except that test pressures must be based on the design
pressure. Carbon and low alloy steel piping must be pressure tested
above their nil ductility transition temperature.
(c) All shells and internal parts of heat exchangers to which section
VIII, Division 1, or Division 2 of the ASME Boiler and Pressure Vessel
Code, applies must be pressure tested, inspected, and stamped in
accordance therewith.
49 CFR 193.2321 Nondestructive tests.
(a) The following percentages of each day's circumferentially welded
pipe joints for hazardous fluid piping, selected at random, must be
nondestructively tested over the entire circumference to indicate any
defects which could adversely affect the integrity of the weld or pipe:
(b) Evaluation of weld tests and repair of defects must be in
accordance with the requirements of ANSI B31.3 or API 1104, as
applicable.
(c) Where longitudinally or spiral welded pipe is used in transfer
systems, 100 percent of the seam weld must be examined by radiographic
or ultrasonic inspection.
(d) The butt welds in metal shells of storage tanks with internal
design pressure of not more than 15 psig must be radiographically tested
in accordance with section 0.7.6, API 620, appendix Q, except that for
hydraulic load bearing shells with curved surfaces that are subject to
cryogenic temperatures, 100 percent of both longitudinal (or meridional)
and circumferential or (or latitudinal) welds must be radiographically
tested.
(e) The butt welds in metal shells of storage tanks with internal
design pressure above 15 psig must be radiographically tested in
accordance with section IX of the ASME Boiler and Pressure Vessel Code,
except that for hydraulic load bearing shells with curved surfaces that
are subject to cryogenic temperatures, 100 percent of both longitudinal
(or meridional) and circumferential (or latitudinal) welds must be
radiographically tested.
49 CFR 193.2323 Leak tests.
(a) Each container and piping system must be initially tested to
assure that the component will contain the product for which it is
designed without leakage.
(b) Shop fabricated containers and all flammable fluid piping must be
leak tested to a minimum of the design pressure after installation but
before placing it in service.
(c) For a storage tank with vacuum insulation, the inner container,
outer shell, and all internal piping must be tested for vacuum leaks in
accordance with an appropriate procedure.
49 CFR 193.2325 Testing control systems.
Each control system must be tested before being placed in service to
assure that it has been installed properly and will function as required
by this part.
49 CFR 193.2327 Storage tank tests.
(a) In addition to other applicable requirements of this subpart,
storage tanks for cryogenic fluids with internal design pressures of not
more than 15 psig must be tested in accordance with sections Q8 and Q9
of API 620, appendix Q, as applicable.
(b) Metal storage tanks for cryogenic fluids with internal design
pressures above 15 psig must be tested in accordance with the applicable
division of section VIII of the ASME Boiler and Pressure Vessel Code.
(c) Reference measurements must be made with appropriate precise
instruments to assure that the tank is gas tight and lateral and
vertical movement of the storage tank does not exceed predetermined
design tolerances.
49 CFR 193.2329 Construction records.
For the service life of the component concerned, each operator shall
retain appropriate records of the following:
(a) Specifications, procedures, and drawings prepared for compliance
with 193.2305; and
(b) Results of tests, inspections, and the quality assurance program
required by this subpart.
49 CFR 193.2329 Subpart E -- Equipment
49 CFR 193.2401 Scope.
This subpart prescribes requirements for the design, fabrication, and
installation of vaporization equipment, liquefaction equipment, and
control systems.
49 CFR 193.2401 Vaporization Equipment
49 CFR 193.2403 General.
Vaporizers must comply with the requirements of this subpart and the
other applicable requirements of this part.
49 CFR 193.2405 Vaporizer design.
(a) Vaporizers must be designed and fabricated in accordance with
applicable provisions of section VIII, Division 1 of the ASME Boiler and
Pressure Vessel Code.
(b) Each vaporizer must be designed for the maximum allowable working
pressure at least equal to the maximum discharge pressure of the pump or
pressurized container system supplying it, whichever is greater.
49 CFR 193.2407 Operational control.
(a) Vaporizers must be equipped with devices which monitor the inlet
pressure of the LNG, the outlet temperature, and the pressure of the
vaporized gas, and the inlet pressure of the heating medium fluids.
(b) Manifolded vaporizers must be equipped with:
(1) Two inlet valves in series to prevent LNG from entering an idle
vaporizer; and
(2) A means to remove LNG or gas which accumulates between the
valves.
49 CFR 193.2409 Shutoff valves.
(a) A shutoff valve must be located on transfer piping supplying LNG
to a vaporizer. The shutoff valve must be located at a sufficient
distance from the vaporizer to minimize potential for damage from
explosion or fire at the vaporizer. If the vaporizer is installed in a
building, the shutoff valve must be located outside the building.
(b) A shutoff valve must be located on each outlet of a vaporizer.
(c) For vaporizers designed to use a flammable intermediate fluid, a
shutoff valve must be located on the inlet and outlet line of the
intermediate fluid piping system where they will be operable during a
controllable emergency involving the vaporizer.
49 CFR 193.2411 Relief devices.
The capacity of pressure relief devices required for vaporizers by
193.2429 is governed by the following:
(a) For heated vaporizers, the capacity must be at least 110 percent
of rated natural gas flow capacity without allowing the pressure to rise
more than 10 percent above the vaporizer's maximum allowable working
pressure.
(b) For ambient vaporizers, the capacity must be at least 150 percent
of rated natural gas flow capacity without allowing the pressure to rise
more than 10 percent above the vaporizer's maximum allowable working
pressure.
49 CFR 193.2413 Combustion air intakes.
(a) Combustion air intakes to vaporizers must be equipped with
sensing devices to detect the induction of a flammable vapor.
(b) If a heated vaporizer or vaporizer heater is located in a
building, the combustion air intake must be located outside the
building.
49 CFR 193.2413 Liquefaction Equipment
49 CFR 193.2415 General.
Liquefaction equipment must comply with the requirements of this
subpart and the other applicable requirements of this part.
49 CFR 193.2417 Control of incoming gas.
A shutoff valve must be located on piping delivering natural gas to
each liquefaction system.
49 CFR 193.2419 Backflow.
Each multiple parallel piping system connected to liquefaction
equipment must have devices to prevent backflow from causing a hazardous
condition.
49 CFR 193.2421 Cold boxes.
(a) Each cold box in a liquefaction system must be equipped with a
means of monitoring or detecting, as appropriate, the concentration of
natural gas in the insulation space.
(b) If the insulation space in a cold box is designed to operate with
a gas rich atmosphere, additional natural gas must be introduced when
the concentration of gas falls to 30 percent.
(c) If the insulation space of a cold box is designed to operate with
a gas free atmosphere, additional air or inert gas, as appropriate, must
be introduced when the concentration of gas is 25 percent of the lower
flammable limit.
49 CFR 193.2423 Air in gas.
Where incoming gas to liquefaction equipment contains air, each
operator shall provide a means of preventing a flammable mixture from
occurring under any operating condition.
49 CFR 193.2423 Control Systems
49 CFR 193.2427 General.
(a) Control systems must comply with the requirements of this subpart
and other applicable requirements of this part.
(b) Each control system must be capable of performing its design
function under normal operating conditions.
(c) Control systems must be designed and installed in a manner to
permit maintenance, including inspection or testing, in accordance with
this part.
(d) Local, remote, and redundant signal lines installed for control
systems that can affect the operation of a component that does not fail
safe must be routed separately or in separate underground conduits
installed in accordance with NFPA-70.
49 CFR 193.2429 Relief devices.
(a) Each component containing a hazardous fluid must be equipped with
a system of automatic relief devices which will release the contained
fluid at a rate sufficient to prevent pressures from exceeding 110
percent of the maximum allowable working pressure. In establishing
relief capacity, each operator shall consider trapping of fluid between
valves; the maximum rates of boiloff and expansion of fluid which may
occur during normal operation, particularly cooldown; and controllable
emergencies.
(b) A component in which internal vacuum conditions can occur must be
equipped with a system of relief devices or other control system to
prevent development in the component of a vacuum that might create a
hazardous condition. Introduction of gas into a component must not
create a flammable mixture within the component.
(c) In addition to the control system required by paragraphs (a) and
(b) of this section --
(1) Each LNG Storage tank must be equipped with relief devices to
assure that design pressure and vacuum relief capacity is available
during maintenance of the system; and
(2) A manual means must be provided to relieve pressure and vacuum in
an emergency.
(d) Relief devices must be installed in a manner to minimize the
possibility that release of fluid could --
(1) Cause an emergency; or
(2) Worsen a controllable emergency.
(e) The means for adjusting the setpoint pressure of all adjustable
relief devices must be sealed.
(f) Relief devices which are installed to limit minimum or maximum
pressure may not be used to handle boiloff and flash gases during normal
operation.
49 CFR 193.2431 Vents.
(a) Hazardous fluids may not be relieved into the atmosphere of a
building or other confined space.
(b) Boiloff vents for hazardous fluids may not draw in air during
operation.
(c) Venting of natural gas/vapor under operational control which
could produce a hazardous gas atmosphere must be directed to a flare
stack or heat exchanger in order to raise its temperature to achieve
positive buoyancy and safe venting.
(45 FR 9203, Feb. 11, 1980, as amended by Amdt. 193-2, 45 FR 70404,
Oct. 23, 1980)
49 CFR 193.2433 Sensing devices.
(a) Each operator shall determine the appropriate location for and
install sensing devices as necessary to --
(1) Monitor the operation of components to detect a malfunction which
could cause a hazardous condition if permitted to continue; and
(2) Detect the presence of fire or combustible gas in areas
determined in accordance with section 500-4 of NFPA 70 to have a
potential for the presence of flammable fluids.
(b) Buildings in which potentially hazardous quantities of flammable
fluids are used or handled must be continuously monitored by gas sensing
devices set to activate audible and visual alarms in the building and at
the control center when the concentration of the fluid in air is not
more than 25 percent of the lower flammable limit.
49 CFR 193.2435 Warning devices.
Each operator shall install warning devices in the control center to
warn of hazardous conditions detected by all sensing devices required by
this part. Warnings must be given both audibly and visibly and must be
designed to gain the attention of personnel. Warnings must indicate the
location and nature of the existing or potential hazard.
49 CFR 193.2437 Pump and compressor control.
(a) Each pump and compressor for hazardous fluids must be equipped
with --
(1) A control system, operable locally and remotely, to shut down the
pump or compressor in a controllable emergency;
(2) A signal light at the pump or compressor and the remote control
location which indicates whether the pump or compressor is in operation
or off;
(3) Adequate valving to ensure that the pump or compressor can be
isolated for maintenance; and
(4) A check valve on each discharge line where pumps or compressors
operate in parallel.
(b) Pumps or compressors in a cargo transfer system must have
shutdown controls at the loading or unloading area and at the pump or
compressor site.
49 CFR 193.2439 Emergency shutdown control systems.
(a) Each transfer system, vaporizer, liquefaction system, and storage
system tank must be equipped with an emergency shutdown control system.
The control must automatically actuate the shutdown of the component
(providing pressure relief as necessary) when any of the following
occurs:
(1) Temperatures of the component exceed the limits determined under
193.2105;
(2) Pressure outside the limits of the maximum and minimum design
pressure;
(3) Liquid in receiving vessel reaches the design maximum liquid
level;
(4) Gas concentrations in the area of the component exceed 40 percent
of the lower flammable limit;
(5) A sudden excessive pressure change or other condition indicating
a potentially dangerous condition; and
(6) Presence of fire in area of component.
(b) For cargo transfer systems where all transfer operations are
continuously manned and visually supervised by qualified personnel,
actuation of the emergency shutdown control system may be manual after
devices warn of the events listed in paragraph (a) of this section.
(c) Except for components that operate unattended and are remote from
the control center, a reasonable delay may be programmed in emergency
shutdown control systems required by this section between warning and
automated shutdown to provide for manual response.
(d) Each LNG plant must have a shutdown control system to shut down
all operations of the plant safely. The system must be operable at --
(1) The control center; and
(2) In the case of a plant where LNG facilities other than the
control center are designed to operate unattended at the site of these
facilities.
49 CFR 193.2441 Control center.
Each LNG plant must have a control center from which operations and
warning devices are monitored as required by this part. A control
center must have the following capabilities and characteristics:
(a) It must be located apart or protected from other LNG facilities
so that it is operational during a controllable emergency.
(b) Each remotely actuated control system and each automatic shutdown
control system required by this part must be operable from the control
center.
(c) Each control center must have personnel in continuous attendance
while any of the components under its control are in operation, unless
the control is being performed from another control center which has
personnel in continuous attendance.
(d) If more than one control center is located at an LNG Plant, each
control center must have more than one means of communication with each
other center.
(e) Each control center must have a means of communicating a warning
of hazardous conditions to other locations within the plant frequented
by personnel.
49 CFR 193.2443 Fail-safe control.
Control systems for components must have a fail-safe design. A safe
condition must be maintained until personnel take appropriate action
either to reactivate the component served or to prevent a hazard from
occurring.
49 CFR 193.2445 Sources of power.
(a) Electrical control systems, means of communication, emergency
lighting, and firefighting systems must have at least two sources of
power which function so that failure of one source does not affect the
capability of the other source.
(b) Where auxiliary generators are used as a second source of
electrical power:
(1) They must be located apart or protected from components so that
they are not unusable during a controllable emergency; and
(2) Fuel supply must be protected from hazards.
49 CFR 193.2445 Subpart F -- Operations
Source: Amdt. 193-2, 45 FR 70405, Oct. 23, 1980, unless otherwise
noted.
49 CFR 193.2501 Scope.
This subpart prescribes requirements for the operation of LNG
facilities.
49 CFR 193.2503 Operating procedures.
Each operator shall follow one or more manuals of written procedures
to provide safety in normal operation and in responding to an abnormal
operation that would affect safety. The procedures must include
provisions for:
(a) Monitoring components or buildings according to the requirements
of 193.2507.
(b) Startup and shutdown, including for initial startup, performance
testing to demonstrate that components will operate satisfactory in
service.
(c) Recognizing abnormal operating conditions.
(d) Purging and inerting components according to the requirements of
193.2517.
(e) In the case of vaporization, maintaining the vaporization rate,
temperature and pressure so that the resultant gas is within limits
established for the vaporizer and the downstream piping;
(f) In the case of liquefaction, maintaining temperatures, pressures,
pressured differentials and flow rates, as applicable, within their
design limits for:
(1) Boilers;
(2) Turbines and other prime movers;
(3) Pumps, compressors, and expanders;
(4) Purification and regeneration equipment; and
(5) Equipment within cold boxes.
(g) Cooldown of components according to the requirements of
193.2505; and
(h) Compliance with 193.2805(b).
49 CFR 193.2505 Cooldown.
(a) The cooldown of each system of components that is subjected to
cryogenic temperatures must be limited to a rate and distribution
pattern that keeps thermal stresses within design limits during the
cooldown period, paying particular attention to the performance of
expansion and contraction devices.
(b) After cooldown stabilization is reached, cryogenic piping systems
must be checked for leaks in areas of flanges, valves, and seals.
49 CFR 193.2507 Monitoring operations.
Each component in operation or building determined under
193.2805(a)(2) in which a hazard to persons or property could exist must
be monitored to detect fire or any malfunction or flammable fluid which
could cause a hazardous condition. Monitoring must be accomplished by
watching or listening from an attended control center for warning
alarms, such as gas, temperature, pressure, vacuum, and flow alarms, or
by conducting an inspection or test at intervals specified in the
operating procedures.
49 CFR 193.2509 Emergency procedures.
(a) Each operator shall determine the types and places of emergencies
other than fires that may reasonably be expected to occur at an LNG
plant due to operating malfunctions, structural collapse, personnel
error, forces of nature, and activities adjacent to the plant.
(b) To adequately handle each type of emergency identified under
paragraph (a) of this section and each fire emergency identified under
193.2817(a), each operator shall follow one or more manuals of written
procedures. The procedures must provide for the following:
(1) Responding to controllable emergencies, including notifying
personnel and using equipment appropriate for handling the emergency.
(2) Recognizing an uncontrollable emergency and taking action to
minimize harm to the public and personnel, including prompt notification
of appropriate local officials of the emergency and possible need for
evacuation of the public in the vicinity of the LNG plant.
(3) Coordinating with appropriate local officials in preparation of
an emergency evacuation plan, which sets forth the steps required to
protect the public in the event of an emergency, including catastrophic
failure of an LNG storage tank.
(4) Cooperating with appropriate local officials in evacuations and
emergencies requiring mutual assistance and keeping these officials
advised of:
(i) The LNG plant fire control equipment, its location, and quantity
of units located throughout the plant;
(ii) Potential hazards at the plant, including fires;
(iii) Communication and emergency control capabilities at the LNG
plant; and
(iv) The status of each emergency.
49 CFR 193.2511 Personnel safety.
(a) Each operator shall provide any special protective clothing and
equipment necessary for the safety of personnel while they are
performing emergency response duties.
(b) All personnel who are normally on duty at a fixed location, such
as a building or yard, where they could be harmed by thermal radiation
from a burning pool of impounded liquid, must be provided a means of
protection at that location from the harmful effects of thermal
radiation or a means of escape.
(c) Each LNG plant must be equipped with suitable first-aid material,
the location of which is clearly marked and readily available to
personnel.
49 CFR 193.2513 Transfer procedures.
(a) Each transfer of LNG or other hazardous fluid must be conducted
in accordance with one or more manuals of written procedures to provide
for safe transfers.
(b) The transfer procedures must include provisions for personnel to:
(1) Before transfer, verify that the transfer system is ready for
use, with connections and controls in proper positions, including if the
system could contain a combustible mixture, verifying that it has been
adequately purged in accordance with a procedure which meets the
requirements of AGA ''Purging Principles and Practice.''
(2) Before transfer, verify that each receiving container or tank
vehicle does not contain any substance that would be incompatible with
the incoming fluid and that there is sufficient capacity available to
receive the amount of fluid to be transferred;
(3) Before transfer, verify the maximum filling volume of each
receiving container or tank vehicle to ensure that expansion of the
incoming fluid due to warming will not result in overfilling or
overpressure;
(4) When making bulk transfer of LNG into a partially filled
(excluding cooldown heel) container, determine any differences in
temperature or specific gravity between the LNG being transferred and
the LNG already in the container and, if necessary, provide a means to
prevent rollover due to stratification.
(5) Verify that the transfer operations are proceeding within design
conditions and that overpressure or overfilling does not occur by
monitoring applicable flow rates, liquid levels, and vapor returns.
(6) Manually terminate the flow before overfilling or overpressure
occurs; and
(7) Deactivate cargo transfer systems in a safe manner by
depressurizing, venting, and disconnecting lines and conducting any
other appropriate operations.
(c) In addition to the requirements of paragraph (b) of this section,
the procedures for cargo transfer must be located at the transfer area
and include provisions for personnel to:
(1) Be in constant attendance during all cargo transfer operations;
(2) Prohibit the backing of tank trucks in the transfer area, except
when a person is positioned at the rear of the truck giving instructions
to the driver;
(3) Before transfer, verify that:
(i) Each tank car or tank truck complies with applicable regulations
governing its use;
(ii) All transfer hoses have been visually inspected for damage and
defects;
(iii) Each tank truck is properly immobilized with chock wheels, and
electrically grounded; and
(iv) Each tank truck engine is shut off unless it is required for
transfer operations;
(4) Prevent a tank truck engine that is off during transfer
operations from being restarted until the transfer lines have been
disconnected and any released vapors have dissipated;
(5) Prevent loading LNG into a tank car or tank truck that is not in
exclusive LNG service or that does not contain a positive pressure if it
is in exclusive LNG service, until after the oxygen content in the tank
is tested and if it exceeds 2 percent by volume, purged in accordance
with a procedure that meets the requirements of AGA ''Purging Principles
and Practice;''
(6) Verify that all transfer lines have been disconnected and
equipment cleared before the tank car or tank truck is moved from the
transfer position; and
(7) Verify that transfers into a pipeline system will not exceed the
pressure or temperature limits of the system.
49 CFR 193.2515 Investigations of failures.
(a) Each operator shall investigate the cause of each explosion,
fire, or LNG spill or leak which results in:
(1) Death or injury requiring hospitalization; or
(2) Property damage exceeding $10,000.
(b) As a result of the investigation, appropriate action must be
taken to minimize recurrence of the incident.
(c) If the Administrator or relevant state agency under section 5 of
the Natural Gas Pipeline Safety Act of 1968 (49 U.S.C. 1674)
investigates an incident, the operator involved shall make available all
relevant information and provide reasonable assistance in conducting the
investigation. Unless necessary to restore or maintain service, or for
safety, no component involved in the incident may be moved from its
location or otherwise altered until the investigation is complete or the
investigating agency otherwise provides. Where components must be moved
for operational or safety reasons, they must not be removed from the
plant site and must be maintained intact to the extent practicable until
the investigation is complete or the investigating agency otherwise
provides.
49 CFR 193.2517 Purging.
When necessary for safety, components that could accumulate
significant amounts of combustible mixtures must be purged in accordance
with a procedure which meets the provisions of the AGA ''Purging
Principles and Practice'' after being taken out of service and before
being returned to service.
49 CFR 193.2519 Communication systems.
(a) Each LNG plant must have a primary communication system that
provides for verbal communications between all operating personnel at
their work stations in the LNG plant.
(b) Each LNG plant in excess of 70,000 gallons storage capacity must
have an emergency communication system that provides for verbal
communications between all persons and locations necessary for the
orderly shutdown of operating equipment and the operation of safety
equipment in time of emergency. The emergency communication system must
be independent of and physically separated from the primary
communication system and the security communication system under
193.2909.
(c) Each communication system required by this part must have an
auxiliary source of power, except sound-powered equipment.
49 CFR 193.2521 Operating records.
Each operator shall maintain a record of the results of each
inspection, test, and investigation required by this subpart. Such
records must be kept for a period of not less than 5 years.
49 CFR 193.2521 Subpart G -- Maintenance
Source: Amdt. 193-2, 45 FR 70407, Oct. 23, 1980, unless otherwise
noted.
49 CFR 193.2601 Scope.
This subpart prescribes requirements for maintaining components at
LNG plants.
49 CFR 193.2603 General.
(a) Each component in service, including its support system, must be
maintained in a condition that is compatible with its operational or
safety purpose by repair, replacement, or other means.
(b) An operator may not place, return, or continue in service any
component which is not maintained in accordance with this subpart.
(c) Each component taken out of service must be identified in the
records kept under 193.2639.
(d) If a safety device is taken out of service for maintenance, the
component being served by the device must be taken out of service unless
the same safety function is provided by an alternate means.
(e) If the inadvertent operation of a component taken out of service
could cause a hazardous condition, that component must have a tag
attached to the controls bearing the words ''do not operate'' or words
of comparable meaning.
49 CFR 193.2605 Maintenance procedures.
(a) Each operator shall determine and perform, consistent with
generally accepted engineering practice, the periodic inspections or
tests needed to meet the applicable requirements of this subpart and to
verify that components meet the maintenance standards prescribed by this
subpart.
(b) Each operator shall follow one or more manuals of written
procedures for the maintenance of each component, including any required
corrosion control. The procedures must include:
(1) The details of the inspections or tests determined under
paragraph (a) of this section and their frequency of performance; and
(2) A description of other actions necessary to maintain the LNG
plant in accordance with the requirements of this subpart and 193.2805.
(c) Each operator shall include in the manual required by paragraph
(b) of this section instructions enabling personnel who perform
operation and maintenance activities to recognize conditions that
potentially may be safety-related conditions that are subject to the
reporting requirements of 191.23 of this subchapter.
(Amdt. 193-2, 45 FR 70407, Oct. 23, 1980, as amended by Amdt. 193-5,
53 FR 24950, July 1, 1988; 53 FR 26560, July 13, 1988)
49 CFR 193.2607 Foreign material.
(a) The presence of foreign material, contaminants, or ice shall be
avoided or controlled to maintain the operational safety of each
component.
(b) LNG plant grounds must be free from rubbish, debris, and other
material which present a fire hazard. Grass areas on the LNG plant
grounds must be maintained in a manner that does not present a fire
hazard.
49 CFR 193.2609 Support systems.
Each support system or foundation of each component must be inspected
for any detrimental change that could impair support.
49 CFR 193.2611 Fire protection.
(a) Maintenance activities on fire control equipment must be
scheduled so that a minimum of equipment is taken out of service at any
one time and is returned to service in a reasonable period of time.
(b) Access routes for movement of fire control equipment within each
LNG plant must be maintained to reasonably provide for use in all
weather conditions.
49 CFR 193.2613 Auxiliary power sources.
Each auxiliary power source must be tested monthly to check its
operational capability and tested annually for capacity. The capacity
test must take into account the power needed to start up and
simultaneously operate equipment that would have to be served by that
power source in an emergency.
49 CFR 193.2615 Isolating and purging.
(a) Before personnel begin maintenance activities on components
handling flammable fluids which are isolated for maintenance, the
component must be purged in accordance with a procedure which meets the
requirements of AGA ''Purging Principles and Practices,'' unless the
maintenance procedures under 193.2605 provide that the activity can be
safely performed without purging.
(b) If the component or maintenance activity provides an ignition
source, a technique in addition to isolation valves (such as removing
spool pieces or valves and blank flanging the piping, or double block
and bleed valving) must be used to ensure that the work area is free of
flammable fluids.
49 CFR 193.2617 Repairs.
(a) Repair work on components must be performed and tested in a
manner which:
(1) As far as practicable, complies with the applicable requirements
of Subpart D of this part; and
(2) Assures the integrity and operational safety of the component
being repaired.
(b) For repairs made while a component is operating, each operator
shall include in the maintenance procedures under 193.2605 appropriate
precautions to maintain the safety of personnel and property during
repair activities.
49 CFR 193.2619 Control systems.
(a) Each control system must be properly adjusted to operate within
design limits.
(b) If a control system is out of service for 30 days or more, it
must be inspected and tested for operational capability before returning
it to service.
(c) Control systems in service, but not normally in operation (such
as relief valves and automatic shutdown devices), must be inspected and
tested once each calendar year, but with intervals not exceeding 15
months, with the following exceptions:
(1) Control systems used seasonally, such as for liquefaction or
vaporization, must be inspected and tested before use each season.
(2) Control systems that are intended for fire protection must be
inspected and tested at regular intervals not to exceed 6 months.
(d) Control systems that are normally in operation, such as required
by a base load system, must be inspected and tested once each calendar
year but with intervals not exceeding 15 months.
(e) Relief valves must be inspected and tested for verification of
the valve seat lifting pressure and reseating.
49 CFR 193.2621 Testing transfer hoses.
Hoses used in LNG or flammable refrigerant transfer systems must be:
(a) Tested once each calendar year, but with intervals not exceeding
15 months, to the maximum pump pressure or relief valve setting; and
(b) Visually inspected for damage or defects before each use.
49 CFR 193.2623 Inspecting LNG storage tanks.
Each LNG storage tank must be inspected or tested to verify that each
of the following conditions does not impair the structural integrity or
safety of the tank:
(a) Foundation and tank movement during normal operation and after a
major meteorological or geophysical disturbance.
(b) Inner tank leakage.
(c) Effectiveness of insulation.
(d) Frost heave.
(Amdt. 193-2, 45 FR 70407, Oct. 23, 1980, as amended at 47 FR 32720,
July 29, 1982)
49 CFR 193.2625 Corrosion protection.
(a) Each operator shall determine which metallic components could,
unless corrosion is controlled, have their integrity or reliability
adversely affected by external, internal, or atmospheric corrosion
during their intended service life.
(b) Components whose integrity or reliability could be adversely
affected by corrosion must be either --
(1) Protected from corrosion in accordance with 193.2627 through
193.2635, as applicable; or
(2) Inspected and replaced under a program of scheduled maintenance
in accordance with procedures established under 193.2605.
49 CFR 193.2627 Atmospheric corrosion control.
Each exposed component that is subject to atmospheric corrosive
attack must be protected from atmospheric corrosion by --
(a) Material that has been designed and selected to resist the
corrosive atmosphere involved; or
(b) Suitable coating or jacketing.
49 CFR 193.2629 External corrosion control; buried or submerged
components.
(a) Each buried or submerged component that is subject to external
corrosive attack must be protected from external corrosion by --
(1) Material that has been designed and selected to resist the
corrosive environment involved; or
(2) The following means:
(i) An external protective coating designed and installed to prevent
corrosion attack and to meet the requirements of 192.461 of this
chapter; and
(ii) A cathodic protection system designed to protect components in
their entirety in accordance with the requirements of 192.463 of this
chapter and placed in operation before October 23, 1981, or within 1
year after the component is constructed or installed, whichever is
later.
(b) Where cathodic protection is applied, components that are
electrically interconnected must be protected as a unit.
(Amdt. 193-2, 45 FR 70407, Oct. 23, 1980, as amended at 47 FR 32720,
July 29, 1982)
49 CFR 193.2631 Internal corrosion control.
Each component that is subject to internal corrosive attack must be
protected from internal corrosion by --
(a) Material that has been designed and selected to resist the
corrosive fluid involved; or
(b) Suitable coating, inhibitor, or other means.
49 CFR 193.2633 Interference currents.
(a) Each component that is subject to electrical current interference
must be protected by a continuing program to minimize the detrimental
effects of currents.
(b) Each cathodic protection system must be designed and installed so
as to minimize any adverse effects it might cause to adjacent metal
components.
(c) Each impressed current power source must be installed and
maintained to prevent adverse interference with communications and
control systems.
49 CFR 193.2635 Monitoring corrosion control.
Corrosion protection provided as required by this subpart must be
periodically monitored to give early recognition of ineffective
corrosion protection, including the following, as applicable:
(a) Each buried or submerged component under cathodic protection must
be tested at least once each calendar year, but with intervals not
exceeding 15 months, to determine whether the cathodic protection meets
the requirements of 192.463 of this chapter.
(b) Each cathodic protection rectifier or other impressed current
power source must be inspected at least 6 times each calendar year, but
with intervals not exceeding 2 1/2 months, to ensure that it is
operating properly.
(c) Each reverse current switch, each diode, and each interference
bond whose failure would jeopardize component protection must be
electrically checked for proper performance at least 6 times each
calendar year, but with intervals not exceeding 2 1/2 months. Each
other interference bond must be checked at least once each calendar
year, but with intervals not exceeding 15 months.
(d) Each component that is protected from atmospheric corrosion must
be inspected at intervals not exceeding 3 years.
(e) If a component is protected from internal corrosion, monitoring
devices designed to detect internal corrosion, such as coupons or
probes, must be located where corrosion is most likely to occur.
However, monitoring is not required for corrosion resistant materials if
the operator can demonstrate that the component will not be adversely
affected by internal corrosion during its service life. Internal
corrosion control monitoring devices must be checked at least two times
each calendar year, but with intervals not exceeding 7 1/2 months.
49 CFR 193.2637 Remedial measures.
Prompt corrective or remedial action must be taken whenever an
operator learns by inspection or otherwise that atmospheric, external,
or internal corrosion is not controlled as required by this subpart.
49 CFR 193.2639 Maintenance records.
(a) Each operator shall keep a record at each LNG plant of the date
and type of each maintenance activity performed on each component to
meet the requirements of this subpart, including periodic tests and
inspections, for a period of not less than five years.
(b) Each operator shall maintain records or maps to show the location
of cathodically protected components, neighboring structures bonded to
the cathodic protection system, and corrosion protection equipment.
(c) Each of the following records must be retained for as long as the
LNG facility remains in service:
(1) Each record or map required by paragraph (b) of this section.
(2) Records of each test, survey, or inspection required by this
subpart in sufficient detail to demonstrate the adequacy of corrosion
control measures.
49 CFR 193.2639 Subpart H -- Personnel Qualifications and Training
Source: Sections 193.2707 through 193.2719 appear at 45 FR 70404,
Oct. 23, 1980 (Amdt. 193-2), unless otherwise noted.
49 CFR 193.2701 Scope.
This subpart prescribes requirements for personnel qualifications and
training.
(45 FR 9219, Feb. 11, 1980)
49 CFR 193.2703 Design and fabrication.
For the design and fabrication of components, each operator shall use
--
(a) With respect to design, persons who have demonstrated competence
by training or experience in the design of comparable components.
(b) With respect to fabrication, persons who have demonstrated
competence by training or experience in the fabrication of comparable
components.
(45 FR 9219, Feb. 11, 1980)
49 CFR 193.2705 Construction, installation, inspection, and testing.
(a) Supervisors and other personnel utilized for construction,
installation, inspection, or testing must have demonstrated their
capability to perform satisfactorily the assigned function by
appropriate training in the methods and equipment to be used or related
experience and accomplishments.
(b) Each operator must periodically determine whether inspectors
performing duties under 193.2307 are satisfactorily performing their
assigned function.
(45 FR 9219, Feb. 11, 1980)
49 CFR 193.2707 Operations and maintenance.
(a) Each operator shall utilize for operation or maintenance of
components only those personnel who have demonstrated their capability
to perform their assigned functions by --
(1) Successful completion of the training required by 193.2713 and
193.2717; and
(2) Experience related to the assigned operation or maintenance
function; and
(3) Acceptable performance on a proficiency test relevant to the
assigned function.
(b) A person who does not meet the requirements of paragraph (a) of
this section may operate or maintain a component when accompanied and
directed by an individual who meets the requirements.
(c) Corrosion control procedures under 193.2605(b), including those
for the design, installation, operation, and maintenance of cathodic
protection systems, must be carried out by, or under the direction of, a
person qualified by experience and training in corrosion control
technology.
49 CFR 193.2709 Security.
Personnel having security duties must be qualified to perform their
assigned duties by successful completion of the training required under
193.2715.
49 CFR 193.2711 Personnel health.
Each operator shall follow a written plan to verify that personnel
assigned operating, maintenance, security, or fire protection duties at
the LNG plant do not have any physical condition that would impair
performance of their assigned duties. The plan must be designed to
detect both readily observable disorders, such as physical handicaps or
injury, and conditions requiring professional examination for discovery.
49 CFR 193.2713 Training; operations and maintenance.
(a) Each operator shall provide and implement a written plan of
initial training to instruct --
(1) All permanent maintenance, operating, and supervisory personnel
--
(i) About the characteristics and hazards of LNG and other flammable
fluids used or handled at the facility, including, with regard to LNG,
low temperatures, flammability of mixtures with air, odorless vapor,
boiloff characteristics, and reaction to water and water spray;
(ii) About the potential hazards involvd in operating and maintenance
activities; and
(iii) To carry out aspects of the operating and maintenance
procedures under 193.2503 and 193.2605 that relate to their assigned
functions; and
(2) All personnel --
(i) To carry out the emergency procedures under 193.2509 that relate
to their assigned functions; and
(ii) To give first-aid; and
(3) All operating and appropriate supervisory personnel --
(i) To understand detailed instructions on the facility operations,
including controls, functions, and operating procedures; and
(ii) To understand the LNG transfer procedures provided under
193.2513.
(b) A written plan of continuing instruction must be conducted at
intervals of not more than two years to keep all personnel current on
the knowledge and skills they gained in the program of initial
instruction.
49 CFR 193.2715 Training; security.
(a) Personnel responsible for security at an LNG plant must be
trained in accordance with a written plan of initial instruction to:
(1) Recognize breaches of security;
(2) Carry out the security procedures under 193.2903 that relate to
their assigned duties;
(3) Be familiar with basic plant operations and emergency procedures,
as necessary to effectively perform their assigned duties; and
(4) Recognize conditions where security assistance is needed.
(b) A written plan of continuing instruction must be conducted at
intervals of not more than two years to keep all personnel having
security duties current on the knowledge and skills they gained in the
program of initial instruction.
49 CFR 193.2717 Training; fire protection.
(a) All personnel involved in maintenance and operations of an LNG
plant, including their immediate supervisors, must be trained in
accordance with a written plan of initial instruction, including plant
fire drills, to:
(1) Know and follow the fire prevention procedures under
193.2805(b);
(2) Know the potential causes and areas of fire determined under
193.2805(a);
(3) Know the types, sizes, and predictable consequences of fire
determined under 193.2817(a); and
(4) Know and be able to perform their assigned fire control duties
according to the procedures established under 193.2509 and by proper
use of equipment provided under 193.2817.
(b) A written plan of continuing instruction, including plant fire
drills, must be conducted at intervals of not more than two years to
keep personnel current on the knowledge and skills they gained in the
instruction under paragraph (a) of the section.
49 CFR 193.2719 Training; records.
(a) Each operator shall maintain a system of records which --
(1) Provide evidence that the training programs required by this
subpart have been implemented; and
(2) Provide evidence that personnel have undergone and satisfactorily
completed the required training programs.
(b) Records must be maintained for one year after personnel are no
longer assigned duties at the LNG plant.
49 CFR 193.2719 Subpart I -- Fire Protection
Source: Amdt. 193-2, 45 FR 70408, Oct. 23, 1980, unless otherwise
noted.
49 CFR 193.2801 Scope.
This subpart prescribes requirements for fire prevention and fire
control at LNG plants. However, the requirements do not apply to
existing LNG plants that do not contain LNG.
(Amdt. 193-4, 52 FR 675, Jan. 8, 1987)
49 CFR 193.2803 General.
Each operator shall use sound fire protection engineering principles
to minimize the occurrence and consequences of fire.
49 CFR 193.2805 Fire prevention plan.
(a) Each operator shall determine --
(1) Those potential sources of ignition located inside and adjacent
to the LNG plant which could cause fires that affect the safety of the
plant; and
(2) Those areas, as described in section 500-4 of MFPA-70, where the
potential exists for the presence of flammable fluids in an LNG plant.
Determinations made under this paragraph must be kept current.
(b) With respect to areas determined under paragraph (a)(2) of this
section, each operator shall include in the operating and maintenance
procedures under 193.2503 and 193.2605, as appropriate, steps
necessary to minimize --
(1) The leakage or release of flammable fluids; and
(2) The possibility of flammable fluids being ignited by sources
identified under paragraph (a)(1) of this section.
49 CFR 193.2807 Smoking.
(a)(1) Smoking is prohibited at an LNG plant in areas identified
under 193.2805(a)(2).
(2) Smoking is permitted only in such locations that the operator
designates as a smoking area.
(b) Signs marked with the words ''smoking permitted'' must be
displayed in prominent places in each smoking area designated under
paragraph (a) of this section.
(c) Signs marked with the words ''NO SMOKING'' must be displayed in
prominent places in areas where smoking is prohibited.
49 CFR 193.2809 Open fires.
(a) No open fires are permitted at an LNG plant, except at flare
stacks and at times and places designated by the operator.
(b) Whenever an open fire is designated, there must be at the site of
the fire --
(1) Trained fire fighting personnel; and
(2) Fire control equipment which has the capability of extinguishing
the fire.
(c) The fire fighting personnel and equipment must remain at the fire
site until the fire is extinguished and there is no possibility of
reignition.
49 CFR 193.2811 Hotwork.
Welding, flame cutting, and similar operations are prohibited, except
at times and places that the operator designates in writing as safe and
when constantly supervised in accordance with NFPA-51B.
49 CFR 193.2813 Storage of flammable fluids.
Flammable fluids may not be stored in areas where ignition sources
are present, unless stored in accordance with the requirements of
Chapter 4 of NFPA 30.
49 CFR 193.2815 Motorized equipment.
Use of motor vehicles and other motorized equipment which constitute
potential ignition sources is prohibited in an impounding space, in
areas within 15 m (49.2 ft) of a storage tank, and in areas within 15 m
(49.2 ft) of processing equipment containing a flammable fluid except-
(a) At times the operator designates in writing as safe; and
(b) When the motorized equipment is constantly attended.
49 CFR 193.2817 Fire equipment.
(a) Each operator shall determine: (1) The types and sizes of fires
that may reasonably be expected to occur within and adjacent to each LNG
plant that could affect the safety of components; and
(2) The foreseeable consequences of these fires, including the
failure of components or buildings due to heat exposure.
(b) Each operator shall provide and maintain fire control equipment
and supplies in accordance with the applicable requirements of NFPA 59A
to protect or cool components that could fail due to heat exposure from
fires determined under paragraph (a) of this section and either worsen
an emergency or endanger persons or property located outside the plant.
Protection or cooling must be provided for as long as the heat exposure
exists. The fire control equipment and supplies must include the
following:
(1) Portable fire extinguishers suitable for types of fires
identified under paragraph (a) of this section; and
(2) If the total inventory of LNG is 265 m3 (70,000 gal.) or more, a
water supply and associated delivery system.
(c) Each operator shall determine the type, size, quantity and
location of the fire control equipment and supplies required under
paragraph (b) of this section.
(d) Each operator shall provide each facility person who may be
endangered by exposure to fire or the products of combustion in
performing fire control duties protective clothing and equipment,
including, if necessary, a self-contained breathing apparatus.
(e) Portable fire control equipment, protective clothing and
equipment for personnel use, controls for fixed fire control equipment,
and fire control supplies must be conspicuously located, marked for easy
recognition, and readily available for use.
(f) Fire control equipment must have operating instructions.
Instructions must be attached to portable equipment and placed at the
location of controls for fixed equipment.
49 CFR 193.2819 Gas detection.
(a) All areas determined under 193.2805(a)(2) in which a hazard to
persons or property could exist must be continuously monitored for the
presence of flammable gases and vapors with fixed flammable gas
detection systems provided and maintained according to the applicable
requirements of NFPA 59A.
(b) Each fixed flammable gas detection system must be provided with
audible and visible alarms located at an attended control room or
control station, and an audible alarm in the area of gas detection.
(c) Flammable gas detection alarms must be set to activate at not
more than 25 percent of the lower flammable limit of the gas or vapor
being monitored.
(d) Gas detection systems must be installed so that they can be
readily tested as required by NFPA 59A.
(e) A minimum of two portable flammable gas detectors capable of
measuring the lower flammable limit must be available at the LNG plant
for use at all times.
(f) All enclosed buildings located on an LNG plant must be
continuously monitored for the presence of flammable gases and vapors
with a fixed flammable gas detection system that provides a visible or
audible alarm outside the enclosed building. The systems must be
provided and maintained according to the applicable requirements of NFPA
59A.
49 CFR 193.2821 Fire detection.
(a) Fire detectors that continuously monitor for the presence of
either flame, heat, or products of combustion must be provided in all
areas determined under 193.2805(a)(2) in which a hazard to persons or
property could exist and in all other areas that are used for the
storage of flammable or combustible material.
(b) Each fire detection system must be provided with audible and
visible alarms located at an attended control room or control station,
and an audible alarm in the area of fire detection. The systems must be
provided and maintained according to the applicable requirements of NFPA
59A.
49 CFR 193.2821 Subpart J -- Security
Source: Amdt. 193-2, 45 FR 70409, Oct. 23, 1980, unless otherwise
noted.
49 CFR 193.2901 Scope.
This subpart prescribes requirements for security at LNG plants.
However, the requirements do not apply to existing LNG plants that do
not contain LNG.
(Amdt. 193-4, 52 FR 675, Jan. 8, 1987)
49 CFR 193.2903 Security procedures.
Each operator shall prepare and follow one or more manuals of written
procedures to provide security for each LNG plant. The procedures must
be available at the plant in accordance with 193.2017 and include at
least:
(a) A description and schedule of security inspections and patrols
performed in accordance with 193.2913;
(b) A list of security personnel positions or responsibilities
utilized at the LNG plant;
(c) A brief description of the duties associated with each security
personnel position or responsibility;
(d) Instructions for actions to be taken, including notification of
other appropriate plant personnel and law enforcement officials, when
there is any indication of an actual or attempted breach of security;
(e) Methods for determining which persons are allowed access to the
LNG plant;
(f) Positive identification of all persons entering the plant and on
the plant, including methods at least as effective as picture badges;
and
(g) Liaison with local law enforcement officials to keep them
informed about current security procedures under this section.
49 CFR 193.2905 Protective enclosures.
(a) The following facilities must be surrounded by a protective
enclosure:
(1) Storage tanks;
(2) Impounding systems;
(3) Vapor barriers;
(4) Cargo transfer systems;
(5) Process, liquefaction, and vaporization equipment;
(6) Control rooms and stations;
(7) Control systems;
(8) Fire control equipment;
(9) Security communications systems; and
(10) Alternative power sources.
The protective enclosure may be one or more separate enclosures
surrounding a single facility or multiple facilities.
(b) Ground elevations outside a protective enclosure must be graded
in a manner that does not impair the effectiveness of the enclosure.
(c) Protective enclosures may not be located near features outside of
the facility, such as trees, poles, or buildings, which could be used to
breach the security.
(d) At least two accesses must be provided in each protective
enclosure and be located to minimize the escape distance in the event of
emergency.
(e) Each access must be locked unless it is continuously guarded.
During normal operations, an access may be unlocked only by persons
designated in writing by the operator. During an emergency, a means
must be readily available to all facility personnel within the
protective enclosure to open each access.
49 CFR 193.2907 Protective enclosure construction.
(a) Each protective enclosure must have sufficient strength and
configuration to obstruct unauthorized access to the facilities
enclosed.
(b) Protective enclosures must be fences or walls constructed as
follows:
(1) Fences must be chainlink security fences constructed of No. 11
American wire gauge or heavier metal wire.
(2) Walls must be vertical and constructed of stone, brick, cinder
block, concrete, steel or comparable materials.
(3) Protective enclosures must be topped by three or more strands of
barbed wire or similar materials on brackets angled outward between 30
and 45 from the vertical, with a height of at least 2.4m (8 ft.)
including approximately one foot of barbed topping.
(4) Openings in or under protective enclosures must be secured by
grates, doors or covers of construction and fastening of sufficient
strength such that the integrity of the protective enclosure is not
reduced by any opening.
(c) Paragraphs (b) (1) through (3) of this section do not apply to
protective enclosures constructed before October 23, 1980.
(1) Are made of noncombustible materials;
(2) Are at least 2.1m (7 ft.) in height including approximately one
foot of barbed or similar topping; and
(3) Have served to protect the LNG plant without having been breached
during their history of service.
49 CFR 193.2909 Security communications.
A means must be provided for:
(a) Prompt communications between personnel having supervisory
security duties and law enforcement officials; and
(b) Direct communications between all on-duty personnel having
security duties and all control rooms and control stations.
49 CFR 193.2911 Security lighting.
Where security warning systems are not provided for security
monitoring under 193.2913, the area around the facilities listed under
193.2905(a) and each protective enclosure must be illuminated with a
minimum in service lighting intensity of not less than 2.2 lux (0.2 ftc)
between sunset and sunrise.
49 CFR 193.2913 Security monitoring.
Each protective enclosure and the area around each facility listed in
193.2905(a) must be monitored for the presence of unauthorized persons.
Monitoring must be by visual observation in accordance with the
schedule in the security procedures under 193.2903(a) or by security
warning systems that continuously transmit data to an attended location.
At an LNG plant with less than 40,000 m3 (250,000 bbl) of storage
capacity, only the protective enclosure must be monitored.
49 CFR 193.2915 Alternative power sources.
An alternative source of power that meets the requirements of
193.2445 must be provided for security lighting and security monitoring
and warning systems required under 193.2911 and 193.2913.
49 CFR 193.2917 Warning signs.
(a) Warning signs must be conspicuously placed along each protective
enclosure at intervals so that at least one sign is recognizable at
night from a distance of 30m (100 ft.) from any way that could
reasonably be used to approach the enclosure.
(b) Signs must be marked with at least the following on a background
of sharply contrasting color:
The words ''NO TRESPASSING,'' or words of comparable meaning.
(Amdt. 193-2, 45 FR 70409, Oct. 23, 1980, as amended at 47 FR 32720,
July 29, 1982)
49 CFR 193.2917 Pt. 193, App. A
49 CFR 193.2917 Appendix A to Part 193 -- Incorporation by Reference
A. American Concrete Institute (ACI), P.O. Box 19150, Redford
Station, Detroit, Michigan 48219.
B. American Gas Association (AGA), 1515 Wilson Boulevard, Arlington,
Virginia 22209.
C. American National Standards Institute (ANSI), 1430 Broadway, New
York, New York 10018.
D. American Petroleum Institute (API), 2101 L Street, NW.,
Washington, D.C. 20037.
E. American Society of Mechanical Engineers (ASME), United
Engineering Center, 345 East 47th Street, New York, New York 10017.
F. National Fire Protection Association (NFPA), Batterymarch Park,
Quincy, Massachusetts 02269.
G. International Conference of Building Officials, 5360 South Workman
Hill Road, Whittier, California 90601.
A. American Concrete Institute (ACI)
1. ACI Standard 311-75 -- Recommended Practice for Concrete
Inspection, (1975 edition).
B. American Gas Association (AGA)
1. Evaluation of LNG Vapor Control Methods. (October 1974 edition).
2. Purging Principles and Practice (1975 edition).
C. American National Standards Institute (ANSI)
1. ANSI A 58.1 Building Code Requirements for Minimum Design Loads in
Buildings and Other Structures.
D. American Petroleum Institute (API)
1. API 620-Recommended Rules for Design and Construction of Large,
Welded, Low Pressure Storage Tanks (6th edition, July 1977).
2. API 1104 Standard for Welding Pipelines and Related Facilities
(17th edition, 1988, except the Appendix).
3. API 6D Specifications for Pipeline Valves (17 edition, 1977).
E. American Society of Mechanical Engineers (ASME)
1. ANSI B31.3 Chemical and Plant Petroleum Refinery Piping (1976
edition).
2. ASME Boiler and Pressure Vessel Code, Section 1 Power Boilers
(1977 edition).
3. ASME Boiler and Pressure Vessel Code, Section 8 Division 1 (1977
edition).
4. ASME Boiler and Pressure Vessel Code, Section 8 Division 2,
Alternative Rules (1977 edition).
5. ASME Boiler and Pressure Vessel Code, Section 9 Welding and
Brazing Qualifications (1977 edition).
6. ASME Boiler and Pressure Vessel Code, Section 4 Heating Boilers.
7. ANSI B31.5 Refrigeration Piping (1974 edition).
8. ANSI B31.8 Gas Transmission and Distribution Piping Systems (1975
edition).
F. International Conference of Building Officials
1. UBC, Uniform Building Code (1979 edition).
G. National Fire Protection Association (NFPA)
1. NFPA No. 37 Stationary Combustion Engine and Gas Turbines (1979
edition).
2. NFPA No. 59A Storage and Handling of LNG (1979 edition).
2. NFPA No. 59A, Storage and Handling of LNG (1972 edition for
193.2005(c), otherwise 1979 edition).
3. NFPA No. 70 National Electric Code (1978 edition).
4. NFPA No. 30 Flammable Liquids.
4. NFPA No. 30, Flammable Liquids (1977 edition).
5. NFPA No. 51 B, Cutting and Welding Processes (1977 edition).
(45 FR 9203, Feb. 11, 1980, as amended by Amdt. 193-2, 45 FR 70410,
Oct. 23, 1980; Amdt. 193-3, 47 FR 44264, Oct. 7, 1982; Amdt. 193-6,
54 FR 27882, July 3, 1988; 54 FR 31405, July 28, 1989)
49 CFR 193.2917 Pt. 195
49 CFR 193.2917 PART 195 -- TRANSPORTATION OF HAZARDOUS LIQUIDS BY PIPELINE
49 CFR 193.2917 Subpart A -- General
Sec.
195.0 Scope.
195.1 Applicability.
195.2 Definitions.
195.3 Matter incorporated by reference.
195.4 Compatibility necessary for transportation of hazardous liquids
or carbon dioxide.
195.5 Conversion to service subject to this part.
195.8 Transportation of hazardous liquid or carbon dioxide in
pipelines constructed with other than steel pipe.
195.10 Responsibility of operator for compliance with this part.
49 CFR 193.2917 Subpart B -- Reporting Accidents and Safety-Related
Conditions
195.50 Reporting accidents.
195.52 Telephonic notice of certain accidents.
195.54 Accident reports.
195.55 Reporting safety-related conditions.
195.56 Filing safety-related condition reports.
195.57 Filing offshore pipeline condition reports.
195.58 Addressee for written reports.
195.60 Operator assistance in investigation.
195.62 Supplies of accident report DOT Form 7000-1.
195.63 OMB control number assigned to information collection.
49 CFR 193.2917 Subpart C -- Design Requirements
195.100 Scope.
195.101 Qualifying metallic components other than pipe.
195.102 Design temperature.
195.104 Variations in pressure.
195.106 Internal design pressure.
195.108 External pressure.
195.110 External loads.
195.111 Fracture propagation.
195.112 New pipe.
195.114 Used pipe.
195.116 Valves.
195.118 Fittings.
195.120 Changes in direction: Provision for internal passage.
195.122 Fabricated branch connections.
195.124 Closures.
195.126 Flange connection.
195.128 Station piping.
195.130 Fabricated assemblies.
195.132 Above ground breakout tanks.
49 CFR 193.2917 Subpart D -- Construction
195.200 Scope.
195.202 Compliance with specifications or standards.
195.204 Inspection -- general.
195.206 Material inspection.
195.208 Welding of supports and braces.
195.210 Pipeline location.
195.212 Bending of pipe.
195.214 Welding: General.
195.216 Welding: Miter joints.
195.222 Welders: Qualification of welders.
195.224 Welding: Weather.
195.226 Welding: Arc burns.
195.228 Welds and welding inspection: Standards of acceptability.
195.230 Welds: Repair or removal of defects.
195.234 Welds: Nondestructive testing.
195.236 External corrosion protection.
195.238 External coating.
195.242 Cathodic protection system.
195.244 Test leads.
195.246 Installation of pipe in a ditch.
195.248 Cover over buried pipeline.
195.250 Clearance between pipe and underground structures.
195.252 Backfilling.
195.254 Above ground components.
195.256 Crossing of railroads and highways.
195.258 Valves: General.
195.260 Valves: Location.
195.262 Pumping equipment.
195.264 Above ground breakout tanks.
195.266 Construction records.
49 CFR 193.2917 Subpart E -- Hydrostatic Testing
195.300 Scope.
195.302 General requirements.
195.304 Testing of components.
195.306 Test medium.
195.308 Testing of tie-ins.
195.310 Records.
49 CFR 193.2917 Subpart F -- Operation and Maintenance
195.400 Scope.
195.401 General requirements.
195.402 Procedural manual for operations, maintenance, and
emergencies.
195.403 Training.
195.404 Maps and records.
195.406 Maximum operating pressure.
195.408 Communications.
195.410 Line markers.
195.412 Inspection of rights-of-way and crossings under navigable
waters.
195.413 Underwater inspection and reburial of pipelines in the Gulf
of Mexico and its inlets.
195.414 Cathodic protection.
195.416 External corrosion control.
195.418 Internal corrosion control.
195.420 Valve maintenance.
195.422 Pipeline repairs.
195.424 Pipe movement.
195.426 Scraper and sphere facilities.
195.428 Overpressure safety devices.
195.430 Firefighting equipment.
195.432 Breakout tanks.
195.434 Signs.
195.436 Security of facilities.
195.438 Smoking or open flames.
195.440 Public education.
Appendix A -- Delineation Between Federal and State Jurisdiction --
Statement of Agency Policy and Interpretation
Authority: 49 App. U.S.C. 2002; and 49 CFR 1.53.
Source: Amdt. 195-22, 46 FR 38360, July 27, 1981, unless otherwise
noted.
Editorial Note: Nomenclature changes to part 195 appear at 50 FR
45733, Nov. 1, 1985.
49 CFR 193.2917 Subpart A -- General
49 CFR 195.0 Scope.
This part prescribes safety standards and reporting requirements for
pipeline facilities used in the transportation of hazardous liquids or
carbon dioxide.
(Amdt. 195-45, 56 FR 26925, June 12, 1991)
49 CFR 195.1 Applicability.
(a) Except as provided in paragraph (b) of this section, this part
applies to pipeline facilities and the transportation of hazardous
liquids or carbon dioxide associated with those facilities in or
affecting interstate or foreign commerce, including pipeline facilities
on the Outer Continental Shelf.
(b) This part does not apply to --
(1) Transportation of a hazardous liquid that is transported in a
gaseous state;
(2) Transportation of a hazardous liquid through a pipeline by
gravity;
(3) Transportation of a hazardous liquid through pipelines that
operate at a stress level of 20 percent or less of the specified minimum
yield strength of the line pipe;
(4) Transportation of petroleum in onshore gathering lines in rural
areas except gathering lines in the inlets of the Gulf of Mexico subject
to 195.413;
(5) Transportation of a hazardous liquid or carbon dioxide in
offshore pipelines which are located upstream from the outlet flange of
each facility on the Outer Continental Shelf where hydrocarbons or
carbon dioxide are produced or where produced hydrocarbons or carbon
dioxide are first separated, dehydrated, or otherwise processed,
whichever facility is farther downstream;
(6) Transportation of a hazardous liquid or carbon dioxide through
onshore production (including flow lines), refining, or manufacturing
facilities, or storage or in plant piping systems associated with such
facilities;
(7) Transportation of a hazardous liquid or carbon dioxide by vessel,
aircraft, tank truck, tank car, or other vehicle or terminal facilities
used exclusively to transfer hazardous liquids or carbon dioxide between
such modes of transportation.
(8) Transportation of carbon dioxide downstream from a point in the
vicinity of the well site at which carbon dioxide is delivered to a
production facility.
(c) Except for carbon dioxide pipelines that are relocated, replaced,
or otherwise changed, operators with carbon dioxide pipelines in
existence on July 12, 1991, need not comply with this part until July
12, 1992.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-33, 50 FR 15898, Apr. 23, 1985; Amdt. 195-36, 51 FR 20976, June 10,
1986; Amdt. 195-45, 56 FR 26925, June 12, 1991; Amdt. 195-45, 56 FR
50665, Oct. 8, 1991; Amdt. 195-47, 56 FR 63771, Dec. 5, 1991)
Effective Date Note: By Amdt. 195-47, 56 FR 63771, Dec. 5, 1991,
195.1 was amended by revising paragraph (b)(4), effective January 6,
1992. For the convenience of the user, the superseded text appears as
follows.
195.1 Applicability.
(b) * * *
(4) Transportation of petroleum in onshore gathering lines in rural
areas;
49 CFR 195.2 Definitions.
As used in this part --
Barrel means a unit of measurement equal to 42 U.S. standard gallons.
Breakout tank means a tank used to (a) relieve surges in a hazardous
liquid pipeline system or (b) receive and store hazardous liquid
transported by a pipeline for reinjection and continued transportation
by pipeline.
Carbon dioxide means a fluid consisting of more than 90 percent
carbon dioxide molecules compressed to a supercritical state.
Component means any part of a pipeline which may be subjected to pump
pressure including, but not limited to, pipe, valves, elbows, tees,
flanges, and closures.
Exposed pipeline means a pipeline where the top of the pipe is
protruding above the seabed in water less than 15 feet deep, as measured
from the mean low water.
Gathering line means a pipeline 8 inches or less in nominal diameter
that transports petroleum from a production facility.
Gulf of Mexico and its inlets means the waters from the mean high
water mark of the coast of the Gulf of Mexico and its inlets open to the
sea (excluding rivers, tidal marshes, lakes, and canals) seaward to
include the territorial sea and Outer Continental Shelf to a depth of 15
feet, as measured from the mean low water.
Hazard to navigation means, for the purpose of this part, a pipeline
where the top of the pipe is less than 12 inches below the seabed in
water less than 15 feet deep, as measured from the mean low water.
Hazardous liquid means petroleum, petroleum products, or anhydrous
ammonia.
Highly volatile liquid or HVL means a hazardous liquid which will
form a vapor cloud when released to the atmosphere and which has a vapor
pressure exceeding 276 kPa (40 psia) at 37.8 C (100 F).
Interstate pipeline means a pipeline or that part of a pipeline that
is used in the transportation of hazardous liquids or carbon dioxide in
interstate or foreign commerce.
Intrastate pipeline means a pipeline or that part of a pipeline to
which this part applies that is not an interstate pipeline.
Line section means a continuous run of pipe between adjacent pressure
pump stations, between a pressure pump station and terminal or breakout
tanks, between a pressure pump station and a block valve, or between
adjacent block valves.
Nominal wall thickness means the wall thickness listed in the pipe
specifications.
Offshore means beyond the line of ordinary low water along that
portion of the coast of the United States that is in direct contact with
the open seas and beyond the line marking the seaward limit of inland
waters.
Operator means a person who owns or operates pipeline facilities.
Person means any individual, firm, joint venture, partnership,
corporation, association, State, municipality, cooperative association,
or joint stock association, and includes any trustee, receiver,
assignee, or personal representative thereof.
Pipe or line pipe means a tube, usually cylindrical, through which a
hazardous liquid or carbon dioxide flows from one point to another.
Pipeline or pipeline system means all parts of a pipeline facility
through which a hazardous liquid or carbon dioxide moves in
transportation, including, but not limited to, line pipe, valves, and
other appurtenances connected to line pipe, pumping units, fabricated
assemblies associated with pumping units, metering and delivery stations
and fabricated assemblies therein, and breakout tanks.
Pipeline facility means new and existing pipe, rights-of-way and any
equipment, facility, or building used in the transportation of hazardous
liquids or carbon dioxide.
Production facility means piping or equipment used in the production,
extraction, recovery, lifting, stabilization, separation or treating of
petroleum or carbon dioxide, or associated storage or measurement. (To
be a production facility under this definition, piping or equipment must
be used in the process of extracting petroleum or carbon dioxide from
the ground or from facilities where CO2 is produced, and preparing it
for transportation by pipeline. This includes piping between treatment
plants which extract carbon dioxide, and facilities utilized for the
injection of carbon dioxide for recovery operations.)
Rural area means outside the limits of any incorporated or
unincorpated city, town, village, or any other designated residential or
commerical area such as a subdivision, a business or shopping center, or
community development.
Secretary means the Secretary of Transportation or any person to whom
he has delegated authority in the matter concerned.
Specified minimum yield strength means the minimum yield strength,
expressed in pounds per square inch, prescribed by the specification
under which the material is purchased from the manufacturer.
Stress level means the level of tangential or hoop stress, usually
expressed as a percentage of specified minimum yield strength.
Surge pressure means pressure produced by a change in velocity of the
moving stream that results from shutting down a pump station or pumping
unit, closure of a valve, or any other blockage of the moving stream.
(Amdt. 195-22, 46 FR 38360, July 27, 1981; 47 FR 32721, July 29,
1982, as amended by Amdt. 195-33, 50 FR 15898, Apr. 23, 1985; 50 FR
38660, Sept. 24, 1985; Amdt. 195-36, 51 FR 15007, Apr. 22, 1986; Amdt.
195-45, 56 FR 26925, June 12, 1991; Amdt. 195-47, 56 FR 63771, Dec. 5,
1991)
Effective Date Note: By Amdt. 195-47, 56 FR 63771, Dec. 5, 1991,
195.2 was amended by adding the definitions of Exposed pipeline, Gulf of
Mexico and its inlets, and Hazard to navigation, effective January 6,
1992.
49 CFR 195.3 Matter incorporated by reference.
(a) There are incorporated by reference in this part all materials
referred to in this part. Those materials are hereby made a part of
this regulation. Applicable editions are listed in paragraph (c) of
this section in parentheses following the title of the referenced
material. Earlier editions listed in previous editions of this section
may be used for components manufactured, designed, or installed in
accordance with those earlier editions at the time they were listed.
The user must refer to the appropriate previous edition of 49 CFR for a
listing of the earlier listed editions.
(b) All incorporated materials are available for inspection in the
Research and Special Programs Administration, Washington, DC, and at the
Office of the Federal Register, 1100 L Street, NW., Washington, DC.
These materials have been approved for incorporation by reference by the
Director of the Federal Register. In addition, materials incorporated
by reference are available as follows:
(1) American Petroleum Institute (API), 2101 L Street, NW.,
Washington, DC 20037, or 211 North Ervay, Suite 1700, Dallas, Texas
75201.
(2) The American Society of Mechanical Engineers (ASME), United
Engineering Center, 345 East 47th Street, New York, N.Y. 10017.
(3) Manufacturers Standardization Society of the Valve and Fittings
Industry (MSS), 5203 Leesburg Pike, Suite 502, Falls Church, Va. 22041.
(4) American National Standards Institute (ANSI), 1430 Broadway, New
York, N.Y. 10018.
(5) American Society for Testing and Materials (ASTM), 1916 Race
Street, Philadelphia, Pa. 19103.
(c) The full title for the publications incorporated by reference in
this part are as follows:
(1) American Petroleum Institute:
(i) API Specification 6D ''API Specification for Pipeline Valves,''
which may be obtained from the Dallas office (1977).
(ii) API Specification 1104 ''Standard for Welding Pipe Lines and
Related Facilities'' (17th edition, 1988).
(iii) API Specification 5L ''API Specification for Line Pipe''
(1988).
(2) American Society of Mechanical Engineers:
(i) ASME Boiler and Pressure Vessel Code, Section VIII, ''Pressure
Vessels Division 1'' (1977).
(ii) ASME Boiler and Pressure Vessel Code, Section IX, ''Welding
Qualifications'' (1977).
(3) Manufacturers Standardization Society of the Valve and Fitting
Industry: MSS SP-75, Specification for High-Test Wrought Weldings
Fittings (1976).
(4) American National Standards Institute:
(i) ANSI B16.9 ''Factory Made Wrought Steel Butt-Welding Fittings''
(1978).
(ii) ANSI B31.4 ''Liquid Petroleum Transportation Piping Systems''
(1979).
(5) American Society for Testing and Materials:
(i) ASTM Specification A53 ''Standard Specification for Welded and
Seamless Steel Pipe'' (1979).
(ii) ASTM Specification A106 ''Standard Specification for Seamless
Carbon Steel Pipe for High-Temperature Service'' (1979b).
(iii) -- (v) (Reserved)
(vi) ASTM Specification A671 ''Electric-Fusion-Welded Steel Pipe For
Atmospheric and Lower Temperatures'' (1977).
(vii) ASTM Specification A672 ''Electric-Fusion-Welded Steel Pipe For
High Pressure Service At Moderate Temperatures'' (1979).
(viii) ASTM Specification A691 ''Carbon and Alloy Steel Pipe
Electric-Fusion-Welded For High Pressure Service At High Temperatures''
(1979).
(ix) (Reserved)
(x) ASTM Specification A333 ''Standard Specification for Seamless and
Welded Steel Pipe for Low-Temperature Service'' (1979).
(xi) ASTM Specification A381 ''Standard Specification for
Metal-Arc-Welded Steel Pipe for High Pressure Transmission Systems''
(1979).
(Amdt. 195-22, 46 FR 38360, July 27, 1981; 47 FR 32721, July 29,
1982, as amended by Amdt. 195-32, 49 FR 36860, Sept. 20, 1984; Amdt
195-37, 51 FR 15335, Apr. 23, 1986; Amdt. 195-40, 54 FR 5628, Feb. 6,
1989; Amdt. 195-41, 54 FR 27882, July 3, 1989; Amdt. 195-43, 54 FR
32345, Aug. 7, 1989)
49 CFR 195.4 Compatibility necessary for transportation of hazardous
liquids or carbon dioxide.
No person may transport any hazardous liquid or carbon dioxide unless
the hazardous liquid or carbon dioxide is chemically compatible with
both the pipeline, including all components, and any other commodity
that it may come into contact with while in the pipeline.
(Amdt. 195-45, 56 FR 26925, June 12, 1991)
49 CFR 195.5 Conversion to service subject to this part.
(a) A steel pipeline previously used in service not subject to this
part qualifies for use under this part if the operator prepares and
follows a written procedure to accomplish the following:
(1) The design, construction, operation, and maintenance history of
the pipeline must be reviewed and, where sufficient historical records
are not available, appropriate tests must be performed to determine if
the pipeline is in a satisfactory condition for safe operation.
(2) The pipeline right-of-way, all aboveground segments of the
pipeline, and appropriately selected underground segments must be
visually inspected for physical defects and operating conditions which
reasonably could be expected to impair the strength or tightness of the
pipeline.
(3) All known unsafe defects and conditions must be corrected in
accordance with this part.
(4) The pipeline must be tested in accordance with the subpart E of
this part to substantiate the maximum allowable operating pressure
permitted by 195.406.
(b) A pipeline which qualifies for use under this section need not
comply with the corrosion control requirements of this part until 12
months after it is placed in service, notwithstanding any earlier
deadlines for compliance. In addition to the requirements of subpart F
of this part, the corrosion control requirements of subpart D apply to
each pipeline which substantially meets those requirements before it is
placed in service or which is a segment that is replaced, relocated, or
substantially altered.
(c) Each operator must keep for the life of the pipeline a record of
the investigations, tests, repairs, replacements, and alterations made
under the requirements of paragraph (a) of this section.
49 CFR 195.8 Transportation of hazardous liquid or carbon dioxide in
pipelines constructed with other than steel pipe.
No person may transport any hazardous liquid or carbon dioxide
through a pipe that is constructed after October 1, 1970, for hazardous
liquids or after July 12, 1991 for carbon dioxide of material other than
steel unless the person has notified the Secretary in writing at least
90 days before the transportation is to begin. The notice must state
whether carbon dioxide or a hazardous liquid is to be transported and
the chemical name, common name, properties and characteristics of the
hazardous liquid to be transported and the material used in construction
of the pipeline. If the Secretary determines that the transportation of
the hazardous liquid or carbon dioxide in the manner proposed would be
unduly hazardous, he will, within 90 days after receipt of the notice,
order the person that gave the notice, in writing, not to transport the
hazardous liquid or carbon dioxide in the proposed manner until further
notice.
(Amdt. 195-45, 56 FR 26925, June 12, 1991)
49 CFR 195.10 Responsibility of operator for compliance with this part.
An operator may make arrangements with another person for the
performance of any action required by this part. However, the operator
is not thereby relieved from the responsibility for compliance with any
requirement of this part.
49 CFR 195.10 Subpart B -- Reporting Accidents and Safety-Related Conditions
49 CFR 195.50 Reporting accidents.
An accident report is required for each failure in a pipeline system
subject to this part in which there is a release of the hazardous liquid
or carbon dioxide transported resulting in any of the following:
(a) Explosion or fire not intentionally set by the operator.
(b) Loss of 50 or more barrels of hazardous liquid or carbon dioxide.
(c) Escape to the atmosphere of more than five barrels a day of
highly volatile liquids.
(d) Death of any person.
(e) Bodily harm to any person resulting in one or more of the
following:
(1) Loss of consciousness.
(2) Necessity to carry the person from the scene.
(3) Necessity for medical treatment.
(4) Disability which prevents the discharge of normal duties or the
pursuit of normal activities beyond the day of the accident.
(f) Estimated property damage to the property of the operator or
others, or both, exceeding $5,000.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-39, 53 FR 24950, July 1, 1988; Amdt. 195-45, 56 FR 26925, June 12,
1991)
49 CFR 195.52 Telephonic notice of certain accidents.
(a) At the earliest practicable moment following discovery of a
release of the hazardous liquid or carbon dioxide transported resulting
in an event described in 195.50, the operator of the system shall give
notice, in accordance with paragraph (b) of this section, of any failure
that:
(1) Caused a death or a personal injury requiring hospitalization;
(2) Resulted in either a fire or explosion not intentionally set by
the operator;
(3) Caused estimated damage to the property of the operator or
others, or both, exceeding $5,000;
(4) Resulted in pollution of any stream, river, lake, reservoir, or
other similar body of water that violated applicable water quality
standards, caused a discoloration of the surface of the water or
adjoining shoreline, or deposited a sludge or emulsion beneath the
surface of the water or upon adjoining shorelines; or
(5) In the judgment of the operator was significant even though it
did not meet the criteria of any other paragraph of this section.
(b) Reports made under paragraph (a) of this section are made by
telephone to 800-424-8802 (in Washington, DC 267-2675) and must include
the following information:
(1) Name and address of the operator.
(2) Name and telephone number of the reporter.
(3) The location of the failure.
(4) The time of the failure.
(5) The fatalities and personal injuries, if any.
(6) All other significant facts known by the operator that are
relevant to the cause of the failure or extent of the damages.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-23, 47 FR 32720, July 29, 1982; Amdt. 195-44, 54 FR 40878, Oct. 4,
1989; Amdt. 195-45, 56 FR 26925, June 12, 1991)
49 CFR 195.54 Accident reports.
(a) Each operator that experiences an accident that is required to be
reported under 195.50 shall as soon as practicable, but not later than
30 days after discovery of the accident, prepare and file an accident
report on DOT Form 7000-1, or a facsimile.
(b) Whenever an operator receives any changes in the information
reported or additions to the original report on DOT Form 7000-1, it
shall file a supplemental report within 30 days.
(Amdt. 195-39, 53 FR 24950, July 1, 1988)
49 CFR 195.55 Reporting safety-related conditions.
(a) Except as provided in paragraph (b) of this section, each
operator shall report in accordance with 195.56 the existence of any of
the following safety-related conditions involving pipelines in service:
(1) General corrosion that has reduced the wall thickness to less
than that required for the maximum operating pressure, and localized
corrosion pitting to a degree where leakage might result.
(2) Unintended movement or abnormal loading of a pipeline by
environmental causes, such as an earthquake, landslide, or flood, that
impairs its serviceability.
(3) Any material defect or physical damage that impairs the
serviceability of a pipeline.
(4) Any malfunction or operating error that causes the pressure of a
pipeline to rise above 110 percent of its maximum operating pressure.
(5) A leak in a pipeline that constitutes an emergency.
(6) Any safety-related condition that could lead to an imminent
hazard and causes (either directly or indirectly by remedial action of
the operator), for purposes other than abandonment, a 20 percent or more
reduction in operating pressure or shutdown of operation of a pipeline.
(b) A report is not required for any safety-related condition that --
(1) Exists on a pipeline that is more than 220 yards from any
building intended for human occupancy or outdoor place of assembly,
except that reports are required for conditions within the right-of-way
of an active railroad, paved road, street, or highway, or that occur
offshore or at onshore locations where a loss of hazardous liquid could
reasonably be expected to pollute any stream, river, lake, reservoir, or
other body of water;
(2) Is an accident that is required to be reported under 195.50 or
results in such an accident before the deadline for filing the
safety-related condition report; or
(3) Is corrected by repair or replacement in accordance with
applicable safety standards before the deadline for filing the
safety-related condition report, except that reports are required for
all conditions under paragraph (a)(1) of this section other than
localized corrosion pitting on an effectively coated and cathodically
protected pipeline.
(Amdt. 195-39, 53 FR 24950, July 1, 1988; 53 FR 29800, Aug. 8, 1988)
49 CFR 195.56 Filing safety-related condition reports.
(a) Each report of a safety-related condition under 191.55(a) must
be filed (received by the Secretary) in writing within 5 working days
(not including Saturdays, Sundays, or Federal holidays) after the day a
representative of the operator first determines that the condition
exists, but not later than 10 working days after the day a
representative of the operator discovers the condition. Separate
conditions may be described in a single report if they are closely
related. To file a report by telefacsimile (fax), dial (202) 366-7128.
(b) The report must be headed ''Safety-Related Condition Report'' and
provide the following information:
(1) Name and principal address of operator.
(2) Date of report.
(3) Name, job title, and business telephone number of person
submitting the report.
(4) Name, job title, and business telephone number of person who
determined that the condition exists.
(5) Date condition was discovered and date condition was first
determined to exist.
(6) Location of condition, with reference to the State (and town,
city, or county) or offshore site, and as appropriate nearest street
address, offshore platform, survey station number, milepost, landmark,
or name of pipeline.
(7) Description of the condition, including circumstances leading to
its discovery, any significant effects of the condition on safety, and
the name of the commodity transported or stored.
(8) The corrective action taken (including reduction of pressure or
shutdown) before the report is submitted and the planned follow-up or
future corrective action, including the anticipated schedule for
starting and concluding such action.
(Amdt. 195-39, 53 FR 24950, July 1, 1988; 53 FR 29800, Aug. 8, 1988,
as amended by Amdt. 195-42, 54 FR 32344, Aug. 7, 1989; Amdt. 195-44,
54 FR 40878, Oct. 4, 1989)
Effective Date Note: By Amdt. 195-47, 56 FR 63771, Dec. 5, 1991,
195.57 was added, effective January 6, 1992.
49 CFR 195.57 Filing offshore pipeline condition reports.
(a) Each operator shall, within 60 days after completion of the
inspection of all its underwater pipelines subject to 195.413(a),
report the following information:
(1) Name and principal address of operator.
(2) Date of report.
(3) Name, job title, and business telephone number of person
submitting the report.
(4) Total number of miles of pipeline inspected.
(5) Length and date of installation of each exposed pipeline segment,
and location; including, if available, the location according to the
Minerals Management Service or state offshore area and block number
tract.
(6) Length and date of installation of each pipeline segment, if
different from a pipeline segment identified under paragraph (a)(5) of
this section, that is a hazard to navigation, and the location;
including, if available, the location according to the Minerals
Management Service or state offshore area and block number tract.
(b) The report shall be mailed to the Information Officer, Research
and Special Programs Administration, Department of Transportation, 400
Seventh Street, SW., Washington, DC 20590.
(Amdt. 195-47, 56 FR 63771, Dec. 5, 1991)
49 CFR 195.58 Addressee for written reports.
Each written report required by this subpart must be made to the
Information Resources Manager, Office of Pipeline Safety, Research and
Special Programs Administration, U.S. Department of Transportation, room
8417, 400 Seventh Street SW., Washington, DC 20590. However, accident
reports for intrastate pipelines subject to the jurisdiction of a State
agency pursuant to a certification under section 205 of the Hazardous
Liquid Pipeline Safety Act of 1979 may be submitted in duplicate to that
State agency if the regulations of that agency require submission of
these reports and provide for further transmittal of one copy within 10
days of receipt to the Information Resources Manager. Safety-related
condition reports required by 195.55 for intrastate pipelines must be
submitted concurrently to the State agency, and if that agency acts as
an agent of the Secretary with respect to interstate pipelines,
safety-related condition reports for these pipelines must be submitted
concurrently to that agency.
(Amdt. 195-39, 53 FR 24951, July 1, 1988)
49 CFR 195.60 Operator assistance in investigation.
If the Department of Transportation investigates an accident, the
operator involved shall make available to the representative of the
Department all records and information that in any way pertain to the
accident, and shall afford all reasonable assistance in the
investigation of the accident.
49 CFR 195.62 Supplies of accident report DOT Form 7000-1.
Each operator shall maintain an adequate supply of forms that are a
facsimile of DOT Form 7000-1 to enable it to promptly report accidents.
The Department will, upon request, furnish specimen copies of the form.
Requests should be addressed to the Information Resources Manager,
Office of Pipeline Safety, Department of Transportation, Washington, DC
20590.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended at 47 FR 32720,
July 29, 1982)
49 CFR 195.63 OMB control number assigned to information collection.
The control number assigned by the Office of Management and Budget to
the hazardous liquid pipeline information collection requirements of
this part pursuant to the Paperwork Reduction Act of 1980 is 2137-0047.
(Amdt. 195-34, 50 FR 34474, Aug. 26, 1985)
49 CFR 195.63 Subpart C -- Design Requirements
49 CFR 195.100 Scope.
This subpart prescribes minimum design requirements for new pipeline
systems constructed with steel pipe and for relocating, replacing, or
otherwise changing existing systems constructed with steel pipe.
However, it does not apply to the movement of line pipe covered by
195.424.
49 CFR 195.101 Qualifying metallic components other than pipe.
Notwithstanding any requirement of the subpart which incorporates by
reference an edition of a document listed in 195.3, a metallic
component other than pipe manufactured in accordance with any other
edition of that document is qualified for use if --
(a) It can be shown through visual inspection of the cleaned
component that no defect exists which might impair the strength or
tightness of the component: and
(b) The edition of the document under which the component was
manufactured has equal or more stringent requirements for the following
as an edition of that document currently or previously listed in 195.3:
(1) Pressure testing;
(2) Materials; and
(3) Pressure and temperature ratings.
(Amdt. 195-28, 48 FR 30639, July 5, 1983)
49 CFR 195.102 Design temperature.
(a) Material for components of the system must be chosen for the
temperature environment in which the components will be used so that the
pipeline will maintain its structural integrity.
(b) Components of carbon dioxide pipelines that are subject to low
temperatures during normal operation because of rapid pressure reduction
or during the initial fill of the line must be made of materials that
are suitable for those low temperatures.
(Admt. 195-45, 56 FR 26925, June 12, 1991)
49 CFR 195.104 Variations in pressure.
If, within a pipeline system, two or more components are to be
connected at a place where one will operate at a higher pressure than
another, the system must be designed so that any component operating at
the lower pressure will not be overstressed.
49 CFR 195.106 Internal design pressure.
(a) Internal design pressure for the pipe in a pipeline is determined
in accordance with the following formula:
P=Internal design pressure in pounds per square inch gauge.
S=Yield strength in pounds per square inch determined in accordance
with paragraph (b) of this section.
t=Nominal wall thickness of the pipe in inches. If this is unknown,
it is determined in accordance with paragraph (c) of this section.
D=Nominal outside diameter of the pipe in inches.
E=Seam joint factor determined in accordance with paragraph (e) of
this section.
F=A design factor of 0.72, except that a design factor of 0.60 is
used for pipe, including risers, on a platform located offshore or on a
platform in inland navigable waters, and 0.54 is used for pipe that has
been subjected to cold expansion to meet the specified minimum yield
strength and is subsequently heated, other than by welding or stress
relieving as a part of welding, to a temperature higher than 900 F (482
C) for any period of time or over 600 F (316 C) for more than 1 hour.
(b) The yield strength to be used in determining internal design
pressure under paragraph (a) of this section is the specified minimum
yield strength. If the specified minimum yield strength is not known,
the yield strength is determined by performing all of the tensile tests
of API Specification 5L on randomly selected test specimens with the
following number of tests:
If the average yield-tensile ratio exceeds 0.85, the yield strength
of the pipe is taken as 24,000 p.s.i. If the average yield-tensile ratio
is 0.85 or less, the yield strength of the pipe is taken as the lower of
the following:
(1) Eighty percent of the average yield strength determined by the
tensile tests.
(2) The lowest yield strength determined by the tensile tests.
(c) If the nominal wall thickness to be used in determining internal
design pressure under paragraph (a) of this section is not known, it is
determined by measuring the thickness of each piece of pipe at quarter
points on one end. However, if the pipe is of uniform grade, size, and
thickness, only 10 individual lengths or 5 percent of all lengths,
whichever is greater, need be measured. The thickness of the lengths
that are not measured must be verified by applying a gage set to the
minimum thickness found by the measurement. The nominal wall thickness
to be used is the next wall thickness found in commerical specifications
that is below the average of all the measurements taken. However, the
nominal wall thickness may not be more than 1.14 times the smallest
measurement taken on pipe that is less than 20 inches in outside
diameter, nor more than 1.11 times the smallest measurement taken on
pipe that is 20 inches or more in outside diameter.
(d) The minimum wall thickness of the pipe may not be less than 87.5
percent of the value used for nominal wall thickness in determining the
internal design pressure under paragraph (a) of this section. In
addition, the anticipated external loads and external pressures that are
concurrent with internal pressure must be considered in accordance with
195.108 and 195.110 and, after determining the internal design
pressure, the nominal wall thickness must be increased as necessary to
compensate for these concurrent loads and pressures.
(e) The seam joint factor used in paragraph (a) of this section is
determined in accordance with the following table:
The seam joint factor for pipe which is not covered by this paragraph
must be approved by the Secretary
(Amdt. 195-22, 46 FR 38360, July 27, 1981; 47 FR 32721, July 29,
1982, as amended by Amdt. 195-30, 49 FR 7569, Mar. 1, 1984; Amdt
195-37, 51 FR 15335, Apr. 23, 1986; Amdt 195-40, 54 FR 5628, Feb. 6,
1989)
49 CFR 195.108 External pressure.
Any external pressure that will be exerted on the pipe must be
provided for in designing a pipeline system.
49 CFR 195.110 External loads.
(a) Anticipated external loads (e.g.), earthquakes, vibration,
thermal expansion, and contraction must be provided for in designing a
pipeline system. In providing for expansion and flexibility, section
419 of ANSI B31.4 must be followed.
(b) The pipe and other components must be supported in such a way
that the support does not cause excess localized stresses. In designing
attachments to pipe, the added stress to the wall of the pipe must be
computed and compensated for.
49 CFR 195.111 Fracture propagation.
A carbon dioxide pipeline system must be designed to mitigate the
effects of fracture propagation.
(Amdt. 195-45, 56 FR 26926, June 12, 1991)
49 CFR 195.112 New pipe.
Any new pipe installed in a pipeline system must comply with the
following:
(a) The pipe must be made of steel of the carbon, low alloy-high
strength, or alloy type that is able to withstand the internal pressures
and external loads and pressures anticipated for the pipeline system.
(b) The pipe must be made in accordance with a written pipe
specification that sets forth the chemical requirements for the pipe
steel and mechanical tests for the pipe to provide pipe suitable for the
use intended.
(c) Each length of pipe with an outside diameter of 4 inches or more
must be marked on the pipe or pipe coating with the specification to
which it was made, the specified minimum yield strength or grade, and
the pipe size. The marking must be applied in a manner that does not
damage the pipe or pipe coating and must remain visible until the pipe
is installed.
49 CFR 195.114 Used pipe.
Any used pipe installed in a pipeline system must comply with
195.112 (a) and (b) and the following:
(a) The pipe must be of a known specification and the seam joint
factor must be determined in accordance with 195.106(e). If the
specified minimum yield strength or the wall thickness is not known, it
is determined in accordance with 195.106 (b) or (c) as appropriate.
(b) There may not be any:
(1) Buckles;
(2) Cracks, grooves, gouges, dents, or other surface defects that
exceed the maximum depth of such a defect permitted by the specification
to which the pipe was manufactured; or
(3) Corroded areas where the remaining wall thickness is less than
the minimum thickness required by the tolerances in the specification to
which the pipe was manufactured.
However, pipe that does not meet the requirements of paragraph (b)(3)
of this section may be used if the operating pressure is reduced to be
commensurate with the remaining wall thickness.
(Amdt. 195-22, 46 FR 38360, July 27, 1981; 47 FR 32721, July 29,
1982)
49 CFR 195.116 Valves.
Each valve installed in a pipeline system must comply with the
following:
(a) The valve must be of a sound engineering design.
(b) Materials subject to the internal pressure of the pipeline
system, including welded and flanged ends, must be compatible with the
pipe or fittings to which the valve is attached.
(c) Each part of the valve that will be in contact with the carbon
dioxide or hazardous liquid stream must be made of materials that are
compatible with carbon dioxide or each hazardous liquid that it is
anticipated will flow through the pipeline system.
(d) Each valve must be both hydrostatically shell tested and
hydrostatically seat tested without leakage to at least the requirements
set forth in section 5 of API Standard 6D.
(e) Each valve other than a check valve must be equipped with a means
for clearly indicating the position of the valve (open, closed, etc.).
(f) Each valve must be marked on the body or the nameplate, with at
least the following:
(1) Manufacturer's name or trademark.
(2) Class designation or the maximum working pressure to which the
valve may be subjected.
(3) Body material designation (the end connection material, if more
than one type is used).
(4) Nominal valve size.
(Amdt. 195-22, 46 FR 38360, July 27, 1981 as amended by Amdt.
195-45, 56 FR 26926, June 12, 1991)
49 CFR 195.118 Fittings.
(a) Butt-welding type fittings must meet the marking, end
preparation, and the bursting strength requirements of ANSI B16.9 or MSS
Standard Practice SP-75.
(b) There may not be any buckles, dents, cracks, gouges, or other
defects in the fitting that might reduce the strength of the fitting.
(c) The fitting must be suitable for the intended service and be at
least as strong as the pipe and other fittings in the pipeline system to
which it is attached.
(Amdt. 195-22, 46 FR 38360, July 27, 1981; 47 FR 32721, July 29,
1982)
49 CFR 195.120 Changes in direction: Provision for internal passage.
Each component of a main line system, other than manifolds, that
change direction within the pipeline system must have a radius of turn
that readily allows the passage of pipeline scrapers, spheres, and
internal inspection equipment.
49 CFR 195.122 Fabricated branch connections.
Each pipeline system must be designed so that the addition of any
fabricated branch connections will not reduce the strength of the
pipeline system.
49 CFR 195.124 Closures.
Each closure to be installed in a pipeline system must comply with
the ASME Boiler and Pressure Vessel Code, section VIII, Pressure
Vessels, Division 1, and must have pressure and temperature ratings at
least equal to those of the pipe to which the closure is attached.
49 CFR 195.126 Flange connection.
Each component of a flange connection must be compatible with each
other component and the connection as a unit must be suitable for the
service in which it is to be used.
49 CFR 195.128 Station piping.
Any pipe to be installed in a station that is subject to system
pressure must meet the applicable requirements of this subpart.
49 CFR 195.130 Fabricated assemblies.
Each fabricated assembly to be installed in a pipeline system must
meet the applicable requirements of this subpart.
49 CFR 195.132 Above ground breakout tanks.
Each above ground breakout tank must be designed to withstand the
internal pressure produced by the hazardous liquid to be stored therein
and any anticipated external loads.
49 CFR 195.132 Subpart D -- Construction
49 CFR 195.200 Scope.
This subpart prescribes minimum requirements for constructing new
pipeline systems with steel pipe, and for relocating, replacing, or
otherwise changing existing pipeline systems that are constructed with
steel pipe. However, this subpart does not apply to the movement of
pipe covered by 195.424.
49 CFR 195.202 Compliance with specifications or standards.
Each pipeline system must be constructed in accordance with
comprehensive written specifications or standards that are consistent
with the requirements of this part.
49 CFR 195.204 Inspection -- general.
Inspection must be provided to ensure the installation of pipe or
pipeline systems in accordance with the requirements of this subpart.
No person may be used to perform inspections unless that person has been
trained and is qualified in the phase of construction he is to inspect.
49 CFR 195.206 Material inspection.
No pipe or other component may be installed in a pipeline system
unless it has been visually inspected at the site of installation to
ensure that it is not damaged in a manner that could impair its strength
or reduce its serviceability.
49 CFR 195.208 Welding of supports and braces.
Supports or braces may not be welded directly to pipe that will be
operated at a pressure of more than 100 p.s.i.g.
49 CFR 195.210 Pipeline location.
(a) Pipeline right-of-way must be selected to avoid, as far as
practicable, areas containing private dwellings, industrial buildings,
and places of public assembly.
(b) No pipeline may be located within 50 feet of any private
dwelling, or any industrial building or place of public assembly in
which persons work, congregate, or assemble, unless it is provided with
at least 12 inches of cover in addition to that prescribed in 195.248.
49 CFR 195.212 Bending of pipe.
(a) Pipe must not have a wrinkle bend.
(b) Each field bend must comply with the following:
(1) A bend must not impair the serviceability of the pipe.
(2) Each bend must have a smooth contour and be free from buckling,
cracks, or any other mechanical damage.
(3) On pipe containing a longitudinal weld, the longitudinal weld
must be as near as practicable to the neutral axis of the bend unless-
(i) The bend is made with an internal bending mandrel; or
(ii) The pipe is 12 inches or less in outside diameter or has a
diameter to wall thickness ratio less than 70.
(c) Each circumferential weld which is located where the stress
during bending causes a permanent deformation in the pipe must be
nondestructively tested either before or after the bending process.
49 CFR 195.214 Welding: General.
(a) Welding must be performed by a qualified welder in accordance
with welding procedures qualified to produce welds meeting the
requirements of this subpart. The quality of the test welds used to
qualify the procedure shall be determined by destructive testing.
(b) Each welding procedure must be recorded in detail, including the
results of the qualifying tests. This record must be retained and
followed whenever the procedure is used.
(Amdt. 195-38, 51 FR 20297, June 4, 1986)
49 CFR 195.216 Welding: Miter joints.
A miter joint is not permitted (not including deflections up to 3
degrees that are caused by misalignment).
49 CFR 195.222 Welders: Qualification of welders.
Each welder must be qualified in accordance with section 3 of API
Standard 1104 or section IX of the ASME Boiler and Pressure Vessel Code,
except that a welder qualified under an earlier edition than listed in
195.3 may weld but may not requalify under that earlier edition.
(Amdt. 195-32, 49 FR 36860, Sept. 20, 1984, as amended by Amdt.
195-38, 51 FR 20297, June 4, 1986)
49 CFR 195.224 Welding: Weather.
Welding must be protected from weather conditions that would impair
the quality of the completed weld.
49 CFR 195.226 Welding: Arc burns.
(a) Each arc burn must be repaired.
(b) An arc burn may be repaired by completely removing the notch by
grinding, if the grinding does not reduce the remaining wall thickness
to less than the minimum thickness required by the tolerances in the
specification to which the pipe is manufactured. If a notch is not
repairable by grinding, a cylinder of the pipe containing the entire
notch must be removed.
(c) A ground may not be welded to the pipe or fitting that is being
welded.
49 CFR 195.228 Welds and welding inspection: Standards of
acceptability.
(a) Each weld and welding must be inspected to insure compliance with
the requirements of this subpart. Visual inspection must be
supplemented by nondestructive testing.
(b) The acceptability of a weld is determined according to the
standards in section 6 of API Standard 1104.
49 CFR 195.230 Welds: Repair or removal of defects.
(a) Each weld that is unacceptable under 195.228 must be removed or
repaired. Except for welds on an offshore pipeline being installed from
a pipelay vessel, a weld must be removed if it has a crack that is more
than 8 percent of the weld length.
(b) Each weld that is repaired must have the defect removed down to
sound metal and the segment to be repaired must be preheated if
conditions exist which would adversely affect the quality of the weld
repair. After repair, the segment of the weld that was repaired must be
inspected to ensure its acceptability.
(c) Repair of a crack, or of any defect in a previously repaired area
must be in accordance with written weld repair procedures that have been
qualified under 195.214. Repair procedures must provide that the
minimum mechanical properties specified for the welding procedure used
to make the original weld are met upon completion of the final weld
repair.
(Amdt. 195-29, 48 FR 48674, Oct. 20, 1983)
49 CFR 195.234 Welds: Nondestructive testing.
(a) A weld may be nondestructively tested by any process that will
clearly indicate any defects that may affect the integrity of the weld.
(b) Any nondestructive testing of welds must be performed --
(1) In accordance with a written set of procedures for nondestructive
testing; and
(2) With personnel that have been trained in the established
procedures and in the use of the equipment employed in the testing.
(c) Procedures for the proper interpretation of each weld inspection
must be established to ensure the acceptability of the weld under
195.228.
(d) During construction, at least 10 percent of the girth welds made
by each welder during each welding day must be nondestructively tested
over the entire circumference of the weld.
(e) 100 percent of each day's girth welds installed in the following
locations must be nondestructively tested 100 percent unless
impracticable, in which case at least 90 percent must be tested.
Nondestructive testing must be impracticable for each girth weld not
tested:
(1) At any onshore location where a loss of hazardous liquid could
reasonably be expected to pollute any stream, river, lake, reservoir, or
other body of water, and any offshore area;
(2) Within railroad or public road rights-of-way;
(3) At overhead road crossings and within tunnels;
(4) Within the limits of any incorporated subdivision of a State
government; and
(5) Within populated areas, including, but not limited to,
residential subdivisions, shopping centers, schools, designated
commercial areas, industrial facilities, public institutions, and places
of public assembly.
(f) When installing used pipe, 100 percent of the old girth welds
must be nondestructively tested.
(g) At pipeline tie-ins 100 percent of the girth welds must be
nondestructively tested.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-35, 50 FR 37192, Sept. 21, 1985)
49 CFR 195.236 External corrosion protection.
Each component in the pipeline system must be provided with
protection against external corrosion.
49 CFR 195.238 External coating.
(a) No pipeline system component may be buried or submerged unless
that component has an external protective coating that --
(1) Is designed to mitigate corrosion of the buried or submerged
component;
(2) Has sufficient adhesion to the metal surface to prevent underfilm
migration of moisture;
(3) Is sufficiently ductile to resist cracking;
(4) Has enough strength to resist damage due to handling and soil
stress; and
(5) Supports any supplemental cathodic protection.
In addition, if an insulating-type coating is used it must have low
moisture absorption and provide high electrical resistance.
(b) All pipe coating must be inspected just prior to lowering the
pipe into the ditch or submerging the pipe, and any damage discovered
must be repaired.
49 CFR 195.242 Cathodic protection system.
(a) A cathodic protection system must be installed for all buried or
submerged facilities to mitigate corrosion
that might result in structural failure. A test procedure must be
developed to determine whether adequate cathodic protection has been
achieved.
(b) A cathodic protection system must be installed not later than 1
year after completing the construction.
49 CFR 195.244 Test leads.
(a) Except for offshore pipelines, electrical test leads used for
corrosion control or electrolysis testing must be installed at intervals
frequent enough to obtain electrical measurements indicating the
adequacy of the cathodic protection.
(b) Test leads must be installed as follows:
(1) Enough looping or slack must be provided to prevent test leads
from being unduly stressed or broken during backfilling.
(2) Each lead must be attached to the pipe so as to prevent stress
concentration on the pipe.
(3) Each lead installed in a conduit must be suitably insulated from
the conduit.
49 CFR 195.246 Installation of pipe in a ditch.
(a) All pipe installed in a ditch must be installed in a manner that
minimizes the introduction of secondary stresses and the possibility of
damage to the pipe.
(b) All offshore pipe in water at least 12 feet deep but not more
than 200 feet deep, as measured from the mean low tide, must be
installed so that the top of the pipe is below the natural bottom unless
the pipeline is supported by stanchions, held in place by anchors or
heavy concrete coating, or an equivalent level of protection is
provided.
49 CFR 195.248 Cover over buried pipeline.
(a) Unless specifically exempted in this subpart, all pipe must be
buried so that it is below the level of cultivation. Except as provided
in paragraph (b) of this section, the pipe must be installed so that the
cover between the top of the pipe and the ground level, road bed, river
bottom, or sea bottom, as applicable, complies with the following table:
(b) Less cover than the minimum required by paragraph (a) of this
section and 195.210 may be used if --
(1) It is impracticable to comply with the minimum cover
requirements; and
(2) Additional protection is provided that is equivalent to the
minimum required cover.
(Amdt. 195-22, 46 FR 38360, July 27, 1981; 47 FR 32721, July 29,
1982)
49 CFR 195.250 Clearance between pipe and underground structures.
Any pipe installed underground must have at least 12 inches of
clearance between the outside of the pipe and the extremity of any other
underground structure, except that for drainage tile the minimum
clearance may be less than 12 inches but not less than 2 inches.
However, where 12 inches of clearance is impracticable, the clearance
may be reduced if adequate provisions are made for corrosion control.
49 CFR 195.252 Backfilling.
Backfilling must be performed in a manner that protects any pipe
coating and provides firm support for the pipe.
49 CFR 195.254 Above ground components.
(a) Any component may be installed above ground in the following
situations, if the other applicable requirements of this part are
complied with:
(1) Overhead crossings of highways, railroads, or a body of water.
(2) Spans over ditches and gullies.
(3) Scraper traps or block valves.
(4) Areas under the direct control of the operator.
(5) In any area inaccessible to the public.
(b) Each component covered by this section must be protected from the
forces exerted by the anticipated loads.
49 CFR 195.256 Crossing of railroads and highways.
The pipe at each railroad or highway crossing must be installed so as
to adequately withstand the dynamic forces exerted by anticipated
traffic loads.
49 CFR 195.258 Valves: General.
(a) Each valve must be installed in a location that is accessible to
authorized employees and that is protected from damage or tampering.
(b) Each submerged valve located offshore or in inland navigable
waters must be marked, or located by conventional survey techniques, to
facilitate quick location when operation of the valve is required.
49 CFR 195.260 Valves: Location.
A valve must be installed at each of the following locations:
(a) On the suction end and the discharge end of a pump station in a
manner that permits isolation of the pump station equipment in the event
of an emergency.
(b) On each line entering or leaving a breakout storage tank area in
a manner that permits isolation of the tank area from other facilities.
(c) On each mainline at locations along the pipeline system that will
minimize damage or pollution from accidental hazardous liquid discharge,
as appropriate for the terrain in open country, for offshore areas, or
for populated areas.
(d) On each lateral takeoff from a trunk line in a manner that
permits shutting off the lateral without interrupting the flow in the
trunk line.
(e) On each side of a water crossing that is more than 100 feet wide
from high-water mark to high-water mark unless the Secretary finds in a
particular case that valves are not justified.
(f) On each side of a reservoir holding water for human consumption.
(Amdt. 195-22, 46 FR 38360, July 27, 1981; 47 FR 32721, July 29,
1982)
49 CFR 195.262 Pumping equipment.
(a) Adequate ventilation must be provided in pump station buildings
to prevent the accumulation of hazardous vapors. Warning devices must
be installed to warn of the presence of hazardous vapors in the pumping
station building.
(b) The following must be provided in each pump station:
(1) Safety devices that prevent overpressuring of pumping equipment,
including the auxiliary pumping equipment within the pumping station.
(2) A device for the emergency shutdown of each pumping station.
(3) If power is necessary to actuate the safety devices, an auxiliary
power supply.
(c) Each safety device must be tested under conditions approximating
actual operations and found to function properly before the pumping
station may be used.
(d) Except for offshore pipelines pumping equipment may not be
installed --
(1) On any property that will not be under the control of the
operator; or
(2) Less than 50 feet from the boundary of the station.
(e) Adequate fire protection must be installed at each pump station.
If the fire protection system installed requires the use of pumps,
motive power must be provided for those pumps that is separate from the
power that operates the station.
49 CFR 195.264 Above ground breakout tanks.
For above ground breakout tanks --
(a) A means must be provided for containing hazardous liquids in the
event of spillage or tank failure.
(b) Tank areas must be adequately protected against unauthorized
entry.
(c) Normal and emergency relief venting must be provided for each
tank.
49 CFR 195.266 Construction records.
A complete record that shows the following must be maintained by the
operator involved for the life of each pipeline facility:
(a) The total number of girth welds and the number nondestructively
tested, including the number rejected and the disposition of each
rejected weld.
(b) The amount, location; and cover of each size of pipe installed.
(c) The location of each crossing of another pipeline.
(d) The location of each buried utility crossing.
(e) The location of each overhead crossing.
(f) The location of each valve and corrosion test station.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-34, 50 FR 34474, Aug. 26, 1985)
49 CFR 195.266 Subpart E -- Hydrostatic Testing
49 CFR 195.300 Scope.
This subpart prescribes minimum requirements for hydrostatic testing
of the following. It does not apply to movement of pipe covered by
195.424.
(a) Newly constructed steel pipeline systems;
(b) Existing steel pipeline systems that are relocated, replaced, or
otherwise changed;
(c) Onshore steel interstate pipelines constructed before January 8,
1971, that transport highly volatile liquids; and
(d) Onshore steel intrastate pipelines constructed before October 21,
1985, that transport highly volatile liquids.
(Amdt. 195-33, 50 FR 15899, Apr. 23, 1985)
49 CFR 195.302 General requirements.
(a) Each new pipeline system, each pipeline system in which pipe has
been relocated or replaced, or that part of a pipeline system that has
been relocated or replaced, must be hydrostatically tested in accordance
with this subpart without leakage.
(b) No person may transport a highly volatile liquid in an onshore
steel interstate pipeline constructed before January 8, 1971, or an
onshore steel intrastate pipeline constructed before October 21, 1985,
unless the pipeline has been hydrostatically tested in accordance with
this subpart or, except for pipelines subject to 195.5, its maximum
operating pressure is established under 195.406(a)(5). Dates to comply
with this requirement are:
(1) For onshore steel interstate pipelines in highly volatile liquid
service before September 8, 1980 --
(i) Planning and scheduling of hydrostatic testing or actual
reduction in maximum operating pressure to meet 195.406(a)(5) must be
completed before September 15, 1981; and
(ii) Hydrostatic testing must be completed before September 15, 1985,
with at least 50 percent of the testing completed before September 15,
1983.
(2) For onshore steel intrastate pipelines in highly volatile liquid
service before April 23, 1985 --
(i) Planning and scheduling of hydrostatic testing or actual
reduction in maximum operating pressure to meet 195.406(a)(5) must be
completed before April 23, 1986; and
(ii) Hydrostatic testing must be completed before April 23, 1990 with
at least 50 percent of the testing completed before April 23, 1988.
(c) The test pressure for each hydrostatic test conducted under this
section must be maintained throughout the part of the system being
tested for at least 4 continuous hours at a pressure equal to 125
percent, or more, of the maximum operating pressure and, in the case of
a pipeline that is not visually inspected for leakage during test, for
at least an additional 4 continuous hours at a pressure equal to 110
percent, or more, of the maximum operating pressure.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-33, 50 FR 15899, Apr. 23, 1985; 50 FR 38660, Sept. 24, 1985)
49 CFR 195.304 Testing of components.
(a) Each hydrostatic test under 195.302 must test all pipe and
attached fittings, including components, unless otherwise permitted by
paragraph (b) of this section.
(b) A component that is the only item being replaced or added to the
pipeline system need not be hydrostatically tested under paragraph (a)
of this section if the manufacturer certifies that either --
(1) The component was hydrostatically tested at the factory; or
(2) The component was manufactured under a quality control system
that ensures each component is at least equal in strength to a prototype
that was hydrostatically tested at the factory.
49 CFR 195.306 Test medium.
(a) Except as provided in paragraphs (b) and (c) of this section,
water must be used as the test medium.
(b) Except for offshore pipelines, liquid petroleum that does not
vaporize rapidly may be used as the test medium if --
(1) The entire pipeline section under test is outside of cities and
other populated areas;
(2) Each building within 300 feet of the test section is unoccupied
while the test pressure is equal to or greater than a pressure which
produces a hoop stress of 50 percent of specified minimum yield
strength;
(3) The test section is kept under surveillance by regular patrols
during the test; and
(4) Continuous communication is maintained along entire test section.
(c) Carbon dioxide pipelines may use inert gas or carbon dioxide as
the test medium if --
(1) The entire pipeline section under test is outside of cities and
other populated areas;
(2) Each building within 300 feet of the test section is unoccupied
while the test pressure is equal to or greater than a pressure that
produces a hoop stress of 50 percent of specified minimum yield
strength;
(3) The maximum hoop stress during the test does not exceed 80
percent of specified minimum yield strength;
(4) Continuous communication is maintained along entire test section;
and
(5) The pipe involved is new pipe having a longitudinal joint factor
of 1.00.
(Amdt. 195-22, 46 FR 38360, July 27, 1991, as amended by Amdt.
195-45, 56 FR 26926, June 12, 1991)
49 CFR 195.308 Testing of tie-ins.
Pipe associated with tie-ins must be hydrostatically tested, either
with the section to be tied in or separately.
49 CFR 195.310 Records.
(a) A record must be made of each hydrostatic test required by this
subpart, and the record of the latest test must be retained as long as
the facility tested is in use.
(b) The record required by paragraph (a) of this section must
include:
(1) The pressure recording charts;
(2) Test instrument calibration data;
(3) The name of the operator, the name of the person responsible for
making the test, and the name of the test company used, if any;
(4) The date and time of the test;
(5) The minimum test pressure;
(6) The test medium;
(7) A description of the facility tested and the test apparatus;
(8) An explanation of any pressure discontinuities, including test
failures, that appear on the pressure recording charts; and
(9) Where elevation differences in the section under test exceed 100
feet, a profile of the pipeline that shows the elevation and test sites
over the entire length of the test section.
(Amdt. 195-34, 50 FR 34474, Aug. 26, 1985)
49 CFR 195.310 Subpart F -- Operation and Maintenance
49 CFR 195.400 Scope.
This subpart prescribes minimum requirements for operating and
maintaining pipeline systems constructed with steel pipe.
49 CFR 195.401 General requirements.
(a) No operator may operate or maintain its pipeline systems at a
level of safety lower than that required by this subpart and the
procedures it is required to establish under 195.402(a) of this
subpart.
(b) Whenever an operator discovers any condition that could adversely
affect the safe operation of its pipeline system, it shall correct it
within a reasonable time. However, if the condition is of such a nature
that it presents an immediate hazard to persons or property, the
operator may not operate the affected part of the system until it has
corrected the unsafe condition.
(c) Except as provided by 195.5, no operator may operate any part of
any of the following pipelines unless it was designed and constructed as
required by this part:
(1) An interstate pipeline, on which construction was begun after
March 31, 1970, that transports hazardous liquid.
(2) An interstate offshore gathering line, on which construction was
begun after July 31, 1977, that transports hazardous liquid.
(3) An intrastate pipeline, on which construction was begun after
October 20, 1985, that transports hazardous liquid.
(4) A pipeline, on which construction was begun after July 11, 1991
that transports carbon dioxide.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-33, 50 FR 15899, Apr. 23, 1985; Amdt. 195-33A, 50 FR 39008, Sept.
26, 1985; Amdt. 195-36, 51 FR 15008, Apr. 22, 1986; Amdt. 195-45, 56
FR 26926, June 12, 1991)
49 CFR 195.402 Procedural manual for operations, maintenance, and
emergencies.
(a) General. Each operator shall prepare and follow for each
pipeline system a manual of written procedures for conducting normal
operations and maintenance activities and handling abnormal operations
and emergencies. This manual shall be reviewed at intervals not
exceeding 15 months, but at least once each calendar year, and
appropriate changes made as necessary to insure that the manual is
effective. This manual shall be prepared before initial operations of a
pipeline system commence, and appropriate parts shall be kept at
locations where operations and maintenance activities are conducted.
(b) The Administrator or the State Agency that has submitted a
current certification under section 205(a) of the Hazardous Liquid
Pipeline Safety Act with respect to the pipeline facility governed by an
operator's plans and procedures may, after notice and opportunity for
hearing as provided in 49 CFR 190.237 or the relevant State procedures,
require the operator to amend its plans and procedures as necessary to
provide a reasonable level of safety.
(c) Maintenance and normal operations. The manual required by
paragraph (a) of this section must include procedures for the following
to provide safety during maintenance and normal operations:
(1) Making construction records, maps, and operating history
available as necessary for safe operation and maintenance.
(2) Gathering of data needed for reporting accidents under subpart B
of this part in a timely and effective manner.
(3) Operating, maintaining, and repairing the pipeline system in
accordance with each of the requirements of this subpart.
(4) Determining which pipeline facilities are located in areas that
would require an immediate response by the operator to prevent hazards
to the public if the facilities failed or malfunctioned.
(5) Analyzing pipeline accidents to determine their causes.
(6) Minimizing the potential for hazards identified under paragraph
(c)(4) of this section and the possibility of recurrence of accidents
analyzed under paragraph (c)(5) of this section.
(7) Starting up and shutting down any part of the pipeline system in
a manner designed to assure operation within the limits prescribed by
195.406, consider the hazardous liquid or carbon dioxide in
transportation, variations in altitude along the pipeline, and pressure
monitoring and control devices.
(8) In the case of a pipeline that is not equipped to fail safe,
monitoring from an attended location pipeline pressure during startup
until steady state pressure and flow conditions are reached and during
shut-in to assure operation within limits prescribed by 195.406.
(9) In the case of facilities not equipped to fail safe that are
identified under paragraph 195.402(c)(4) or that control receipt and
delivery of the hazardous liquid or carbon dioxide, detecting abnormal
operating conditions by monitoring pressure, temperature, flow or other
appropriate operational data and transmitting this data to an attended
location.
(10) Abandoning pipeline facilities, including safe disconnection
from an operating pipeline system, purging of combustibles, and sealing
abandoned facilities left in place to minimize safety and environmental
hazards.
(11) Minimizing the likelihood of accidental ignition of vapors in
areas near facilities identified under paragraph (c)(4) of this section
where the potential exists for the presence of flammable liquids or
gases.
(12) Establishing and maintaining liaison with fire, police, and
other appropriate public officials to learn the responsibility and
resources of each government organization that may respond to a
hazardous liquid or carbon dioxide pipeline emergency and acquaint the
officials with the operator's ability in respondinq to a hazardous
liquid or carbon dioxide pipeline emergency and means of communication.
(13) Periodically reviewing the work done by operator personnel to
determine the effectiveness of the procedures used in normal operation
and maintenance and taking corrective action where deficiencies are
found.
(d) Abnormal operation. The manual required by paragraph (a) of this
section must include procedures for the following to provide safety when
operating design limits have been exceeded:
(1) Responding to, investigating, and correcting the cause of:
(i) Unintended closure of valves or shutdowns;
(ii) Increase or decrease in pressure or flow rate outside normal
operating limits;
(iii) Loss of communications;
(iv) Operation of any safety device;
(v) Any other malfunction of a component, deviation from normal
operation, or personnel error which could cause a hazard to persons or
property.
(2) Checking variations from normal operation after abnormal
operation has ended at sufficient critical locations in the system to
determine continued integrity and safe operation.
(3) Correcting variations from normal operation of pressure and flow
equipment and controls.
(4) Notifying responsible operator personnel when notice of an
abnormal operation is received.
(5) Periodically reviewing the response of operator personnel to
determine the effectiveness of the procedures controlling abnormal
operation and taking corrective action where deficiencies are found.
(e) Emergencies. The manual required by paragraph (a) of this
section must include procedures for the following to provide safety when
an emergency condition occurs:
(1) Receiving, identifying, and classifying notices of events which
need immediate response by the operator or notice to fire, police, or
other appropriate public officials and communicating this information to
appropriate operator personnel for corrective action.
(2) Prompt and effective response to a notice of each type emergency,
including fire or explosion occurring near or directly involving a
pipeline facility, accidental release of hazardous liquid or carbon
dioxide from a pipeline facility, operational failure causing a
hazardous condition, and natural disaster affecting pipeline facilities.
(3) Having personnel, equipment, instruments, tools, and material
available as needed at the scene of an emergency.
(4) Taking necessary action, such as emergency shutdown or pressure
reduction, to minimize the volume of hazardous liquid or carbon dioxide
that is released from any section of a pipeline system in the event of a
failure.
(5) Control of released hazardous liquid or carbon dioxide at an
accident scene to minimize the hazards, including possible intentional
ignition in the cases of flammable highly volatile liquid.
(6) Minimization of public exposure to injury and probability of
accidental ignition by assisting with evacuation of residents and
assisting with halting traffic on roads and railroads in the affected
area, or taking other appropriate action.
(7) Notifying fire, police, and other appropriate public officials of
hazardous liquid or carbon dioxide pipeline emergencies and coordinating
with them preplanned and actual responses during an emergency, including
additional precautions necessary for an emergency involving a pipeline
system transporting a highly volatile liquid.
(8) In the case of failure of a pipeline system transporting a highly
volatile liquid, use of appropriate instruments to assess the extent and
coverage of the vapor cloud and determine the hazardous areas.
(9) Providing for a post accident review of employee activities to
determine whether the procedures were effective in each emergency and
taking corrective action where deficiencies are found.
(f) Safety-related condition reports. The manual required by
paragraph (a) of this section must include instructions enabling
personnel who perform operation and maintenance activities to recognize
conditions that potentially may be safety-related conditions that are
subject to the reporting requirements of 195.55.
(Amdt. 195-22, 46 FR 38360, July 27, 1981; 47 FR 32721, July 29,
1982, as amended by Amdt. 195-24, 47 FR 46852, Oct. 21, 1982; Amdt.
195-39, 53 FR 24951, July 1, 1988; Amdt. 195-45, 56 FR 26926, June 12,
1991; Amdt. 195-46, 56 FR 31090, July 9, 1991)
49 CFR 195.403 Training.
(a) Each operator shall establish and conduct a continuing training
program to instruct operating and maintenance personnel to:
(1) Carry out the operating and maintenance, and emergency procedures
established under 195.402 that relate to their assignments;
(2) Know the characteristics and hazards of the hazardous liquids or
carbon dioxide transported, including, in the case of flammable HVL,
flammability of mixtures with air, odorless vapors, and water reactions;
(3) Recognize conditions that are likely to cause emergencies,
predict the consequences of facility malfunctions or failures and
hazardous liquid or carbon dioxide spills, and to take appropriate
corrective action;
(4) Take steps necessary to control any accidental release of
hazardous liquid or carbon dioxide and to minimize the potential for
fire, explosion, toxicity, or environmental damage;
(5) Learn the proper use of firefighting procedures and equipment,
fire suits, and breathing apparatus by utilizing, where feasible, a
simulated pipeline emergency condition; and
(6) In the case of maintenance personnel, to safely repair facilities
using appropriate special precautions, such as isolation and purging,
when highly volatile liquids are involved.
(b) At intervals not exceeding 15 months, but at least once each
calendar year, each operator shall:
(1) Review with personnel their performance in meeting the objectives
of the training program set forth in paragraph (a) of this section; and
(2) Make appropriate changes to the training program as necessary to
insure that it is effective.
(c) Each operator shall require and verify that its supervisors
maintain a thorough knowledge of that portion of the procedures
established under 195.402 for which they are responsible to insure
compliance.
(Amdt. 195-22, 46 FR 38360, July 27, 1981; 47 FR 32721, July 29,
1982, as amended by Amdt. 195-24, 47 FR 46852, Oct. 21, 1982; Amdt.
195-45, 56 FR 26926, June 12, 1991)
49 CFR 195.404 Maps and records.
(a) Each operator shall maintain current maps and records of its
pipeline systems that include at least the following information:
(1) Location and identification of the following pipeline facilities:
(i) Breakout tanks;
(ii) Pump stations;
(iii) Scraper and sphere facilities;
(iv) Pipeline valves;
(v) Cathodically protected facilities;
(vi) Facilities to which 195.402(c)(9) applies;
(vii) Rights-of-way; and
(viii) Safety devices to which 195.428 applies.
(2) All crossings of public roads, railroads, rivers, buried
utilities, and foreign pipelines.
(3) The maximum operating pressure of each pipeline.
(4) The diameter, grade, type, and nominal wall thickness of all
pipe.
(b) Each operator shall maintain for at least 3 years daily operating
records that indicate --
(1) The discharge pressure at each pump station; and
(2) Any emergency or abnormal operation to which the procedures under
195.402 apply.
(c) Each operator shall maintain the following records for the
periods specified:
(1) The date, location, and description of each repair made to pipe
shall be maintained for the useful life of the pipe.
(2) The date, location, and description of each repair made to parts
of the pipeline system other than pipe shall be maintained for at least
1 year.
(3) A record of each inspection and test required by this subpart
shall be maintained for at least 2 years or until the next inspection or
test is performed, whichever is longer.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-34, 50 FR 34474, Aug. 26, 1985)
49 CFR 195.406 Maximum operating pressure.
(a) Except for surge pressures and other variations from normal
operations, no operator may operate a pipeline at a pressure that
exceeds any of the following:
(1) The internal design pressure of the pipe determined in accordance
with 195.106.
(2) The design pressure of any other component of the pipeline.
(3) Eighty percent of the test pressure for any part of the pipeline
which has been hydrostatically tested under subpart E of this part.
(4) Eighty percent of the factory test pressure or of the prototype
test pressure for any individually installed component which is excepted
from testing under 195.304.
(5) In the case of onshore HVL interstate pipelines constructed
before January 8, 1971, or onshore HVL intrastate pipelines constructed
before October 21, 1985, that have not been tested under subpart E of
this part, 80 percent of the test pressure or highest operating pressure
to which the pipeline was subjected for four or more continuous hours
that can be demonstrated by recording charts or logs made at the time
the test or operations were conducted. (See 195.302(b) for compliance
schedules for HVL interstate pipelines in service before September 8,
1980, and for HVL intrastate pipelines in service before April 23,
1985.)
(b) No operator may pemit the pressure in a pipeline during surges or
other variations from normal operations to exceed 110 percent of the
operating pressure limit established under paragraph (a) of this
section. Each operator must provide adequate controls and protective
equipment to control the pressure within this limit.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-33, 50 FR 15899, Apr. 23, 1985; 50 FR 38660, Sept. 24, 1985)
49 CFR 195.408 Communications.
(a) Each operator must have a communication system to provide for the
transmission of information needed for the safe operation of its
pipeline system.
(b) The communication system required by paragraph (a) of this
section must, as a minimum, include means for:
(1) Monitoring operational data as required by 195.402(c)(9);
(2) Receiving notices from operator personnel, the public, and public
authorities of abnormal or emergency conditions and sending this
information to appropriate personnel or government agencies for
corrective action;
(3) Conducting two-way vocal communication between a control center
and the scene of abnormal operations and emergencies; and
(4) Providing communication with fire, police, and other appropriate
public officials during emergency conditions, including a natural
disaster.
49 CFR 195.410 Line markers.
(a) Except as provided in paragraph (b) of this section, each
operator shall place and maintain line markers over each buried pipeline
in accordance with the following:
(1) Markers must be located at each public road crossing, at each
railroad crossing, and in sufficient number along the remainder of each
buried line so that its location is accurately known.
(2) The marker must state at least the following: ''Warning''
followed by the words ''Petroleum (or the name of the hazardous liquid
transported) Pipeline'' or ''Carbon Dioxide Pipeline'' (in lettering at
least l inch high with an approximate stroke of one-quarter inch on a
background of sharply contrasting color), the name of the operator and a
telephone number (including area code) where the operator can be reached
at all times.
(b) Line markers are not required for buried pipelines located --
(1) Offshore or at crossings of or under waterways and other bodies
of water; or
(2) In heavily developed urban areas such as downtown business
centers where --
(i) The placement of markers is impracticable and would not serve the
purpose for which markers are intended; and
(ii) The local government maintains current substructure records.
(c) Each operator shall provide line marking at locations where the
line is above ground in areas that are accessible to the public.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-27, 48 FR 25208, June 6, 1983; Amdt. 195-45, 56 FR 26926, June 12,
1991)
49 CFR 195.412 Inspection of rights-of-way and crossings under
navigable waters.
(a) Each operator shall, at intervals not exceeding 3 weeks, but at
least 26 times each calendar year, inspect the surface conditions on or
adjacent to each pipeline right-of-way.
(b) Except for offshore pipelines, each operator shall, at intervals
not exceeding 5 years, inspect each crossing under a navigable waterway
to determine the condition of the crossing.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-24, 47 FR 46852, Oct. 21, 1982)
Effective Date Note: By Amdt. 195-47, 56 FR 63771, Dec. 5, 1991,
195.413 was added, effective January 6, 1992.
49 CFR 195.413 Underwater inspection and reburial of pipelines in the
Gulf of Mexico and its inlets.
(a) Except for gathering lines of 4-inch nominal diameter or smaller,
each operator shall, in accordance with this section, conduct an
underwater inspection of its pipelines in the Gulf of Mexico and its
inlets. The inspection must be conducted after October 3, 1989 and
before November 16, 1992.
(b) If, as a result of an inspection under paragraph (a) of this
section, or upon notification by any person, an operator discovers that
a pipeline it operates is exposed on the seabed or constitutes a hazard
to navigation, the operator shall --
(1) Promptly, but not later than 24 hours after discovery, notify the
National Response Center, telephone: 1-800-424-8802 of the location,
and, if available, the geographic coordinates of that pipeline;
(2) Promptly, but not later than 7 days after discovery, mark the
location of the pipeline in accordance with 33 CFR part 64 at the ends
of the pipeline segment and at intervals of not over 500 yards long,
except that a pipeline segment less than 200 yards long need only be
marked at the center; and
(3) Within 6 months after discovery, or not later than November 1 of
the following year if the 6 month period is after November 1 of the year
that the discovery is made, place the pipeline so that the top of the
pipe is 36 inches below the seabed for normal excavation or 18 inches
for rock excavation.
(Amdt. 195-47, 56 FR 63771, Dec. 5, 1991)
49 CFR 195.414 Cathodic protection.
(a) No operator may operate a hazardous liquid interstate pipeline
after March 31, 1973, a hazardous liquid intrastate pipeline after
October 19, 1988, or a carbon dioxide pipeline after July 12, 1993 that
has an effective external surface coating material, unless that pipeline
is cathodically protected. This paragraph does not apply to breakout
tank areas and buried pumping station piping. For the purposes of this
subpart, a pipeline does not have an effective external coating, and
shall be considered bare, if its cathodic protection current
requirements are substantially the same as if it were bare.
(b) Each operator shall electrically inspect each bare hazardous
liquid interstate pipeline before April 1, 1975, each bare hazardous
liquid intrastate pipeline before October 20, 1990, and each bare carbon
dioxide pipeline before July 12, 1994 to determine any areas in which
active corrosion is taking place. The operator may not increase its
established operating pressure on a section of bare pipeline until the
section has been so electrically inspected. In any areas where active
corrosion is found, the operator shall provide cathodic protection.
Section 195.416 (f) and (g) apply to all corroded pipe that is found.
(c) Each operator shall electrically inspect all breakout tank areas
and buried pumping station piping on hazardous liquid interstate
pipelines before April 1, 1973, on hazardous liquid intrastate pipelines
before October 20, 1988, and on carbon dioxide pipelines before July 12,
1994 as to the need for cathodic protection, and cathodic protection
shall be provided where necessary.
(Amdt. 195-45, 56 FR 26926, June 12, 1991)
49 CFR 195.416 External corrosion control.
(a) Each operator shall, at intervals not exceeding 15 months, but at
least once each calendar year, conduct tests on each underground
facility in its pipeline systems that is under cathodic protection to
determine whether the protection is adequate.
(b) Each operator shall maintain the test leads required for cathodic
protection in such a condition that electrical measurements can be
obtained to ensure adequate protection.
(c) Each operator shall, at intervals not exceeding 2 1/2 months, but
at least six times each calendar year, inspect each of its cathodic
protection rectifiers.
(d) Each operator shall, at intervals not exceeding 5 years,
electrically inspect the bare pipe in its pipeline system that is not
cathodically protected and must study leak records for that pipe to
determine if additional protection is needed.
(e) Whenever any buried pipe is exposed for any reason, the operator
shall examine the pipe for evidence of external corrosion. If the
operator finds that there is active corrosion, that the surface of the
pipe is generally pitted, or that corrosion has caused a leak, it shall
investigate further to determine the extent of the corrosion.
(f) Any pipe that is found to be generally corroded so that the
remaining wall thickness is less than the minimum thickness required by
the pipe specification tolerances must either be replaced with coated
pipe that meets the requirements of this part or, if the area is small,
must be repaired. However, the operator need not replace generally
corroded pipe if the operating pressure is reduced to be commensurate
with the limits on operating pressure specified in this subpart, based
on the actual remaining wall thickness.
(g) If localized corrosion pitting is found to exist to a degree
where leakage might result, the pipe must be replaced or repaired, or
the operating pressure must be reduced commensurate with the strength of
the pipe based on the actual remaining wall thickness in the pits.
(h) Each operator shall clean, coat with material suitable for the
prevention of atmospheric corrosion, and, maintain this protection for,
each component in its pipeline system that is exposed to the atmosphere.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-24, 47 FR 46852, Oct. 21, 1982; Amdt. 195-31, 49 FR 36384, Sept.
17, 1984)
49 CFR 195.418 Internal corrosion control.
(a) No operator may transport any hazardous liquid or carbon dioxide
that would corrode the pipe or other components of its pipeline system,
unless it has investigated the corrosive effect of the hazardous liquid
or carbon dioxide on the system and has taken adequate steps to mitigate
corrosion.
(b) If corrosion inhibitors are used to mitigate internal corrosion
the operator shall use inhibitors in sufficient quantity to protect the
entire part of the system that the inhibitors are designed to protect
and shall also use coupons or other monitoring equipment to determine
their effectiveness.
(c) The operator shall, at intervals not exceeding 7 1/2 months, but
at least twice each calendar year, examine coupons or other types of
monitoring equipment to determine the effectiveness of the inhibitors or
the extent of any corrosion.
(d) Whenever any pipe is removed from the pipeline for any reason,
the operator must inspect the internal surface for evidence of
corrosion. If the pipe is generally corroded such that the remaining
wall thickness is less than the minimum thickness required by the pipe
specification tolerances, the operator shall investigate adjacent pipe
to determine the extent of the corrosion. The corroded pipe must be
replaced with pipe that meets the requirements of this part or, based on
the actual remaining wall thickness, the operating pressure must be
reduced to be commensurate with the limits on operating pressure
specified in this subpart.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-20B, 46 FR 38922, July 30, 1981; Amdt. 195-24, 47 FR 46852, Oct.
21, 1982; Amdt. 195-45, 56 FR 26927, June 12, 1991)
49 CFR 195.420 Valve maintenance.
(a) Each operator shall maintain each valve that is necessary for the
safe operation of its pipeline systems in good working order at all
times.
(b) Each operator shall, at intervals not exceeding 7 1/2 months, but
at least twice each calendar year, inspect each mainline valve to
determine that it is functioning properly.
(c) Each operator shall provide protection for each valve from
unauthorized operation and from vandalism.
(Amdt. 195-22, 46 FR 38360, July 27, 1981; 47 FR 32721, July 29,
1982, as amended by Amdt. 195-24, 47 FR 46852, Oct. 21, 1982)
49 CFR 195.422 Pipeline repairs.
(a) Each operator shall, in repairing its pipeline systems, insure
that the repairs are made in a safe manner and are made so as to prevent
damage to persons or property.
(b) No operator may use any pipe, valve, of fitting, for replacement
in repairing pipeline facilities, unless it is designed and constructed
as required by this part.
49 CFR 195.424 Pipe movement.
(a) No operator may move any line pipe, unless the pressure in the
line section involved is reduced to not more than 50 percent of the
maximum operating pressure.
(b) No operator may move any pipeline containing highly volatile
liquids where materials in the line section involved are joined by
welding unless --
(1) Movement when the pipeline does not contain highly volatile
liquids is impractical;
(2) The procedures of the operator under 195.402 contain precautions
to protect the public against the hazard in moving pipelines containing
highly volatile liquids, including the use of warnings, where necessary,
to evacuate the area close to the pipeline; and
(3) The pressure in that line section is reduced to the lower of the
following:
(i) Fifty percent or less of the maximum operating pressure; or
(ii) The lowest practical level that will maintain the highly
volatile liquid in a liquid state with continuous flow, but not less
than 50 p.s.i.g. above the vapor pressure of the commodity.
(c) No operator may move any pipeline containing highly volatile
liquids where materials in the line section involved are not joined by
welding unless --
(1) The operator complies with paragraphs (b) (1) and (2) of this
section; and
(2) That line section is isolated to prevent the flow of highly
volatile liquid.
(Amdt. 195-22, 46 FR 38360, July 27, 1981; 46 FR 38922, July 30,
1981)
49 CFR 195.426 Scraper and sphere facilities.
No operator may use a launcher or receiver that is not equipped with
a relief device capable of safely relieving pressure in the barrel
before insertion or removal of scrapers or spheres. The operator must
use a suitable device to indicate that pressure has been relieved in the
barrel or must provide a means to prevent insertion or removal of
scrapers or spheres if pressure has not been relieved in the barrel.
(Amdt. 195-22, 46 FR 38360, July 27, 1981; 47 FR 32721, July 29,
1982)
49 CFR 195.428 Overpressure safety devices.
(a) Except as provided in paragraph (b) of this section, each
operator shall, at intervals not exceeding 15 months, but at least once
each calendar year, or in the case of pipelines used to carry highly
volatile liquids, at intervals not to exceed 7 1/2 months, but at least
twice each calendar year, inspect and test each pressure limiting
device, relief valve, pressure regulator, or other item of pressure
control equipment to determine that it is functioning properly, is in
good mechanical condition, and is adequate from the standpoint of
capacity and reliability of operation for the service in which it is
used.
(b) In the case of relief valves on pressure breakout tanks
containing highly volatile liquids, each operator shall test each valve
at intervals not exceeding 5 years.
(Amdt. 195-22, 46 FR 38360, July 27, 1981, as amended by Amdt.
195-24, 47 FR 46852, Oct. 21, 1982)
49 CFR 195.430 Firefighting equipment.
Each operator shall maintain adequate firefighting equipment at each
pump station and breakout tank area. The equipment must be --
(a) In proper operating condition at all times;
(b) Plainly marked so that its identity as firefighting equipment is
clear; and
(c) Located so that it is easily accessible during a fire.
49 CFR 195.432 Breakout tanks.
Each operator shall, at intervals not exceeding 15 months, but at
least once each calendar year, inspect each breakout tank (including
atmospheric and pressure tanks).
(Amdt. 195-24, 47 FR 46852, Oct. 21, 1982)
49 CFR 195.434 Signs.
Each operator shall maintain signs visible to the public around each
pumping station and breakout tank area. Each sign must contain the name
of the operator and an emergency telephone number to contact.
49 CFR 195.436 Security of facilities.
Each operator shall provide protection for each pumping station and
breakout tank area and other exposed facility (such as scraper traps)
from vandalism and unauthorized entry.
49 CFR 195.438 Smoking or open flames.
Each operator shall prohibit smoking and open flames in each pump
station area and each breakout tank area where there is a possibility of
the leakage of a flammable hazardous liquid or of the presence of
flammable vapors.
49 CFR 195.440 Public education.
Each operator shall establish a continuing educational program to
enable the public, appropriate government organizations and persons
engaged in excavation-related activities to recognize a hazardous liquid
or a carbpn dioxide pipeline emergency and to report it to the operator
or the fire, police, or other appropriate public officials. The program
must be conducted in English and in other languages commonly understood
by a significant number and concentration of non-English speaking
population in the operator's operating areas.
(Amdt. 195-45, 56 FR 26927, June 12, 1991)
49 CFR 195.440 Appendix A -- Delineation Between Federal and State Jurisdiction -- Statement of Agency Policy and Interpretation
49 CFR 195.440 Pt. 195, App. A
In 1979, Congress enacted comprehensive safety legislation governing
the transportation of hazardous liquids by pipeline, the Hazardous
Liquids Pipeline Safety Act of 1979, 49 U.S.C. 2001 et seq. (HLPSA).
The HLPSA expanded the existing statutory authority for safety
regulation, which was limited to transportation by common carriers in
interstate and foreign commerce, to transportation through facilities
used in or affecting interstate or foreign commerce. It also added
civil penalty, compliance order, and injunctive enforcement authorities
to the existing criminal sanctions. Modeled largely on the Natural Gas
Pipeline Safety Act of 1968, 49 U.S.C. 1671 et seq. (NGPSA), the HLPSA
provides for a national hazardous liquid pipeline safety program with
nationally uniform minimal standards and with enforcement administered
through a Federal-State partnership. The HLPSA leaves to exclusive
Federal regulation and enforcement the ''interstate pipeline
facilities,'' those used for the pipeline transportation of hazardous
liquids in interstate or foreign commerce. For the remainder of the
pipeline facilities, denominated ''intrastate pipeline facilities,'' the
HLPSA provides that the same Federal regulation and enforcement will
apply unless a State certifies that it will assume those
responsibilities. A certified State must adopt the same minimal
standards but may adopt additional more stringent standards so long as
they are compatible. Therefore, in States which participate in the
hazardous liquid pipeline safety program through certification, it is
necessary to distinguish the interstate from the intrastate pipeline
facilities.
In deciding that an administratively practical approach was necessary
in distinguishing between interstate and intrastate liquid pipeline
facilities and in determining how best to accomplish this, DOT has
logically examined the approach used in the NGPSA. The NGPSA defines
the interstate gas pipeline facilities subject to exclusive Federal
jurisdiction as those subject to the economic regulatory jurisdiction of
the Federal Energy Regulatory Commission (FERC). Experience has proven
this approach practical. Unlike the NGPSA however, the HLPSA has no
specific reference to FERC jurisdiction, but instead defines interstate
liquid pipeline facilities by the more commonly used means of specifying
the end points of the transportation involved. For example, the
economic regulatory jurisdiction of FERC over the transportation of both
gas and liquids by pipeline is defined in much the same way. In
implementing the HLPSA DOT has sought a practicable means of
distinguishing between interstate and intrastate pipeline facilities
that provide the requisite degree of certainty to Federal and State
enforcement personnel and to the regulated entities. DOT intends that
this statement of agency policy and interpretation provide that
certainty.
In 1981, DOT decided that the inventory of liquid pipeline facilities
identified as subject to the jurisdiction of FERC approximates the HLPSA
category of ''interstate pipeline facilities.'' Administrative use of
the FERC inventory has the added benefit of avoiding the creation of a
separate Federal scheme for determination of jurisdiction over the same
regulated entities. DOT recognizes that the FERC inventory is only an
approximation and may not be totally satisfactory without some
modification. The difficulties stem from some significant differences
in the economic regulation of liquid and of natural gas pipelines.
There is an affirmative assertion of jurisdiction by FERC over natural
gas pipelines through the issuance of certificates of public convenience
and necessity prior to commencing operations. With liquid pipelines,
there is only a rebuttable presumption of jurisdiction created by the
filing by pipeline operators of tariffs (or concurrences) for movement
of liquids through existing facilities. Although FERC does police the
filings for such matters as compliance with the general duties of common
carriers, the question of jurisdiction is normally only aired upon
complaint. While any person, including State or Federal agencies, can
avail themselves of the FERC forum by use of the complaint process, that
process has only been rarely used to review jurisdictional matters
(probably because of the infrequency of real disputes on the issue).
Where the issue has arisen, the reviewing body has noted the need to
examine various criteria primarily of an economic nature. DOT believes
that, in most cases, the formal FERC forum can better receive and
evaluate the type of information that is needed to make decisions of
this nature than can DOT.
In delineating which liquid pipeline facilities are interstate
pipeline facilities within the meaning of the HLPSA, DOT will generally
rely on the FERC filings; that is, if there is a tariff or concurrence
filed with FERC governing the transportation of hazardous liquids over a
pipeline facility or if there has been an exemption from the obligation
to file tariffs obtained from FERC, then DOT will, as a general rule,
consider the facility to be an interstate pipeline facility within the
meaning of the HLPSA. The types of situations in which DOT will ignore
the existence or non-existence of a filing with FERC will be limited to
those cases in which it appears obvious that a complaint filed with FERC
would be successful or in which blind reliance on a FERC filing would
result in a situation clearly not intended by the HLPSA such as a
pipeline facility not being subject to either State or Federal safety
regulation. DOT anticipates that the situations in which there is any
question about the validity of the FERC filings as a ready reference
will be few and that the actual variations from reliance on those
filings will be rare. The following examples indicate the types of
facilities which DOT believes are interstate pipeline facilities subject
to the HLPSA despite the lack of a filing with FERC and the types of
facilities over which DOT will generally defer to the jurisdiction of a
certifying state despite the existence of a filing with FERC.
Example 1. Pipeline company P operates a pipeline from ''Point A''
located in State X to ''Point B'' (also in X). The physical facilities
never cross a state line and do not connect with any other pipeline
which does cross a state line. Pipeline company P also operates another
pipeline between ''Point C'' in State X and ''Point D'' in an adjoining
State Y. Pipeline company P files a tariff with FERC for transportation
from ''Point A'' to ''Point B'' as well as for transportation from
''Point C'' to ''Point D.'' DOT will ignore filing for the line from
''Point A'' to ''Point B'' and consider the line to be intrastate.
Example 2. Same as in example 1 except that P does not file any
tariffs with FERC. DOT will assume jurisdiction of the line between
''Point C'' and ''Point D.''
Example 3. Same as in example 1 except that P files its tariff for
the line between ''Point C'' and ''Point D'' not only with FERC but also
with State X. DOT will rely on the FERC filing as indication of
interstate commerce.
Example 4. Same as in example 1 except that the pipline from ''Point
A'' to ''Point B'' (in State X) connects with a pipeline operated by
another company transports liquid between ''Point B'' (in State X) and
''Point D'' (in State Y). DOT will rely on the FERC filing as
indication of interstate commerce.
Example 5. Same as in example 1 except that the line between ''Point
C'' and ''Point D'' has a lateral line connected to it. The lateral is
located entirely with State X. DOT will rely on the existence or
non-existence of a FERC filing covering transportation over that lateral
as determinitive of interstate commerce.
Example 6. Same as in example 1 except that the certified agency in
State X has brought an enforcement action (under the pipeline safety
laws) against P because of its operation of the line between ''Point A''
and ''Point B''. P has successfully defended against the action on
jurisdictional grounds. DOT will assume jurisdiction if necessary to
avoid the anomaly of a pipeline subject to neither State or Federal
safety enforcement. DOT's assertion of jurisdiction in such a case
would be based on the gap in the state's enforcement authority rather
than a DOT decision that the pipeline is an interstate pipeline
facility.
Example 7. Pipeline Company P operates a pipeline that originates on
the Outer Continental Shelf. P does not file any tariff for that line
with FERC. DOT will consider the pipeline to be an interstate pipeline
facility.
Example 8. Pipeline Company P is constructing a pipeline from
''Point C'' (in State X) to ''Point D'' (in State Y). DOT will consider
the pipeline to be an interstate pipeline facility.
Example 9. Pipeline company P is constructing a pipeline from
''Point C'' to ''Point E'' (both in State X) but intends to file tariffs
with FERC in the transportation of hazardous liquid in interstate
commerce. Assuming there is some connection to an interstate pipeline
facility, DOT will consider this line to be an interstate pipeline
facility.
Example 10. Pipeline Company P has operated a pipeline subject to
FERC economic regulation. Solely because of some statutory economic
deregulation, that pipeline is no longer regulated by FERC. DOT will
continue to consider that pipeline to be an interstate pipeline
facility.
As seen from the examples, the types of situations in which DOT will
not defer to the FERC regulatory scheme are generally clear-cut cases.
For the remainder of the situations where variation from the FERC scheme
would require DOT to replicate the forum already provided by FERC and to
consider economic factors better left to that agency, DOT will decline
to vary its reliance on the FERC filings unless, of course, not doing so
would result in situations clearly not intended by the HLPSA.
(Amdt. 195-33, 50 FR 15899, Apr. 23, 1985)
49 CFR 195.440 PARTS 196-197 -- (RESERVED)
49 CFR 195.440 PART 198 -- REGULATIONS FOR GRANTS TO AID STATE PIPELINE SAFETY PROGRAMS
49 CFR 195.440 Subpart A -- General
Sec.
198.1 Scope.
198.3 Definitions.
49 CFR 195.440 Subpart B -- (Reserved)
49 CFR 195.440 Subpart C -- Adoption of One-Call Damage Prevention
Program
198.31 Scope.
198.33 (Reserved)
198.35 Grants conditioned on adoption of one-call damage prevention
program.
198.37 State one-call damage prevention program.
198.39 Qualifications for operation of one-call notification system.
Authority: 49 App. U.S.C. 1674, 1687 and 2004; 49 CFR 1.53.
Source: 55 FR 38691, Sept. 20, 1990, unless otherwise noted.
49 CFR 195.440 Subpart A -- General
49 CFR 198.1 Scope.
This part prescribes regulations governing grants-in-aid for State
pipeline safety compliance programs.
49 CFR 198.3 Definitions.
As used in this part:
Adopt means establish under State law by statute, regulation,
license, certification, order, or any combination of these legal means.
Excavation activity means an excavation activity defined in
192.614(a) of this chapter, other than a specific activity the State
determines would not be expected to cause physical damage to underground
facilities.
Excavator means any person intending to engage in an excavation
activity.
One-call notification system means a communication system that
qualifies under this part and the one-call damage prevention program of
the State concerned in which an operational center receives notices from
excavators of intended excavation activities and transmits the notices
to operators of underground pipeline facilities and other underground
facilities that participate in the system.
Person means any individual, firm, joint venture, partnership,
corporation, association, state, municipality, cooperative association,
or joint stock association, and including any trustee, receiver,
assignee, or personal representative thereof.
Underground pipeline facilities means buried pipeline facilities used
in the transportation of gas subject to the Natural Gas Pipeline Safety
Act of 1968 (49 App. U.S.C. 1671 et seq.) or the transportation of a
hazardous liquid subject to the Hazardous Liquid Pipeline Safety Act of
1979 (49 App. U.S.C. 2001 et seq.).
Secretary means the Secretary of Transportation or any person to whom
the Secretary of Transportation has delegated authority in the matter
concerned.
Seeking to adopt means actively and effectively proceeding toward
adoption.
State means each of the several States, the District of Columbia, and
the Commonwealth of Puerto Rico.
49 CFR 198.3 Subpart B -- (Reserved)
49 CFR 198.3 Subpart C -- Adoption of One-Call Damage Prevention Program
49 CFR 198.31 Scope.
This subpart implements section 20 of the Natural Gas Pipeline Safety
Act of 1968 (49 App. U.S.C. 1687), which directs the Secretary to
require each State to adopt a one-call damage prevention program as a
condition to receiving a full grant-in-aid for its pipeline safety
compliance program.
49 CFR 198.33 (Reserved)
49 CFR 198.35 Grants conditioned on adoption of one-call damage
prevention program.
In allocating grants to State agencies under section 5 of the Natural
Gas Pipeline Safety Act of 1968 (49 App. U.S.C. 1674) and under section
205 of the Hazardous Liquid Pipeline Safety Act of 1979 (49 App. U.S.C.
2004), the Secretary considers whether a State has adopted or is seeking
to adopt a one-call damage prevention program in accordance with
198.37. If a State has not adopted or is not seeking to adopt such
program, the State agency may not receive the full reimbursement to
which it would otherwise be entitled.
49 CFR 198.37 State one-call damage prevention program.
A State must adopt a one-call damage prevention program that requires
each of the following at a minimum:
(a) Each area of the State that contains underground pipeline
facilities must be covered by a one-call notification system.
(b) Each one-call notification system must be operated in accordance
with 198.39.
(c) Excavators must be required to notify the operational center of
the one-call notification system that covers the area of each intended
excavation activity and provide the following information:
(1) Name of the person notifying the system.
(2) Name, address and telephone number of the excavator.
(3) Specific location, starting date, and description of the intended
excavation activity.
However, an excavator must be allowed to begin an excavation activity
in an emergency but, in doing so, required to notify the operational
center at the earliest practicable moment.
(d) The State must determine whether telephonic and other
communications to the operational center of a one-call notification
system under paragraph (c) of this section are to be toll free or not.
(e) Except with respect to interstate transmission facilities as
defined in section 2 of the Natural Gas Pipeline Safety Act of 1968, 49
App. U.S.C. 1671, and interstate pipelines as defined in 195.2 of this
chapter, operators of underground pipeline facilities must be required
to participate in the one-call notification systems that cover the areas
of the State in which those pipeline facilities are located.
(f) Operators of underground pipeline facilities participating in the
one-call notification systems must be required to respond in the manner
prescribed by 192.614 (b)(4) through (b)(6) of this chapter to notices
of intended excavation activity received from the operational center of
a one-call notification system.
(g) Persons who operate one-call notification systems or operators of
underground pipeline facilities participating or required to participate
in the one-call notification systems must be required to notify the
public and known excavators in the manner prescribed by 192.614 (b)(1)
and (b)(2) of this chapter of the availability and use of one-call
notification systems to locate underground pipeline facilities.
However, this paragraph does not apply to persons (including operator's
master meters) whose primary activity does not include the production,
transportation or marketing of gas or hazardous liquids.
(h) Operators of underground pipeline facilities (other than
operators of interstate transmission facilities as defined in section 2
of the Natural Gas Pipeline Safety Act of 1968, 49 App. U.S.C. 1671, and
interstate pipelines as defined in 195.2 of this chapter), excavators,
and persons who operate one-call notification systems who violate the
applicable requirements of this subpart must be subject to civil
penalties and injunctive relief that are substantially the same as are
provided under sections 11 and 12 of the Natural Gas Pipeline Safety Act
of 1968 (49 App. U.S.C. 1679a and 1679b).
49 CFR 198.39 Qualifications for operation of one-call notification
system.
A one-call notification system qualifies to operate under this
subpart if it complies with the following:
(a) It is operated by one or more of the following:
(1) A person who operates underground pipeline facilities or other
underground facilities.
(2) A private contractor.
(3) A State or local government agency.
(4) A person who is otherwise eligible under State law to operate a
one-call notification system.
(b) It receives and records information from excavators about
intended excavation activities.
(c) It promptly transmits to the appropriate operators of underground
pipeline facilities the information received from excavators about
intended excavation activities.
(d) It maintains a record of each notice of intent to engage in an
excavation activity for the minimum time set by the State or, in the
absence of such time, for the time specified in the applicable State
statute of limitations on tort actions.
(e) It tells persons giving notice of an intent to engage in an
excavation activity the names of participating operators of underground
pipeline facilities to whom the notice will be transmitted.
49 CFR 198.39 PART 199 -- DRUG TESTING
Sec.
199.1 Scope and compliance.
199.3 Definitions.
199.5 DOT procedures.
199.7 Anti-drug plan.
199.9 Use of persons who fail or refuse a drug test.
199.11 Drug tests required.
199.13 Drug testing laboratory.
199.15 Review of drug testing results.
199.17 Retention of sample and retesting.
199.19 Employee assistance program.
199.21 Contractor employees.
199.23 Recordkeeping.
Authority: 49 App. U.S.C. 1672, 1674a, 1681, 1804, 1808, 2002, and
2040; 49 CFR 1.53.
Source: 53 FR 47096, Nov. 21, 1988, unless otherwise noted.
49 CFR 199.1 Scope and compliance.
(a) This part requires operators of pipeline facilities subject to
part 192, 193, or 195 of this chapter to test employees for the presence
of prohibited drugs and provide an employee assistance program.
However, this part does not apply to operators of ''master meter
systems'' defined in 191.3 of this chapter.
(b) Operators with more than 50 employees subject to drug testing
under this part need not comply with this part until April 20, 1990.
Operators with 50 or fewer employees subject to drug testing under this
part need not comply with this part until August 21, 1990.
(c) This part shall not apply to any person for whom compliance with
this part would violate the domestic laws or policies of another
country.
(d) This part is not effective until January 2, 1993, with respect to
any employee located outside the territory of the United States.
(53 FR 47096, Nov. 21, 1988, as amended by Amdt. 199-1, 54 FR 14923,
Apr. 13, 1989; Amdt. 199-3, 54 FR 53290, Dec. 27, 1989; Amdt. 199-5,
56 FR 18987, Apr. 24, 1991)
49 CFR 199.3 Definitions.
As used in this part --
Accident means an incident reportable under part 191 of this chapter
involving gas pipeline facilities or LNG facilities, or an accident
reportable under part 195 of this chapter involving hazardous liquid
pipeline facilities.
Administrator means the Administrator of the Research and Special
Programs Administration (RSPA), or any person who has been delegated
authority in the matter concerned.
DOT Procedures means the Procedures for Transportation Workplace Drug
Testing Programs published by the Office of the Secretary of
Transportation in part 40 of this title.
Employee means a person who performs on a pipeline or LNG facility an
operating, maintenance, or emergency-response function regulated by part
192, 193, or 195 of this chapter. This does not include clerical, truck
driving, accounting, or other functions not subject to part 192, 193, or
195. The person may be employed by the operator, be a contractor
engaged by the operator, or be employed by such a contractor.
Fail a drug test means that the confirmation test result shows
positive evidence of the presence under DOT Procedures of a prohibited
drug in an employee's system.
Operator means a person who owns or operates pipeline facilities
subject to part 192, 193, or 195 of this chapter.
Pass a drug test means that initial testing or confirmation testing
under DOT Procedures does not show evidence of the presence of a
prohibited drug in a person's system.
Prohibited drug means any of the following substances specified in
Schedule I or Schedule II of the Controlled Substances Act, 21 U.S.C.
801.812 (1981 & 1987 Cum.P.P.): marijuana, cocaine, opiates,
amphetamines, and phencyclidine (PCP). In addition, for the purposes of
reasonable cause testing, ''prohibited drug'' includes any substance in
Schedule I or II if an operator has obtained prior approval from RSPA,
pursuant to the ''DOT Procedures'' in 49 CFR part 40, to test for such
substance, and if the Department of Health and Human Services has
established an approved testing protocol and positive threshold for such
substance.
State agency means an agency of any of the several states, the
District of Columbia, or Puerto Rico that participates under section 5
of the Natural Gas Pipeline Safety Act of 1968 (49 App. U.S.C. 1674) or
section 205 of the Hazardous Liquid Pipeline Safety Act of 1979 (49 App.
U.S.C. 2009).
(53 FR 47096, Nov. 21, 1988, as amended by Amdt. 199-2, 54 FR 51850,
Dec. 18, 1989)
49 CFR 199.5 DOT procedures.
The anti-drug program required by this part must be conducted
according to the requirements of this part and the DOT Procedures. In
the event of conflict, the provisions of this part prevail. Terms and
concepts used in this part have the same meaning as in the DOT
Procedures.
49 CFR 199.7 Anti-drug plan.
(a)Each operator shall maintain and follow a written anti-drug plan
that conforms to the requirements of this part and the DOT Procedures.
The plan must contain --
(1) Methods and procedures for compliance with all the requirements
of this part, including the employee assistance program;
(2) The name and address of each laboratory that analyzes the
specimens collected for drug testing;
(3) The name and address of the operator's medical review officer;
and
(4) Procedures for notifying employees of the coverage and provisions
of the plan.
(b) The Administrator or the State Agency that has submitted a
current certification under section 5(a) of the Natural Gas Pipeline
Safety Act or section 205(a) of the Hazardous Liquid Pipeline Safety Act
with respect to the pipeline facility governed by an operator's plans
and procedures may, after notice and opportunity for hearing as provided
in 49 CFR 190.237 or the relevant State procedures, require the operator
to amend its plans and procedures as necessary to provide a reasonable
level of safety.
(53 FR 47096, Nov. 21, 1988, as amended by Amdt. 199-2, 54 FR 51850,
Dec. 18, 1989; Amdt. 199-4, 56 FR 31091, July 9, 1991; 56 FR 41077,
Aug. 19, 1991)
49 CFR 199.9 Use of persons who fail or refuse a drug test.
(a) An operator may not knowingly use as an employee any person who
--
(1) Fails a drug test required by this part and the medical review
officer makes a determination under 199.15(d)(2); or
(2) Refuses to take a drug test required by this part.
(b) Paragraph (a)(1) of this section does not apply to a person who
has --
(1) Passed a drug test under DOT Procedures;
(2) Been recommended by the medical review officer for return to duty
in accordance with 199.15(c); and
(3) Not failed a drug test required by this part after returning to
duty.
(53 FR 47096, Nov. 21, 1988, as amended by Amdt. 199-2, 54 FR 51850,
Dec. 18, 1989)
49 CFR 199.11 Drug tests required.
Each operator shall conduct the following drug tests for the presence
of a prohibited drug:
(a) Pre-employment testing. No operator may hire or contract for the
use of any person as an employee unless that person passes a drug test
or is covered by an anti-drug program that conforms to the requirements
of this part.
(b) Post-accident testing. As soon as possible but no later than 32
hours after an accident, an operator shall drug test each employee whose
performance either contributed to the accident or cannot be completely
discounted as a contributing factor to the accident. If an employee is
injured, unconscious, or otherwise unable to evidence consent to the
drug test, all reasonable steps must be taken to obtain a urine sample.
An operator may decide not to test under this paragraph but such a
decision must be based on the best information available immediately
after the accident that the employee's performance could not have
contributed to the accident or that, because of the time between that
performance and the accident, it is not likely that a drug test would
reveal whether the performance was affected by drug use.
(c) Random testing. Each operator shall administer, every 12 months,
a number of random drug tests at a rate equal to 50 percent of its
employees. Each operator shall select employees for testing by using a
random number table or a computer-based random number generator that is
matched with an employee's social security number, payroll
identification number, or other appropriate identification number.
However, during the first 12 months following the institution of random
drug testing under this part, each operator shall meet the following
conditions:
(1) The random drug testing is spread reasonably through the 12-month
period;
(2) The last test collection during the year is conducted at an
annualized rate of 50 percent; and
(3) The total number of tests conducted during the 12 months is equal
to at least 25 percent of the covered population.
(d) Testing based on reasonable cause. Each operator shall drug test
each employee when there is reasonable cause to believe the employee is
using a prohibited drug. The decision to test must be based on a
reasonable and articulable belief that the employee is using a
prohibited drug on the basis of specific, contemporaneous physical,
behavioral, or performance indicators of probable drug use. At least
two of the employee's supervisors, one of whom is trained in detection
of the possible symptoms of drug use, shall substantiate and concur in
the decision to test an employee. The concurrence between the two
supervisors may be by telephone. However, in the case of operators with
50 or fewer employees subject to testing under this part, only one
supervisor of the employee trained in detecting possible drug use
symptoms shall substantiate the decision to test.
(e) Return to duty testing. An employee who refuses to take or does
not pass a drug test may not return to duty until the employee passes a
drug test administered under this part and the medical review officer
has determined that the employee may return to duty. An employee who
returns to duty shall be subject to a reasonable program of follow-up
drug testing without prior notice for not more than 60 months after his
or her return to duty.
(53 FR 47096, Nov. 21, 1988, as amended by Amdt. 199-2, 54 FR 51850,
Dec. 18, 1989)
49 CFR 199.13 Drug testing laboratory.
(a) Each operator shall use for the drug testing required by this
part only drug testing laboratories certified by the Department of
Health and Human Services under the DOT Procedures.
(b) The drug testing laboratory must permit --
(1) Inspections by the operator before the laboratory is awarded a
testing contract; and
(2) Unannounced inspections, including examination of records, at any
time, by the operator, the Administrator, and if the operator is subject
to state agency jurisdiction, a representative of that state agency.
49 CFR 199.15 Review of drug testing results.
(a) MRO appointment. Each operator shall designate or appoint a
medical review officer (MRO). If an operator does not have a qualified
individual on staff to serve as MRO, the operator may contract for the
provision of MRO services as part of its anti-drug program.
(b) MRO qualifications. The MRO must be a licensed physician with
knowledge of drug abuse disorders.
(c) MRO duties. The MRO shall perform the following functions for
the operator:
(1) Review the results of drug testing before they are reported to
the operator.
(2) Review and interpret each confirmed positive test result as
follows to determine if there is an alternative medical explanation for
the confirmed positive test result:
(i) Conduct a medical interview with the individual tested.
(ii) Review the individual's medical history and any relevant
biomedical factors.
(iii) Review all medical records made available by the individual
tested to determine if a confirmed positive test resulted from legally
prescribed medication.
(iv) If necessary, require that the original specimen be reanalyzed
to determine the accuracy of the reported test result.
(v) Verify that the laboratory report and assessment are correct.
(3) Determine whether and when an employee who refused to take or did
not pass a drug test administered under DOT Procedures may be returned
to duty.
(4) Determine a schedule of unannounced testing, in consultation with
the operator, for an employee who has returned to duty.
(5) Ensure that an employee has been drug tested in accordance with
the DOT Procedures before the employee returns to duty.
(d) MRO determinations. The following rules govern MRO
determinations:
(1) If the MRO determines, after appropriate review, that there is a
legitimate medical explanation for the confirmed positive test result
other than the unauthorized use of a prohibited drug, the MRO is not
required to take further action.
(2) If the MRO determines, after appropriate review, that there is no
legitimate medical explanation for the confirmed positive test result
other than the unauthorized use of a prohibited drug, the MRO shall
refer the individual tested to an employee assistance program, or to a
personnel or administrative officer for further proceedings in
accordance with the operator's anti-drug program.
(3) Based on a review of laboratory inspection reports, quality
assurance and quality control data, and other drug test results, the MRO
may conclude that a particular drug test result is scientifically
insufficient for further action. Under these circumstances, the MRO
should conclude that the test is negative for the presence of a
prohibited drug or drug metabolite in an individual's system.
(53 FR 47096, Nov. 21, 1988, as amended by Amdt. 199-2, 54 FR 51850,
Dec. 18, 1989)
49 CFR 199.17 Retention of samples and retesting.
(a) Samples that yield positive results on confirmation must be
retained by the laboratory in properly secured, long-term, frozen
storage for at least 365 days as required by the DOT Procedures. Within
this 365-day period, the employee or his representative, the operator,
the Administrator, or, if the operator is subject to the jurisdiction of
a state agency, the state agency may request that the laboratory retain
the sample for an additional period. If, within the 365-day period, the
laboratory has not received a proper written request to retain the
sample for a further reasonable period specified in the request, the
sample may be discarded following the end of the 365-period.
(b) If the medical review officer (MRO) determines there is no
legitimate medical explanation for a confirmed positive test result
other than the unauthorized use of a prohibited drug, the original
sample must be retested if the employee makes a written request for
retesting within 60 days of receipt of the final test result from the
MRO. The employee may specify retesting by the original laboratory or
by a second laboratory that is certified by the Department of Health and
Human Services. The operator may require the employee to pay in advance
the cost of shipment (if any) and reanalysis of the sample, but the
employee must be reimbursed for such expense if the retest is negative.
(c) If the employee specifies retesting by a second laboratory, the
original laboratory must follow approved chain-of-custody procedures in
transferring a portion of the sample.
(d) Since some analytes may deteriorate during storage, detected
levels of the drug below the detection limits established in the DOT
Procedures, but equal to or greater than the established sensitivity of
the assay, must, as technically appropriate, be reported and considered
corroborative of the original positive results.
(53 FR 47096, Nov. 21, 1988; 55 FR 797, Jan. 9, 1990)
49 CFR 199.19 Employee assistance program.
(a) Each operator shall provide an employee assistance program (EAP)
for its employees and supervisory personnel who will determine whether
an employee must be drug tested based on reasonable cause. The operator
may establish the EAP as a part of its internal personnel services or
the operator may contract with an entity that provides EAP services.
Each EAP must include education and training on drug use. At the
discretion of the operator, the EPA may include an opportunity for
employee rehabilitation.
(b) Education under each EAP must include at least the following
elements: display and distribution of informational material; display
and distribution of a community service hot-line telephone number for
employee assistance; and display and distribution of the employer's
policy regarding the use of prohibited drugs.
(c) Training under each EAP for supervisory personnel who will
determine whether an employee must be drug tested based on reasonable
cause must include one 60-minute period of training on the specific,
contemporaneous physical, behavioral, and performance indicators of
probable drug use.
49 CFR 199.21 Contractor employees.
With respect to those employees who are contractors or employed by a
contractor, an operator may provide by contract that the drug testing,
education, and training required by this part be carried out by the
contractor provided:
(a) The operator remains responsible for ensuring that the
requirements of this part are complied with; and
(b) The contractor allows access to property and records by the
operator, the Administrator, and if the operator is subject to the
jurisdiction of a state agency, a representative of the state agency for
the purpose of monitoring the operator's compliance with the
requirements of this part.
49 CFR 199.23 Recordkeeping.
(a) Each operator shall keep the following records for the periods
specified and permit access to the records as provided by paragraph (b)
of this section:
(1) Records that demonstrate the collection process conforms to this
part must be kept for at least 3 years.
(2) Records of employee drug test results that show employees failed
a drug test, and the type of test failed (e.g., post-accident), and
records that demonstrate rehabilitation, if any, must be kept for at
least 5 years, and include the following information:
(i) The functions performed by employees who failed a drug test.
(ii) The prohibited drugs which were used by employees who failed a
drug test.
(iii) The disposition of employees who failed a drug test (e.g.,
termination, rehabilitation, leave without pay).
(iv) The age of each employee who failed a drug test.
(3) Records of employee drug test results that show employees passed
a drug test must be kept for at least 1 year.
(4) A record of the number of employees tested, by type of test
(e.g., post-accident), must be kept for at least 5 years.
(5) Records confirming that supervisors and employees have been
trained as required by this part must be kept for at least 3 years.
(b) Information regarding an individual's drug testing results or
rehabilitation may be released only upon the written consent of the
individual, except that such information must be released regardless of
consent to the Administrator or the representative of a state agency
upon request as part of an accident investigation. Statistical data
related to drug testing and rehabilitation that is not name-specific and
training records must be made available to the Administrator or the
representative of a state agency upon request.
49 CFR 199.23 FINDING AIDS
A list of CFR titles, subtitles, chapters, subchapters and parts and
an alphabetical list of agencies publishing in the CFR are included in
the CFR Index and Finding Aids volume to the Code of Federal Regulations
which is published separately and revised annually.
Material Approved for Incorporation by Reference
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
Title 49-Transportation
Material Approved for Incorporation by Reference
Material Approved for Incorporation by Reference
Title 49-Transportation
Material Approved for Incorporation by Reference
Material Approved for Incorporation by Reference
Title 49-Transportation
Material Approved for Incorporation by Reference
Material Approved for Incorporation by Reference
The Director of the Federal Register has approved under 5 U.S.C.
552(a) and 1 CFR Part 51 the incorporation by reference of the following
publications. This list contains only those incorporations by reference
effective as of the revision date of this volume. Incorporations by
reference found within a regulation are effective upon the effective
date of that regulation. For more information on incorporation by
reference, see the preliminary pages of this volume.
49 CFR 199.23 49 CFR CHAPTER I (Parts 178-199)
RESEARCH AND SPECIAL PROGRAMS ADMINISTRATION, DEPARTMENT OF
TRANSPORTATION (PIPELINE SAFETY REGULATIONS)
49 CFR
Aluminum Association
420 Lexington Ave., New York, NY 10017
Aluminum Standards and Data, Seventh Edition, June 1982 178.65-5
American Concrete Institute
P.O. Box 19150, Redford Station, Detroit, MI 48219
ACI 311 -- Recommended Practice for Concrete Inspection, 1975
193.2307
American Gas Association
1515 Wilson Boulevard, Arlington, VA 22209
AGA, Evaluation of LNG Vapor, Control Methods, 1974 193.2059
AGA, Purging Principles and Practices, 1975 193.2513; 193.2517;
193.2615
American National Standards Institute, Inc.
1430 Broadway, New York, NY 10018
ANSI A 21.1-77 Thickness Design of Cast Iron Pipe (formerly ANSI
C101-1967) 192.117; 192.557
ANSI A 581-72 Building Code Requirements for Minimum Design Loads in
Buildings and Other Structures 193.2067; 193.2109
ANSI B 16.1-75 Cast Iron Pipe Flanges and Flanged Fittings 192.144
ANSI B 16.5-77 Steel Pipe Flanges, Flanged Fittings 178.345; 178.360
ANSI B 16.9-78 Factory Made Wrought Steel Butt-Welding Fittings
195.118
ANSI B 31.3-76 Chemical Plant Petroleum Refinery Piping 193.2113;
193.2123; 193.2127; 193.2229; 193.2315; 193.2319; 193.2321
ANSI B 31.4-79 Liquid Petroleum Transportation Piping Systems 195.110
ANSI B 31.5-74 Refrigeration Piping 193.2123
ANSI B 31.8-75 Gas Transmission and Distribution Piping Systems
193.2123
American Petroleum Institute
1220 L St. NW., Washington, DC 20005
211 N. Ervay, Suite 1700, Dallas, TX 75201
API 6D, Specification for Pipeline Valves, 1977 192.145; 193.2123;
195.116
API 5L, Specification for Line Pipe, 1988 192.113; Part 192, App. A
and B; 195.3; 195.106
API 5L1, Recommended Practice for Railroad Transportation of Line
Pipe, 1972 192.65
API 5LS, Specification Line Pipe, 1980 192.113; Part 192, App. B;
195.106
API 5LX, Specification for High-Test Line Pipe, 1980 192.55;
192.113; Part 192, App. B; 195.106
API 620, Recommended Rules for Design and Construction of Large,
Welded, Low Pressure Storage Tanks, 1977 193.2195; 193.2211; 193.2321;
193.2327
API 1104, Standard for Welding Pipe Lines and Related Facilities,
17th edition, 1988 192.225; 192.227; 192.229; 192.241; Part 192,
App. A and B 195.222; 195.228; 193.2313; 193.2321
American Society of Mechanical Engineers (ASME)
United Engineering Center, 345 E. 47th St., New York, NY 10017
Boiler and Pressure Vessel Code:
Section 1, Power Boilers, 1977 193.2145 Section 4, Heating
Boilers, 1977 193.2145 Section 8, Division 1 -- Pressure Vessels,
1977 192.153;
192.165; 192.225; 192.227; 192.239; 193.2145; 193.2195; 193.2319;
193.2405; 195.124
Section 8, Division 2 -- Pressure Vessels Alternative Rules, 1977
193.2145; 193.2319
ASME Code, Sections II (Parts A and B), V, VIII, (Division 1) and
IX of 1986 Edition of American Society of Mechanical Engineers Boiler
and Pressure Vessel Code and Addenda through December 31, 1985 178.245;
178.251; 178.255; 178.270; 178.337; 178.338; 178.340; 178.342;
178.343; 179.400; 180.407
Section 9 -- Welding and Brazing Qualifications, 1977 192.225;
192.227; Part 192, App. B; 193.2313; 193.2321
ASME Code, Section V (FR Nondestructive Examination) 1977
180.407
ASME Code, Section IX (FR Welding and Brazing Qualification 1977
and Addendum 1979) 178.245; 178.270; 178.337; 178.338
American Society for Testing and Materials
1916 Race St., Philadelphia, PA 19103
Noncurrent ASTM standards are available from: Engineering Societies
Library, 345 E. 47th St., New York, NY 10017.
ASTM A 20-81a General Requirements for Steel Plates for Pressure
Vessels, Rev. C 178.337; 179.102-17
ASTM A 47-68 Malleable Iron Castings 179.200
ASTM A 53-69a Welded and Seamless Steel Pipe 179.12-2
ASTM A 53-79 Standard Specification for Pipe, Steel, Black and
Hot-Dipped, Zinc-Coated, Welded and Seamless 192.113; Part 192, App.
B; 195.106
ASTM A 106-79 Standard Specification for Seamless Carbon Steel Pipe
for High Temperature Service 192.113; Part 192, App. B; 195.106
ASTM A 178-70 Electric Resistance Welded Carbon Steel Boiler Tubes
179.12
ASTM A 192-69 Seamless Carbon Steel Boiler Tubes for High Pressure
Service 179.12
ASTM A 240-82 Standard Specification for Heat-Resisting Chromium and
Chromium-Nickel Stainless Steel Plate, Sheet, and Strip For
Fusion-Welded Unfired Pressure Vessels 178.358; 179.100; 179.200;
179.201; 179.220; 179.400
ASTM A 242-81 High-strength Low Alloy Structural Steel 179.100
ASTM A 262-68 Recommended Practices for Detecting Susceptibility to
Intergranular Attack in Stainless Steels 179.200
ASTM A 269-69 Seamless and Welded Austenitic Stainless Steel Tubing
for General Service 179.12-2
ASTM A 285-78 Pressure Vessel Plates, Carbon Steel, Low- and
Intermediate-Tensile Strength 179.100; 179.200; 179.220; 179.300
ASTM A 300-58 Steel Plates for Pressure Vessels for Service at Low
Temperatures 178.337
ASTM A 302-78 Pressure Vessel Plates, Alloy Steel,
Manganese-Molybdenum and Manganese-Molybdenum-Nickle 179.100; 179.200;
179.220
ASTM A 312-70a Seamless and Welded Austenitic Stainless Steel Pipe
179.12
ASTM A 333-67 Seamless and Welded Steel Pipe for Low-Temperature
Service 178.45
ASTM A 333-79 Standard Specification for Seamless and Welded Steel
Pipe for Low-Temperature Service 192.113; Part 192, App. B; 195.106
ASTM A 370-77 Methods and Definitions for Mechanical Testing for
Steel Products 179.102-4; 179.102-17
ASTM A 372-78 Standard Specification for Carbon and Alloy Steel
Forgings for Thin-Walled Pressure Vessel 192.177; Part 192, App. B
ASTM A 381-79 Standard Specification for Metal-Arc-Welded Steel Pipe
for High-Pressure Transmission Systems 192.113; Part 192, App. B;
195.106
ASTM A 388-67 Ultrasonic Testing and Inspection of Heavy Steel
Forging 178.45
ASTM A 441-81 High-Strength Low-Alloy Structural Manganese Vanadium
Steel 178.338
ASTM A 514-81 High-Yield-Strength, Quenched and Tempered Alloy Steel
Plate, Suitable for Welding 178.338
ASTM A 515-69 Carbon Steel Plates for Pressure Vessels for
Intermediate and Higher Temperature Service 179.100; 179.200; 179.220;
179.300
ASTM A 516-79b Pressure Vessel Plates, Carbon Steel, for Moderate-
and Lower-Temperature Service 178.337; 179.100; 179.102; 179.200;
179.220
ASTM A 537-80 Pressure Vessel Plates, Heat-Treated,
Carbon-Manganese-Silicon Steel 179.100; 179.102
ASTM A 572-82 High-Strength Low Alloy Columbium-Vanadium Steels of
Structural Quality 178.338; 179.100
ASTM A 588-81 High-Strength Low-Alloy Structural Steel with 50 ksi
Minimum Yield Point to 4 in. Thick 178.338; 179.100
ASTM A 606-75 Steel Sheet and Strip, Hot-Rolled and Cold-Rolled, High
Strength, Low Alloy, with Improved Atmospheric Corrosion Resistance
(reapproved 1981) 178.338
ASTM A 612-72a High-Strength Steel Plates for Pressure Vessels for
Moderate and Lower Temperature Service 178.337
ASTM A 633-79a Normalized High-Strength Low Alloy Structural Steel
178.338
ASTM A 671-77 Electric-Fusion-Welded Steel Pipe for Atmospheric and
Lower Temperatures 192.113; Part 192, App. B; 195.106
ASTM A 672-79 Electric-Fusion-Welded Steel Pipe for High Pressure
Service at Moderate Temperatures 192.113; Part 192, App. B; 195.106
ASTM A 691-79 Carbon and Alloy Steel Pipe Electric-Fusion Welded for
High Pressure Service at High Temperatures 192.113; Part 192, App. B;
195.106
ASTM A 715-81 Steel Sheet and Strip, Hot-Rolled, High-Strength,
Low-Alloy, with Improved Formability 179.200
ASTM B 90-69 Magnesium Alloy Sheet and Plate 178.251
ASTM B 161-70 Nickel Seamless Pipe and Tube, 1970 179.12
ASTM B 162-69 Nickel Plate, Sheet, and Strip 179.200
ASTM B 209-69 Aluminum Alloy Sheet and Plate 179.100; 179.200;
179.220
ASTM B 210-70 Aluminum Alloy Drawn Stainless Tables (FR B210-68 (78))
179.12
ASTM B 221-76 Aluminum Alloy Extruded Bars, Rods, Shapes, and Tubes
179.12
ASTM B 241-76 Aluminum-Alloy Seamless Pipe and Seamless Extruded Tube
179.12-2
ASTM B 557-84 Tension Testing Wrought and Cast Aluminum and Magnesium
-- Alloy Products 178.251
ASTM D 638-80 Standard Test Method for Tensile Properties of Plastic
192.283
ASTM D 2513-87 Standard Specification for Thermoplastic Gas Pressure
Piping Systems 192.63; 192.191; 192.281; 192.283; Part 192, App. B
ASTM D 2517-73 (R 79) Standard Specification for Reinforced Epoxy
Resin Gas Pressure Pipe and Fittings 192.191; 192.281; 192.283; Part
192, App. B
ASTM E 8-89b Tension Testing of Metallic Materials 178.36; 178.37;
178.38; 178.39; 178.44; 178.45; 178.50; 178.51; 178.53; 178.55;
178.56; 178.57; 178.58; 178.59; 178.60; 178.61; 178.68; 178.251
ASTM E 23-60 Notched Bar Impact Testing of Metallic Materials 178.57;
179.400
American Water Works Association (AWWA)
1010 Vermont Avenue, NW., Suite 810, Washington, DC 20005
AWWA Standard C207-55, Steel Pipe Flanges; 1955 178.360
American Welding Society (AWS)
550 N.W. Le Jeune Road, Miami, FL 33126
AWS Code B 3.0; Standard Qualification Procedure; 1972 (FRB 3.0-41
rev. May 73) 178.356
AWS Code D1.0; Code for Welding in Building Construction, (FR
D1.0-66) 178.356
Association of American Railroads (AAR)
American Railroads Building, 50 F Street, NW., Washington, DC 20001
AAR Specification for Tank Cars, Specification M-1002, 1988 ed
179.100
AAR Specification for Tank Cars, Specification M-1002, Section C,
Part III, September 1988 179.6; 179.12; 179.100; 179.101; 179.102;
179.103; 179.105; 179.200; 179.201; 179.220; 179.300; 179.400
AAR Specification for Design, Fabrication and Construction of Freight
Cars; Volume 1, 1988 179.100-23
Chlorine Institute, Inc.
2001 L Street, NW., Suite 506, Washington, DC 20036
Standard Chlorine Angle Valve Assembly, Dwg. 104-6, December 1, 1982
178.337-9
Excess Flow Valve with Removable Seat, Dwg. 101-6, September 1, 1973
178.337-11
Excess Flow Valve with Removable Baskets, 106-5, September 1, 1973
178.337-11
Standards for Housing and Manway Covers for Steel Cargo Tanks, Dwg.
137-3, September 1, 1982 178.337-10
Compressed Gas Association, Inc.
1235 Jefferson Davis Highway, Arlington, Virginia 22202
CGA Pamphlet C-3, Standards for Welding and Brazing on Thin Walled
Containers, 1975 178.47; 178.51; 178.54; 178.56; 178.57; 178.58;
178.60; 178.61; 178.68
CGA Pamphlet G-4.1 Cleaning Equipment for Oxygen Service, 1985
178.338
CGA Technical Bulletin TB-2 Guidelines for Inspection and Repair of
MC-330 and MC-331 Cargo Tanks, 1980 180.413
Department of Energy
Office of Scientific and Technical Information, P.O. Box 62, Oak
Ridge, TN 37831
USDOE, CAPE -- 1622, Revision 1, and Supp. 1, Civilian Application
Program Engineering Drawings 178.356; 178.358
USDOE, Material and Equipment Specification No. SP -- 9 Rev. 1, and
Supp., Fire Resistant Phenolic Foam 178.356; 178.358
USDOE, ORO-651 -- Uranium Hexafluoride Handling Procedures and
Container Criteria, Revision 3, 1972 178.356; 178.358
USDOE KSS-471, November 30, 1986 -- Proposal for Modifications to
U.S. Department of Transportation Specification 21PF-1 Fire and Shock
Resistant Phenolic Foam -- Insulated Metal Overpack 178.358
International Conference of Building Officials
5360 South Workman Hill Road, Whittier, CA 90601
ICBO, Uniform Building Code, 1979 193.2061
International Organization for Standardization (ISO)
Case Postale 56, CH-1211, Geneve 20, Switzerland
Also available from ANSI, 1430 Broadway, New York, NY 10018.
ISO 82-1974(E) Steel Tensile Testing 178.270-3
ISO 535-1976(E) Paper and Board-Determination of Water
Absorption-Cobb Method 178.516
Manufacturers Standardization Society of the Valve and Fitting
Industry
5203 Leesburg Pike, Suite 502, Falls Church, VA 22041
MSS SP-44 Steel Pipe Line Flanges, 1975 192.147
MSS SP-75 Specification for High-Test Wrought Welding Fittings, 1976
195.118
National Boartd of Boiler and Pressure Vessel Inspectors
1055 Crupper Avenue, Columbus, OH 43229
National Board Inspection Code, A Manual for Boiler and Pressure
Vessel Inspectors, NB-23, Rev. 4, 1983 180.413
National Fire Protection Association
470 Atlantic Ave., Boston, MA 02210
NFPA 30 Flammable and Combustible Liquids Code, 1977 192.735;
193.2149; 193.2813
NFPA 37 Stationary Combustion Engine and Gas Turbines, 1979 193.2147
NFPA 51B Cutting and Welding Processes, 1977 193.2811
NFPA 58 Standard for the Storage and Handling of Liquefied Petroleum
Gases, 1979 192.11
NFPA 59 Standard for the Storage and Handling of Liquefied Petroleum
Gases at Utility Gas Plants, 1979 192.11
NFPA 59A Storage and Handling Liquefied Natural Gas, 1972 193.2005
NFPA 59A Storage and Handling Liquefied Natural Gas, 1979 193.2073;
193.2141; 193.2213; 193.2817; 193.2819; 193.2821
NFPA 70 National Electric Code, 1978 192.163; 192.167; 193.2141;
193.2427; 193.2433; 193.2805
National Institute of Standards and Technology (formerly National
Bureau of Standards)
Department of Commerce, 5285 Port Royal Rd., Springfield, VA 22151
NBS Handbook H-28 (1957) 1957 Handbook of Screw-Thread Standards for
Federal Services, Part II, Dec. 1966 Ed. 178.45
Truck Trailer Manufacturers Association
1020 Princess Street, Alexandria, VA 22314
TTMA RP No. 81, Performance of Spring Loaded Pressure Relief Valves
on MC 306, MC 307, and MC 312 Tanks, 1989 Edition 171.7; 178.345-10
TTMA Technical Bulletin No. 107-89 Procedure for Testing In-Service,
Unmarked, and/or Uncertified MC 306 Type Cargo Tank Manhole Covers, May
24, 1989 edition 180.405
Chap.
49 CFR 199.23 Table of CFR Titles and Chapters
49 CFR 199.23 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)
49 CFR 199.23 Title 2 -- (Reserved)
49 CFR 199.23 Title 3 -- The President
I Executive Office of the President (Parts 100 -- 199)
49 CFR 199.23 Title 4 -- Accounts
I General Accounting Office (Parts 1 -- 99)
II Federal Claims Collection Standards (General Accounting Office --
Department of Justice) (Parts 100 -- 299)
III General Accounting Office (CASB) (Parts 300 -- 499)
49 CFR 199.23 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 Advisory Committee on Federal Pay (Parts 1400 -- 1499)
V The International Organizations Employees Loyalty Board (Parts 1500
-- 1599)
VI Federal Retirement Thrift Investment Board (Parts 1600 -- 1699)
VII Advisory Commission on Intergovernmental Relations (Parts 1700 --
1799)
VIII Office of Special Council (Parts 1800 -- 1899)
IX Appalachian Regional Commission (Parts 1900 -- 1999)
XI United States Soldiers' and Airmen's 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)
XV Office of Administration, Executive Office of the President (Parts
2500 -- 2599)
XVI Office of Government Ethics (Parts 2600 -- 2699)
49 CFR 199.23 Title 6 -- (Reserved)
49 CFR 199.23 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 Soil Conservation Service, Department of Agriculture (Parts 600 --
699)
VII Agricultural Stabilization and Conservation Service (Agricultural
Adjustment), Department of Agriculture (Parts 700 -- 799)
VIII Federal Grain Inspection Service, Department of Agriculture
(Parts 800 -- 899)
IX Agricultural Marketing Service (Marketing Agreements and Orders;
Fruits, Vegetables, Nuts), Department of Agriculture (Parts 900 -- 999)
X Agricultural Marketing Service (Marketing Agreements and Orders;
Milk), Department of Agriculture (Parts 1000 -- 1199)
XI Agricultural Marketing Service (Marketing Agreements and Orders;
Miscellaneous Commodities), Department of Agriculture (Parts 1200 --
1299)
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 Electrification Administration, Department of Agriculture
(Parts 1700 -- 1799)
XVIII Farmers Home Administration, Department of Agriculture (Parts
1800 -- 2099)
XXI Foreign Economic Development Service, Department of Agriculture
(Parts 2100 -- 2199)
XXII Office of International Cooperation and Development, Department
of Agriculture (Parts 2200 -- 2299)
XXV Office of the General Sales Manager, 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, Department of Agriculture (Parts 2900 -- 2999)
XXX Office of Finance and Management, Department of Agriculture
(Parts 3000 -- 3099)
XXXI Office of Environmental Quality, Department of Agriculture
(Parts 3100 -- 3199)
XXXII Office of Grants and Program Systems, Department of Agriculture
(Parts 3200 -- 3299)
XXXIII Office of Transportation, Department of Agriculture (Parts
3300 -- 3399)
XXXIV Cooperative State Research Service, Department of Agriculture
(Parts 3400 -- 3499)
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)
XXXIX Economic Analysis Staff, Department of Agriculture (Parts 3900
-- 3999)
XL Economics Management Staff, Department of Agriculture (Parts 4000
-- 4099)
XLI National Agricultural Library, Department of Agriculture (Part
4100)
49 CFR 199.23 Title 8 -- Aliens and Nationality
I Immigration and Naturalization Service, Department of Justice
(Parts 1 -- 499)
49 CFR 199.23 Title 9 -- Animals and Animal Products
I Animal and Plant Health Inspection Service, Department of
Agriculture (Parts 1 -- 199)
II Packers and Stockyards Administration, Department of Agriculture
(Parts 200 -- 299)
III Food Safety and Inspection Service, Meat and Poultry Inspection,
Department of Agriculture (Parts 300 -- 399)
49 CFR 199.23 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)
XV Office of the Federal Inspector for the Alaska Natural Gas
Transportation System (Parts 1500 -- 1599)
XVII Defense Nuclear Facilities Safety Board (Parts 1700 -- 1799)
49 CFR 199.23 Title 11 -- Federal Elections
I Federal Election Commission (Parts 1 -- 9099)
49 CFR 199.23 Title 12 -- Banks and Banking
I Comptroller of the Currency, Department of the Treasury (Parts 1 --
199)
II Federal Reserve System (Parts 200 -- 299)
III Federal Deposit Insurance Corporation (Parts 300 -- 399)
IV Export-Import Bank of the United States (Parts 400 -- 499)
V Office of Thrift Supervision, Department of The Treasury (Parts 500
-- 599)
VI Farm Credit Administration (Parts 600 -- 699)
VII National Credit Union Administration (Parts 700 -- 799)
VIII Federal Financing Bank (Parts 800 -- 899)
IX Federal Housing Finance Board (Parts 900 -- 999)
XI Federal Financial Institutions Examination Council (Parts 1100 --
1199)
XIII Farm Credit System Assistance Board (Parts 1300 -- 1399)
XIV Farm Credit System Insurance Corporation (Parts 1400 -- 1499)
XV Oversight Board (Parts 1500 -- 1599)
XVI Resolution Trust Corporation (Parts 1600 -- 1699)
49 CFR 199.23 Title 13 -- Business Credit and Assistance
I Small Business Administration (Parts 1 -- 199)
III Economic Development Administration, Department of Commerce
(Parts 300 -- 399)
49 CFR 199.23 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 Office of Commercial Space Transportation, Department of
Transportation (Parts 400 -- 499)
V National Aeronautics and Space Administration (Parts 1200 -- 1299)
49 CFR 199.23 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 (Parts 400 -- 499)
VII Bureau of Export Administration, Department of Commerce (Parts
700 -- 799)
VIII Bureau of Economic Analysis, Department of Commerce (Parts 800
-- 899)
IX National Oceanic and Atmospheric Administration, Department of
Commerce (Parts 900 -- 999)
XI Technology Administration, Department of Commerce (Parts 1100 --
1199)
XII United States Travel and Tourism Administration, Department of
Commerce (Parts 1200 -- 1299)
XIII East-West Foreign Trade Board (Parts 1300 -- 1399)
XIV Minority Business Development Agency (Parts 1400 -- 1499)
Subtitle C -- Regulations Relating to Foreign Trade Agreements
XX Office of the United States Trade Representative (Parts 2000 --
2099)
Subtitle D -- Regulations Relating to Telecommunications and
Information
XXIII National Telecommunications and Information Administration,
Department of Commerce (Parts 2300 -- 2399)
49 CFR 199.23 Title 16 -- Commercial Practices
I Federal Trade Commission (Parts 0 -- 999)
II Consumer Product Safety Commission (Parts 1000 -- 1799)
49 CFR 199.23 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)
49 CFR 199.23 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)
49 CFR 199.23 Title 19 -- Customs Duties
I United States Customs Service, Department of the Treasury (Parts 1
-- 199)
II United States International Trade Commission (Parts 200 -- 299)
III International Trade Administration, Department of Commerce (Parts
300 -- 399)
49 CFR 199.23 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, Department of Health and Human
Services (Parts 400 -- 499)
IV Employees' Compensation Appeals Board, Department of Labor (Parts
500 -- 599)
V Employment and Training Administration, Department of Labor (Parts
600 -- 699)
VI Employment Standards Administration, Department of Labor (Parts
700 -- 799)
VII Benefits Review Board, Department of Labor (Parts 800 -- 899)
VIII Joint Board for the Enrollment of Actuaries (Parts 900 -- 999)
IX Office of the Assistant Secretary for Veterans' Employment and
Training, Department of Labor (Parts 1000 -- 1099)
49 CFR 199.23 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)
49 CFR 199.23 Title 22 -- Foreign Relations
I Department of State (Parts 1 -- 199)
II Agency for International Development, International Development
Cooperation Agency (Parts 200 -- 299)
III Peace Corps (Parts 300 -- 399)
IV International Joint Commission, United States and Canada (Parts
400 -- 499)
V United States Information Agency (Parts 500 -- 599)
VI United States Arms Control and Disarmament Agency (Parts 600 --
699)
VII Overseas Private Investment Corporation, International
Development Cooperation Agency (Parts 700 -- 799)
IX Foreign Service Grievance Board Regulations (Parts 900 -- 999)
X Inter-American Foundation (Parts 1000 -- 1099)
XI International Boundary and Water Commission, United States and
Mexico, United States Section (Parts 1100 -- 1199)
XII United States International Development Cooperation Agency (Parts
1200 -- 1299)
XIII Board for International Broadcasting (Parts 1300 -- 1399)
XIV Foreign Service Labor Relations Board; Federal Labor Relations
Authority; General Counsel of the Federal Labor Relations Authority;
and the Foreign Service Impasse Disputes Panel (Parts 1400 -- 1499)
XV African Development Foundation (Parts 1500 -- 1599)
XVI Japan-United States Friendship Commission (Parts 1600 -- 1699)
49 CFR 199.23 Title 23 -- Highways
I Federal Highway Administration, Department of Transportation (Parts
1 -- 999)
II National Highway Traffic Safety Administration and Federal Highway
Administration, Department of Transportation (Parts 1200 -- 1299)
III National Highway Traffic Safety Administration, Department of
Transportation (Parts 1300 -- 1399)
49 CFR 199.23 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)
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)
VII Office of the Secretary, Department of Housing and Urban
Development (Section 8 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 and Section 202 Direct Loan Program) (Parts
800 -- 899)
IX Office of Assistant Secretary for Public and Indian Housing,
Department of Housing and Urban Development (Parts 900 -- 999)
X Office of Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Interstate
Land Sales Registration Program) (Parts 1700 -- 1799)
XI Solar Energy and Energy Conservation Bank, Department of Housing
and Urban Development (Parts 1800 -- 1899)
XII Office of Inspector General, Department of Housing and Urban
Development (Parts 2000 -- 2099)
XV Mortgage Insurance and Loan Programs under the Emergency
Homeowners' Relief Act, Department of Housing and Urban Development
(Parts 2700 -- 2799)
XX Office of Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Parts 3200 --
3699)
XXV Neighborhood Reinvestment Corporation (Parts 4100 -- 4199)
49 CFR 199.23 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 (Parts 500 -- 599)
IV Office of Navajo and Hopi Indian Relocation (Parts 700 -- 799)
49 CFR 199.23 Title 26 -- Internal Revenue
I Internal Revenue Service, Department of the Treasury (Parts 1 --
799)
49 CFR 199.23 Title 27 -- Alcohol, Tobacco Products and Firearms
I Bureau of Alcohol, Tobacco and Firearms, Department of the Treasury
(Parts 1 -- 299)
49 CFR 199.23 Title 28 -- Judicial Administration
I Department of Justice (Parts 0 -- 199)
III Federal Prison Industries, Inc., Department of Justice (Parts 300
-- 399)
V Bureau of Prisons, Department of Justice (Parts 500 -- 599)
VI Offices of Independent Counsel, Department of Justice (Parts 600
-- 699)
VII Office of Independent Counsel (Parts 700 -- 799)
49 CFR 199.23 Title 29 -- Labor
Subtitle A -- Office of the Secretary of Labor (Parts 0 -- 99)
Subtitle B -- Regulations Relating to Labor
I National Labor Relations Board (Parts 100 -- 199)
II Bureau of Labor-Management Relations and Cooperative Programs,
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 Pension and Welfare Benefits Administration, Department of Labor
(Parts 2500 -- 2599)
XXVI Pension Benefit Guaranty Corporation (Parts 2600 -- 2699)
XXVII Federal Mine Safety and Health Review Commission (Parts 2700 --
2799)
49 CFR 199.23 Title 30 -- Mineral Resources
I Mine Safety and Health Administration, Department of Labor (Parts 1
-- 199)
II Minerals Management Service, Department of the Interior (Parts 200
-- 299)
III Board of Surface Mining and Reclamation Appeals, Department of
the Interior (Parts 300 -- 399)
IV Geological Survey, Department of the Interior (Parts 400 -- 499)
VI Bureau of Mines, Department of the Interior (Parts 600 -- 699)
VII Office of Surface Mining Reclamation and Enforcement, Department
of the Interior (Parts 700 -- 999)
49 CFR 199.23 Title 31 -- Money and Finance: Treasury
Subtitle A -- Office of the Secretary of the Treasury (Parts 0 -- 50)
Subtitle B -- Regulations Relating to Money and Finance
I Monetary Offices, Department of the Treasury (Parts 51 -- 199)
II Fiscal Service, Department of the Treasury (Parts 200 -- 399)
IV Secret Service, Department of the Treasury (Parts 400 -- 499)
V Office of Foreign Assets Control, Department of the Treasury (Parts
500 -- 599)
VI Bureau of Engraving and Printing, Department of the Treasury
(Parts 600 -- 699)
VII Federal Law Enforcement Training Center, Department of the
Treasury (Parts 700 -- 799)
VIII Office of International Investment, Department of the Treasury
(Parts 800 -- 899)
49 CFR 199.23 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)
XIX Central Intelligence Agency (Parts 1900 -- 1999)
XX Information Security Oversight Office (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)
49 CFR 199.23 Title 33 -- Navigation and Navigable Waters
I Coast Guard, Department of Transportation (Parts 1 -- 199)
II Corps of Engineers, Department of the Army (Parts 200 -- 399)
IV Saint Lawrence Seaway Development Corporation, Department of
Transportation (Parts 400 -- 499)
49 CFR 199.23 Title 34 -- Education
Subtitle A -- Office of the Secretary, Department of Education (Parts
1 -- 99)
Subtitle B -- Regulations of the Offices of the Department of
Education
I Office for Civil Rights, Department of Education (Parts 100 -- 199)
II Office of Elementary and Secondary Education, Department of
Education (Parts 200 -- 299)
III Office of Special Education and Rehabilitative Services,
Department of Education (Parts 300 -- 399)
IV Office of Vocational and Adult Education, Department of Education
(Parts 400 -- 499)
V Office of Bilingual Education and Minority Languages Affairs,
Department of Education (Parts 500 -- 599)
VI Office of Postsecondary Education, Department of Education (Parts
600 -- 699)
VII Office of Educational Research and Improvement, Department of
Education (Parts 700 -- 799)
49 CFR 199.23 Title 35 -- Panama Canal
I Panama Canal Regulations (Parts 1 -- 299)
49 CFR 199.23 Title 36 -- Parks, Forests, and Public Property
I National Park Service, Department of the Interior (Parts 1 -- 199)
II Forest Service, Department of Agriculture (Parts 200 -- 299)
III Corps of Engineers, Department of the Army (Parts 300 -- 399)
IV American Battle Monuments Commission (Parts 400 -- 499)
V Smithsonian Institution (Parts 500 -- 599)
VII Library of Congress (Parts 700 -- 799)
VIII Advisory Council on Historic Preservation (Parts 800 -- 899)
IX Pennsylvania Avenue Development Corporation (Parts 900-999)
XI Architectural and Transportation Barriers Compliance Board (Parts
1100 -- 1199)
XII National Archives and Records Administration (Parts 1200 -- 1299)
49 CFR 199.23 Title 37 -- Patents, Trademarks, and Copyrights
I Patent and Trademark Office, Department of Commerce (Parts 1 --
199)
II Copyright Office, Library of Congress (Parts 200 -- 299)
III Copyright Royalty Tribunal (Parts 300 -- 399)
IV Assistant Secretary for Technology Policy, Department of Commerce
(Parts 400-499)
V Under Secretary for Technology, Department of Commerce (Parts 500
-- 599)
49 CFR 199.23 Title 38 -- Pensions, Bonuses, and Veterans' Relief
I Department of Veterans Affairs (Parts 0 -- 99)
49 CFR 199.23 Title 39 -- Postal Service
I United States Postal Service (Parts 1-999)
III Postal Rate Commission (Parts 3000 -- 3099)
49 CFR 199.23 Title 40 -- Protection of Environment
I Environmental Protection Agency (Parts 1 -- 799)
V Council on Environmental Quality (Parts 1500-1599)
49 CFR 199.23 Title 41 -- Public Contracts and Property Management
Subtitle B -- Other Provisions Relating to Public Contracts
50 Public Contracts, Department of Labor (Parts 50-1 -- 50-999)
51 Committee for Purchase from the Blind and Other Severely
Handicapped (Parts 51-1 -- 51-99)
60 Office of Federal Contract Compliance Programs, Equal Employment
Opportunity, Department of Labor (Parts 60-1 -- 60-999)
61 Office of the Assistant Secretary for Veterans Employment and
Training, Department of Labor (Parts 61-1 -- 61-999)
Subtitle C -- Federal Property Management Regulations System
101 Federal Property Management Regulations (Parts 101-1 -- 101-99)
105 General Services Administration (Parts 105-1 -- 105-999)
109 Department of Energy Property Management Regulations (Parts 109-1
-- 109-99)
114 Department of the Interior (Parts 114-1 -- 114-99)
115 Environmental Protection Agency (Parts 115-1 -- 115-99)
128 Department of Justice (Parts 128-1 -- 128-99)
132 Department of the Air Force (Parts 132-1 -- 132-99)
Subtitle D -- Other Provisions Relating to Property Management
(Reserved)
Subtitle E -- Federal Information Resources Management Regulations
System
201 Federal Information Resources Management Regulation (Parts 201-1
-- 201-99)
Subtitle F -- Federal Travel Regulation System
301 Travel Allowances (Parts 301-1 -- 301-99)
302 Relocation Allowances (Parts 302-1 -- 302-99)
303 Payment of Expenses Connected with the Death of Certain Employees
(Parts 303-1 -- 303-2)
304 Payment from a non-Federal source for travel expenses (Parts
304-1 -- 304-99)
49 CFR 199.23 Title 42 -- Public Health
I Public Health Service, Department of Health and Human Services
(Parts 1 -- 199)
IV Health Care Financing Administration, Department of Health and
Human Services (Parts 400 -- 499)
V Office of Inspector General-Health Care, Department of Health and
Human Services (Parts 1000 -- 1999)
49 CFR 199.23 Title 43 -- Public Lands: Interior
Subtitle A -- Office of the Secretary of the Interior (Parts 1 --
199)
Subtitle B -- Regulations Relating to Public Lands
I Bureau of Reclamation, Department of the Interior (Parts 200 --
499)
II Bureau of Land Management, Department of the Interior (Parts 1000
-- 9999)
49 CFR 199.23 Title 44 -- Emergency Management and Assistance
I Federal Emergency Management Agency (Parts 0 -- 399)
IV Department of Commerce and Department of Transportation (Parts 400
-- 499)
49 CFR 199.23 Title 45 -- Public Welfare
Subtitle A -- Department of Health and Human Services, General
Administration (Parts 1 -- 199)
Subtitle B -- Regulations Relating to Public Welfare
II Office of Family Assistance (Assistance Programs), Family Support
Administration, Department of Health and Human Services (Parts 200 --
299)
III Office of Child Support Enforcement (Child Support Enforcement
Program), Family Support Administration, Department of Health and Human
Services (Parts 300 -- 399)
IV Office of Refugee Resettlement, Family Support Administration,
Department of Health and Human Services (Parts 400 -- 499)
V Foreign Claims Settlement Commission of the United States,
Department of Justice (Parts 500 -- 599)
VI National Science Foundation (Parts 600 -- 699)
VII Commission on Civil Rights (Parts 700 -- 799)
VIII Office of Personnel Management (Parts 800 -- 899)
X Office of Community Services, Family Support Administration,
Department of Health and Human Services (Parts 1000 -- 1099)
XI National Foundation on the Arts and the Humanities (Parts 1100 --
1199)
XII ACTION (Parts 1200 -- 1299)
XIII Office of Human Development Services, Department of Health and
Human Services (Parts 1300 -- 1399)
XVI Legal Services Corporation (Parts 1600 -- 1699)
XVII National Commission on Libraries and Information Science (Parts
1700 -- 1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800 -- 1899)
XX Commission on the Bicentennial of the United States Constitution
(Parts 2000 -- 2099)
XXI Commission on Fine Arts (Parts 2100 -- 2199)
XXII Christopher Columbus Quincentenary Jubilee Commission (2200 --
2299)
49 CFR 199.23 Title 46 -- Shipping
I Coast Guard, Department of Transportation (Parts 1 -- 199)
II Maritime Administration, Department of Transportation (Parts 200
-- 399)
III Coast Guard (Great Lakes Pilotage), Department of Transportation
(Parts 400 -- 499)
IV Federal Maritime Commission (Parts 500 -- 599)
49 CFR 199.23 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)
49 CFR 199.23 Title 48 -- Federal Acquisition Regulations System
1 Federal Acquisition Regulation (Parts 1 -- 99)
2 Department of Defense (Parts 200 -- 299)
3 Department of Health and Human Services (Parts 300 -- 399)
4 Department of Agriculture (Parts 400 -- 499)
5 General Services Administration (Parts 500 -- 599)
6 Department of State (Parts 600 -- 699)
7 Agency for International Development (Parts 700 -- 799)
8 Department of Veterans Affairs (Parts 800 -- 899)
9 Department of Energy (Parts 900 -- 999)
10 Department of the Treasury (Parts 1000 -- 1099)
12 Department of Transportation (Parts 1200 -- 1299)
13 Department of Commerce (Parts 1300 -- 1399)
14 Department of the Interior (Parts 1400 -- 1499)
15 Environmental Protection Agency (Parts 1500 -- 1599)
16 Office of Personnel Management Federal Employees Health Benefits
Acquisition Regulation (Parts 1600 -- 1699)
17 Office of Personnel Management (Parts 1700 -- 1799)
18 National Aeronautics and Space Administration (Parts 1800 -- 1899)
19 United States Information Agency (Parts 1900 -- 1999)
22 Small Business Administration (Parts 2200 -- 2299)
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)
34 Department of Education Acquisition Regulation (Parts 3400 --
3499)
35 Panama Canal Commission (Parts 3500 -- 3599)
44 Federal Emergency Management Agency (Parts 4400 -- 4499)
51 Department of the Army Acquisition Regulations (Parts 5100 --
5199)
52 Department of the Navy Acquisition Regulations (Parts 5200 --
5299)
53 Department of the Air Force Federal Acquisition Regulation
Supplement (Parts 5300 -- 5399)
57 African Development Foundation (Parts 5700 -- 5799)
61 General Services Administration Board of Contract Appeals (Parts
6100 -- 6199)
63 Department of Transportation Board of Contract Appeals (Parts 6300
-- 6399)
99 Cost Accounting Standards Board, Office of Federal Procurement
Policy, Office of Management and Budget (Parts 9900-9999)
49 CFR 199.23 Title 49 -- Transportation
Subtitle A -- Office of the Secretary of Transportation (Parts 1 --
99)
Subtitle B -- Other Regulations Relating to Transportation
I Research and Special Programs Administration, Department of
Transportation (Parts 100 -- 199)
II Federal Railroad Administration, Department of Transportation
(Parts 200 -- 299)
III Federal Highway Administration, Department of Transportation
(Parts 300 -- 399)
IV Coast Guard, Department of Transportation (Parts 400 -- 499)
V National Highway Traffic Safety Administration, Department of
Transportation (Parts 500 -- 599)
VI Urban Mass Transportation Administration, Department of
Transportation (Parts 600 -- 699)
VII National Railroad Passenger Corporation (AMTRAK) (Parts 700 --
799)
VIII National Transportation Safety Board (Parts 800 -- 899)
X Interstate Commerce Commission (Parts 1000 -- 1399)
49 CFR 199.23 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 Regulatory Agencies (Fishing and Whaling) (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)
49 CFR 199.23 CFR Index and Finding Aids Subject/Agency Index List
of Agency Prepared Indexes Parallel Tables of Statutory Authorities and
Rules Acts Requiring Publication in the Federal Register List of CFR
Titles, Chapters, Subchapters, and Parts
49 CFR 199.23 Alphabetical List of Agencies Appearing in the CFR
CFR Title, Subtitle or
Agency
Chapter
ACTION 45, XII
Administrative Committee of the Federal Register 1, I
Administrative Conference of the United States 1, III
Advisory Commission on Intergovernmental Relations 5, VII
Advisory Committee on Federal Pay 5, IV
Advisory Council on Historic Preservation 36, VIII
African Development Foundation 22, XV; 48, 57
Agency for International Development 22, II; 48, 7
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agricultural Stabilization and Conservation Service 7, VII
Agriculture Department
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agricultural Stabilization and Conservation Service 7, VII
Animal and Plant Health Inspection Service 7, III; 9, I
Commodity Credit Corporation 7, XIV
Cooperative State Research Service 7, XXXIV
Economic Analysis Staff 7, XXXIX
Economic Research Service 7, XXXVII
Economics Management Staff 7, XL
Energy, Office of 7, XXIX
Environmental Quality, Office of 7, XXXI
Farmers Home Administration 7, XVIII
Federal Acquisition Regulation 48, 4
Federal Crop Insurance Corporation 7, IV
Federal Grain Inspection Service 7, VIII
Finance and Management, Office of 7, XXX
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Economic Development Service 7, XXI
Forest Service 36, II
General Sales Manager, Office of 7, XXV
Grants and Program Systems, Office of 7, XXXII
Information Resources Management, Office of 7, XXVII
Inspector General, Office of 7, XXVI
International Cooperation and Development Office 7, XXII
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
Operations Office 7, XXVIII
Packers and Stockyards Administration 9, II
Rural Electrification Administration 7, XVII
Rural Telephone Bank 7, XVI
Secretary of Agriculture, Office of 7, Subtitle A
Soil Conservation Service 7, VI
Transportation, Office of 7, XXXIII
World Agriculture Outlook Board 7, XXXVIII
Air Force Department 32, VII; 41, Subtitle C, Ch. 132
Federal Acquisition Regulation Supplement 48, 53
Alaska Natural Gas Transportation System, Office of the Federal
Inspector 10, XV
Alcohol, Tobacco and Firearms, Bureau of 27, I
AMTRAK 49, VII
American Battle Monuments Commission 36, IV
Animal and Plant Health Inspection Service 7, III; 9, I
Appalachian Regional Commission 5, IX
Architectural and Transportation Barriers Compliance Board 36, XI
Arms Control and Disarmament Agency, U.S. 22, VI
Army Department 32, V
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 51
Assistant Secretary for Technology Policy, Department of Commerce 37,
IV
Benefits Review Board 20, VII
Bicentennial of the United States Constitution, Commission on the 45,
XX
Bilingual Education and Minority Languages Affairs, Office of 34, V
Blind and Other Severely Handicapped, Committee for Purchase from 41,
51
Board for International Broadcasting 22, XIII
Budget, Office of Management and 5, III
Census Bureau 15, I
Central Intelligence Agency 32, XIX
Child Support Enforcement, Office of 45, III
Christopher Columbus Quincentenary Jubilee Commission 45, XXII
Civil Rights Commission 45, VII
Civil Rights, Office for (Education Department) 34, I
Claims Collection Standards, Federal 4, II
Coast Guard 33, I; 46, I, III; 49, IV
Commerce Department 44, IV
Census Bureau 15, I
Assistant Secretary for Technology Policy 37, IV
Economic Affairs, Under Secretary 37, V
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Endangered Species Committee 50, IV
Export Administration Bureau 15, VII
Federal Acquisition Regulation 48, 13
Fishery Conservation and Management 50, VI
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 Administration 15, IX; 50, II, III,
IV, VI
National Telecommunications and Information Administration 15, XXIII;
47, III
Patent and Trademark Office 37, I
Productivity, Technology and Innovation, Assistant Secretary for 37,
IV
Secretary of Commerce, Office of 15, Subtitle A
Technology Administration 15, XI
Under Secretary for Technology 37, V
United States Travel and Tourism Administration 15, XII
Commercial Space Transportation, Office of, Department of
Transportation 14, III
Commission on the Bicentennial of the United States Constitution 45,
XX
Committee for Purchase from the Blind and Other Severely Handicapped
41, 51
Commodity Credit Corporation 7, XIV
Commodity Futures Trading Commission 17, I
Community Planning and Development, Office of Assistant Secretary for
24, V, VI
Community Services, Office of 45, X
Comptroller of the Currency 12, I
Construction Industry Collective Bargaining Commission 29, IX
Consumer Product Safety Commission 16, II
Cooperative State Research Service 7, XXXIV
Copyright Office 37, II
Copyright Royalty Tribunal 37, III
Cost Accounting Standards Board, Office of Federal Procurement Policy
48, 99
Council on Environmental Quality 40, V
Customs Service, United States 19, I
Defense Department 32, Subtitle A
Air Force Department 32, VII; 41, Subtitle C, Ch. 132
Army Department 32, V; 33, II; 36, III, 48, 51
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 2
Navy Department 32, VI; 48, 52
Secretary of Defense, Office of 32, I
Defense Logistics Agency 32, XII
Defense Nuclear Facilities Safety Board 10, XVII
Delaware River Basin Commission 18, III
Drug Enforcement Administration 21, II
East-West Foreign Trade Board 15, XIII
Economic Affairs, Under Secretary (Commerce) 37, V
Economic Analysis, Bureau of 15, VIII
Economic Analysis Staff, Department of Agriculture 7, XXXIX
Economic Development Administration 13, III
Economics Management Staff 7, XL
Economic Research Service 7, XXXVII
Education, Department of
Bilingual Education and Minority Languages Affairs, Office of 34, V
Civil Rights, Office for 34, I
Educational Research and Improvement, Office of 34, VII
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, Office of 34, III
Vocational and Adult Education, Office of 34, IV
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Employees' Compensation Appeals Board 20, IV
Employees Loyalty Board, International Organizations 5, V
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Endangered Species Committee 50, IV
Energy, Department of 10, II, III, X; 41, 109
Federal Acquisition Regulation 48, 9
Federal Energy Regulatory Commission 18, I
Energy, Office of, Department of Agriculture 7, XXIX
Engineers, Corps of 33, II; 36, III
Engraving and Printing, Bureau of 31, VI
Environmental Protection Agency 40, I; 41, 115; 48, 15
Environmental Quality, Office of (Agriculture Department) 7, XXXI
Equal Employment Opportunity Commission 29, XIV
Equal Opportunity, Office of Assistant Secretary for 24, I
Executive Office of the President 3, I
Administration, Office of 5, XV
Export Administration Bureau 15, VII
Export-Import Bank of the United States 12, IV
Family Assistance, Office of 45, II
Family Support Administration 45, II, III, IV, X
Farm Credit Administration 12, VI
Farm Credit System Assistance Board 12, XIII
Farm Credit System Insurance Corporation 12, XIV
Farmers Home Administration 7, XVIII
Federal Acquisition Regulation 48, 1
Federal Aviation Administration 14, I
Federal Claims Collection Standards 4, II
Federal Communications Commission 47, I
Federal Contract Compliance Programs, Office of 41, 60
Federal Crop Insurance Corporation 7, IV
Federal Deposit Insurance Corporation 12, III
Federal Election Commission 11, I
Federal Emergency Management Agency 44, I; 48, 44
Federal Energy Regulatory Commission 18, I
Federal Financial Institutions Examination Council 12, XI
Federal Financing Bank 12, VIII
Federal Grain Inspection Service 7, VIII
Federal Highway Administration 23, I, II; 49, III
Federal Home Loan Mortgage Corporation 1, IV
Federal Housing Finance Board 12, IX
Federal Information Resources Management Regulations 41, Subtitle E,
Ch. 201
Federal Inspector for the Alaska Natural Gas Transportation System,
Office of 10, XV
Federal Labor Relations Authority, and General Counsel of the Federal
Labor Relations Authority 5, XIV; 22, XIV
Federal Law Enforcement Training Center 31, VII
Federal Maritime Commission 46, IV
Federal Mediation and Conciliation Service 29, XII
Federal Mine Safety and Health Review Commission 29, XXVII
Federal Pay, Advisory Committee on 5, IV
Federal Prison Industries, Inc. 28, III
Federal Procurement Policy Office 48, 99
Federal Property Management Regulations 41, 101
Federal Property Management Regulations System 41, Subtitle C
Federal Railroad Administration 49, II
Federal Register, Administrative Committee of 1, I
Federal Register, Office of 1, II
Federal Reserve System 12, II
Federal Retirement Thrift Investment Board 5, VI
Federal Service Impasses Panel 5, XIV
Federal Trade Commission 16, I
Federal Travel Regulation System 41, Subtitle F
Finance and Management, Department of Agriculture 7, XXX
Fine Arts Commission 45, XXI
Fiscal Service 31, II
Fish and Wildlife Service, United States 50, I, IV
Fishery Conservation and Management 50, VI
Fishing and Whaling, International Regulatory Agencies 50, III
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 United States 45, V
Foreign Economic Development Service 7, XXI
Foreign Service Grievance Board 22, IX
Foreign Service Impasse Disputes Panel 22, XIV
Foreign Service Labor Relations Board 22, XIV
Foreign-Trade Zones Board 15, IV
Forest Service 36, II
General Accounting Office 4, I, II, III
General Sales Manager, Office of 7, XXV
General Services Administration
Contract Appeals Board 48, 61
Federal Acquisition Regulation 48, 5
Federal Information Resources Management Regulations 41, Subtitle E,
Ch. 201
Federal Property Management Regulations System 41, 101, 105
Federal Travel Regulation System 41, Subtitle F
Payment of Expenses Connected With the Death of Certain Employees 41,
303
Reduction in Meeting and Training Allowance Payments 41, 304
Relocation Allowances 41, 302
Travel Allowances 41, 301
Geological Survey 30, IV
Government Ethics, Office of 5, XVI
Government National Mortgage Association 24, III
Grants and Program Systems, Office of 7, XXXII
Great Lakes Pilotage 46, III
Harry S. Truman Scholarship Foundation 45, XVIII
Health and Human Services, Department of 45, Subtitle A
Child Support Enforcement, Office of 45, III
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Family Support Administration 45, II, III, IV, X
Federal Acquisition Regulation 48, 3
Food and Drug Administration 21, I
Health Care Financing Administration 42, IV
Human Development Services Office 45, XIII
Inspector General, Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IV
Social Security Administration 20, III; 45, IV
Health Care Financing Administration 42, IV
Housing and Urban Development, Department of
Community Planning and Development, Office of Assistant Secretary for
24, V, VI
Equal Opportunity, Office of Assistant Secretary for 24, I
Federal Acquisition Regulation 48, 24
Government National Mortgage Association 24, III
Housing -- Federal Housing Commissioner, Office of Assistant
Secretary for 24, II, VIII, X, XX
Inspector General, Office of 24, XII
Mortgage Insurance and Loan Programs Under Emergency Homeowners'
Relief Act 24, XV
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Secretary, Office of 24, Subtitle B, VII
Solar Energy and Energy Conservation Bank 24, XI
Housing -- Federal Housing Commissioner, Office of Assistant
Secretary for 24, II, VIII, X, XX
Human Development Services Office 45, XIII
Immigration and Naturalization Service 8, I
Indian Affairs, Bureau of 25, I
Indian Arts and Crafts Board 25, II
Information Agency, United States 22, V; 48, 19
Information Resources Management, Office of, Agriculture Department
7, XXVII
Information Security Oversight Office 32, XX
Inspector General, Office of, Agriculture Department 7, XXVI
Inspector General, Office of, Health and Human Services Department
42, V
Inspector General, Office of, Housing and Urban Development
Department 24, XII
Inter-American Foundation 22, X
Intergovernmental Relations, Advisory Commission on 5, VII
Interior Department
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
Indian Arts and Crafts Board 25, II
Land Management Bureau 43, II
Minerals Management Service 30, II
Mines, Bureau of 30, VI
National Park Service 36, I
Reclamation Bureau 43, I
Secretary of the Interior, Office of 43, Subtitle A
Surface Mining and Reclamation Appeals, Board of 30, III
Surface Mining Reclamation and Enforcement, Office of 30, VII
United States Fish and Wildlife Service 50, I, IV
Internal Revenue Service 26, I
International Boundary and Water Commission, United States and Mexico
22, XI
International Cooperation and Development Office, Department of
Agriculture 7, XXII
International Development, Agency for 22, II
International Development Cooperation Agency 22, XII
International Development, Agency for 22, II
Overseas Private Investment Corporation 22, VII
International Joint Commission, United States and Canada 22, IV
International Organizations Employees Loyalty Board 5, V
International Regulatory Agencies (Fishing and Whaling) 50, III
International Trade Administration 15, III; 19, III
International Trade Commission, United States 19, II
Interstate Commerce Commission 49, X
Japan-United States Friendship Commission 22, XVI
Joint Board for the Enrollment of Actuaries 20, VIII
Justice Department 28, I; 41, 128
Drug Enforcement Administration 21, II
Federal Acquisition Regulation 48, 28
Federal Claims Collection Standards 4, II
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the United States 45, V
Immigration and Naturalization Service 8, I
Offices of Independent Counsel 28, VI
Prisons, Bureau of 28, V
Labor Department
Benefits Review Board 20, VII
Employees' Compensation Appeals Board 20, IV
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Federal Acquisition Regulation 48, 29
Federal Contract Compliance Programs, Office of 41, 60
Federal Procurement Regulations System 41, 50
Labor-Management Relations and Cooperative Programs, Bureau of 29, II
Labor-Management Standards, Office of 29, IV
Mine Safety and Health Administration 30, I
Occupational Safety and Health Administration 29, XVII
Pension and Welfare Benefits Administration 29, XXV
Public Contracts 41, 50
Secretary of Labor, Office of 29, Subtitle A
Veterans' Employment and Training, Office of the Assistant Secretary
for 41, 61; 20, IX
Wage and Hour Division 29, V
Workers' Compensation Programs, Office of 20, I
Labor-Management Relations and Cooperative Programs, Bureau of 29, II
Labor-Management Standards, Office of 29, IV
Land Management, Bureau of 43, II
Legal Services Corporation 45, XVI
Library of Congress 36, VII
Copyright Office 37, II
Management and Budget, Office of 5, III; 48, 99
Marine Mammal Commission 50, V
Maritime Administration 46, II
Merit Systems Protection Board 5, II
Micronesian Status Negotiations, Office for 32, XXVII
Mine Safety and Health Administration 30, I
Minerals Management Service 30, II
Mines, Bureau of 30, VI
Minority Business Development Agency 15, XIV
Miscellaneous Agencies 1, IV
Monetary Offices 31, I
Mortgage Insurance and Loan Programs Under the Emergency Homeowners'
Relief Act, Department of Housing and Urban Development 24, XV
National Aeronautics and Space Administration 14, V; 48, 18
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National Archives and Records Administration 36, XII
National Bureau of Standards 15, II
National Capital Planning Commission 1, IV
National Commission for Employment Policy 1, IV
National Commission on Libraries and Information Science 45, XVII
National Credit Union Administration 12, VII
National Foundation on the Arts and the Humanities 45, XI
National Highway Traffic Safety Administration 23, II, III; 49, V
National Indian Gaming Commission 25, III
National Institute of Standards and Technology 15, II
National Labor Relations Board 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
National Railroad Passenger Corporation (AMTRAK) 49, VII
National Science Foundation 45, VI; 48, 25
National Security Council 32, XXI
National Security Council and Office of Science and Technology Policy
47, II
National Telecommunications and Information Administration 15, XXIII;
47, III
National Transportation Safety Board 49, VIII
Office of Navajo and Hopi Indian Relocation 25, IV
Navy Department 32, VI; 48, 52
Neighborhood Reinvestment Corporation 24, XXV
Nuclear Regulatory Commission 10, I
Occupational Safety and Health Administration 29, XVII
Occupational Safety and Health Review Commission 29, XX
Office of Independent Counsel 28, VII
Offices of Independent Counsel, Department of Justice 28, VI
Operations Office, Department of Agriculture 7, XXVIII
Overseas Private Investment Corporation 22, VII
Oversight Board 12, XV
Packers and Stockyards Administration 9, II
Panama Canal Commission 48, 35
Panama Canal Regulations 35, I
Patent and Trademark Office 37, I
Payment of Expenses Connected With the Death of Certain Employees 41,
303
Peace Corps 22, III
Pennsylvania Avenue Development Corporation 36, IX
Pension and Welfare Benefits Administration, Department of Labor 29,
XXV
Pension Benefit Guaranty Corporation 29, XXVI
Personnel Management, Office of 5, I; 45, VIII; 48, 17
Federal Employees Health Benefits Acquisition Regulation 48, 16
Postal Rate Commission 39, III
Postal Service, United States 39, I
Postsecondary Education, Office of 34, VI
President's Commission on White House Fellowships 1, IV
Presidential Documents 3
Prisons, Bureau of 28, V
Productivity, Technology and Innovation, Assistant Secretary
(Commerce) 37, IV
Property Management Regulations System, Federal 41, Subtitle C
Public Contracts, Department of Labor 41, 50
Public Health Service 42, I
Railroad Retirement Board 20, II
Reclamation Bureau 43, I
Reduction in Meeting and Training Allowance Payments 41, 304
Refugee Resettlement, Office of 45, IV
Regional Action Planning Commissions 13, V
Relocation Allowances 41, 302
Research and Special Programs Administration 49, I
Resolution Trust Corporation 12, XVI
Rural Electrification Administration 7, XVII
Rural Telephone Bank 7, XVI
Saint Lawrence Seaway Development Corporation 33, IV
Science and Technology Policy, Office of 32, XXIV
Science and Technology Policy, Office of, and National Security
Council 47, II
Secret Service 31, IV
Securities and Exchange Commission 17, II
Selective Service System 32, XVI
Small Business Administration 13, I; 48, 22
Smithsonian Institution 36, V
Social Security Administration 20, III; 45, IV
Soil Conservation Service 7, VI
Solar Energy and Energy Conservation Bank, Department of Housing and
Urban Development 24, XI
Soldiers' and Airmen's Home, United States 5, XI
Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, Office of 34, III
State Department 22, I
Federal Acquisition Regulation 48, 6
Surface Mining and Reclamation Appeals, Board of 30, III
Susquehanna River Basin Commission 18, VIII
Technology Administration 15, XI
Tennessee Valley Authority 18, XIII
Thrift Supervision Office, Department of the Treasury 12, V
Trade Representative, United States, Office of 15, XX
Transportation, Department of 44, IV
Coast Guard 33, I; 46, I, III; 49, IV
Commercial Space Transportation, Office of 14, III
Contract Appeals Board 48, 63
Federal Acquisition Regulation 48, 12
Federal Aviation Administration 14, I
Federal Highway Administration 23, I, II; 49, III
Federal Railroad Administration 49, II
Maritime Administration 46, II
National Highway Traffic Safety Administration 23, II, III; 49, V
Research and Special Programs Administration 49, I
Saint Lawrence Seaway Development Corporation 33, IV
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Urban Mass Transportation Administration 49, VI
Transportation, Office of, Department of Agriculture 7, XXXIII
Travel Allowance 41, 301
Travel and Tourism Administration, United States 15, XII
Treasury Department 17, IV
Alcohol, Tobacco and Firearms, Bureau of 27, I
Comptroller of the Currency 12, I
Customs Service, United States 19, I
Engraving and Printing, Bureau of 31, VI
Federal Acquisition Regulation 48, 10
Federal Law Enforcement Training Center 31, VII
Fiscal Service 31, II
Foreign Assets Control, Office of 31, V
Internal Revenue Service 26, I
Monetary Offices 31, I
Secret Service 31, IV
Secretary of the Treasury, Office of 31, Subtitle A
Thrift Supervision Office 12, V
United States Customs Service 19, I
Truman, Harry S. Scholarship Foundation 45, XVIII
Under Secretary for Technology, Department of Commerce 37, V
United States and Canada, International Joint Commission 22, IV
United States Arms Control and Disarmament Agency 22, VI
United States Customs Service 19, I
United States Fish and Wildlife Service 50, I, IV
United States Information Agency 22, V; 48, 19
United States International Development Cooperation Agency 22, XII
United States International Trade Commission 19, II
United States Postal Service 39, I
United States Soldiers' and Airmen's Home 5, XI
United States Trade Representative, Office of 15, XX
United States Travel and Tourism Adminstration 15, XII
Urban Mass Transportation Administration 49, VI
Veterans Affairs Department 38, I; 48, 8
Veterans' Employment and Training, Office of the Assistant Secretary
for 41, 61; 20, IX
Vice President of the United States, Office of 32, XXVIII
Vocational and Adult Education, Office of 34, IV
Wage and Hour Division 29, V
Water Resources Council 18, VI
Workers' Compensation Programs, Office of 20, I
World Agriculture Outlook Board 7, XXXVIII
49 CFR 199.23 49 CFR (12-31-91 Edition)
49 CFR 199.23 List of CFR Sections Affected
49 CFR 199.23 List of CFR Sections Affected
All changes in this volume of the Code of Federal Regulations which
were made by documents published in the Federal Register since January
1, 1986, are enumerated in the following list. Entries indicate the
nature of the changes effected. Page numbers refer to Federal Register
pages. The user should consult the entries for chapters and parts as
well as sections for revisions.
For the period before January 1, 1986, see the ''List of CFR Sections
Affected, 1949-1963, 1964-1972, and 1973-1985'' published in seven
separate volumes.
49 CFR 199.23 1986
49 CFR
51 FR
Page
Chapter I
178.16-19 (c)(2) amended 34987
178.45-17 (e) amended 34987
178.50-19 Revised 5975
178.51-19 (c)(5) revised; (c)(6) added 5975
178.61-20 (a)(2), (b), and (c) revised 5975
178.65-14 (d) amended 34987
178.92-12 (a) introductory text revised 5976
178.98-9 (a)(1) revised 5976
178.99-9 (a)(1) revised 5976
178.100-9 (a)(1) revised 5976
178.102-4 (a) introductory text revised 5976
178.131-9 (a)(1) revised 5976
178.132-9 (a)(1) revised 5976
178.150-3 (a)(2) revised 5976
178.205-16 (a) revised 5976
178.209-8 (a)(2) and Note 1 revised 5976
178.337-1 (d) amended 5977
178.337-10 (d) amended 5977
178.337-13 (b) amended 5977
178.337-17 (a) amended 5976
(b) amended 5977
178.338-3 (b) amended 34987
178.338-18 (a) and (b) amended 5976
178.340-10 (b) amended 5977
192.7 (c) revised 15334
192.55 (e) revised 15335
192.113 Table amended 15335
192.223 Removed 20297
192.225 Revised 20297
192.227 (a) revised; (b) removed; (c) redesignated as (b) 20297
192.237 Removed 20297
192.239 Removed 20297
192.611 (e)(2) revised; eff. 10-31-86 34988
192.719 (a) revised 41635
192.743 (b) revised 41634
192 Appendixes A and B amended 15335
195.1 (b)(4) revised 15007
(b)(4) correctly revised 20976
195.2 Amended 15007
195.3 (c)(1)(iii) amended; (c)(1) (iv) and (v) removed 15335
195.106 (b) introductory text revised; (e) table amended 15335
195.214 Revised 20297
195.222 Heading revised 20297
195.401 (c)(2) revised 15008
49 CFR 199.23 1987
49 CFR
52 FR
Page
Chapter I
178 Authority citation revised 36672
178.38-10 (b) amended 13044
178.42-14 (a) introductory text revised 13044
178.46-4 (a) revised 13044
178.46-5 (d) (1) and (2) footnote 1 revised 13045
178.46-6 (c) revised 13045
178.46-8 (e) revised 13045
178.51-10 (d) revised 13045
178.53-9 (a) amended 13045
178.54 Removed 13045
178.54 -- 178.54-23 Removed 36672
178.61-10 (b) revised 13045
178.135-8 (a)(1) revised 36672
178.245-1 (a) introductory text revised 13045
178.337-1 (d) amended 13046
178.337-13 (b) amended 13046
179 Authority citation revised 36672
179.3 (c) amended 36672
179.4 (a) amended 36672
179.100-13 (a) revised 13046
179.100-14 (a) (1) and (3) revised 13046
179.102-2 (a)(3) revised 13046
179.103-5 (b) (1) and (4) revised 13046
(b)(1) corrected 36672
179.200-7 (b), (c), (d), (e) and (f) table column headings revised
13046
179.200-13 Revised 13047
179.200-17 (a) (1), (6), and (7) and (b) (1) and (3) revised 13047
179.202-8 Revised 13047
179.202-11 Revised 13047
179.202-16 Revised 13048
179.220-1 Revised 13048
179.220-7 (b), (c), (d) and (e) table column headings revised 13048
179.220-18 (a) (1) and (6) and (b) (1) and (3) revised 13048
179.220-19 (c) amended 13048
179.221-1 Table amended 13049
179.222 Added 13049
179.222-1 Added 13049
Correctly designated 36672
179.301 (a) table revised 13049
192 Authority citation revised 32800
192.5 (d)(2) revised 32925
192.614 (b)(4) revised 32800
193 Authority citation revised 675
193.2801 Revised; eff. 1-8-88 675
193.2901 Revised; eff. 1-8-88 675
49 CFR 199.23 1988
49 CFR
53 FR
Page
Chapter I
178.44-12 Footnote 1 amended 38274
178.83-3 (b) amended 38274
178.118-6 (a) table amended 38275
178.121-1 (a) and (d) revised; eff. 4-1-89 36551
178.121-2 (b) and (g) revised; eff. 4-1-89 36551
178.121-3 Revised; eff. 4-1-89 36551
178.121-4 Revised; eff. 4-1-89 36551
178.121-5 Added; eff. 4-1-89 36552
178.121-6 Added; eff. 4-1-89 36552
190 Authority citation revised 1635
190.209 (a)(1) revised 1635
190.227 (a) revised 1635
191 Heading and authority citation revised 24949
191.1 (a) amended 24949
191.7 Revised 24949
191.23 Added 24949
191.25 Added 24949
(b)(8) corrected 29800
192 Authority citation revised 1635
192.3 Amended 1635
192.59 (a)(1) and (b)(1) revised 1635
192.63 (b) removed; (c), (d) and (e) redesignated as (b), (c) and
(d); eff. 10-24-88 36793
192.161 (f) revised 1635
192.177 (a)(1) amended 1635
192.191 (b) revised 1635
192.281 (e)(2) amended 1635
(b)(3) removed; (b)(4) redesignated as (b)(3); eff. 10-24-88 36793
192.355 (b) introductory text revised 1635
192.503 (a)(1) revised 1635
(d) revised; eff. 10-17-88 36029
192.507 Heading and introductory text revised 1635
192.509 Heading and introductory text revised 1635
192.605 (f) added; introductory text republished 24950
Correctly designated 26560
192.625 (g) removed 1635
192 Appendixes A and B amended 36793
193 Authority citation revised 24950
193.2605 (c) added 24950
Correctly designated 26560
195 Authority citation revised 24950
195.50 -- 195-63 (Subpart B) Heading revised 24950
195.50 Heading and introductory text revised 24950
195.54 Revised 24950
195.55 Added 24950
(b)(2) corrected 29800
195.56 Added 24950
Heading corrected 29800
195.58 Revised 24951
195.402 (f) added 24951
199 Added 47096
49 CFR 199.23 1989
49 CFR
54 FR
Page
Chapter I
178 Meeting; effective date extended to 2-12-90 38233
178.39-5 (a) revised; eff. 11-15-89 38797
178.51-15 (b) amended 40069
178.115-6 (b) table amended 40069
Correctly designated and amended 51031
178.210-12 (a) amended 40069
178.224-1 (a)(1) table revised; eff. 11-15-89 38797
(a)(1) correctly revised 47987
178.224-2 (c) table revised; eff. 11-15-89 38797
(d) amended 40069
178.251-7 (a) amended; eff. 11-15-89 38797
178.320 Added; eff. 12-12-89 25015
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25015 and 38233 effective date delayed to 6-12-90
50382
178.337 Heading revised; eff. 12-12-89 25015
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25015 and 38233 effective date delayed to 6-12-90
50382
178.337-1 (e) revised; eff. 12-12-89 25015
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25015 and 38233 effective date delayed to 6-12-90
50382
178.337-2 (c) revised; eff. 12-12-89 25015
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25015 and 38233 effective date delayed to 6-12-90
50382
178.337-3 Revised; eff. 12-12-89 25015
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25015 and 38233 effective date delayed to 6-12-90
50382
178.337-4 (b) amended; eff. 12-12-89 25017
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25017 and 38233 effective date delayed to 6-12-90
50382
178.337-6 (a) revised; eff. 12-12-89 25017
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25017 and 38233 effective date delayed to 6-12-90
50382
178.337-8 (a)(2) and (b) revised; eff. 12-12-89 25017
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25017 and 38233 effective date delayed to 6-12-90
50382
178.337-9 Section and (a) headings, (b), and (d)(1) revised; eff.
12-12-89 25017
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25017 and 38233 effective date delayed to 6-12-90
50382
178.337-11 Revised; eff. 12-12-89 25017
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25017 and 38233 effective date delayed to 6-12-90
50382
178.337-14 (b) revised; eff. 12-12-89 25018
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25016 and 38233 effective date delayed to 6-12-90
50382
178.337-15 Revised; eff. 12-12-89 25018
Regulation at 54 FR 25016 and 38233 effective date delayed to 6-12-90
50382
178.337-18 (a) amended; eff. 12-12-89 25018
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25016 and 38233 effective date delayed to 6-12-90
50382
178.338-3 Revised; eff. 12-12-89 25018
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25016 and 38233 effective date delayed to 6-12-90
50382
178.338-8 (b) revised; eff. 12-12-89 25019
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25019 and 38233 effective date delayed to 6-12-90
50382
178.338-17 Revised; eff. 12-12-89 25020
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25020 and 38233 effective date delayed to 6-12-90
50382
178.340 -- 178.343 Removed; eff. 12-12-89 25020
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25020 and 38233 effective date delayed to 6-12-90
50382
178.340-8 (b) revised 18822
178.341 Regulation at 54 FR 25020 and 38233 effective date delayed to
6-12-90 50382
178.342 Regulation at 54 FR 25020 and 38233 effective date delayed to
6-12-90 50382
178.343 Regulation at 54 FR 25020 and 38233 effective date delayed to
6-12-90 50382
178.345 Added; eff. 12-12-89 25020
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25020 and 38233 effective date delayed to 6-12-90
50382
178.345-1 Added; eff. 12-12-89 25021
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25020 and 38233 effective date delayed to 6-12-90
50382
178.345-2 Added; eff. 12-12-89 25021
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25021 and 38233 effective date delayed to 6-12-90
50382
178.345-3 Added; eff. 12-12-89 25021
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25021 and 38233 effective date delayed to 6-12-90
50382
178.345-4 Added; eff. 12-12-89 25022
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25022 and 38233 effective date delayed to 6-12-90
50382
178.345-5 Added; eff. 12-12-89 25022
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25022 and 38233 effective date delayed to 6-12-90
50382
178.345-6 -- 178.345-8 Added; eff. 12-12-89 25023
Effective date extended to 2-12-90 38233
178.345-6 Regulation at 54 FR 25023 and 38233 effective date delayed
to 6-12-90 50382
178.345-7 Regulation at 54 FR 25023 and 38233 effective date delayed
to 6-12-90 50382
178.345-8 Regulation at 54 FR 25023 and 38233 effective date delayed
to 6-12-90 50382
178.345-9 -- 178.345-10 Added; eff. 12-12-89 25025
Effective date extended to 2-12-90 38233
178.345-9 Regulation at 54 FR 25025 and 38233 effective date delayed
to 6-12-90 50382
178.345-10 Regulation at 54 FR 25025 and 38233 effective date delayed
to 6-12-90 50382
178.345-11 -- 178.345-13 Added; eff. 12-12-89 25026
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25026 and 38233 effective date delayed to 6-12-90
50382
178.345-12 Regulation at 54 FR 25026 and 38233 effective date delayed
to 6-12-90 50382
178.345-13 Regulation at 54 FR 25026 and 38233 effective date delayed
to 6-12-90 50382
178.345-14 Added; eff. 12-12-89 25027
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25027 and 38233 effective date delayed to 6-12-90
50382
178.345-15 Added; eff. 12-12-89 25028
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25028 and 38233 effective date delayed to 6-12-90
50382
178.346 Added; eff. 12-12-89 25028
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25028 and 38233 effective date delayed to 6-12-90
50382
178.346-1 Added; eff. 12-12-89 25028
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25028 and 38233 effective date delayed to 6-12-90
50382
178.346-2 Added; eff. 12-12-89 25028
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25028 and 38233 effective date delayed to 6-12-90
50382
178.346-3 -- 178.346-15 Added; eff. 12-12-89 25029
Effective date extended to 2-12-90 38233
178.346-3 Regulation at 54 FR 25029 and 38233 effective date delayed
to 6-12-90 50382
178.346-4 Regulation at 54 FR 25029 and 38233 effective date delayed
to 6-12-90 50382
178.346-5 Regulation at 54 FR 25029 and 38233 effective date delayed
to 6-12-90 50382
178.346-6 Regulation at 54 FR 25029 and 38233 effective date delayed
to 6-12-90 50382
178.346-7 Regulation at 54 FR 25029 and 38233 effective date delayed
to 6-12-90 50382
178.346-8 Regulation at 54 FR 25029 and 38233 effective date delayed
to 6-12-90 50382
178.346-9 Regulation at 54 FR 25029 and 38233 effective date delayed
to 6-12-90 50382
178.346-10 Regulation at 54 FR 25029 and 38233 effective date delayed
to 6-12-90 50382
178.346-11 Regulation at 54 FR 25029 and 38233 effective date delayed
to 6-12-90 50382
178.346-12 Regulation at 54 FR 25029 and 38233 effective date delayed
to 6-12-90 50382
178.346-13 Regulation at 54 FR 25029 and 38233 effective date delayed
to 6-12-90 50382
178.346-14 Regulation at 54 FR 25029 and 38233 effective date delayed
to 6-12-90 50382
178.346-15 Regulation at 54 FR 25029 and 38233 effective date delayed
to 6-12-90 50382
178-347 Added; eff. 12-12-89 25029
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25029 and 38233 effective date delayed to 6-12-90
50382
178.347-1 Added; eff. 12-12-89 25029
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25029 and 38233 effective date delayed to 6-12-90
50382
178.347-2 -- 178.347-14 Added; eff. 12-12-89 25030
Effective date extended to 2-12-90 38233
178.347-2 Regulation at 54 FR 25030 and 38233 effective date delayed
to 6-12-90 50382
178.347-3 Regulation at 54 FR 25030 and 38233 effective date delayed
to 6-12-90 50382
178.347-5 Regulation at 54 FR 25030 and 38233 effective date delayed
to 6-12-90 50382
178.347-6 Regulation at 54 FR 25030 and 38233 effective date delayed
to 6-12-90 50382
178.347-7 Regulation at 54 FR 25030 and 38233 effective date delayed
to 6-12-90 50382
178.347-8 Regulation at 54 FR 25030 and 38233 effective date delayed
to 6-12-90 50382
178.347-9 Regulation at 54 FR 25030 and 38233 effective date delayed
to 6-12-90 50382
178.347-10 Regulation at 54 FR 25030 and 38233 effective date delayed
to 6-12-90 50382
178.347-11 Regulation at 54 FR 25030 and 38233 effective date delayed
to 6-12-90 50382
178.347-12 Regulation at 54 FR 25030 and 38233 effective date delayed
to 6-12-90 50382
178.347-13 Regulation at 54 FR 25030 and 38233 effective date delayed
to 6-12-90 50382
178.347-14 Regulation at 54 FR 25030 and 38233 effective date delayed
to 6-12-90 50382
178.347-15 Added; eff. 12-12-89 25031
Regulation at 54 FR 25031 and 38233 effective date delayed to 6-12-90
50382
Effective date extended to 2-12-90 38233
178.348 Added; eff. 12-12-89 25031
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25031 and 38233 effective date delayed to 6-12-90
50382
178.348-1 Added; eff. 12-12-89 25031
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25031 and 38233 effective date delayed to 6-12-90
50382
178.348-2 Added; eff. 12-12-89 25031
Table II corrected 28750
Effective date extended to 2-12-90 38233
Regulation at 54 FR 25031 and 38233 effective date delayed to 6-12-90
50382
178.348-3 -- 178.348-15 Added; eff. 12-12-89 25032
Effective date extended to 2-12-90 38233
178.348-3 Regulation at 54 FR 25032 and 38233 effective date delayed
to 6-12-90 50382
178.348-4 Regulation at 54 FR 25032 and 38233 effective date delayed
to 6-12-90 50382
178.348-5 Regulation at 54 FR 25032 and 38233 effective date delayed
to 6-12-90 50382
178.348-6 Regulation at 54 FR 25032 and 38233 effective date delayed
to 6-12-90 50382
178.348-7 Regulation at 54 FR 25032 and 38233 effective date delayed
to 6-12-90 50382
178.348-8 Regulation at 54 FR 25032 and 38233 effective date delayed
to 6-12-90 50382
178.348-9 Regulation at 54 FR 25032 and 38233 effective date delayed
to 6-12-90 50382
178.348-10 Regulation at 54 FR 25032 and 38233 effective date delayed
to 6-12-90 50382
178.348-11 Regulation at 54 FR 25032 and 38233 effective date delayed
to 6-12-90 50382
178.348-12 Regulation at 54 FR 25032 and 38233 effective date delayed
to 6-12-90 50382
178.348-13 Regulation at 54 FR 25032 and 38233 effective date delayed
to 6-12-90 50382
178.348-14 Regulation at 54 FR 25032 and 38233 effective date delayed
to 6-12-90 50382
178.348-15 Regulation at 54 FR 25032 and 38233 effective date delayed
to 6-12-90 50382
179.14 Revised; eff. 11-15-89 38797
179.100-13 (d) revised; eff. 11-15-89 38798
179.100-15 (c) revised; eff. 11-15-89 38798
179.100-23 (c) added; eff. 11-15-89 38798
179.105-1 (c)(1) amended; eff. 11-15-89 38799
179.105-2 (a), (b)(1) and (c)(1) amended; eff. 11-15-89 38799
179.105-3 (a) amended; eff. 11-15-89 38799
179.105-6 Removed; eff. 11-15-89 38798
179.105-9 Removed; eff. 11-15-89 38798
179.106-1 (c) amended; eff. 11-15-89 38799
179.106-2 (a), (b)(1) and (c)(1) amended; eff. 11-15-89 38799
179.106-3 (a), (b)(1) and (c)(1) amended; eff. 11-15-89 38799
179.106-4 (a) and (b) amended; eff. 11-15-89 38799
179.200-18 (b) revised; (c) added; eff. 11-15-89 38798
179.201-1 (a) Table amended; eff. 11-15-89 38798
179.203-1 (c) and (d) amended; eff. 11-15-89 38798
(c) amended 47988
179.203-2 (a)(1) amended; eff. 11-15-89 38799
179.300-7 (a) revised; eff. 11-15-89 38798
180 Added; eff. 12-12-89 25032
Meeting; effective date extended to 2-12-90 38233
Regulation at 54 FR 25015 and 38233 effective date delayed to 6-12-90
50382
190 Authority citation revised 32343
190.223 (a) revised 32344
190.229 (d) redesignated as (e); new (d) added 32344
191.5 (b) introductory text amended 40878
191.25 (a) amended; (b) (6) and (7) revised 32344
(a) amended 40878
192.57 Removed 5627
192.61 Removed 5627
192.63 (a) revised 5627
(a) amended 32642
192.113 Table amended 5627
192.117 Removed 5627
192.119 Removed 5628
192.125 (b) revised 5628
192.145 (a) removed; (b), (c) and (d) redesignated as (c), (d) and
(e); new (a) and (b) added 5628
192.147 (a) revised; (c) added 5628
192.177 (b)(1) amended 5628
192.275 (e) removed 5628
192.277 (a) removed; (b) and (c) redesignated as (a) and (b) 5628
192.279 Revised 5628
192.503 (d) revised 5485
192.557 (d) introductory text and (1) revised; (d)(3) table Note
removed 5628
192.611 Revised 24174
Technical correction 25716
192 Appendixes A and B amended 5628, 32345
Appendix A amended 27882
193 Authority citation revised 27882
193 Appendix A amended 27882
Appendix A corrected 31405
195.3 (c)(5) (iii), (iv), (v), and (ix) removed 5628
(c)(1)(ii) amended 27882
(c)(1)(iii) amended 32345
195.52 (b) amended 40878
195.56 (a) amended; (b) (6) and (7) revised 32344
(a) amended 40878
195.106 (e) table amended 5628
199.1 (b) and (d) revised 14923
(d) revised 53290
199.3 Amended 51850
199.7 Revised 51850
199.9 (b) revised 51850
199.11 (b) through (e) revised 51850
199.15 (c) introductory text republished; (c) (3), (4) and (5)
revised 51850
49 CFR 199.23 1990
49 CFR
55 FR
Page
Chapter I
178 Heading revised 52715
178.0 Removed 52715
178.0-1 Redesignated as 178.1 52715
178.0-2 Redesignated as 178.2 and revised 52715
178.0-3 Redesignated as 178.3 and revised 52716
178.1 -- 178.19 (Subpart A) Removed 52715
178.1 Redesignated from 178.0-1 52715
178.2 Redesignated from 178.0-2 and revised 52715
178.3 Redesignated from 178.0-3 and revised 52716
178.16-19 (c)(2) amended 39981
178.17-6 (b)(2) amended 39981
178.21 Removed 52716
178.21-1 Removed 52716
178.21-2 Removed 52716
178.21-3 Removed 52716
178.22 Removed 52716
178.22-1 Removed 52716
178.22-2 Removed 52716
178.23 Removed 52716
178.23-1 Removed 52716
178.23-2 Removed 52716
178.24 Removed 52716
178.24-1 Removed 52716
178.24-2 Removed 52716
178.24-3 Removed 52716
178.24-4 Removed 52716
178.24-5 Removed 52716
178.24-7 Removed 52716
178.24a Removed 52716
178.24a-1 Removed 52716
178.24a-2 Removed 52716
178.24a-3 Removed 52716
178.24a-4 Removed 52716
178.24a-5 Removed 52716
178.24a-6 Removed 52716
178.25 Removed 52716
178.25-1 Removed 52716
178.26 Removed 52716
178.26-1 Removed 52716
178.27 Removed 52716
178.27-1 Removed 52716
178.27-2 Removed 52716
178.27-3 Removed 52716
178.27-4 Removed 52716
178.28 Removed 52716
178.28-1 Removed 52716
178.28-2 Removed 52716
178.28-3 Removed 52716
178.29 Removed 52716
178.29-1 Removed 52716
178.30 Removed 52716
178.30-1 Removed 52716
178.30-2 Removed 52716
178.31 Removed 52716
178.31-1 Removed 52716
178.32 Removed 52716
178.32-1 Removed 52716
178.32-2 Removed 52716
178.32-3 Removed 52716
178.32-4 Removed 52716
178.33 Heading revised 52716
178.33a Heading revised 52716
178.34 Redesignated as 178.360 52716
178.34-1 Redesignated as 178.360-1 52716
178.34-2 Redesignated as 178.360-2 52716
178.34-3 Redesignated as 178.360-3 52716
178.35 Removed 52716
178.35-1 Removed 52716
178.35-2 Removed 52716
178.35-3 Removed 52716
178.35-4 Removed 52716
178.35-5 Removed 52716
178.35a Removed 52716
178.35a-1 Removed 52716
178.35a-2 Removed 52716
178.35a-3 Removed 52716
178.35a-4 Removed 52716
178.45-17 (e) amended 39981
178.65-14 (d) amended 39981
178.80 -- 178.150-7 (Subpart D) Removed 52716
178.103 -- 178.103-6 Redesignated as 178.352 -- 178.352-6 52716
178.104 -- 178.104-5 Redesignated as 178.354 -- 178.354-5 52716
178.120 -- 178.120-5 Redesignated as 178.356-178.356-5 52716
178.121 -- 178.121-6 Redesignated as 178.358-178.358-6 52716
178.156 -- 178.198-4 (Subpart E) Removed 52716
178.194 -- 178.194-7 Redesignated as 178.362 -- 178.362-7 52716
178.195 -- 178.195-6 Redesignated as 178.364 -- 178.364-6 52716
178.196 -- 178.196-17 Removed 52716
178.197 -- 178.197-16 Removed 52716
178.198 -- 178.198-4 Removed 52716
178.205 -- 178.226-4 (Subpart F) Removed 52716
178.230 -- 178.241-5 (Subpart G) Removed 52716
178.270-11 (c)(1) and (2) revised 52716
178.320 Regulation at 54 FR 25015 effective date delayed to 9-1-90
21035
Revised; eff. 12-31-90 37055
178.337 Regulation at 54 FR 25015 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25015 effective date delayed to 12-31-90 37028
178.337-1 Regulation at 54 FR 25015 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25015 effective date delayed to 12-31-90; (e)(2)
amended eff. 12-31-90 37056
178.337-2 Regulation at 54 FR 25015 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25015 effective date delayed to 12-31-90 37028
178.337-3 Regulation at 54 FR 25015 effective date delayed to 9-1-90
21035
Revised; eff. 12-31-90 37056
178.337-4 Regulation at 54 FR 25017 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25017 effective date delayed to 12-31-90 37028
178.337-6 Regulation at 54 FR 25017 effective date delayed to 9-1-90;
(a) amended 21035, 21038
Regulation at 54 FR 25017 and 55 FR 21038 effective date delayed to
12-31-90 37028
178.337-8 Regulation at 54 FR 25017 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25017 effective date delayed to 12-31-90 37028
178.337-9 Regulation at 54 FR 25017 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25017 effective date delayed to 12-31-90; (b)(6)
revised; eff. 12-31-90 37057
178.337-11 Regulation at 54 FR 25017 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25017 effective date delayed to 12-31-90;
(a)(1)(v) and (c)(1) amended; eff. 12-31-90 37057
178.337-14 Regulation at 54 FR 25018 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25018 effective date delayed to 12-31-90 37028
178.337-15 Regulation at 54 FR 25018 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25018 effective date delayed to 12-31-90; eff.
12-31-90 37028
178.337-18 Regulation at 54 FR 25018 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25018 effective date delayed to 12-31-90; (a)
revised; eff. 12-31-90 37057
178.338-3 Regulation at 54 FR 25018 effective date delayed to 9-1-90
21035
Revised; eff. 12-31-90 37057
178.338-8 Regulation at 54 FR 25019 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25019 effective date delayed to 12-31-90 37028
178.338-17 Regulation at 54 FR 25020 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25020 effective date delayed to 12-31-90; (b)
revised; eff. 12-31-90 37058
178.338-19 (a) revised; (b) amended; eff. 12-31-90 37058
178.340 Regulation at 54 FR 25020 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25020 effective date delayed to 12-31-90 37028
178.341 Regulation at 54 FR 25020 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25020 effective date delayed to 12-31-90 37028
178.342 Regulation at 54 FR 25020 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25020 effective date delayed to 12-31-90 37028
178.343 Regulation at 54 FR 25020 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25020 effective date delayed to 12-31-90 37028
178.345 Regulation at 54 FR 25020 effective date delayed to 9-1-90
21035
(b)(3) introductory text amended 21038
Regulation at 54 FR 25020 effective date delayed to 12-31-90 37028
178.345-1 Regulation at 54 FR 25020 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25020 effective date delayed to 12-31-90; (c)
amended; (h) and (i)(2); eff. 12-31-90 37059
178.345-2 Regulation at 54 FR 25021 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25021 effective date delayed to 12-31-90; (a)
introductory text, (1), (b) and (c) introductory text revised; eff.
12-31-90 37059
178.345-3 Regulation at 54 FR 25021 effective date delayed to 9-1-90
21035
Revised; eff. 12-31-90 37059
178.345-4 Regulation at 54 FR 25022 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25022 effective date delayed to 12-31-90 37028
178.345-5 Regulation at 54 FR 25022 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25022 effective date delayed to 12-31-90 37028
178.345-6 Regulation at 54 FR 25023 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25023 effective date delayed to 12-31-90 37028
178.345-7 Regulation at 54 FR 25023 effective date delayed to 9-1-90
21035
Revised; eff. 12-31-90 37060
178.345-8 Regulation at 54 FR 25023 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25023 effective date delayed to 12-31-90; (a)(3)
amended; (a) introductory text, (1) introductory text, (5), (b)
introductory text, (c) introductory text, (d) introductory text, (1),
(2)(i) and (3) revised; eff. 12-31-90 37061
178.345-9 Regulation at 54 FR 25025 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25025 effective date delayed to 12-31-90; (c)
through (g) redesignated as (d) through (h); new (c) added; (a) and
(b) new (d) and (h) revised; eff. 12-31-90 37061
178.345-10 Regulation at 54 FR 25025 effective date delayed to
9-1-90; (b)(3) introductory text amended 21035, 21038
Regulation at 54 FR 25025 and 21038 effective date delayed to
12-31-90; (e) introductory text amended; (a), (b)(2) through (4), (c),
(d), (e) introductory text, (g)(1) and (h)(3) revised; eff. 12-31-90
37062
178.345-11 Regulation at 54 FR 25026 effective date delayed to 9-1-90
21035
Revised; eff. 12-31-90 37062
178.345-12 Regulation at 54 FR 25026 effective date delayed to 9-1-90
21035
Revised; eff. 12-31-90 37062
178.345-13 Regulation at 54 FR 25026 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25026 effective date delayed to 12-31-90; (b)(2)
revised; eff. 12-31-90 37063
178.345-14 Regulation at 54 FR 25027 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25027 effective date delayed to 12-31-90; (e)(1)
amended; (b) introductory text, (3), (7) through (15), (c)(1), (2), (8)
and (d) revised; eff. 12-31-90 37063
178.345-15 Regulation at 54 FR 25028 effective date delayed to 9-1-90
21035
Revised; eff. 12-31-90 37063
178.346 Regulation at 54 FR 25028 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25028 effective date delayed to 12-31-90; (d)(3)
and (8) revised; eff. 12-31-90 37063
178.346-1 Regulation at 54 FR 25028 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25028 effective date delayed to 12-31-90 37028
178.346-2 Regulation at 54 FR 25028 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25028 effective date delayed to 12-31-90; (a)
Table I amended; eff. 12-31-90 37064
178.346-3 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90 37028
178.346-4 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90 37028
178.346-5 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90 37028
178.346-6 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90 37028
178.346-7 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90 37028
178.346-8 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90 37028
178.346-9 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90 37028
178.346-10 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90;
(b)(2), (c) and (d) revised; eff. 12-31-90 37064
178.346-11 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90 37028
178.346-12 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90 37028
178.346-13 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90; (c)
revised; eff. 12-31-90 37064
178.346-14 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90 37028
178.346-15 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90 37028
178.347 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90 37064
178.347-1 Regulation at 54 FR 25029 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25029 effective date delayed to 12-31-90; (d)
introductory text, (3) and (8) revised; eff. 12-31-90 37028
178.347-2 Regulation at 54 FR 25030 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25030 effective date delayed to 12-31-90; (a)
Tables I and II amended; eff. 12-31-90 37064
178.347-3 Regulation at 54 FR 25030 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25030 effective date delayed to 12-31-90 37028
178.347-4 Regulation at 54 FR 25030 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25030 effective date delayed to 12-31-90 37028
178.347-5 Regulation at 54 FR 25030 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25030 effective date delayed to 12-31-90 37028
178.347-6 Regulation at 54 FR 25030 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25030 effective date delayed to 12-31-90 37028
178.347-7 Regulation at 54 FR 25030 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25030 effective date delayed to 12-31-90 37028
178.347-8 Regulation at 54 FR 25030 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25030 effective date delayed to 12-31-90 37028
178.347-9 Regulation at 54 FR 25030 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25030 effective date delayed to 12-31-90 37028
178.347-10 Regulation at 54 FR 25030 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25030 effective date delayed to 12-31-90; (a)
amended; (b) and (d) revised; eff. 12-31-90 37064
178.347-11 Regulation at 54 FR 25030 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25030 effective date delayed to 12-31-90 37028
178.347-12 Regulation at 54 FR 25030 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25030 effective date delayed to 12-31-90 37028
178.347-13 Regulation at 54 FR 25030 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25030 effective date delayed to 12-31-90 37028
178.347-14 Regulation at 54 FR 25030 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25030 effective date delayed to 12-31-90 37028
178.347-15 Regulation at 54 FR 25031 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25031 effective date delayed to 12-31-90 37028
178.348 Regulation at 54 FR 25031 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25031 effective date delayed to 12-31-90 37028
178.348-1 Regulation at 54 FR 25031 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25031 effective date delayed to 12-31-90; (d),
(e)(1), (2) introductory text, (iii) and (viii) revised; eff. 12-31-90
37065
178.348-2 Regulation at 54 FR 25031 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25031 effective date delayed to 12-31-90; (a)
Tables I and II amended; eff. 12-31-90 37065
178.348-3 Regulation at 54 FR 25032 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25032 effective date delayed to 12-31-90 37028
178.348-4 Regulation at 54 FR 25032 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25032 effective date delayed to 12-31-90 37028
178.348-5 Regulation at 54 FR 25032 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25032 effective date delayed to 12-31-90 37028
178.348-6 Regulation at 54 FR 25032 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25032 effective date delayed to 12-31-90 37028
178.348-7 Regulation at 54 FR 25032 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25032 effective date delayed to 12-31-90 37028
178.348-8 Regulation at 54 FR 25032 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25032 effective date delayed to 12-31-90 37028
178.348-9 Regulation at 54 FR 25032 effective date delayed to 9-1-90
21035
Revised; eff. 12-31-90 37065
178.348-10 Regulation at 54 FR 25032 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25032 effective date delayed to 12-31-90; (a)
amended; (b) and (d)(3) revised; eff. 12-31-90 37065
178.348-11 Regulation at 54 FR 25032 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25032 effective date delayed to 12-31-90 37028
178.348-12 Regulation at 54 FR 25032 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25032 effective date delayed to 12-31-90 37028
178.348-13 Regulation at 54 FR 25032 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25032 effective date delayed to 12-31-90 37028
178.348-14 Regulation at 54 FR 25032 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25032 effective date delayed to 12-31-90 37028
178.348-15 Regulation at 54 FR 25032 effective date delayed to 9-1-90
21035
Regulation at 54 FR 25032 effective date delayed to 12-31-90 37028
179.300-7 (a) revised 27642
180 Regulation at 54 FR 25032 effective date delayed to 9-1-90;
authority citation revised 21035, 21038
Regulation at 54 FR 25032 effective date delayed to 12-31-90 37028
178.350 -- 178.350-3 (Subpart K) Revised 52716
178.352 -- 178.352-5 Redesignated from 178.103 -- 178.103-6 52716
178.354 -- 178.354-5 Redesignated from 178.104 -- 178.104-5 52716
178.356 -- 178.356-5 Redesignated from 178.120 -- 178.120-5 52716
178.358 -- 178.358-6 Redesignated from 178.121 -- 178.121-6 52716
178.360 Redesignated from 178.34 52716
178.360-1 Redesignated from 178.34-1 52716
178.360-2 Redesignated from 178.34-2 52716
178.360-3 Redesignated from 178.34-3 52716
178.362 -- 178.362-7 Redesignated from 178.194 -- 178.194-7 52716
178.364 -- 178.364-6 Redesignated from 178.195 -- 178.195-6 52716
178.500 -- 178.523 (Subpart L) Added 52716, 52717
178.600 -- 178.609 (Subpart M) Added 52716, 52723
178 Appendix A heading revised 52728
Appendix B added 52728
179.101-1 Table amended 52728
179.102-1 (a)(2) through (6) removed 52728
179.102-2 (a)(1), (2) and (3) removed; (a)(4) redesignated as new
(a)(1) 52728
179.102-3 Removed 52728
179.102-4 (a) and (l) removed 52728
179.102-5 Removed 52728
179.102-6 Removed 52728
179.102-7 Removed 52728
179.102-8 Removed 52728
179.102-9 Removed 52728
179.102-10 Removed 52728
179.102-11 Removed 52728
179.102-12 Removed 52728
179.102-13 Removed 52728
179.102-14 Removed 52728
179.102-15 Removed 52728
179.102-16 Removed 52728
179.102-17 (a) amended; (m) revised 52728
179.102-20 Removed 52728
179.105 Heading revised 52728
179.105-1 Revised 52728
179.105-2 Removed 52729
179.105-3 Removed 52729
179.105-4 (c) amended 39981
(a) introductory text amended 52729
179.105-7 (a) amended; (c) revised 52729
179.105-8 (d) and (e) added 52729
179.106 -- 179.106-4 Removed 52729
179.200-18 (b)(1) and (4) revised 52729
179.201-1 (a) table amended 52729
179.202 -- 179.202-22 Removed 52729
179.203-1 (c) and (d) removed; (e) redesignated as (c) 52729
179.203-2 (a)(1) removed; (a)(2) through (4) redesignated as (a)(1)
through (3) 52729
179.302 Removed 52729
180.401 Amended; eff. 12-31-90 37065
180.403 Amended; eff. 12-31-90 37065
180.405 Effective date delayed to 9-1-90; (b), (c)(1) table, (f)
introductory text, (f)(2)(i), (4)(i), (g)(1), (2), (3), and (h) amended
21035, 21038
Regulation at 54 FR 21038 effective date delayed to 12-31-90;
(c)(2)(iii) and (e) amended; (b), (f) introductory text, (1)(ii)
introductory text, (2), (4), (g)(1), (2), (h), and (k) introductory text
revised; eff. 12-31-90 37066
180.407 Effective date delayed to 9-1-90; (g)(1)(iv) amended 21035,
21038
Regulation at 54 FR 21038 effective date delayed to 12-31-90; (e)(3)
removed; (a)(4) and (5), (e)(4) through (6) redesignated as (a)(5) and
(6), and (e)(3) through (5), (g)(1)(iii) through (viii) redesignated as
(g)(1)(iv) through (g)(1)(ix); new (a)(4), (d)(2)(ix), (f)(3), (4),
(g)(1)(iii) added; heading, (b) introductory text, (3), (c), (d)(1),
(2)(v) through (viii), (3), (4), (e)(2)(ii), (f)(1)(ii), (g)(5)(ii),
(6), (h)(1), (3), (i) and new (e)(3) and new (g)(1)(ix) revised; eff.
12-31-90 37067
180.409 Revised; eff. 12-31-90 37069
180.413 Effective date delayed to 9-1-90; (a) introductory text
amended 21035, 21038
Regulation at 54 FR 21038 effective date delayed to 12-31-90; (a)
introductory text, (b)(5), (c), (d)(1) introductory text, (iii), (v) and
(3) revised; (b)(1)(vi)(A) amended; eff. 12-31-90 37069
180.415 Revised; eff. 12-31-90 37069
180.417 Effective date delayed to 9-1-90; (a)(3) heading amended
21035, 21038
Regulation at 54 FR 21039 effective date delayed to 12-31-90; (a)(1)
and (3)(ii) amended; (b)(1)(vi) and (viii) revised; eff. 12-31-90
37070
198 Added 38691
199.9 Interpretative rule 30003
199.17 (b) corrected 797
49 CFR 199.23 1991
49 CFR
56 FR
Page
Chapter I
178.2 Heading, (b) and (c) introductory text revised; (c)(1)(ii)
amended 66284
178.3 (c) added 66284
178.33-9 (a)(2) amended 66287
178.33a Heading revised 66284
178.33a-9 (a)(2) amended 66287
178.34-4 Redesignated as 178.360-4 66284
178.36-3 Amended 66287
178.36-20 (a)(3) amended 66287
178.37-3 Amended 66287
178.37-20 (a)(3) amended 66287
178.38-3 Amended 66287
178.38-20 (a)(2) amended 66287
178.39-3 Amended 66287
178.39-19 (a)(2) amended 66287
178.42-3 Amended 66287
178.42-14 (a)92) amended 66287
178.44-3 Amended 66287
178.44-23 (a)92) amended 66287
178.45-3 Amended 66287
178.45-17 (e) amended 66284
178.46-3 Amended 66287
178.46-15 (a)92) amended 66287
178.47-3 Amended 66287
178.47-21 (a092) amended 66287
178.50-3 Amended 66287
178.50-19 (a)920 amended 66287
178.51-3 Amended 66287
178.51-19 (a)92) amended 66287
178.53-3 Amended 66287
178.53-18 (a)92) amended 66287
178.55-3 Amended 66287
178.55-20 (a)92) amended 66287
178.56-3 Amended 66287
178.56-19 (a)(2) amended 66287
178.57-3 Amended 66287
178.57-20 (a)(3) amended 66287
178.58-3 Amended 66287
178.58-21 (a)(2) amended 66287
178.59-3 (a) amended 66287
178.59-18 (a)(2) amended 66287
178.60-3 (a) amended 66287
178.60-22 (a)(2) amended 66287
178.61-3 Amended 66287
178.61-20 (a)(2) amended 66287
178.65-3 (a) amended 66287
178.65-3 (b) and (c) amended 66287
178.65-14 (d) amended 66284
178.68-3 Amended 66287
178.68-19 (a)(2) amended 66287
178.270-2 (b) amended 66284
(c) amended 66287
178.270-5 (d) amended 66284
178.337-3 (c) revised 27875
(c) introductory text corrected 46354
178.337-6 (a) amended 27876
178.338-3 (c) revised 27876
(c) introductory text corrected 46354
178.345-2 (a)(1) amended 27876
178.345-3 (a)(1) and (g)(2) amended; (c) revised 27876
178.345-7 (a)(2) revised; (c) and (d) introductory text amended
27876
(a)(2) corrected 46354
178.345-8 (d)(3) amended 27877
178.345-9 (a) revised 27877
178.345-10 (b)(3) revised 27877
178.345-11 Revised 27877
178.346-1 (d)(8) amended 27877
178.347-1 (d)(8) amended 27877
178.348-1 (e)(2)(viii) amended 27877
178.352-6 (a)93) amended 66287
178.358-5 (b)(5) amended 66287
178.360-4 Redesignated from 178.34-4 66284
178.362-6 (b) amended 66287
178.503 (a)(9) removed; (a)(10) redesignated as (9); (a)
introductory text and (7) revised; new (a)(10) added; (a)(1), (2),
(5)(i), (8), (9) and (b) amended 66284
178.504 (b)(4) and (5) amended 66284
178.505 (b)(3) and (4) amended 66284
178.506 (b)(3) and (4) amended 66285
178.520 (b)(3) amended 66285
178.521 (b)(2) amended 66285
178.601 (g)(2)(vii) removed; (g)(2)(viii) redesignated as (vii) and
(3) redesignated as (7); newly redesignated (g)(2)(vii) revised;
(c)(4)(iii), (iv), (e), (g) introductory text, (2)(vi), (h) and (k)
introductory text amended 66285
178.602 (a) revised; (b), (d)(1), (2) and (e) amended 66286
178.603 (a) introductory text and (f)(6) revised; (b), (c),
(e)(1)(iii), (2)(i)(C) and (2)(ii)(B) amended 66286
178.604 (b)(2), (c)(1) and (d) amended 66286
178.605 (a) and (b) amended 66286
178.606 (a), (b), (c)(2)(ii) and (d) amended 66286
178.608 (b0(2) and (c) amended 66286
178 Appendix B amended 66287
179.101-1 (a) table amended 66287
179.105-7 (c) introductory text amended 66287
180.2 (b)(2) revised 27877
180.405 (g)(3) and (h) introductory text amended 27877
(b), (h)(1) and (2) amended; (c)(1) introductory text, (2)(vii),
(g)(1) and (2) revised 27878
180.407 (a)(2), (g)(1)(v) and (d)(1) introductory text amended;
(f)(1), (2), (g) heading, (g)(1)(iv) table and (h)(1) revised; (g)
introductory text added 27878
180.409 (b)(2) amended 66287
180.413 (c) and (d)(2)(iii) amended; (d)(1)(i), (ii), (iii) and (3)
revised 27879
180.415 Revised 27879
(b) amended 66287
180.417 (a)(2) amended 27879
190 Technical correction 33208
190.203 (d) revised 31090
190.211 (a) revised 31090
190.229 (d) revised 63770
190.233 (a) revised 31090
190.237 Added 31090
191.27 Added 63770
192.1 (b)(3) added 63771
192.3 Amended 63771
192.603 (c) added 31090
Technical correction 33208
192.612 Added 63771
193.2017 (b) revised 31090
Technical correction 33208
195.0 Revised 26925
195.1 (a) and (b)(5) through (7) revised; (b)(8) added 26925
(c) added 50666
(b)(4) revised 63771
195.2 Amended 26925
Amended 63771
195.4 Revised 26925
195.8 Revised 26925
195.50 Introductory text and (b) revised 26925
195.52 (a) revised 26925
195.57 Added 63771
195.102 Revised 26925
195.111 Added 26926
195.116 (c) revised 26926
195.306 (a) revised; (c) added 26926
195.401 (c) revised 26926
195.402 (c)(7), (9), (12), (e)(2), (4), (5) and (7) revised 26926
(b) revised 31090
Technical correction 33208
195.403 (a)(2) through (4) revised 26926
195.410 (a)(2) revised 26926
195.413 Added 63771
195.414 Revised 26926
195.418 (a) revised 26927
195.440 Revised 26927
199.1 (d) revised 18987
199.7 (a) through (d) redesignated as (a)(1) through (4);
introductory text designated as (a); (b) added 31091
Technical correction 33208
Corrected 41077
49
Transportation
PARTS 178 to 199
Revised as of December 31, 1991
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF DECEMBER 31, 1991
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
49 CFR 199.23 Table of Contents
Page
Explanation v
Title 49:
Subtitle B -- Other Regulations Relating to Transportation --
Continued:
Chapter I -- Research and Special Programs Administration, Department
of Transportation -- Continued
Finding Aids:
Material Approved for Incorporation by Reference
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
49 CFR 199.23 Explanation
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16 as of January 1
Title 17 through Title 27 as of April 1
Title 28 through Title 41 as of July 1
Title 42 through Title 50 as of October 1
The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
revision date (in this case, December 31, 1991), consult the ''List of
CFR Sections Affected (LSA),'' which is issued monthly, and the
''Cumulative List of Parts Affected,'' which appears in the Reader Aids
section of the daily Federal Register. These two lists will identify
the Federal Register page number of the latest amendment of any given
rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
dates and effective dates are usually not the same and care must be
exercised by the user in determining the actual effective date. In
instances where the effective date is beyond the cut-off date for the
Code a note has been inserted to reflect the future effective date. In
those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be
inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires Federal
agencies to display an OMB control number with their information
collection request. Many agencies have begun publishing numerous OMB
control numbers as amendments to existing regulations in the CFR. These
OMB numbers are placed as close as possible to the applicable
recordkeeping or reporting requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected,
1949-1963, 1964-1972, or 1973-1985, published in seven separate volumes.
For the period beginning January 1, 1986, a ''List of CFR Sections
Affected'' is published at the end of each CFR volume.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was
established by statute and allows Federal agencies to meet the
requirement to publish regulations in the Federal Register by referring
to materials already published elsewhere. For an incorporation to be
valid, the Director of the Federal Register must approve it. The legal
effect of incorporation by reference is that the material is treated as
if it were published in full in the Federal Register (5 U.S.C. 552(a)).
This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on
which approval is based are:
(a) The incorporation will substantially reduce the volume of
material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
process.
(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
Properly approved incorporations by reference in this volume are
listed in the Finding Aids at the end of this volume.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed in
the Finding Aids of this volume as an approved incorporation by
reference, please contact the agency that issued the regulation
containing that incorporation. If, after contacting the agency, you
find the material is not available, please notify the Director of the
Federal Register, National Archives and Records Administration,
Washington DC 20408, or call (202) 523-4534.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I), and Acts Requiring Publication
in the Federal Register (Table II). A list of CFR titles, chapters, and
parts and an alphabetical list of agencies publishing in the CFR are
also included in this volume.
An index to the text of ''Title 3 -- The President'' is carried
within that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ''Contents'' entries in
the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES AND SALES
For a summary, legal interpretation, or other explanation of any
regulation in this volume, contact the issuing agency. Inquiries
concerning editing procedures and reference assistance with respect to
the Code of Federal Regulations may be addressed to the Director, Office
of the Federal Register, National Archives and Records Administration,
Washington, DC 20408 (telephone 202-523-3517). All mail order sales are
handled exclusively by the Superintendent of Documents, Attn: New
Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. Charge orders may
be telephoned to the Government Printing Office order desk at
202-783-3238.
Martha L. Girard,
Director,
Office of the Federal Register.
December 31, 1991.
49 CFR 199.23 THIS TITLE
Title 49 -- Transportation is composed of seven volumes. The parts
in these volumes are arranged in the following order: Parts 1-99, parts
100-177, parts 178-199, parts 200-399, parts 400-999, parts 1000-1199,
part 1200 to End. The first volume (parts 1-99) contains current
regulations issued under subtitle A -- Office of the Secretary of
Transportation; the second volume (parts 100-177) and the third volume
(parts 178-199) contain the current regulations issued under chapter I
-- Research and Special Programs Administration (DOT); the fourth
volume (parts 200-399) contains the current regulations issued under
chapter II -- Federal Railroad Administration (DOT), and chapter III --
Federal Highway Administration (DOT); the fifth volume (parts 400-999)
contains the current regulations issued under chapter IV -- Coast Guard
(DOT), chapter V -- National Highway Traffic Safety Administration
(DOT), chapter VI -- Urban Mass Transportation Administration (DOT),
chapter VII -- National Railroad Passenger Corporation (AMTRAK), and
chapter VIII -- National Transportation Safety Board; the sixth volume
(parts 1000-1199) and the seventh volume (part 1200 to End) both contain
current regulations issued under chapter X -- Interstate Commerce
Commission. The contents of these volumes represent all current
regulations codified under this title of the CFR as of October 1, 1991.
In the volume containing parts 100-177, see 172.101 for the
Hazardous Materials Table, and 172.102 for the Optional Hazardous
Materials Table. An Identification Number Cross Reference Index to
Proper Shipping Names in 172.101 and 172.102 appears at the beginning
of part 172. Part 325 and parts 350-399 of chapter III contain a
Subject Index to the Federal Motor Carrier Safety Regulations and
related regulations. The Federal Motor Vehicle Safety Standards appear
in part 571.
Redesignation tables for chapter X -- Interstate Commerce Commission
appear in the Finding Aids section of the sixth and seventh volumes.
For this volume, Rob Sheehan was the Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Richard L. Claypoole, assisted by Alomha S. Morris.
49 CFR 0.0 49 CFR Ch. II (10-1-91 Edition)
49 CFR 0.0 Federal Railroad Administration, DOT
49 CFR 0.0 Title 49 -- Transportation
49 CFR 0.0 (This book contains parts 200 to 399)
SUBTITLE B -- Other Regulations Relating To Transportation --
(Continued)
Part
chapter ii -- Federal Railroad Administration, Department of
Transportation 200
chapter iii -- Federal Highway Administration, Department of
Transportation 301
49 CFR 0.0 49 CFR Ch. II (10-1-91 Edition)
49 CFR 0.0 Federal Railroad Administration, DOT
49 CFR 0.0 Subtitle B -- Other Regulations
49 CFR 0.0 Relating To
49 CFR 0.0 Transportation (Continued)
49 CFR 0.0 49 CFR Ch. II (10-1-91 Edition)
49 CFR 0.0 Federal Railroad Administration, DOT
49 CFR 0.0 CHAPTER II -- FEDERAL RAILROAD ADMINISTRATION,
49 CFR 0.0 DEPARTMENT OF TRANSPORTATION
Part
Page
200 Informal rules of practice for passenger service
201 Formal rules of practice for passenger service
209 Railroad safety enforcement procedures
210 Railroad noise emission compliance regulations
211 Rules of practice
212 State safety participation regulations
213 Track safety standards
215 Railroad freight car safety standards
216 Special notice and emergency order procedures: railroad track,
locomotive and equipment
217 Railroad operating rules
218 Railroad operating practices
219 Control of alcohol and drug use
220 Radio standards and procedures
221 Rear end marking device -- passenger, commuter and freight trains
223 Safety glazing standards -- locomotives, passenger cars and
cabooses
225 Railroad accidents/incidents: Reports classification, and
investigations
228 Hours of service of railroad employees
229 Railroad locomotive safety standards
230 Locomotive inspection
231 Railroad safety appliance standards
232 Railroad power brakes and drawbars
233 Signal systems reporting requirements
234 Grade crossing signal system safety
235 Instructions governing applications for approval of a
discontinuance or material modification of a signal system or relief
from the requirements of part 236
236 Rules, standards, and instructions governing the installation,
inspection, maintenance, and repair of signal and train control systems,
devices and appliances
240 Qualification and certification of locomotive engineers
245 Railroad user fees
250 Guarantee of certificates of trustees of railroads in
reorganization
251 Loans and guarantee of loans under Rail Passenger Service Act of
1970
255 Assistance to States and persons in the Northeast and Midwest
region for local rail services under section 402 of the Regional Rail
Reorganization Act of 1973
256 Financial assistance for railroad passenger terminals
258 Regulations governing section 505 of the Railroad Revitalization
and Regulatory Reform Act of 1976, as amended
260 Regulations governing section 511 of the Railroad Revitalization
and Regulatory Reform Act of 1976, as amended
265 Nondiscrimination in federally assisted railroad programs
266 Assistance to States for local rail service under section 5 of
the Department of Transportation Act
268 Merger and consolidation procedures
49 CFR 0.0
49 CFR 0.0 49 CFR Ch. II (10-1-91 Edition)
49 CFR 0.0 Federal Railroad Administration, DOT
49 CFR 0.0 PART 200 -- INFORMAL RULES OF PRACTICE FOR PASSENGER
SERVICE
Sec.
200.1 General.
200.3 Definitions.
200.5 Applications.
200.7 Objections.
200.9 Hearings.
200.11 Orders, approvals, and determinations.
200.13 Publication.
Authority: Secs. 402(e) and 406 of Pub. L. 91-518, 84 Stat. 1327,
as amended by sec. 10(2) of Pub. L. 93-146, 87 Stat. 548 and sec.
121 of Pub. L. 96-73, 93 Stat. 537 (45 U.S.C. 562(e), 566); 49 CFR
1.49.
Source: 45 FR 64192, Sept. 29, 1980, unless otherwise noted.
49 CFR 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).
49 CFR 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.
49 CFR 200.5 Applications.
(a) Each application and objection under this part shall be submitted
in writing to: Docket Clerk, Office of the Chief Counsel, Federal
Railroad Administration, 400 7th Street, SW., Washington, DC 20590.
(b) Any procedural issues arising from the submission or
consideration of applications under this part, such as timeliness and
adequacy, shall be heard and decided by the Administration's panel
established under 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 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.
49 CFR 200.7 Objections.
(a) Amtrak or any other party shall have 30 days from the date an
application is received by FRA pursuant to section 402(e) of the Act to
object to the proposed alteration of the preference requirement. Such
objections shall be in writing and shall reference, by date, railroad,
and former passenger routes, the application to which it pertains.
(b) Amtrak shall have 30 days from the date an application is
received by FRA pursuant to section 406 of the Act to object to any or
all of the facility downgradings or disposals proposed in such
application. Such objections shall be in writing and shall reference,
by date, railroad, and former passenger routes, the application to which
it pertains and shall list, by facility description and location, the
specific downgradings or disposals to which Amtrak objects.
49 CFR 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.
49 CFR 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.
49 CFR 200.13 Publication.
(a) General notice of any hearing under this subpart shall be
published in the Federal Register not less than 10 days before the
hearing, and shall include (1) a statement of the time, place, and
nature of the hearing, (2) a reference to the legal authority under
which the hearing is being held and (3) a description of the subject and
issues involved.
(b) Any order, approval, or determination resulting from any hearing
held under this part shall be published in the Federal Register.
49 CFR 200.13 PART 201 -- FORMAL RULES OF PRACTICE FOR PASSENGER
SERVICE
Sec.
201.1 General.
201.3 Definitions.
201.4 Scope of regulations.
201.5 Applications.
201.6 Notice of hearing.
201.7 Notification by interested persons.
201.8 Presiding officer.
201.9 Direct testimony submitted as written documents.
201.10 Mailing address.
201.11 Inspection and copying of documents.
201.12 Ex parte communications.
201.13 Prehearing conference.
201.14 Final agenda of the hearing.
201.15 Determination to cancel the hearing.
201.16 Rebuttal testimony and new issues of fact in final agenda.
201.17 Waiver of right to participate.
201.18 Conduct of the hearing.
201.19 Direct testimony.
201.20 Cross-examination.
201.21 Oral and written arguments.
201.22 Recommended decision, certification of the transcript, and
submission of comments on the recommended decision.
201.23 Administrator's decision.
Authority: Secs. 402(f) and (h) of Pub. L. 91-518, 84 Stat. 1327,
as amended by sec. 10(2) of Pub. L. 93-146, 87 Stat. 548 and sec.
216 of Pub. L 96-254, 94 Stat. 418 (45 U.S.C. 562 (f) and (h)); sec.
1.49 of Title 49, Code of Federal Regulations.
Source: 46 FR 2614, Jan. 12, 1981, unless otherwise noted.
49 CFR 201.1 General.
This part prescribes procedures under which applications will be
received and heard and by which rules and orders will be issued under
subsections 402(f) and (h) of the Rail Passenger Service Act (45 U.S.C.
562 (f) and (h)).
49 CFR 201.3 Definitions.
(a) The definitions set forth in 200.3 shall apply to this part.
(b) The following definitions shall also apply to this part:
(1) Party means --
(i) The Administrator or his representative; or
(ii) A person who has notified the Administrator by specified dates
of his or her intent to participate in the hearing pursuant to 201.7
and 201.16(b).
(2) Witness means any person who submits written direct testimony on
an application to the Secretary under this part. A person may be both a
party and a witness.
49 CFR 201.4 Scope of regulations.
The procedural regulations in this part govern the practice and
procedure in hearings held under subsections 402(f) and (h) of the Act.
These hearings will be governed by the provisions of 5 U.S.C. section
556 and section 557 of the Administrative Procedure Act. The
regulations shall be construed to secure the just, speedy, and
inexpensive determination of all issues raised with respect to any
proposal to increase speeds or to add trains pursuant to subsections
402(f) and (h) of the Act with full protection for the rights of all
persons affected thereby.
49 CFR 201.5 Applications.
(a) Each application and objection under this part shall be submitted
in writing to: Docket Clerk, Office of the Chief Counsel, Federal
Railroad Administration, 400 7th Street, SW., Washington, DC 20590.
(b) Any procedural issues arising from the submission or
consideration of applications under this part, such as timeliness and
adequacy, shall be heard and decided by the presiding officer appointed
under 201.8.
(c) In accordance with subsection 402(f) of the Act, Amtrak may apply
to the Administrator for an order requiring a railroad to permit
accelerated speeds by Amtrak trains. Each application shall:
(1) List by endpoints the routes for which Amtrak desires such
acceleration;
(2) Not list routes of more than one railroad;
(3) Indicate by route and train the maximum speeds for Amtrak trains
permitted by the railroad and the maximum speeds desired by Amtrak;
(4) Indicate for each route listed the track classification as
specified in FRA track safety standards (49 CFR part 213); and
(5) Explain why the maximum speeds Amtrak desires are safe and
practicable, or what track, signal system, or other facility
improvements would make such speeds safe and practicable.
(d) In accordance with subsection 402(h) of the Act, Amtrak may apply
to the Administrator for an order to require a railroad to permit or
provide the operation of additional passenger trains on its rail lines.
Each application shall:
(1) List the railroad, the endpoints of the proposed additional train
or trains, and the proposed schedule for such additional train or
trains, and
(2) Describe and give the background of all prior efforts and
negotiations to obtain a satisfactory voluntary agreement with the
railroad for the operation of the proposed additional train or trains.
(e) In addition to the data provided with their applications,
applicants shall furnish the Administrator with any other information
that the Administrator finds necessary in order to make the
determinations required by the Act.
(f) Each applicant shall promptly notify, by registered or certified
mail, any party affected by any application, whether Amtrak or a
railroad, of the submission of each application under this part, and
shall provide a copy of the application with such notice. An official
U. S. Postal Service return receipt from the registered or certified
mailing constitutes prima facie evidence of notice.
49 CFR 201.6 Notice of hearing.
(a) A notice of hearing on an application shall be published in the
Federal Register.
(b) The notice shall state:
(1) The nature of the hearing;
(2) The place and date of the hearing. The date shall not be less
than 60 days after publication of notice of the hearing;
(3) The legal authority under which the hearing is to be held;
(4) Issues of fact which may be involved in the hearing;
(5) If a draft Environmental Impact Statement is required, the date
of publication of the draft and the place(s) where the draft and
comments thereon may be viewed and copied;
(6) The place(s) where records and submitted direct testimony will be
kept for public inspection;
(7) The final date for filing a notice of intent to participate in
the hearing;
(8) The final date for submission of direct testimony on the
application, and the number of copies required;
(9) The docket number assigned to the case, which shall be used in
all subsequent proceedings; and
(10) The place and date of the prehearing conference.
49 CFR 201.7 Notification by interested persons.
Any person desiring to participate as a party shall notify the
Administrator, by registered or certified mail, on or before the date
specified in the notice.
49 CFR 201.8 Presiding officer.
(a) Upon publication of the notice of hearing pursuant to 201.6, the
Administrator shall appoint a presiding officer pursuant to 5 U.S.C.
3105. No individual who has any conflict of interest, financial or
otherwise, shall serve as presiding officer in such proceeding.
(b) The presiding officer, in any proceeding under this part, shall
have power to:
(1) Change the time and place of the hearing and adjourn the hearing;
(2) Evaluate direct testimony submitted pursuant to these
regulations, make a preliminary determination of the issues, conduct a
prehearing conference to determine the issues for the hearing agenda,
and cause to be published in the Federal Register a final hearing
agenda;
(3) Rule upon motions, requests, and admissibility of direct
testimony;
(4) Administer oaths and affirmations, question witnesses, and direct
witnesses to testify;
(5) Modify or waive any rule (after notice) upon determining that no
party will be prejudiced;
(6) Receive written comments and hear oral agruments;
(7) Render a recommended decision; and
(8) Do all acts and take all measures, including regulation of media
coverage, for the maintenance of order at and the efficient conduct of
the proceeding.
(c) In case of the absence of the original presiding officer or his
inability to act, the Administrator may assign to a successor the powers
and duties of the original presiding officer without abatement of the
proceeding unless otherwise ordered by the Administrator.
(d) The presiding officer may upon his own motion withdraw as
presiding officer in a proceeding if he deems himself to be
disqualified.
(e) A presiding officer may be requested to withdraw at any time
prior to the recommended decision. Upon the filing by an interested
person in good faith of a timely and sufficient affidavit alleging the
presiding officer's personal bias, malice, conflict of interest, or
other basis which might result in prejudice to a party, the hearing
shall recess. The Administrator shall immediately act upon such
allegation as a part of the record and decision in the proceeding, after
making such investigation or holding such hearings, or both, as he may
deem appropriate in the circumstances.
49 CFR 201.9 Direct testimony submitted as written documents.
(a) Unless otherwise specified, all direct testimony, including
accompanying exhibits, shall be submitted to the presiding officer in
writing no later than the dates specified in the notice of the hearing,
the final hearing agenda, or within 15 days after the conclusion of the
prehearing conference, as the case may be. All direct testimony shall
be in affidavit form, and exhibits constituting part of such testimony,
referred to in the affidavit and made a part thereof, shall be attached
to the affidavit. Direct testimony submitted with exhibits shall state
the issue to which the exhibit relates; if no such statement is made,
the presiding officer shall determine the relevance of the exhibit to
the issues published in the Federal Register.
(b) The direct testimony submitted shall contain:
(1) A concise statement of the witness' interest in the proceeding
and his position regarding the issues presented. If the direct
testimony is presented by a witness who is not a party, the witness
shall state his relationship to the party;
(2) Facts that are relevant and material; and
(3) Any proposed issues of fact not stated in the notice of the
hearing and the reason(s) why such issues should be considered at the
hearing.
(c) Ten copies of all direct testimony shall be submitted unless the
notice of the hearing specifies otherwise.
(d) Upon receipt, direct testimony shall be assigned a number and
stamped with that number and the docket number.
(e) Contemporaneous with the publication of the notice of hearing,
Amtrak's direct testimony in support of its application shall be
available for public inspection as specified in the notice of hearing.
Amtrak may submit additional direct testimony during the time periods
allowed for submission of such testimony by witnesses.
49 CFR 201.10 Mailing address.
Unless otherwise specified in the notice of hearing, all direct
testimony shall be addressed to the Docket Clerk, Office of the Chief
Counsel, Federal Railroad Administration, 400 7th Street, SW.,
Washington, DC 20590. All affidavits and exhibits shall be clearly
marked with the docket number of the proceeding.
49 CFR 201.11 Inspection and copying of documents.
(a) If confidential financial information is not involved, any
document in a file pertaining to any hearing authorized by this part or
any document forming part of the record of such a hearing may be
inspected or copied in the Office of the Chief Counsel, Federal Railroad
Administration, 400 7th Street, SW., Washington, DC 20590, unless the
file is in the care and custody of the presiding officer in which case
he shall notify the parties as to where and when the record may be
inspected.
(b) If confidential financial information is involved, the presiding
officer, at his discretion, upon the request of any party, may deny the
public inspection and copying of such information.
49 CFR 201.12 Ex parte communications.
(a) After notice of a hearing is published in the Federal Register,
all communications, whether oral or written, involving any substantive
or procedural issue and directed either to the presiding officer or to
the Administrator, without reference to these rules of procedure, shall
be deemed ex parte communications and shall not be considered part of
the record for decision. A record of oral ex parte communications shall
be made by the persons contacted. All written ex parte communications
shall be available for public viewing at the places(s) specified in the
notice of hearing.
(b) The presiding officer shall not consult any person or party on
any fact in issue or on the merits of the matter unless notice and
opportunity is given for all parties to participate.
49 CFR 201.13 Prehearing conference.
(a) After an examination of all the direct testimony submitted, the
presiding officer shall make a preliminary determination of issues of
fact to be addressed at the hearing.
(b) The presiding officer's preliminary determination shall be made
available at the place or places provided in the notice of the hearing
at least five days before the prehearing conference is held.
(c) The purpose of the prehearing conference shall be to enable the
presiding officer to determine, on the basis of the direct testimony
submitted and prehearing discussions:
(1) Whether the presiding officer's preliminary determination of
issues of fact for the hearing has omitted or misconstrued any
significant issues, and
(2) The nature of the interest of each party and which parties'
interests are adverse.
(d) Only parties may participate in the prehearing conference. A
party may appear in person or be represented by counsel.
(e) Parties who do not appear at the prehearing conference shall be
bound by the conference's determinations.
49 CFR 201.14 Final agenda of the hearing.
(a) After the prehearing conference, the presiding officer shall
prepare a final agenda which shall be published in the Federal Register
within ten days after the conclusion of the conference. A copy of the
final agenda shall be mailed to all parties.
(b) The final agenda shall list: (1) All the issues the hearing
shall address, the order in which those issues shall be presented, and
the direct testimony submitted on those issues; and (2) a final date
for submission of direct testimony on issues of fact not included in the
notice of hearing if such issues are presented. The final agenda may
also specify a final date for submission of direct testimony to rebut
testimony previously submitted during the time specified in the notice
of the hearing.
(c) The presiding officer shall publish with the final agenda a list
of witnesses who may appear at the hearing, a list of parties, the
nature of the interest of each party, and which parties' interests are
adverse on the issues presented.
49 CFR 201.15 Determination to cancel the hearing.
(a) If the presiding officer concludes that no issues of fact are
presented by the direct testimony submitted, he shall publish such
conclusion in the Federal Register with a notice that a hearing shall
not be held. The notice shall set forth a date for filing written
comments on the proposed recommended decision. Written comments may
include proposed findings and conclusions, arguments, or briefs.
(b) A person need not be a party to submit written comments.
(c) Promptly after expiration of the period for receiving written
comments, the presiding officer shall make a recommended decision based
on the record, which in this case shall consist of the testimony,
exhibits, and written comments submitted. He shall transfer to the
Administrator his recommended decision, the record, and a certificate
stating that the record contains all the written direct testimony and
comments submitted. The Administrator shall then make a final decision
in accordance with these regulations.
49 CFR 201.16 Rebuttal testimony and new issues of fact in final
agenda.
(a) Direct testimony to rebut testimony offered during the time
period specified in the notice of hearing may be submitted pursuant to
these regulations within fifteen days after the conclusion of the
prehearing conference unless the presiding officer otherwise specifies
in the final agenda.
(b) If the final agenda presents issues not included in the notice of
the hearing published pursuant to 201.6,
(1) Any person interested in participating at the hearing on such
issues presented shall notify the Administrator by certified mail of an
intent to participate not later than ten days after publication of the
final agenda. Such person may present direct testimony or cross-examine
witnesses only on such issues presented unless he previously notified
the Administrator pursuant to 201.7, and
(2) Additional written direct testimony concerning such issues may be
submitted within the time provided in the final agenda. Such direct
testimony will comply with the requirements of 201.9.
49 CFR 201.17 Waiver of right to participate.
Persons who fail to notify the Administrator pursuant to 201.7 and
201.16 shall be deemed to have waived their right to participate as
parties in any part of the hearing.
49 CFR 201.18 Conduct of the hearing.
(a) The hearing shall be held at the time and place fixed in the
notice of hearing, unless the presiding officer changes the time or
place. If a change occurs, the presiding officer shall publish the
change in the Federal Register and shall expeditiously notify all
parties by telephone or by mail; provided, that if the change in time
or place of hearing is made less than five days before the date
previously fixed for the hearing, the presiding officer shall also
announce, or cause to be announced, the change at the time and place
previously fixed for the hearing.
(b) The presiding officer shall, at the commencement of the hearing,
introduce into the record. The notice of hearing as published in the
Federal Register; all subsequent notices published in the Federal
Register; the draft Environmental Impact Statement if it is required,
and the comments thereon and agency responses to the comments; and a
list of all parties. Direct testimony shall then be received with
respect to the matters specified in the final agenda in such order as
the presiding officer shall announce. With respect to direct testimony
submitted as rebuttal testimony or in response to new issues presented
by the prehearing conference, the presiding officer shall determine the
relevance of such testimony.
(c) The hearing shall be publicly conducted and reported verbatim by
an offical reporter.
(d) If a party objects to the admission or rejection of any direct
testimony or to any other ruling of the presiding officer during the
hearing, he shall state briefly the grounds of such objection, whereupon
an automatic exception will follow if the objection is overruled by the
presiding officer. The transcript shall not include argument or debate
thereon except as ordered by the presiding officer. The ruling of the
presiding officer on any objection shall be a part of the transcript and
shall be subject to review at the same time and in the same manner as
the Administrator's final decision. Only objections made before the
presiding officer may subsequently be relied upon in the proceedings.
(e) All motions and requests shall be addressed to, and ruled on by,
the presiding officer if made prior to his certification of the
transcript, or by the Administrator if made thereafter.
49 CFR 201.19 Direct testimony.
(a) Direct testimony shall be submitted by affidavit as provided in
these regulations and introduced at the hearing by a witness in order to
be considered part of the record. Such direct testimony shall not be
read into evidence but shall become a part of the record subject to
exclusion of irrelevant and immaterial parts thereof.
(b) The witness introducing direct testimony shall:
(1) State his name, address, and occupation;
(2) State his qualifications for introducing the direct testimony.
If an expert, the witness shall briefly state the scientific or
technical training that qualifies him as an expert;
(3) Identify the direct testimony previously submitted in accordance
with these regulations; and
(4) Submit to appropriate direct and cross examination.
Cross-examination shall be by a party whose interests are adverse to
those of the witness on the issue presented if the witness is a party,
or adverse to the interests of the party who presented the witness if
the witness is not a party.
(c) A party shall be deemed to have waived the right to introduce
direct testimony if such party fails to present a witness to introduce
the direct testimony.
(d) Offical notice may be taken of such matters as are judicially
noticed by the courts of the United States, provided, that parties shall
be given adequate notice by the presiding officer at the hearing of
matters so noticed and shall be given adequate opportunity to show that
such facts are inaccurate or are erroneously noticed.
49 CFR 201.20 Cross-examination.
(a) The presiding officer may:
(1) Require the cross-examiner to outline the intended scope of the
cross-examination;
(2) Prohibit parties from cross-examining witnesses unless the
presiding officer has determined that the cross-examiner has an adverse
interest on the facts at issue to the party-witness. For the purposes
of this subsection, the Administrator's or his representative's interest
shall be considered adverse to all parties;
(3) Limit the number of times any party or parties having a common
interest may cross-examine an ''adverse'' witness on the same matter;
and
(4) Exclude cross-examination questions that are immaterial,
irrelevant, or unduly repetitious.
(b) Any party shall be given an opportunity to appear, either in
person or through an authorized counsel or representative, to
cross-examine witnesses. Before cross-examining a witness, the party or
counsel shall state his name, address, and occupation. If counsel
cross-examines the witness, counsel shall state for the record the
authority to act as counsel. Cross-examiners shall be assumed to be
familiar with the direct testimony.
(c) Any party or party's counsel who fails to appear at the hearing
to cross-examine an ''adverse'' witness shall be deemed to have waived
the right to cross-examine that witness.
(d) Scientific, technical, or commercial publications may be used
only for the limited purpose of impeaching witnesses under
cross-examination unless previously submitted and introduced in
accordance with these regulations.
49 CFR 201.21 Oral and written arguments.
(a) The presiding officer may, in his discretion, provide for oral
argument at the end of the hearing. Such argument, when permitted, may
be limited by the presiding officer to the extent necessary for the
expeditious disposition of the proceeding.
(b) The presiding officer shall announce at the hearing a reasonable
period of time within which any interested person may file with the
presiding officer any written comments on the application, including
proposed findings and conclusions or written arguments or brief based
upon the record, citing where practicable the relevant page or pages of
the transcript. If a party filing a brief desires the presiding officer
to reconsider any objection made by such party to a ruling of the
presiding officer, he shall specifically identify such rulings by
reference to the pertinent pages of the transcript and shall state his
arguments thereon as a part of the brief.
(c) Oral or written arguments shall be limited to issues arising from
direct testimony on the record.
49 CFR 201.22 Recommended decision, certification of the transcript,
and submission of comments on the recommended decision.
(a) Promptly after expiration of the period for receiving written
briefs, the presiding officer shall make a recommended decision based on
the record and transmit the decision to the Administrator. The
recommended decision shall include:
(1) A statement containing a description of the history of the
proceedings;
(2) Findings on issues of fact with the reasons therefor; and
(3) Rulings on issues of law.
(b) The presiding officer shall also transmit to the Administrator
the transcript of the hearing, the original and all copies of the direct
testimony, and written comments. The presiding officer shall attach to
the original transcript of the hearing a certificate stating that, to
the best of his knowledge and belief, the transcript is a true
transcript of the testimony given at the hearing except in such
particulars as are specified.
(c) Immediately after receipt of the recommended decision, the
Administrator shall give notice thereof in the Federal Register, send
copies of the recommended decision to all parties, and provide
opportunity for the submission of comments. The recommended decision
may be reviewed and/or copied in the Office of the Chief Counsel,
Federal Railroad Administration, 400 7th Street, SW., Washington, DC
20590.
(d) Within twenty days after the notice of receipt of the recommended
decision has been published in the Federal Register, any interested
person may file with the Administrator any written comments on the
recommended decision. All comments shall be submitted during the
twenty-day period to the Administrator at the above address.
49 CFR 201.23 Administrator's decision.
(a) Upon receipt of the recommended decision and transcript and after
the twenty-day period for receiving written comments on the recommended
decision has passed, the Administrator's decision may affirm, modify, or
set aside, in whole or in part, the recommended findings, conclusions,
and decision of the presiding officer. The Administrator may also
remand the hearing record to the presiding officer for a fuller
development of the record.
(b) The Administrator's decision shall include:
(1) A statement containing a description of the history of the
proceeding;
(2) Findings on issues of fact with the reasons therefor; and
(3) Rulings on issues of law.
(c) The Administrator's decision shall be published in the Federal
Register. If the Amtrak application is approved in whole or in part,
the final order shall be promulgated with the decision.
49 CFR 201.23 PART 209 -- RAILROAD SAFETY ENFORCEMENT PROCEDURES
49 CFR 201.23 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.
49 CFR 201.23 Subpart B -- Hazardous Materials Penalties
209.101 Civil penalties generally.
209.103 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.
209.131 Criminal penalties generally.
209.133 Referral for prosecution.
49 CFR 201.23 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.
49 CFR 201.23 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.
Appendix A to Part 209 -- Interim Statement of Agency Policy
Concerning Enforcement of the Federal Railroad Safety Laws
Authority: 45 U.S.C. 6, 10, and 13, as amended; 45 U.S.C. 34, as
amended, 45 U.S.C. 43, as amended; 45 U.S.C. 64a, as amended; 45
U.S.C. 431, 437, 438 and 439, as amended; 49 U.S.C. 103(c); 49 App.
U.S.C. 26(h), as amended; 49 App. U.S.C. 1655(e), as amended; Pub.
L. 100-342; and 49 CFR 1.49 (c), (d), (f), (g), and (m).
Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.
49 CFR 201.23 Subpart A -- General
49 CFR 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, Pub. L. 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)
49 CFR 209.3 Definitions.
As used in this part --
(a) FRA means Federal Railroad Administration, Department of
Transportation.
(b) Administrator mans the Federal Railroad Administrator, the Deputy
Administrator of the FRA or the delegate of either.
(c) Chief Counsel means the Chief Counsel, FRA, or his or her
delegate.
(d) Person includes a corporation, company, association, firm,
partnership, society, joint stock company, joint venture, or sole
proprietorship, as well as any officer, director, owner or duly
authorized representative of any such unit or an individual.
(e) Respondent means a person upon whom the FRA has served a notice
of probable violation, notice of investigation, or notice of proposed
disqualification.
(f) Motion means a request to a presiding officer to take a
particular action.
(g) Presiding Officer means any person authorized to preside over any
hearing or to make a decision on the record, including an administrative
law judge.
(h) Day means calendar day.
(i) Pleading means any written submission setting forth claims,
allegations, arguments, or evidence.
(42 FR 56742, Oct. 28, 1977, as amended at 54 FR 42906, Oct. 18,
1989)
49 CFR 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)
49 CFR 209.6 Requests for admission.
(a) A party to any proceeding under subpart B, C, or D of this part
may serve upon any other party written requests for the admission of the
genuineness of any relevant documents identified within the request, the
truth of any relevant matters of fact, and the application of law to the
facts as set forth in the request.
(b) Each matter of which an admission is requested shall be deemed to
be admitted unless, within 30 days after receipt of the request, the
party to whom the request is directed serves upon the party requesting
the admission a written answer under oath or objection addressed to the
matter, signed by the party.
(c) The sworn answer shall specifically admit or deny the matter or
set forth in detail the reasons why the answering party cannot
truthfully admit or deny the matter. If an objection is made, the
reasons therefor shall be stated.
(d) Any matter admitted under this section is conclusively
established unless the presiding official permits withdrawal or
amendment of the admission for good cause shown.
(e) Upon motion, the presiding officer may order any party to respond
to a request for admission.
(54 FR 42906, Oct. 18, 1989)
49 CFR 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 209.9.
(f) A witness subpoenaed by the FRA shall be entitled to the same
fees and mileage as would be paid to a witness in a proceeding in the
district courts of the United States. See 28 U.S.C. 1821. The witness
fees and mileage shall be paid by the person requesting that the
subpoena be issued. In an appropriate case, the Chief Counsel or the
hearing officer may direct the person requesting issuance of a subpoena
for the production of documentary or other tangible evidence to
reimburse the responding person for actual costs of producing and/or
transporting such evidence.
(g) Notwithstanding the provisions of paragraph (f) of this section,
and upon request, witness fees and mileage or the costs of producing
other evidence may be paid by the FRA if the official who issued the
subpoena determines on the basis of good cause shown that:
(1) The presence of the subpoenaed witness or evidence will
materially advance the proceedings; and
(2) The party at whose instance the subpoena was issued would suffer
a serious financial hardship if required to pay the witness fees and
mileage.
(h) Any person to whom a subpoena is directed may, prior to the time
specified therein for compliance, but in no event more than ten (10)
days after the date of service of such subpoena, apply in writing to the
official who issued the subpoena, or if that person is unavailable, to
the Chief Counsel, to quash or modify the subpoena. The application
shall contain a brief statement of the reasons relied upon in support of
the action sought therein. The issuing official or the Chief Counsel,
as the case may be, may:
(1) Deny the application;
(2) Quash or modify the subpoena; or
(3) In the case of subpoena to produce documentary or other tangible
evidence, condition denial of the application upon the advancement by
the party in whose behalf the subpoena is issued of the reasonable cost
of producing the evidence.
(i) If there is a refusal to obey a subpoena served upon any person
under the provisions of this section, the FRA may request the Attorney
General to seek the aid of the United States District Court for any
district in which the person is found to compel that person, after
notice, to appear and give testimony, or to appear and produce the
subpoenaed documents before the FRA, or both.
(j) Attendance of any FRA employee engaged in an investigation which
gave rise to a proceeding under subpart B or C of this part for the
purpose of eliciting factual testimony may be assured by filing a
request with the Chief Counsel at least fifteen (15) days before the
date of the hearing. The request must indicate the present intent of
the requesting person to call the employee as a witness and state
generally why the witness will be required.
(42 FR 56742, Oct. 28, 1977, as amended at 54 FR 42906, Oct. 18,
1989)
49 CFR 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 209.7 and, for proceedings under subpart D of
this part, 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.
(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)
49 CFR 209.9 Filing.
All materials filed with FRA or any FRA officer in connection with a
proceeding under subpart B, C, or D of this part shall be submitted in
duplicate to the Assistant Chief Counsel for Safety, (RCC-30), Office of
Chief Counsel, Federal Railroad Administration, 400 Seventh Street, SW.,
Washington, DC 20590, except that documents produced in accordance with
a subpoena shall be presented at the place and time specified by the
subpoena.
(54 FR 42906, Oct. 18, 1989)
49 CFR 209.11 Request for confidential treatment.
(a) This section governs the procedures for requesting confidential
treatment of any document filed with or otherwise provided to FRA in
connecton with its enforcement of statutes related to railroad safety.
For purposes of this section, ''enforcement'' shall include all
investigative and compliance activities, in addition to the development
of violation reports and recommendations for prosecution.
(b) A request for confidential treatment with respect to a document
or portion thereof may be made on the basis that the information is --
(1) Exempt from the mandatory disclosure requirements of the Freedom
of Information Act (5 U.S.C. 552);
(2) Required to be held in confidence by 18 U.S.C. 1905; or
(3) Otherwise exempt by law from public disclosure.
(c) Any document containing information for which confidential
treatment is requested shall be accompanied at the time of filing by a
statement justifying nondisclosure and referring to the specific legal
authority claimed.
(d) Any document containing any information for which confidential
treatment is requested shall be marked ''CONFIDENTIAL'' or ''CONTAINS
CONFIDENTIAL INFORMATION'' in bold letters. If confidentiality is
requested as to the entire document, or if it is claimed that
nonconfidential information in the document is not reasonably segregable
from confidential information, the accompanying statement of
justification shall so indicate. If confidentiality is requested as to
a portion of the document, then the person filing the document shall
file together with the document a second copy of the document from which
the information for which confidential treatment is requested has been
deleted. If the person filing a document of which only a portion is
requested to be held in confidence does not submit a second copy of the
document with the confidential information deleted. FRA may assume that
there is no objection 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.
49 CFR 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)
49 CFR 209.15 Rules of evidence.
The Federal Rules of Evidence for United States Courts and
Magistrates shall be employed as general guidelines for proceedings
under subparts B, C, and D of this part. However, all relevant and
material evidence shall be received into the record.
(54 FR 42907, Oct. 18, 1989)
49 CFR 209.17 Motions.
Motions shall be in writing, filed with the presiding officer, and
copies served upon the parties in accordance with 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)
49 CFR 209.17 Subpart B -- Hazardous Materials Penalties
49 CFR 209.17 Civil Penalties
49 CFR 209.101 Civil penalties generally.
(a) Sections 209.101 through 209.121 prescribe rules of procedure for
the assessment of civil penalties pursuant to section 110 of the
Hazardous Materials Transportation Act (49 U.S.C. 1809).
(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.
49 CFR 209.103 Maximum penalties.
A person who knowingly violates a requirement of subchapter B or C of
chapter I, subtitle B of this title is liable for a civil penalty of not
more than $10,000 for each violation. When the violation is a
continuing one, each day of the violation constitutes a separate
offense. 49 U.S.C. 1809.
49 CFR 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 B or C of
chapter I, subtitle B of this title.
(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 penalty. If the
amendment contains any new material allegation of fact, the respondent
is given an opportunity to respond.
49 CFR 209.107 Reply.
(a) Within thirty (30) days of the service of a notice of probable
violation issued under 209.105, the respondent may --
(1) Pay as provided in 209.109(a) and thereby close the case;
(2) Make an informal response as provided in 209.111; or
(3) Request a hearing as provided in 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.
49 CFR 209.109 Payment of penalty; compromise.
(a) Payment of a civil penalty should be made by certified check or
money order payable to the Federal Railroad Administration and sent to
the Accounting Division, Federal Railroad Administration, Department of
Transportation, Washington, DC 20590.
(b) At any time before an order assessing a penalty is referred to
the Attorney General for collection, the respondent may offer to
compromise for a specific amount by contracting the Chief Counsel.
49 CFR 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.
49 CFR 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 209.115
may grant extensions of the time of the commencement of the hearing for
good cause shown.
49 CFR 209.115 Hearing.
(a) When a hearing is requested and scheduled under 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 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)
49 CFR 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 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.
49 CFR 209.119 Assessment considerations.
The assessment of a civil penalty under 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.
49 CFR 209.121 Appeal.
(a) Any party aggrieved by a presiding officer's decision or order
issued under 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.
49 CFR 209.121 Criminal Penalties
49 CFR 209.131 Criminal penalties generally.
Section 110(b) of the Hazardous Materials Transportation Act (49
U.S.C. 1809(b)) provides a criminal penalty of a fine of not more than
$25,000 and imprisonment for not more than five years, or both, for any
person who willfully violates a provision of the Act or a regulation
issued under the Act.
49 CFR 209.133 Referral for prosecution.
If an inspector or other employee of FRA becomes aware of a possible
willful violation of the Act or a regulation issued under the Act for
which FRA exercises enforcement responsibility, he or she reports it to
the Chief Counsel. If evidence exists tending to establish a prima
facie case, and if it appears that assessment of a civil penalty would
not be an adequate deterrent to future violations, the Chief Counsel
refers the report to the Department of Justice for criminal prosecution
of the offender.
49 CFR 209.133 Subpart C -- Compliance Orders
49 CFR 209.201 Compliance orders generally.
(a) This subpart prescribes rules of procedure leading to the
issuance of compliance orders pursuant to section 208 of the Federal
Railroad Safety Act of 1970, as amended (45 U.S.C. 437) or section 109
of the Hazardous Materials Transportation Act (49 U.S.C. 1808).
(b) The FRA may commence a proceeding under this subpart when FRA has
reason to believe that:
(1) A railroad is engaging in continuing conduct or a pattern of
conduct which involves one or more violations of the Federal Railroad
Safety Act of 1970 or any rule, regulation, order or standard issued
under the Act; or
(2) A person is engaging in continuing conduct or a pattern of
conduct which involves one or more violations of the Hazardous Materials
Transportation Act or any regulation, waiver or order issued under the
Act for which FRA exercises enforcement responsibility.
49 CFR 209.203 Notice of investigation.
(a) FRA begins a compliance order proceeding by serving a notice of
investigation on the respondent.
(b) The notice of investigation contains:
(1) A statement of the legal authority for the proceeding;
(2) A statement of the factual allegations upon which the remedial
action is being sought; and
(3) A statement of the remedial action being sought in the form of a
proposed compliance order.
(c) The FRA may amend the notice of investigation at any time prior
to the entry of a final compliance order. If an amendment includes any
new material allegation of fact or seeks new or additional remedial
action, the respondent is given an opportunity to respond.
49 CFR 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 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.
49 CFR 209.207 Consent order.
(a) At any time before the issuance of an order under 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.
49 CFR 209.209 Hearing.
(a) When a respondent files a reply contesting allegations in a
notice of investigation issued under 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 209.7;
(3) Adopt procedures for the submission of evidence;
(4) Take or cause depositions to be taken;
(5) Rule on offers of proof and receive relevant evidence;
(6) Examine witnesses at the hearing;
(7) Convene, recess, reconvene, ad- journ and otherwise regulate the
course of the hearing;
(8) Hold conferences for settlement, simplification of the issues or
any other proper purpose; and
(9) Take any other action authorized by or consistent with the
provisions of this subpart pertaining to compliance orders and permitted
by law which may 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 209.215 Subpart D -- Disqualification Procedures
Source: 54 FR 42907, Oct. 18, 1989, unless otherwise noted.
49 CFR 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 209(f) of the Federal
Railroad Safety Act of 1970 (45 U.S.C. 438(f)).
(b) The purpose of this subpart is to prevent accidents and
casualties in railroad operations that result from the presence in the
work force of railroad employees, including managers and supervisors,
and agents of railroads who have demonstrated their unfitness to perform
the safety-sensitive functions described in 209.303 by violating any
rule, regulation, order or standard prescribed by FRA. Employees and
agents who evidence such unfitness may be disqualified, under specified
terms and conditions, temporarily or permanently, from performing such
safety-sensitive functions.
(c) This subpart does not preempt a railroad from initiating
disciplinary proceedings and imposing disciplinary sanctions against its
employees, including managers and supervisors, under its collective
bargaining agreements or in the normal and customary manner.
Disqualification determinations made under this subpart shall have no
effect on prior or subsequent disciplinary actions taken against such
employees by railroads.
49 CFR 209.303 Coverage.
This subpart applies to the following individuals:
(a) Railroad employees who are assigned to perform service subject to
the Hours of Service Act (45 U.S.C. 61-64b) during a duty tour, whether
or not the person has performed or is currently performing such service,
and any person who performs such service.
(b) Railroad employees or agents who:
(1) Inspect, install, repair, or maintain track and roadbed;
(2) Inspect, repair or maintain, locomotives, passenger cars, and
freight cars;
(3) Conduct training and testing of employees when the training or
testing is required by the FRA's safety regulations; or
(c) Railroad managers, supervisors, or agents when they:
(1) Perform the safety-sensitive functions listed in paragraphs (a)
and (b) of this section;
(2) Supervise and otherwise direct the performance of the
safety-sensitive functions listed in paragraphs (a) and (b) of this
section; or
(3) Are in a position to direct the commission of violations of any
of the requirements of parts 213 through 236 of this title.
49 CFR 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
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 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 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 209.319. Failure to furnish such
evidence to respondent at or before the prehearing conference bars its
introduction at the hearing.
(d) The Chief Counsel shall provide a copy of the notice of proposed
disqualification to the railroad that employs the respondent.
49 CFR 209.307 Reply.
(a) Within 30 days after receipt of the notice of proposed
disqualification issued under 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 209.309; or
(3) Request a hearing as provided in 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 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.
49 CFR 209.309 Informal Response.
(a) If the respondent elects to make an informal response to a notice
of proposed disqualification, he or she shall submit to the Chief
Counsel such written explanations, information, or other materials as
respondent may desire in answer to the charges or in mitigation of the
proposed disqualification.
(b) The respondent may include in an informal written response a
request for a conference. Upon receipt of such a request, the Chief
Counsel shall arrange for a conference at a time and place designated by
the Chief Counsel.
(c) Written explanations, information, or materials submitted by the
respondent and relevant information presented during any conference held
under this section shall be considered by the Chief Counsel in reviewing
the notice of proposed disqualification, including the question of the
respondent's fitness and the conditions of any disqualification that may
be imposed.
(d) After consideration of an informal response, including any
relevant information presented at a conference, the Chief Counsel shall
take one of the following actions:
(1) Dismiss all the charges and terminate the notice of proposed
disqualification;
(2) Dismiss some of the charges and mitigate the proposed
disqualification;
(3) Mitigate the proposed disqualification; or
(4) Sustain the charges and proposed disqualification.
(e) Should the Chief Counsel sustain, in whole or in part, the
charges and proposed disqualification and reach settlement with the
respondent, the Chief Counsel shall issue an appropriate
disqualification order reflecting the settlement and shall provide a
copy of that order to the railroad by which the respondent is employed.
The duration of the disqualification period may be less than, but shall
be no greater than, the period set forth in the notice. Any settlement
reached shall be evidenced by a written agreement, which shall include
declarations from the respondent stipulating to the charges contained in
the disqualification order, consenting to the imposition of the
disqualification under the conditions set forth in the disqualification
order, and waiving his or her right to a hearing.
(f) If settlement of the charges against the respondent is not
achieved, the Chief Counsel shall terminate settlement discussions no
later than 30 days from service of the informal response upon the Chief
Counsel by serving respondent written notice of termination of
settlement negotiations.
(g) By electing to make an informal response to a notice of proposed
disqualification, the respondent does not waive the right to a hearing.
However, the respondent must submit the hearing request required by
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.
49 CFR 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
209.307(a) or 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
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.
49 CFR 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 209.6,
requests for production of documentary or other tangible evidence under
209.7, and depositions under 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 209.311.
(d) Discovery shall be completed within 90 days after receipt of
respondent's request for a hearing under 209.311. Upon motion for good
cause shown, the presiding officer may extend this time period for an
additional 30 days. The presiding officer may grant an additional 30
day extension only when the party requesting the extension shows by
clear and convincing evidence that the party was unable to complete
discovery within the prescribed time period through no fault or lack of
due diligence of such party, and that denial of the request would result
in irreparable prejudice.
(e) If a party fails to comply with a discovery order or an order to
compel, the presiding officer may:
(1) Strike any appropriate part of the pleadings or other submissions
of the party failing to comply with such order;
(2) Prohibit the party failing to comply with such order from
introducing evidence relating to the information sought;
(3) Draw an inference in favor of the requesting party with regard to
the information sought; and
(4) Permit the requesting party to introduce secondary evidence
concerning the information sought.
49 CFR 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 209.7.
49 CFR 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.
49 CFR 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 209.311.
49 CFR 209.321 Hearing.
(a) When a hearing is requested and scheduled under 209.311, a
presiding officer designated by the Chief Administrative Law Judge of
the Department convenes and presides over the hearing. 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 209.7;
(3) Adopt procedures for the submission of evidence in written form;
(4) Take or cause depositions to be taken as provided in 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 209.329(a), the respondent's lack of fitness to
perform safety-sensitive functions. The Chief Counsel may offer
relevant evidence, including testimony, in support of the allegations
contained in the notice of proposed disqualification and conduct such
cross-examination as may be required for a full disclosure of the
material facts.
(d) The respondent may appear and be heard on respondent's own behalf
or through respondent's designated representative. The respondent may
offer relevant evidence, including testimony, in defense of the
allegations or in mitigation of the proposed disqualification and
conduct such cross-examination as may be required for a full disclosure
of the material facts. Respondent has the burden of proof, by a
preponderance of the evidence, as to any affirmative defense, including
that respondent's actions were in obedience to the direct order of a
railroad supervisor or higher level official.
(e) The record shall be closed at the conclusion of the hearing,
unless the parties request the opportunity to submit proposed findings
and conclusions. When the presiding officer allows the parties to
submit proposed findings and conclusions, documents previously
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.
49 CFR 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 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; and
(4) The date upon which the decision will become final, as prescribed
in 209.325.
(5) Notice of the parties' appeal rights, as prescribed in 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.
49 CFR 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 209.327. The timely filing of such an appeal shall stay the order
in the initial decision.
49 CFR 209.327 Appeal.
(a) Any party aggrieved by an initial decision issued under 209.323
may file an appeal. The appeal must be filed within 35 days of issuance
of the initial decision with the Federal Railroad Administrator, 400
Seventh Street, SW., Washington, DC 20590. A copy of the appeal shall
be served on each party. The appeal shall set forth objections to the
initial decision, supported by reference to applicable laws and
regulations, and with specific reference to the record. If the
Administrator has played any role in investigating, prosecuting, or
deciding to prosecute the particular case, the Administrator shall
recuse him or herself and delegate his or her authority under this
section to a person not so involved.
(b) A party may file a reply to an appeal within 25 days of service
of the appeal. If the party relies on evidence contained in the record
for the reply, the party shall specifically refer to the pertinent
evidence in the record.
(c) The Administrator may extend the period for filing an appeal or a
response for good cause shown, provided the written request for
extension is served before the expiration of the applicable period
provided in paragraph (c) or (d) of this section.
(d) The Administrator has sole discretion to permit oral argument on
the appeal. On the Administrator's own initiative or upon written
motion by any party, the Administrator may determine that oral argument
will contribute substantially to the development of the issues on appeal
and may grant the parties an opportunity for oral argument.
(e) The Administrator may affirm, reverse, alter, or modify the
decision of the presiding officer, or may remand the case for further
proceedings before 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.
49 CFR 209.329 Assessment considerations.
(a) Proof of a respondent's willful violation of one of the
requirements of parts 213 through 236 (excluding parts 225, 228, and
233) of this title establishes a rebuttable presumption that the
respondent is unfit to perform the safety-sensitive functions described
in 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 209.309, 209.323,
and 209.327, the factors to be considered, to the extent: each is
pertinent to the respondent's case, include but are not limited to the
following:
(1) The nature and circumstances of the violation, including whether
the violation was intentional, technical, or inadvertent, was committed
willfully, or was frequently repeated;
(2) The adverse impact or the potentially adverse impact of the
violation on the health and safety of persons and the safety of
property;
(3) The railroad's operating rules, safety rules, and repair and
maintenance standards;
(4) Repair and maintenance standards adopted by the industry;
(5) The consistency of the conditions of the proposed
disqualification with disqualification orders issued against other
employees for the same or similar violations;
(6) Whether the respondent was on notice of any safety regulations
that were violated or whether the respondent had been warned about the
conduct in question;
(7) The respondent's past record of committing violations of safety
regulations, including previous FRA warnings issued, disqualifications
imposed, civil penalties assessed, railroad disciplinary actions, and
criminal convictions therefor;
(8) The civil penalty scheduled for the violation of the safety
regulation in question;
(9) Mitigating circumstances surrounding the violation, such as the
existence of an emergency situation endangering persons or property and
the need for the respondent to take immediate action; and
(10) Such other factors as may be warranted in the public interest.
49 CFR 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 209.303.
(b) A railroad that is considering hiring an individual to perform
the safety-sensitive functions described in 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 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.
49 CFR 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.
49 CFR 209.335 Penalties.
(a) Any individual who violates 209.331(c) or 209.333(a) may be
permanently disqualified from performing the safety-sensitive functions
described in 209.303. Any individual who willfully violates 209.331(c)
or 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 209.331 (a) or (b) or 209.333(b) may
be assessed a civil penalty of at least $5,000 and not more than $10,000
per violation.
(c) Each day a violation continues shall constitute a separate
offense.
49 CFR 209.335 Pt. 209, App. A
49 CFR 209.335 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), and (m). Those
statutes include the Federal Railroad Safety Act of 1970 (''Safety
Act''), 45 U.S.C. 421 et seq., and a group of statutes enacted prior to
1970 referred to collectively herein as the ''older safety statutes'':
The Safety Appliance Acts, 45 U.S.C. 1-16; the Locomotive Inspection
Act, 45 U.S.C. 22-34; the Accident Reports Act, 45 U.S.C. 38-43; the
Hours of Service Act, 45 U.S.C. 61-64b; and the Signal Inspection Act,
49 App. U.S.C. 26. Regulations implementing those statutes are found at
49 CFR Parts 213 through 236. The Rail Safety Improvement Act of 1988
(Pub. L. No. 100-342, enacted June 22, 1988) (''RSIA'') raised the
maximum civil penalties available under the railroad safety laws and
made individuals liable for willful violations of those laws. FRA also
enforces the Hazardous Materials Transportation Act, 49 App. U.S.C.
1801 et seq., as it pertains to the shipment or transportation of
hazardous materials by rail.
The 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, 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.
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 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 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.
As recommended by the Department of Transportation in its initial
proposal for rail safety legislative revisions in 1987, the RSIA raised
the maximum civil penalties for violations of the safety regulations.
Under the Hours of Service Act, the penalty was changed from a flat $500
to a penalty of ''up to $1,000, as the Secretary of Transportation deems
reasonable.'' Under all the other statutes, the maximum penalty was
raised from $2,500 to $10,000 per violation, except that, ''where a
grossly negligent violation or pattern of repeated violations has
created an imminent hazard of death or injury to persons, or has caused
death or injury,'' a penalty of up to $20,000 per violation may be
assessed.
FRA's traditional practice has been to issue penalty schedules
assigning to each particular regulation specific dollar amounts for
initial penalty assessments. The schedule (except where issued after
notice and an opportunity for comment) constitutes a statement of agency
policy, and is ordinarily issued as an appendix to the relevant part of
the Code of Federal Regulations. For each regulation, the schedule
shows two amounts within the $250 to $10,000 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, 100th 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 $20,000 per violation 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.
This authority to assess a penalty for a single violation above $10,000
and up to $20,000 is used only in very exceptional cases to penalize
egregious behavior. Where FRA avails itself of this right to use the
higher penalties in place of the schedule amount it so indicates in its
penalty demand letter.
The Safety Act and, as amended by the RSIA, the older safety statutes
apply to ''railroads.'' Section 202(e) of the Safety Act defines
railroad as follows:
The term ''railroad'' as used in this title means all forms of
non-highway ground transportation that run on rails or electromagnetic
guideways, including (1) commuter or other short-haul rail passenger
service in a metropolitan or suburban area, as well as any commuter rail
service which was operated by the Consolidated Rail Corporation as of
January 1, 1979, and (2) high speed ground transportation systems that
connect metropolitan areas, without regard to whether they use new
technologies not associated with traditional railroads. Such term does
not include rapid transit operations within an urban area that are not
connected to the general railroad system of transportation.
Prior to 1988, the older safety statutes had applied only to common
carriers engaged in interstate or foreign commerce by rail. The Safety
Act, by contrast, was intended to reach as far as the Commerce Clause of
the Constitution (i.e., to all railroads that affect interstate
commerce) rather than be limited to common carriers actually engaged in
interstate commerce. In reporting out the bill that became the 1970
Safety Act, the House Committee on Interstate and Foreign Commerce
stated:
The Secretary's authority to regulate extends to all areas of
railroad safety. This legislation is intended to encompass all those
means of rail transportation as are commonly included within the term.
Thus, ''railroad'' is not limited to the confines of ''common carrier by
railroad'' as that language is defined in the Interstate Commerce Act.
H.R. Rep. No. 91-1194, 91st Cong., 2d Sess. at 16 (1970).
FRA's jurisdiction was bifurcated until, in 1988, the RSIA amended
the older safety statutes to make them coextensive with the Safety Act
by making them applicable to railroads and incorporating the Safety
Act's definition of the term (e.g., 45 U.S.C. 16, as amended). The RSIA
also made clear that FRA's safety jurisdiction is not confined to
entities using traditional railroad technology. The new definition of
''railroad'' emphasized that all non-highway high speed ground
transportation systems -- regardless of technology used -- would be
considered railroads.
Thus, with the exception of self-contained urban rapid transit
systems, FRA's statutory jurisdiction extends to all entities that can
be construed as railroads by virtue of their providing non-highway
ground transportation over rails or electromagnetic guideways, and will
extend to future railroads using other technologies not yet in use. For
policy reasons, however, FRA does not exercise jurisdiction under all of
its regulations to the full extent permitted by statute. Based on its
knowledge of where the safety problems were occurring at the time of its
regulatory action and its assessment of the practical limitations on its
role, FRA has, in each regulatory context, decided that the best option
was to regulate something less than the total universe of railroads.
For example, all of FRA's regulations exclude from their reach
railroads whose entire operations are confined to an industrial
installation, i.e., ''plant railroads'' such as those in steel mills
that do not go beyond the plant's boundaries. E.g., 49 CFR 225.3
(accident reporting regulations). Other regulations (e.g., 49 CFR
213.3, track safety regulations) exclude not only plant railroads but
all other railroads that are not part of, or operated over, the
''general railroad system of transportation,'' i.e., the network of
standard gage railroads over which the interchange of goods and
passengers throughout the nation is possible -- including even certain
railroads not physically connected to the continental system, such as a
freight railroad in Alaska with which other American railroads
interchange cars by means of intermediate modes of transport. (Note
that FRA proposed the ''general system'' language now found in section
202(e) of the Safety Act, and its construction of that language is not
bound by construction of similar phrases used in other statutes, e.g.,
45 U.S.C. 151 First; those similar phrases are generally part of
provisions in those laws limiting their reach -- unlike that of the
amended safety laws -- to ''common carriers engaged in interstate
commerce.'')
Of course, even where a railroad operates outside the general system,
other railroads that are definitely part of that system may have
occasion to enter the first railroad's property (e.g., a major railroad
goes into a chemical or auto plant to pick up or set out cars). In such
cases, the railroad that is part of the general system remains part of
that system while inside the installation; thus, all of its activities
are covered by FRA's regulations during that period. The plant railroad
itself, however, does not get swept into the general system by virtue of
the other railroad's activity, except to the extent it is liable, as the
track owner, for the condition of its track over which the other
railroad operates during its incursion into the plant. Of course, in
the opposite situation, where the plant railroad itself operates beyond
the plant boundaries on the general system, it becomes a railroad with
respect to those particular operations, during which its equipment,
crew, and practices would be subject to FRA's regulations.
In some cases, the plant railroad leases track immediately adjacent
to its plant from the general system railroad. Assuming such a lease
provides for, and actual practice entails, the exclusive use of that
trackage by the plant railroad and the general system railroad for
purposes of moving only cars shipped to or from the plant, the lease
would remove the plant railroad's operations on that trackage from the
general system for purposes of FRA's regulations, as it would make that
trackage part and parcel of the industrial installation. (As explained
above, however, the track itself would have to meet FRA's standards if a
general system railroad operated over it. See 49 CFR 213.5 for the rules
on how an owner of track may assign responsibility for it.) A lease or
practice that permitted other types of movements by general system
railroads on that trackage would, of course, bring it back into the
general system, as would operations by the plant railroad indicating it
was moving cars on such trackage for other than its own purposes (e.g.,
moving cars to neighboring industries for hire).
It is important to note that FRA's exercise of its regulatory
authority on a given matter does not preclude it from subsequently
amending its regulations on that subject to bring in railroads
originally excluded. More important, the self-imposed restrictions on
FRA's exercise of regulatory authority in no way constrain its exercise
of emergency order authority under section 203 of the Safety Act. That
authority was designed to deal with imminent hazards not dealt with by
existing regulations and/or so dangerous as to require immediate, ex
parte action on the government's part. Thus, a railroad excluded from
the reach of any of FRA's regulations is fully within the reach of FRA's
emergency order authority, which is coextensive with FRA's statutory
jurisdiction over all railroads.
While civil penalties are the primary enforcement tool under the
federal railroad safety laws, more extreme measures are available under
certain circumstances. FRA has authority to issue orders directing
compliance with the Federal Railroad Safety Act, the Hazardous Materials
Transportation Act, the older safety statutes, or regulations issued
under any of those statutes. See 45 U.S.C. 437(a) and (d), and 49 App.
U.S.C. 1808(a). Such an order may issue only after notice and
opportunity for a hearing in accordance with the procedures set forth in
49 CFR part 209, subpart C. FRA inspectors also have the authority to
issue a special notice requiring repairs where a locomotive or freight
car is unsafe for further service or where a segment of track does not
meet the standards for the class at which the track is being operated.
Such a special notice may be appealed to the regional director and the
FRA Administrator. See 49 CFR part 216, subpart B.
FRA may, through the Attorney General, also seek injunctive relief in
federal district court to restrain violations or enforce rules issued
under the railroad safety laws. See 45 U.S.C. 439 and 49 App. U.S.C.
1810.
FRA also has the authority to issue, after notice and an opportunity
for a hearing, an order prohibiting an individual from performing
safety-sensitive functions in the rail industry for a specified period.
This disqualification authority is exercised under procedures found at
49 CFR part 209, subpart D.
Criminal penalties are available for willful violations of the
Hazardous Materials Transportation Act or its regulations. See 49 App.
U.S.C. 1809(b), and 49 CFR 209.131, 133. Criminal penalties are also
available under 45 U.S.C. 438(e) for knowingly and willfully falsifying,
destroying, or failing to complete records or reports required to be
kept under the various railroad safety statutes and regulations. The
Accident Reports Act, 45 U.S.C. 39, also contains criminal penalties.
Perhaps FRA's most sweeping enforcement tool is its authority to
issue emergency safety orders ''where an unsafe condition or practice,
or a combination of unsafe conditions or practices, or both, create an
emergency situation involving a hazard of death or injury to persons * *
*'' 45 U.S.C. 432(a). 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)
49 CFR 209.335 PART 210 -- RAILROAD NOISE EMISSION COMPLIANCE REGULATIONS
49 CFR 209.335 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 locomotives and rail cars.
210.11 Waivers.
210.13 Penalty.
49 CFR 209.335 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
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.
49 CFR 209.335 Subpart A -- General Provisions
49 CFR 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.
49 CFR 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;
(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)
49 CFR 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 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.)
49 CFR 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 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.
49 CFR 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.
49 CFR 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.
49 CFR 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 the Noise Control Act
of 1972 (42 U.S.C. 4910), as amended.
49 CFR 210.13 Subpart B -- Inspection and Testing
49 CFR 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.
49 CFR 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.
49 CFR 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 201.21 of the Standards.
(b) Requirements for measurement instrumentation are prescribed in
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 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 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.
49 CFR 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.
49 CFR 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 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 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
201.12(a) of the Standards.
(b) Noise emission standards for rail cars operating under moving
conditions are contained in 201.13 of the Standards and are stated in
appendix A of this part. If speed measurement equipment used by the
inspector at the time of the measurement is not operating within an
accuracy of 5 miles per hour, evaluation for compliance shall be made in
accordance with 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 ( 210.25), exceeds the noise emission levels prescribed in
appendix A of this part.
49 CFR 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 ( 210.25), exceeds
the noise emission levels precribed in appendix A of this part.
49 CFR 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 210.25 of this part.
(b) These sources shall be considered in noncompliance whenever the
test measurement, minus the appropriate tolerance ( 210.25), exceeds the
noise emission levels prescribed in appendix A of this part.
49 CFR 210.33 Pt. 210, App. A
(48 FR 56758, Dec. 23, 1983; 49 FR 1521, Jan. 12, 1984)
49 CFR 210.33 Pt. 210, App. B
49 CFR 210.33 Appendix B to Part 210 -- Switcher Locomotive Enforcement
Policy
The EPA standards require that the noise emissions from all switcher
locomotives in a particular facility be less than prescribed levels
measured at 30 meters, under all operating modes. This requirement is
deemed to be met unless ''receiving property'' noise due to switcher
locomotives exceeds 65 dB(A), when measured in accordance with subpart C
of 40 CFR part 201. The 65 dB(A) receiving property standard is the
''trigger'' for requiring the 30-meter test of switcher locomotives.
The purpose underlying FRA's enforcement of the noise standards is to
reduce the impact of rail operations noise on receiving properties. In
some instances, measures other than the 30-meter test approach may more
effectively reduce the noise levels at receiving properties; therefore,
FRA enforcement efforts will focus on abatement procedures that will
achieve a reduction of receiving property noise levels to less than 65
dB(A).
For example, a parked, idling locomotive, even if equipped with
exhaust silencing that meets the stationary locomotive standard
(30-meter test), may cause the receiving property standard to be
exceeded if located on trackage adjacent to the receiving property. In
that case, application of the 30-meter test to other switcher
locomotives at the facility may not serve to reduce the receiving
property noise level. On the other hand, operational changes by the
railroad could significantly reduce receiving property noise levels. In
such case, FRA would consider retesting after abatement measures have
been taken. If the receiving property noise level is below the trigger
and the abatement action is adopted, FRA would not make a 30-meter test
of the switcher locomotives at the facility.
49 CFR 210.33 PART 211 -- RULES OF PRACTICE
49 CFR 210.33 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.
49 CFR 210.33 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.
49 CFR 210.33 Subpart C -- Waivers
211.41 Processing of petitions for waiver of safety rules.
211.43 Processing of other waiver petitions.
49 CFR 210.33 Subpart D -- Emergency Orders
211.47 Review procedures.
49 CFR 210.33 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.
49 CFR 210.33 Subpart F -- Interim Procedures for the Review of
Emergency Orders
211.71 General.
211.73 Presiding officer; powers.
211.75 Evidence.
211.77 Appeal to the Administrator.
Authority: Secs. 6, 9, Pub. L. 89-670, 80 Stat. 937, 944 (49
U.S.C. 1655, 1657); the statutes referred to in sec. 6(e) (1), (2),
(3), (6) (A) of Pub. L. 89-670, 80 Stat. 939 (49 U.S.C. 1655); sec.
202 of Pub. L. 91-458, 84 Stat. 971 as amended by sec. 5(a) of Pub.
L. 94-348 (45 U.S.C. 431); and 49 CFR 1.49, unless otherwise noted.
Source: 41 FR 54181, Dec. 13, 1976, unless otherwise noted.
49 CFR 210.33 Subpart A -- General
49 CFR 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 211.7.
(b) As used in this part --
(1) Administrator means the Federal Railroad Administrator or the
Deputy Administrator or the delegate of either of them.
(2) Waiver includes exemption.
(3) Safety Act means the Federal Railroad Safety Act of 1970, as
amended (45 U.S.C. 421 et seq.).
(4) Docket Clerk means the Docket Clerk, Office of Chief Counsel,
Federal Railroad Administration, Washington, DC 20590.
(5) Railroad Safety Board means the Railroad Safety Board, Office of
Safety, Federal Railroad Administration, Washington, DC 20590.
(c) Records relating to proceedings and inquiries subject to this
part are available for inspection as provided in part 7 of this title.
49 CFR 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.
49 CFR 211.5 Regulatory docket.
(a) Except as provided in paragraph (b) of this section, records of
the Federal Railroad Administration concerning each proceeding subject
to this part are maintained in current docket form by the Docket Clerk.
These records include rulemaking and waiver petitions, emergency orders,
notices, comments received in response to notices, hearing transcripts,
final rules, denials of rulemaking petitions, grants and denials of
waiver and other petitions.
(b) Records pertaining to applications for special approval under
211.55, signal applications under parts 235 and 236 of this chapter and
informal safety inquiries under 211.61, are maintained in a current
docket form by the Secretary of the Railroad Safety Board.
(c) Any person may examine docketed material in the office where it
is maintained. Copies of docketed material other than commercially
prepared transcripts may be obtained upon payment of the fees prescribed
in part 7 of this title.
49 CFR 211.7 Filing requirements.
(a) Any person may petition the Administrator for issuance, amendment
repeal or permanent or temporary waiver of any rule or regulation. In
the case of a petition for waiver, it must be submitted at least 3
months before the proposed effective date, unless good cause is shown
for not doing so.
(b) Except as provided in paragraph (c) of this section, all
petitions, applications, comments submitted in response to a notice, and
other material pertaining to proceedings subject to this part, shall be
submitted in triplicate to the Docket Clerk. Each petition received
shall be acknowledged in writing. The acknowledgement shall contain the
FRA docket number assigned to the petition and state the date the
petition was received. Within 60 days following receipt, FRA will
advise the petitioner or applicant of any deficiencies in its petition
or application.
(c) Applications for special approval under 211.55 and signal
applications under parts 235 and 236 of this chapter, and protests or
comments and all other material pertaining to them shall be submitted in
triplicate to the Secretary of the Railroad Safety Board.
49 CFR 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.
49 CFR 211.9 Subpart B -- Rulemaking Procedures
49 CFR 211.11 Processing of petitions for rulemaking.
(a) General. Each petition for rulemaking filed as prescribed in
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 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 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 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.
49 CFR 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 211.7 and 211.9.
49 CFR 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.
49 CFR 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.
49 CFR 211.19 Petitions for extensions of time to comment.
(a) Any person may petition the Administrator for an extension of
time to submit comments in response to an advance notice or notice of
proposed rulemaking. The petition must be received by the Docket Clerk
not later than 10 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.
49 CFR 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.
49 CFR 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.
49 CFR 211.25 Hearings.
(a) A hearing will be held if required by statute or the
Administrator finds it necessary or desirable.
(b) Except for statutory hearings required to be on the record --
(1) Hearings are fact-finding proceedings, and there are no formal
pleadings or adverse parties;
(2) Any rule issued in a proceeding in which a hearing is held is not
based exclusively on the record of the hearing; and
(3) Hearings are conducted in accordance with section 553 of title 5,
U.S.C.; section 556 and 557 of title 5 do not apply to hearings held
under this part.
(c) The Administrator conducts or designates a representative to
conduct any hearing held under this part. The Chief Counsel serves or
designates a member of his staff to serve as legal officer at the
hearing.
49 CFR 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.
49 CFR 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)
49 CFR 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.
49 CFR 211.31 Subpart C -- Waivers
49 CFR 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 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 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 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 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 211.57. Each petition shall be processed in accordance with
211.59.
49 CFR 211.43 Processing of other waiver petitions.
(a) General. Except as provided in 211.41, each petition for a
permanent or temporary waiver of a rule, regulation or standard shall be
filed and processed as prescribed in 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 211.25, before the petition is granted or denied.
(c) Grants. If the Administrator determines that the petition
complies with the requirements of 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 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 211.57. Each petition shall be processed in accordance with
211.59.
49 CFR 211.43 Subpart D -- Emergency Orders
49 CFR 211.47 Review procedures.
(a) As specified in section 203, Pub. L. 91-458, 84 Stat. 972 (45
U.S.C. 432), opportunity for review of Emergency orders issued under
that section will be provided in accordance with section 554 of title 5
of the U.S.C.. Petitions for such review must be submitted in writing to
the Office of Chief Counsel, Federal Railroad Administration,
Washington, DC 20590. Upon receipt of a petition, FRA will immediately
contact the petitioner and make the necessary 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 of 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.
49 CFR 211.47 Subpart E -- Miscellaneous Safety-Related Proceedings and Inquiries
49 CFR 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 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.
49 CFR 211.53 Signal applications.
Applications for approval of discontinuance or material modification
of a signal system authorized by part 235 or waiver of a requirement of
part 236 of this chapter must be submitted in triplicate to the
Secretary, Railroad Safety Board, handled in accordance with procedures
set forth in part 235 or 236, respectively, and decided not later than 9
months after receipt. When a decision is issued, the applicant and
other interested parties are notified or a notice is published in the
Federal Register.
49 CFR 211.55 Special approvals.
Requests for special approval pertaining to safety not otherwise
provided for in this chapter, must be submitted in triplicate to the
Secretary, Railroad Safety Board; specifying the action requested.
These requests shall be considered by the Board and appropriate action
shall be taken not later than 9 months after receipt. When a decision
is issued, the requestor and other interested parties are notified or a
notice is published in the Federal Register.
49 CFR 211.57 Petitions for reconsideration.
(a) Any person may petition the Administrator for reconsideration of
final action taken in proceedings subject to subpart C or E of this
part.
(b) The petition must specify with particularity the grounds for
modification or revocation of the action in question.
(c) The Administrator does not consider repetitious petitions.
(d) Unless the Administrator specifically provides otherwise, and
gives notice to interested parties or publishes notice in the Federal
Register, the filing of a petition under this section does not stay the
effectiveness of the action sought to be reconsidered.
49 CFR 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 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.
49 CFR 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 211.13 or take whatever
other action he deems appropriate.
49 CFR 211.61 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.
49 CFR 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 211.47 of this part.
(b) Proceedings under this subpart are subject to the requirements of
5 U.S.C. 554-559.
(c) Notwithstanding 211.1 of this part, as used in this subpart
''Administrator'' means the Federal Railroad Administrator or Deputy
Administrator.
49 CFR 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 211.77, the decision of the presiding
officer is administratively final.
49 CFR 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.
49 CFR 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.
49 CFR 211.77 PART 212 -- STATE SAFETY PARTICIPATION REGULATIONS
49 CFR 211.77 Subpart A -- General
Sec.
212.1 Purpose and scope.
212.3 Definitions.
212.5 Filing.
49 CFR 211.77 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.
49 CFR 211.77 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 Inapplicable qualification requirements.
49 CFR 211.77 Subpart D -- Grants in Aid
212.301 Grant authority.
212.303 Annual funding process.
212.305 Reports.
212.307 Maximum reimbursement levels.
Appendix A to Part 212 -- Track Safety Standards -- level of
inspection effort and reimbursement
Appendix B to Part 212 -- Freight Car Safety Standards -- level of
inspection effort and reimbursement
Appendix C to Part 212 -- Railroad Operating Practices -- level of
inspection effort and reimbursement
Authority: Secs. 202, 205, 206, and 207, Pub. L. 91-458, 84 Stat.
971 et seq., as amended by secs. 4 and 5, Pub. L. 96-423, 94 Stat.
1812 (45 U.S.C. 431, 434, 435, 436).
Source: 47 FR 41051, Sept. 16, 1982, unless otherwise noted.
49 CFR 211.77 Subpart A -- General
49 CFR 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.
49 CFR 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); and
(6) The Hours of Service Act, as amended (45 U.S.C. 61-64b).
(e) Planned compliance inspections means investigative and
surveillance activities described in the annual work plan required by
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.
49 CFR 212.5 Filing.
Each State agency desiring to conduct investigative and surveillance
activities must submit to the Associate Administrator for Safety,
Federal Railroad Administration, 400 Seventh Street, SW., Washington, DC
20590, the documentation which contains the information prescribed by
212.105 and 212.107.
49 CFR 212.5 Subpart B -- State/Federal Roles
49 CFR 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 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 and operating practices for the railroads.
(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 conditions and practices relevant to safety by conducting
inspections and investigations throughout the national railroad system
in coordination with participating State agencies.
(d) The principal role of the State Safety Participation Program in
the national railroad safety effort is to provide an enhanced
investigative and surveillance capability through assumption, by
participating State agencies, of responsibility for planned routine
compliance inspections. The FRA encourages further State contributions
to the national railroad safety program consistent with overall program
needs, individual State capabilities, and the willingness of the States
to undertake additional investigative and surveillance activities.
(e) It is the policy of the FRA to promote the growth and vitality of
the State Safety Participation Program through liaison with State
government, coordination of Federal and State investigative and
surveillance activities, and training of inspection personnel.
49 CFR 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 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
212.107.
49 CFR 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 safety practices applicable to
railroad facilities, equipment, rolling stock, and operations in that
State;
(ii) The agency has the authority and capability to conduct
investigative and surveillance activities in connection with the rules,
regulations, orders, and standards issued by the Administrator under the
Federal railroad safety laws; and
(iii) State funds may be used for this purpose.
(2) A statement that the State agency has been furnished a copy of
each Federal safety statute, rule, regulation, order, or standard
pertinent to the State's participation;
(3) The names of the railroads operating in the State together with
the number of miles of main and branch lines operated by each railroad
in the State;
(4) The name, title and telephone number of the person designated by
the agency to coordinate the program; and
(5) A description of the organization, programs, and functions of the
agency with respect to railroad safety.
(f) Developmental agreement. Consistent with national program
requirements, the Associate Administrator may enter into an agreement
under this section prior to the qualification of inspection personnel of
the State under subpart C of this part. In such a case, the agreement
shall (1) specify the date at which the State will assume investigative
and surveillance duties, and (2) refer to any undertaking by the FRA to
provide training for State inspection personnel, including a schedule
for the training courses that will be made available.
(g) Action on request. The Associate Administrator responds to a
request for agreement by entering into an agreement based on the
request, by declining the request, or by suggesting modifications.
(Approved by the Office of Management and Budget under control number
2130-0509)
49 CFR 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 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 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)
49 CFR 212.109 Joint planning of inspections.
Prior to 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 Railroad
Safety for 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 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 of Railroad Safety cannot agree on an annual work plan, the
Associate Administrator shall review the matter.
(Approved by the Office of Management and Budget under control number
2130-0509)
49 CFR 212.111 Monitoring and other inspections.
(a) It is the policy of the FRA to monitor State investigative and
surveillance practices at the program level.
(b) It is the policy of the FRA to coordinate its direct inspection
and investigative functions in participating States with the responsible
State agency, providing prior advice to the States whenever practicable.
(c) The FRA may conduct such monitoring of State investigative and
surveillance practices and such other inspection and investigation as
may be necessary to aid in the enforcement of the Federal railroad
safety laws.
49 CFR 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).
49 CFR 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.
49 CFR 212.115 Subpart C -- State Inspection Personnel
49 CFR 212.201 General qualifications of State inspection personnel.
(a) This subpart prescribes the minimum qualification requirements
for State railroad safety inspectors, compliance inspectors and
inspector apprentices. A State agency may establish more stringent or
additional requirements for its employees.
(b) An inspector, compliance inspector, or apprentice inspector shall
be recognized as qualified under this part by the State agency and the
Associate Administrator prior to assuming the responsibilities of the
position.
(c) Each inspector, compliance inspectors and apprentice inspector
shall be a bona fide employee of the State agency.
(d) Each inspector, compliance inspector, and apprentice inspector
shall demonstrate:
(1) The ability to read and comprehend written materials such as
training and enforcement manuals, regulations, operating and safety
rules of the railroad, and similar materials;
(2) The ability to compose narrative reports of investigative
findings that are clear, complete, and grammatically acceptable;
(3) The ability to record data on standard report forms with a high
degree of accuracy;
(4) The ability to communicate orally; and
(5) Basic knowledge of rail transportation functions, the
organization of railroad companies, and standard railroad 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, compliance inspector, and apprentice inspector shall meet the
applicable requirements of 212.203 through 212.225 of this subpart.
49 CFR 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.
49 CFR 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.
49 CFR 212.207 Signal and train control inspector.
(a) The signal and train control inspector is required, at a minimum,
to be able to conduct independent inspections of all types of signal and
train control systems for the purpose of determining compliance with the
Rules, Standards and Instructions for Railroad Signal Systems (49 CFR
part 236), to make reports of those inspections, and to recommend the
institution of enforcement actions when appropriate to promote
compliance.
(b) The signal and train inspector is required, at a minimum, to have
at least four years of recent experience in signal construction or
maintenance. A bachelor's degree in electrical engineering or a related
technical specialization may be substituted for two of the four years of
this experience requirement and successful completion of the apprentice
training program may be substituted for the four years of this
requirement.
(c) The signal and train control inspector shall demonstrate the
following specific qualifications:
(1) A comprehensive knowledge of signal and train control systems,
maintenance practices, test and inspection techniques;
(2) The ability to understand and detect deviations from:
(i) Signal and train control maintenance standards accepted in the
industry; and
(ii) The Rules, Standards and Instructions for Railroad Signal
Systems (49 CFR part 236).
(3) The ability to examine plans and records, to make inspections of
signal train control systems and to determine adequacy of stopping
distances from prescribed speeds;
(4) Knowledge of operating practices and signal systems sufficient to
understand the safety significance of deviations and combination of
deviations; and
(5) Specialized knowledge of the requirements of the Rules, Standards
and Instructions for Railroad Signal Systems, including the remedial
action required to bring signal and train control systems into
compliance with the standards.
49 CFR 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 (40 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.
49 CFR 212.211 Apprentice signal and train control inspector.
(a) The apprentice signal and train control inspector must be
enrolled in a program of training prescribed by the Associate
Administrator leading to qualification as a signal and train control
inspector. The apprentice inspector may not participate in the
investigative and surveillance activities, except as an assistant to a
qualified State or FRA inspector while accompanying that qualified
inspector.
(b) Prior to being enrolled in the program the apprentice inspector
shall demonstrate:
(1) Working knowledge of basic electricity and the ability to use
electrical test equipment in direct current and alternating current
circuits; and
(2) A basic knowledge of signal and train control inspection and
maintenance methods and procedures.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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)
49 CFR 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)
49 CFR 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.
49 CFR 212.227 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.
49 CFR 212.227 Subpart D -- Grants in Aid
49 CFR 212.301 Grant authority.
The FRA is authorized to pay, out of funds appropriated for the
purpose, up to 50 percent of the cost of the personnel, equipment, and
activities reasonably required for a State agency to carry out
investigative and surveillance activities prescribed by the FRA as
necessary for enforcement of the Federal railroad safety laws and
regulations.
49 CFR 212.303 Annual funding process.
(a) A State agency that is participating in investigative and
surveillance and related administrative or supervisory activities under
this part by agreement or certification, or any State agency making
application for such participation, may apply for funding under this
subpart. An application for funding for a full fiscal year should be
submitted to the Associate Administrator not later than sixty (60) days
prior to commencement of that fiscal year. Applications for funding may
be submitted at any time during a fiscal year by a State agency that is
initially commencing investigative and surveillance activities for the
remainder of that fiscal year.
(b) An application shall contain:
(1) Assurance satisfactory to the Associate Administrator that:
(i) The State agency will provide the remaining cost of the safety
program conducted with respect to the agreement or certification entered
into under this part; and
(ii) The aggregate expenditure of funds of the State, exclusive of
Federal grants, for the safety program conducted with respect to the
agreement or certification entered into under this part will be
maintained at a level which does not fall below the average level of
equivalent expenditures by the States for the two fiscal years preceding
October 16, 1970.
(2) A description of the State safety program conducted with respect
to the agreement or certification entered into under this part,
including a description of the personnel, equipment and activities to be
involved in the State program; and
(3) A summary of estimated program costs for the fiscal year.
(c) Approval of a funding application, in whole or in part,
constitutes a conditional obligation of funds in the approved amount.
Payment is made in reimbursement of allowable costs actually incurred,
not to exceed the approved amount.
(d) The Associate Administrator determines the apportionment of
Federal funds to be paid to each State agency which submits a funding
application under this subpart.
(Approved by the Office of Management and the Budget under control
number 2130-0509)
49 CFR 212.305 Reports.
Each State agency receiving funding under this subpart shall submit
periodic reports of investigative and surveillance activities, and
expenses incurred in relation to those activities, as required by the
States Participation Program Manual.
(Approved by the Office of Management and Budget under control number
2130-0509)
49 CFR 212.307 Maximum reimbursement levels.
(a) Agreement. (1) The maximum level of inspection effort for which
funding will be authorized with respect to a State agency participating
by agreement is determined by the Associate Administrator, subject to
paragraph (a)(2) of this section. In determining the maximum level of
effort that will be funded, the Associate Administrator considers:
(i) The number of inspection points or miles of track requiring
coverage;
(ii) Traffic levels of railroads operating in the State;
(iii) Accident history and accident potential of railroads in the
State;
(iv) Any undertakings by the State agency to provide investigative
and surveillance activities under the laws set forth at 212.3(d)(2)
through (6) of this part;
(v) The deployment of FRA personnel; and
(vi) Other relevant factors, including available obligational
authority.
(2) Upon the request of a State agency providing all planned
compliance inspections under the Federal Railroad Safety Act of 1970 and
consistent with the provisions of this part, the minimum level of effort
that FRA will authorize for funding is not less than that set forth in
appendices A, B and C to this part.
(b) Certification. (1) Except as provided in paragraph (b)(2) of
this section, the maximum level of inspection effort for which
reimbursement may be authorized with respect to a State agency
participating by certification is set forth in appendices A, B and C to
this part.
(2) The Associate Administrator may authorize an increase in the
maximum level of inspection effort for which reimbursement will be
permitted under paragraph (a) of this section. This increase may not
exceed more than double the maximum levels prescribed in appendices A, B
and C to this part and must be based on a showing by the State agency
that special circumstances necessitate additional investigative and
surveillance activities.
(c) Allocation. The FRA reserves the right to allocate available
obligational authority among participating States in the event
insufficient funds are appropriated to provide the full 50 percent
Federal contribution authorized by the Federal Railroad Safety Act of
1970.
(d) Additional participation. A State agency participating by
agreement or certification may elect to provide increments of inspection
effort beyond the level established for purposes of maximum funding
under this subpart. However, all investigative and surveillance
activities conducted by a participating State agency must be carried out
through personnel qualified under subpart C of this part.
49 CFR 212.307 Pt. 212, App. A
49 CFR 212.307 Appendix A to Part 212 -- Track Safety Standards --
Level Of Inspection Effort And Reimbursement
As provided in this part, the minimum level of investigative and
surveillance effort for a State agency participating by certification
and the maximum reimbursement level for the Federal share of such
activities with respect to the Track Safety Standards are specified for
each State and are expressed in terms of man-years of effort.
49 CFR 212.307 Pt. 212, App. B
49 CFR 212.307 Appendix B to Part 212 -- Freight Car Safety Standards
-- Level of Inspection Effort and Reimbursement
As provided in this part, the minimum level of investigative and
surveillance effort for a State agency participating by certification
and the maximum reimbursement level for the Federal share of such
activities with respect to the Freight Car Safety Standards are
specified for each State and expressed in terms of man-years of effort:
49 CFR 212.307 Pt. 212, App. C
49 CFR 212.307 Appendix C to Part 212 -- Railroad Operating Practices
-- Level Of Inspection Effort And Reimbursement
As provided in this part, the minimum level of investigative
surveillance effort for a State agency participating by certification
and the maximum reimbursement level for the Federal share of such
activities with respect to the Operating Practices Standards are
specified for each State and expressed in terms of man years of effort:
49 CFR 212.307 PART 213 -- TRACK SAFETY STANDARDS
49 CFR 212.307 Subpart A -- General
Sec.
213.1 Scope of part.
213.3 Application.
213.4 Excepted track.
213.5 Responsibility of track owners.
213.7 Designation of qualified persons to supervise certain renewals
and inspect track.
213.9 Classes of track: operating speed limits.
213.11 Restoration or renewal of track under traffic conditions.
213.13 Measuring track not under load.
213.15 Civil penalty.
213.17 Exemptions.
49 CFR 212.307 Subpart B -- Roadbed
213.31 Scope.
213.33 Drainage.
213.37 Vegetation.
49 CFR 212.307 Subpart C -- Track Geometry
213.51 Scope.
213.53 Gage.
213.55 Alinement.
213.57 Curves; elevation and speed limitations.
213.59 Elevation of curved track; runoff.
213.63 Track surface.
49 CFR 212.307 Subpart D -- Track Structure
213.101 Scope.
213.103 Ballast; general.
213.109 Crossties.
213.113 Defective rails.
213.115 Rail end mismatch.
213.121 Rail joints.
213.123 Tie plates.
213.127 Rail fastenings.
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.
49 CFR 212.307 Subpart E -- Track Appliances and Track-Related Devices
213.201 Scope.
213.205 Derails.
49 CFR 212.307 Subpart F -- Inspection
213.231 Scope.
213.233 Track inspections.
213.235 Switch and track crossing inspections.
213.237 Inspection of rail.
213.239 Special inspections.
213.241 Inspection records.
Appendix A to Part 213 -- Maximum Allowable Operating Speeds for
Curved Track
Appendix B to Part 213 -- Schedule of Civil Penalties
Authority: 45 U.S.C. 431 and 438, as amended; Pub. L. 100-342; and
49 CFR 1.49(m).
Source: 36 FR 20336, Oct. 20, 1971, unless otherwise noted.
49 CFR 212.307 Subpart A -- General
49 CFR 213.1 Scope of part.
This part prescribes initial minimum safety requirements for railroad
track that is part of the general railroad system of transportation.
The requirements prescribed in this part apply to specific track
conditions existing in isolation. Therefore, a combination of track
conditions, none of which individually amounts to a deviation from the
requirements in this part, may require remedial action to provide for
safe operations over that track.
49 CFR 213.3 Application.
(a) Except as provided in paragraph (b) of this section, this part
applies to all standard gage track in the general railroad system of
transportation.
(b) This part does not apply to track --
(1) Located inside an installation which is not part of the general
railroad system of transportation; or
(2) Used exclusively for rapid transit service in a metropolitan or
suburban area.
(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 1988, Jan. 18, 1984)
49 CFR 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) 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 revenue passenger train shall be operated; and
(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).
(47 FR 39401, Sept. 7, 1982)
49 CFR 213.5 Responsibility of track owners.
(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 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 213.4,
operations may continue over that track without complying with the
provisions of subparts B, C, D, and E.
(c) If an owner of track to which this part applies assigns
responsibility for the track to another person (by lease or otherwise),
any party to that assignment may petition the Federal Railroad
Administrator to recognize the person to whom that responsibility is
assigned for purposes of compliance with this part. Each petition must
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) If the Administrator is satisfied that the assignee is competent
and able to carry out the duties and responsibilities of the track owner
under this part, he may grant the petition subject to any conditions he
deems necessary. If the Administrator grants a petition under this
section, he shall so notify the owner and the assignee. After the
Administrator grants a petition, he may hold the track owner or the
assignee or both responsible for compliance with this part and subject
to penalties under 213.15.
(e) A common carrier by railroad which is directed by the Interstate
Commerce Commission to provide service over the track of another
railroad under 49 U.S.C. 11125 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.
(47 FR 39402, Sept. 7, 1982)
49 CFR 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 must have --
(1) At least --
(i) One 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 --
(i) Knows and understands the requirements of this part;
(ii) Can detect deviations from those requirements; and
(iii) Can prescribe appropriate remedial action to correct or safely
compensate for those deviations; and
(3) Written authorization from the track owner to prescribe remedial
actions to correct or safely compensate for deviations from the
requirements in this part.
(b) Each track owner to which this part applies shall designate
qualified persons to inspect track for defects. Each person designated
must have --
(1) At least --
(i) One 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 --
(i) Knows and understands the requirements of this part;
(ii) Can detect deviations from those requirements; and
(iii) Can prescribe appropriate remedial action to correct or safely
compensate for those deviations; and
(3) Written authorization from the track owner to prescribe remedial
actions to correct or safely compensate for deviations from the
requirements of this part, pending review by a qualified person
designated under paragraph (a) of this section.
(c) With respect to designations under paragraphs (a) and (b) of this
section, each track owner must 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 213.241.
These records must be kept available for inspection or copying by the
Federal Railroad Administrator during regular business hours.
(36 FR 20336, Oct. 20, 1971, as amended at 38 FR 875, Jan. 5, 1973)
49 CFR 213.9 Classes of track: operating speed limits.
(a) Except as provided in paragraphs (b) and (c) of this section and
213.57(b), 213.59(a), 213.113(a), and 213.137 (b) and (c), the
following maximum allowable operating speeds apply:
(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 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 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.
(c) Maximum operating speed may not exceed 110 m.p.h. without prior
approval of the Federal Railroad Administrator. Petitions for approval
must be filed in the manner and contain the information required by
211.11 of this chapter. Each petition must provide sufficient
information concerning the performance characteristics of the track,
signaling, grade crossing protection, trespasser control where
appropriate, and equipment involved and also concerning maintenance and
inspection practices and procedures to be followed, to establish that
the proposed speed can be sustained in safety.
(36 FR 20336, Oct. 20, 1971, as amended at 38 FR 875, Jan. 5, 1973;
38 FR 23405, Aug. 30, 1973; 47 FR 39402, Sept. 7, 1982; 48 FR 35883,
Aug. 8, 1983)
49 CFR 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 must be under the continuous supervision of
a person designated under 213.7(a) who has at least one year of
supervisory experience in railroad track maintenance. 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.
(47 FR 39402, Sept. 7, 1982)
49 CFR 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 measurement of the
unloaded track.
(38 FR 875, Jan. 5, 1973)
49 CFR 213.15 Civil penalty.
Any person (including a railroad, any manager, supervisor, official,
or other employee or agent of a railroad, any owner of track on which a
railroad operates, or any person held by the Federal Railroad
Administrator to be responsible under 213.5(d)) 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. See appendix B
to this part for a statement of agency civil penalty policy.
(36 FR 20336, Oct. 20, 1971, as amended at 53 FR 28598, July 28,
1988; 53 FR 52924, Dec. 29, 1988)
49 CFR 213.17 Exemptions.
(a) Any owner of track to which this part applies may petition the
Federal Railroad Administrator for exemption from any or all
requirements prescribed in this part.
(b) Each petition for exemption under this section must be filed in
the manner and contain the information required by 211.7 and 211.9 of
this chapter.
(c) If the Administrator finds that an exemption is in the public
interest and is consistent with railroad safety, he may grant the
exemption subject to any conditions he deems necessary. Notice of each
exemption granted is published in the Federal Register together with a
statement of the reasons therefor.
(36 FR 20336, Oct. 20, 1971, as amended at 48 FR 35883, Aug. 8, 1983)
49 CFR 213.17 Subpart B -- Roadbed
49 CFR 213.31 Scope.
This subpart prescribes minimum requirements for roadbed and areas
immediately adjacent to roadbed.
49 CFR 213.33 Drainage.
Each drainage or other water carrying facility under or immediately
adjacent to the roadbed must be maintained and kept free of obstruction,
to accommodate expected water flow for the area concerned.
49 CFR 213.37 Vegetation.
Vegetation on railroad property which is on or immediately adjacent
to roadbed must be controlled so that it does not --
(a) Become a fire hazard to track-carrying structures;
(b) Obstruct visibility of railroad signs and signals;
(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.
49 CFR 213.37 Subpart C -- Track Geometry
49 CFR 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.
49 CFR 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 must be within the limits prescribed in the following table:
(36 FR 20336, Oct. 20, 1971, as amended at 47 FR 39402, Sept. 7,
1982)
49 CFR 213.55 Alinement.
Alinement may not deviate from uniformity more than the amount
prescribed in the following table:
49 CFR 213.57 Curves; elevation and speed limitations.
(a) Except as provided in 213.63, the outside rail of a curve may
not be lower than the inside rail or have more than 6 inches of
elevation.
(b) The maximum allowable operating speed for each curve is
determined by the following formula:
where
Vmax=Maximum allowable operating speed (miles per hour).
Ea=Actual elevation of the outside rail (inches).
d=Degree of curvature (degrees).
Appendix A is a table of maximum allowable operating speed computed
in accordance with this formula for various elevations and degrees of
curvature.
49 CFR 213.59 Elevation of curved track; runoff.
(a) If a curve is elevated, the full elevation must be provided
throughout the curve, unless physical conditions do not permit. If
elevation runoff occurs in a curve, the actual minimum elevation must be
used in computing the maximum allowable operating speed for that curve
under 213.57(b).
(b) Elevation runoff must be at a uniform rate, within the limits of
track surface deviation prescribed in 213.63, and it must 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.
49 CFR 213.63 Track surface.
Each owner of the track to which this part applies shall maintain the
surface of its track within the limits prescribed in the following
table:
49 CFR 213.63 Subpart D -- Track Structure
49 CFR 213.101 Scope.
This subpart prescribes minimum requirements for ballast, crossties,
track assembly fittings, and the physical condition of rails.
49 CFR 213.103 Ballast; general.
Unless it is otherwise structurally supported, all track must 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 cross-level, surface, and alinement.
49 CFR 213.109 Crossties.
(a) Crossties shall be made of a material to which rail can be
securely fastened.
(b) Each 39 foot segment of track shall have:
(1) A sufficient number of crossties which in combination provide
effective support that will:
(i) Hold gage within the limits prescribed in 213.53(b);
(ii) Maintain surface within the limits prescribed in 213.63; and
(iii) Maintain alignment within the limits prescribed in 213.55.
(2) The minimum number and type of crossties specified in paragraph
(c) of this section effectively distributed to support the entire
segment; and
(3) At least one crosstie of the type specified in paragraph (c) of
this section that is located at a joint location as specified in
paragraph (d) of this section.
(c) Each 39 foot segment of: Class 1 track shall have five
crossties; Classes 2 and 3 track shall have eight crossties; Classes 4
and 5 track shall have 12 crossties; and Class 6 track shall have 14
crossties, which are not:
(1) Broken through;
(2) Split or otherwise impaired to the extent the crossties will
allow the ballast to work through, or will not hold spikes or rail
fasteners;
(3) So deteriorated that the tie plate or base of rail can move
laterally more than 1/2 inch relative to the crossties; or
(4) Cut by the tie plate through more than 40 percent of a tie's
thickness.
(d) Class 1 and Class 2 track shall have one crosstie whose
centerline is within 24 inches of the rail joint location, and Classes 3
through 6 track shall have one crosstie whose centerline is within 18
inches of the rail joint location. The relative position of these ties
is described in the following table.
49 CFR 213.109 Classes 1 and 2
insert illus 0596
Each rail joint in Classes 1 and 2 track shall be supported by at
least one crosstie specified in paragraph (c) of this section whose
centerline is within the 48'' shown above.
49 CFR 213.109 Classes 3 through 6
insert illus 0598
Each rail joint in Classes 3 through 6 track shall be supported by at
least one crosstie specified in paragraph (c) of this section whose
centerline is within the 36'' shown above.
(47 FR 39402, Sept. 7, 1982)
49 CFR 213.113 Defective rails.
(a) When an owner of track to which this part applies learns, through
inspection or otherwise, that a rail in that track contains any of the
defects listed in the following table, a person designated under 213.7
shall determine whether or not the track may continue in use. If he
determines that the track may continue in use, operation over the
defective rail is not permitted until --
(1) The rail is replaced; or
(2) The remedial action prescribed in the table is initiated:
(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 a 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 are found.
(11) Damaged Rail means any rail broken or injured by wrecks, broken,
flat, or unbalanced wheels, slipping, or similar causes.
(47 FR 39403, Sept. 7, 1982)
49 CFR 213.115 Rail end mismatch.
Any mismatch of rails at joints may not be more than that prescribed
by the following table:
49 CFR 213.121 Rail joints.
(a) Each rail joint, insulated joint, and compromise joint must be of
the proper design and dimensions for the rail on which it is applied.
(b) If a joint bar on classes 3 through 6 track is cracked, broken,
or because of wear allows vertical movement of either rail when all
bolts are tight, it must be replaced.
(c) If a joint bar is cracked or broken between the middle two bolt
holes it must be replaced.
(d) In the case of conventional jointed track, each rail must be
bolted with at least two bolts at each joint in classes 2 through 6
track, and with at least one bolt in class 1 track.
(e) In the case of continuous welded rail track, each rail must be
bolted with at least two bolts at each joint.
(f) Each joint bar must 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
out-of-face, no-slip, joint-to-rail contact exists by design, the
requirements of this paragraph do not apply. Those locations are
considered to be continuous welded rail track and must meet all the
requirements for continuous welded rail track prescribed in this part.
(g) No rail or angle bar having a torch cut or burned bolt hole may
be used in classes 3 through 6 track.
49 CFR 213.123 Tie plates.
(a) In classes 3 through 6 track where timber crossties are in use
there must be tie plates under the running rails on at least eight of
any 10 consecutive ties.
(36 FR 20336, Oct. 20, 1971, as amended at 47 FR 39404, Sept. 7,
1982)
49 CFR 213.127 Rail fastenings.
Each 39 foot segment of rail shall have a sufficient number of
fastenings which, in the determination of a qualified Federal or State
track inspector, effectively maintain gage within the limits prescribed
in 213.53(b). The term qualified State track inspector as used in this
section means a track inspector who meets the qualification requirements
of 49 CFR 212.203. (Formerly 212.75).
(47 FR 39404, Sept. 7, 1982)
49 CFR 213.133 Turnouts and track crossings generally.
(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 must be kept free of obstructions that
may interfere with the passage of wheels.
(b) Classes 4 through 6 track must be equipped with rail anchors
through and on each side of track crossings and turnouts, to restrain
rail movement affecting the position of switch points and frogs.
(c) Each flangeway at turnouts and track crossings must be at least 1
1/2 inches wide.
(36 FR 20336, Oct. 20, 1971, as amended at 38 FR 876, Jan. 5, 1973)
49 CFR 213.135 Switches.
(a) Each stock rail must be securely seated in switch plates, but
care must be used to avoid canting the rail by overtightening the rail
braces.
(b) Each switch point must 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 must not adversely affect
the fit of the switch point to the stock rail.
(c) Each switch must 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 must be secure and the bolts in each
heel must be kept tight.
(e) Each switch stand and connecting rod must be securely fastened
and operable without excessive lost motion.
(f) Each throw lever must be maintained so that it cannot be operated
with the lock or keeper in place.
(g) Each switch position indicator must be clearly visible at all
times.
(h) Unusually chipped or worn switch points must be repaired or
replaced. Metal flow must be removed to insure proper closure.
49 CFR 213.137 Frogs.
(a) The flangeway depth measured from a plane across the
wheel-bearing area of a frog on class 1 track may not be less than 1 3/8
inches, or less than 1 1/2 inches on classes 2 through 6 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
may not be more than 10 miles per hour.
(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 may not be more than 10 miles per hour.
49 CFR 213.139 Spring rail frogs.
(a) The outer edge of a wheel tread may not contact the gage side of
a spring wing rail.
(b) The toe of each wing rail must be solidly tamped and fully and
tightly bolted.
(c) Each frog with a bolt hole defect or head-web separation must be
replaced.
(d) Each spring must have a tension sufficient to hold the wing rail
against the point rail.
(e) The clearance between the hold-down housing and the horn may not
be more than one-fourth of an inch.
49 CFR 213.141 Self-guarded frogs.
(a) The raised guard on a self-guarded frog may 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 must be restored before rebuilding the
point.
49 CFR 213.143 Frog guard rails and guard faces; gage.
The guard check and guard face gages in frogs must be within the
limits prescribed in the following table:
49 CFR 213.143 Subpart E -- Track Appliances and Track-Related Devices
49 CFR 213.201 Scope.
This subpart prescribes minimum requirements for certain track
appliances and track-related devices.
49 CFR 213.205 Derails.
(a) Each derail must be clearly visible. When in a locked position a
derail must be free of any lost motion which would allow it to be
operated without removing the lock.
(36 FR 20336, Oct. 20, 1971, as amended at 47 FR 39404, Sept. 7,
1982)
49 CFR 213.205 Subpart F -- Inspection
49 CFR 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.
49 CFR 213.233 Track inspections.
(a) All track must be inspected in accordance with the schedule
prescribed in paragraph (c) of this section by a person designated under
213.7.
(b) Each inspection must 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, highway crossings, or
switches.
(c) Each track inspection must be made in accordance with the
following schedule:
(d) If the person making the inspection finds a deviation from the
requirements of this part, he shall immediately initiate remedial
action.
(36 FR 20336, Oct. 20, 1971, as amended at 40 FR 8558, Feb. 28, 1975)
49 CFR 213.235 Switch and track crossing inspections.
(a) Except as provided in paragraph (b) of this section, each switch
and track crossing must be inspected on foot at least monthly.
(b) In the case of track that is used less than once a month, each
switch and track crossing must be inspected on foot before it is used.
49 CFR 213.237 Inspection of rail.
(a) In addition to the track inspections required by 213.233, at
least once a year a continuous search for internal defects must be made
of all jointed and welded rails in Classes 4 through 6 track, and Class
3 track over which passenger trains operate. However, in the case of a
new rail, if before installation or within 6 months thereafter, it is
inductively or ultrasonically inspected over its entire length and all
defects are removed, the next continuous search for internal defects
need not be made until 3 years after that inspection.
(b) Inspection equipment must be capable of detecting defects between
joint bars, in the area enclosed by joint bars.
(c) Each defective rail must be marked with a highly visible marking
on both sides of the web and base.
(36 FR 20336, Oct. 20, 1971, as amended at 38 FR 876, Jan. 5, 1973)
49 CFR 213.239 Special inspections.
In the event of fire, flood, severe storm, or other occurrence which
might have damaged track structure, a special inspection must be made of
the track involved as soon as possible after the occurrence.
49 CFR 213.241 Inspection records.
(a) Each owner of track to which this part applies shall keep a
record of each inspection required to be performed on that track under
this subpart.
(b) Each record of an inspection under 213.4, 213.233 and 213.235
shall be prepared on the day the inspection is made and signed by the
person making the inspection. Records must 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 retain each record at its
division headquarters for at least 1 year after the inspection covered
by the record.
(c) Rail inspection records must specify the date of inspection, the
location, and nature of any internal rail defects found, and the
remedial action taken and the date thereof. The owner shall retain a
rail inspection record for at least 2 years after the inspection and for
1 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.
(36 FR 20336, Oct. 20, 1971, as amended at 48 FR 35883, Aug. 8, 1983)
49 CFR 213.241 Pt. 213, App. A
(36 FR 20336, Oct. 20, 1971, as amended at 38 FR 876, Jan. 5, 1973)
49 CFR 213.241 Pt. 213, App. B
(53 FR 52924, Dec. 29, 1988)
49 CFR 213.241 -- PART 215 -- RAILROAD FREIGHT CAR SAFETY STANDARDS
49 CFR 213.241 -- 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 Predeparture inspection.
215.15 Periodic inspection.
49 CFR 213.241 -- Subpart B -- Freight Car Components
215.101 Scope.
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.
215.121 Defective car body.
215.123 Defective couplers.
215.125 Defective uncoupling device.
215.127 Defective draft arrangement.
215.129 Defective cushioning device.
49 CFR 213.241 -- Subpart C -- Restricted Equipment
215.201 Scope.
215.203 Restricted cars.
49 CFR 213.241 -- 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 21 -- FRA Freight Car Standards Defect Code
Appendix D to Part 215 -- Pre-Departure Inspection Procedure
Authority: 45 U.S.C. 431 and 438, as amended; Pub. L. 100-342; and
49 CFR 1.49(m).
Source: 44 FR 77340, Dec. 31, 1979, unless otherwise noted.
49 CFR 213.241 -- Subpart A -- General
49 CFR 215.1 Scope of part.
This part prescribes minimum Federal safety standards for railroad
freight cars.
49 CFR 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 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 215.305 of this part.
49 CFR 215.5 Definitions.
As used in this part:
(a) Break means a fracture resulting in complete separation into
parts;
(b) Cracked means fractured without complete separation into parts,
except that castings with shrinkage cracks or hot tears that do not
significantly diminish the strength of the member are not considered to
be ''cracked'';
(c) Railroad freight car means a car designed to carry freight, or
railroad personnel, by rail and includes a:
(1) Box car;
(2) Refrigerator car;
(3) Ventilator car;
(4) Stock car;
(5) Gondola car;
(6) Hopper car;
(7) Flat car;
(8) Special car;
(9) Caboose car;
(10) Tank car; and
(11) Yard car.
(d) Dedicated service means the exclusive assignment of cars to the
transportation of freight between specified points under the following
conditions:
(1) The cars are operated --
(i) Primarily on track that is inside an industrial or other
non-railroad installation; and
(ii) Only occasionally over track of a railroad;
(2) The cars are not operated --
(i) At speeds of more than 15 miles per hour; and
(ii) Over track of a railroad --
(A) For more than 30 miles in one direction; or
(B) On a round trip of more than 60 miles;
(3) The cars are not freely interchanged among railroads;
(4) The words ''Dedicated Service'' are stenciled, or otherwise
displayed, in clearly legible letters on each side of the car body;
(5) The cars have been examined and found safe to operate in
dedicated service; and
(6) The railroad must --
(i) Notify the FRA in writing that the cars are to be operated in
dedicated service;
(ii) Identify in that notice --
(A) The railroads affected;
(B) The number and type of cars involved;
(C) The commodities being carried; and
(D) The territorial and speed limits within which the cars will be
operated; and
(iii) File the notice required by this paragraph not less than 30
days before the cars operate in dedicated service;
(e) In service when used in connection with a railroad freight car,
means each railroad freight car subject to this part unless the car:
(1) Has a ''bad order'' or ''home shop for repairs'' tag or card
containing the prescribed information attached to each side of the car
and is being handled in accordance with 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)
49 CFR 215.7 Prohibited acts.
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. 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)
49 CFR 215.9 Movement of defective cars for repair.
(a) A railroad freight car which has any component described as
defective in this part may be moved to another location for repair only
after the railroad has complied with the following:
(1) A person designated under 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 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 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)
49 CFR 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 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 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)
49 CFR 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 215.11 is on
duty for the purpose of inspecting freight cars, the inspection required
by paragraph (a) of this section shall be made by that inspector to
determine whether the car is in compliance with this part.
(c) At a location where a person designated under 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 215.7 for failure to comply
with any other provision of this part.
(45 FR 26710, Apr. 21, 1980)
49 CFR 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.
49 CFR 215.15 Subpart B -- Freight Car Components
49 CFR 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.
49 CFR 215.101 Suspension System
49 CFR 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 215.9 of this part.
(44 FR 77340, Dec. 31, 1979, as amended at 50 FR 13382, Apr. 4, 1985)
49 CFR 215.105 Defective axle.
A railroad may not place or continue in service a car, if --
(a) An axle on the car has a crack or is broken;
(b) An axle on the car has a gouge in the surface that is --
(1) Between the wheel seats; and
(2) More than one-eighth inch in depth;
(c) An axle on the car, used in conjunction with a plain bearing, has
an end collar that is broken or cracked;
(d) A journal on the car shows evidence of overheating, as evidenced
by a pronounced blue black discoloration; or
(e) The surface of the plain bearing journal on the axle, or the
fillet on the axle, has --
(1) A ridge;
(2) A depression;
(3) A circumferential score;
(4) Corrugation;
(5) A scratch;
(6) A continuous streak;
(7) Pitting;
(8) Rust; or
(9) Etching.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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;
(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)
49 CFR 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).
49 CFR 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
Insert Illustration 0088
(4) Snubber unit that is broken, or in the case of hydraulic units,
is broken or leaking clearly formed droplets of oil or other fluid.
(c) A side bearing in any of the following conditions:
(1) Part of the side bearing assembly is missing or broken;
(2) The bearings at one end of the car, on both sides, are in contact
with the body bolster (except by design);
(3) The bearings at one end of the car have a total clearance from
the body bolster of more than 3/4 of an inch; or
(4) At diagonally opposite sides of the car, the bearings have a
total clearance from the body bolsters of more than 3/4 of an inch;
(d) Truck springs --
(1) That do not maintain travel or load;
(2) That are compressed solid; or
(3) More than one outer spring of which is broken, or missing, in any
spring cluster;
(e) Interference between the truck bolster and the center plate that
prevents proper truck rotations; or
(f) Brake beam shelf support worn so excessively that it does not
support the brake beam.
49 CFR 215.119 Car Bodies
49 CFR 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)
49 CFR 215.121 Draft System
49 CFR 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 --
Insert illustration 0092
(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.
49 CFR 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.
49 CFR 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 --
(1) Inoperative; or
(2) Missing; or
(f) The car has a missing or broken follower plate.
49 CFR 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.
49 CFR 215.129 Subpart C -- Restricted Equipment
49 CFR 215.201 Scope.
This subpart contains requirements restricting the use of certain
railroad freight cars.
49 CFR 215.203 Restricted cars.
(a) This section restricts the operation of any railroad freight car
that is --
(1) More than 50 years old, measured from the date of original
construction;
(2) Equipped with any design or type component listed in appendix A
to this part; or
(3) Equipped with a Duryea underframe constructed before April 1,
1950, except for a caboose which is operated as the last car in a train.
(b) A railroad may not place or continue in service a railroad
freight car described in paragraph (a) of this section, except under
conditions approved by the Federal Railroad Administrator.
(c) A railroad may petition the Administrator to continue in service
a car described in paragraph (a) of this section. Each petition shall
be
(1) Be submitted not less than 90 days before the car is to be
operated;
(2) Be submitted in triplicate; and
(3) State or describe the following:
(i) The name and principal business address of the petitioning
railroad.
(ii) The name and address of the entity that controls the operation
and maintenance of the car involved.
(iii) The number, type, capacity, reporting marks, and car numbers of
the cars, their condition, status, and age measured from the date of
original construction.
(iv) The design, type component, or other item that causes the car to
be restricted.
(v) The maximum load the cars would carry.
(vi) The maximum speed at which the cars would be operated.
(vii) That each car has been examined and found to be safe to operate
under the conditions set forth in the petition.
(viii) The territorial limits within which the cars are to be
operated and the name of each railroad that will receive the cars in
interchange.
49 CFR 215.203 Subpart D -- Stenciling
49 CFR 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.
49 CFR 215.303 Stenciling of restricted cars.
(a) Each restricted railroad freight car that is described in
215.205(a) of this part shall be stenciled, or marked --
(1) In clearly legible letters; and
(2) In accordance with paragraphs (b) and (c) of this section.
(b) The letter ''R'' shall be --
(1) Placed immediately below or to the right of the car number;
(2) The same color as the reporting mark; and
(3) The same size as the reporting mark.
(c) The following terms, to the extent needed to completely indicate
the basis for the restricted operation of the car, shall be placed on
the car following the symbol ''R'' in letters not less than one inch
high:
(1) Age.
(2) Coupler.
(3) Draft.
(4) Bearings.
(5) Truck.
(6) Underframe.
(7) Wheels.
(8) Yoke.
49 CFR 215.305 Stenciling of maintenance-of-way equipment.
(a) Maintenance-of-way equipment (including self-propelled
maintenance-of-way equipment) described in 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)
49 CFR 215.305 Pt. 215, App. A
49 CFR 215.305 Appendix A to Part 215 -- Railroad Freight Car
Components
List of components whose use is restricted by 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:
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:
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.''
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.
49 CFR 215.305 Pt. 215, App. B
(53 FR 52925, Dec. 29, 1988)
49 CFR 215.305 -- Pt. 215, App. C
49 CFR 215.305 -- 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 215.9. However, it may be
used to supplement that description.
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.
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.
215.121 Defective Car Body.
215.123 Defective Couplers.
215.125 Defective Uncoupling Device.
215.127 Defective Draft Arrangement.
215.129 Defective Cushioning Device.
215.203 Restricted Cars.
215.301 Improper Stenciling.
215.303 Improper Stenciling of Restricted Cars.
215.305 Improper Stenciling of Maintenance-of-Way Equipment.
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;
(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.
(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.
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.
49 CFR 215.305 -- Pt. 215, App. D
49 CFR 215.305 -- 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 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)
49 CFR 215.305 -- PART 216 -- SPECIAL NOTICE AND EMERGENCY ORDER PROCEDURES: RAILROAD TRACK, LOCOMOTIVE AND EQUIPMENT
49 CFR 215.305 -- Subpart A -- General
Sec.
216.1 Application.
216.3 Definitions.
216.5 Delegation and general provisions.
216.7 Penalties.
49 CFR 215.305 -- Subpart B -- Special Notice for Repairs
216.11 Special notice for repairs -- railroad freight car.
216.13 Special notice for repairs -- locomotive.
216.15 Special notice for repairs -- track class.
216.17 Appeals.
49 CFR 215.305 -- 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: 45 U.S.C. 431, 432, and 438, as amended; 45 U.S.C.
22-34, as amended; Pub. L. 100-342; and 49 CFR 1.49 (c) and (m).
Source: 41 FR 18657, May 6, 1976, unless otherwise noted.
49 CFR 215.305 -- Subpart A -- General
49 CFR 216.1 Application.
(a) This part applies, according to its terms, to each railroad which
uses or operates a --
(1) Railroad freight car subject to part 215 of this chapter; or
(2) Locomotive subject to the Locomotive Inspection Act, as amended
(45 U.S.C. 22-34).
(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 54 FR 33229, Aug. 14, 1989)
49 CFR 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 section 206 of the Federal Railroad Safety
Act of 1970 (45 U.S.C. 435).
(c) Inspector includes FRA Regional Supervisors of Inspectors.
49 CFR 216.5 Delegation and general provisions.
(a) The Administrator has delegated to the appropriate FRA and State
personnel the authority to implement this part.
(b) Communications to the Administrator relating to the operation of
this part should be submitted in triplicate to the Docket Clerk, Office
of Chief Counsel, Federal Railroad Administration, Washington, DC 20590.
(c) The notices prescribed in 216.11, 216.13, 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)
49 CFR 216.7 Penalties.
Any person (including a railroad and any manager, supervisor,
official, or other employee or agent of a railroad) who violates any
requirement of this part or causes the violation of any such requirement
is subject to a civil penalty of at least $250 and not more than $10,000
per violation, 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. See 49 CFR
part 209, appendix A.
(53 FR 28599, July 28, 1988)
49 CFR 216.7 Subpart B -- Special Notice for Repairs
49 CFR 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 Regional Director in writing when
the equipment is returned to service, specifying the repairs completed.
(c) A railroad freight car subject to the notice prescribed in
paragraph (a) of this section may be moved from the place where it was
found to be unsafe for further service to the nearest available point
where the car can be repaired, if such movement is necessary to make
such repairs. However, the movement is subject to the further
restrictions of 215.9 of this chapter.
(41 FR 18657, May 6, 1976, as amended at 41 FR 43153, Sept. 30, 1976)
49 CFR 216.13 Special notice for repairs -- locomotive.
(a) When an FRA Motive Power and 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 Locomotive Inspection
Regulations set forth in part 230 of this chapter or by reason of any
other condition rendering the locomotive unsafe, he notifies 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 part 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 Director of Railroad
Safety 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.
49 CFR 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.
(b) The railroad shall notify the Regional Director 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)
49 CFR 216.17 Appeals.
(a) Upon receipt of a Special Notice prescribed in 216.11, 216.13,
or 216.15, a railroad may appeal the decision of the Inspector to the
FRA Regional Director of Railroad Safety for the region in which the
notice was given. The appeal shall be made by letter or telegram. The
FRA Regional Director assigns an inspector, other than the inspector
from whose decision the appeal is being taken, to reinspect the railroad
freight car, locomotive, or track. The reinspection will be made
immediately. If upon reinspection, the railroad freight car or
locomotive 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 Director or his
agent immediately notifies 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
Director notifies the railroad that the appeal has been denied.
(b) A railroad whose appeal to the FRA Regional Director for Railroad
Safety has been denied may, within thirty (30) days from the denial,
appeal to the Administrator. After affording an opportunity for
informal oral hearing, the Administrator may affirm, set aside, or
modify, in whole or in part, the action of the FRA Regional Director.
(c) The requirements of a Special Notices issued under this subpart
shall remain in effect and be observed by railroads pending appeal to a
Regional Director for Railroad Safety or to the Administrator.
49 CFR 216.17 Subpart C -- Emergency Order -- Track
49 CFR 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, Pub. L. 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 Director for Railroad
Safety.
(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.
49 CFR 216.23 Consideration of recommendation.
Upon receipt of a Notice of Track Conditions issued under 216.21,
the FRA Regional Director for Railroad Safety 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 Director 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.
49 CFR 216.25 Issuance and review of emergency order.
(a) Upon recommendation of the FRA Regional Director for Railroad
Safety, the Administrator may issue an Emergency order removing from
service track identified in the notice issued under 216.21.
(b) As specified in section 203, Pub. L. 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.
49 CFR 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.
49 CFR 216.27 PART 217 -- RAILROAD OPERATING RULES
49 CFR 216.27 Subpart A -- General
Sec.
217.1 Purpose.
217.3 Application.
217.5 Penalty.
217.7 Filing of operating rules.
217.9 Program of operational tests and inspections; recordkeeping.
217.11 Program of instruction on operating rules.
217.13 Annual report.
217.15 Information collection.
Appendix A to Part 217 -- Schedule of Civil Penalties
Authority: 45 U.S.C. 431, 437 and 438, as amended; Pub. L. No.
100-342; and 49 CFR 1.49(m).
Source: 39 FR 41176, Nov. 25, 1974, unless otherwise noted.
49 CFR 216.27 Subpart A -- General
49 CFR 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.
49 CFR 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)
49 CFR 217.5 Penalty.
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. 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)
49 CFR 217.7 Filing of operating rules.
(a) Before February 1, 1975, each railroad that is in operation on
January 1, 1975, shall file with the Federal Railroad Administrator,
Washington, D.C. 20590, one copy of its code of operating rules,
timetables, and timetable special instructions which were in effect on
January 1, 1975. Each railroad that commences operation after January
1, 1975, shall file with the Administrator one copy of its code of
operating rules, timetables, and timetable instructions before it
commences operations.
(b) Each amendment to a railroad's code of operating rules, each new
timetable, and each new timetable special instruction which is issued
after January 1, 1975, shall be filed with the Federal Railroad
Administrator within 30 days after it is issued.
49 CFR 217.9 Program of operational tests and inspections;
recordkeeping.
(a) 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 timetables
special instructions in accordance with a program filed with the Federal
Railroad Administrator.
(b) Before March 1, 1975, or 30 days before commencing operations,
whichever is later, each railroad to which this part applies shall file
with the Federal Railroad Administrator, Washington, D.C. 20590, three
copies of a program for periodic conduct of the operational tests and
inspections required by paragraph (a) of this section. The program
shall --
(1) Provide for operational testing and inspection under the various
operating conditions on the railroad;
(2) Describe each type of operational test and inspection adopted,
including the means and procedures used to carry it out;
(3) State the purpose of each type of operational test and
inspection;
(4) State, according to operating divisions where applicable, the
frequency with which each type of operational test and inspection is
conducted;
(5) Begin within 30 days after it is filed with the Federal Railroad
Administrator; and
(6) Include a schedule for making the program fully operative within
210 days after it begins.
(c) Each amendment to a railroad's program for periodic conduct of
operational tests and inspections required under paragraph (a) of this
section shall be filed with the Federal Railroad Administrator within 30
days after it is issued.
(d) Records. Each railroad shall keep a record of the date and place
of each operational test and inspection performed in accordance with its
program. Each record must provide a brief description of the
operational test or inspection, including the characteristics of the
operation tested or inspected, and the results thereof. Records must be
retained for one year and made available to representatives of the
Federal Railroad Administration for inspection and copying during
regular business hours.
49 CFR 217.11 Program of instruction on operating rules.
(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 that
employee on the meaning and application of the railroad's operating
rules in accordance with a program filed with the Federal Railroad
Administrator.
(b) Before March 1, 1975 or 30 days before commencing operations,
whichever is later, each railroad shall file with the Federal Railroad
Administrator, Washington, D.C. 20590, three copies of a program for the
periodic instruction of its employees as required by paragraph (a) of
this section. 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 it is filed with the Federal Railroad
Administrator;
(5) Provide for initial instruction of each employee hired after the
program begins.
(c) Each amendment to a railroad's program for the periodic
instruction of its employees required under paragraph (a) of this
section shall be filed with the Federal Railroad Administrator within 30
days after it is issued.
49 CFR 217.13 Annual report.
Before March 1 of each year, each railroad to which this part
applies, except for a railroad with fewer than 400,000 total manhours,
shall file with the Federal Railroad Administrator, Washington, DC
20590, a written report of the following with respect to its previous
year's activities.
(a) The total number of train miles which were operated over its
track.
(b) A summary of the number, type, and result of each operational
test and inspection, stated according to operating divisions where
applicable, that was conducted as required by 217.9.
(c) The number of operational tests and inspections conducted as
required by 217.9 per 10,000 train miles.
(d) The number, type and result of each test and inspection related
to enforcement of part 219 of this subchapter and the railroad's rule on
alcohol and drug use (''Rule G''). This information shall be reported
on Form FRA 6180.77, shall be provided separately for employees covered
by the Hours of Service Act and other employees subject to the
railroad's code of operating rules and operational testing program, and
shall include the following:
(1) Total number of observations of individual employees (including
observations for which breath, blood or urine tests were included and
observations after accidents/incidents and rule violations) and total
number of employees charged with violation of Rule G or a similar rule.
(2) Number of breath tests conducted under the authority of 219.301
of this title and number of such tests that were positive; number of
breath tests conducted under railroad authority for specific cause and
not relying on 219.301 and number that were positive.
(3) Number of urine tests conducted under the authority of 219.301
of this title and number of such tests that were positive; number of
urine tests conducted under railroad authority for specific cause and
not relying on 219.301 and number that were positive. For positive
tests indicate number for alcohol and for each of the following
controlled substance drug groups: marijuana, cocaine, phencyclidine,
opiates, amphetamines, and other controlled substances.
(4) Number of employees who refused to cooperate in testing under
219.301; number of employees who refused to cooperate in testing under
railroad authority for specific cause and not relying on 219.301.
(5) Number of blood tests demanded by employees in connection with
such observations and results by substance (alcohol, controlled
substance drug group) (separated as to blood tests demanded under
subpart D of this part and blood tests conducted under railroad
authority).
(6) Number and results of random drug tests conducted under the
authority of 219.601 of this chapter. For positive tests indicate the
number for each controlled substance by drug group, and the following
information: number and type of disciplinary actions taken, number of
employees referred for evaluation, number of employees evaluated as not
requiring formal treatment, number of employees evaluated as requiring
outpatient treatment, number of employees evaluated as requiring
inpatient treatment, number of employees failing to complete abatement
or rehabilitation, number of employees who completed abatement or
rehabilitation determined after investigation to have been involved in
subsequent alcohol/drug disciplinary offenses, and number of follow-up
tests and results by drug group (including refusals). Also indicate
number of refusals to cooperate in random and follow-up testing.
(7) Number of test results reported by the laboratory as positive
that are declared negative by the Medical Review Officer due to
scientific insufficiency, as provided in 49 CFR 40.33.
(39 FR 41176, Nov. 25, 1974, as amended at 50 FR 7919, Feb. 27, 1985;
50 FR 31578, Aug. 2, 1985; 53 FR 47131, Nov. 21, 1988; 54 FR 53279,
Dec. 27, 1989; 55 FR 22794, June 4, 1990)
49 CFR 217.15 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, Pub. L. 96-511, and have been assigned
OMB control number 2130-0035.
(b) The information collection requirements are found in the
following sections:
(1) Section 217.7.
(2) Section 217.9.
(3) Section 217.11.
(4) Section 217.13.
(50 FR 7919, Feb. 27, 1985)
49 CFR 217.15 Pt. 217, App. A
(53 FR 52927, Dec. 29, 1988)
49 CFR 217.15 -- PART 218 -- RAILROAD OPERATING PRACTICES
49 CFR 217.15 -- Subpart A -- General
Sec.
218.1 Purpose.
218.3 Application.
218.5 Definitions.
218.7 Waivers.
218.9 Civil penalty.
218.11 Filing, testing, and instruction.
49 CFR 217.15 -- Subpart B -- Blue Signal Protection of Workmen
218.21 Scope.
218.23 Blue signal display.
218.25 Workmen on a main track.
218.27 Workmen on track other than main track.
218.29 Alternate methods of protection.
218.30 Remotely controlled switches.
49 CFR 217.15 -- 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.
49 CFR 217.15 -- Subpart D -- Prohibition Against Tampering With Safety
Devices
218.51 Purpose.
218.53 Scope and definitions.
218.55 Tampering prohibition.
218.57 Responsibilities of individuals.
218.59 Responsibilities of railroads.
218.61 Authority to deactivate safety devices.
49 CFR 217.15 -- Subpart E -- Protection of Occupied Camp Cars
218.71 Purpose and scope.
218.73 Warning signal display.
218.75 Methods of protection for camp cars.
218.77 Remotely controlled switches.
218.79 Alternative methods of protection.
218.80 Movement of occupied camp cars.
Appendix A to Part 218 -- Schedule of Civil Penalties
Appendix B to Part 218 -- Statement of Agency Enforcement Policy
Authority: 45 U.S.C. 431 and 438, as amended; Pub. L. 100-342; and
49 CFR 1.49(m).
Source: 44 FR 2175, Jan. 10, 1979, unless otherwise noted.
49 CFR 217.15 -- Subpart A -- General
49 CFR 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.
49 CFR 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)
49 CFR 218.5 Definitions.
As used in this part --
(a) Workman means railroad employees assigned to inspect, test,
repair, or service railroad rolling equipment, or their components
including brake systems. Train and yard crews are excluded except when
assigned to perform such work on railroad rolling equipment that is not
part of the train or yard movement they have been called to operate.
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
221.16(b) of this chapter.
(b) Rolling equipment includes locomotives, railroad cars, and one or
more locomotives coupled to one or more cars.
(c) Blue signal means a clearly distinguishable blue flag or blue
light by day and a blue light at night. When attached to the operating
controls of a locomotive, it need not be lighted if the inside of the
cab area of the locomotive is sufficiently lighted so as to make the
blue signal clearly distinguishable.
(d) 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.
(e) 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.
(f) 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.
(g) 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.
(h) Locomotive means a self-propelled unit of equipment designed for
moving other 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.
(i) Switch providing access means a switch which if traversed by
rolling equipment could permit that rolling equipment to couple to the
equipment being protected.
(j) Group of workmen means two or more workmen 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.
(k) Interlocking limits means the tracks between the opposing home
signals of an interlocking.
(l) Flagman's signals means a red flag by day and a white light at
night, and a specified number of torpedoes and fusees as prescribed in
the railroad's operating rules.
(m) Absolute block means a block in which no train is permitted to
enter while it is occupied by another train.
(n) 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.
(44 FR 2175, Jan. 10, 1979, as amended at 48 FR 6123, Feb. 10, 1983;
51 FR 25186, July 10, 1986; 54 FR 39545, Sept. 27, 1989)
49 CFR 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.
49 CFR 218.9 Civil penalty.
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. See appendix A
to this part for a statement of agency civil penalty policy.
(53 FR 28599, July 28, 1988, 53 FR 52928, Dec. 29, 1988)
49 CFR 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.
49 CFR 218.11 Subpart B -- Blue Signal Protection of Workmen
49 CFR 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.
49 CFR 218.23 Blue signal display.
(a) Blue Signals displayed in accordance with 218.25, 218.27, or
218.29 signify that workmen 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
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
218.29 (a), (b) and (c); and
(4) Rolling equipment may not pass a displayed blue signal.
(b) Blue Signals must be displayed in accordance with 218.25,
218.27, or 218.29 by each craft or group of workmen prior to their going
on, under, or between rolling equipment and may only be removed by the
same craft or group that displayed them.
49 CFR 218.25 Workmen on a main track.
When workmen 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 workmen making the
repairs.
(44 FR 2175, Jan. 10, 1979, as amended at 48 FR 6123, Feb. 10, 1983)
49 CFR 218.27 Workmen on track other than main track.
When workmen 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 workmen must have notified the
operator of any remotely controlled switch that work is to be performed
and have been informed by the operator that each remotely controlled
switch providing access to the track on which the equipment is located
has been lined against movement to that track and locked as prescribed
in 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.
49 CFR 218.29 Alternate methods of protection.
Instead of providing blue signal protection for workmen in accordance
with 218.27, the following methods for blue signal protection may be
used:
(a) When workmen 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 workmen, 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 workmen 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 workmen are on, under, or between rolling equipment in a car
shop repair track area:
(1) A blue signal must be displayed at or near each switch providing
entrance to or departure from the area; and
(2) Each switch providing entrance to or departure from the area must
be lined against movement to the area and locked with an effective
locking device;
(3) If the speed within this area is restricted to not more than 5
miles per hour, a derail capable of restricting access to that portion
of a track within the area on which the rolling equipment is located
will fulfill the requirements of a manually operated switch in
compliance with paragraph (a)(2) of this section when positioned at
least 50 feet from the end of the equipment to be protected by the blue
signal, when locked in a derailing position with an effective locking
device and when a blue signal is displayed at the derail;
(4) If operated by an authorized employee under the direction of the
person in charge of the workemen, a car mover may be used to reposition
rolling equipment within this area after workmen on the affected track
have been notified of the movement.
(c) Except as provided in paragraphs (a) and (b) of this section,
when workmen 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 workmen making the repairs.
(44 FR 2175, Jan. 10, 1979, as amended at 48 FR 6123, Feb. 10, 1983)
49 CFR 218.30 Remotely controlled switches.
(a) After the operator of the remotely controlled switches has
received the notification required by 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 workmen 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 workmen 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)
49 CFR 218.30 Subpart C -- Protection of Trains and Locomotives
49 CFR 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)
49 CFR 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 218.37. In yard
limits where main tracks are governed by block signal system rules,
protection as prescribed by 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 218.35(b)(2).
(c) Each railroad shall designate in the operating rule prescribed
under paragraph (b) of this section the class or classes of trains which
shall have superiority on the main track within yard limits.
(42 FR 5065, Jan. 27, 1977)
49 CFR 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, place at least two torpedoes on the rail at least 100 feet
apart and display one lighted fusee. He may then return one-half of the
distance to his train where he must remain until he has stopped the
approaching train or is recalled. When recalled, he must leave one
lighted fusee and while returning to his train, he must also place
single lighted fusees at intervals that do not exceed the burning time
of the fusee. When the train departs, a crew member must leave one
lighted fusee and until the train resumes speed not less than one-half
the maximum authorized speed (including slow order limits) in that
territory, he must drop off single lighted fusees at intervals that do
not exceed the burning time of the fusee.
(iv) When required by the railroad's operating rules, a forward crew
member with flagman's signals must protect the front of his train
against opposing movements by immediately going forward at least the
distance prescribed by timetable or other instructions for the territory
placing at least two torpedoes on the rail at least 100 feet apart,
displaying one lighted fusee, and remaining at that location until
recalled.
(v) Whenever a crew member is providing flag protection, he must not
permit other duties to interfere with the protection of his train.
(2) Flag protection against following trains on the same track is not
required if --
(i) The rear of the train is protected by at least two block signals;
(ii) The rear of the train is protected by an absolute block;
(iii) The rear of the train is within interlocking limits; or
(iv) A train order specifies that flag protection is not required.
(v) A railroad operates only one train at any given time.
(b) Each railroad shall designate by timetable or other instruction
for each territory the specific distance which a crew member providing
flag protection must go out in order to provide adequate protection for
his train.
(c) Whenever the use of fusees is prohibited by a Federal, State or
local fire regulation, each railroad operating within that jurisdiction
shall provide alternate operating procedures to assure full protection
of trains in lieu of flag protection required by this section.
(42 FR 5065, Jan. 27, 1977, as amended at 42 FR 38362, July 28, 1977)
49 CFR 218.39 Hump operations.
After June 30, 1984, each railroad that operates a remote control
hump yard facility must have in effect an operating rule that adopts the
following provisions in substance:
(a) When a train or engine service employee is required to couple an
air hose or to adjust a coupling device and that activity will require
that the employee place himself between pieces of rolling equipment
located on a bowl track, the operator of any remotely controlled switch
that provides access from the apex of the hump to the track on which the
rolling equipment is located shall be notified;
(b) Upon such notification, the operator of such remotely controlled
switch 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)
49 CFR 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 218.39 of this part is
subject to a penalty, as provided in appendix A of this part.
(53 FR 52928, Dec. 29, 1988)
49 CFR 218.41 Subpart D -- Prohibition Against Tampering With Safety
Devices
Source: 54 FR 5492, Feb. 3, 1989, unless otherwise noted.
49 CFR 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 236.566 or 236.567 of this chapter;
(2) Under the provisions of 218.61 of this part; or
(3) Under the provisions of 229.9 of this chapter, provided that
when a locomotive is being operated under the provision of 229.9(b) a
designated officer has been notified of the defective alerter, deadman
pedal, or event recorder at the first available point of communication.
49 CFR 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.
49 CFR 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.
49 CFR 218.57 Responsibilities of individuals.
Any individual who knowingly operates a train, or permits it to be
operated, when the controlling locomotive of that train is equipped with
a disabled safety device, is subject to a civil penalty as provided for
in appendix A of this part and to disqualification from performing
safety-sensitive functions on a railroad if found to be unfit for such
duties. See appendix B to this part for a statement of agency
enforcement policy concerning violations of this section.
49 CFR 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.
49 CFR 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 paragraphs (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 the train it is
powering, that device may be deactivated only when that locomotive is
being hauled dead-in-tow.
49 CFR 218.61 Subpart E -- Protection of Occupied Camp Cars
Source: 54 FR 39545, Sept. 27, 1989, unless otherwise noted.
49 CFR 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.
49 CFR 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 218.75, 218.77, or
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 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.
49 CFR 218.75 Methods of protection for camp cars.
When camp cars requiring protection are on either main track or track
other than main track:
(a) A warning signal shall be displayed at or near each switch
providing access to that track;
(b) The person in charge of the camp car occupants shall immediately
notify the person responsible for directing train movements on that
portion of the railroad where the camp cars are being parked;
(c) Once notified of the presence of camp cars and their location on
main track or other than main track, the person responsible for
directing train movements on that portion of the railroad where the camp
cars are being parked shall take appropriate action to alert affected
personnel to the presence of the cars;
(d) Each manually operating switch providing access to track on which
the camp cars are located shall be lined against movement to that track
and secured with an effective locking device and spiked; and
(e) Each remotely controlled switch providing access to the track on
which the camp cars are located shall be protected in accordance with
218.77.
49 CFR 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.
49 CFR 218.79 Alternative methods of protection.
Instead of providing protection for occupied camp cars in accordance
with 218.75 or 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.
49 CFR 218.80 Movement of occupied camp cars.
Occupied cars may not be humped or flat switched unless coupled to a
locomotive.
49 CFR 218.80 Pt. 218, App. A
(53 FR 52928, Dec. 29, 1988, as amended at 54 FR 5492, Feb. 3, 1989)
49 CFR 218.80 -- Pt. 218, App. B
49 CFR 218.80 -- Appendix B to Part 218 -- Statement of Agency
Enforcement Policy
The Rail Safety Improvement Act of 1988 (Pub. L. 100-342, enacted
June 22, 1988) (''RSIA'') raised the maximum civil penalties available
under the railroad safety laws and made individuals liable for willful
violations of those laws. Section 21 of the RSIA requires that FRA
adopt regulations addressing three related but distinct aspects of
problems that can occur when safety devices are tampered with or
disabled. It requires that FRA make it unlawful for (i) any individual
to willfully tamper with or disable a device; (ii) any individual to
knowingly operate or permit to be operated a train with a tampered or
disabled device; and (iii) any railroad to operate such a train.
Because the introduction of civil penalties against individuals
brings FRA's enforcement of the rail safety laws into a new era and
because the changes being introduced by this regulation are so
significant, FRA believes that it is advisable to set forth the manner
in which it will exercise its enforcement authority under this
regulation.
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.
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 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 218.57 absent a showing of such actual knowledge of the facts.
Actual, subjective knowledge need not be demonstrated. It will suffice
to show objectively that the alleged violator must have known the facts
based on reasonable inferences drawn from the circumstances. For
example, it is reasonable to infer that a person knows about something
plainly in sight on the locomotive he is operating. Also, unlike the
case where willfulness must be shown (see FRA's statement of policy at
49 CFR part 209, appendix A), knowledge of or reckless disregard for the
law need not be shown to make out a violation of 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)
49 CFR 218.80 -- PART 219 -- CONTROL OF ALCOHOL AND DRUG USE
49 CFR 218.80 -- Subpart A -- General
Sec.
219.1 Purpose and scope.
219.3 Application.
219.5 Definitions.
219.7 Waivers.
219.9 Responsibility for compliance.
219.11 General conditions for chemical tests.
219.13 Preemptive effect.
219.15 Alcohol concentrations in blood and breath.
219.17 Construction.
219.19 Field Manual.
219.21 Information collection.
219.23 Notice to employees.
49 CFR 218.80 -- 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.
49 CFR 218.80 -- Subpart C -- Post-Accident Toxicological Testing
219.201 Events for which testing is required.
219.203 Responsibilities of railroads and employees.
219.205 Sample collection and handling.
219.207 Fatality.
219.209 Reports of tests and refusals.
219.211 Analysis and follow-up.
219.213 Unlawful refusals; consequences.
49 CFR 218.80 -- Subpart D -- Authorization to Test for Cause
219.301 Testing for reasonable cause.
219.303 Breath test procedures and safeguards.
219.305 Urine test procedures and safeguards.
219.307 (Reserved)
219.309 Employee notice.
49 CFR 218.80 -- 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.
49 CFR 218.80 -- Subpart F -- Pre-Employment Drug Screens
219.501 Pre-employment drug screens.
219.503 Notification; records.
219.505 Refusals; consequences of positive.
49 CFR 218.80 -- Subpart G -- Random Drug Testing Program
219.601 Railroad random testing programs.
219.603 Participation in testing; refusals.
219.605 Positive test results; procedures.
49 CFR 218.80 -- Subpart H -- Procedures and Safeguards for Urine Drug
Testing
219.701 Standards for urine drug testing.
219.703 Collection.
219.705 Drugs tested.
219.707 Review by MRO.
219.709 Retest.
219.711 Confidentiality of test results.
219.713 Reports; FRA access to records.
Appendix A to Part 219 -- Schedule of Civil Penalties
Appendix B to Part 219 -- Designation of Laboratory for Post-Accident
Toxicological Testing
Appendix C to Part 219 -- Post-Accident Testing Sample Collection
Authority: 45 U.S.C. 431, 437, and 438, as amended; Pub. L.
100-342; and 49 CFR 1.49(m).
Source: 54 FR 53259, Dec. 27, 1989, unless otherwise noted.
49 CFR 218.80 -- Subpart A -- General
49 CFR 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.
49 CFR 219.3 Application.
(a) Except as provided in paragraph (b), this part applies to --
(1) Railroads that operate rolling equipment on standard gage track
which is part of the general railroad system of transportation; and
(2) Railroads that provide commuter or other short-haul rail
passenger service in a metropolitan or suburban area (as described by
section 202(e) of the Federal Railroad Safety Act of 1970, as amended).
(b) (1) This part does not apply to a railroad that operates only on
track inside an installation which is not part of the general railroad
system of transportation.
(2) Subparts D, E, F and G do not apply to a railroad that employs
not more than 15 employees covered by the Hours of Service Act (45
U.S.C. 61-64b) and that does not operate on tracks of another railroad
(or otherwise engage in joint operations with another railroad) except
as necessary for purposes of interchange.
(c)(1) Subpart G of this part shall not apply to any person for whom
compliance with that subpart would violate the domestic laws or policies
of another country.
(2) Subpart G is not effective until January 2, 1993, with respect to
any employee whose place of reporting or point of departure (''home
terminal'') for rail transportation services is located outside the
territory of the United States.
(54 FR 53259, Dec. 27, 1989, as amended at 56 FR 18991, Apr. 24,
1991)
49 CFR 219.5 Definitions.
As used in this part --
Alcohol means ethyl alcohol (ethanol). References to use or
possession of alcohol include use or possession of any beverage, mixture
or preparation containing ethyl alcohol.
Class I, ''Class II,'' and ''Class III'' have the meaning assigned by
regulations of the Interstate Commerce Commission (49 CFR Part 1201;
General Instructions 1-1), as those regulations may be revised and
applied by order of the Commission (including modifications in class
thresholds based revenue deflator adjustments).
Controlled substance has the meaning assigned by 21 U.S.C. 802 and
includes all substances listed on Schedules I through V as they may be
revised from time to time (21 CFR parts 1301-1316).
Covered employee means a person who has been assigned to perform
service subject to the Hours of Service Act (45 U.S.C. 61-64b) during a
duty tour, whether or not the person has performed or is currently
performing such service, and any person who performs such service. (An
employee is not ''covered'' within the meaning of this part exclusively
by reason of being an employee for purposes of section 2(a)(3) of the
Hours of Service Act, as amended (45 U.S.C. 62(a)(3)).)
Covered service means service for a railroad that is subject to the
Hours of Service Act (45 U.S.C. 61-64b), 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.
Drug means any substance (other than alcohol) that has known mind or
function-altering effects on a human subject, specifically including any
psychoactive substance and including, but not limited to, controlled
substances.
EAP Counselor means a person or persons qualified by experience,
education, or training to counsel persons affected by substance abuse
problems and to evaluate their progress in recovering from or
controlling such problems. An ''EAP counselor'' may be a qualified
full-time salaried employee of the 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 drug abuse evaluation or counseling. As used
in these rules, an EAP Counselor owes a duty to the railroad to make an
honest and fully informed evaluation of the condition and progress of
the employee.
Field Manual refers to the document described in 219.19 of this
subpart.
FRA means the Federal Railroad Administration, U.S. Department of
Transportation.
FRA representative means the Associate Administrator for Safety, FRA,
the Associate Administrator's delegate (including a qualified State
inspector acting under part 212 of this chapter), the Chief Counsel,
FRA, or the Chief Counsel's delegate.
Hazardous material means a commodity designated as a hazardous
material by part 172 of this title.
Impact accident means a train accident (i.e., a rail equipment
accident involving damage in excess of the current reporting threshold,
$5,700 in 1989 and 1990) 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 means not under the ownership or control of the railroad
and not operated or staffed by a salaried officer or employee of the
railroad. The fact that the railroad pays for services rendered by a
medical facility or laboratory, selects that entity for performing tests
under this part, or has a standing contractual relationship with that
entity to perform tests under this part or perform other medical
examinations or tests of railroad employees does not, by itself, remove
the facility from this definition.
Medical facility means a hospital, clinic, physician's office, or
laboratory where toxicological samples can be collected according to
recognized professional standards.
Medical practitioner means a physician or dentist licensed or
otherwise authorized to practice by the state.
Medical Review Officer or MRO refers to a licensed physician
designated by the railroad who is responsible for receiving laboratory
results generated by the railroad's drug testing program (including
testing mandated or authorized by this part), who has knowledge of
substance abuse disorders, and who has appropriate medical training to
interpret and evaluate an individual's positive test result (as reported
by the laboratory) together with his or her medical history and any
other relevant biomedical information.
NTSB means the National Transportation Safety Board.
Passenger train means a train transporting persons (other than
employees, contractors or persons riding equipment to observe or monitor
railroad operations) in intercity passenger service, commuter or other
short-haul service, or for excursion or recreational purposes.
Possess means to have on one's person or in one's personal effects or
under one's control. However, the concept of possession as used in this
part does not include control by virtue of presence in the employee's
personal residence or other similar location off of railroad property.
Railroad means all forms of non-highway ground transportation that
run on rails or electro-magnetic guideways, including:
(1) Commuter or other short-haul rail passenger service in a
metropolitan or suburban area, as well as any commuter rail service
which was operated by Consolidated Rail Corporation as of January 1,
1979, and
(2) High speed ground transportation systems that connect
metropolitan areas, without regard to whether they use new technologies
not associated with traditional railroads.
Such term does not include rapid transit operations within an urban
area that are not connected to the general railroad system of
transportation.
Railroad property damage or damage to railroad property refers to
damage to railroad property, including railroad on-track equipment,
signals, track, track structures (including bridges and tunnels), or
roadbed, including labor costs and all other costs for repair or
replacement in kind. Estimated cost for replacement of railroad
property shall be calculated as described in the FRA Guide for Preparing
Accident/Incident Reports. (See 49 CFR 225.21.) However, replacement of
passenger equipment shall be calculated based on the cost of acquiring a
new unit for comparable service.
Reportable injury means an inury reportable under part 225 of this
title.
Reporting threshold means the amount specified in 225.19(c) of this
title, as adjusted from time to time in accordance with appendix A to
part 225 of this title (i.e., $5,700 in 1989 and 1990).
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 225.19(c) of this title (a ''rail equipment accident''
involving damage in excess of the current reporting threshold, $5,700 in
1989 and 1990), including an accident involving a switching movement.
Train incident means an event involving the movement of railroad
on-track equipment that results in a casualty but in which railroad
property damage does not exceed the reporting threshold.
49 CFR 219.7 Waivers.
(a) A person subject to a requirement of this part may petition the
Federal Railroad Administration for a waiver of compliance with such
requirement.
(b) Each petition for waiver under this section must be filed in a
manner and contain the information required by part 211 of this chapter.
(c) If the Administrator finds that waiver of compliance is in the
public interest and is consistent with railroad safety, the
Administrator may grant the waiver subject to any necessary conditions.
49 CFR 219.9 Responsibility for compliance.
(a) 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; 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 $20,000 per violation may be assessed; and the standard of
liability for a railroad will vary depending upon the requirement
involved. See, e.g., 219.105, which shall be construed to qualify the
responsibility of a railroad for the unauthorized conduct of an employee
that violates 219.101 or 219.102 (while imposing a duty of due
diligence to prevent such conduct). Each day a violation continues
shall constitute a separate offense. See appendix A to this part for a
statement of agency civil penalty policy.
(b)(1) In the case of joint operations, primary responsibility for
compliance with this part with respect to determination of events
qualifying for breath or body fluid testing under subparts C and D or
this part shall rest with the host railroad, and all affected employees
shall be responsive to direction from the host railroad consistent with
this part. However, nothing in this paragraph shall restrict the
ability of the railroads to provide for an appropriate assignment of
responsibility for compliance with this part as among those railroads
through a joint operating agreement or other binding contract. FRA
reserves the right to bring an enforcement action for noncompliance with
applicable portions of this part against the host railroad, the
employing railroad, or both.
(2) Where an employee of one railroad is required to participate in
breath or body fluid testing under subpart C or D and is subsequently
subject to adverse action alleged to have arisen out of the required
test (or alleged refusal thereof), necessary witnesses and documents
available to the other railroad shall be made available to the employee
on a reasonable basis.
49 CFR 219.11 General conditions for chemical tests.
(a) Any employee who performs covered service for a railroad shall be
deemed to have consented to testing as required in subparts B, C, D, and
G of this part; and consent is implied by performance of such service.
(b) (1) Each such employee shall participate in such testing, as
required under the conditions set forth in this part by a representative
of the railroad.
(2) In any case where an employee has sustained a personal injury and
is subject to alcohol or drug testing under this part, necessary medical
treatment shall be accorded priority over provision of the breath or
body fluid sample. No employee who is unable to urinate normally (based
on the judgment of a medical professional that catheterization would be
required) as a result of a personal injury or resulting medical
treatment shall be required to provide a urine sample.
(3) Failure to remain available following an accident or casualty as
required by company rules (i.e., being absent without leave) shall be
considered a refusal to participate in testing, without regard to any
subsequent provision of samples.
(4) Tampering with a sample in order to prevent a valid test (e.g.,
through substitution, dilution or adulteration) constitutes a refusal to
provide a sample.
(c) A covered employee who is required to be tested under subpart C
or D and who is taken to a medical facility for observation or treatment
after an accident or incident shall be deemed to have consented to the
release to FRA of the following:
(1) The remaining portion of any body fluid sample taken by the
treating facility within 12 hours of the accident or incident that is
not required for medical purposes, together with any normal medical
facility record(s) pertaining to the taking of such sample;
(2) The results of any laboratory tests for alcohol or any drug
conducted by or for the treating facility on such sample; and
(3) The identity, dosage, and time of administration of any drugs
administered by the treating facility prior to the time samples were
taken by the treating facility or prior to the time samples were taken
in compliance with this part.
(d) An employee required to participate in body fluid testing under
subpart C (post-accident toxicological testing) or testing subject to
subpart H shall, if requested by the representative of the railroad or
the medical facility (including under subpart H of this part, a
non-medical contract collector), evidence consent to taking of samples,
their release for toxicological analysis under pertinent provisions of
this part, and release of the test results to the railroad's Medical
Review Officer by promptly executing a consent form, if required by the
medical facility. The employee is not required to execute any document
or clause waiving rights that the employee would otherwise have against
the employer, and any such waiver is void. The employee may not be
required to waive liability with respect to negligence on the part of
any person participating in the collection, handling or analysis of the
specimen or to indemnify any person for the negligence of others. Any
consent provided consistent with this section shall be construed to
extend only to those actions specified herein.
(e) Nothing in this part shall be construed to authorize the use of
physical coercion or any other deprivation of liberty in order to compel
breath or body fluid testing.
(f) Any railroad employee who performs service for a railroad shall
be deemed to have consented to removal of body fluid and/or tissue
samples necessary for toxicological analysis from the remains of such
employee, if such employee dies within 12 hours of an accident or
incident described in subpart C as a result of such event. This consent
is specifically required of employees not in covered service, as well as
employees in covered service.
(g) Nothing in this subpart restricts any discretion available to the
railroad to request or require that an employee cooperate in additional
body fluid testing. However, no such testing may be performed on urine
or blood samples provided under this part. For purposes of this
paragraph, all urine from a void constitutes a single sample.
49 CFR 219.13 Preemptive effect.
(a) Under section 205 of the Federal Railroad Safety Act of 1970 (45
U.S.C. 434), issuance of these regulations preempts any State law, rule,
regulation, order or standard covering the same subject matter, except a
provision directed at a local hazard that is consistent with this part
and that does not impose an undue burden on interstate commerce.
(b) FRA does not intend by issuance of these regulations to preempt
provisions of State criminal law that impose sanctions for reckless
conduct that leads to actual loss of life, injury or damage to property,
whether such provisions apply specifically to railroad employees or
generally to the public at large.
49 CFR 219.15 Alcohol concentrations in blood and breath.
(a) In this part, blood alcohol concentration (BAC) is expressed as a
''percentage'' weight to volume. For example, a BAC of ''.04 percent''
means that there is .04 gram (four hundredths of one gram) of alcohol in
100 milliliters of whole blood. This is the same quantity as ''40
milligrams percent'' (40 milligrams in 100 milliliters).
(b) For the purpose of determining blood alcohol concentration
through an analysis of the breath, the amount of alcohol in one part of
blood shall be presumed to equal the amount of alcohol in 2100 parts of
an expired breath sample (by volume).
49 CFR 219.17 Construction.
Nothing in this part --
(a) Restricts the power of FRA to conduct investigations under
section 208 of the Federal Railroad Safety Act of 1970, as amended; or
(b) Creates a private right of action on the part of any person for
enforcement of the provisions of this part or for damages resulting from
noncompliance with this part.
49 CFR 219.19 Field Manual.
(a) Recommended practice standards for breath testing under subpart D
of this part, and related materials designed to assist the railroads in
establishing programs for control of alcohol and drug use are contained
in the FRA Alcohol and Drug Field Manual, which is revised from time to
time by the Office of Safety, FRA.
(b) The Field Manual may be inspected at the Office of the Associate
Administrator for Safety, FRA, 400 Seventh Street, SW., Washington, DC
20590. The Field Manual may be purchased at the National Technical
Information Service, Order Department, 5285 Port Royal Road,
Springfield, Virginia 22161.
49 CFR 219.21 Information collection.
(a) The information collection requirements of this part have been
reviewed by the Office of Management and Budget pursuant to the
Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.) and have been
assigned OMB control number 2130-0526.
(b) The information collection requirements are found in the
following sections:
Section 219.7.
Section 219.23.
Section 219.104.
Section 219.201.
Section 219.203.
Section 219.205.
Section 219.207.
Section 219.209.
Section 219.211.
Section 219.213.
Section 219.303.
Section 219.307.
Section 219.309.
Section 219.401.
Section 219.403.
Section 219.405.
Section 219.407.
Section 219.501.
Section 219.503.
Section 219.601.
Section 219.605.
Section 219.701.
Section 219.703.
Section 219.705.
Section 219.707.
Section 219.709.
Section 219.711.
Section 219.713.
49 CFR 219.23 Notice to employees.
(a) Whenever a breath or body fluid test is required of an employee
under this part, the railroad shall provide clear and unequivocal
written notice to the employee that the test is being required under
Federal Railroad Administration regulations. Clear annotation of the
drug testing custody and control form (''Reason for test'') with the
letters ''FRA'' prior to providing a copy to the employee satisfies the
requirement of this paragraph. Rather than providing written notice for
each individual test, a company that requires breath and/or body fluid
tests only under the authority of this part for a clearly delineated
portion of its employees may satisfy this requirement by publishing this
fact in a manner that provides effective notice to each employee.
(b) Whenever a breath or body fluid test is required of an employee
under this part, the railroad shall provide clear, unequivocal written
notice of the basis or bases upon which the test is required (e.g.,
reasonable suspicion, violation of a specified operating/safety rule
enumerated in subpart D, random selection, follow-up, etc.). Annotation
of the urine custody and control form with the specific basis of the
test (prior to providing a copy to the employee) satisfies the
requirement of this paragraph.
(c) Use of approved forms for mandatory post-accident toxicological
testing under subpart C of this part provides the notifications required
under this section with respect to such tests. Use of those forms for
any other test is prohibited.
(54 FR 53259, Dec. 27, 1989; 55 FR 22793, June 4, 1990)
49 CFR 219.23 Subpart B -- Prohibitions
49 CFR 219.101 Alcohol and drug use prohibited.
(a) Prohibitions. Except as provided in 219.103 --
(1) No employee may use or possess alcohol or any controlled
substance while assigned by a railroad to perform covered service;
(2) No employee may report for covered service, or go or remain on
duty in covered service while --
(i) Under the influence of or impaired by alcohol;
(ii) Having .04 percent or more alcohol in the blood; or
(iii) Under the influence of or impaired by any controlled substance.
(b) Controlled substance. ''Controlled substance'' is defined by
219.5 of this part. Controlled substances are grouped as follows:
Marijuana, narcotics (such as heroin and codeine), stimulants (such as
cocaine and amphetamines), depressants (such as barbiturates and minor
tranquilizers), and hallucinogens (such as the drugs known as PCP and
LSD). Controlled substances include illicit drugs (Schedule I), drugs
that are required to be distributed only by a medical practitioner's
prescription or other authorization (Schedules II through IV, and some
drugs on Schedule V), and certain preparations for which distribution is
through documented over the counter sales (Schedule V only).
(c) Railroad rules. Nothing in this section restricts a railroad
form imposing an absolute prohibition on the presence of alcohol or any
drug in the body fluids of persons in its employ, whether in furtherance
of the purpose of this part or for other purposes.
(d) Construction. This section shall not be construed to prohibit
the presence of an unopened container of an alcoholic beverage in a
private motor vehicle that is not subject to use in the business of the
railroad; nor shall it be construed to restrict a railroad from
prohibiting such presence under its own rules.
49 CFR 219.102 Prohibition on abuse of controlled substances.
On and after October 2, 1989, no employee who performs covered
service may use a controlled substance at any time, whether on duty or
off duty, except as permitted by 219.103 of this subpart.
49 CFR 219.103 Prescribed and over-the-counter drugs.
(a) This subpart does not prohibit the use of a controlled substance
(on Schedule II through V of the controlled substance list) prescribed
or authorized by a medical practitioner, or possession incident to such
use, if --
(1) The treating medical practitioner or a physician designated by
the railroad has made a good faith judgment, with notice of the
employee's assigned duties and on the basis of the available medical
history, that use of the substance by the employee at the prescribed or
authorized dosage level is consistent with the safe performance of the
employee's duties;
(2) The substance is used at the dosage prescribed or authorized;
and
(3) In the event the employee is being treated by more than one
medical practitioner, at least one treating medical practitioner has
been informed of all medications authorized or prescribed and has
determined that use of the medications is consistent with the safe
performance of the employee's duties (and the employee has observed any
restrictions imposed with respect to use of the medications in
combination).
(b) This subpart does not restrict any discretion available to the
railroad to require that employees notify the railroad of therapeutic
drug use or obtain prior approval for such use.
49 CFR 219.104 Responsive action.
(a) Removal from covered service. If the railroad determines that
there is reason to believe that an employee has violated 219.101 or
219.102 as evidenced by a positive test result reported by the
railroad's Medical Review Officer for a test conducted under this
subpart, subpart C, subpart D or subpart G of this part (or on the basis
of a positive breath alcohol test for which the employee has not
exercised the blood test option), the railroad shall immediately remove
the employee from covered service.
(b) Notice. Prior to or upon withdrawing the employee from covered
service under this section, the railroad shall provide notice of the
reason for this action.
(c) Hearing procedures. (1) If the employee denies that the test
result is valid evidence of alcohol or drug use prohibited by this
subpart, the employee may demand and shall be provided an opportunity
for a prompt post-suspension hearing before a presiding officer other
than the charging official. This hearing may be consolidated with any
disciplinary hearing arising from the same accident or incident (or
conduct directly related thereto), but the presiding officer shall make
separate findings as to compliance with 219.101 and 219.102 of this
part.
(2) The hearing shall be convened within the period specified in the
applicable collective bargaining agreement. In the absence of an
agreement provision, the employee may demand that the hearing be
convened within 10 calendar days of the suspension or, in the case of an
employee who is unavailable due to injury, illness, or other sufficient
cause, within 10 days of the date the employee becomes available for
hearing.
(3) A post-suspension proceeding conforming to the requirements of an
applicable collective bargaining agreement, together with the provisions
for adjustment of disputes under section 3 of the Railway Labor Act,
shall be deemed to satisfy the procedural requirements of this
paragraph.
(4) Nothing in this part shall be deemed to abridge any additional
procedural rights or remedies not inconsistent with this part that are
available to the employee under a collective bargaining agreement, the
Railway Labor Act, or (with respect to employment at will) at common law
with respect to the removal or other adverse action taken as a
consequence of a positive test result in a test authorized or required
by this part.
(5) Nothing in this part shall restrict the discretion of the
railroad to treat an employee's denial of prohibited alcohol or drug use
as a waiver of any privilege the employee would otherwise enjoy to have
such prohibited alcohol or drug use treated as a non-disciplinary matter
or to have discipline held in abeyance.
(d) Return to covered service. An employee who has been determined
to have violated 219.101 or 219.102 of this part as a result of a
positive test result described in paragraph (a) shall not be returned to
covered service unless the employee has --
(1) Been evaluated by an EAP counselor to determine if the employee
is affected by a psychological or physical dependence on alcohol or one
or more controlled substances or by another identifiable and treatable
mental or physical disorder involving abuse of alcohol or drugs as a
primary manifestation;
(2) Successfully completed any program of counseling or treatment
determined to be necessary by the EAP counselor prior to return to
covered service; and
(3) Presented a urine sample for testing under subpart H of this part
that tested negative for controlled substances assayed (in the case of
an employee who had tested positive for a controlled substance) or has
tested negative for alcohol under paragraph (e) of this section (in the
case of an employee who had tested positive for alcohol).
An employee returned to service under the above-stated conditions
shall continue in any program of counseling or treatment deemed
necessary by the EAP counselor and, in the case of an employee who had
tested positive for a controlled substance, shall be subject to a
reasonable program of followup drug testing without prior notice for a
period of not more than 60 months following return to service. Such
tests shall be performed consistent with the requirements of subpart H
of this part.
(e) Return-to-service tests for alcohol. Return-to-service alcohol
tests required by paragraph (d) of this section shall consist of --
(1) Analysis of a breath specimen for alcohol under safeguards
consistent with those specified for reasonable cause breath testing
under subpart D of this part; or
(2) Analysis of a blood specimen for alcohol in the same manner as
prescribed in 219.303(c) of this part.
(54 FR 53259, Dec. 27, 1989; 55 FR 22793, June 4, 1990)
49 CFR 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 219.101 or 219.102. As used in this section, the knowledge imputed
to the railroad shall be limited to that of a railroad management
employee (such as a supervisor deemed an ''officer,'' whether or not
such person is a corporate officer) or a supervisory employee in the
offending employee's chain of command.
(b) A railroad must exercise due diligence to assure compliance with
219.101 and 219.102 by each covered employee.
49 CFR 219.105 Subpart C -- Post-Accident Toxicological Testing
49 CFR 219.201 Events for which testing is required.
(a) List of events. Except as provided in paragraph (b) of this
section, post-accident toxicological tests shall be conducted after any
event that involves one or more of the circumstances described in
paragraphs (a) (1) through (4) of this section:
(1) Major train accident. Any train accident (i.e., a rail equipment
accident involving damage in excess of the current reporting threshold,
$5,700 in 1989 and 1990) that involves one or more of the following:
(i) A fatality;
(ii) Release of hazardous material lading from railroad equipment
accompanied by --
(A) An evacuation; or
(B) A reportable injury resulting from the hazardous material release
(e.g., from fire, explosion, inhalation, or skin contact with the
material); or
(iii) Damage to railroad property of $500,000 or more.
(2) Impact accident. An impact accident (i.e., a rail equipment
accident defined as an ''impact accident'' in 219.5 of this part that
involves damage in excess of the current reporting threshold, $5,700 in
1989 and 1990) resulting in --
(i) A reportable injury; or
(ii) Damage to railroad property of $50,000 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, $5,700 in 1989 and 1990)
involving a passenger train.
(b) Exceptions. No test shall 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 shall be required
in the case of an accident/incident the cause and severity of which are
wholly attributable to a natural cause (e.g., flood, tornado or other
natural disaster), as determined on the basis of objective and
documented facts by the railroad representative responding to the scene.
(c) Good faith determinations. (1)(i) The railroad representative
responding to the scene of the accident/incident shall determine whether
the accident/incident falls within the requirements of paragraph (a) of
this section or is within the exception described in paragraph (b) of
this section. It is the duty of the railroad representative to make
reasonable inquiry into the facts as necessary to make such
determinations. In making such inquiry, the railroad representative
shall consider the need to obtain samples as soon as practical in order
to determine the presence or absence of impairing substances reasonably
contemporaneous with the accident/incident. The railroad representative
satisfies the requirement of this section if, after making reasonable
inquiry, the representative exercises good faith judgement in making the
required determinations.
(ii) The railroad representative making the determinations required
by this section shall not be a person directly involved in the
accident/incident. This section does not prohibit consultation between
the responding railroad representative and higher level railroad
officials; however, the responding railroad representative shall make
the factual determinations required by this section.
(iii) Upon specific request made to the railroad by the Associate
Administrator for Safety, FRA (or the Associate Administrator's
delegate), the railroad shall provide a report describing any decision
by a person other than the responding railroad representative with
respect to whether an accident/incident qualifies for testing. This
report shall be affirmed by the decision maker and shall be provided to
FRA within 72 hours of the request. The report shall include the facts
reported by the responding railroad representative, the basis upon which
the testing decision was made, and the person making the decision.
(iv) Any estimates of railroad property damage made by persons not
the scene shall be based on descriptions of specific physicial damage
provided by the on-scene railroad representative.
(v) In the case of an accident involving passenger equipment, a host
railroad may rely upon the the damage estimates provided by the
passenger railroad (whether present on scene or not) in making the
decision whether testing is required, subject to the same requirement
that visible physical damage be specifically described.
(2) A railroad shall not require an employee to provide blood or
urine specimens under the authority or procedures of this subject unless
the railroad has made the determinations required by this section, based
upon reasonable inquiry and good faith judgment. A railroad does not
act in excess of its authority under this subpart if its representative
has made such reasonable inquiry and exercised such good faith judgment,
but it is later determined, after investigation, that one or more of the
conditions thought to have required testing were not, in fact, present.
However, this section does not excuse the railroad for any error arising
from a mistake of law (e.g., application of testing criteria other than
those contained in these regulations).
(3) A railroad is not in violation of this subpart if its
representative has made such reasonable inquiry and exercised such good
faith judgment but nevertheless errs in determining that post-accident
testing is not required.
(4) An accident/incident with respect to which the railroad has made
reasonable inquiry and exercised good faith judgment in determining the
facts necessary to apply the criteria contained in paragraph (a) of this
section is deemed a qualifying event for purposes of sample analysis,
reporting, and other purposes.
(5) In the event samples are collected following an event determined
by FRA not to be a qualifying event within the meaning of this
paragraph, FRA directs its designated laboratory to destroy any sample
material submitted and to refrain from disclosing to any person the
results of any analysis conducted.
49 CFR 219.203 Responsibilities of railroads and employees.
(a) Employees tested. (1) Following each accident and incident
described in 219.201, the railroad (or railroads) shall take all
practicable steps to assure that all covered employees of the railroad
directly involved in the accident or incident provide blood and urine
samples for toxicological testing by FRA. Such employees shall
cooperate in the provision of samples as described in this subpart and
appendix C.
(2) Such employees shall specifically include each and every
operating employee assigned as a crew member of any train involved in
the accident or incident. In any case where an operator, dispatcher,
signal maintainer or other covered employee is directly and
contemporaneously involved in the circumstances of the
accident/incident, those employees shall also be required to provide
samples.
(3) An employee shall be excluded from testing under the following
circumstances: In any case of an accident/incident for which testing is
mandated only under 219.201(a)(2) of this subpart (an ''impact
accident''), 219.201(a)(3) (''fatal train incident''), or
219.2012(a)(4) (a ''passenger train accident with injury'') if the
railroad representative can immediately determine, on the basis of
specific information, that the employee had no role in the cause(s) or
severity of the accident/incident. The railroad representative shall
consider any such information immediately available at the time the
qualifying event determination is made under 219.201 of this subpart.
(4) The following provisions govern accidents/incidents involving
non-covered employees:
(i) Surviving non-covered employees are not subject to testing under
this subpart.
(ii) Testing of the remains of non-covered employees who are fatally
injured in train accidents and incidents is required.
(b) Timely sample collection. (1) The railroad shall make every
reasonable effort to assure that samples are provided as soon as
possible after the accident or incident.
(2) This paragraph shall not be construed to inhibit the employees
required to be tested from performing, in the immediate aftermath of the
accident or incident, any duties that may be necessary for the
preservation of life or property. However, where practical, the
railroad shall utilize other employees to perform such duties.
(3) In the case of a passenger train which is in proper condition to
continue to the next station or its destination after an accident or
incident, the railroad shall consider the safety and convenience of
passengers in determining whether the crew is immediately available for
testing. A relief crew shall be called to relieve the train crew as
soon as possible.
(4) Covered employees who may be subject to testing under this
subpart shall be retained in duty status for the period necessary to
make the determinations required by 219.201 and this section and (as
appropriate) to complete the sample collection procedure. An employee
may not be recalled for testing under this subpart if that employee has
been released from duty under the normal procedures of the railroad,
except that an employee shall be immediately recalled for testing if --
(i) The employee could not be retained in duty status because the
employee went off duty under normal carrier procedures prior to being
contacted by a railroad supervisor and instructed to remain on duty
pending completion of the required determinations (e.g., in the case of
a dispatcher or signal maintainer remote from the scene of an accident
who was unaware of the occurrence at the time the employee went off
duty);
(ii) The railroad's preliminary investigation (contemporaneous with
the determination required by 219.201 of this subpart) indicates a
clear probability that the employee played a major role in the cause or
severity of the accident/incident; and
(iii) The accident/incident actually occurred during the employee's
duty tour.
An employee who has been transported to receive medical care is not
released from duty for purposes of this section. Nothing in this
section prohibits the subsequent testing of an employee who has failed
to remain available for testing as required (i.e., who is absent without
leave); but subsequent testing does not excuse such refusal by the
employee timely to provide the required specimens.
(c) Place of sample collection. (1) Employees shall be transported
to an independent medical facility where the samples shall be obtained.
The railroad shall pre-designate for such testing one or more such
facilities in reasonable proximity to any location where the railroad
conducts operations. Designation shall be made on the basis of the
willingness of the facility to conduct sample collection and the ability
of the facility to complete sample collection promptly, professionally,
and in accordance with pertinent requirements of this part. In all
cases blood shall be drawn only by a qualified medical professional or
by a qualified technician subject to the supervision of a qualified
medical professional
(2) In the case of an injured employee, the railroad shall request
the treating medical facility to obtain the samples.
(d) Obtaining cooperation of facility. (1) In seeking the
cooperation of a medical facility in obtaining a sample under this
subpart, the railroad shall, as necessary, make specific reference to
the requirements of this subpart.
(2) If an injured employee is unconscious or otherwise unable to
evidence consent to the procedure and the treating medical facility
declines to obtain a blood sample after having been acquainted with the
requirements of this subpart, the railroad shall immediately notify FRA
by toll free telephone (800-424-0201), stating the employee's name, the
medical facility, its location, the name of the appropriate decisional
authority at the medical facility, and the telephone number at which
that person can be reached. FRA will then take appropriate measures to
assist in obtaining the required sample.
(e) Discretion of physician. Nothing in this subpart shall be
construed to limit the discretion of a physician to determine whether
drawing a blood sample is consistent with the health of an injured
employee or an employee afflicted by any other condition that may
preclude drawing the specified quantity of blood.
(54 FR 53259, Dec. 27, 1989, as amended at 55 FR 22793, June 4, 1990)
49 CFR 219.205 Sample collection and handling.
(a) General. Samples shall be obtained, marked, preserved, handled,
and made available to FRA consistent with the requirements of this
section and the technical specifications set forth in appendix C to this
part.
(b) Information requirements. In order to process samples, analyze
the significance of laboratory findings, and notify the railroads and
employees of test results, it is necessary to obtain basic information
concerning the accident/incident and any treatment administered after
the accident/incident. Accordingly, the railroad representative shall
complete the information required by FRA Form 6180.73 (revised) for
shipping with the samples. Each employee subject to testing shall
cooperate in completion of the required information on FRA Form 6180.74
(revised) for inclusion in the shipping kit and processing of the
samples. The railroad representative shall request an appropriate
representative of the medical facility to complete the remaining portion
of the information on each Form 6180.74 (revised). One Form 6180.73
(revised) shall be forwarded in the shipping kit with each group of
samples. One Form 6180.74 (revised) shall be forwarded in the shipping
kit for each employee who provides samples.
(c) Shipping kit. (1) FRA and the laboratory designated in appendix
B to this part make available for purchase a limited number of standard
shipping kits for the purpose of routine handling of toxicological
samples under this subpart. Whenever possible, samples shall be placed
in the shipping kit prepared for shipment according to the instructions
provided in the kit and appendix C. Specifications for kits are
contained in the Field Manual.
(2) Kits may be ordered directly from the laboratory designated in
appendix B to this part.
(3) FRA maintains a limited number of kits at its field offices. A
Class III railroad may utilize kits in FRA possession, rather than
maintaining such kits on its property.
(d) Shipment. Samples shall be shipped as soon as possible by
pre-paid air express or air freight (or other means adequate to ensure
delivery within twenty-four (24) hours from time of shipment) to the
laboratory designated in appendix B to this part. Where express courier
pickup is available, the railroad shall request the medical facility to
transfer the sealed toxicology kit directly to the express courier for
transportation. If courier pickup is not available at the medical
facility where the samples are collected or for any other reason prompt
transfer by the medical facility cannot be assured, the railroad shall
promptly transport the sealed shipping kit holding the samples to the
most expeditious point of shipment via air express, air freight or
equivalent means. The railroad shall maintain and document secure chain
of custody of the kit from release by the medical facility to delivery
for transportation, as described in appendix C.
49 CFR 219.207 Fatality.
(a) In the case of an employee fatality in an accident or incident
described in 219.201, body fluid and/or tissue samples shall be
obtained from the remains of the employee for toxicological testing. To
ensure that samples are timely collected, the railroad shall immediately
notify the appropriate local authority (such as a coroner or medical
examiner) of the fatality and the requirements of this subpart, making
available the shipping kit and requesting the local authority to assist
in obtaining the necessary body fluid or tissue samples. The railroad
shall also seek the assistance of the custodian of the remains, if a
person other than the local authority.
(b) If the local authority or custodian of the remains declines to
cooperate in obtaining the necessary samples, the railroad shall
immediately notify FRA by toll free telephone (800-424-0201) providing
the following information:
(1) Date and location of the accident or incident;
(2) Railroad;
(3) Name of the deceased;
(4) Name and telephone number of custodian of the remains; and
(5) Name and telephone number of local authority contacted.
(c) A coroner, medical examiner, pathologist, Aviation Medical
Examiner, or other qualified professional is authorized to remove the
required body fluid and/or tissue samples from the remains on request of
the railroad or FRA pursuant to this part; and, in so acting, such
person is the delegate of the Administrator under section 208 of the
Federal Railroad Safety Act of 1970 (45 U.S.C. 437) (but not the agent
of the Secretary for purposes of the Federal Tort Claims Act). Such
qualified professional may rely upon the representations of the railroad
or FRA representative with respect to the occurrence of the event
requiring that toxicological tests be conducted and the coverage of the
deceased employee under these rules.
(d) Appendix C to this part specifies body fluid and/or tissue
samples required for toxicological analysis in the case of a fatality.
49 CFR 219.209 Reports of tests and refusals.
(a)(1) A railroad that has experienced one or more events for which
samples were obtained shall provide prompt telephonic notification
summarizing such events. Notification shall be provided to the Office
of Safety, FRA, at (202) 366-0501 (8:30 a.m. to 5:00 p.m. e.s.t. or
e.d.t.) during the Federal work week.
(2) Each telephonic report shall contain:
(i) Name of railroad;
(ii) Name, title and telephone number of person making the report;
(iii) Time, date and location of the accident/incident;
(iv) Brief summary of the circumstances of the accident/incident,
including basis for testing; and
(v) Number, names and occupations of employees tested.
(b) If the railroad is unable, as a result of non-cooperation of an
employee or for any other reason, to obtain a sample and cause it to be
provided to FRA as required by this subpart, the railroad shall make a
concise narrative report of the reason for such failure and, if
appropriate, any action taken in response to the cause of such failure.
This report shall be appended to the report of the accident/incident
required to be submitted under part 225 of this subchapter.
49 CFR 219.211 Analysis and follow-up.
(a) The laboratory designated in appendix B to this part undertakes
prompt analysis of samples provided under this subpart, consistent with
the need to develop all relevant information and produce a complete
report. Samples are analyzed for alcohol and controlled substances
specified by FRA. Samples may be analyzed for other impairing
substances specified by FRA as necessary to the particular accident
investigation.
(b) Results of post-accident toxicological testing under this subpart
are reported to the railroad's Medical Review Officer and the employee.
The MRO and the railroad shall treat the test results and any
information concerning medical use or administration of drugs provided
under this subpart in the same confidential manner as if subject to
subpart H of this part, except where publicly disclosed by FRA or the
National Transportation Safety Board.
(c) With respect to a surviving employee, a test reported as positive
for alcohol or a controlled substance by the designated laboratory shall
be reviewed by the railroad's Medical Review Officer with respect to any
claim of use or administration of medications (consistent with 219.103
of this part) that could account for the laboratory findings. The
Medical Review Officer shall promptly report the results of each review
to the Associate Administrator for Safety, FRA, Washington, DC 20590.
Such report shall be in writing and shall reference the employing
railroad, accident/incident date, and location; and the envelope shall
be marked ''ADMINISTRATIVELY CONFIDENTIAL: ATTENTION ALCOHOL/DRUG
PROGRAM MANAGER.'' The report shall state whether the MRO reported the
test result to the employing railroad as positive or negative and the
basis of any determination that analytes detected by the laboratory
derived from authorized use (including a statement of the compound
prescribed, dosage/frequency, and any restrictions imposed by the
authorized medical practitioner). Unless specifically requested by FRA
in writing, the Medical Review Officer shall not disclose to FRA the
underlying physical condition for which any medication was authorized or
administered. Neither the Federal Railroad Administration nor the
National Transportation Safety Board shall be bound by the railroad
Medical Review Officer's determination, but that determination will be
considered by FRA in relation to the accident/incident investigation and
with respect to any enforcement action under consideration.
(d) To the extent permitted by law, FRA treats test results
indicating medical use of controlled substances consistent with 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 any result of testing under
this subpart and associated documents to the National Transportation
Safety Board.)
(e) An employee may respond in writing to the results of the test
prior to the preparation of any final investigation report concerning
the accident or incident. An employee wishing to respond shall do so by
letter addressed to the Alcohol/Drug Program Manager, Office of Safety,
FRA, 400 Seventh Street, SW, Washington, DC 20590 within 45 days of
receipt of the test results. Any such submission shall refer to the
accident date, railroad and location, shall state the position occupied
by the employee on the date of the accident/incident, and shall identify
any information contained therein that the employee requests be withheld
from public disclosure on grounds of personal privacy (but the decision
whether to honor such request shall be made by the FRA on the basis of
controlling law). Results of the toxicological analysis and any
response from the employee are also promptly made available to the
National Transportation Safety Board on request.
(f)(1) The toxicology report may contain a statement of
pharmacological significance to assist FRA and other parties in
understanding the data reported. No such statement may be construed as
a finding of probable cause in the accident or incident.
(2) The toxicology report is a part of the report of the
accident/incident and therefore subject to the limitation of section 4
of the Accident Reports Act (45 U.S.C. 41) (prohibiting use of the
report for any purpose in any action for damages).
(g)(1) It is in the public interest to ensure that any railroad
disciplinary actions that may result from accidents and incidents for
which testing is required under this subpart are disposed of on the
basis of the most complete and reliable information available so that
responsive action will be appropriate. Therefore, during the interval
between an accident or incident and the date that the railroad receives
notification of the results of the toxicological analysis, any provision
of collective bargaining agreements establishing maximum periods for
charging employees with rule violations, or for holding an
investigation, shall not be deemed to run as to any offense involving
the accident or incident (i.e., such periods shall be tolled).
(2) This provision shall not be construed to excuse the railroad from
any obligation to timely charge an employee (or provide other actual
notice) where the railroad obtains sufficient information relating to
alcohol or drug use, impairment or possession or other rule violations
prior to the receipt to toxicological analysis.
(3) This provision does not authorize holding any employee out of
service pending receipt of toxicological analysis; nor does it restrict
a railroad from taking such action in an appropriate case.
(h) Except as provided in 219.201 (with respect to non-qualifying
events), each sample provided under this subpart is retained for not
less than three months following the date of the accident or incident
(two years from the date of the accident or incident in the case of a
sample testing positive for alcohol or a controlled substance) and may
be made available to the National Transportation Safety Board (on
request).
(i) An employee (donor) may, within 60 days of the date of the
toxicology report, request that the employee's blood and/or urine sample
be retested by the designated laboratory or by another laboratory
certified by the Department of Health and Human Services under that
Department's Guidelines for Federal Workplace Drug Testing Programs that
has available an appropriate, validated assay for the fluid and compound
declared positive. Since some analytes may deteriorate during storage,
detected levels of the compound shall, as technically appropriate, be
reported and considered corroborative of the original test result. Any
request for a retest shall be in writing, specify the railroad, accident
date and location, be signed by the employee/donor, be addressed to the
Associate Administrator for Safety, FRA, Washington, DC 20590, and be
designated ''ADMINISTRATIVELY CONFIDENTIAL: ATTENTION ALCOHOL/DRUG
PROGRAM MANAGER.'' The expense of any employee-requested retest at a
laboratory other than the laboratory designated under this subpart shall
be borne by the employee.
49 CFR 219.213 Unlawful refusals; consequences.
(a) Disqualification. (1) An employee who refuses to cooperate in
providing a blood or urine sample following an accident or incident
specified in this subpart shall be withdrawn from covered service and
shall be deemed disqualified for covered service for a period of nine
(9) months.
(2) The disqualification required by this paragraph shall apply with
respect to employment in covered service by any railroad with notice of
such disqualification.
(3) 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.
(4) 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 219.104 of this part,
provided that return-to-service tests shall be conducted for both
alcohol and designated controlled substances; and the employee shall be
subject to follow-up drug tests as provided by that section.
(b) Procedures. (1) Prior to or upon withdrawing the employee from
covered service under this section, the railroad shall provide notice of
the reason for this action and an opportunity for hearing before a
presiding officer other than the charging official. This hearing may be
consolidated with any other disciplinary hearing arising from the same
accident or incident (or conduct directly related thereto), but the
presiding officer shall make separate findings as to the
disqualification required by this section.
(2) The hearing shall be convened within the period specified in the
applicable collective bargaining agreement. In the absence of an
agreement provision, the employee may demand that the hearing be
convened within 10 calendar days of the suspension or, in the case of an
employee who is unavailable due to injury, illness, or other sufficient
cause, within 10 days of the date the charged employee becomes available
for hearing.
(3) A post-suspension proceeding conforming to the requirements of an
applicable collective bargaining agreement, together with the provisions
for adjustment of disputes under section 3 of the Railway Labor Act,
shall be deemed to satisfy the procedural requirements of this
paragraph.
(c) Subject of hearing. The hearing required by this section shall
determine whether the employee refused to submit to testing, having been
requested to submit, under authority of this subpart, by a
representative of the railroad. In determining whether a
disqualification is required, the hearing official shall, as
appropriate, also consider the following:
(1) Whether the railroad made a good faith determination, based on
reasonable inquiry, that the accident or incident was within the
mandatory testing requirements of this subpart; and
(2) In a case where a blood test was refused on the ground it would
be inconsistent with the employee's health, whether such refusal was
made in good faith and based on medical advice.
49 CFR 219.213 Subpart D -- Authorization To Test for Cause
49 CFR 219.301 Testing for reasonable cause.
(a) Authorization. A railroad may, under the conditions specified in
this subpart, require any covered employee, as a condition of employment
in covered service, to cooperate in breath or urine testing, or both, to
determine compliance with 219.101 and 219.102 of this part or a
railroad rule implementing the requirements of 219.101 and 219.102.
This authority is limited to testing after observations or events that
occur during duty hours (including any period of overtime or emergency
service). The provisions of this subpart apply only when, and to the
extent that, the test in question is conducted in reliance upon the
authority conferred by this section. Section 219.23 prescribes the
notice to an employee that is required when an employee is required to
provide a breath or body fluid sample under this part. A railroad may
not require an employee to be tested under the authority of this subpart
unless reasonable cause, as defined in this section, exists with respect
to that employee.
(b) Reasonable cause for breath tests. The following circumstances
constitute reasonable cause for the administration of breath alcohol
tests under this section:
(1) Reasonable suspicion. A supervisory employee of the railroad has
a reasonable suspicion that the employee is currently under the
influence of or impaired by alcohol, or alcohol in combination with a
controlled substance, based upon specific, personal observations that
the supervisory employee can articulate concerning the appearance,
behavior, speech or body odors of the employee;
(2) Accident/incident. The employee has been involved in an accident
or incident reportable under part 225 of this title, and a supervisory
employee of the railroad has a reasonable suspicion that the employee's
acts or omissions contributed to the occurrence or severity of the
accident or incident; or
(3) Rule violation. The employee has been directly involved in one
of the following operating rule violations or errors:
(i) Noncompliance with a train order, track warrant, timetable,
signal indication, special instruction or other direction with respect
to movement of a train that involves --
(A) Occupancy of a block or other segment of track to which entry was
not authorized;
(B) Failure to clear a track to permit opposing or following movement
to pass;
(C) Moving across a railroad crossing at grade without authorization;
or
(D) Passing an absolute restrictive signal or passing a restrictive
signal without stopping (if required);
(ii) Failure to protect a train as required by a rule consistent with
218.37 of this title (including failure to protect a train that is
fouling an adjacent track, where required by the railroad's rules);
(iii) Operation of a train at a speed that exceeds the maximum
authorized speed by at least ten (10) miles per hour or by fifty percent
(50%) of such maximum authorized speed, whichever is less;
(iv) Alignment of a switch in violation of a railroad rule, failure
to align a switch as required for movement, operation of a switch under
a train, or unauthorized running through a switch;
(v) Failure to apply or stop short of derail as required;
(vi) Failure to secure a hand brake or failure to secure sufficient
hand brakes, as required;
(vii) Entering a crossover before both switches are lined for
movement; or
(viii) In the case of a person performing a dispatching function or
block operator function, issuance of a train order or establishment of a
route that fails to provide proper protection for a train.
(c) Reasonable cause for urine test. (1) Accident/incident and rule
violation. Except as provided in paragraph (c)(2) of this section, each
of the conditions set forth in paragraphs (b)(2) (''accident/incident'')
and (b)(3) (''rule violation'') of this section as constituting
reasonable cause for breath alcohol testing also constitutes reasonable
cause with respect to urine drug testing.
(2) Reasonable suspicion. Reasonable cause also exists where a
supervisory employee of the railroad has a reasonable suspicion that the
employee is currently under the influence of or impaired by a controlled
substance, or a controlled substance in combination with alcohol, based
upon specific, personal observations that the supervisory employee can
articulate concerning the appearance, behavior, speech, or body odors of
the employee, subject to the following limitations:
(i) An employee may be required to submit to urine testing for
reasonable suspicion only if the determination is made by at least two
supervisory employees; and
(ii) If the determination to require urine testing is based upon a
suspicion that the employee is under the influence of or impaired by a
controlled substance, at least one supervisory employee responsible for
the decision to require urine testing must have received at least three
(3) hours of training in the signs of drug intoxication consistent with
a program of instruction on file with FRA under part 217 of this title.
Such program shall, at a minimum, provide information concerning the
acute behavior and apparent physiological effects of the major drug
groups on the controlled substances list (narcotics, depressants,
stimulants, hallucinogens, and marijuana).
(d) (Reserved)
(e) Limitation for subpart C events. The compulsory urine testing
authority conferred by this section does not apply with respect to any
event subject to post-accident toxicological testing as required by
219.201 of this part. However, use of compulsory breath test authority
is authorized in any case where breath test results can be obtained in a
timely manner at the scene of the accident and conduct of such tests
does not materially impede the collection of samples under subpart C.
(f) Prompt sample collection; time limitation. (1) 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.
(2) No employee shall be required to participate in breath alcohol or
urine drug testing under this subsection after the expiration of an
8-hour period from ----
(i) The time of the observations or other events described in this
section; or
(ii) 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.
(3) 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).
(4) As used in this section 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.
(5) In the case of a urine drug test, the 8-hour requirement is
satisfied if the employee has been delivered to the collection site
(where the collector is present) and the request has been made to
commence collection of the urine specimen within that period.
(g) Construction. Nothing in this subpart requires a railroad to
undertake breath testing as a requisite to any disciplinary action or
restricts the discretion of a railroad to proceed based solely on
evidence of behavior, personal observations, or other evidence
customarily relied upon in such investigations or hearings.
(54 FR 53259, Dec. 27, 1989; 55 FR 22793, June 4, 1990)
49 CFR 219.303 Breath test procedures and safeguards.
(a) Except as provided in paragraph (d), the following conditions
apply to breath testing authorized by this subpart.
(1) Testing devices shall be selected from among those listed on the
Conforming Products List of Evidential Breath Measurement Devices
amended and published in the Federal Register from time to time by the
National Highway Traffic Safety Administration (NHTSA), Department of
Transportation.
(2) Each device shall be properly maintained and shall be calibrated
or verified as to correct calibration by use of a breath alcohol
simulator (calibrating unit) listed on the NHTSA Conforming Products
List of Calibrating Units for Breath Alcohol Testers (as amended and
published) with sufficient frequency to ensure the accuracy of the
device (within plus or minus .01 percent), but not less frequently than
provided in the manufacturer's instructions.
(3) Tests shall be conducted by a trained and qualified operator.
The operator shall have received training on the operational principles
of the particular instrument employed and practical experience in the
operation of the device and use of the breath alcohol calibrating unit.
A copy of the training program shall be filed with FRA in conjunction
with the filing required by 217.11 of this title.
(4) Tests shall be conducted in accordance with procedures specified
by the manufacturer of the testing device, consistent with sound
technical judgment, and shall include appropriate restrictions on
ambient air temperature.
(5) If an initial test is positive, the employee shall be tested
again after the expiration of a period of not less than 15 minutes, in
order to confirm that the test has properly measured the alcohol content
of deep lung air.
(b) Because of the inherent limitations of the instrumentation, any
indicated breath test result of less than .02 percent shall be deemed a
negative test.
(c)(1) In any case where a breath test is intended for use in the
railroad disciplinary process and the result is positive, the employee
shall be given the prompt opportunity to provide a blood sample at an
independent medical facility for analysis by a competent independent
laboratory. The railroad shall provide the required transportation to
facilitate the blood test.
(2) A blood test under this section shall conform to the following
standards:
(i) The specimen shall be collected in a medically acceptable manner
by a qualified medical professional or technician using a non-ethanol
swab and shall be deposited into a single-use sterile vacuum tube
containing at least one percent sodium fluoride (and an anticoagulant).
(ii) While the specimen remains in full view of the employee, the
specimen shall be clearly labeled with the employee's name and/or a
unique identifying number and shall be sealed with a tamperproof seal.
(iii) The sample shall be handled in accordance with chain of custody
procedures from the point of collection through analysis and secure
storage at the laboratory.
(iv) The sample shall be screened for alcohol only by a method
reliable at a detection limit of not higher than .02 percent. Any
presumptive positive shall be confirmed by gas chromatography with a
suitable internal standard. The screening run shall include at least
10% quality control samples. The confirmation run shall include ethanol
standards (including an ethanol standard certified against or traceable
to a primary standard), at least one blank specimen, other appropriate
volatiles (e.g., isopropanol), and at least one control purchased
commercially or provided through an external quality control program.
Results declared positive on confirmation shall be consistent with
pre-established criteria for retention time of internal and external
standards. Blood alcohol concentration shall be reported only at values
of .02 percent or greater within the linear portion of the standard
curve. Unconfirmed presumptive positive results and values below .02
percent shall be reported as negative. Any quantitations to the third
digit shall be rounded downward to two digits (i.e., .238% to .23%).
(v) The remaining portion of any specimen testing positive shall be
retained in secure frozen storage for at least one year, and the
employee shall have the right to request a retest of the specimen at a
competent independent laboratory within 60 days of the date of the
laboratory report.
(vi) Test results shall be reported to the Medical Review Officer who
shall review and act upon the results in the same manner provided for
drug urine testing in subpart H of this part, except that fully
quantitated results shall be made available to the employer
representative.
(3) If the blood test under this section is reported as negative, the
breath test shall be deemed negative for all purposes.
(d)(1) Under the circumstances set forth in 219.301, a railroad may
require an employee to participate in a breath alcohol screening test
solely for the purpose of determining whether the conduct of a test
meeting the criteria of paragraph (a) is indicated. If the screening
test is negative within the meaning of paragraph (b), the employee shall
not be required to submit to further breath testing under this subpart.
If the screening test is positive, no consequence shall attach except
that the employee may be removed from covered service for the period
necessary to conduct a breath test meeting the criteria of paragraph (a)
of this section.
(2) Except as provided in paragraph (d)(2)(iii) of this section, the
conduct of a screening test under paragraph (d)(1) of this section does
not excuse full compliance with paragraph (a) of this section with
respect to any breath test procedure which is then undertaken. If a
screening test is positive, the following procedures govern:
(i) An initial breath test shall be conducted meeting the criteria of
paragraph (a) of this section.
(ii) If that test is positive, a second breath test shall be
conducted meeting the criteria of paragraph (a) of this section.
(iii) The second test meeting the criteria of section (a) of this
section must be conducted at least 15 minutes after the positive
screening test conducted under paragraph (d)(1) of this section.
However, since a waiting period of 15 minutes is sufficient to permit
the disposition of any alcohol in the mouth, the requirement of
paragraph (a)(5) of this section that there be a period of at least 15
minutes between the two tests meeting the criteria of paragraph (a) of
this section does not apply.
(54 FR 53259, Dec. 27, 1989; 55 FR 22793, June 4, 1990)
49 CFR 219.305 Urine test procedures and safeguards.
The conduct of urine drug testing under this subpart is governed by
subpart H of this part and (to the extent not inconsistent with this
part) part 40 of subtitle A of this title.
219.307 (Reserved)
49 CFR 219.309 Employee notice.
A railroad utilizing the reasonable cause testing authority provided
by this part shall provide prior effective notice to covered employees
of the circumstances under which they will be subject to testing, shall
describe the consequences of a determination that the employee has
violated 219.101, 219.102, or any applicable railroad rule, and shall
inform the employee of the employee's rights under subpart E of this
part. This notice may be combined with the notice required by 219.601
of this part.
49 CFR 219.309 Subpart E -- Identification of Troubled Employees
49 CFR 219.401 Requirement for policies.
(a) The purpose of this subpart is to prevent the use of alcohol and
drugs in connection with covered service.
(b) Each railroad shall adopt, publish and implement --
(1) A policy designed to encourage and facilitate the identification
of those covered employees who abuse alcohol or drugs as a part of a
treatable condition and to ensure that such employees are provided the
opportunity to obtain counseling or treatment before those problems
manifest themselves in detected violations of this part (hereafter
''voluntary referral policy''); and
(2) A policy designed to foster employee participation in preventing
violations of this subpart and encourage 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 219.403
and 219.405 of this subpart or by complying with 219.407.
(d) If a railroad complies with this part by adopting, publishing and
implementing policies consistent with 219.403 and 219.405, the
railroad shall make such policies, and publications announcing such
policies, available for inspection and copying by FRA.
(e) Nothing in this subpart shall be construed to --
(1) Require payment of compensation for any period an employee is out
of service under a voluntary referral or co-worker report policy;
(2) Require a railroad to adhere to a voluntary referral or co-worker
report policy in a case where the referral or report is made for the
purpose, or with the effect, of anticipating the imminent and probable
detection of a rule violation by a supervising employee; or
(3) Limit the discretion of a railroad to dismiss or otherwise
discipline an employee for specific rule violations or criminal
offenses, except as specifically provided by this subpart.
49 CFR 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 219.101 and 219.102.
(b) Required provisions. A voluntary referral policy shall include
the following provisions:
(1) A covered employee who is affected by an alcohol or drug use
problem may maintain an employment relationship with the railroad if,
before the employee is charged with conduct deemed by the railroad
sufficient to warrant dismissal, the employee seeks assistance through
the railroad for the employee's alcohol or drug use problem or is
referred for such assistance by another employee or by a representative
of the employee's collective bargaining unit. The railroad shall
specify whether, and under what circumstances, its policy provides for
the acceptance of referrals from other sources, including (at the option
of the railroad) supervisory employees.
(2) Except as may be provided under paragraph (c) of this part, the
railroad treats the referral and subsequent handling, including
counseling and treatment, as confidential.
(3) The railroad will, to the extent necessary for treatment and
rehabilitation, grant the employee a leave of absence from the railroad
for the period necessary to complete primary treatment and establish
control over the employee's alcohol or drug problem. The policy must
allow a leave of absence of not less than 45 days, if necessary for the
purpose of meeting initial treatment needs.
(4) Except as may be provided under paragraph (c)(2) of this section,
the employee will be returned to service on the recommendation of the
EAP Counselor. Approval to return to service may not be unreasonably
withheld.
(c) Optional provisions. A voluntary referral policy may include any
of the following provisions, at the option of the railroad:
(1) The policy may provide that the rule of confidentiality is waived
if --
(i) The employee at any time refuses to cooperate in a recommended
course of counseling or treatment and/or;
(ii) The employee is later determined, after investigation, to have
been involved in an alcohol or drug-related disciplinary offense growing
out of subsequent conduct.
(2) The policy may require successful completion of a
return-to-service medical examination as a further condition on
reinstatement in covered service.
(3) The policy may provide that it does not apply to an employee who
has previously been assisted by the railroad under a policy or program
substantially consistent with this section or who has previously elected
to waive investigation under 219.405 of this section (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.
49 CFR 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 219.101 and 219.102.
(b) Employment relationship. A co-worker report policy shall provide
that a covered employee may maintain an employment relationship with the
railroad following an alleged first offense under these rules or the
railroad's alcohol and drug rules, subject to the conditions and
procedures contained in this section.
(c) General conditions and procedures. (1) The alleged violation
must come to the attention of the railroad as a result of a report by a
co-worker that the employee was apparently unsafe to work with or was,
or appeared to be, in violation of this part or the railroad's alcohol
and drug rules.
(2) If the railroad representative determines that the employee is in
violation, the railroad may immediately remove the employee from service
in accordance with its existing policies and procedures.
(3) The employee must elect to waive investigation on the rule charge
and must contact the EAP Counselor within a reasonable period specified
by the policy.
(4) The EAP Counselor must schedule necessary interviews with the
employee and complete an evaluation within 10 calendar days of the date
on which the employee contacts the counselor 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 counselor.
(d) When treatment is required. If the EAP Counselor determines that
the employee is affected by psychological or chemical dependence on
alcohol or a drug or by another identifiable and treatable mental or
physical disorder involving the abuse of alcohol or drugs as a primary
manifestation, the following conditions and procedures shall apply:
(1) The railroad must, to the extent necessary for treatment and
rehabilitation, grant the employee a leave of absence from the railroad
for the period necessary to complete primary treatment and establish
control over the employee's alcohol or drug problem. The policy must
allow a leave of absence of not less than 45 days, if necessary for the
purpose of meeting initial treatment needs.
(2) The employee must agree to undertake and successfully complete a
course of treatment deemed acceptable by the EAP Counselor.
(3) The railroad must promptly return the employee to service, on
recommendation of the EAP Counselor, 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 EAP Counselor determines
that the employee is not affected by an identifiable and treatable
mental or physical disorder --
(1) The railroad shall return the employee to service within 5 days
after completion of the evaluation.
(2) During or following the out-of-service period, the railroad may
require the employee to participate in a 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 219.104 of this part) of an employee
who waives investigation and is determined to be ready to return to
service under this section.
49 CFR 219.407 Alternate policies.
(a) In lieu of a policy under 219.403 (voluntary referral) or
219.405 (co-worker report), or both, a railroad may adopt, publish and
implement, with respect to a particular class or craft of covered
employees, an alternate policy or policies having as their purpose the
prevention of alcohol or drug use in railroad operations, if such policy
or policies has the written concurrence of the recognized
representatives of such employees.
(b) The concurrence of recognized employee representatives in an
alternate policy may be evidenced by a collective bargaining agreement
or any other document describing the class or craft of employees to
which the alternate policy applies. The agreement or other document
must make express reference to this part and to the intention of the
railroad and employee representatives that the alternate policy shall
apply in lieu of the policy required by 219.403, 219.405, or both.
(c) The railroad shall file the agreement or other document described
in paragraph (b) with the Associate Administrator for Safety, FRA. If
the alternate policy is amended or revoked, the railroad shall file a
notice of such amendment or revocation at least 30 days prior to the
effective date of such action.
(d) This section does not excuse a railroad from adopting, publishing
and implementing the policies required by 219.403 and 219.405 with
respect to any group of covered employees not within the coverage of an
appropriate alternate policy.
49 CFR 219.407 Subpart F -- Pre-employment Drug Screens
49 CFR 219.501 Pre-employment drug screens.
(a) Each applicant who is given favorable consideration for a
position with a railroad that involves the performance of covered
service shall be tested for the presence of drugs prior to being
employed in covered service. This requirement shall apply to final
applicants for employment and to employees seeking to transfer for the
first time from non-covered service to duties involving covered service.
The test shall be accomplished through analysis of a urine sample.
Whenever feasible, the sample shall be obtained in connection with a
pre-employment medical examination.
(b) Prior to collection of the urine sample, the applicant shall be
notified that the sample will be tested for the presence of drugs. In
the case of an applicant who declines to be tested and withdraws the
application for employment, no record shall be maintained of the
declination.
(c) The conduct of urine drug testing under this subpart is governed
by subpart H of this part and (to the extent not inconsistent with this
part) part 40 of subtitle A of this title. As used in subpart H with
respect to a test required under this subpart, the term ''employee''
includes an applicant.
49 CFR 219.503 Notification; records.
The railroad shall provide for medical review of laboratory test
results and shall notify the applicant of the results of any test in the
same manner as provided for employees in subpart H. Records shall be
maintained confidentially and shall be retained in the same manner as
required under Subpart H 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.
49 CFR 219.505 Refusals; consequences of positive.
(a) An applicant who has refused to submit to pre-employment testing
under this section shall not be employed in covered service based upon
the application and examination with respect to which such refusal was
made. This section does not create any right on the part of the
applicant to have a subsequent application considered; nor does it
restrict the discretion of the railroad to entertain a subsequent
application for employment from the same person.
(b) An applicant who is using a controlled substance without medical
authorization shall not be employed in covered service. This section
shall not be construed to bar employment based on a subsequent
application if the applicant no longer uses a controlled substance
without medical authorization.
49 CFR 219.505 Subpart G -- Random Drug Testing Program
49 CFR 219.601 Railroad random testing programs.
(a) Submission. Each railroad shall submit for FRA approval a random
testing program meeting the requirements of this subpart. A Class I
railroad (including the National Railroad Passenger Corporation) or a
railroad providing commuter passenger service shall submit such a
program not later than October 2, 1989. A Class II railroad shall
submit such a program not later than April 2, 1990. A Class III
railroad (including a switching and terminal or other railroad not
otherwise classified) shall submit such a program not later than July 2,
1990. A railroad commencing operations after the pertinent date
specified in this paragraph shall submit such a program not later than
30 days prior to such commencement. The program shall be submitted to
the Associate Administrator for Safety, FRA, for review and approval by
the Administrator. If, after approval, a railroad desires to amend the
random testing program implemented under this subpart, the railroad
shall file with FRA a notice of such amendment at least 30 days prior to
the intended effective date of such action. A program responsive to the
requirements of this section or any amendment to the program shall not
be implemented prior to approval.
(b) Form of programs. Random testing programs submitted by or on
behalf of each railroad under this subpart shall meet the following
criteria, and the railroad and its managers, supervisors, officials and
other employees and agents shall conform to such criteria in
implementing the program:
(1) Selection of covered employees for testing shall be made by a
method employing objective, neutral criteria which ensure that every
covered employee has a substantially equal statistical chance of being
selected within a specified time frame. The method may not permit
subjective factors to play a role in selection, i.e., no employee may be
selected as the result of the exercise of discretion by the railroad.
The selection method shall be capable of verification with respect to
the randomness of the selection process, and any records necessary to
document random selection shall be retained for not less than 24 months
from the date upon which the particular samples were collected.
(2) The program shall select for testing a sufficient number of
employees so that, during the first 12 months --
(i) The random testing program is spread reasonably through the
12-month period;
(ii) The last test collection during the year is conducted at an
annualized rate of 50 percent; and
(iii) The total number of tests conducted during the 12 months is
equal to at least 25 percent of the number of covered employees.
During each subsequent 12-month period the program shall select for
testing a sufficient number of employees so that the number of tests
conducted will equal at least 50 percent of the number of covered
employees. Annualized percentage rates shall be determined by reference
to the total number of covered employees employed by the railroad at the
beginning of the particular twelve-month period or by an alternate
method specified in the plan approved by the Administrator.
(3) Railroad random testing programs shall ensure to the maximum
extent practicable that each employee shall perceive the possibility
that a random test may be required on any day the employee reports for
work.
(4) Notice of an employee's selection shall not be provided until the
duty tour in which testing is to be conducted, and then only so far in
advance as is reasonably necessary to ensure the employee's presence at
the time and place set for testing.
(5) The program shall include testing procedures and safeguards, and
procedures for action based on positive test results, consistent with
this part.
(6) An employee shall be subject to testing only while on duty. Only
employees who perform covered service for the railroad shall be subject
to testing under this part. In the case of employees who during some
duty tours perform covered service and during others do not, the
railroad program shall specify the extent to which, and the
circumstances under which they shall be subject to testing. To the
extent practical within the limitations of this part and in the context
of the railroad's operations, the railroad program shall provide that
employees shall be subject to the possibility of random testing on any
day they actually perform covered service.
(7) Each time an employee is selected for random testing the employee
will be informed that selection was made on a random basis. The program
shall provide that the employee will be permitted to retain a copy of a
writing to that effect (e.g., a drug testing custody and control form
with this information set forth).
(c) Approval. The Administrator will notify the railroad in writing
whether the program is approved as consistent with the criteria set
forth in this part. If the Administrator determines that the program
does not conform to those criteria, the Administrator will inform the
railroad of any matters preventing approval of the program, with
specific explanation as to necessary revisions. The railroad shall
resubmit its program with the required revisions within 30 days of such
notice. Failure to resubmit the program with the necessary revisions
will be considered a failure to implement a program under this subpart.
(d) Implementation. (1) No later than 45 days prior to commencement
of random testing, the railroad shall publish to each of its covered
employees, individually, a written notice that they will be subject to
random drug testing under this part. Such notice shall state the date
for commencement of the program, shall state that the selection of
employees for testing will be on a strictly random basis, shall describe
the consequences of a determination that the employee has violated
219.102 or any applicable railroad rule, and shall inform the employee
of the employee's rights under subpart E of this part. A copy of the
notice shall be provided to each new covered employee on or before the
employee's initial date of service. Since knowledge of Federal law is
presumed, nothing in this paragraph creates a defense to a violation of
219.102 of this part.
(2) Each Class I railroad (including the National Railroad Passenger
Corporation) and each railroad providing commuter passenger service
shall implement its approved random testing program not later than
January 16, 1990. Each Class II railroad shall implement its approved
random testing program not later than July 2, 1990. Each Class III
railroad (including a switching and terminal or other railroad not
otherwise classified) shall implement its approved random testing
program not later than November 1, 1990. In the case of a railroad
commencing operations after the pertinent date set forth in paragraph
(a) of this section for filing of a program, the railroad shall
implement its approved random testing program not later than the
expiration of 60 days from approval by the Administrator or by the
pertinent date set forth in this paragraph, whichever is later.
49 CFR 219.603 Participation in testing; refusals.
(a) Participation. A railroad shall, under the conditions specified
in this subpart and Subpart H, require a covered employee selected
through the random testing program to cooperate in urine testing to
determine compliance with 210.102, and the employee shall provide the
required sample and complete the required paperwork and certifications.
Compliance by the employee shall be excused only in the case of a
documented medical or family emergency.
(b) Refusals. (1) An employee who, upon being notified of the
requirement to provide a sample under this subpart, refuses to provide a
sample shall be withdrawn from covered service and shall be deemed
disqualified for a period of nine (9) months. The disqualification
required by this paragraph shall apply with respect to employment in
covered service by any railroad with notice of such refusal. 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.
(2) Upon being withdrawn from service under this section, the
employee shall be entitled to the same procedural protections as those
set out in 219.213(b) of this part with respect to refusal of
post-accident testing. The purpose of the hearing shall be to determine
whether the employee refused to provide a sample, having been notified
of the requirement to do so, and whether the employee can establish a
basis for being excused under the criteria stated by paragraph (a) of
this section.
(c) 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 219.104 of this part,
provided that return-to-service tests shall be conducted for both
alcohol and designated controlled substances; and the employee shall be
subject to follow-up drug tests as provided by that section.
49 CFR 219.605 Positive test results; procedures.
(a) Medical review. The result of a test required under this subpart
shall be deemed positive only after it has been properly confirmed as
required in subpart H of this part and reviewed by a Medical Review
Officer (MRO) as provided in subpart H to determine if it is evidence of
prohibited drug use under 219.102.
(b) Procedures for administrative handling by the railroad in the
event a sample provided under this subpart is reported as positive by
the MRO are set forth in 219.104 of this part.
49 CFR 219.605 Subpart H -- Procedures and Safeguards for Urine Drug Testing
49 CFR 219.701 Standards for urine drug testing.
(a) Urine drug testing required or authorized by subparts B, D, F,
and G of this part shall be conducted in the manner provided by this
subpart and (to the extent not inconsistent with this part) part 40 of
subtitle A of this title. Laboratories employed for these purposes must
be certified by the Department of Health and Human Services under that
Department's Mandatory Guidelines for Federal Workplace Drug Testing
Programs.
(b) Each railroad's contract with a laboratory conducting testing
subject to this subpart shall provide that the FRA and the railroad
shall have the right to unannounced inspection during normal business
hours through qualified personnel or designated contractors. Such
inspecton rights shall, at minimum, include reasonable accompanied
access to all records pertinent to testing under this part, quality
control data incident thereto, samples submitted under this part, and
equipment and personnel related to analysis of those samples.
(c) Each such contract shall also require that the laboratory comply
with all applicable provisions of this part and 49 CFR part 40,
including requirements for employee access to specified laboratory
records and any applicable conditions imposed upon approvals issued
under this subpart or 49 CFR part 40.
49 CFR 219.703 Collection.
(a) Urine samples shall be collected and handled as required in 49
CFR part 40 and this section.
(b) The collection site person (collector) shall meet the
requirements of 49 CFR part 40.
(c) A person with management or supervisory responsibility over the
employee to be tested, or a co-worker of the employee to be tested, may
not serve as a collector. For purposes of this paragraph, ''co-worker''
means a person with whom the person to be tested is assigned or could be
assigned in a crew or other working unit to perform normal
transportation duties on the railroad.
(d) If an employee fails to provide a urine specimen within a
reasonable time and is to be given a subsequent opportunity to provide a
specimen under the conditions described in 49 CFR 40.25, the subsequent
collection shall be conducted either --
(1) Immediately upon the expiration of the employee's required
off-duty period under the Hours of Service Act (45 U.S.C. 62-64b); or
(2) On an unannounced basis within the next 30 days.
49 CFR 219.705 Drugs tested.
(a) Urine samples shall be analyzed for the presence of controlled
substances designated in paragraph (b) of this section and may be
analyzed by procedures reasonably incident to analysis of the specimen
for controlled substances (e.g., determination of pH or tests for
specific gravity, creatinine concentration, or presence of adulterants).
(b) Each sample submitted shall be analyzed for marijuana, cocaine,
phencylidine (PCP), opiates (morphine and codeine), and amphetamines
(amphetamine and methamphetamine).
(c) As part of the reasonable cause testing program established by
subpart D of this part, a railroad may test for additional controlled
substances in addition to those specified in this section only with
approval granted by FRA and for substances for which the Department of
Health and Human Services has established an approved testing protocol
and positive threshold.
49 CFR 219.707 Review by MRO.
(a) Test results reported positive by the laboratory as provided in
49 CFR part 40 shall not be deemed positive or disseminated to any
person (other than to the employee tested in a medical interview, if
conducted) until they are reviewed by a Medical Review Officer (MRO) of
the railroad as required by 49 CFR part 40 and this section. For
purposes of this part, medical use of controlled substances by a covered
employee is a legitimate medical explanation for presence of a
controlled substance (i.e., a basis for declaring the result
''negative'') only to the extent such use was consistent with 219.103
of this part.
(b) The MRO shall complete review of test results within not more
than 10 regular working days of receipt of the laboratory report or they
shall be declared negative, unless any portion of the delay shall result
from the unwillingness or inability of the employee to appear for an
interview or provide documentation of prescription or other authorized
use of medications. If the employee is responsible for such delay, the
10-day period may be extended by a period equal to the period attributed
to the employee's delay. This paragraph shall not be read to bar
reporting of a positive result if the employee, without a reasonable
basis, fails to respond to an opportunity to provide supplementary
information.
(c) After the MRO has reviewed the pertinent information and the
laboratory assessment is verified as indicating presence of controlled
substances without medical authorization consistent with 219.103 of
this part (and the review required by paragraph (b) of this section is
completed), the MRO shall report the results to a designated railroad
officer for action in keeping with the requirements of this part (or
take appropriate action under the railroad's medical standards). The
employee shall be provided a copy of the approved test results, or such
results shall be dispatched by U.S. mail or other suitable means
providing prompt delivery, not later than 24 hours following any adverse
action.
(d) Test results reported as negative by the laboratory shall also be
communicated through the MRO. The MRO shall promptly transmit the
negative finding to the employee. If the MRO provides the railroad with
negative test results in a nonaggregated manner, all such negative test
results, including results involving medical use or administration of
controlled substances or insufficiency of laboratory data, shall be
transmitted to the designated railroad officer over the MRO's signature
in a manner that does not disclose medical use of drugs which is
permitted under 219.103 of this part.
49 CFR 219.709 Retest.
(a) Samples that yield positive results on confirmation shall be
retained by the laboratory in properly secured, long-term, frozen
storage for at least 365 days, as required by Part 40 of this title.
Within this 365-day period, the employee or his representative, the
railroad, or the FRA may request that the laboratory retain the sample
for an additional period. If, within the 365-day period, the laboratory
has not received a proper written request to retain the sample for a
further reasonable period specified in the request, the sample may be
discarded following the end of the 365-day period.
(b) In the case of a test declared positive by the MRO, the original
sample shall be retested if the employee makes a written request to the
Medical Review Officer for retesting within 60 days. The employee may
specify retesting by the original laboratory or by a second laboratory
that is certified by the Department of Health and Human Services as
described in 49 CFR part 40. The railroad may require the employee to
advance the cost of shipment (if any) and reanalysis of the sample, but
the employee shall be reimbursed for such expense if the retest is
negative.
(c) If the employee specifies retesting by a second laboratory, the
original laboratory shall follow approved chain-of-custody procedures in
transferring a portion of the sample.
(d) Any retest of a sample is subject to 49 CFR 40.29(i)
(quantitation for retest not subject to cutoff requirement due to
deterioration or loss of analytes).
49 CFR 219.711 Confidentiality of test results.
(a) A laboratory reporting results of tests conducted under this
subpart shall report those results only to the designated Medical Review
Officer of the railroad. The results shall not be disclosed by the
laboratory to any other person, except that the laboratory may affirm
the test result to the employee to whom the sample was identified. This
paragraph shall not be read to bar normal access to analytical data for
laboratory accreditation or certification processes.
(b) The MRO may not disclose medically approved drug use or
administration information obtained under this part (whether ascertained
through testing or reported by the employee or the employee's medical
practitioner at the employee's request) to non-medical railroad
personnel or any third party; however, nothing in this part bars use of
such information by the railroad's medical officer in the context of an
established medical qualifications program. This paragraph shall not be
construed to permit medical disqualification of an employee based upon a
laboratory report indicating presence of a controlled substance prior to
completion of the MRO review, nor to limit the discretion of the
railroad under 40.33(c) of this chapter.
(c) No record of tests conducted subject to this subpart or
information drawn therefrom shall be used or disseminated by the
railroad or within the railroad for any purpose other than providing for
compliance with this part (and railroad rules consistent herewith),
unless with the voluntary written consent of the employee. Such written
consent shall specify the person to whom the information may be
provided. Each railroad shall adopt and implement procedures to guard
this information against unauthorized disclosure both within and
external to the railroad company.
49 CFR 219.713 Reports; FRA access to records.
(a) Each railroad shall retain for at least 2 years from the date of
sample collection all records of each test conducted under this subpart
that is reported as positive by the Medical Review Officer, including
drug testing custody and control forms, laboratory reports, and
certification statements. Records of negative tests shall be retained
for at least 1 year.
(b) Each railroad shall maintain for at least 5 years summary records
of employee alcohol and drug test results conducted under this part
(including subpart C) and rehabilitation (including primary treatment,
aftercare, and follow-up alcohol/drug testing) for each covered
employee.
(c) Records required to be kept shall be made available to FRA as
provided by section 208 of the Federal Railroad Safety Act of 1970.
49 CFR 219.713 Pt. 219, App. A
(54 FR 53259, Dec. 27, 1989, as amended at 55 FR 22794, June 4, 1990)
49 CFR 219.713 Pt. 219, App. B
49 CFR 219.713 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:
CompuChem Laboratories (Attention: Special Division), 3308 Chapel
Hill/Nelson Highway, Research Triangle Park, North Carolina 27709.
Telephone: (919) 248-6888 (working hours); (919) 248-6487 (nights and
weekends).
(55 FR 22794, June 4, 1990)
49 CFR 219.713 Pt. 219, App. C
49 CFR 219.713 Appendix C to Part 219 -- Post-Accident Testing Sample
Collection
This appendix prescribes procedures for collection of samples for
mandatory post-accident testing pursuant to subpart C of this part.
Collection of blood and urine specimens is required to be conducted at
an independent medical facility.
This unit 2 provides detailed procedures for collecting post-accident
toxicological samples from surviving employees involved in train
accidents and train incidents, as required by 49 CFR part 219, subpart
C. Subpart C specifies qualifying events and employees required to be
tested.
All forms and supplies necessary for collection and transfer of blood
and urine specimens for five surviving employees can be found in the FRA
post-accident toxicology kit, which is made available to the collection
site by the railroad representative. Each kit contains supplies for
blood/urine collections from five individuals, including instructions
and necessary forms. The railroad is responsible for ensuring that kit
materials are fresh, complete and meet FRA requirements.
In the event of an accident/incident for which testing is required
under subpart C, the railroad representative shall, upon arrival at the
independent medical facility, promptly make available to the medical
facility representative a toxicology kit or kits and shall identify to
the medical facility representative the instructions contained in the
kit for conduct of the collection. (Each kit contains supplies to
collect samples from five employees.) The railroad representative shall
request the medical facility representative to review the instructions
provided (Exhibit C-1) and, through qualified medical personnel, to
provide for collection of the specimens according to the procedure set
out.
The railroad representative shall undertake the following additional
responsibilities --
Complete Form 6180.73 (revised) describing the testing event and
identifying the employees whose samples are to be deposited in the
toxicology kit.
As necessary to verify the identity of individual employees, affirm
the identity of each employee to the medical facility personnel.
To the extent consistent with the policy of the medical facility and
the privacy of the employee, follow the progress of the collection
procedure.
Warnings: The railroad representative shall not observe urination or
otherwise disturb the privacy of urine donation. The railroad
representative shall not handle sample containers.
An employee who is identified for post-accident toxicological testing
shall cooperate in testing as required by the railroad and personnel of
the independent medical facility. Such cooperation will normally
consist of the following, to be performed as requested:
Provide a blood sample, which a qualified medical professional or
technician will draw using a single-use sterile syringe. The employee
should be seated for this procedure.
Provide, in the privacy of an enclosure, a urine sample into a
single-use cup or the specimen bottle. The urine sample shall be
presented to the medical facility personnel.
Monitor the collection to ensure that the blood and urine samples are
properly identified and sealed before they leave your sight. Verify the
sample and seal by placing your initials on the seal.
Complete the employee portions of the Blood/Urine Custody and Control
Form (FRA Form 6180.74 (revised)) when requested.
If required by the medical facility, complete a separate consent form
for taking of the samples and their release to FRA for analysis under
the FRA rule.
Note: The employee may not be required to complete any form that
contains any waiver of rights the employee may have in the employment
relationship or that releases or holds harmless the medical facility
with respect to negligence in the collection.
Exhibit C-1 contains instructions for collection of samples for
post-accident toxicology from surviving employees. These instructions
shall be observed for each collection. Instructions shall be contained
in each collection kit and shall be provided to medical facility
personnel involved in the collection and/or packaging of specimens for
shipment.
This unit 3 provides procedures for collecting post-accident body
fluid/tissue samples from the remains of employees killed in train
accidents and train incidents, as required by 49 CFR part 219, subpart
C. Subpart C specifies qualifying events and employees required to be
tested.
In the event of a fatality for which testing is required under
Subpart C, the railroad shall promptly make available to the custodian
of the remains a copy of Exhibit C-2 to this appendix and a toxicology
kit. The railroad representative shall request the custodian to review
the instructions contained in Exhibit C-2 and, through qualified medical
personnel, to provide the specimens as indicated.
The railroad is responsible for arranging overnight transportation of
the sealed toxicology kit containing the specimens. When possible
without incurring delay, the kit should be delivered directly from the
medical personnel providing the specimens to an overnight express
service courier. If it becomes necessary for the railroad to transport
the kit from point of collection to point of shipment, then --
1. Individual specimen boxes and the large shipping kit shall be
sealed by the medical personnel providing the specimens before the kit
is turned over to the railroad representative;
2. The railroad shall limit the number of persons handling the kit to
the minimum necessary to provide for transportation;
3. If the kit 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 kit shall document chain
of custody of the kit and shall make available such documentation to FRA
on request.
Toxicological Testing
These instructions are for the use of personnel of medical facilities
conducting collection of blood and urine samples from surviving railroad
employees following railroad accidents and casualties that qualify for
mandatory alcohol/drug testing. The Federal Railroad Administration
appreciates the participation of medical facilities in this important
public safety program.
Railroad employees have consented to provision of samples 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.
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 sample has been labeled, sealed and
documented.
Please remember two critical rules for the collections:
All labeling and sealing must be done in the sight of the donor, with
the sample never having left the donor's presence until the sample has
been labeled, sealed and initialed by the donor.
Continuous custody and control of blood and urine samples must be
maintained and documented on the forms provided. In order to do this it
is important for the paperwork and the specimens to stay together.
To the extent practical, blood collection should take priority over
urine collection. To limit steps in the chain of custody, it is best if
a single medical professional or technician handles both collections
from a given employee.
You will use a single Post-Accident Testing Blood/Urine Custody and
Control Form (FRA Form 6108.74 (revised)), consisting of six Steps to
complete the collection for each employee. We will refer to it as the
Control Form.
The employee donor must provide photo identification to each
collector, or lacking this, be identified by the railroad
representative.
The donor should remove all unnecessary outergarments such as coats
or jackets, but may retain valuables, including wallet. Donors should
not be asked to disrobe, unless necessary for a separate physical
examination required by the attending physician.
Assemble the materials for collecting blood from each employee: two
10 ml grey-stoppered blood tubes, the Control Form and an indelible
marker.
Ask the donor to complete STEP 1 on the Control Form.
With the donor seated, draw two (2) 10 ml tubes of blood using
standard medical procedures (sterile, single-use syringe into evacuated
gray-top tubes provided). CAUTION: Do not use alcohol or an
alcohol-based swab to cleanse the venipuncture site.
Once both tubes are filled and the site of venipuncture is protected,
immediately --
Seal and label each tube by placing a numbered blood specimen label
from the label set on the Control Form over the top of the tube and
securing it down the sides.
Ask the donor to initial each label. Please check to see that the
initials match the employee name and note any discrepancy in the
''Remarks'' block of the Control Form.
As collector, sign and date each blood tube label at the place
provided.
Skip to STEP 5 and initiate chain of custody for the blood tubes by
filling out the first line of the block to show receipt of the blood
samples from the donor.
Complete STEP 2 on the form.
Return the blood tubes into the sponge liner of the individual
specimen kit. Keep the paperwork and specimens together. If another
medical facility representative will be collecting the urine sample from
this employee, transfer both the form and the individual box with blood
tubes to that person, showing the transfer of the blood tubes on the
second line of STEP 5 (the chain of custody block).
The urine collector should assemble at his/her station the materials
for collecting urine from each employee: one plastic collection cup
(with protective seal intact), one 100 ml polyethylene specimen bottle
(with protective seal intact), the Control Form, and an indelible
marker. Blood samples already collected must remain in the collector's
custody and control during this procedure.
After requiring the employee to wash his/her hands, the collector
should escort the employee directly to the urine collection area. To
the extent practical, all sources of water in the collection area should
be secured and a bluing agent (provided in the toxicology kit) placed in
any toilet bowl, tank, or other standing water.
The employee will be provided a private place in which to void.
Urination will not be directly observed. If the enclosure contains a
source of running water that cannot be secured or any material (soap,
etc.) that could be used to adulterate the specimen, the collector
should monitor the provision of the sample from outside the enclosure.
Any unusual behavior or appearance should be noted in the remarks
section of the Control Form or on the back of that form.
The collector should then proceed as follows:
Unwrap the collection cup in the employee's presence and hand it to
the employee (or allow the employee to unwrap it).
Ask the employee to void at least 60 ml into the collection cup (at
least to the line marked). Leave the private enclosure.
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.
Upon receipt of the specimen, proceed as follows:
In the full view of the employee, remove the wrapper from the urine
specimen bottle.
As you pour the specimen into the specimen bottle, please inspect for
any unusual signs indicating possible adulteration or dilution.
Carefully secure the top. Note any unusual signs under ''remarks'' at
STEP 3 of the Control Form.
Within 4 minutes after the void, measure the temperature of the urine
by reading the strip on the bottle. Mark the result at STEP 3 of the
Control Form.
Before removing the urine bottle custody seal (attached to the back
of the Control Form), ask the employee to enter their Social Security
Number or employee identification number on the Control Form (top left,
above 'Step 1') and on the urine bottle custody seal. Also have the
employee verify that the pre-printed sample set identification number on
the seal matches what appears at the top right of the Control Form.
Remove the numbered urine specimen label from the Control Form, place
it over the top of the bottle, and secure it to the sides.
Ask the donor to initial the label. Please check to see that the
initials match the employee name and note any discrepancy in the
''Remarks'' block of STEP 3.
As collector, sign and date the urine label.
Skip to STEP 5 and initiate chain-of-custody by showing receipt of
the urine sample 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 specimen'' under purpose, ''Donor''
under ''released by,'' check under ''urine'' and place your name,
signature and date in the space provided.)
Complete the remainder of STEP 3 on the Control Form.
Have the employee complete STEP 4 on the Control Form.
Place the filled urine bottle in the foam liner of the individual
employee box. Keep the paperwork and specimens together. If another
medical facility representative will be collecting the blood sample from
this employee, transfer both the form and the box to that person,
showing the transfer of the urine specimen on the next available line of
STEP 5 (the chain of custody block).
The blood and urine specimens have now been collected for this
employee. The blood/urine specimens will now be sealed into the
individual employee box, while all paperwork will be retained for
further completion. After rechecking to see that each specimen is
properly labeled and initialled, close the plastic bag to contain any
leakage in transportation, and apply the box security seal to the small
individual box. As collector, sign and date the box seal.
Before collecting samples from the next employee, complete the next
line on the chain-of-custody block showing release of the blood and
urine by yourself for the purpose of ''Shipment'' and receipt by the
courier service or railroad representative that will provide
transportation of the toxicology kit, together with the date.
Complete STEP 6 of the Control Form.
Sealed individual employee boxes should be retained in secure storage
if there will be a delay in preparation of the shipping kit. The
shipping kit shall be prepared and sealed by a medical facility
representative as follows:
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.
Place sealed individual employee boxes in shipping kit. Place all
forms in zip-lock bag and seal securely. Place bag with forms and
unused supplies in kit, but keep the marker, green tape, and label
instruction.
Close kit around the closure with green tape provided.
Affix label instruction provided to outside of kit.
The railroad must arrange to have the kit 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 medical facility collector should deliver the kit directly
into the hands of the express courier or air freight representative.
Where courier pickup is not immediately available at the medical
facility where the samples are taken, the railroad is required to
transport the shipping kit for expeditious shipment by air express, air
freight or equivalent means.
If railroad is given custody of kit to arrange shipment, please
record name of railroad official taking custody on the copy of the Form
6180.73 (revised) (''Accident Information'') retained by the collection
site.
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
samples should be forwarded and all other procedures followed. Please
note in area provided for remarks what explanation was provided by the
employee.
2. PROBLEM: The employee cannot provide approximately 60 ml. of
specimen.
ACTION: The employee would remain at the medical 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 should be sealed and securely stored with
the blood tubes and Control Form pending shipment and a second bottle
should be used for the subsequent void (using a second Control Form with
the words ''SECOND VOID -- FIRST SAMPLE INSUFFICIENT'' in the remarks
block and labels from that form).
3. PROBLEM: The urine temperature is outside the normal range of
32.5 -37.7 C / 90.5 ^99.8 F, and is suitable medical explanation
cannot be provided by an oral temperature or other means; or
4. PROBLEM: The collector observes conduct clearly and unequivocally
indicating an attempt to substitute or adulterate the sample (e.g.,
substitute urine in plan view, blue dye in speciment presented, etc.)
and a collection site supervisor or the railroad representative agrees
that the circumstances indicate an attempt to tamper with the sample.
ACTION: Document the problem on the Control Form. If the collection
site supervisor or railroad representative concur that the temperature
of the specimen, or other clear and unequivocal evidence, indicates a
possible attempt to substitute or alter the specimen, another void
should be taken under direct observation by a collector of the same
gender.
If a collector of the same sex is not available, do NOT proceed with
this step.
If a collector of the same gender is available, proceed as follows:
A new Control Form must be initiated for the second void. The original
suspect specimen should be marked ''Void 1'' with the indelible marker
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.
Accident-Incident
TO THE MEDICAL EXAMINER, CORONER, OR PATHOLOGIST:
In compliance with Federal safety regulations (49 CFR part 219), a
railroad representative has requested that you obtain samples for
toxicology from the remains of a railroad employee who was killed in a
railroad accident or incident. The deceased consented to the talking of
such samples, as a matter of Federal law, by performing service on the
railroad (49 CFR 219.11(f)).
Your assistance is requested in carrying out this program of testing,
which is important to the protection of the public safety and the safety
of those who work on the railroads.
The railroad will provide you a shipping kit that contains necessary
supplies, including a pen that will write directly on all surfaces. If
the kit is not immediately available, please proceed using supplies
available to you that are suitable for forensic toxicology.
(1) Blood -- 20 milliliters or more. Preferred sites: intact
femoral vein or artery or peripheral vessels (up to 10 ml, as available)
and intact heart (20 ml). Deposit blood in gray-stopper tubes
individually by site and shake to mix 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 sample on
label of tube.
(2) Urine -- as much as 100 milliliters, if available. Deposit into
plastic bottle provided.
(3) Vitreous fluid -- all available, deposited into smallest
available tube (e.g., 3 ml) with 1 percent sodium fluoride, or
gray-stopper tube (provided). Shake to mix specimen and preservative.
(4) If available at autopsy, organs -- 50 to 100 grams each of two or
more of the following in order preference, as available: liver, bile,
brain, kidney, spleen, and/or lung. Specimens should be individually
deposited into zip-lock bags or other clean, single use containers
suitable for forensic toxicology specimens.
(5) If vitreous or urine is not available, please provide --
a. Spinal fluid -- all available, in 8 ml container (if available)
with sodium fluoride or in gray-stopper tube; or, if spinal fluid
cannot be obtained,
b. Gastric content -- up to 10 milliliters, as available, into
plastic bottle.
Sampling at time of autopsy is preferred so that percutaneous needle
puncturing is not necessary. However, if autopsy will not be conducted
or is delayed, please proceed with sampling. Blood samples should be
taken by sterile syringe and deposited directly into evacuated tube, if
possible, to avoid contamination of sample or dissipation of volatiles
(ethyl alcohol).
Note. -- If only cavity fluid is available, please open cavity to
collect sample. Note condition of cavity.
Please use smallest tubes available to accommodate available quantity
of fluid sample (with 1 percent sodium fluoride).
As each sample is collected, seal each blood tube and the urine
container using the identifier label from the set provided with the Post
Accident Testing Blood/Urine Custody and Control Form (FRA Form 6180.74
(revised)). Make sure the unique identification number on the label
matches the pre-printed number on the Control Form. Please label other
specimens with name and sample set identification number. Secure with
tamperproof seal.
Annotate each label with sample description and source (as
appropriate) (e.g., blood, femoral vein).
Please provide copy of any written documentation regarding condition
of body and/or toxicology sampling procedure that is available at the
time samples are shipped.
If samples cannot be shipped immediately as provided below, samples
other than blood may be immediately frozen. Blood samples should be
refrigerated, but not frozen.
All samples and documentation should be secured from unauthorized
access pending delivery for transportation.
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 kit for shipment, please use the
blocks provided in STEP 5 to document transfer of custody.
The railroad representative will provide FRA Form 6180.73 (revised).
Both forms should be placed in the shipping kit when completed; but
you may retain the designated medical facility copy of each form for
your records.
Place urine bottle and blood tubes in sponge liner of individual box,
close plastic bag locking feature and apply individual box seal
provided. Use additional box for each tissue sample, being careful to
identify specimen by tissue and name of deceased. Apply box security
seals to individual boxes and sign/initial across seal.
Place all forms in zip-lock bag and seal securely. Place bag in kit.
Seal kit with green tape provided and sign and date across seal with
indelible marker provided.
Affix label instruction provided to outside of kit.
If shipping by Federal Express, place strap inside the kit. Secure
the top of the shipping kit with green vinyl tape provided.
Otherwise, secure strap around lid after taping.
The railroad should arrange to have the kit shipped overnight air
express or (if express service is unavailable) by air freight, prepaid,
to FRA's designated laboratory. When possible without incurring delay,
deliver the kit directly into the hands of the express courier or air
freight representative.
Where courier pickup is not immediately available at the medical
facility where the samples are taken, the railroad is required to
transport the shipping kit to the nearest point of shipment via air
express, air freight or equivalent means.
If railroad is given custody of kit to arrange shipment, please
record name of railroad official taking custody.
FRA requests that the person taking the samples advise if additional
toxicological analysis will be undertaken with respect to the fatality.
FRA toxicology reports are available to the coroner or medical examiner
on request.
(54 FR 53259, Dec. 27, 1989, as amended at 55 FR 22794, June 4, 1990)
49 CFR 219.713 PART 220 -- RADIO STANDARDS AND PROCEDURES
49 CFR 219.713 Subpart A -- General
Sec.
220.1 Scope.
220.3 Application.
220.5 Definitions.
220.7 Penalty.
49 CFR 219.713 Subpart B -- Radio Procedures
220.21 Railroad operating rules; radio communications.
220.23 Publication of radio information.
220.25 Instruction of employees.
220.27 Identification.
220.29 Statement of letters and numbers.
220.31 Initiating a transmission.
220.33 Receiving a transmission.
220.35 Ending a transmission.
220.37 Voice test.
220.39 Continuous monitoring.
220.41 Notification on failure of train radio.
220.43 Communication consistent with rules.
220.45 Communication must be complete.
220.47 Emergencies.
220.49 Switching, backing or pushing.
220.51 Signal indications.
49 CFR 219.713 Subpart C -- Train Orders
220.61 Transmission of train orders by radio.
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: 45 U.S.C. 431 and 438, as amended; Pub. L. 100-342; and
49 CFR 1.49(m).
Source: 42 FR 5065, Jan. 27, 1977, unless otherwise noted.
49 CFR 219.713 Subpart A -- General
49 CFR 220.1 Scope.
This part prescribes minimum requirements governing the use of radio
communications in connection with railroad operations. The term ''radio
communications'' refers to the transmission and reception of voice
communications by radio. So long as these minimum requirements are met,
railroads may adopt additional or more stringent requirements.
49 CFR 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.
(42 FR 5065, Jan. 27, 1977, as amended at 53 FR 28600, July 28, 1988)
49 CFR 220.5 Definitions.
As used in this part, the term:
(a) Employee means any person who is authorized by a railroad to use
its radio facilities in connection with railroad operations.
(b) Railroad operation means any movement of a train, engine,
on-track equipment, or track motor car, single or in combination with
other equipment, on the track of a railroad.
(c) Train Order means any mandatory directive issued as authority for
the conduct of a railroad operation which is transmitted by radio.
49 CFR 220.7 Penalty.
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. 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)
49 CFR 220.7 Subpart B -- Radio Procedures
49 CFR 220.21 Railroad operating rules; radio communications.
(a) After August 1, 1977, the operating rules of each railroad with
respect to radio communications shall conform with the requirements of
this part.
(b) Before November 1, 1977 or 30 days before it commences to use
radio communications in connection with railroad operations, whichever
is later, each railroad shall file with the Federal Railroad
Administrator, Washington, D.C. 20590, one copy of its operating rules
with respect to radio communications. Each amendment to these rules
shall be filed with the Federal Railroad Administrator within 30 days
after it is issued.
49 CFR 220.23 Publication of radio information.
Each railroad shall designate its territory where radio base stations
are installed, where wayside stations may be contacted, and designate
appropriate radio channels by publishing them in a timetable or special
instruction. The publication shall indicate the periods during which
base and wayside radio stations are attended or in operation.
49 CFR 220.25 Instruction of employees.
Each employee who is authorized 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 217.11 of this chapter.
49 CFR 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;
(2) Name of office or other unique designation of the station; and
(3) Location of the station.
(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 the 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) The word ''engine'', ''caboose'', ''motorcar'', ''pakset'' or
other word which indicates to the listener the precise mobile
transmitting station, unless identical to the requirement of paragraph
(b)(2) of this section.
(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 acknowledgement consistent with applicable Federal
Communications Commission regulations governing ''Station
Identification''.
49 CFR 220.29 Statement of letters and numbers.
(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 precision or clarity shall
first be pronounced, and the word shall then be 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 word ''decimal''. (See appendix B to this part, for a
recommended guide to the pronunication of numbers.)
49 CFR 220.31 Initiating a transmission.
Before transmitting by radio, an employee shall:
(a) Listen to insure that the channel on which he intends to transmit
is not already in use;
(b) Identify his station in accordance with the requirements of
220.27; and
(c) Verify that he has made radio contact with the person or station
with whom he intends to communicate by listening for an acknowledgement.
If the sation acknowledging his transmission fails to identify itself
properly, the employee shall require a proper identification before
proceeding with the transmission.
49 CFR 220.33 Receiving a transmission.
(a) Upon receiving a radio call from another station, an employee
shall promptly acknowledge the call, identifying his station in
accordance with the requirements of 220.27 and stand by to receive. An
employee need not attend the radio, however, if this would interfere
with other immediate duties relating to the safety of railroad
operations.
(b) An employee shall acknowledge receipt of all transmissions
directed to him or his station.
(c) An employee who receives a tansmission 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.
49 CFR 220.35 Ending a transmission.
(a) 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) At the close of each transmission to which no response is
expected, the transmitting employee shall state his identification
followed by the word ''out'' to indicate to the receiving employee that
the exchange of transmissions is complete.
49 CFR 220.37 Voice test.
(a) Each radio which is used in connection with a railroad operation
outside yard limits shall be tested at the point where the train is
originally made up. At least once during each tour of duty, the
engineer and conductor shall be responsible for the testing of the radio
to verify that the radio is operating properly on the engine and
caboose. The tests shall consist of an exchange of voice transmissions
with another station. The other station shall advise the station
conducting the test of the quality and readability of its transmission.
(b) Any radio found not to be functioning properly shall be removed
from service until it has been repaired.
(c) When a radio is removed from service, each crew member of the
train and the train dispatcher or other employee designated by the
railroad shall be so notified.
49 CFR 220.39 Continuous monitoring.
Engine and caboose radios must be turned on to the appropriate
channel as designated in 220.23 with the volume adjusted to receive
communications while the engine or caboose is manned.
49 CFR 220.41 Notification on failure of train radio.
The failure of an engine or caboose radio en route shall be reported
as soon as practicable to the train dispatcher or other employee
designated by the railroad by any alternate means of communication
available.
49 CFR 220.43 Communication consistent with rules.
Radio communication may not be used in connection with a railroad
operation in a manner which conflicts with the requirements of this part
220, Federal Communication Commission regulations or the railroad's
operating rules. The use of citizen band radios for railroad operating
purposes is prohibited.
49 CFR 220.45 Communication must be complete.
Any radio communication which is not fully understood or completed in
accordance with the requirements of part 220 and the operating rules of
the railroad, shall not be acted upon and shall be treated as though not
sent.
49 CFR 220.47 Emergencies.
(a) An emergency 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 transmission.
(b) Emergency transmissions shall be used to report 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. Emergency
transmissions shall describe as completely as possible the nature,
degree and location of the hazard.
49 CFR 220.49 Switching, backing or pushing.
When radio communication is used in lieu of hand signals in
connection with the switching, backing or pushing of a train, engine, or
car, the employee directing the movement shall give complete
instructions or keep in continuous radio contact with the employees
receiving the instructions. When backing or pushing a train, engine or
cars, the distance of the movement must be specified, and the movement
must stop in one-half the remaining distance unless additional
instructions are received. If the instructions are not understood or
continuous radio contact is not maintained, 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.
49 CFR 220.51 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,
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 may not be used to convey instructions which would have
the effect of overriding the indication of a fixed signal in automatic
block territory.
49 CFR 220.51 Subpart C -- Train Orders
49 CFR 220.61 Transmission of train orders by radio.
(a) Train orders may be transmitted by radio only when authorized by
railroad's operating rules and must be transmitted in accordance with
the railroad's operating rules and the requirements of this part 220.
(b) The procedures for transmission of train orders by radio are as
follows:
(1) The dispatcher or operator shall call the addresses of the train
order and state his intention to transmit the train order.
(2) Before the train order is transmitted, the employee to receive
and copy the train order shall state his name, identification or call
sign, location, and that he is prepared to receive a train order. Train
orders may not be received and copied by an employee operating the
controls on an engine of a moving train. Train orders may not be
transmitted to the crew of a moving train when, in the judgment of
either the conductor, the engineer, or the train dispatcher, the train
order cannot be received and copied without impairing the safe operation
of their Train.
(3) Train orders shall be copied in writing by the receiving employee
in the format prescribed in the railroad's operating rules.
(4) After the train order has been received and copied, it shall be
immediately repeated in its entirety. After verifying the accuracy of
the repeated train order, the dispatcher shall then state ''complete'',
the time, and the initials of the employee designated by the railroad.
Employees copying train orders must then acknowledge by repeating
''complete'' and the time.
(5) Before a train order is acted upon, both the conductor and
engineer must have a written copy of the train order and make certain
that the train order is read and understood by other members of the
crew.
(6) A train order which has not been completed or which does not
comply with the requirements of the railroad's operating rules, may not
be acted upon and must be treated as though not sent. Information
contained in a train order may not be acted upon by persons other than
those to whom the train order is addressed.
(42 FR 5065, Jan. 27, 1977, as amended at 42 FR 12176, Mar. 3, 1977)
49 CFR 220.61 Pt. 220, App. A
49 CFR 220.61 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''.
49 CFR 220.61 Pt. 220, App. B
49 CFR 220.61 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:
(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:
49 CFR 220.61 Pt. 220, App. C
(53 FR 52930, Dec. 29, 1988)
49 CFR 220.61 -- PART 221 -- REAR END MARKING DEVICE -- PASSENGER, COMMUTER AND FREIGHT TRAINS
49 CFR 220.61 -- Subpart A -- General
Sec.
221.1 Scope
221.3 Application.
221.5 Definitions.
221.7 Civil penalty
221.9 Waivers.
221.11 State regulation.
49 CFR 220.61 -- 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: 45 U.S.C. 431 and 438, as amended; Pub. L. 100-342; and
49 CFR 1.49(m).
Source: 42 FR 2321, Jan. 11, 1977, unless otherwise noted.
49 CFR 220.61 -- Subpart A -- General
49 CFR 221.1 Scope.
This part prescribes minimum requirements governing highly visible
marking devices for the trailing end of the rear car of all passenger,
commuter and freight trains. So long as these minimum requirements are
met, railroads may adopt additional or more stringent requirements for
rear end marking devices.
49 CFR 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)
49 CFR 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:
(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)
49 CFR 221.7 Civil penalty.
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. 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)
49 CFR 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.
49 CFR 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.
49 CFR 221.11 Subpart B -- Marking Devices
49 CFR 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)
49 CFR 221.14 Marking devices.
(a) As prescribed in 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 221.13 (b) and (c).
(c) When a locomotive is operated singly, or at the rear of a train,
highly visible marking devices may be provided by the use of:
(1) At least one marking device that complies with paragraph (a) of
this section; or
(2) At least one illuminated red or amber classification light on the
rear of the locomotive, provided it complies with paragraph (a) of this
section; or
(3) The rear headlight of the locomotive illuminated on low beam.
(51 FR 25185, July 10, 1986)
49 CFR 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)
49 CFR 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)
49 CFR 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.
49 CFR 221.17 Pt. 221, App. A
49 CFR 221.17 Appendix A to Part 221 -- Procedures for Approval of Rear
End Marking Devices
As provided in 221.15 of this part, marking devices must be approved
by the Administrator, Approval shall be issued in accordance with the
following procedures:
(a) Each submission for approval of a marking device consisting of
lighted elements only shall contain the following information:
(1) A detailed description of the device including the type,
luminance description, size of lens, manufacturer and catalog number,
lamp manufacturer, lamp type and model number, and any auxiliary optics
used.
(2) A certification, signed by the chief operating officer of the
railroad, that --
(i) The device described in the submission has been tested in
accordance with the current ''Guidelines for Testing of FRA Rear End
Marking Devices,'' copies of which may be obtained from the Office of
Safety, Federal Railroad Administration, 2100 Second Street SW.,
Washington, DC 20590;
(ii) The results of the tests performed under paragraph (i) of this
subsection demonstrate marking device performance in compliance with the
standard perscribed in 49 CFR 221.15;
(iii) Detailed test records, including as a minimum the name and
address of the testing organizations, the name of the individual in
charge of the tests, a narrative description of the test procedures, the
number of samples tested, and for each sample tested, the on-axis beam
candela, the beam candela at the 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 litht source including
the intensity throughout its angle of coverage, and the manufacturer and
catalogue number;
(iii) A detailed description of the proposed test procedure to be
used to demonstrate marking device compliance with the standard
prescribed in 49 CFR 221.15, including any detailed mathematical data
reflecting expected performance.
(2) FRA will review the data submitted under subsection (1) of this
section, and in those instances in which compliance with 49 CFR 221.15
appears possible from a theoretical analysis, the FRA will authorize and
may take part in testing to demonstrate such compliance.
(3) Where authorized testing has demonstrated compliance with 49 CFR
221.15, a railroad shall submit a certification, signed by the chief
operating officer of the railroad, that --
(i) The device described in the original submission has been tested
in accordance with the procedures described therein;
(ii) The results of the tests peformed under paragraph (i) of this
subsection demonstrate marking device performance in compliance with the
standard prescribed in 49 CFR 221.15;
(iii) Detailed test records, including as a minimum the name and
address of the testing organization, the name of the individual in
charge of the tests, a narrative description of the test procedure, a
description of the external light source used, the number of samples
tested, and for each sample tested, 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
in triplicate with the Office of Standards and Procedures, Office of
Safety, Federal Railroad Administration, 2100 Second Street SW.,
Washington, DC 20590.
(42 FR 62004, Dec. 8, 1977)
49 CFR 221.17 Pt. 221, App. B
49 CFR 221.17 Appendix B to Part 221 -- Approved Rear End Marking
Devices
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.
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).
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)
1Note: Yankee Metal Products Corp. previously produced these
devices.
49 CFR 221.17 Pt. 221, App. C
(53 FR 52930, Dec. 29, 1988)
49 CFR 221.17 -- PART 223 -- SAFETY GLAZING STANDARDS -- LOCOMOTIVES, PASSENGER CARS AND CABOOSES
49 CFR 221.17 -- Subpart A -- General
Sec.
223.1 Scope.
223.3 Application.
223.5 Definitions.
223.7 Responsibility.
49 CFR 221.17 -- Subpart B -- Specific Requirements
223.9 Requirements for new or rebuilt equipment.
223.11 Requirements for existing locomotives.
223.13 Requirements for existing cabooses.
223.15 Requirements for existing passenger cars.
223.17 Identification of equipped locomotives, passenger cars and
cabooses.
Appendix A to Part 223 -- Certification of Glazing Materials
Appendix B to Part 223 -- Schedule of Civil Penalties
Authority: 45 U.S.C. 431 and 438, as amended; Pub. L. 100-342; and
49 CFR 1.49(m).
49 CFR 221.17 -- Subpart A -- General
49 CFR 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)
49 CFR 223.3 Application.
(a) This part applies to railroads that operate rolling equipment on
standard gauge track that is a part of the general railroad system of
transportation.
(b) This part does not apply to --
(1) Locomotives, cabooses, and passenger cars that operate only on
track inside an installation that is not part of the general railroad
system of transportation;
(2) Rapid transit operations in an urban area that are not connected
with the general railroad system of transportation.
(3) Locomotives, passenger cars and cabooses that are historical or
antiquated equipment and are used only for excursion, educational,
recreational purposes or private transportation purposes.
(4) Locomotives that are used exclusively in designated service as
defined in 223.5(m).
(44 FR 77352, Dec. 31, 1979, as amended at 53 FR 28600, July 28,
1988)
49 CFR 223.5 Definitions.
As used in this part --
(a) Locomotive means a self-propelled unit of equipment designed
primarily for moving other equipment. It does not include
self-propelled passenger cars.
(b) Caboose means a car in a freight train intended to provide
transportation for crew members.
(c) Passenger car means a unit of rolling equipment intended to
provide transportation for members of the general public and includes
self-propelled cars designed to carry baggage, mail, express and
passengers.
(d) 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.
(e) Yard locomotive means a locomotive that is operated only to
perform switching functions within a single yard area.
(f) Yard caboose means a caboose that is used exclusively in a single
yard area.
(g) Rebuilt locomotive, caboose or passenger car means a locomotive,
caboose or passenger car that has undergone overhaul which has been
identified by the railroad as a capital expense under Interstate
Commerce Commission accounting standards.
(h) 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.
(i) End facing glazing location means any location where a line
perpendicular to the plane of the glazing material makes a horizontal
angle of 50 degrees or less with the centerline of the locomotive,
caboose or passenger car. Any location which, due to curvature of the
glazing material, can meet the criteria for either a front facing
location or a side facing location shall be considered a front facing
location.
(j) Side facing glazing location means any location where a line
perpendicular to the plane of the glazing material makes an angle of
more than 50 degrees with the centerline of the locomotive, caboose or
passenger car.
(k) 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.
(l) Emergency opening window means that segment of a side facing
glazing location which has been designed to permit rapid and easy
removal during a crisis situation.
(m) 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''.
(n) Locomotive cab means that portion of the superstructure designed
to be occupied by the crew while operating the locomotive.
(44 FR 77352, Dec. 31, 1979; 45 FR 49271, July 24, 1980)
49 CFR 223.7 Responsibility.
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. 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)
49 CFR 223.7 Subpart B -- Specific Requirements
49 CFR 223.9 Requirements for new or rebuilt equipment.
(a) Locomotives, including yard locomotives, built or rebuilt after
June 30, 1980, must be equipped with certified glazing in all locomotive
cab windows.
(b) Cabooses, including yard cabooses, built or rebuilt after June
30, 1980, must be equipped with certified glazing in all windows.
(c) Passenger cars, including self-propelled passenger cars, built or
rebuilt after June 30, 1980, must be equipped with certified glazing in
all windows and at least four emergency opening windows.
(44 FR 77352, Dec. 31, 1979, as amended at 45 FR 49271, July 24,
1980)
49 CFR 223.11 Requirements for existing locomotives.
(a) Locomotives, other than yard locomotives, built or rebuilt prior
to July 1, 1980, which are equipped in the forward and rearward end
facing glazing locations of the locomotive cab windshield with a glazing
material that meets the criteria for either portion of the impact
testing required for a Type I test under the provisions of appendix A of
this part, will not require the installation of certified glazing in the
windshield location except to replace windshield glazing material that
is broken or damaged.
(b) Locomotives, other than yard locomotives, built or rebuilt prior
to July 1, 1980, which are equipped in all locomotive cab side facing
glazing locations with a glazing material that meets the criteria for
either portion of the impact testing required for a Type II test under
the provisions of appendix A of this part, will not require the
installation of certified glazing in the sidefacing glazing location
except to replace sidefacing glazing material that is broken or damaged.
(c) Except for yard locomotives and locomotives equipped as described
in paragraphs (a) and (b), of this section, locomotives built or rebuilt
prior to July 1, 1980, shall be equipped with certified glazing in all
locomotive cab windows after June 30, 1984.
(d) Each locomotive subject to the provisions of paragraph (c) of
this section which, as a result of an act of vandalism has a locomotive
cab window that is broken or damaged so that the window fails to permit
good visibility --
(1) Shall be placed in Designated Service within 48 hours of the time
of breakage or damage or
(2) Shall be removed from service until equipped with certified
glazing in the following manner:
(i) If the broken or damaged window is a part of the windshield of
the locomotive cab, all of the forward and rearward end facing glazing
locations of the locomotive cab must be replaced with certified glazing.
(ii) If the broken or damaged window is a part of the sidefacing
window of the locomotive cab, all of the sidefacing glazing locations of
the locomotive cab must be replaced with certified glazing.
(Sec. 209 of the Federal Railroad Safety Act, 94 Stat. 957 (45 U.S.C.
438); sec. 1.49(m) of the regulations of the Office of the Secretary of
Transportation, 49 CFR 1.49(m))
(45 FR 49271, July 24, 1980, as amended at 48 FR 24083, May 31, 1983;
48 FR 56956, Dec. 27, 1983)
49 CFR 223.13 Requirements for existing cabooses.
(a) Cabooses, other than yard cabooses, built or rebuilt prior to
July 1, 1980, which are equipped in the forward and rearward end facing
glazing locations of the windshield with a glazing material that meets
the criteria for either portion of the impact testing required for a
Type I test under the provisions of appendix A of this part, will not
require the installation of certified glazing in the windshield location
except to replace windshield glazing material that is broken or damaged.
(b) Cabooses, other than yard cabooses, built or rebuilt prior to
July 1, 1980, which are equipped in all side facing glazing locations
with a glazing material that meets the criteria for either portion of
the impact testing required for a Type II test under the provisions of
appendix A of this part, will not require the installation of certified
glazing in the sidefacing glazing locations except to replace sidefacing
glazing material that is broken or damaged.
(c) Except for yard cabooses and cabooses equipped as described in
paragraphs (a) and (b), cabooses built or rebuilt prior to July 1, 1980,
shall be equipped with certified glazing in all windows after June 30,
1984.
(d) Each caboose subject to the provision of paragraph (c) of this
section, which, as a result of an act of vandalism, has a window that is
broken or damaged so that the window fails to permit good visibility
shall be equipped with certified glazing in the following manner:
(1) If the broken window is a part of the windshield, all of the
forward and rearward end facing glazing locations must be replaced with
certified glazing within 30 days of the date of breakage or damage.
(2) If the broken window is a part of the sidefacing window, all of
the sidefacing glazing locations must be replaced with certified glazing
within 30 days of the date of breakage.
(Sec. 209 of the Federal Railroad Safety Act, 94 Stat. 957 (45 U.S.C.
438); sec. 1.49(m) of the regulations of the Office of the Secretary of
Transportation, 49 CFR 1.49(m))
(44 FR 77352, Dec. 31, 1979, as amended at 48 FR 24083, May 31, 1983;
48 FR 56956, Dec. 27, 1983)
49 CFR 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
replace sidefacing glazing material that is broken or damaged.
(c) Except for passenger cars described in paragraphs (a) and (b),
passenger cars built or rebuilt prior to July 1, 1980, shall be equipped
with certified glazing in all windows and a minimum of four emergency
windows after June 30, 1984.
(d) Each passenger car subject to the provisions of paragraph (c) of
this section which as a result of an act of vandalism, has a window that
is broken or damaged so that the window fails to permit good visibility
shall be equipped with certified glazing in the following manner:
(1) When the broken window is a part of the windshield, all of the
forward and rearward end facing glazing locations shall be replaced with
certified glazing within 30 days of breakage.
(2) When the broken window is a part of the sidefacing window, the
glazing in that individual sidefacing glazing location shall be replaced
with certified glazing within 30 days of the date of breakage.
(Sec. 209 of the Federal Railroad Safety Act, 94 Stat. 957 (45 U.S.C.
438); sec. 1.49(m) of the regulations of the Office of the Secretary of
Transportation, 49 CFR 1.49(m))
(44 FR 77352, Dec. 31, 1979, as amended at 48 FR 24083, May 31, 1983;
48 FR 56956, Dec. 27, 1983)
49 CFR 223.17 Identification of equipped locomotives, passenger cars
and cabooses.
Each locomotive, passenger car and caboose that is fully equipped
with glazing materials that meet the requirements of this part shall be
stencilled on an interior wall as follows:
''Fully Equipped FRA Part 223 glazing'' or similar words conveying
that meaning in letters at least 3/8 inch high.
(45 FR 49271, July 24, 1980)
49 CFR 223.17 Pt. 223, App. A
49 CFR 223.17 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.
(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.
49 CFR 223.17 Pt. 223, App. B
(53 FR 52930, Dec. 29, 1988)
49 CFR 223.17 -- PART 225 -- RAILROAD ACCIDENTS/INCIDENTS: REPORTS
CLASSIFICATION, AND INVESTIGATIONS
Sec.
225.1 Purpose.
225.3 Applicability.
225.5 Definitions.
225.7 Public examination and use of reports.
225.9 Telephonic reports of certain accidents/incidents.
225.11 Reporting of accidents/incidents.
225.12 Rail Equipment Accident/Incident Reports alleging employee
human factor as cause; Employee Human Factor attachment; notice to
employee; employee supplement.
225.13 Late reports.
225.15 Accidents/incidents not to be reported.
225.17 Doubtful cases; alcohol or drug involvement.
225.19 Primary groups of accidents/incidents.
225.21 Forms.
225.23 Joint operations.
225.25 Recordkeeping.
225.27 Retention of records.
225.29 Penalties.
225.31 Investigations.
Appendix A to Part 225 -- Procedure for Determining Reporting
Threshold
Appendix B to Part 225 -- Schedule of Civil Penalties
Authority: 45 U.S.C. 38, 42, 43, and 43a as amended; 45 U.S.C.
431, 437, and 438, as amended; Pub. L. 100-342; and 49 CFR 1.49 (c)
and (m).
Source: 39 FR 43224, Dec. 11, 1974, unless otherwise noted.
Editorial Note: For an interpretation of Part 225 see 40 FR 5368,
Feb. 5, 1975.
49 CFR 225.1 Purpose.
The purpose of this part is to provide the Federal Railroad
Administration (FRA) with information concerning hazardous conditions on
the Nation's railroads. FRA needs this information to carry out
effectively its regulatory responsibilities under the Federal Railroad
Safety Act of 1970 and the Accidents Reports Act. Issuance of these
regulations under the Federal Railroad Safety Act preempts States from
prescribing accident/incident reporting requirements. Any State may,
however, require railroads to submit to it copies of accident/incident
reports filed with FRA under this part, for accidents/incidents which
occur in that State. The reporting and recordkeeping requirements
prescribed in this part have been approved by the Office of Management
and Budget in accordance with the Paperwork Reduction Act of 1980.
(Approved by the Office of Management and Budget under control number
2130-0500)
(49 FR 48939, Dec. 17, 1984, as amended at 53 FR 28601, July 28,
1988; 54 FR 33229, Aug. 14, 1989)
49 CFR 225.3 Applicability.
This part applies to all railroads except those railroads whose
entire operations are confined within an industrial installation.
49 CFR 225.5 Definitions.
As used in this part --
(a) 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.
(b) Accident/Incident means:
(1) Any impact between railroad on-track equipment and an automobile,
bus, truck, motorcycle, bicycle, farm vehicle or pedestrian at a
rail-highway grade crossing;
(2) Any collision, derailment, fire, explosion, act of God, or other
event involving operation of railroad on-track equipment (standing or
moving) that results in more than $6,300 in damages to railroad on-track
equipment, signals, track, track structures, and roadbed;
(3) Any event arising from the operation of a railroad which results
in:
(i) Death of one or more persons;
(ii) Injury to one or more persons, other than railroad employees,
that requires medical treatment;
(iii) Injury to one or more employees that requires medical treatment
or results in restriction of work or motion for one or more days, one or
more lost work days, transfer to another job, termination of employment,
or loss of consciousness; or
(iv) Occupational illness of a railroad employee as diagnosed by a
physician.
(c) 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.
(d) Occupational illness means any abnormal condition or disorder of
a railroad employee, other than one resulting from injury, caused by
environmental factors associated with his or her railroad employment,
including, but not limited to, acute or chronic illnesses or diseases
which may be caused by inhalation, absorption, ingestion or direct
contact.
(e) Medical treatment means treatment administered by a physician or
by registered professional personnel under the standing orders of a
physician. Medical treatment does not include first aid treatment
(one-time treatment), precautionary measures such as tetanus shots, and
subsequent observation of minor scratches, cuts, bruises or splinters
which do not require medical care, even though these services are
performed by a physician or registered professional personnel.
(f) Lost workdays means any full day or part of a day (consecutive or
not) other than the day of injury, that a railroad employee is away from
work because of injury or occupational illness.
(g) Restriction of work or motion means the inability of a railroad
employee to perform all normally assigned duties because of injury or
occupational illness, and includes the assignment of a railroad employee
to another job or to less than full time work at a temporary or
permanent job.
(h) Rail-highway grade crossing means a location where one or more
railroad tracks cross a public highway, road, or street or a private
roadway, and includes sidewalks and pathways at or associated with the
crossing.
(i) Arising from the operation of a railroad includes all activities
of a railroad which are related to the performance of its rail
transportation business.
(j) Employee human factor includes any of the accident causes
signified by the rail equipment accident/incident cause codes listed
under ''Train Operation -- Human Factors'' in the current ''FRA Guide
for Preparing Accident/Incident Reports,'' except for Cause Code 506.
(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, 51 FR 47019, Dec. 30, 1986; 53 FR
28601, July 28, 1988; 53 FR 48548, Dec. 1, 1988; 55 FR 37827, Sept.
13, 1990; 55 FR 52487, Dec. 21, 1990)
49 CFR 225.7 Public examination and use of reports.
(a) Accident/Incident reports made by railroads in compliance with
these rules shall be available to the public in the manner prescribed by
part 7 of this title. Accident/Incident reports may be inspected at the
Office of Safety, Federal Railroad Administration, 400 Seventh Street,
SW., Washington, DC 20590. Written requests for a copy of a report
should be addressed to the Executive Director, FRA, 400 Seventh Street,
SW., Washington, DC 20590, and be accompanied by the appropriate fee
prescribed in part 7 of this title. To facilitate expedited handling,
each request should be clearly marked ''Request for Accident/Incident
Report.''
(b) Section 4 of the Accidents Reports Act (36 Stat. 351, 45 U.S.C.
41) provides that monthly reports filed by railroads under 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 225.12 are part of the reporting railroad's accident report to
FRA pursuant to the Accident Reports Act 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 * * *.'' 45
U.S.C. 41.
(39 FR 43224, Dec. 11, 1974, as amended at 51 FR 47019, Dec. 30,
1986; 55 FR 37827, Sept. 13,1990)
49 CFR 225.9 Telephonic reports of certain accidents/incidents. 1,2
(a) Each railroad must report immediately by toll free telephone,
Area Code 800-424-0201, whenever it learns of the occurrence of an
accident/incident arising from the operation of the railroad that
results in the:
(1) Death of rail passenger or employee; or
(2) death or injury of five or more persons.
(b) Each report must state the:
(1) Name of the railroad;
(2) Name, title, and telephone number of the individual making the
report;
(3) Time, date, and location of accident/incident;
(4) Circumstances of the accident/incident; and
(5) Number of persons killed or injured.
(39 FR 43224, Dec. 11, 1974, as amended at 41 FR 15847, Apr. 15,
1976; 49 FR 48939, Dec. 17, 1984)
1The National Transportation Safety Board requires certain railroad
accidents to be reported by telephone at the same toll free number (See
Title 49, Code of Federal Regulations Part 840).
2FRA Locomotive Safety Standards require certain locomotive accidents
to be reported by telephone at the same toll free number (See Title 49,
Code of Federal Regulations, 229.17.)
49 CFR 225.11 Reporting of accidents/incidents.
Each railroad subject to this part must submit to FRA a monthly
report of all railroad accidents/incidents described in 225.19. The
report must be made on the forms prescribed in 225.21 and must be
submitted within 30 days after expiration of the month during which the
accidents/incidents occurred. Reports must be completed as required by
the current FRA Guide for Preparing Accident/Incident Reports. A copy
of this guide may be obtained from the Office of Safety, Federal
Railroad Administration, 400 Seventh Street, SW, Washington, DC 20590.
(49 FR 48939, Dec. 17, 1984)
49 CFR 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.
(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 rail-highway grade
crossing accident/incident, a copy of the railroad's Rail-Highway 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 Equipment Accident/Incident Attributed to
Employee Human Factor; Employee Statement Supplementing Railroad
Accident Report''), following the instructions printed on the form.
These instructions require that, within 35 days of the date that the
Notice was hand delivered or sent by first class mail (postage prepaid)
to the employee (except for good cause shown), the original of the
Supplement be filed with FRA and a copy be hand delivered or sent by
first class mail (postage prepaid) to the railroad that issued the
Notice so that the railroad will have an opportunity to reassess its
reports to FRA concerning the accident.
(3) Information that the employee wishes to withhold from the
railroad must not be included in this Supplement. If an employee wishes
to provide confidential information to FRA, the employee should not use
the Supplement form (part II of Form FRA F 6180.78), but rather provide
such confidential information by other means, such as a letter to the
employee's collective bargaining representative, if any, or to the
Federal Railroad Administration, Office of Safety, Office of Safety
Enforcement, RRS-13 400 Seventh St. SW., Washington, DC 20590. The
letter should include the name of the railroad making the allegations,
the date and place of the accident, and the rail equipment
accident/incident number.
(h) Willful false statements; penalties. If an employee chooses to
submit a Supplement to FRA, all of the employee's assertions in the
Supplement must be true and correct to the best of the employee's
knowledge and belief.
(1) Under sections 3(a) and 15 or the Rail Safety Improvement Act of
1988, any person who willfully files a false Supplement with FRA is
subject to a civil penalty. See appendix B 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 the Federal Railroad Safety Act of 1970 (45 U.S.C. 438(e)).
(55 FR 37827, Sept. 13, 1990; 55 FR 39538, Sept. 27, 1990)
49 CFR 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 Rail-Highway Grade Crossing Accident/Incident Report on
the accident to the employee. A second notice under 225.12 is not
required for the employee. If an employee who was never sent a notice
under 225.12 for that accident is implicated in the revised Employee
Human Factor Attachment, the railroad must follow the procedures of
225.12(d).
(39 FR 43224, Dec. 11, 1974, as amended at 55 FR 37828, Sept. 13,
1990)
49 CFR 225.15 Accidents/incidents not to be reported.
A railroad need not report:
(a) Casualties which occur at rail-highway grade crossings that do
not involve the presence or operation of on-track equipment, or the
presence of railroad employees then engaged in the operation of a
railroad;
(b) Casualties in or about living quarters not arising from the
operation of a railroad;
(c) Suicides as determined by a coroner or other public authority;
or
(d) Attempted suicides.
49 CFR 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.
(d) (1) In preparing a Rail Equipment Accident/Incident Report under
this part, the railroad shall make such specific inquiry as may be
reasonable under the circumstances into the possible involvement of
alcohol or drug use or impairment in such accident or incident. If the
railroad comes into possession of any information whatsoever, whether or
not confirmed, concerning alleged alcohol or drug use or impairment by
an employee who was involved in, or arguably could be said to have been
involved in, the accident/incident, the railroad shall report such
alleged use or impairment as provided in the current FRA Guide for
Preparing Accident/Incident Reports. If the railroad is in possession
of such information but does not believe that alcohol or drug impairment
was the primary or contributing cause of the accident/incident, then the
railroad shall include in the narrative statement of such report a brief
explanation of the basis of such determination.
(2) For any train accident within the requirement for post-accident
testing under 219.201 of this title, the railroad shall append to the
Rail Equipment Accident/Incident Report any report required by
219.209(b) (pertaining to failure to obtain samples for post-accident
toxicological testing).
(3) For any train or non-train incident, the railroad shall provide
any available information concerning the possible involvement of alcohol
or drug use or impairment in such accident or incident.
(4) In providing information required by this paragraph, a railroad
shall not disclose any information concerning use of controlled
substances determined by the railroad's Medical Review Officer to have
been consistent with 49 CFR 219.103.
(39 FR 43224, Dec. 11, 1974, as amended at 50 FR 31579, Aug. 2, 1985;
54 FR 53279, Dec. 27, 1989)
49 CFR 225.19 Primary groups of accidents/incidents.
(a) For reporting purposes reportable railroad accidents/incidents
are divided into three groups:
Group I -- Rail-Highway Grade Crossing;
Group II -- Rail Equipment;
Group III -- Death, Injury and Occupational Illness.
(b) Group I -- Rail-highway grade crossing. Each rail-highway 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 rail-highway grade crossing
accident/incident results in more than $6,300 damages to railroad
on-track equipment, signals, track, track structures, or roadbed, that
accident/incident must be reported to the FRA on Form FRA F6180.54. For
reporting purposes, damages include labor costs and all other costs to
repair or replace in kind damaged on-track equipment, signals, track,
track structures, or roadbed, but do not include the cost of clearing a
wreck.
(c) Group II -- Rail Equipment. Rail equipment accidents/incidents
are collisions, derailments, fires, explosions, acts of God, or other
events involving the operation of railroad on-track equipment, signals,
track, track equipment (standing or moving) that result in more than
$6,300 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. Each rail equipment accident/incident
must be reported to the FRA on Form FRA F 6180.54. If the property of
more than one railroad is involved in an accident/incident, the $6,300
threshold is calculated by including the damages suffered by all of the
railroads involved. See 225.23, Joint Operations. The $6,300
reporting threshold will be reviewed periodically and will be adjusted
in increments of $100 every 2 years in accordance with the procedures
outlined in appendix A of this part.
(d) Group III -- Death, injury or occupational illness. Each
accident/incident, arising from the operation of a railroad, must be
reported on Form FRA F 6180.55a if it results in:
(1) The death of any person from an injury within 365 days of the
accident/incident;
(2) The death of a railroad employee from occupational illness within
365 days after the occupational illness was diagnosed by a physician;
(3) Injury to any person other than a railroad employee that required
medical treatment;
(4) Injury to a railroad employee that requires medical treatment or
results in restriction of work or motion for one or more work days, one
or more lost work days, termination of employment, transfer to another
job or loss of consciousness; or
(5) Any occupational illness of a railroad employee as diagnosed by a
physician.
(Secs. 11144 and 11145, Subtitle IV of Title 49 (49 U.S.C. 11144 and
11145); secs. 1 and 6, Accident Reports Act (45 U.S.C. 431 and 437);
sec. 6(e) and (f), Department of Transportation Act (49 U.S.C. 1655(e)
and (f)); sec. 1.49(g) and (m), regulations of the Office of the
Secretary of Transportation (49 CFR 1.49(g) and (m))
(39 FR 43224, Dec. 11, 1974, as amended at 41 FR 50691, Nov. 17,
1976; 42 FR 1221, Jan. 6, 1977; 47 FR 56358, Dec. 16, 1982; 51 FR
47019, Dec. 30, 1986; 53 FR 48548, Dec. 1, 1988; 55 FR 52847, Dec.
21, 1990)
49 CFR 225.21 Forms.
The following forms and copies of the FRA Guide for Preparing
Accident/Incident Reports may be obtained from the Office of Safety,
FRA, 400 Seventh Street, SW., Washington, DC 20590.
(a) Form FRA F 6180.54 -- Rail Equipment Accident/Incident Report.
Form FRA F 6180.54 shall be used to report each reportable rail
equipment accident/incident which occurred during the preceding month.
(b) Form FRA F 6180.55 -- Railroad Injury and Illness Summary. Form
FRA F 6180.55 must be filed each month, even though no reportable
accident/incident occurred during the month covered. Each report must
include an oath or verification, made by the proper officer of the
reporting railroad, as provided for attestation on the form. If no
reportable accident/incident occurred during the month, that fact must
be stated on this form. Class I and II line-haul and terminal and
switching railroads, must show on this form the total number of
locomotive train miles, motor train miles, and yard switching miles run
during the month, computed in accordance with Train-Mile,
Locomotive-Mile, Car-Mile, and Yard Switching accounts in the Uniform
System of Accounts for Railroad Companies prescribed by the Interstate
Commerce Commission in 49 CFR part 1200.
(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 -- Rail-Highway Grade Crossing
Accident/Incident Report. Form FRA F 6180.57 shall be used to report
each rail-highway grade crossing accident/incident which occurred during
the preceding month.
(f) Form FRA F 6180.45 -- Annual Summary Report of Railroad Injury
and Illness. Form FRA F 6180.45 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.
(g) 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.
(h) Form FRA F 6180.78 -- Notice to Railroad Employee Involved in
Rail Equipment Accident/Incident Attributed to Employee Human Factor;
Employee Statement Supplementing Railroad Accident Report. When a
railroad alleges, in the Employee Human Factor Attachment to a Rail
Equipment Accident/Incident Report, that the act, omission, or physical
condition of a specific employee was a primary or contributing cause of
the rail equipment accident/incident, the railroad shall complete part I
of Form FRA F 6180.78 to notify each such employee identified that the
railroad has made such allegation and that the employee has the right to
submit a statement to FRA. The railroad shall then submit the entire
form, parts I and II, to the employee. The Employee Statement
Supplementing Railroad Accident Report (Employee Supplement) is
completely at the option of the employee; however, if the employee
desires to make a statement about the accident that will become part of
the railroad's Rail Equipment Accident/Incident Report, the employee
shall complete the Employee Supplement form (part II of Form FRA F
6180.78) and shall then submit the original of the entire form, parts I
and II, and any attachments, to FRA and submit a copy of the same to the
railroad that issued the Notice in part I.
(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)
49 CFR 225.23 Joint operations.
(a) Any reportable death or injury to an employee arising from an
accident/incident involving joint operations must be reported on Form
FRA F 6180.55a by the employing railroad.
(b) In all cases involving joint operations, each railroad must
report on Form FRA F 6180.55a the casualties to all persons on its train
or other on-track equipment. Casualties to railroad employees must be
reported by the employing railroad regardless of whether the employees
were on or off duty. Casualties to all other persons not on trains or
on-track equipment must be reported on Form FRA F 6180.55a by the
railroad whose train or equipment is involved. Any person found
unconscious or dead, if such condition arose 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)
49 CFR 225.25 Recordkeeping.
(a) Each railroad must maintain a log of injuries and occupational
illnesses at and for each railroad establishment, including but not
limited to an operating division, general office, and major installation
such as a locomotive or car repair or construction facility. A copy of
each log may be kept at a central location. The log will be used to
prepare the annual summary required by paragraph (c) of this section,
and must contain the following information:
(1) Case or file number;
(2) Date of injury or initial diagnosis of illness (month/day/year);
(3) Employee's name;
(4) Occupation of employee (regular job title, not the activity being
performed when the accident/incident occurred);
(5) Department in which the railroad employee is regularly employed;
(6) Nature of injury or illness and part of body affected;
(7) Extent and outcome of injury or illness to show the following as
applicable:
(i) Fatality -- enter date of death.
(ii) Lost workdays or days of restriction of work or motion -- show
number.
(iii) Transfer to another job or termination of employment.
(8) Name of railroad;
(9) Name of establishment; and
(10) Location of establishment.
(b) Each railroad must maintain a supplementary record of each
reportable injury and occupational illness sustained by a railroad
employee. The supplementary record must contain at least the following
facts:
(1) About the employer -- name, mail address and location if
different from mail address;
(2) About the ill or injured employee -- name, employee or social
security number, home address, age, sex, occupation and department;
(3) About the injury or exposure resulting in occupational illness --
place of injury or exposure, whether it was on employer's premises, what
the employee was doing when injured or exposed, and how the injury or
exposure occurred;
(4) About the injury or occupational illness description of the
injury or illness, including the part of body affected, the name of the
object or substance which directly caused the injury or illness of the
employee, and the date of injury or diagnosis of illness;
(5) Other -- name and address of physician, name and address of
hospital, if hospitalized, date, name and title of person preparing the
report.
(c) Beginning January 1, 1976, an annual summary for the preceding
calendar year shall be posted before February 1 of each year and remain
continuously posted for at least thirty consecutive days, at a location
within each railroad establishment where it may be observed by railroad
employees of that establishment. The annual summary shall contain the
following information:
(1) A list of injury and illness category to include:
(i) Occupational injuries;
(ii) Occupational skin diseases or disorders;
(iii) Dust diseases of the lungs;
(iv) Respiratory conditions due to toxic agents;
(v) Poisoning;
(vi) Disorders due to physical agents;
(vii) Disorders due to repeated trauma;
(viii) All other occupational illnesses;
(ix) Total cases of occupational illnesses; and
(x) Total of occupational injuries and illnesses;
(2) A breakdown of each category to show:
(i) Total number of cases;
(ii) Number of fatalities;
(iii) Number of lost work day cases;
(iv) Number of cases involving days away from work;
(v) Number of days away from work;
(vi) Number of days of restricted activity;
(vii) Number of non-fatal cases without lost work days; and
(viii) Number of cases resulting in permanent transfers or
terminations;
(3) Name and address of establishment;
(4) Signature and title of preparer; and
(5) Date of report.
49 CFR 225.27 Retention of records.
(a) Each railroad must retain the logs, supplementary records, and
annual summaries, required by 225.25 for at least 5 years after the end
of the calendar year to which they relate. Each railroad must retain
the Employee Human Factor Attachments required by 225.12, the written
notices to employees required by 225.12, and the Employee Statements
Supplementing Railroad Accident Reports described in 225.12(g) that
have been received by the railroad for at least 2 years after the end of
the calendar year to which they relate.
(b) Each railroad must retain a duplicate of each form it submits to
FRA under 225.21, for at least 2 years after the calendar year to which
it relates.
(39 FR 43224, Dec. 11, 1974, as amended at 55 FR 37828, Sept. 13,
1990)
49 CFR 225.29 Penalties.
Any person (including a railroad and any manager, supervisor,
official, or other employee or agent of a railroad) who violates any
requirement of this part or causes the violation of any such requirement
is subject to a civil penalty of at least $250 and not more than $10,000
per violation, 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. See appendix B
to this part for a statement of agency civil penalty policy. A person
may also be subject to the criminal penalties provided for in 45 U.S.C.
39 and 438(e).
(53 FR 28601, July 28, 1988, as amended at 53 FR 52931, Dec. 29,
1988)
49 CFR 225.31 Investigations.
(a) It is the policy of the FRA to investigate rail transportation
accidents/incidents which result in the death of a railroad employee or
the injury of five or more persons. Other accidents/incidents are
investigated when it appears that an investigation would substantially
serve to promote railroad safety.
(b) FRA representatives are authorized to investigate
accidents/incidents and have been issued credentials authorizing them to
inspect railroad records and properties. They are authorized to obtain
all relevant information concerning accidents/incidents under
investigation, to make inquiries of persons having knowledge of the
facts, conduct interviews and inquiries, and attend as an observer,
hearings conducted by railroads. When necessary to carry out an
investigation, the FRA may authorize the issuance of subpoenas to
require the production of records and the giving of testimony.
(c) Whenever necessary, the FRA will schedule a public hearing before
an authorized hearing officer, in which event testimony will be taken
under oath, a record made, and opportunity provided to question
witnesses.
(d) When necessary in the conduct of an investigation, the Federal
Railroad Administrator may require autopsies and other tests of the
remains of railroad employees who die as a result of an
accident/incident.
(e) Information obtained through FRA accident investigations may be
published in public reports or used for other purposes FRA deems to be
appropriate.
(f) Section 4 of the Accident Reports Act (36 Stat. 351, 45 U.S.C.
41) provides that reports of accident investigations may not be admitted
as evidence or used for any purpose in any suit or action for damages
growing out of any matter mentioned in accident investigations reports.
49 CFR 225.31 Pt. 225, App. A
1. Wage figures used for track direct labor rates will be based on
the ''(a)verage straight time rate'' shown in the ''Recapitulation by
Group of Employees,'' for Group 300 Maintenance of Way Structures
Employees. This information appears in the most recent annual edition
(Year 1989) of ''Statement A-300 of the Interstate Commerce Commission,
Bureau of Accounts, Wage Statistics of Class I Railroads in the United
States.''
2. Wage figures used for mechanical direct labor rates will be based
on the ''(a)verage straight time rate'' shown in the ''Recapitulation by
Group of Employees,'' for Group 400 Maintenance of Equipment and Stores
Employees. This information appears in the most recent annual edition
(Year 1989) of ''Statement A-300 of the Interstate Commerce Commission,
Bureau of Accounts, Wage Statistics of Class I Railroads in the United
States.''
3. Fringe benefit surcharges will be added to the average straight
time rates for mechanical and track employees based on the Railroad Cost
Index data developed for the Interstate Commerce Commission under the
provisions of 49 CFR part 1102. This information was published in
summarized form in the September 24, 1984 edition of the Federal
Register (49 FR 37481).
4. To calculate the index number for mechanical labor, divide the
present (1990) mechanical wage rate of $23.56 by the previous (1988)
mechanical wage rate of $21.82. The result is a mechanical labor index
number of 1.08 for 1990.
5. The track labor index number is calculated by dividing the present
(1990) track wage rate of $22.74 by the previous (1988) track wage rate
of $21.12. The result is a track labor index number of 1.08 for 1990.
6. Calculation of the labor index number is as follows: ((track
labor index number) 1.08 .20) + ((mechanical labor index number) 1.08
.80) = labor index number of 1.08.
7. The mechanical material index number is calculated by first
totaling the present (1990) cost of the following mechanical materials:
The mechanical material index number is determined by dividing the
present (1990) total cost for these mechanical materials ($67,669) by
the previous (1988) total cost for mechanical materials ($59,773). The
result is 1.13.
8. The track material index number is calculated by first totaling
the present (1990) cost of the following track materials:
The track material index number is determined by dividing the present
(1990) total cost for these track materials ($385,508) by the previous
(1988) total cost for track materials ($353,708). The result is 1.09.
9. Calculation of the material index number is as follows: ((track
material index number) 1.09 .20) + ((mechanical material index number)
1.13 .80) = material index number of 1.12.
10. Calculation of the threshold index number is as follows: ((labor
index number) 1.08 .40) + ((material index number) 1.12 .60) =
threshold index number of 1.10.
11. In order to calculate the new reporting threshold, multiply the
existing reporting threshold $5,700 by the threshold index number of
1.10. The result is $6,270. This result, when rounded to the nearest
$100.00 is the new accident/incident reporting threshold figure of
$6,300.
(55 FR 52847, Dec. 21, 1991)
49 CFR 225.31 Pt. 225, App. B
(53 FR 52931, Dec. 29, 1988, as amended at 55 FR 37828, Sept. 13,
1990)
49 CFR 225.31 PART 228 -- HOURS OF SERVICE OF RAILROAD EMPLOYEES
49 CFR 225.31 Subpart A -- General
Sec.
228.1 Scope.
228.3 Application.
228.5 Definitions.
49 CFR 225.31 Subpart B -- Records and Reporting
228.7 Hours of duty.
228.9 Railroad records; general.
228.11 Hours of duty records.
228.17 Dispatcher's record of train movements.
228.19 Monthly reports of excess service.
228.21 Civil penalty.
228.23 Criminal penalty.
49 CFR 225.31 Subpart C -- Construction of Employee Sleeping Quarters
228.101 Distance requirement; definitions.
228.103 Approval procedure; construction within one-half mile (2,640
feet) (804 meters).
228.105 Additional requirements; construction within one-third mile
(1,760 feet) (536 meters) of certain switching.
228.107 Action on petition.
Appendix A to Part 228 -- Requirements of the Hours of Service Act:
Statement of Agency Policy and Interpretation
Appendix B to Part 228 -- Schedule of civil Penalties
Appendix C to Part 228 -- Guidelines for Clean, Safe, and Sanitary
Railroad Provided Camp Cars
Authority: 45 U.S.C. 61-64b, as amended; 45 U.S.C. 437 and 438, as
amended; Pub. L. 100-342; 49 App. U.S.C. 1655(e), as amended; and 49
CFR 1.49 (d) and (m).
Source: 37 FR 12234, June 21, 1972, unless otherwise noted.
49 CFR 225.31 Subpart A -- General
49 CFR 228.1 Scope.
This part --
(a) Prescribes reporting and record keeping requirements with respect
to the hours of service of certain railroad employees; and
(b) Establishes standards and procedures concerning the construction
or reconstruction of employee sleeping quarters.
(43 FR 31012, July 19, 1978)
49 CFR 228.3 Application.
(a) Except as provided in paragraph (b), this part applies to all
railroads.
(b) This part does not apply to:
(1) A railroad that operates only on track inside an installation
which is not part of the general railroad system of transportation; or
(2) Rapid transit operations in an urban area that are not connected
with the general railroad system of transportation.
(54 FR 33229, Aug. 14, 1989)
49 CFR 228.5 Definitions.
As used in this part:
(a) Administrator means the Administrator of the Federal Railroad
Administrator or any person to whom he delegated authority in the matter
concerned.
(b) Carrier, common carrier, and common carrier engaged in interstate
or foreign commerce by railroad mean railroad as that term is defined
below.
(c) Employee means an individual employed by the common carrier who
(1) is actually engaged in or connected with the movement of any train,
including a person who performs the duties of a hostler, (2) dispatches,
reports, transmits, receives, or delivers orders pertaining to train
movements by the use of telegraph, telephone, radio, or any other
electrical or mechanical device, or (3) is engaged in installing,
repairing or maintaining signal systems.
(d) Railroad means all forms of non-highway ground transportation
that run on rails or electromagnetic guideways, including (1) commuter
or other short-haul rail passenger service in a metropolitan or suburban
area, and (2) high speed ground transportation systems that connect
metropolitan areas, without regard to whether they use new technologies
not associated with traditional railroads. Such term does not include
rapid transit operations within an urban area that are not connected to
the general railroad system of transportation.
(54 FR 33229, Aug. 14, 1989)
49 CFR 228.5 Subpart B -- Records and Reporting
49 CFR 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)
49 CFR 228.9 Railroad records; general.
(a) Records maintained under this part shall be --
(1) Signed by the employee whose time on duty is being recorded or,
in the case of train and engine crews, signed by the ranking crew
member;
(2) Retained for 2 years; and
(3) Available for inspection and copying by the Administrator during
regular business hours.
49 CFR 228.11 Hours of duty records.
(a) Each carrier shall keep a record of the following information
concerning the hours of duty of each employee:
(1) Identification of employee.
(2) Place, date, and beginning and ending times for hours of duty in
each occupation.
(3) Total time on duty in all occupations.
(4) Number of consecutive hours off duty prior to going on duty.
(5) Beginning and ending times of periods spent in transportation,
other than personal commuting, to or from a duty assignment and mode of
transportation (train, track car, carrier motor vehicle, personal
automobile, etc.).
(37 FR 12234, June 21, 1972, as amended at 43 FR 3124, Jan. 23, 1978)
49 CFR 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.
(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.
49 CFR 228.19 Monthly reports of excess service.
(a) Each carrier shall report to the Associate Administrator for
Safety, (RRS-1), Federal Railroad Administration, Washington, DC 20590,
each of the following instances within 30 days after the calendar month
in which the instance occurs:
(1) A member of a train or engine crew or other employee engaged in
or connected with the movement of any train, including a hostler, is on
duty for more than 12 consecutive hours.
(2) A member of a train or engine crew or other employee engaged in
or connected with the movement of any train, including a hostler,
returns to duty after 12 hours of continuous service without at least 10
consecutive hours off duty.
(3) A member of a train or engine crew or other employee engaged in
or connected with the movement of any train, including a hostler,
continues on duty without at least 8 consecutive hours off duty during
the preceding 24 hours. 1
(4) A member of a train or engine crew or other employee engaged in
or connected with the movement of any train, including a hostler,
returns to duty without at least 8 consecutive hours off duty during the
preceding 24 hours. 1
(5) An employee who transmits, receives, or delivers orders affecting
train movements is on duty for more than 9 hours in any 24-hour period
at an office where two or more shifts are employed.
(6) An employee who transmits, receives, or delivers orders affecting
train movements is on duty for more than 12 hours in any 24-hour period
at any office where one shift is employed.
(7) An employee engaged in installing, repairing or maintaining
signal systems is on duty for more than 12 hours in a twenty-four hour
period.
(8) An employee engaged in installing, repairing or maintaining
signal systems returns to duty after 12 hours of continuous service
without at least 10 consecutive hours off duty.
(9) An employee engaged in installing, repairing or maintaining
signal systems continues on duty without at least 8 consecutive hours
off duty during the preceding 24 hours.
(10) An employee engaged in installing, repairing or maintaining
signal systems returns to duty without at least 8 consecutive hours off
duty during the preceding 24 hours.
(b) Reports required by paragraph (a) of this section shall be filed
in writing on FRA Form F-6180-32 with the Office of Safety, Federal
Railroad Administration, Washington, DC 20590. A separate form shall be
used for each instance reported.
(37 FR 12234, June 21, 1972, as amended at 43 FR 3124, Jan. 23, 1978)
1Instances involving tours of duty that are broken by four or more
consecutive hours off duty time at a designated terminal which do not
constitute more than a total of 12 hours time on duty are not required
to be reported, provided such tours of duty are immediately preceded by
8 or more consecutive hours off-duty time. Instances involving tours of
duty that are broken by less than 8 consecutive hours off duty which
constitute more than a total of 12 hours time on duty must be reported.
2Form may be obtained from the Office of Safety, Federal Railroad
Administration, Washington, DC 20590. Reproduction is authorized.
49 CFR 228.21 Civil penalty.
Any person (including a railroad subject to this part and any
manager, supervisor, official, or other employee or agent of such 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. See appendix B to this part for a
statement of agency civil penalty policy. Violations of the Hours of
Service Act itself (e.g., requiring an employee to work excessive hours
or beginning construction of a sleeping quarters subject to approval
under subpart C of this part without prior approval) are subject to
penalty under that Act's penalty provision, 45 U.S.C. 64a.
(53 FR 52931, Dec. 29, 1988)
49 CFR 228.23 Criminal penalty.
Any person who knowingly and willfully falsifies a report or record
required to be kept under this part or otherwise knowingly and willfully
violates any requirement of this part may be liable for criminal
penalties of a fine up to $5,000, imprisonment for up to two years, or
both, in accordance with 45 U.S.C. 438(e).
(53 FR 52931, Dec. 29, 1988)
49 CFR 228.23 Subpart C -- Construction of Employee Sleeping Quarters
Source: 43 FR 31012, July 19, 1978, unless otherwise noted.
49 CFR 228.101 Distance requirement; definitions.
(a) The Hours of Service Act, as amended (45 U.S.C. 61-64b), makes it
unlawful for any common carrier engaged in interstate or foreign
commerce by railroad to begin, on or after July 8, 1976, the
construction or reconstruction of sleeping quarters for employees who
perform duties covered by the act ''within or in the immediate vicinity
(as determined in accordance with rules prescribed by the Secretary of
Transportation) of any area where railroad switching or humping
operations are performed.'' 45 U.S.C. 62(a)(4). This subpart sets forth
(1) a general definition of ''immediate vicinity'' ( 228.101(b)), (2)
procedures under which a carrier may request a determination by the
Federal Railroad Administration that a particular proposed site is not
within the ''immediate vicinity'' of railroad switching or humping
operations ( 228.103 and 228.105), and (3) the basic criteria utilized
in evaluating proposed sites ( 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.
49 CFR 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
228.101(c)(3) within the 365-day period immediately preceding the date
construction or reconstruction is commenced or if such operations are to
be permitted on such trackage after such date. If the carrier does not
have reliable records concerning the traffic handled on the trackage
within the specified period, it shall be presumed that switching of
placarded cars is conducted at the location and construction or
reconstruction of sleeping quarters within one-half mile shall be
subject to the approval procedures of this subpart.
(c) A petition shall be filed in triplicate with the Secretary,
Railroad Safety Board, Federal Railroad Administration, Washington, DC
20590 and shall contain the following:
(1) A brief description of the type of construction planned,
including materials to be employed, means of egress from the quarters,
and actual and projected exterior noise levels and projected interior
noise levels;
(2) The number of employees expected to utilize the quarters at full
capacity;
(3) A brief description of the site, including:
(i) Distance from trackage where switching or humping operations are
performed, specifying distances from particular functions such as
classification, repair, assembling of trains from large groups of cars,
etc. cetera;
(ii) Topography within a general area consisting of the site and all
of the rail facilities close to the site;
(iii) Location of other physical improvements situated between the
site and areas where railroad operations are conducted;
(4) A blueprint or other drawing showing the relationship of the site
to trackage and other planned and existing facilities;
(5) The proposed or estimated date for commencement of construction;
(6) A description of the average number and variety of rail
operations in the areas within one-half mile (2,640 feet) (804 meters)
of the site (e.g., number of cars classified in 24-hour period; number
of train movements);
(7) An estimate of the average daily number of placarded rail cars
transporting hazardous materials through the railroad facility (where
practicable, based on a 365-day period sample, that period not having
ended more than 120 days prior to the date of filing the petition),
specifying the --
(i) Number of such cars transporting class A explosives and poison
gases; and
(ii) Number of DOT Specification 112A and 114A tank cars transporting
flammable gas subject to FRA emergency order No. 5;
(8) A statement certified by a corporate officer of the carrier
possessing authority over the subject matter explaining any plans of
that carrier for utilization of existing trackage, or for the
construction of new trackage, which may impact on the location of
switching or humping operations within one-half mile of the proposed
site (if there are no plans, the carrier official must so certify); and
(9) Any further information which is necessary for evaluation of the
site.
(d) A petition filed under this section must contain a statement that
the petition has been served on the recognized representatives of the
railroad employees who will be utilizing the proposed sleeping quarters,
together with a list of the employee representatives served.
49 CFR 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 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.
49 CFR 228.107 Action on petition.
(a) Each petition for approval filed under 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.
49 CFR 228.107 Pt. 228, App. A
49 CFR 228.107 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.
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 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.
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 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''.
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:
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.
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.
Casualties, Unavoidable Accidents, Acts of God. Section 5(d) of the
Act states the following: ''The provisions of this Act shall not apply
in any case of casualty or unavoidable accident or the Act of God; nor
where the delay was the result of a cause not known to the carrier or
its officer or agent in charge of the employee at the time said employee
left a terminal, and which could not have been foreseen.'' This passage
is commonly referred to as the ''emergency provision''. Judicial
construction of this sentence has limited the relief which it grants to
situations which are truly unusual and exceptional. The courts have
recognized that delays and operational difficulties are common in the
industry and must be regarded as entirely foreseeable; otherwise, the
Act will provide no protection whatsoever. Common operational
difficulties which do not provide relief from the Act include, but are
not limited to, broken draw bars, locomotive malfunctions, equipment
failures, brake system failures, hot boxes, unexpected switching,
doubling hills and meeting trains. Nor does the need to clear a main
line or cut a crossing justify disregard of the limitations of the Act.
Such contingencies must normally be anticipated and met within the 12
hours. Even where an extraordinary event or combination of events
occurs which, by itself, would be sufficient to permit excess service,
the carrier must still employ due diligence to avoid or limit such
excess service. The burden of proof rests with the carrier to establish
that excess service could not have been avoided.
Sleeping Quarters. Under the 1976 amendments to the Act it is
unlawful for any common carrier to provide sleeping quarters for persons
covered by the Hours of Service Act which do not afford such persons an
opportunity for rest, free from interruptions caused by noise under the
control of the railroad, in clean, safe, and sanitary quarters. Such
sleeping quarters include crew quarters, camp or bunk cars, and
trailers.
Sleeping quarters are not considered to be ''free from interruptions
caused by noise under the control of the railroad'' if noise levels
attributable to noise sources under the control of the railroad exceed
an Leq(8) value of 55dB(A).
FRA recognizes that camp cars, either because of express limitations
of local codes or by virtue of their physical mobility, cannot, for
practical purposes, be subject to state or local housing, sanitation,
health, electrical, or fire codes. Therefore, FRA is unable to rely
upon state or local authorities to ensure that persons covered by the
Act who reside in railroad-provided camp cars are afforded an
opportunity for rest in ''clean, safe, and sanitary'' conditions.
Accordingly, the guidelines in appendix C to this part 228 will be
considered by FRA as factors to be used in applying the concepts of
''clean,'' ''safe,'' and ''sanitary'' to camp cars provided by railroads
for the use of employees covered by section 2(a)(3) of the Act. Failure
to adhere to these guidelines might interfere with the ordinary person's
ability to rest.
Collective Bargaining. The Hours of Service Act prescribes the
maximum permissible hours of service consistent with safety. However,
the Act does not prohibit collective bargaining for shorter hours of
service and time on duty.
Penalty. As amended by the Rail Safety Improvement Act of 1988, the
penalty provisions of the law apply to any ''person (including a
railroad and any manager, supervisor, official, or other employee or
agent of a railroad),'' except that a penalty may be assessed against an
individual only for a willful violation. See 49 CFR part 209, appendix
A. A person who violates the Act is liable for a penalty of up to
$1,000 per violation, as the Secretary of Transportation deems
reasonable.
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 penalty of up to $1,000.
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 penalty of up to $1,000.
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)
49 CFR 228.107 Pt. 228, App. B
(53 FR 52931, Dec. 29, 1988)
49 CFR 228.107 Pt. 228, App. C
49 CFR 228.107 Appendix C to Part 228 -- Guidelines for Clean, Safe,
and Sanitary Railroad Provided Camp Cars
1. Definitions applicable to these Guidelines.
(a) Camp Cars mean trailers and on-track vehicles, including outfit,
camp, or bunk cars or modular homes mounted on flat cars, used to house
or accommodate railroad employees. Wreck trains are not included.
(b) Employee means any worker whose service is covered by the Hours
of Service Act or who is defined as an employee for purposes of section
2(a)(3) of that Act.
(c) Lavatory means a basin or similar vessel used primarily for
washing of the hands, arms, face, and head.
(d) Nonwater carriage toilet facility means a toilet facility not
connected to a sewer.
(e) Number of employees means the number of employees assigned to
occupy the camp cars.
(f) Personal service room means a room used for activities not
directly connected with the production or service function performed by
the carrier establishment. Such activities include, but are not limited
to, first-aid, medical services, dressing, showering, toilet use,
washing, and eating.
(g) Potable water means water that meets the quality standards
prescribed in the U.S. Public Health Service Drinking Water Standards,
published at 42 CFR part 72, or is approved for drinking purposes by the
State or local authority having jurisdiction.
(h) Toilet facility means a fixture maintained within a toilet room
for the purpose of defecation or urination, or both.
(i) Toilet room means a room maintained within or on the premises
containing toilet facilities for use by employees.
(j) Toxic material means a material in concentration or amount of
such toxicity as to constitute a recognized hazard that is causing or is
likely to cause death or serious physical harm.
(k) Urinal means a toilet facility maintained within a toilet room
for the sole purpose of urination.
(l) Water closet means a toilet facility maintained within a toilet
room for the purpose of both defecation and urination and which is
flushed with water.
(m) Leq (8) means the equivalent steady sound level which in 8 hours
would contain the same acoustic energy as the time-varying sound level
during the same time period.
2. Housekeeping.
(a) All camp cars should be kept clean to the extent that the nature
of the work allows.
(b) To facilitate cleaning, every floor, working place, and
passageway should be kept free from protruding nails, splinters, loose
boards, and unnecessary holes and openings.
3. Waste Disposal.
(a) Any exterior receptacle used for putrescible solid or liquid
waste or refuse should be so constructed that it does not leak and may
be thoroughly cleaned and maintained in a sanitary condition. Such a
receptacle should be equipped with a solid tight-fitting cover, unless
it can be maintained in a sanitary condition without a cover. This
requirement does not prohibit the use of receptacles designed to permit
the maintenance of a sanitary condition without regard to the
aforementioned requirements.
(b) All sweepings, solid or liquid wastes, refuse, and garbage should
be removed in such a manner as to avoid creating a menace to health and
as often as necessary or appropriate to maintain a sanitary condition.
4. Vermin Control.
(a) Camp cars should be so constructed, equipped, and maintained, so
far as reasonably practicable, as to prevent the entrance or harborage
of rodents, insects, or other vermin. A continuing and effective
extermination program should be instituted where their presence is
detected.
5. Water Supply.
(a) Potable water. (1) Potable water should be adequately and
conveniently provided to all employees in camp cars for drinking,
washing of the person, cooking, washing of foods, washing of cooking or
eating utensils, washing of food preparation or processing premises, and
personal service rooms where such facilities are provided.
(2) Potable drinking water dispensers should be designed,
constructed, and serviced so that sanitary conditions are maintained,
should be capable of being closed, and should be equipped with a tap.
(3) Open containers such as barrels, pails, or tanks for drinking
water from which the water must be dipped or poured, whether or not they
are fitted with a cover, should not be used.
(4) A common drinking cup and other common utensils should not be
used.
(b) The distribution lines should be capable of supplying water at
sufficient operating pressures to all taps for normal simultaneous
operation.
6. Toilet facilities.
(a) Toilet facilities. (1) Toilet facilities adequate for the number
of employees housed in the camp car should be provided in convenient and
safe location(s), and separate toilet rooms for each sex should be
provided in accordance with table l of this paragraph. The number of
facilities to be provided for each sex should be based on the number of
employees of that sex for whom the facilities are furnished. Where
toilet rooms will be occupied by no more than one person at a time, can
be locked from the inside, and contain at least one water closet or
nonwater carriage toilet facility, separate toilet rooms for each sex
need not be provided. Where such single-occupancy rooms have more than
one toilet facility, only one such facility in each toilet room should
be counted for the purpose of table 1.
(2) When toilet facilities are provided in separate cars, toilet
rooms should have a window space of not less than 6 square feet in area
opening directly to the outside area or otherwise be satisfactorily
ventilated. All outside openings should be screened with material that
is equivalent to or better than 16-mesh. No fixture, water closet,
nonwater carriage toilet facility or urinal should be located in a
compartment used for other than toilet purposes.
(3) The sewage disposal method should not endanger the health of
employees.
(b) Construction of toilet rooms. (1) Each water closet should
occupy a separate compartment with a door and walls or partitions
between fixtures sufficiently high to assure privacy.
(2) Nonwater carriage toilet facilities should be located within 50
feet, but as far as practical on the same side of the track on which
camp cars are sited.
(3) Each toilet facility should be lighted naturally, or artificially
by a safe type of lighting available at all hours of the day and night.
Flashlights can be substituted by the railroad when nonwater carriage
toilet facilities are used.
(4) An adequate supply of toilet paper should be provided in each
water closet, or nonwater carriage toilet facility, unless provided to
the employees individually.
(5) Toilet facilities should be kept in a clean and sanitary
condition. They should be cleaned regularly when occupied. In the case
of nonwater carriage toilet facilities, they should be cleaned and
changed regularly.
7. Lavatories.
(a) Lavatories should be made available to all rail employees housed
in camp cars.
(b) Each lavatory should be provided with either hot and cold running
water or tepid running water.
(c) Unless otherwise provided by agreement, hand soap or similar
cleansing agents should be provided.
(d) Unless otherwise provided by agreement, individual hand towels or
sections thereof, of cloth or paper, warm air blowers or clean
individual sections of continuous cloth toweling, convenient to the
lavatories, should be provided.
(e) One lavatory basin per six employees should be provided in shared
facilities.
8. Showering facilities.
(a) Showering facilities should be provided in the following ratio:
one shower should be provided for each 10 employees of each sex, or
numerical fraction thereof, who are required to shower during the same
shift.
(b) Shower floors should be constructed of non-slippery materials.
Floor drains should be provided in all shower baths and shower rooms to
remove waste water and facilitate cleaning. All junctions of the
curbing and the floor should be sealed. The walls and partitions of
shower rooms should be smooth and impervious to the height of splash.
(c) An adequate supply of hot and cold running water should be
provided for showering purposes. Facilities for heating water should be
provided.
(d) Showers. 1. Unless otherwise provided by agreement, body soap or
other appropriate cleansing agent convenient to the showers should be
provided.
2. Showers should be provided with hot and cold water feeding a
common discharge line.
3. Unless otherwise provided by agreement, employees who use showers
should be provided with individual clean towels.
9. Kitchens, dining hall and feeding facilities.
(a) In all camp cars where central dining operations are provided,
the food handling facilities should be clean and sanitary.
(b) When separate kitchen and dining hall cars are provided, there
should be a closable door between the living or sleeping quarters into a
kitchen or dining hall car.
10. Consumption of food and beverages on the premises.
(a) Application. This paragraph should apply only where employees
are permitted to consume food or beverages, or both, on the premises.
(b) Eating and drinking areas. No employee should be allowed to
consume food or beverages in a toilet room or in any area exposed to a
toxic material.
(c) Sewage disposal facilities. All sewer lines and floor drains
from camp cars should be connected to public sewers where available and
practical, unless the cars are equipped with holding tanks that are
emptied in a sanitary manner.
(d) Waste disposal containers provided for the interior of camp cars.
An adequate number of receptacles constructed of smooth, corrosion
resistant, easily cleanable, or disposable materials, should be provided
and used for the disposal of waste food. Receptacles should be provided
with a solid tightfitting cover unless sanitary conditions can be
maintained without use of a cover. The number, size and location of
such receptacles should encourage their use and not result in
overfilling. They should be emptied regularly and maintained in a clean
and sanitary condition.
(e) Sanitary storage. No food or beverages should be stored in
toilet rooms or in an area exposed to a toxic material.
(f) Food handling. (1) All employee food service facilities and
operations should be carried out in accordance with sound hygienic
principles. In all places of employment where all or part of the food
service is provided, the food dispensed should be wholesome, free from
spoilage, and should be processed, prepared, handled, and stored in such
a manner as to be protected against contamination.
(2) No person with any disease communicable through contact with food
or food preparation items should be employed or permitted to work in the
preparation, cooking, serving, or other handling of food, foodstuffs, or
materials used therein, in a kitchen or dining facility operated in or
in connection with camp cars.
11. Lighting. Each habitable room in a camp car should be provided
with adequate lighting.
12. First Aid. Adequate first aid kits should be maintained and made
available for railway employees housed in camp cars for the emergency
treatment of injured persons.
13. Shelter.
(a) Every camp car should be constructed in a manner that will
provide protection against the elements.
(b) All steps, entry ways, passageways and corridors providing normal
entry to or between camp cars should be constructed of durable weather
resistant material and properly maintained. Any broken or unsafe
fixtures or components in need of repair should be repaired or replaced
promptly.
(c) Each camp car used for sleeping purposes should contain at least
48 square feet of floor space for each occupant. At least a 7-foot
ceiling measured at the entrance to the car should be provided.
(d) Beds, cots, or bunks and suitable storage facilities such as wall
lockers or space for foot lockers for clothing and personal articles
should be provided in every room used for sleeping purposes. Except
where partitions are provided, such beds or similar facilities should be
spaced not closer than 36 inches laterally (except in modular units
which cannot be spaced closer than 30 inches) and 30 inches end to end,
and should be elevated at least 12 inches from the floor. If
double-deck bunks are used, they should be spaced not less than 48
inches both laterally and end to end. The minimum clear space between
the lower and upper bunk should be not less than 27 inches. Triple-deck
bunks should not be used.
(e) Floors should be of smooth and tight construction and should be
kept in good repair.
(f) All living quarters should be provided with windows the total of
which should be not less than 10 percent of the floor area. At least
one-half of each window designed to be opened should be so constructed
that it can be opened for purposes of ventilation. Durable opaque
window coverings should be provided to reduce the entrance of light
during sleeping hours.
(g) All exterior openings should be effectively screened with 16-mesh
material. All screen doors should be equipped with self-closing
devices.
(h) In a facility where workers cook, live, and sleep, a minimum of
90 square feet per person should be provided. Sanitary facilities
should be provided for storing and preparing food.
(i) In camp cars where meals are provided, adequate facilities to
feed employees within a 60-minute period should be provided.
(j) All heating, cooking, ventilation, air conditioning and water
heating equipment should be installed in accordance with applicable
local regulations governing such installations.
(k) Every camp car should be provided with equipment capable of
maintaining a temperature of at least 68 degrees F. during normal cold
weather and no greater than 78 degrees F., or 20 degrees below ambient,
whichever is warmer, during normal hot weather.
(l) Existing camp cars may be grandfathered so as to only be subject
to subparagraphs (c), (d), (f), (h), and (k), in accordance with the
following as recommended maximums:
13 (c), (d), and (h) -- by January 1, 1994.
13(f) -- Indefinitely insofar as the ten percent (10%) requirement
for window spacing is concerned.
13(k) -- by January 1, 1992.
14. Location. Camp cars occupied exclusively by individuals employed
for the purpose of maintaining the right-of-way of a railroad should be
located as far as practical from where ''switching or humping
operations'' of ''placarded cars'' occur, as defined in 49 CFR 228.101
(c)(3) and (c)(4), respectively. Every reasonable effort should be made
to locate these camp cars at least one-half mile (2,640 feet) from where
such switching or humping occurs. In the event employees housed in camp
cars located closer than one-half mile (2,640 feet) from where such
switching or humping of cars takes place are exposed to an unusual
hazard at such location, the employees involved should be housed in
other suitable accommodations. An unusual hazard means an unsafe
condition created by an occurrence other than normal switching or
humping.
15. General provisions. (a) Sleeping quarters are not considered to
be ''free of interruptions caused by noise under the control of the
railroad'' if noise levels attributable to noise sources under the
control of the railroad exceed an Leq (8) value of 55 dB(A), with
windows closed and exclusive of cooling, heating, and ventilating
equipment.
(b) A railroad should, within 48 hours after notice of noncompliance
with these recommendations, fix the deficient condition(s). Where
holidays or weekends intervene, the railroad should fix the condition
within 8 hours after the employees return to work. In the event such
condition(s) affects the safety or health of the employees, such as
water, cooling, heating or eating facilities, the railroad should
provide alternative arrangements for housing and eating until the
noncomplying condition is fixed.
(55 FR 30893, July 27, 1990)
49 CFR 228.107 PART 229 -- RAILROAD LOCOMOTIVE SAFETY STANDARDS
49 CFR 228.107 Subpart A -- General
Sec.
229.1 Scope.
229.3 Applicability.
229.4 Information collection.
229.5 Definitions.
229.7 Prohibited acts.
229.9 Movement of non-complying locomotives.
229.11 Locomotive identification.
229.13 Control of locomotives.
229.14 Non-MU control cab locomotives.
229.17 Accident reports.
229.19 Prior waivers.
49 CFR 228.107 Subpart B -- Inspections and Tests
229.21 Daily inspection.
229.23 Periodic inspection: General.
229.25 Tests: Every periodic inspection.
229.27 Annual tests.
229.29 Biennial tests.
229.31 Main reservoir tests.
229.33 Out-of-use credit.
49 CFR 228.107 Subpart C -- Safety Requirements
229.41 Protection against personal injury.
229.43 Exhaust and battery gases.
229.45 General condition.
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.
229.61 Draft 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.
229.77 Current collectors.
229.79 Third rail shoes.
229.81 Emergency pole; shoe insulation.
229.83 Insulation or grounding of metal parts.
229.85 Doors and cover plates marked ''Danger''.
229.87 Hand-operated switches.
229.89 Jumpers; cable connections.
229.91 Motors and generators.
229.93 Safety cut-off device.
229.95 Venting.
229.97 Grounding fuel tanks.
229.99 Safety hangers.
229.101 Engines.
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.
229.115 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.
229.127 Cab lights.
229.129 Audible warning device.
229.131 Sanders.
49 CFR 228.107 Subpart D -- Design Requirements
229.141 Body structure, MU locomotives.
Appendix A to Part 229 -- Form FRA -- 6180-49A (Note)
Appendix B to Part 229 -- Schedule of Civil Penalties
Appendix C to Part 229 -- FRA Locomotive Standards Defect Code (Note)
Authority: 45 U.S.C. 22-34, as amended; 49 App. U.S.C. 1655(e), as
amended; Pub. L. 100-342; and 49 CFR 1.49 (c) and (g).
Source: 45 FR 21109, Mar. 31, 1980, unless otherwise noted.
49 CFR 228.107 Subpart A -- General
49 CFR 229.1 Scope.
This part prescribes minimum Federal safety standards for all
locomotives except those propelled by steam power.
49 CFR 229.3 Applicability.
(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.
(54 FR 33229, Aug. 14, 1989)
49 CFR 229.4 Information collection.
(a) The information collection requirements in this part have been
reviewed by the Office of Management and Budget pursuant to the
Paperwork Reduction Act of 1980, Public Law 96-511, and have been
assigned OMB control number 2130-0004.
(b) The information collection requirements are found in the
following sections:
(1) Section 229.9.
(2) Section 229.17.
(3) Section 229.21.
(4) Section 229.23.
(5) Section 229.27.
(6) Section 229.29.
(7) Section 229.31.
(8) Section 229.33.
(9) Section 229.55.
(10) Section 229.103.
(11) Section 229.105.
(12) Section 229.113.
(50 FR 6953, Feb. 19, 1985)
49 CFR 229.5 Definitions.
As used in this part --
(a) Break means a fracture resulting in complete separation into
parts.
(b) Cab means that portion of the superstructure designed to be
occupied by the crew operating the locomotive.
(c) Carrier means railroad, as that term is defined below.
(d) Control cab locomotive means a locomotive without propelling
motors but with one or more control stands.
(e) Crack means a fracture without complete separation into parts,
except that castings with shrinkage cracks or hot tears that do not
significantly diminish the strength of the member are not considered to
be cracked.
(f) Dead locomotive means --
(1) A locomotive other than a control cab locomotive that does not
have any traction device supplying tractive power; or
(2) A control cab locomotive that has a locked and unoccupied cab.
(g) High voltage means an electrical potential of more than 150
volts.
(h) Lite locomotive means a locomotive or a consist of locomotives
not attached to any piece of equipment or attached only to a caboose.
(i) 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.
(j) MU locomotive means a multiple operated electric locomotive
described in paragraph (i)(2) or (3) of this section.
(k) Powered axle is an axle equipped with a traction device.
(l) 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.
(m) Serious injury means an injury that results in the amputation of
any appendage, the loss of sight in an eye, the fracture of a bone, or
the confinement in a hospital for a period of more than 24 consecutive
hours.
(45 FR 21109, Mar. 31, 1980, as amended at 54 FR 33229, Aug. 14,
1989)
49 CFR 229.7 Prohibited acts.
(a) The Locomotive Inspection Act (45 U.S.C. 22-34) makes it unlawful
for any carrier to use or permit to be used on its line any locomotive
unless the entire locomotive and its appurtenances --
(1) Are in proper condition and safe to operate in the service to
which they are put, without unnecessary peril to life or limb; and
(2) Have been inspected and tested as required by this part.
(b) Any person (including a railroad subject to this part and any
manager, supervisor, official, or other employee or agent of such a
railroad) who violates any requirement of this part or of the Locomotive
Inspection Act or causes the violation of any such requirement is
subject to a civil penalty of at least $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. See appendix B
to this part for a statement of agency civil penalty policy.
(45 FR 21109, Mar. 31, 1980, as amended at 53 FR 28601, July 28,
1988; 53 FR 52931, Dec. 29, 1988)
49 CFR 229.9 Movement of non-complying locomotives.
(a) Except as provided in paragraphs (b) and (c), 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
(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.
49 CFR 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.
49 CFR 229.13 Control of locomotives.
Except when a locomotive is moved in accordance with 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.
49 CFR 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.
49 CFR 229.17 Accident reports.
(a) In the case of an accident due to a failure from any cause of a
locomotive or any part or appurtenance of a locomotive, or a person
coming in contact with an electrically energized part or appurtenance,
that results in serious injury or death of one or more persons, the
carrier operating the locomotive shall immediately report the accident
by toll free telephone, Area Code 800-424-0201. The report shall state
the nature of the accident, number of persons killed or seriously
injured, the place at which it occurred, the location at which the
locomotive or the affected parts may be inspected by the FRA, and the
name, title and phone number of the person making the call. The
locomotive or the part or parts affected by the accident shall be
preserved intact by the carrier until after the FRA inspection.
(b) Written confirmation of the oral report required by paragraph (a)
of this section shall be immediately mailed to the Federal Railroad
Administration, RRS-25, Washington, DC 20590, and contain a detailed
description of the accident, including to the extent known, the causes
and the number of persons killed and injured. The written report
required by this paragraph is in addition to the reporting requirements
of 49 CFR part 225.
49 CFR 229.19 Prior waivers.
All waivers of every form and type from any requirement of any order
or regulation implementing the Locomotive Inspection Act, applicable to
one or more locomotives except those propelled by steam power, shall
lapse on August 31, 1980, unless a copy of the grant of waiver is filed
prior to that date with the Office of Safety (RRS-23), Federal Railroad
Administration, Washington, DC 20590.
49 CFR 229.19 Subpart B -- Inspections and Tests
49 CFR 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 229.9, any
conditions that constitute non-compliance with any requirement of this
part shall be repaired before the locomotive is used. A notation shall
be made on the report indicating the nature of the repairs that have
been made. The person making the repairs shall sign the report. The
report shall be filed and retained for at least 92 days in the office of
the carrier at the terminal at which the locomotive is cared for. A
record shall be maintained on each locomotive showing the place, date
and time of the previous inspection.
(b) Each MU locomotive in use shall be inspected at least once during
each calendar day and a written report of the inspection shall be made.
This report may be part of a single master report covering an entire
group of MU's. If any non-complying conditions are found, a separate,
individual report shall be made containing the name of the carrier; the
initials and number of the locomotive; the place, date, and time of the
inspection; the non-complying conditions found; and the signature of
the inspector. Except as provided in 229.9, any conditions that
constitute non-compliance with any requirement of this part shall be
repaired before the locomotive is used. A notation shall be made on the
report indicating the nature of the repairs that have been made. The
person making the repairs shall sign the report. The report shall be
filed in the office of the carrier at the place where the inspection is
made or at one central location and retained for at least 92 days.
(c) Each carrier shall designate qualified persons to make the
inspections required by this section.
(45 FR 21109, Mar. 31, 1980, as amended at 50 FR 6953, Feb. 19, 1985)
49 CFR 229.23 Periodic inspection: General.
(a) Each locomotive and steam generator shall be inspected at each
periodic inspection to determine whether it complies with this part.
Except as provided in 229.9, all non-complying conditions shall be
repaired before the locomotive or the steam generator is used. Except
as provided in 229.33, the interval between any two periodic
inspections may not exceed 92 days. Periodic inspections shall only be
made where adequate facilities are available. At each periodic
inspection, a locomotive shall be positioned so that a person may safely
inspect the entire underneath portion of the locomotive.
(b) The periodic inspection of the steam generator may be postponed
indefinitely if the water suction pipe to the water pump and the leads
to the main switch (steam generator switch) are disconnected, and the
train line shut-off-valve is wired closed or a blind gasket applied.
However, the steam generator shall be so inspected before it is returned
to use.
(c) After April 30, 1980, each new locomotive shall receive an
initial periodic inspection before it is used. Except as provided in
229.33, each locomotive in use on or before April 30, 1980, shall
receive an initial periodic inspection within 92 days of the last 30-day
inspection performed under the prior rules (49 CFR 230.331 and 230.451).
At the initial periodic inspection, the date and place of the last tests
performed that are the equivalent of the tests required by 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 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.
(d) Each periodic inspection shall be recorded on Form FRA F
6180-49A. The form shall be signed by the person conducting the
inspection and certified by that person's supervisor that the work was
done. The form shall be displayed under a transparent cover in a
conspicuous place in the cab of each locomotive.
(e) At the first periodic inspection in each calendar year the
carrier shall remove from each locomotive Form FRA F 6180-49A covering
the previous calendar year. If a locomotive does not receive its first
periodic inspection in a calendar year before April 2 because it is out
of use, the form shall be promptly replaced. The Form FRA F 6180-49A
covering the preceding year for each locomotive, in or out of use, shall
be signed by the railroad official responsible for the locomotive and
filed as required in 229.23(f). The date and place of the last periodic
inspection and the date and place of the last test performed under
229.27, 229.29, and 229.31 shall be transferred to the replacement Form
FRA F 6180-49A.
(f) The mechanical officer of each railroad who is in charge of a
locomotive shall maintain in his office a secondary record of the
information reported on Form FRA F 6180-49A under this part. The
secondary record shall be retained until Form FRA F 6180-49A has been
removed from the locomotive and filed in the railroad office of the
mechanical officer in charge of the locomotive. If the Form FRA F
6180-49A removed from the locomotive is not clearly legible, the
secondary record shall be retained until the Form FRA F 6180-49A for the
succeeding year is filed. The Form F 6180-49A removed from a locomotive
shall be retained until the Form FRA F 6180-49A for the succeeding year
is filed.
(45 FR 21109, Mar. 31, 1980, as amended at 45 FR 39852, June 12,
1980; 50 FR 6953, Feb. 19, 1985)
49 CFR 229.25 Tests: Every periodic inspection.
Each periodic inspection shall include the following:
(a) All gauges used by the engineer for braking the train or
locomotive, except load meters used in conjunction with an auxiliary
brake system, shall be tested by comparison with a dead-weight tester or
a test gauge designed for this purpose.
(b) All electrical devices and visible insulation shall be inspected.
(c) All cable connections between locomotives and jumpers that are
designed to carry 600 volts or more shall be thoroughly cleaned,
inspected, and tested for continuity.
(d) Each steam generator that is not isolated as prescribed in
229.23(b) shall be inspected and tested as follows:
(1) All automatic controls, alarms and protective devices shall be
inspected and tested.
(2) Steam pressure gauges shall be tested by comparison with a
dead-weight tester or a test gauge designed for this purpose. The
siphons to the steam gauges shall be removed and their connections
examined to determine that they are open.
(3) Safety valves shall be set and tested under steam after the steam
pressure gauge is tested.
49 CFR 229.27 Annual tests.
Each locomotive shall be subjected to the tests and inspections
included in paragraphs (b) and (c) of this section, and each non-MU
locomotive shall also be subjected to the tests and inspections included
in paragraph (a) of this section, at intervals that do not exceed 368
calendar days:
(a)(1) The filtering devices or dirt collectors located in the main
reservoir supply line to the air brake system shall be cleaned,
repaired, or replaced.
(2) Brake cylinder relay valve portions, main reservoir safety
valves, brake pipe vent valve portions, feed and reducing valve portions
in the air brake system (including related dirt collectors and filters)
shall be cleaned, repaired, and tested.
(3) The date and place of the cleaning, repairing, and testing shall
be recorded on Form FRA F 6180-49A and the person performing the work
and that person's supervisor shall sign the form. A record of the parts
of the air brake system that are cleaned, repaired, and tested shall be
kept in the carrier's files or in the cab of the locomotive.
(4) At its option, a carrier may fragment the work required by this
paragraph. In that event, a separate air record shall be maintained
under a transparent cover in the cab. The air record shall include the
locomotive number, a list of the air brake components, and the date and
place of the last inspection and test of each component. The signature
of the person performing the work and the signature of that person's
supervisor shall be included for each component. A duplicate record
shall be maintained in the carrier's files.
(b) Load meters shall be tested. Errors of less than five percent do
not have to be corrected. The date and place of the test shall be
recorded on Form FRA F 6180-49A and the person conducting the test and
that person's supervisor shall sign the form.
(c) Each steam generator that is not isolated as prescribed in
229.23(b), shall be subjected to a hydrostatic pressure at least 25
percent above the working pressure and the visual return water-flow
indicator shall be removed and inspected.
Editorial Note: For a limited temporary waiver of compliance
document affecting 229.27 (a)(2), see 50 FR 3910, Jan. 29, 1985.
49 CFR 229.29 Biennial tests.
(a) Except for the valves and valve portions on non-MU locomotives
that are cleaned, repaired, and tested as prescribed in 229.27(a), all
valves, valve portions, MU locomotive brake cylinders and
electric-pneumatic master controllers in the air brake system (including
related dirt collectors and filters) shall be cleaned, repaired, and
tested at intervals that do not exceed 736 calendar days. The date and
place of the cleaning, repairing, and testing shall be recorded on Form
FRA F 6180-49A, and the person performing the work and that person's
supervisor shall sign the form. A record of the parts of the air brake
system that are cleaned, repaired, and tested shall be kept in the
carrier's files or in the cab of the locomotive.
(b) At its option, a carrier may fragment the work required by this
section. In that event, a separate air record shall be maintained under
a transparent cover in the cab. The air record shall include the
locomotive number, a list of the air brake components, and the date and
place of the inspection and test of each component. The signature of
the person performing the work and the signature of that person's
supervisor shall be included for each component. A duplicate record
shall be maintained in the carrier's files.
Editorial Note: For a limited temporary waiver of compliance
document affecting 229.29(a), see 50 FR 3910, Jan. 29, 1985.
49 CFR 229.31 Main reservoir tests.
(a) Except as provided in paragraph (c) of this section, before it is
put in service and at intervals that do not exceed 736 calendar days,
each main reservoir other than an aluminum reservoir shall be subjected
to a hydrostatic pressure of at least 25 percent more than the maximum
working pressure fixed by the chief mechanical officer. The test date,
place, and pressure shall be recorded on Form FRA F 6180-49A, and the
person performing the test and that person's supervisor shall sign the
form.
(b) Except as provided in paragraph (c) of this section, each main
reservoir other than an aluminum reservoir shall be hammer tested over
its entire surface while the reservoir is empty at intervals that do not
exceed 736 calendar days. The test date and place shall be recorded on
Form FRA F 6180-49A, and the person performing the test and that
person's supervisor shall sign the form.
(c) Each welded main reservoir originally constructed to withstand at
least five times the maximum working pressure fixed by the chief
mechanical officer may be drilled over its entire surface with telltale
holes that are three-sixteenths of an inch in diameter. The holes shall
be spaced not more than 12 inches apart, measured both longitudinally
and circumferentially, and drilled from the outer surface to an extreme
depth determined by the formula --
D=(.6PR/(S-0.6P))
where:
D=extreme depth of telltale holes in inches but in no case less than
one-sixteenth inch;
P=certified working pressure in pounds per square inch;
S=one-fifth of the minimum specified tensile strength of the material
in pounds per square inch; and
R=inside radius of the reservoir in inches.
One row of holes shall be drilled lengthwise of the reservoir on a
line intersecting the drain opening. A reservoir so drilled does not
have to meet the requirements of paragraphs (a) and (b) of this section,
except the requirement for a hydrostatic test before it is placed in
use. Whenever any such telltale hole shall have penetrated the interior
of any reservoir, the reservoir shall be permanently withdrawn from
service. A reservoir now in use may be drilled in lieu of the tests
provided for by paragraphs (a) and (b) of this section, but it shall
receive a hydrostatic test before it is returned to use.
(d) Each aluminum main reservoir before being placed in use and at
intervals that do not exceed 736 calendar days thereafter, shall be --
(1) Cleaned and given a thorough visual inspection of all internal
and external surfaces for evidence of defects or deterioration; and
(2) Subjected to a hydrostatic pressure at least twice the maximum
working pressure fixed by the chief mechanical officer, but not less
than 250 p.s.i. The test date, place, and pressure shall be recorded on
Form FRA F 6180-49A, and the person conducting the test and that
person's supervisor shall sign the form.
49 CFR 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
229.23, 229.25, 229.27, 229.29, or 229.31, an out-of-use notation
showing the number of out-of-use days shall be made on an inspection
line on Form FRA F 6180-49A. A supervisory employee of the carrier who
is responsible for the locomotive shall attest to the notation. If the
locomotive is out of use for one or more periods of at least 30
consecutive days each, the interval prescribed for any test or
inspection under this part may be extended by the number of days in each
period the locomotive is out of use since the last test or inspection in
question. A movement made in accordance with 229.9 is not a use for
purposes of determining the period of the out-of-use credit.
49 CFR 229.33 Subpart C -- Safety Requirements
49 CFR 229.33 General Requirements
49 CFR 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.
49 CFR 229.43 Exhaust and battery gases.
(a) Products of combustion shall be released entirely outside the cab
and other compartments. Exhaust stacks shall be of sufficient height or
other means provided to prevent entry of products of combustion into the
cab or other compartments under usual operating conditions.
(b) Battery containers shall be vented and batteries kept from
gassing excessively.
49 CFR 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.
49 CFR 229.45 Brake System
49 CFR 229.46 Brakes: General.
The carrier shall know before each trip that the locomotive brakes
and devices for regulating all pressures, including but not limited to
the automatic and independent brake valves, operate as intended and that
the water and oil have been drained from the air brake system.
49 CFR 229.47 Emergency brake value.
(a) Except for locomotives with cabs designed for occupancy by only
one person, each road locomotive shall be equipped with a brake pipe
valve that is accessible to a member of the crew, other than the
engineer, from that crew member's position in the cab. On car body type
locomotives, a brake pipe valve shall be attached to the wall adjacent
to each end exit door. The words ''Emergency Brake Valve'' shall be
legibly stenciled or marked near each brake pipe valve or shall be shown
on an adjacent badge plate.
(b) MU and control cab locomotives operated in road service shall be
equipped with an emergency brake valve that is accessible to another
crew member in the passenger compartment or vestibule. The words
''Emergency Brake Valve'' shall be legibly stenciled or marked near each
valve or shall be shown on an adjacent badge plate.
49 CFR 229.49 Main reservoir system.
(a)(1) The main reservoir system of each locomotive shall be equipped
with at least one safety valve that shall prevent an accumulation of
pressure of more than 15 pounds per square inch above the maximum
working air pressure fixed by the chief mechanical officer of the
carrier operating the locomotive.
(2) Except for non-equipped MU locomotives built prior to January 1,
1981, each locomotive that has a pneumatically actuated system of power
controls shall be equipped with a separate reservoir of air under
pressure to be used for operating those power controls. The reservoir
shall be provided with means to automatically prevent the loss of
pressure in the event of a failure of main air pressure, have storage
capacity for not less than three complete operating cycles of control
equipment and be located where it is not exposed to damage.
(b) A governor shall be provided that stops and starts or unloads and
loads the air compressor within 5 pounds per square inch above or below
the maximum working air pressure fixed by the carrier.
(c) Each compressor governor used in connection with the automatic
air brake system shall be adjusted so that the compressor will start
when the main reservoir pressure is not less than 15 pounds per square
inch above the maximum brake pipe pressure fixed by the carrier and will
not stop the compressor until the reservoir pressure has increased at
least 10 pounds.
49 CFR 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, D.C. 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.
49 CFR 229.53 Brake gauges.
All gauges used by the engineer for braking the train or locomotive
shall be located so that they may be conveniently read from the
engineer's usual position in the cab. An air gauge may not be more than
three pounds per square inch in error.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 229.59 Draft System
49 CFR 229.61 Draft system.
(a) A coupler may not have any of the following conditions:
(1) A distance between the guard arm and the knuckle nose of more
than 5 1/8 inches on standard type couplers (MCB contour 1904) or more
than 5 5/16 inches on D&E couplers.
(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.
Insert illustration 0408
(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.
49 CFR 229.61 Suspension System
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 229.75 Wheels and tire defects.
Wheels and tires may not have any of the following conditions:
(a) A single flat spot that is 2 1/2 inches or more in length, or two
adjoining spots that are each two or more inches in length.
(b) A gouge or chip in the flange that is more than 1 1/2 inches in
length and 1/2 inch in width.
(c) A broken rim, if the tread, measured from the flange at a point
five-eighths inch above the tread, is less than 3 3/4 inches in width.
(d) A shelled-out spot 2 1/2 inches or more in length, or two
adjoining spots that are each two or more inches in length.
(e) A seam running lengthwise that is within 3 3/4 inches of the
flange.
(f) A flange worn to a 7/8 inch thickness or less, gauged at a point
3/8 inch above the tread.
(g) A tread worn hollow 5/16 inch or more on a locomotive in road
service or 3/8 inch or more on a locomotive in switching service.
(h) A flange height of 1 1/2 inches or more measured from tread to
the top of the flange.
(i) Tires less than 1 1/2 inches thick.
(j) Rims less than 1 inch thick on a locomotive in road service or
less than 3/4 inch on a locomotive in yard service.
(k) A crack or break in the flange, tread, rim, plate, or hub.
(l) A loose wheel or tire.
(m) Fusion welding may not be used on tires or steel wheels of
locomotives, except for the repair of flat spots and worn flanges on
locomotives used exclusively in yard service. A wheel that has been
welded is a welded wheel for the life of the wheel.
49 CFR 229.75 Electrical System
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 229.83 Insulation or grounding of metal parts.
All unguarded noncurrent-carrying metal parts subject to becoming
charged shall be grounded or thoroughly insulated.
49 CFR 229.85 Doors and cover plates marked ''Danger''.
All doors and cover plates guarding high voltage equipment shall be
marked ''Danger -- High Voltage'' or with the word ''Danger'' and the
normal voltage carried by the parts so protected.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 229.91 Internal Combustion Equipment
49 CFR 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.
49 CFR 229.95 Venting.
Fuel tank vent pipes may not discharge on the roof nor on or between
the rails.
49 CFR 229.97 Grounding fuel tanks.
Fuel tanks and related piping shall be electrically grounded.
49 CFR 229.99 Safety hangers.
Drive shafts shall have safety hangers.
49 CFR 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
229.115(b).
49 CFR 229.101 Steam Generators
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 229.113 Warning notice.
Whenever any steam generator has been shut down because of defects, a
distinctive warning notice giving reasons for the shut-down shall be
conspicuously attached near the steam generator starting controls until
the necessary repairs have been made. The locomotive in which the steam
generator displaying a warning notice is located may continue in service
until the next periodic inspection.
49 CFR 229.113 Cabs and Cab Equipment
49 CFR 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 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.
49 CFR 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.
(b) Each speed indicator required shall be tested as soon as possible
after departure by means of speed test sections or equivalent
procedures.
49 CFR 229.119 Cabs, floors, and passageways.
(a) Cab seats shall be securely mounted and braced. Cab doors shall
be equipped with a secure and operable latching device.
(b) Cab windows of the lead locomotive shall provide an undistorted
view of the right-of-way for the crew from their normal position in the
cab. (See also, Safety Glazing Standards, 49 CFR part 223, 44 FR 77348,
Dec. 31, 1979.)
(c) Floors of cabs, passageways, and compartments shall be kept free
from oil, water, waste or any obstruction that creates a slipping,
tripping or fire hazard. Floors shall be properly treated to provide
secure footing.
(d) The cab shall be provided with proper ventilation and with a
heating arrangement that maintains a temperature of at least 50 degrees
Fahrenheit 6 inches above the center of each seat in the cab.
(e) Similar locomotives with open end platforms coupled in multiple
control and used in road service shall have a means of safe passage
between them; no passageway is required through the nose of car body
locomotives. There shall be a continuous barrier across the full width
of the end of a locomotive or a continuous barrier between locomotives.
(f) Containers shall be provided for carrying fusees and torpedoes.
A single container may be used if it has a partition to separate fusees
from torpedoes. Torpedoes shall be kept in a closed metal container.
49 CFR 229.121 Locomotive cab noise.
(a) After August 31, 1980, the permissible exposure to a continuous
noise in a locomotive cab shall not exceed an eight-hour time-weighted
average of 90dB(A), with a doubling rate of 5dB(A) as indicated in the
table. Continuous noise is any sound with a rise time of more than 35
milliseconds to peak intensity and a duration of more than 500
milliseconds to the time when the level is 20dB below the peak.
(b) When the continuous noise exposure is composed of two or more
periods of noise exposure of different levels, their combined effect
shall be considered. Exposure to different levels for various periods
of time shall be computed according to the following formula:
D=T1/L1+T2/L2+. . . . Tn/Ln
Where:
D = noise dose.
T = the duration of exposure (in hours) at a given continuous noise
level.
L = the limit (in hours) for the level present during the time T
(from the table).
If the value of D exceeds 1, the exposure exceeds permissible levels.
(c) Exposure to continuous noise shall not exceed 115dB(A).
(d) Noise measurements shall be made under typical operating
conditions using a sound level meter conforming, at a minimum, to the
requirements of ANSI S1.4-1971, Type 2, and set to an A-weighted slow
response or with an audiodosimeter of equivalent accuracy and precision.
(e) In conducting sound level measurements with a sound level meter,
the microphone shall be oriented vertically and positioned approximately
15 centimeters from and on axis with the crew member's ear.
Measurements with an audiodosimeter shall be conducted in accordance
with manufacturer's procedures as to microphone placement and
orientation.
49 CFR 229.123 Pilots, snowplows, end plates.
After January 1, 1981, each lead locomotive shall be equipped with an
end plate that extends across both rails, a pilot, or a snowplow. The
minimum clearance above the rail of the pilot, snowplow or end plate
shall be 3 inches, and the maximum clearance 6 inches.
49 CFR 229.125 Headlights.
(a) Each lead locomotive used in road service shall have a headlight
that produces at least 200,000 candela. If a locomotive or locomotive
consist in road service is regularly required to run backward for any
portion of its trip other than to pick up a detached portion of its
train or to make terminal movements, it shall also have on its rear a
headlight that produces at least 200,000 candela. Each headlight shall
be arranged to illuminate a person at least 800 feet ahead and in front
of the headlight.
(b) Each locomotive or locomotive consist used in yard service shall
have two headlights, one located on the front of the locomotive or
locomotive consist and one on its rear. Each headlight shall produce at
least 60,000 candela and shall be arranged to illuminate a person at
least 300 feet ahead and in front of the headlight.
(c) Headlights shall be provided with a device to dim the light.
49 CFR 229.127 Cab lights.
(a) Each locomotive shall have cab lights which will provide
sufficient illumination for the control instruments, meters, and gauges
to enable the engine crew to make accurate readings from their normal
positions in the cab. These lights shall be located, constructed, and
maintained so that light shines only on those parts requiring
illumination and does not interfere with the crew's vision of the track
and signals. Each controlling locomotive shall also have a conveniently
located light that can be readily turned on and off by the persons
operating the locomotive and that provides sufficient illumination for
them to read train orders and timetables.
(b) Cab passageways and compartments shall have adequate
illumination.
49 CFR 229.129 Audible warning device.
(a) After August 31, 1980, each lead locomotive shall be provided
with an audible warning device that produces a minimum sound level of
96db(A) at 100 feet forward of the locomotive in its direction of
travel. The device shall be arranged so that it can be conveniently
operated from the engineer's normal position in the cab.
(b) Measurement of the sound level shall be made using a sound level
meter conforming, at a minimum, to the requirements of ANSI S1.4-1971,
Type 2, and set to an A-weighted slow response. While the locomotive is
on level tangent track, the microphone shall be positioned 4 feet above
the ground at the center line of the track, and shall be oriented with
respect to the sound source in accordance with the manufacturer's
recommendations.
(c) A 4dB(A) measurement tolerance is allowable for a given
measurement.
49 CFR 229.131 Sanders.
Except for MU locomotives, each locomotive shall be equipped with
operable sanders that deposit sand on each rail in front of the first
power operated wheel set in the direction of movement.
49 CFR 229.131 Subpart D -- Design Requirements
49 CFR 229.141 Body structure, MU locomotives.
(a) MU locomotives built new after April 1, 1956 that are operated in
trains having a total empty weight of 600,000 pounds or more shall have
a body structure designed to meet or exceed the following minimum
specifications:
(1) The body structure shall resist a minimum static end load of
800,000 pounds at the rear draft stops ahead of the bolster on the
center line of draft, without developing any permanent deformation in
any member of the body structure.
(2) An anti-climbing arrangement shall be applied at each end that is
designed so that coupled MU locomotives under full compression shall
mate in a manner that will resist one locomotive from climbing the
other. This arrangement shall resist a vertical load of 100,000 pounds
without exceeding the yield point of its various parts or its
attachments to the body structure.
(3) The coupler carrier and its connections to the body structure
shall be designed to resist a vertical downward thrust from the coupler
shank of 100,000 pounds for any horizontal position of the coupler,
without exceeding the yield points of the materials used. When yielding
type of coupler carrier is used, an auxiliary arrangement shall be
provided that complies with these requirements.
(4) The outside end of each locomotive shall be provided with two
main vertical members, one at each side of the diaphragm opening; each
main member shall have an ultimate shear value of not less than 300,000
pounds at a point even with the top of the underframe member to which it
is attached. The attachment of these members at bottom shall be
sufficient to develop their full shear value. If reinforcement is used
to provide the shear value, the reinforcement shall have full value for
a distance of 18 inches up from the underframe connection and then taper
to a point approximately 30 inches above the underframe connection.
(5) The strength of the means of locking the truck to the body shall
be at least the equivalent of an ultimate shear value of 250,000 pounds.
(b) MU locomotives built new after April 1, 1956 that are operated in
trains having a total empty weight of less than 600,000 pounds shall
have a body structure designed to meet or exceed the following minimum
specifications:
(1) The body structure shall resist a minimum static end load of
400,000 pounds at the rear draft stops ahead of the bolster on the
center line of draft, without developing any permanent deformation in
any member of the body structure.
(2) An anti-climbing arrangement shall be applied at each end that is
designed so that coupled locomotives under full compression shall mate
in a manner that will resist one locomotive from climbing the other.
This arrangement shall resist a vertical load of 75,000 pounds without
exceeding the yield point of its various parts or its attachments to the
body structure.
(3) The coupler carrier and its connections to the body structure
shall be designed to resist a vertical downward thrust from the coupled
shank of 75,000 pounds for any horizontal position of the coupler,
without exceeding the yield points of the materials used. When a
yielding type of coupler carrier 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.
49 CFR 229.141 Pt. 229, App. A
49 CFR 229.141 Appendix A to Part 229 -- Form FRA 6180-49A
Editorial Note: Appendix A, published at 45 FR 21118, Mar. 31,
1980, as part of the original document, is not carried in the CFR.
Copies of Form FRA F6180-49A are available by contacting the Federal
Railroad Administration, Office of Standards and Procedures, 400 7th
St., SW., Washington, DC 20590.
49 CFR 229.141 Pt. 229, App. B
(53 FR 52931, Dec. 29, 1988)
49 CFR 229.141 -- Pt. 229, App. C
49 CFR 229.141 -- 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.
49 CFR 229.141 -- PART 230 -- LOCOMOTIVE INSPECTION
Authority: 45 U.S.C. 22-34, as amended; 49 App. U.S.C. 1655(e), as
amended; Pub. L. 100-342; and 49 CFR 1.49 (c) and (g).
49 CFR 230.0 Steam powered locomotives.
(a) Any person (including a railroad subject to this part and any
manager, supervisor, official, or other employee or agent of such a
railroad) who violates any requirement of 49 CFR part 230, subpart A (
230.1 to 230.55) or subpart B ( 230.101 to 230.162) as in effect on
October 1, 1978, or of the Locomotive Inspection Act, or causes the
violation of any such requirement is subject to a civil penalty of at
least $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.
(b) Any interested person may consult the October 1, 1978 revision of
49 CFR parts 200-999 or obtain a copy of these regulations by contacting
the Federal Railroad Administration, Office of Standards and Procedures,
400 7th St., SW., Washington, DC 20590.
(45 FR 21109, Mar. 31, 1980, as amended at 53 FR 28602, July 28,
1988)
49 CFR 230.0 PART 231 -- RAILROAD SAFETY APPLIANCE STANDARDS
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.
Appendix A to Part 231 -- Schedule of Civil Penalties
Authority: 45 U.S.C. 2, 4, 6, 8, 10, and 11-16, as amended; 49 App.
U.S.C. 1655(e), as amended; Pub. L. 100-342; and 49 CFR 1.49 (c) and
(g).
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.
49 CFR 231.0 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. See appendix A
to this part for a statement of agency civil penalty policy.
(54 FR 33229, Aug. 14, 1989)
49 CFR 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 231.27
or 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 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.)
INSERT ILLUS. 45A
(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.)
(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 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 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 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.)
INSERT ILLUS. 46A
(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 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)
49 CFR 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 231.1(a)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(a)(4)).
(b) Brake step. Same as specified for ''Box and other house cars''
(see 231.1 (b)).
(c) Sill steps. Same as specified for ''Box and other house cars''
(see 231.1(d)).
(d) Ladders -- (1) Number. Same as specified for ''Box and other
house cars'' (see 231.1(e)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(e)(3)).
(4) Manner of application. Same as specified for ''Box and other
house cars'' (see 231.1(e)(4)).
(e) Side handholds. Same as specified for ''Box and other house
cars'' (see 231.1(h)).
(f) Horizontal end handholds. Same as specified for ''Box and other
house cars'' (see 231.1(i)).
(g) Vertical end handholds. Same as specified for ''Box and other
house cars'' (see 231.1(j)).
(h) Uncoupling levers. Same as specified for ''Box and other house
cars'' (see 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.
49 CFR 231.3 Drop-end high-side gondola cars.
(a) Hand brakes -- (1) Number. Same as specified for ''Box and other
house cars'' (see 231.1(a)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(a)(4)).
(b) Sill steps. Same as specified for ''Box and other house cars''
(see 231.1(d)).
(c) Ladders -- (1) Number. Two.
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(e)(4)).
(d) Side handholds. Same as specified for ''Box and other house
cars'' (see 231.1(h)).
(e) Horizontal end handholds -- (1) Number. Four.
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(i)(4)).
(f) Uncoupling levers. Same as specified for ''Box and other house
cars'' (see 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.
49 CFR 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 231.1(a)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(a)(4)).
(b) Brake step. Same as specified for ''Box and other house cars''
(see 231.1(b)).
(c) Sill steps. Same as specified for ''Box and other house cars''
(see 231.1(d)).
(d) Side handholds -- (1) Number. Same as specified for ''Box and
other house cars'' (see 231.1(h)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(h)(4)).
(e) Horizontal end handholds -- (1) Number. Same as specified for
''Box and other house cars'' (see 231.1(i)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(i)(4)).
(f) Uncoupling levers. Same as specified for ''Box and other house
cars'' (see 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.
49 CFR 231.5 Drop-end low-side gondola cars.
(a) Hand brakes -- (1) Number. Same as specified for ''Box and other
house cars'' (see 231.1(a)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 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 231.1(d)).
(c) Side handholds -- (1) Number. Same as specified for ''Box and
other house cars'' (see 231.1(h)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(h)(4)).
(d) End handholds -- (1) Number. Four.
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(i)(4)).
(e) Uncoupling levers. Same as specified for ''Box and other house
cars'' (see 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.
49 CFR 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 231.1(a)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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.
(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 231.1(a)(4)).
(b) Sill steps. Same as specified for ''Box and other house cars''
(see 231.1(d)).
(c) Side handholds -- (1) Number. Same as specified for ''Box and
other house cars'' (see 231.1(h)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(h)(4)).
(d) End handholds -- (1) Number. Four.
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(i)(4)).
(e) Uncoupling levers. Same as specified for ''Box and other house
cars'' (see 231.1(k)).
49 CFR 231.7 Tank cars with side platforms.
(a) Hand brakes -- (1) Number. Same as specified for ''Box and other
house cars'' (see 231.1(a)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(a)(4)).
(b) Sill steps. Same as specified for ''Box and other house cars''
(see 231.1(d)).
(c) Side handholds -- (1) Number. Four or more.
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(h)(4)).
(d) End handholds -- (1) Number. Four.
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 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 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.
49 CFR 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 231.1(a)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(a)(4)).
(b) Running boards -- (1) Number. One continuous running board
around sides 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 231.1(d)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 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 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 231.1(h)(4)).
(f) End handholds -- (1) Number. Four.
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 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 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.
49 CFR 231.9 Tank cars without end sills.
(a) Hand brakes -- (1) Number. Same as specified for ''Box and other
house cars'' (see 231.1(a)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(a)(4)).
(b) Brake step. Same as specified for ''Box and other house cars''
(see 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.)
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 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 231.1(h)(4)).
(f) End handholds -- (1) Number. Four.
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 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 231.1(k)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 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 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.
49 CFR 231.10 Caboose cars with platforms.
Note: a. The term ''bottom of car'' as used in 231.10 is construed
to mean ''bottom of side-sill or sheathing over side-sill.''
b. The term ''corner of car'' as used in 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 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 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 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 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 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 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 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.
(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 231.1(h)(4)).
(g) End handholds -- (1) Number. Four.
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 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 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
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:
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 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)
49 CFR 231.11 Caboose cars without platforms.
(a) Hand brakes -- (1) Number. Same as specified for ''Box and other
house cars'' (see 231.1(a)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 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 231.1(a)(4)).
(b) Brake step. Same as specified for ''Box and other house cars''
(see 231.1(b)).
(c) Running boards -- (1) Number. Same as specified for ''Box and
other house cars'' (see 231.1(c)(1)).
(2) Dimension. Same as specified for ''Box and other house cars''
(see 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 231.1(c)(4)).
(d) Sill steps. Same as specified for ''Box and other house cars''
(see 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 231.1(e)(2)).
(3) Location. Same as specified for ''Box and other house cars''
(see 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 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 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 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 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 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 231.1(i)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars.''
(see 231.1(i)(2)).
(3) Location. (i) Same as specified for ''Box and other house cars''
(see 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 231.1(i)(4)).
(m) Vertical end handholds. Same as specified for ''Box and other
house cars'' (see 231.1(j)).
(n) Uncoupling levers. Same as specified for ''Box and other house
cars'' (see 231.1(k)).
49 CFR 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.
49 CFR 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.
(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.
49 CFR 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.
(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.
49 CFR 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 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 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.
49 CFR 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.
(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.
49 CFR 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.
(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.
49 CFR 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.
49 CFR 231.19 Definition of ''Right'' and ''Left.''
Right or Left refers to side of person when facing end or side of car
from ground.
49 CFR 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.
49 CFR 231.21 Tank cars without underframes.
(a) Hand brakes -- (1) Number. Same as specified for ''Box and other
house cars'' (see 231.1(a)(1)).
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 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 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 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.
(4) Manner of application. Same as prescribed for ''Box and other
house cars'' (see 231.1(h)(4)).
(g) End handholds -- (1) Number. Four.
(2) Dimensions. Same as specified for ''Box and other house cars''
(see 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 231.1(i)(4)).
(h) Uncoupling levers. Same as specified for ''Box and other house
cars'' (see 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)
49 CFR 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, hand cars, or similar cars or equipment.
49 CFR 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 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.
49 CFR 231.24 Box and other house cars with roofs, 16 feet 10 inches or
more above top of rail. 1 013
(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 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)
0131(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 231.27(a) through
(h) and (j) or, if it has roof hatches, as specified in 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 231.24; or
(2) As specified in 231.27(a) through (h) and (j); or
(3) If it has roof hatches, as specified in 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 231.1; or
(2) As specified in 231.1 and 231.27(i); or
(3) As specified in 231.27(a) through (h) and (j); or
(4) If it has roof hatches, as specified in 231.28.
49 CFR 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 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.
49 CFR 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.
49 CFR 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.
(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, 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) 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 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 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 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)
49 CFR 231.28 Box and other house cars with roof hatches built or
placed in service after October 1, 1966.
The specifications of 231.27 shall apply except as to the following:
(a) Running boards. Same as specified in 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 231.1.
(c) Roof handholds -- (1) Number. Two (2), one (1) over each ladder.
(2) Dimensions. Same as specified in 231.1.
(3) Location. On roof of car. One (1) parallel to treads of each
ladder, not less than eight (8) nor more than fifteen (15) inches from
edge of roof, except on refrigerator cars where ice hatches prevent,
when location may be nearer edge of roof.
(4) Manner of application. Same as specified in 231.1.
(d) End handholds. (Treads of end ladders are end handholds.) Same
as specified for 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 231.1 and of this section when: Equipped as specified in 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 231.27(i); and
when handbrake is operated near roof of car a brake step shall be
provided as specified by 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
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)
49 CFR 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 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)
49 CFR 231.30 Locomotives used in switching service.
(a) General requirements. (1) Except for steam locomotives equipped
as provided in 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 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.
(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 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 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 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.
INSERT ILLUS.
OMITT500000000 ED
INSERT ILLUS. 48A
(41 FR 37783, Sept. 8, 1976)
49 CFR 231.30 Pt. 231, App. A
49 CFR 231.30 Appendix A to Part 231 -- Schedule of Civil Penalties
For violations of this part or related provisions of the Safety
Appliance Acts, 45 U.S.C. 1-16, the Federal Railroad Administration will
follow these guidelines:
(1) For ordinary violations, FRA will assess a penalty of $1,000.
(2) For willful violations, FRA will assess a penalty of $2,000.
A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49 CFR
part 209, appendix A.
(53 FR 28602, July 28, 1988)
(53 FR 52933, Dec. 29, 1988)
Editorial Note: At 53 FR 52933, Dec. 29, 1988, appendix A to part
231 was added. However, appendix A to part 231 was previously added at
53 FR 28602, July 28, 1988; therefore, two appendices are currently
designated as appendix A to part 231. At a later date, the Federal
Railroad Administration will publish a document in the Federal Register
to correctly redesignate or remove one of these appendices.
49 CFR 231.30 -- 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 air brake tests.
232.13 Road train and intermediate terminal train airbrake 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 -- Schedule of Civil Penalties
Appendix B to Part 232 -- Specifications and Requirements for Power
Brakes and Appliances for Operating Power-Brake Systems for Freight
Service
Authority: 45 U.S.C. 1, 3, 5, 6, 8-12, and 16, as amended; 49 App.
U.S.C. 1655(e), as amended; Pub. L. 100-342; and 49 CFR 1.49 (c) and
(g).
Source: 33 FR 19679, Dec. 25, 1968, unless otherwise noted.
49 CFR 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.
(54 FR 33230, Aug. 14, 1989)
49 CFR 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.
49 CFR 232.2 Drawbars; standard height.
Except on cars specified in the proviso in section 6 of the Safety
Appliance Act of March 2, 1893 (sec. 6, 27 Stat. 532, 45 U.S.C. 6) as
the same was amended April 1, 1896 (29 Stat. 85; 45 U.S.C. 6) the
standard height of drawbars heretofore designated in compliance with law
is hereby modified and changed in the manner hereinafter prescribed, to
wit: The maximum height of drawbars for freight cars measured
perpendicularly from the level of the tops of rails to the centers of
drawbars for standard-gauge railroads in the United States subject to
said act shall be 34 1/2 inches, and the minimum height of drawbars for
freight cars on such standard-gauge railroads measured in the same
manner shall be 31 1/2 inches, and on narrow-gauge railroads in the
United States subject to said act the maximum height of drawbars for
freight cars measured from the level of the tops of rails to the centers
of drawbars shall be 26 inches, and the minimum height of drawbars for
freight cars on such narrow-gauge railroads measured in the same manner
shall be 23 inches, and on 2-foot-gauge railroads in the United States
subject to said act the maximum height of drawbars for freight cars
measured from the level of the tops of rails to the centers of drawbars
shall be 17 1/2 inches, and the minimum height of drawbars for freight
cars on such 2-foot-gauge railroads measured in the same manner shall be
14 1/2 inches.
49 CFR 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.)
49 CFR 232.3 Rules for Inspection, Testing and Maintenance of Air Brake Equipment
49 CFR 232.10 General rules; locomotives.
(a) Air brake and hand brake equipment on locomotives including
tender must be inspected and maintained in accordance with the
requirements of the Locomotive Inspection and United States Safety
Appliance Acts and related orders and regulations of the Federal
Railroad Administrator (FRA).
(b) It must be known that air brake equipment on locomotives is in a
safe and suitable condition for service.
(c) Compressor or compressors must be tested for capacity by orifice
test as often as conditions require but not less frequently than
required by law and orders of the FRA.
(d) Main reservoirs shall be subjected to tests periodically as
required by law and orders of the FRA.
(e) Air guages must be tested periodically as required by law and
orders of the FRA, and whenever any irregularity is reported. They
shall be compared with an accurate deadweight tester, or test gauge.
Gauges found inaccurate or defective must be repaired or replaced.
(f)(1) All operating portions of air brake equipment together with
dirt collectors and filters must be cleaned, repaired and tested as
often as conditions require to maintain them in a safe and suitable
condition for service, and not less frequently than required by law and
orders of the FRA.
(2) On locomotives so equipped, hand brakes, parts, and connections
must be inspected, and necessary repairs made as often as the service
requires, with date being suitably stencilled or tagged.
(g) The date of testing or cleaning of air brake equipment and the
initials of the shop or station at which the work was done shall be
placed on a card displayed under transparent covering in the cab of each
locomotive unit.
(h)(1) Minimum brake cylinder piston travel must be sufficient to
provide proper brake shoe clearance when brakes are released.
(2) Maximum brake cylinder piston travel when locomotive is standing
must not exceed the following:
(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:
49 CFR 232.11 Train air brake system tests.
(a) Supervisors are jointly responsible with inspectors, enginemen
and trainmen for condition of air brake and air signal equipment on
motive power and cars to the extent that it is possible to detect
defective equipment by required air tests.
(b) Communicating signal system on passenger equipment trains must be
tested and known to be in a suitable condition for service before
leaving terminal.
(c) Each train must have the air brakes in effective operating
condition, and at no time shall the number and location of operative air
brakes be less than permitted by Federal requirements. When piston
travel is in excess of 10 1/2 inches, the air brake cannot be considered
in effective operating condition.
(d) Condensation must be blown from the pipe from which air is taken
before connecting yard line or motive power to train.
(33 FR 19679, Dec. 25, 1968, as amended at 47 FR 36794, Aug. 23,
1982)
49 CFR 232.12 Initial terminal road train airbrake tests.
(a)(1) Each train must be inspected and tested as specified in this
section by a qualified person at points --
(i) Where the train is originally made up (initial terminal);
(ii) Where train consist is changed, other than by adding or removing
a solid block of cars, and the train brake system remains charged; and
(iii) Where the train is received in interchange if the train consist
is changed other than by --
(A) Removing a solid block of cars from the head end or rear end of
the train;
(B) Changing motive power;
(C) Removing or changing the caboose; or
(D) Any combination of the changes listed in (A), (B), and (C) of
this subparagraph.
Where a carman is to perform the inspection and test under existing
or future collective bargaining agreement, in those circumstances a
carman alone will be considered a qualified person.
(2) A qualified person participating in the test and inspection or
who has knowledge that it was made shall notify the engineer that the
initial terminal road train air brake test has been satisfactorily
performed. The qualified person shall provide the notification in
writing if the road crew will report for duty after the qualified person
goes off duty. The qualified person also shall provide the notification
in writing if the train that has been inspected is to be moved in excess
of 500 miles without being subjected to another test pursuant to either
this section or 232.13 of this part.
(Approved by the Office of Management and Budget under OMB control
number 2130-0008)
(b) Each carrier shall designate additional inspection points not
more than 1,000 miles apart where intermediate inspection will be made
to determine that --
(1) Brake pipe pressure leakage does not exceed five pounds per
minute;
(2) Brakes apply on each car in response to a 20-pound service brake
pipe pressure reduction; and
(3) Brake rigging is properly secured and does not bind or foul.
(c) Train airbrake system must be charged to required air pressure,
angle cocks and cutout cocks must be properly positioned, air hose must
be properly coupled and must be in condition for service. An
examination must be made for leaks and necessary repairs made to reduce
leakage to a minimum. Retaining valves and retaining valve pipes must
be inspected and known to be in condition for service. If train is to
be operated in electropneumatic brake operation, brake circuit cables
must be properly connected.
(d)(1) After the airbrake system on a freight train is charged to
within 15 pounds of the setting of the feed valve on the locomotive, but
to not less than 60 pounds, as indicated by an accurate gauge at rear
end of train, and on a passenger train when charged to not less than 70
pounds, and upon receiving the signal to apply brakes for test, a
15-pound brake pipe service reduction must be made in automatic brake
operations, the brake valve lapped, and the number of pounds of brake
pipe leakage per minute noted as indicated by brake pipe guage, after
which brake pipe reduction must be increased to full service.
Inspection of the train brakes must be made to determine that angle
cocks are properly positioned, that the brakes are applied on each car,
that piston travel is correct, that brake rigging does not bind or foul,
and that all parts of the brake equipment are properly secured. When
this inspection has been completed, the release signal must be given and
brakes released and each brake inspected to see that all have released.
(2) When a passenger train is to be operated in electropneumatic
brake operation and after completion of test of brakes as prescribed by
paragraph (d)(1) of this section the brake system must be recharged to
not less than 90 pounds air pressure, and upon receiving the signal to
apply brakes for test, a minimum 20 pounds electropneumatic brake
application must be made as indicated by the brake cylinder gage.
Inspection of the train brakes must then be made to determine if brakes
are applied on each car. When this inspection has been completed, the
release signal must be given and brakes released and each brake
inspected to see that all have released.
(3) When the locomotive used to haul the train is provided with means
for maintaining brake pipe pressure at a constant level during service
application of the train brakes, this feature must be cut out during
train airbrake tests.
(e) Brake pipe leakage must not exceed 5 pounds per minute.
(f)(1) At initial terminal piston travel of body-mounted brake
cylinders which is less than 7 inches or more than 9 inches must be
adjusted to nominally 7 inches.
(2) Minimum brake cylinder piston travel of truck-mounted brake
cylinders must be sufficient to provide proper brake shoe clearance when
brakes are released. Maximum piston travel must not exceed 6 inches.
(3) Piston travel of brake cylinders on freight cars equipped with
other than standard single capacity brake, must be adjusted as indicated
on badge plate or stenciling on car located in a conspicuous place near
brake cylinder.
(g) When test of airbrakes has been completed the engineman and
conductor must be advised that train is in proper condition to proceed.
(h) During standing test, brakes must not be applied or released
until proper signal is given.
(i)(1) When train airbrake system is tested from a yard test plant,
an engineer's brake valve or a suitable test device must be used to
provide increase and reduction of brake pipe air pressure or
electropneumatic brake application and release at the same or a slower
rate as with engineer's brake valve and yard test plant must be
connected to the end which will be nearest to the hauling road
locomotive.
(2) When yard test plant is used, the train airbrakes system must be
charged and tested as prescribed by paragraphs (c) to (g) of this
section inclusive, and when practicable should be kept charged until
road motive power is coupled to train, after which, an automatic brake
application and release test of airbrakes on rear car must be made. If
train is to be operated in electropneumatic brake operation, this test
must also be made in electropneumatic brake operation before proceeding.
(3) If after testing the brakes as prescribed in paragraph (i)(2) of
this section the train is not kept charged until road motive power is
attached, the brakes must be tested as prescribed by paragraph (d)(1) of
this section and if train is to be operated in electropneumatic brake
operation as prescribed by paragraph (d)(2) of this section.
(j) Before adjusting piston travel or working on brake rigging,
cutout cock in brake pipe branch must be closed and air reservoirs must
be drained. When cutout cocks are provided in brake cylinder pipes,
these cutout cocks only may be closed and air reservoirs need not be
drained.
(49 CFR 1.49(c))
(37 FR 12236, June 21, 1972, as amended at 47 FR 36795, Aug. 23,
1982; 47 FR 40807, Sept. 16, 1982)
49 CFR 232.13 Road train and intermediate terminal train air brake
tests.
(a) Passenger trains: Before motive power is detached or angle cocks
are closed on a passenger train operated in either automatic or
electro-pneumatic brake operation, except when closing angle cocks for
cutting off one or more cars from the rear end of train, automatic air
brake must be applied. After recouping, brake system must be recharged
to required air pressure and before proceeding and upon receipt of
proper request or signal, application and release tests of brakes on
rear car must be made from locomotive in automatic brake operation. If
train is to be operated in electro-pneumatic brake operation, this test
must also be made in electro-pneumatic brake operation before
proceeding. Inspector or trainman must determine if brakes on rear car
of train properly apply and release.
(b) Freight trains: Before motive power is detached or angle cocks
are closed on a freight train, brakes must be applied with not less than
a 20-pound brake pipe reduction. After recoupling, and after angle
cocks are opened, it must be known that brake pipe air pressure is being
restored as indicated by a rear car gauge or device. In the absence of
a rear car gauge or device, an air brake test must be made to determine
that the brakes on the rear car apply and release.
(c)(1) At a point other than an initial terminal where a locomotive
or caboose is changed, or where one or more consecutive cars are cut off
from the rear end or head end of a train with the consist otherwise
remaining intact, after the train brake system is charged to within 15
pounds of the feed valve setting on the locomotive, but not less than 60
pounds as indicated at the rear of a freight train and 70 pounds on a
passenger train, a 20-pound brake pipe reduction must be made and it
must be determined that the brakes on the rear car apply and release.
As an alternative to the rear car brake application and release test, it
shall be determined that brake pipe pressure of the train is being
reduced as indicated by a rear car gauge or device and then that brake
pipe pressure of the train is being restored as indicated by a rear car
gauge or device.
(2) Before proceeding it must be known that brake pipe pressure as
indicated at rear of freight train is being restored.
(3) On trains operating with electro-pneumatic brakes, with brake
system charged to not less than 70 pounds, test must be made to
determine that rear brakes apply and release properly from a minimum 20
pounds electro-pneumatic brake application as indicated by brake
cylinder gauge.
(d)(1) At a point other than a terminal where one or more cars are
added to a train, after the train brake system is charged to not less
than 60 pounds as indicated by a gauge or device at the rear of a
freight train and 70 pounds on a passenger train, a brake test must be
made to determine that brake pipe leakage does not exceed five (5)
pounds per minute as indicated by the brake pipe gauge after a 20-pound
brake pipe reduction. After this test is completed, it must be
determined that the brakes on each of these cars and on the rear car of
the train apply and release. As an alternative to the rear car brake
application and release portion of the test, it shall be determined that
brake pipe pressure of the train is being reduced as indicated by a rear
car gauge or device and then that brake pipe pressure of the train is
being restored as indicated by a rear car gauge or device. Cars added
to a train that have not been inspected in accordance with 232.12 (c)
through (j) must be so inspected and tested at the next terminal where
facilities are available for such attention.
(2)(i) At a terminal where a solid block of cars, which has been
previously charged and tested as prescribed by 232.13 (c) through (j),
is added to a train, it must be determined that the brakes on the rear
car of the train apply and release. As an alternative to the rear car
application and release test, it shall be determined that brake pipe
pressure of the train is being reduced as indicated by a rear car gauge
or device and then that brake pipe pressure of the train is being
restored as indicated by a rear car gauge or device.
(ii) When cars which have not been previously charged and tested as
prescribed by 232.12 (c) through (j) are added to a train, such cars
may either be given inspection and tests in accordance with 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 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 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 232.19.
(h) When a device is used to comply with any test requirement in this
section, the phrase brake pipe pressure of the train is being reduced
means a pressure reduction of at least five pounds and the phrase brake
pipe pressure of the train is being restored means a pressure increase
of at least five pounds.
(33 FR 19679, Dec. 25, 1968, as amended at 37 FR 12237, June 21,
1972; 51 FR 17303, May 9, 1986)
49 CFR 232.14 Inbound brake equipment inspection.
(a) At points where inspectors are employed to make a general
inspection of trains upon arrival at terminals, visual inspection must
be made of retaining valves and retaining valve pipes, release valves
and rods, brake rigging, safety supports, hand brakes, hose and position
of angle cocks and make necessary repairs or mark for repair tracks any
cars to which yard repairs cannot be promptly made.
(b) Freight trains arriving at terminals where facilities are
available and at which special instructions provide for immediate brake
inspection and repairs, shall be left with air brakes applied by a
service brake pipe reduction of 20 pounds so that inspectors can obtain
a proper check of the piston travel. Trainmen will not close any angle
cock or cut the locomotive off until the 20 pound service reduction has
been made. Inspection of the brakes and needed repairs should be made
as soon thereafter as practicable.
49 CFR 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.
(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.
49 CFR 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.
49 CFR 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.
(72 Stat. 86 (45 U.S.C. 9); sec. 6 (e), (f), 80 Stat. 939 (49 U.S.C.
1655); and sec. 1.49(c) of the regulations of the Office of the
Secretary of Transportation, 49 CFR 1.49(c))
(47 FR 36795, Aug. 23, 1982 and 49 FR 1988, Jan. 17, 1984)
49 CFR 232.19 End of train device.
(a) An 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
(front unit) unit located in the cab of the locomotive controlling the
train.
(b) Rear unit. The rear unit shall be capable of determining the
rear car brake pipe pressure and transmitting that information to the
front unit for display to the locomotive engineer. The rear unit shall
be --
(1) Capable of measuring the rear car brake pipe pressure with an
accuracy of 3 psig and brake pipe pressure variations of 1 psig;
(2) Equipped with a ''bleeder valve'' that permits the release of any
air under pressure from the rear of train unit or the associated air
hoses prior to detaching the rear unit from the brake pipe;
(3) Designed so that an internal failure will not cause an undesired
emergency brake application;
(4) Equipped with either an air gauge or a means of visually
displaying the rear unit's brake pipe pressure measurement; and
(5) Equipped with a pressure relief safety valve to prevent explosion
from a high pressure air leak inside the rear unit.
(c) Reporting rate. Multiple data transmissions from the rear unit
shall occur immediately after a variation in the rear car brake pipe
pressure of 2 psig and at intervals of not greater than 70 seconds when
the rear car brake pipe pressure variation over the 70-second interval
is less than 2 psig.
(d) Operating environment. The rear unit shall be designed to meet
the performance requirements of paragraphs (b) and (c) of this section
under the following environmental conditions:
(1) At temperatures from ^40 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 Enforcement (RRS-10),
Federal Railroad Administration, Washington, DC 20590.
(f) Front unit. (1) The front unit shall be designed to receive data
messages from the rear unit and shall be capable of displaying the rear
car brake pipe pressure in not more than one-pound increments.
(2) The display shall be clearly visible and legible in daylight and
darkness from the engineer's normal operating position.
(3) The front device shall have a means for entry of the unique
identification code of the rear unit being used. The front unit shall
be designed so that it will display a message only from the rear unit
with the same code as entered into the front unit.
(4) The front unit shall be designed to meet the requirements of
232.19(d) (2), (3), (4), and (5). It shall also be designed to meet the
performance requirements in this paragraph --
(i) At temperatures from 0 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 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.
(h) Inspection. (1) Upon installation of an end-of-train device, it
shall be determined that the identification code entered into the front
unit is identical to the unique identification code on the rear-of-train
unit.
(2) The functional capability of the device shall be determined at
the point of installation, after charging the train, by comparing the
quantitative value displayed on the front unit with the quantitative
value displayed on the rear unit or on an air gauge. The end device may
not be used if the difference between the two readings exceeds three
pounds.
(3) The rear unit shall be calibrated for accuracy at least every 92
days. A tag, sticker, or other method of information storage that
provides the date of the last calibration, the location where the
calibration was made, and the name of the person doing the calibration
shall be affixed to the rear unit.
(51 FR 17303, May 9, 1986)
49 CFR 232.19 Pt. 232, App. A
(53 FR 52934, Dec. 29, 1988)
49 CFR 232.19 -- Pt. 232, App. B
49 CFR 232.19 -- Appendix B to Part 232 -- Specifications and
Requirements for Power Brakes and Appliances for Operating Power-Brake
Systems for Freight Service
The purpose of this specification is to define and prescribe
requirements for power brakes and appliances for operating powerbrake
systems.
For purposes of this specification, terms used herein are defined as
follows:
1. Power brake. A combination of parts operated by compressed air
and controlled manually, pneumatically or electrically, by means of
which the motion of a car or locomotive is retarded or arrested.
2. Power-brake system. The power brakes on locomotives and cars of a
train so interconnected that they can be operated together and by means
of which the motion of the train is retarded or arrested.
3. Brake valve. The value of the locomotive equipment by means of
which operation of the power-brake system is controlled.
4. Equalizing reservoir. The small reservoir connected to the brake
valve only, the pressure of which is reduced by the engineer for making
service applications.
5. Brake pipe. The line of pipe and hose extending throughout the
length of the train by means of which compressed air is supplied to the
brake devices on the several cars and the pressures so controlled as to
effect the application and release of the brakes.
6. Operating valve. Device on each car, the operation of which
result in (a) admission of air to brake cylinder, (b) release of air
from brake cylinder, and (c) charging of one or more reservoirs.
7. Service reduction. A decrease in brake-pipe pressure, usually of
from 5 to 25 pounds, at a rate sufficiently rapid to move the operating
valve to service position, but at a rate not rapid enough to operate the
valve to emergency position. Quick service is that feature of the
operating valve which provides for local reduction of brake-pipe
pressure.
8. Service application. A brake application which results from one
or more service reductions.
9. Full service reduction. A service reduction sufficient in amount
to cause equalization of pressure in brake cylinder with pressure in the
reservoir from which compressed air is supplied to brake cylinder.
10. Full service application. A brake application which results from
one or more brake-pipe reductions sufficient in amount to cause a full
service reduction.
11. Emergency reduction. A depletion of brake-pipe pressure at a
rate sufficiently rapid to move the operating valve to emergency
position.
12. Emergency application. A brake application which results from an
emergency reduction.
13. Emergency brake-cylinder pressure. The force per square inch
exerted upon piston in brake cylinder by compressed air which is
admitted to brake cylinder as a result of an emergency reduction.
Effective emergency brake-cylinder pressure is a pressure not less than
15 percent nor more than 20 percent greater than the brake-cylinder
pressure obtained from a full service reduction on the game car and from
the same initial pressures.
14. The design of the operating valve shall be such as will insure
efficient and reliable operation, both in its application and release
functions and when intermingled with other types of power brakes. It
shall be so constructed that the rate of brake-cylinder pressure
development may be adjusted to meet such changes in train operating
conditions as may develop in the future.
15. The design of the service and emergency valves shall be such as
to permit their removal for cleaning and repair without disturbing pipe
joints.
16. The portions of the car brake which control the brake application
and release, and also the brake cylinder, shall be adequately protected
against the entrance of foreign matter.
17. The apparatus conforming to the requirements of these
specifications shall be so constructed, installed and maintained as to
be safe and suitable for service.
The apparatus shall be so designed and constructed that: (based upon
70 pounds brake-pipe pressure and train length of 150 cars)
18. With a service reduction of 5 pounds in the equalizing reservoir
at the brake valve all brakes will apply.
19. An initial 5-pound equalizing-reservoir reduction at the brake
valve will produce substantially 10 pounds brake-cylinder pressure
throughout the train, including brakes having piston travel in excess of
8 inches.
20. With an equalizing-reservoir reduction of 10 pounds, the
difference in time of obtaining substantially 10 pounds pressure in the
brake cylinder of the first and one hundred and fiftieth brakes will be
nominally 20 seconds or less.
21. A brake-pipe reduction of 10 pounds will result in pressure in
each brake cylinder of not less than 15 pounds nor more than 25 pounds.
22. A total brake-pipe reduction of 25 pounds will result in
equalization of brakecylinder pressure with pressure in the reservoir
from which compressed air is supplied to the brake cylinder, and
brake-cylinder pressure of not less than 48 pounds nor more than 52
pounds will be obtained.
23. Quick service activity of the train brakes will cease when the
initial quick service action has been completed.
24. The quick service feature of the brake will produce substantially
uniform time of quick service transmission regardless of the unavoidable
variations in frictional resistance of the parts.
25. The brake will so function as to prevent a degree of wave action
in brake-pipe pressure sufficient to cause undesired release of any
brake while the brakes are being applied.
26. The degree of stability will be sufficient to prevent undesired
service application occurring as a result of unavoidable minor
fluctuations of brake-pipe pressure.
27. The brake-cylinder pressure increase resulting from quick service
operation will be less when the brake is reapplied with pressure
retained in the brake cylinder than with applications made when the
brake-cylinder pressure is zero.
28. Undesired quick action will not result with any rate of change in
brake-pipe pressure which may occur during service application or
release of the brake.
29. In the normal release of train brakes, individual car brake will
not start recharging from the brake pipe until brake-pipe pressure has
increased sufficiently to have accomplished the release of adjacent
valves.
30. The recharge of auxiliary reservoirs in the forward portion of
the train will be automatically retarded while full release position of
the brake valve is being used to initiate the release of train brakes.
31. After a 15-pound service reduction has been made and brake-valve
exhaust has closed, in a release operation in which brake valve is moved
to release position and after 15 seconds is moved to running position,
air operating valves will move to release position within 40 seconds
after brake valve is placed in release position.
32. After a 15-pound service reduction has been made and brake-value
exhaust has closed, in a release operation in which brake valve is moved
to release position and after 15 seconds is moved to running position,
brake-pipe pressure at car 150 will be increased 5 pounds within 1 1/2
minutes after brake valve is placed in release position.
33. The rate of release of pressure from the brake cylinder will be
nominally 23 seconds from 50 pounds to 5 pounds.
The apparatus shall be so designed and constructed that: (based on
70 pounds brake-pipe pressure and train length of 150 cars).
34. Emergency application operation will always be available
irrespective of the existing state or stage or brake application or
release.
35. Emergency application initiated during a release of previous
brake application will produce a material increase in brake-cylinder
pressure over that which would result from a full service application
made under the same conditions.
36. When operating valve acts in emergency it will so function as to
develop nominally 15 pounds brake-cylinder pressure in not more than 1
1/2 seconds and maximum pressure in nominally 10 seconds.
37. With an emergency reduction of brake-pipe pressure all brakes,
including the one hundred and fiftieth, will start to apply within 8.2
seconds and develop not less than 15 percent nor more than 20 percent in
excess of 50 pounds brake-cylinder pressure within 18.2 seconds from the
movement of the brake valve to emergency position.
38. The operating valve will so function that, when an emergency
application is made subsequent to a service application which has
produced not less than 30 pounds brake-cylinder pressure, the maximum
brake-cylinder pressure will be attained in nominally 4 seconds from the
beginning of the emergency action of the valve.
39. Emergency application will produce from a charged system between
15 and 20 percent increase in brake-cylinder pressure over that which
results from a full service application and irrespective of any degree
of prior service application.
40. With any group of three consecutive brakes cut out, an emergency
reduction made with the brake valve will cause the remainder of the
brakes to operate in emergency and produce normal emergency pressures in
the same time as when all brakes are cut in.
41. The brake will so function as to accomplish the release of an
emergency application with the same degree of certainty secured in the
release of service applications.
42. When releasing brakes following an emergency application, each
brake will so function as to decrease the auxiliary-reservoir pressure
prior to the actual release.
43. Both service and emergency brake applications will be released
when the brake-pipe pressure is increased to not more than 1 3/4 pounds
above that of the auxiliary reservoir and irrespective of the increased
frictional resistance to release movement of the piston and slide valves
after a period of operation in train service.
Note: Order 13528, as amended, 17 FR 8653, Sept. 30, 1952, provides
as follows: That said order of September 21, 1945, as amended, be, and
it is hereby, further amended so as to require that all said
non-interchange cars that may be used in transporting revenue freight
and all cabooses shall be so equipped on or before December 31, 1953,
and that all other said non-interchange cars shall be so equipped on or
before December 31, 1954.
Order 13528 was further amended, 17 FR 8957, Oct. 7, 1952, as
follows: That the order heretofore entered herein on September 21,
1945, as amended, requiring respondents to install power brakes and
appliances on their cars used in freight service be, and it is hereby,
further amended so as not to require the installation of such brakes and
appliances on cars that are used exclusively in switching operations and
are not used in train movements within the meaning of the Safety
Appliance Acts (45 U. S. C., secs. 1 to 16, inclusive).
Order 13528 was further amended, 17 FR 10738, Nov. 26, 1952, as
follows: That the order heretofore entered on September 21, 1945, as
amended, requiring respondents to install power brakes and appliances on
their cars used in interchange freight service on or before December 31,
1952, be, and it is hereby, further amended so as --
To require that all such interchange cars be so equipped on or before
June 30, 1953, except as indicated hereinafter:
To prohibit the movement by any respondent after June 30, 1953, of
any car interchange service, other than tank cars (including the cars of
private carline companies), not so equipped except that such cars may be
so moved prior to October 1, 1953, if routed to owner; and
To prohibit the movement by respondents after October 1, 1953, of any
tank car in interchange service (including the tank cars of private
car-line companies) not so equipped except that such tank cars may be so
moved prior to January 1, 1954, if routed to owner.
That the term interchange service means the movement of any car that
is engaged in freight service, irrespective of ownership, that is
interchanged between or among two or more respondent railroads.
Order 13528 was further amended, 18 FR 6942, Nov. 3, 1953, as
follows: That the order heretofore entered herein on September 21,
1945, as amended, requiring respondents to install power brakes and
appliances on their cars used in freight service be, and it is hereby,
further amended so as not to require the installation of such brakes and
appliances on
a. Locomotives;
b. Scale test weight cars;
c. Locomotive cranes, steam shovels, pile drivers and similar
construction and maintenance machines built prior to September 21, 1945;
d. Export, industrial, and other than railroad owned cars which are
not to be used in service by respondents, except for movement as
shipments on their own wheels to given destinations, provided that any
such car so moved shall be properly identified by a card attached to
each side of car, signed by shipper, stating that such movement is being
made under authority of this order; and
e. Industrial and other than railroad owned cars which are not to be
used in service by respondents except for movement within the limits of
a single switching district.
And, that the effective date of said order of September 21, 1945, as
amended, be, and it is hereby, extended until further order of the FRA,
insofar as it applies to:
f. Narrow-gauge cars, and
g. Cars being returned from Canada or Mexico to owners in the United
States, provided each such car being returned is routed directly to
owner and is properly identified by a card attached to each side of car,
signed by shipper, stating that the movement is being made under
authority of this order.
(33 FR 19679, Dec. 25, 1968, as amended at 53 FR 28602, July 28,
1988)
49 CFR 232.19 -- PART 233 -- SIGNAL SYSTEMS REPORTING REQUIREMENTS
Sec.
233.1 Scope.
233.3 Application.
233.5 Accidents resulting from signal failure.
233.7 Signal failure reports.
233.9 Annual reports.
233.11 Civil penalty.
233.13 Criminal penalty.
Appendix A to Part 233 -- Schedule of Civil Penalties
Authority: 49 App. U.S.C. 26, as amended; 49 App. U.S.C.
1655(e), as amended; 45 U.S.C. 431, 437, and 438, as amended; Pub. L.
100-342; and 49 CFR 1.49 (f), (g), and (m).
Source: 49 FR 3379, Jan. 26, 1984, unless otherwise noted.
49 CFR 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.
49 CFR 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.
49 CFR 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.
(Not yet approved by the Office of Management and Budget)
Editorial Note: Part 233 was revised at 49 FR 3379, Jan. 26, 1984.
The reporting/recordkeeping requirements contained in this section are
subject to OMB approval and are not required until such approval has
been obtained.
49 CFR 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)
49 CFR 233.9 Annual reports.
Not later than April 1 of each year, each carrier shall file a report
for the preceding calendar year on Form FRA F6180-47, ''Signal Systems
Annual Report,'' in accordance with instructions and definitions on the
reverse side thereof.
(Approved by the Office of Management and Budget under control number
2130-0006)
49 CFR 233.11 Civil penalty.
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 $2,500 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. See appendix A to this part for a statement of agency civil
penalty policy.
(53 FR 28602, July 28, 1988, as amended at 53 FR 52936, Dec. 29,
1988)
49 CFR 233.13 Criminal penalty.
Whoever knowingly and willfully --
(a) Makes, causes to be made, or participates in the making of a
false entry in reports required to be filed by this part; or
(b) Files a false report or other document required to be filed by
this part is subject to a $5,000 fine and 2 years imprisonment as
prescribed by 49 U.S.C. 522(a) and section 209(e) of the Federal
Railroad Safety Act of 1970, as amended (45 U.S.C. 438(e)).
49 CFR 233.13 Pt. 233, App. A
(53 FR 52936, Dec. 29, 1988)
49 CFR 233.13 -- PART 234 -- GRADE CROSSING SIGNAL SYSTEM SAFETY
Sec.
234.1 Scope.
234.3 Application.
234.5 Definitions.
234.7 Accidents involving grade crossing signal failure.
234.9 Grade crossing signal failure reports.
234.11 Railroad rules.
234.13 Grade crossing signal system information.
234.15 Civil penalty.
234.17 Criminal penalty.
Appendix A to Part 234 -- Schedule of Civil Penalties
Authority: (45 U.S.C. 431, 437, and 438; 45 U.S.C. 38 and 42; and
49 CFR 1.49(f), (g), and (m).
Source: 56 FR 33728, July 23, 1991, unless otherwise noted.
Effective Date Note: At 56 FR 33722, July 23, 1991, part 234 was
added effective October 1, 1991. At 56 FR 49417, Sept. 30, 1991, the
effective date was delayed until December 1, 1991.
49 CFR 234.1 Scope.
This part prescribes reporting requirements with respect to the
operation of highway-rail grade crossing warning systems.
49 CFR 234.3 Application.
(a) Except as provided in paragraph (b) of this section, this part
applies to railroads that operate on standard gage track that 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 railroad system of transportation.
49 CFR 234.5 Definitions.
As used in this part:
(a) 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.
(b) 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.)
(c) 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.)
(d) Train means one or more locomotives, with or without cars.
49 CFR 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
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
234.9(a) of this part (false activation 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.
49 CFR 234.9 Grade crossing signal system failure reports.
(a) 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.
(b) Each railroad shall complete FRA Form No. 6180-83,
''Highway-Rail Grade Crossing Warning System Report,'' for each false
activation of a highway-rail grade crossing warning system. Each report
required by this paragraph (b) shall be submitted to FRA within 30 days
after expiration of the month during which the false activation
occurred. The requirements of this paragraph (b) shall expire April 1,
1994.
49 CFR 234.11 Railroad rules.
(a) Before April 1, 1992, each railroad shall file with the Associate
Administrator for Safety, FRA, one copy of its current highway-rail
grade crossing maintenance, inspection, and testing rules and
procedures. Each railroad commencing operations after the above date
shall comply with this paragraph before commencing operations.
(b) If a railroad has no written maintenance, inspection, and testing
procedures, a statement to that effect shall be filed with FRA.
(c) Each amendment to a railroad's highway-rail grade crossing
maintenance, inspection, and testing rules and procedures shall be filed
with FRA.
49 CFR 234.13 Grade crossing signal system information.
Before April 1, 1992 each railroad shall file with the FRA
information regarding circuit type and component age for each of its
active highway-rail grade crossing signal systems on its railroad. FRA
Form No. 6180-87 ''Highway-rail Grade Crossing Signal System
Information'' shall be used for this purpose and completed in accordance
with instructions printed on the form.
Effective Date Note: At 56 FR 33728, July 23, 1991, part 234 was
added, effective October 1, 1991. At 56 FR 49417, Sept. 30, 1991, the
effective date was delayed until December 1, 1991, with the exception of
the requirements contained in 234.13 which contain reporting
requirements not yet approved by the Office of Management and Budget. A
notice will be published in the Federal Register once approval has been
obtained.
49 CFR 234.15 Civil penalty.
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 up to $10,000 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. See appendix A to this part for a schedule of civil
penalties.
49 CFR 234.17 Criminal penalty.
Whoever knowingly and willfully makes, causes to be made, or
participates in making of a false entry in reports required to be filed
by this part, or files a false report or other document required to be
filed by this part is subject to a $5,000 fine and 2 years imprisonment
as prescribed by 49 U.S.C. 522(a) and section 209(e) of the Federal
Railroad Safety Act of 1970, as amended (45 U.S.C. 438(e)).
49 CFR 234.17 Appendix A to Part 234 -- Schedule of Civil Penalties
49 CFR 234.17 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
Sec.
235.1 Scope.
235.3 Application.
235.5 Changes requiring filing of application.
235.7 Changes not requiring filing of application.
235.8 Relief from the requirements of part 236 of this title.
235.9 Civil penalty.
235.10 Contents of application.
235.12 Additional required information-prints.
235.13 Filing procedure.
235.14 Notice.
235.20 Protests.
Appendix A to Part 235 -- Schedule of Civil Penalties
Authority: 49 App. U.S.C. 26, as amended; 49 App. U.S.C.
1655(e), as amended; 45 U.S.C. 431, 437, and 438, as amended; Pub. L.
100-342; and 49 CFR 1.49 (f), (g), and (m).
Source: 49 FR 3380, Jan. 26, 1984, unless otherwise noted.
49 CFR 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.
49 CFR 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.
49 CFR 235.5 Changes requiring filing of application.
(a) Except as provided in 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.
(Approved by the Office of Management and Budget under control number
2130-0042)
49 CFR 235.7 Changes not requiring filing of application.
(a) It is not necessary to file an application for approval of the
following discontinuances:
(1) Removal of block signal system, interlocking, traffic control
system, automatic train stop, train control, or cab signal system from
track approved for abandonment by formal proceeding;
(2) Removal of devices and associated signals used to provide
protection against unusual contingencies such as landslide, burned
bridge, high water, high and wide load, or tunnel protection when the
unusual contingency no longer exists;
(3) Removal of an interlocking where a drawbridge has been
permanently closed by the formal approval of another government agency;
or
(4) Removal from service not to exceed six months of block signal
system, interlocking, or traffic control system necessitated by
catastrophic occurrence such as derailment, flood, fire, or hurricane.
(b) When the resultant arrangement will comply with part 236 of this
title, it is not necessary to file for approval to decrease the limits
of a system as follows:
(1) Decrease of the limits of an interlocking when interlocked
switches, derails, or movable-point frogs are not involved;
(2) Removal of electric or mechanical lock from hand-operated switch
in automatic block signal or traffic control territory where train speed
over switch does not excess 20 miles per hour; or
(3) Removal of electric or mechanical lock from hand-operated switch
in automatic block signal or traffic control territory where trains are
not permitted to clear the main track at such switch.
(c) When the resultant arrangement will comply with part 236 of this
title, it is not necessary to file an application for approval of the
following modifications:
(1) A modification that is required to comply with an order of the
Federal Railroad Administration or any section of part 236 of this
title;
(2) The installation of an automatic block signal or a traffic
control system to replace manual block or non-signaled territory;
(3) The installation of a traffic control system to replace a roadway
automatic block signal system (discontinuance of an automatic train
stop, train control, or cab signal system is not permitted without FRA
approval);
(4) The installation of an automatic train stop, train control, or
cab signal system in an existing automatic block or traffic control
system;
(5) The installation of a continuous inductive automatic train stop
system to replace an existing intermittent inductive automatic train
stop system;
(6) The installation of a continuous inductive automatic train stop
system to supplement an existing automatic cab signal system;
(7) The installation of an automatic train control system to replace
an existing automatic train stop system or to supplement an existing
automatic cab signal system;
(8) The installation of an interlocking to replace existing stop
signs, 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 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
(25) The temporary or permanent arrangement of existing systems
necessitated by highway rail separation construction. Temporary
arrangements shall be removed within six months following completion of
construction.
49 CFR 235.8 Relief from the requirements of part 236 of this title.
Relief from the requirements of the rules, standards and instructions
contained in part 236 of this title will be granted upon a adequate
showing by an individual carrier. Relief heretofore granted to any
carrier shall constitute relief to the same extent as relief granted
under the requirements of this part.
(Approved by the Office of Management and Budget under control number
2130-0043)
49 CFR 235.9 Civil penalty.
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 $2,500 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. See appendix A to this part for a statement of agency civil
penalty policy.
(53 FR 28602, July 28, 1988, as amended at 53 FR 52936, Dec. 29,
1988)
49 CFR 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).
(Approved by the Office of Management and Budget under control number
2130-0042)
49 CFR 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 tm scale or by indicated dimensions,
using Association of American Railroads graphic symbols.
(c) The following information shall be shown on the print or prints:
(1) Present and proposed arrangement of tracks and signal facilities;
(2) Name of carrier;
(3) Operating division;
(4) Place and State; and
(5) Timetable directions of movements.
(d) If stopping distances are involved, the following information
shall also be shown:
(1) Curvature and grade;
(2) Maximum authorized speeds of trains; and
(3) Length of signal control circuits for each signal indication
displayed.
(e) The following color scheme is suggested on prints:
(1) Installations, relocations, and added signal aspects should be
colored, preferably in yellow;
(2) Removals, discontinuances, and abandonments should be colored,
preferably in red; and
(3) Existing facilities not pertinent to change proposed in
application should be shown uncolored.
(Approved by the Office of Management and Budget under control number
2130-0042)
49 CFR 235.13 Filing procedure.
(a) Applications or requests for reconsideration of an application
shall be submitted by an authorized officer of the carrier.
(b) The original and two copies of each application with supporting
papers should be filed.
(c) The application and correspondence in reference thereto should be
addressed to the Associate Administrator for Safety, Federal Railroad
Administration, Washington, DC 20590.
(d) A separate application shall be filed for each project.
(e) At a joint facility where changes are proposed in the automatic
block signal system, interlocking, traffic control system, automatic
train stop, train control, or cab signal system on the tracks of more
than one carrier, or if more than one carrier will be affected by the
proposed changes or relief sought, a joint application signed by all
carriers affected shall be filed.
(f) Where only one carrier at a joint facility is affected by the
discontinuance or modification of the installation or relief sought, it
shall be responsible for filing the application. It shall also certify
that the other joint carriers have been notified of the filing of its
application.
(Approved by the Office of Management and Budget under control number
2130-0042)
49 CFR 235.14 Notice.
The FRA will post public notice of the filing of an application or a
request for reconsideration of an application in the FRA Office of
Public Affairs and will mail copies to all interested parties.
49 CFR 235.20 Protests.
(a) A protest against the granting of an application shall set forth
specifically the grounds upon which it is made, and contain a concise
statement of the interest of protestant in the proceeding.
(b) The original and two copies of any protest shall be filed with
the Associate Administrator for Safety, Federal Railroad Administration,
Washington, DC 20590, and one copy shall be furnished to each applicant.
(c) Protests should be filed within the time limit set forth in the
public notice.
(d) The protestant shall certify that service of a copy of its
protest was made upon each applicant.
(e) Request for hearing must be accompanied with a showing why the
protestant is unable to properly present his or her position by written
statements.
(Not yet approved by the Office of Management and Budget)
Editorial Note: Part 235 was revised at 49 FR 3380, Jan. 26, 1984.
The reporting/recordkeeping requirements contained in this section are
subject to OMB approval and are not required until such approval has
been obtained.
49 CFR 235.20 Pt. 235, App. A
(53 FR 52936, Dec. 29, 1988)
49 CFR 235.20 -- Pt. 236
49 CFR 235.20 -- PART 236 -- RULES, STANDARDS, AND INSTRUCTIONS
GOVERNING THE INSTALLATION, INSPECTION, MAINTENANCE, AND REPAIR OF
SIGNAL AND TRAIN CONTROL SYSTEMS, DEVICES, AND APPLIANCES
Sec.
236.0 Applicability, minimum requirements, and civil penalties.
49 CFR 235.20 -- Subpart A -- Rules and Instructions: All Systems
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.
236.21 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.
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.
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.
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.
49 CFR 235.20 -- Subpart B -- Automatic Block Signal Systems
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.
49 CFR 235.20 -- Subpart C -- Interlocking
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.
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.
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.
49 CFR 235.20 -- Subpart D -- Traffic Control Systems
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.
236.426 Interlocking rules and instructions applicable to traffic
control systems.
236.476 Interlocking inspections and tests applicable to traffic
control systems.
49 CFR 235.20 -- Subpart E -- Automatic Train Stop, Train Control and
Cab Signal Systems
236.501 Forestalling device and speed control.
236.502 Automatic brake application, initiation by restrictive block
conditions stopping distance in advance.
236.503 Automatic brake application; initiation when predetermined
rate of speed exceeded.
236.504 Operation interconnected with automatic block-signal system.
236.505 Proper operative relation between parts along roadway and
parts on locomotive.
236.506 Release of brakes after automatic application.
236.507 Brake application; full service.
236.508 Interference with application of brakes by means of brake
valve.
236.509 Two or more locomotives coupled.
236.510 (Reserved)
236.511 Cab signals controlled in accordance with block conditions
stopping distance in advance.
236.512 Cab signal indication when locomotive enters block where
restrictive conditions obtain.
236.513 Audible indicator.
236.514 Interconnection of cab signal system with roadway signal
system.
236.515 Visibility of cab signals.
236.516 Power supply.
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.
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.
236.576 Roadway element.
236.577 Test, acknowledgement, and cut-in circuits.
236.586 Daily or after trip test.
236.587 Departure test.
236.588 Periodic test.
236.589 Relays.
236.590 Pneumatic apparatus.
49 CFR 235.20 -- Subpart F -- Dragging Equipment and Slide Detectors
and Other Similar Protective Devices
236.601 Signals controlled by devices; location.
49 CFR 235.20 -- Subpart G -- Definitions
236.700 Definitions.
236.701 Application, brake: full service.
236.702 Arm, semaphore.
236.703 Aspect.
236.704 (Reserved)
236.705 Bar, locking.
236.706 Bed, locking.
236.707 Blade, semaphore.
236.708 Block.
236.709 Block, absolute.
236.710 Block, latch.
236.711 Bond, rail joint.
236.712 Brake pipe.
236.713 Bridge, movable.
236.714 Cab.
236.715 -- 236.716 (Reserved)
236.717 Characteristics, operating.
236.718 Chart, dog.
236.719 Circuit, acknowledgment.
236.720 Circuit, common return.
236.721 Circuit, control.
236.722 Circuit, cut-in.
236.723 Circuit, double wire; line.
236.724 Circuit, shunt fouling.
236.725 Circuit, switch shunting.
236.726 Circuit, track.
236.727 Circuit, track; coded.
236.728 Circuit, trap.
236.729 Cock, double heading.
236.730 Coil, receiver.
236.731 Controller, circuit.
236.732 Controller, circuit; switch.
236.733 Current, foreign.
236.734 Current, of traffic.
236.735 Current, leakage.
236.736 Cut-section.
236.737 Cut-section, relayed.
236.738 Detector, point.
236.739 Device, acknowledging.
236.740 Device, reset.
236.741 Distance, stopping.
236.742 Dog, locking.
236.743 Dog, swing.
236.744 Element, roadway.
236.745 Face, locking.
236.746 Feature, restoring.
236.747 Forestall.
236.748 (Reserved)
236.749 Indication.
236.750 Interlocking, automatic.
236.751 Interlocking, manual.
236.752 Joint, rail, insulated.
236.753 Limits, interlocking.
236.754 Line, open wire.
236.755 Link, rocker.
236.756 Lock, bolt.
236.757 Lock, electric.
236.758 Lock, electric, forced drop.
236.759 Lock, facing point.
236.760 Locking, approach.
236.761 Locking, electric.
236.762 Locking, indication.
236.763 Locking, latch operated.
236.764 Locking, lever operated.
236.765 Locking, mechanical.
236.766 Locking, movable bridge.
236.767 Locking, route.
236.768 Locking, time.
236.769 Locking, traffic.
236.770 Locomotive.
236.771 Machine, control.
236.772 Machine, interlocking.
236.773 Movements, conflicting.
236.774 Movement, facing.
236.775 Movement, switch-and-lock.
236.776 Movement, trailing.
236.777 Operator, control.
236.778 Piece, driving.
236.779 Plate, top.
236.780 Plunger, facing point lock.
236.781 (Reserved)
236.782 Point, controlled.
236.783 Point, stop-indication.
236.784 Position, deenergized.
236.785 Position, false restrictive.
236.786 Principle, closed circuit.
236.787 Protection, cross.
236.788 Receiver.
236.789 Relay, timing.
236.790 Release, time.
236.791 Release, value.
236.792 Reservoir, equalizing.
236.793 Rod, lock.
236.794 Rod, up-and-down.
236.795 Route.
236.796 Routes, conflicting.
236.797 Route, interlocked.
236.798 Section, dead.
236.799 Section, fouling.
236.800 Sheet, locking.
236.801 Shoe, latch.
236.802 Shunt.
236.802a Siding.
236.803 Signal, approach.
236.804 Signal, block.
236.805 Signal, cab.
236.806 Signal, home.
236.807 Signal, interlocking.
236.808 Signals, opposing.
236.809 Signal, slotted mechanical.
236.810 Spectacle, semaphore arm.
236.811 Speed, medium.
236.812 Speed, restricted.
236.813 Speed, slow.
236.813a State, most restrictive.
236.814 Station, control.
236.815 Stop.
236.816 Superiority of trains.
236.817 Switch, electro-pneumatic.
236.818 Switch, facing point.
236.819 Switch, hand operated.
236.820 Switch, interlocked.
236.820a Switch, power-operated.
236.821 Switch, sectionalizing.
236.822 Switch, spring.
236.823 Switch, trailing point.
236.824 System, automatic block signal.
236.825 System, automatic train control.
236.826 System, automatic train stop.
236.827 System, block signal.
236.828 System, traffic control.
236.829 Terminal, initial.
236.830 Time, acknowledging.
236.831 Time, delay.
236.831a Track, main.
236.832 Train.
236.833 Train, opposing.
236.834 Trip.
236.835 Trunking.
236.836 Trunnion.
236.837 Valve, electro-pneumatic.
236.838 Wire, shunt.
Appendix A to Part 236 -- Civil Penalties
Authority: 49 App. U.S.C. 26, as amended; 49 App. U.S.C.
1655(e), as amended; 45 U.S.C. 431, 437, and 438, as amended; Pub. L.
100-342; and 49 CFR 1.49 (f), (g), and (m).
Source: 33 FR 19684, Dec. 25, 1968, unless otherwise noted.
49 CFR 236.0 Applicability, minimum requirements, and civil penalties.
(a) Except as provided in paragraph (b) of this section, this part
applies to railroads that operate on standard gage track which is part
of the general railroad system of transportation.
(b) This part does not apply to rail rapid transit operations
conducted over track that is used exclusively for that purpose and that
is not part of the general system of railroad transportation.
(c) Where a passenger train is operated at a speed of 60 or more
miles per hour, or a freight train is operated at a speed of 50 or more
miles per hour, a block signal system complying with the provisions of
this part shall be installed or a manual block system shall be placed
permanently in effect which shall conform to the following conditions:
(1) A passenger train shall not be admitted to a block occupied by
another train except under flag protection;
(2) No train shall be admitted to a block occupied by a passenger
train except under flag protection;
(3) No train shall be admitted to a block occupied by an opposing
train except under flag protection; and
(4) A freight train, including a work train, may be authorized to
follow a freight train, including a work train, into a block but the
following train must proceed prepared to stop within one-half the range
of vision but not exceeding 20 miles per hour.
(d) Where any train is operated at a speed of 80 or more miles per
hour, an automatic cab signal, automatic train stop or automatic train
control system complying with the provisions of this part shall be
installed.
(e) Nothing in this section authorizes the discontinuance of a block
signal system, interlocking, traffic control system, automatic train
stop, train control, or cab signal system without approval of the
Federal Railroad Administration.
(f) Any person (including a railroad subject to this part and any
manager, supervisor, official, or other employee or agent of such 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. See appendix A to this part for a
statement of agency civil penalty policy.
(49 FR 3382, Jan. 26, 1984, as amended at 53 FR 52936, Dec. 29, 1988)
49 CFR 236.0 Subpart A -- Rules and Instructions: All Systems
49 CFR 236.0 General
49 CFR 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)
49 CFR 236.2 Grounds.
Each circuit, the functioning of which affects the safety of train
operations, shall be kept free of any ground or combination of grounds
which will permit a flow of current equal to or in excess of 75 percent
of the release value of any relay or other electromagnetic device in the
circuit, except circuits which include any track rail and except the
common return wires of single-wire, single-break, signal control
circuits using a grounded common, and alternating current power
distribution circuits which are grounded in the interest of safety.
49 CFR 236.3 Locking of signal apparatus housings.
Signal apparatus housings shall be secured against unauthorized
entry.
(49 FR 3382, Jan. 26, 1984)
49 CFR 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)
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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)
49 CFR 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.
49 CFR 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.
49 CFR 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)
49 CFR 236.12 Spring switch signal protection; where required.
Signal protection shall be provided for facing and trailing movements
through spring switch within interlocking limits and through spring
switch installed in automatic block signal, train stop, train control or
cab signal territory where train movements over the switch are made at a
speed exceeding 20 miles per hour, except that signal protection shall
be required only with the current of traffic on track signaled for
movement in only one direction.
Note: Does not apply to spring switch installed prior to October 1,
1950 in automatic block signal, automatic train stop, or automatic train
control territory.
(49 FR 3383, Jan. 26, 1984)
49 CFR 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.
49 CFR 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.
49 CFR 236.15 Timetable instructions.
Automatic block, traffic control, train stop, train control and cab
signal territory shall be designated in timetable instructions.
49 CFR 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)
49 CFR 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)
49 CFR 236.17 Roadway Signals and Cab Signals
49 CFR 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)
49 CFR 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.
49 CFR 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 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)
49 CFR 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.
236.25 (Reserved)
49 CFR 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.
49 CFR 236.26 Track Circuits
49 CFR 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)
49 CFR 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.
49 CFR 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.
49 CFR 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)
49 CFR 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)
49 CFR 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)
49 CFR 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)
49 CFR 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)
49 CFR 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.
49 CFR 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)
49 CFR 236.60 Wires and Cables
49 CFR 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)
236.72 (Reserved)
49 CFR 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.
49 CFR 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.
236.75 (Reserved)
49 CFR 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)
49 CFR 236.76 Inspections and Tests; All Systems
49 CFR 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)
49 CFR 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)
49 CFR 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)
49 CFR 236.104 Shunt fouling circuit.
Shunt fouling circuit shall be inspected and tested at least once
every three months.
49 CFR 236.105 Electric lock.
Electric lock, except forced-drop type, shall be tested at least once
every two years.
49 CFR 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)
49 CFR 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 current power distribution circuits grounded in the interest
of safety.
(49 FR 3384, Jan. 26, 1984)
49 CFR 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)
49 CFR 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)
49 CFR 236.110 Results of tests.
Results of tests made in compliance with 236.109 to 236.102,
inclusive; 236.376 to 236.387, inclusive; 236.576; 236.577; and
236.586 to 236.589, inclusive, shall be recorded on preprinted or
computerized forms provided by the railroad. Such forms shall show the
name of the railroad, place and date, equipment tested, results of
tests, repairs, replacements, adjustments made, and condition in which
the apparatus was left. Each record shall be signed by the employee
making the test and shall be filed in the office of a supervisory
official having jurisdiction. Results of tests made in compliance with
236.587 shall be retained for 92 days. Results of all other tests
listed in this section shall be retained until the next record is filed
but in no case less than one year.
(53 FR 37313, Sept. 26, 1988)
49 CFR 236.110 Subpart B -- Automatic Block Signal Systems
49 CFR 236.110 Standards
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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)
49 CFR 236.205 Signal control circuits; requirements.
The circuits shall be so installed that each signal governing train
movements into a block will display its most restrictive aspect when any
of the following conditions obtain within the block:
(a) Occupancy by a train, locomotive, or car,
(b) When points of a switch are not closed in proper position,
(c) When an independently operated fouling point derail equipped with
switch circuit controller is not in derailing position,
(d) When a track relay is in de-energized position or a device which
functions as a track relay is in its most restrictive state; or when
signal control circuit is deenergized.
(33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3385, Jan. 26, 1984)
49 CFR 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.
49 CFR 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)
49 CFR 236.207 Subpart C -- Interlocking
49 CFR 236.207 Standards
49 CFR 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.
49 CFR 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)
49 CFR 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.
49 CFR 236.304 Mechanical locking or same protection effected by
circuits.
Mechanical locking, or the same protection effected by means of
circuits, shall be provided.
49 CFR 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.''
49 CFR 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.
49 CFR 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)
49 CFR 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.
49 CFR 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)
49 CFR 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.
49 CFR 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)
49 CFR 236.312 Movable bridge, interlocking of signal appliances with
bridge devices.
When movable bridge is protected by interlocking the signal
appliances shall be so interlocked with bridge devices that before a
signal governing movements over the bridge can display an aspect to
proceed the bridge must be locked and the track alined, with the bridge
locking members within one inch of their proper positions and with the
track rail on the movable span within three-eighths inch of correct
surface and alinement with rail seating device on bridge abutment or
fixed span. Emergency bypass switches and devices shall be locked or
sealed.
(33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3385, Jan. 26, 1984)
236.313 (Reserved)
49 CFR 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.
49 CFR 236.314 Rules and Instructions
49 CFR 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.''
49 CFR 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)
49 CFR 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.
49 CFR 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.
49 CFR 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.
236.331 -- 236.333 (Reserved)
49 CFR 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.
49 CFR 236.335 Dogs, stops and trunnions of mechanical locking.
Driving pieces, dogs, stops and trunnions shall be rigidly secured to
locking bars. Swing dogs shall have full and free movement. Top plates
shall be maintained securely in place.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 236.342 Inspection and Tests
49 CFR 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)
49 CFR 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)
49 CFR 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)
49 CFR 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)
49 CFR 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)
49 CFR 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)
49 CFR 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)
49 CFR 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)
49 CFR 236.384 Cross protection.
Cross protection shall be tested at least once every six months.
(49 FR 3385, Jan. 26, 1984)
236.385 (Reserved)
49 CFR 236.386 Restoring feature on power switches.
Restoring feature on power switches shall be tested at least once
every three months.
49 CFR 236.387 Movable bridge locking.
Movable bridge locking shall be tested at least once a year.
49 CFR 236.387 Subpart D -- Traffic Control Systems
49 CFR 236.387 Standards
49 CFR 236.401 Automatic block signal system and interlocking standards
applicable to traffic control systems.
The standards prescribed in 236.201, to 236.203, inclusive,
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)
49 CFR 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.
49 CFR 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)
49 CFR 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.
49 CFR 236.405 Track signaled for movements in both directions, change
of direction of traffic.
On track signaled for movements in both directions, occupancy of the
track between opposing signals at adjacent controlled points shall
prevent changing the direction of traffic from that which obtained at
the time the track became occupied, except that when a train having left
one controlled point reaches a section of track immediately adjacent to
the next controlled point at which switching is to be performed, an
aspect permitting movement at not exceeding restricted speed may be
displayed into the occupied block.
236.406 (Reserved)
49 CFR 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)
49 CFR 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)
236.409 (Reserved)
49 CFR 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.
Note: Each carrier subject to this rule is hereby authorized to
remove electrical or mechanical locks now installed within the purview
of 236.410 when either exception (1) or (2) of the present rule is
satisfied, subject to the condition that the following procedures and
actions be accomplished:
1. Each carrier intending to remove a lock under the findings made
herein and based on the existence of one or more of the circumstances as
set forth in exception (1) or (2) as contained in the revised section,
shall:
(a) Notify the FRA by letter setting forth the location of the lock
involved and the specific exception on which removal is based.
(b) Include in the letter to the FRA an assurance that the excepting
circumstance relied upon will not be changed without either
reinstallation of the electric or mechanical lock, or approval by the
FRA of the changed circumstances.
(c) Publish in its Time Table the not-to-exceed 20 miles per hour
speed limit covering the area of the switch, when that is the exception
relied upon; or, where exception (2) is relied upon, publish either in
the Special Instructions part of its Time Table or in separate printed
Special Instructions the location of each hand-operated switch where
electric or mechanical lock is removed and, where train movements are
made in excess of twenty (20) miles per hour, concurrently issuing
specific instructions, by stating therein, that trains are not to be
permitted to clear the main track at such switch.
2. Following the foregoing, and upon acknowledgment of the letter to
the FRA, such acknowledgment to be made promptly as an administrative
action by the FRA's Bureau of Railroad Safety, and such acknowledging
letter to be retained by the carrier as authority for the removal and as
a record of the exception on which relied, the lock may then be removed.
(c) Where a signal is used in lieu of electric or mechanical lock to
govern movements from auxiliary track to signaled track, the signal
shall not display an aspect to proceed until after the control circuits
of signals governing movement on main track in either direction over the
switch have been opened, and either the approach locking circuits to the
switch are unoccupied or a predetermined time interval has expired.
Note: Railroads shall bring all hand-operated switches that are not
electrically or mechanically locked and that do not conform to the
requirements of this section on the effective date of this part into
conformity with this section in accordance with the following schedule:
Not less than 33% during calendar year 1984.
Not less than 66% during calendar year 1985.
The remainder during calendar year 1986.
(33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3386, Jan. 26, 1984)
49 CFR 236.410 Rules and Instructions
49 CFR 236.426 Interlocking rules and instructions applicable to
traffic control systems.
The rules and instructions prescribed in 236.327 and 236.328,
236.330 to 236.334, inclusive, and 236.342 shall apply to traffic
control systems.
49 CFR 236.426 Inspection and Tests
49 CFR 236.476 Interlocking inspections and tests applicable to traffic
control systems.
The inspections and tests prescribed in 236.377 to 236.380,
inclusive, and 236.382, 236.383, and 236.386 shall apply to traffic
control systems.
(49 FR 3386, Jan. 26, 1984)
49 CFR 236.476 Subpart E -- Automatic Train Stop, Train Control and Cab Signal Systems
49 CFR 236.476 Standards
49 CFR 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 236.700 to 236.838 inclusive.
(3) Maximum-speed restriction, effecting an automatic brake
application whenever the predetermined maximum speed limit is exceeded.
49 CFR 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 236.205
obtains, and at each main track signal requiring a reduction in speed.
49 CFR 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.
49 CFR 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)
49 CFR 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.
49 CFR 236.506 Release of brakes after automatic application.
The automatic train stop or train control apparatus shall prevent
release of the brakes after automatic application until a reset device
has been operated, or the speed of the train has been reduced to a
predetermined rate, or the condition that caused the brake application
no longer affects the movement of the train. If reset device is used it
shall be arranged so that the brakes cannot be released until the train
has been stopped, or it shall be located so that it cannot be operated
by engineman without leaving his accustomed position in the cab.
49 CFR 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.
49 CFR 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)
49 CFR 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.
236.510 (Reserved)
49 CFR 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 236.205 that obtain at least stopping distance in advance.
49 CFR 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 236.205 obtains, the cab signals shall indicate ''Proceed at
Restricted Speed.''
49 CFR 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)
49 CFR 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.
49 CFR 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)
49 CFR 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)
49 CFR 236.516 Rules and Instructions; Roadway
49 CFR 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.
49 CFR 236.527 Roadway element insulation resistance.
Insulation resistance between roadway inductor and ground shall be
maintained at not less than 10,000 ohms.
(49 FR 3386, Jan. 26, 1984)
49 CFR 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.
49 CFR 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)
236.530 (Reserved)
49 CFR 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)
49 CFR 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)
236.533 (Reserved)
49 CFR 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.
49 CFR 236.534 Rules and Instructions; Locomotives
49 CFR 236.551 Power supply voltage; requirement.
The voltage of power supply shall be maintained within 10 percent of
rated voltage.
49 CFR 236.552 Insulation resistance; requirement.
When periodic test prescribed in 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)
49 CFR 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.
49 CFR 236.554 Rate of pressure reduction; equalizing reservoir or
brake pipe.
The equalizing-reservoir pressure or brake-pipe pressure reduction
during an automatic brake application shall be at a rate not less than
that which results from a manual service application.
49 CFR 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.
49 CFR 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.
49 CFR 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)
236.558 -- 236.559 (Reserved)
49 CFR 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)
236.561 (Reserved)
49 CFR 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)
49 CFR 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
236.24 shall take into consideration the delay time.
49 CFR 236.564 Acknowledging time.
Acknowledging time of intermittent automatic train-stop device shall
be not more than 30 seconds.
49 CFR 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.
49 CFR 236.566 Locomotive of each train operating in train stop, train
control or cab signal territory; equipped.
The locomotive from which brakes are controlled, of each train
operating in automatic train stop, train control, or cab signal
territory shall be equipped with apparatus responsive to the roadway
equipment installed on all or any part of the route traversed, and such
apparatus shall be in operative condition.
49 CFR 236.567 Restrictions imposed when device fails and/or is cut out
en route.
Where an automatic train stop, train control, or cab signal device
fails and/or is cut out enroute, train may proceed at restricted speed
or if an automatic block signal system is in operation according to
signal indication but not to exceed medium speed, to the next available
point of communication where report must be made to a designated
officer. Where no automatic block signal system is in use train shall
be permitted to proceed at restricted speed or where automatic block
signal system is in operation according to signal indication but not to
exceed medium speed to a point where absolute block can be established.
Where an absolute block is established in advance of the train on which
the device is inoperative train may proceed at not to exceed 79 miles
per hour.
49 CFR 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.
49 CFR 236.568 Inspection and Tests; Roadway
49 CFR 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.
49 CFR 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)
49 CFR 236.577 Inspection and Tests; Locomotive
Source: Sections 236.586 through 236.590 appear at 49 FR 3387, Jan.
26, 1984, unless otherwise noted.
49 CFR 236.586 Daily or after trip test.
(a) Except where tests prescribed by 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 CFR 236.587 Departure test.
(a) The automatic train stop, train control, or cab signal apparatus
on each locomotive, except a locomotive or a multiple-unit car equipped
with mechanical trip stop, shall be tested using one of the following
methods:
(1) Operation over track elements;
(2) Operation over test circuit;
(3) Use of portable test equipment; or
(4) Use of onboard test device.
(b) The test shall be made on departure of the locomotive from its
initial terminal unless that apparatus will be cut out between the
initial terminal and the equipped territory. If the apparatus is cut
out between the initial terminal and the equipped territory the test
shall be made prior to entering equipped territory.
(c) If a locomotive makes more than one trip in any 24-hour period,
only one departure test is required in such 24-hour period.
(d)(1) Whoever performs the test shall certify in writing that such
test was properly performed. The certification and the test results
shall be posted in the cab of the locomotive and a copy of the
certification and test results left at the test location for filing in
the office of the supervisory official having jurisdiction.
(2) If it is impractical to leave a copy of the certification and
test results at the location 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.
(33 FR 19684, Dec. 25, 1968, as amended at 53 FR 37313, Sept. 26,
1988)
Editorial Note: Section 236.587 was revised at 49 FR 3387, Jan. 26,
1984. The reporting/recordkeeping requirements contained in this
section are subject to OMB approval and are not required until such
approval has been obtained.
49 CFR 236.588 Periodic test.
Except as provided in 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 CFR 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.
49 CFR 236.590 Pneumatic apparatus.
Automatic train stop, train control, or cab signal pneumatic
apparatus shall be inspected and cleaned at least once every 736 days.
The pneumatic apparatus shall be stenciled, tagged, or otherwise marked
to indicate the last cleaning date of the apparatus.
(''Stenciled, tagged or otherwise marked'' requirement not yet
approved by the Office of Management and Budget)
Editorial Note: Section 236.590 was revised at 49 FR 3387, Jan. 26,
1984. The reporting/recordkeeping requirements contained in this
section are subject to OMB approval and are not required until such
approval has been obtained.
49 CFR 236.590 Subpart F -- Dragging Equipment and Slide Detectors and Other Similar Protective Devices
49 CFR 236.590 Standards
49 CFR 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.
49 CFR 236.601 Subpart G -- Definitions
49 CFR 236.700 Definitions.
For the purpose of these rules, standards, and instructions, the
following definitions will apply.
49 CFR 236.701 Application, brake; full service.
An application of the brakes resulting from a continuous or a split
reduction in brake pipe pressure at a service rate until maximum brake
cylinder pressure is developed. As applied to an automatic or
electro-pneumatic brake with speed governor control, an application
other than emergency which develops the maximum brake cylinder pressure,
as determined by the design of the brake equipment for the speed at
which the train is operating.
49 CFR 236.702 Arm, semaphore.
The part of a semaphore signal displaying an aspect. It consists of
a blade fastened to a spectacle.
49 CFR 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.
236.704 (Reserved)
49 CFR 236.705 Bar, locking.
A bar in an interlocking machine to which the locking dogs are
attached.
49 CFR 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.
49 CFR 236.707 Blade, semaphore.
The extended part of a semaphore arm which shows the position of the
arm.
49 CFR 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.
49 CFR 236.709 Block, absolute.
A block in which no train is permitted to enter while it is occupied
by another train.
49 CFR 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.
49 CFR 236.711 Bond, rail joint.
A metallic connection attached to adjoining rails to insure
electrical conductivity.
49 CFR 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.
49 CFR 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.
49 CFR 236.714 Cab.
The compartment of a locomotive from which the propelling power and
power brakes of the train are manually controlled.
236.715 -- 236.716 (Reserved)
49 CFR 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)
49 CFR 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.
49 CFR 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.
49 CFR 236.720 Circuit, common return.
A term applied where one wire is used for the return of more than one
electric circuit.
49 CFR 236.721 Circuit, control.
An electrical circuit between a source of electric energy and a
device which it operates.
49 CFR 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.
49 CFR 236.723 Circuit, double wire; line.
An electric circuit not employing a common return wire; a circuit
formed by individual wires throughout.
49 CFR 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.
49 CFR 236.725 Circuit, switch shunting.
A shunting circuit which is closed through contacts of a switch
circuit controller.
49 CFR 236.726 Circuit, track.
An electrical circuit of which the rails of the track form a part.
49 CFR 236.727 Circuit, track; coded.
A track circuit in which the energy is varied or interrupted
periodically.
49 CFR 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.
49 CFR 236.729 Cock, double heading.
A manually operated valve by means of which the control of brake
operation is transferred to the leading locomotive.
49 CFR 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.
49 CFR 236.731 Controller, circuit.
A device for opening and closing electric circuits.
49 CFR 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.
49 CFR 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.
49 CFR 236.734 Current of traffic.
The movement of trains on a specified track in a designated
direction.
49 CFR 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.
49 CFR 236.736 Cut-section.
A location other than a signal location where two adjoining track
circuits end within a block.
49 CFR 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.
49 CFR 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.
49 CFR 236.739 Device, acknowledging.
A manually operated electric switch or pneumatic valve by means of
which, on a locomotive equipped with an automatic train stop or train
control device, an automatic brake application can be forestalled, or by
means of which, on a locomotive equipped with an automatic cab signal
device, the sounding of the cab indicator can be silenced.
49 CFR 236.740 Device, reset.
A device whereby the brakes may be released after an automatic train
control brake application.
49 CFR 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.
49 CFR 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.
49 CFR 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, 236.788.
49 CFR 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)
49 CFR 236.745 Face, locking.
The locking surface of a locking dog, tappet or cross locking of an
interlocking machine.
49 CFR 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)
49 CFR 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.
236.748 (Reserved)
49 CFR 236.749 Indication.
The information conveyed by the aspect of a signal.
Cross Reference: Inductor, see 236.744.
49 CFR 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.
49 CFR 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.
49 CFR 236.752 Joint, rail, insulated.
A joint in which electrical insulation is provided between adjoining
rails.
49 CFR 236.753 Limits, interlocking.
The tracks between the opposing home signals of an interlocking.
49 CFR 236.754 Line, open wire.
An overhead wire line consisting of single conductors as opposed to
multiple-conductor cables.
49 CFR 236.755 Link, rocker.
That portion of an interlocking machine which transmits motion
between the latch and the universal link.
49 CFR 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.
49 CFR 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.
49 CFR 236.758 Lock, electric, forced drop.
An electric lock in which the locking member is mechanically forced
down to the locked position.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 236.763 Locking, latch operated.
The mechanical locking of an interlocking machine which is actuated
by means of the lever latch.
49 CFR 236.764 Locking, lever operated.
The mechanical locking of an interlocking machine which is actuated
by means of the lever.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 236.768 Locking, time.
A method of locking, either mechanical or electrical, which, after a
signal has been caused to display an aspect to proceed, prevents, until
after the expiration of a predetermined time interval after such signal
has been caused to display its most restrictive aspect, the operation of
any interlocked or electrically locked switch, movable-point frog, or
derail in the route governed by that signal, and which prevents an
aspect to proceed from being displayed for any conflicting route.
49 CFR 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.
49 CFR 236.770 Locomotive.
A self-propelled unit of equipment which can be used in train
service.
49 CFR 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.
49 CFR 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 236.744.
49 CFR 236.773 Movements, conflicting.
Movements over conflicting routes.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 236.777 Operator, control.
An employee assigned to operate the control machine of a traffic
control system.
49 CFR 236.778 Piece, driving.
A crank secured to a locking shaft by means of which horizontal
movement is imparted to a longitudinal locking bar.
49 CFR 236.779 Plate, top.
A metal plate secured to a locking bracket to prevent the cross
locking from being forced out of the bracket.
49 CFR 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.
236.781 (Reserved)
49 CFR 236.782 Point, controlled.
A location where signals and/or other functions of a traffic control
system are controlled from the control machine.
49 CFR 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.
49 CFR 236.784 Position, deenergized.
The position assumed by the moving member of an electromagnetic
device when the device is deprived of its operating current.
49 CFR 236.785 Position, false restrictive.
A position of a semaphore arm that is more restrictive than it should
be.
49 CFR 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.
49 CFR 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 236.744.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 236.791 Release, value.
The electrical value at which the movable member of an
electromagnetic device will move to its deenergized portion.
49 CFR 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 236.755.
49 CFR 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.
49 CFR 236.794 Rod, up-and-down.
A rod used for connecting the semaphore arm to the operating
mechanism of a signal.
49 CFR 236.795 Route.
The course or way which is, or is to be, traveled.
49 CFR 236.796 Routes, conflicting.
Two or more routes, opposing, converging or intersecting, over which
movements cannot be made simultaneously without possibility of
collision.
49 CFR 236.797 Route, interlocked.
A route within interlocking limits.
49 CFR 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.
49 CFR 236.799 Section, fouling.
The section of track between the switch points and the clearance
point in a turnout.
49 CFR 236.800 Sheet, locking.
A description in tabular form of the locking operations in an
interlocking machine.
49 CFR 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.
49 CFR 236.802 Shunt.
A by-path in an electrical circuit.
49 CFR 236.802a Siding.
An auxiliary track for meeting or passing trains.
49 CFR 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.
49 CFR 236.804 Signal, block.
A roadway signal operated either automatically or manually at the
entrance to a block.
49 CFR 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.
49 CFR 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.
49 CFR 236.807 Signal, interlocking.
A roadway signal which governs movements into or within interlocking
limits.
49 CFR 236.808 Signals, opposing.
Roadway signals which govern movements in opposite directions on the
same track.
49 CFR 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.
49 CFR 236.810 Spectacle, semaphore arm.
That part of a semaphore arm which holds the roundels and to which
the blade is fastened.
49 CFR 236.811 Speed, medium.
A speed not exceeding 40 miles per hour.
49 CFR 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)
49 CFR 236.813 Speed, slow.
A speed not exceeding 20 miles per hour.
49 CFR 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)
49 CFR 236.814 Station, control.
The place where the control machine of a traffic control system is
located.
49 CFR 236.815 Stop.
As applied to mechanical locking, a device secured to a locking bar
to limit its movement.
49 CFR 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.
49 CFR 236.817 Switch, electro-pneumatic.
A switch operated by an electro-pneumatic switch-and-lock movement.
49 CFR 236.818 Switch, facing point.
A switch, the points of which face traffic approaching in the
direction for which the track is signaled.
49 CFR 236.819 Switch, hand operated.
A non-interlocked switch which can only be operated manually.
49 CFR 236.820 Switch, interlocked.
A switch within the interlocking limits the control of which is
interlocked with other functions of the interlocking.
49 CFR 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)
49 CFR 236.821 Switch, sectionalizing.
A switch for disconnecting a section of a power line from the source
of energy.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 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.
49 CFR 236.829 Terminal, initial.
The starting point of a locomotive for a trip.
49 CFR 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.
49 CFR 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)
49 CFR 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.
49 CFR 236.832 Train.
A locomotive or more than one locomotive coupled, with or without
cars.
49 CFR 236.833 Train, opposing.
A train, the movement of which is in a direction opposite to and
toward another train on the same track.
49 CFR 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 236.744.
49 CFR 236.835 Trunking.
A casing used to protect electrical conductors.
49 CFR 236.836 Trunnion.
A cylindrical projection supporting a revolving part.
49 CFR 236.837 Valve, electro-pneumatic.
A valve electrically operated which, when operated, will permit or
prevent passage of air.
49 CFR 236.838 Wire, shunt.
A wire forming part of a shunt circuit.
49 CFR 236.838 Pt. 236, App. A
(53 FR 52936, Dec. 29, 1988)
49 CFR 236.838 -- PART 240 -- QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS
49 CFR 236.838 -- Subpart A -- General
Sec.
240.1 Purpose and Scope.
240.3 Applicability.
240.5 Construction.
240.7 Definitions.
240.9 Waivers.
240.11 Consequences for Noncompliance.
240.13 Information Collection Requirements.
49 CFR 236.838 -- Subpart B -- Component Elements of the Certification
Process
240.101 Certification Program Required.
240.103 Approval of Design of Individual Railroad Programs by FRA.
240.105 Criteria for Selection of Designated Supervisors of
Locomotive Engineers.
240.107 Criteria for Designation of Classes of Service.
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
49 CFR 236.838 -- Subpart C -- Implementation of the Certification
Process
240.201 Schedule for Implementation.
240.203 Determinations Required as a Prerequisite to Certification.
240.205 Procedures for Determining Eligibility Based on Prior Safety
Conduct
240.207 Procedures for Making the Determination on Vision and Hearing
Acuity.
240.209 Procedures for Making the Determination on Knowledge.
240.211 Procedures for Making the Determination on Performance
Skills.
240.213 Procedures for Making the Determination on Completion of
Training Program.
240.215 Retaining Information Supporting Determinations.
240.217 Time Limitations for Making Determinations.
240.219 Denial of Certification.
240.221 Identification of Qualified Persons.
240.223 Criteria for the Certificate.
240.225 Reliance on Qualification Determinations Made by Other
Railroads.
240.227 Reliance on Qualification Requirements of other Countries.
240.229 Requirements for Joint Operations Territory.
49 CFR 236.838 -- Subpart D -- Administration of the Certification
Programs
240.301 Replacement of Certificates.
240.303 Operational Monitoring Requirements.
240.305 Prohibited Conduct by Certified Engineers.
240.307 Revocation of Certification.
240.309 Railroad Oversight Responsibilities.
49 CFR 236.838 -- Subpart E -- Dispute Resolution Procedures
240.401 Review Board Established.
240.403 Petition Requirements.
240.405 Processing Qualification Review Petitions.
240.407 Request for a Hearing.
240.409 Hearings.
240.411 Appeals
Appendix A to Part 240 -- Schedule of Civil Penalties
Appendix B to Part 240 -- Procedures for Submission and Approval of
Locomotive Engineer Qualification Programs
Appendix C to Part 240 -- Procedures for Obtaining and Evaluating
Motor Vehicle Driving Record Data
Appendix D to Part 240 -- Identification of State Agencies that
Perform National Driver Register Checks
Appendix E to Part 240 -- Recommended Procedures for Conducting Skill
Performance Tests
Authority: 45 U.S.C. 431 and 438, as amended; Pub. L. 100-342; and
49 CFR 1.49(m).
Source: 56 FR 28254, June 19, 1991, unless otherwise noted.
49 CFR 236.838 -- Subpart A -- General
49 CFR 240.1 Purpose and scope.
(a) The purpose of this part is to ensure that only qualified persons
operate a locomotive or train.
(b) This part prescribes minimum Federal safety requirements for the
eligibility, training, testing, certification, and monitoring of all
locomotive engineers. This part does not restrict a railroad from
implementing additional or more stringent requirements for its
locomotive engineers that are not inconsistent with this part.
(c) The qualifications for locomotive engineers prescribed in this
part are pertinent to any person who operates a locomotive, unless that
person is specifically excluded by a provision of this part, regardless
of the fact that a person may have a job classification title other than
that of locomotive engineer.
49 CFR 240.3 Applicability.
(a) This part applies to all railroads that operate locomotives on
standard gage track that is part of the general railroad system of
transportation.
(b) This part does not apply to:
(1) Rapid transit operations in an urban area that are not connected
with the general system of transportation; and
(2) A railroad that operates only on track inside an installation
which is not part of the general railroad system of transportation.
49 CFR 240.5 Construction.
(a) Under section 205 of the Federal Railroad Safety Act of 1970 (45
U.S.C. 434), issuance of these regulations preempts any State law, rule,
regulation, order, or standard covering the same subject matter.
(b) FRA does not intend by issuance of these regulations to preempt
any provisions of State criminal law that impose sanctions for reckless
conduct that leads to actual loss of life, injury, or damage to
property, whether such provisions apply specifically to railroad
employees or generally to the public at large.
(c) FRA does not intend, by use of the term ''locomotive engineer''
in this part, to preempt or otherwise alter the terms, conditions, or
interpretation of existing collective bargaining agreements that employ
other job classification titles when identifying persons authorized by a
railroad to operate a locomotive.
(d) FRA does not intend by issuance of these regulations to preempt
or otherwise alter the authority of a railroad to initiate disciplinary
sanctions against its employees, including managers and supervisors, in
the normal and customary manner, including those contained in its
collective bargaining agreements.
(e) Nothing in this part shall be construed to create an eligibility
or entitlement to employment in other service for the railroad as a
result of denial, suspension, or revocation of certification under this
part.
49 CFR 240.7 Definitions.
As used in this part --
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 240.105 of
this part.
Drug means any substance (other than alcohol) that has known mind or
function-altering effects on a human subject, specifically including any
psychoactive substance and including, but not limited to, controlled
substances.
EAP Counselor means a person qualified by experience, education, or
training to counsel people affected by substance abuse problems and to
evaluate their progress in recovering from or controlling such problems.
An EAP Counselor can be a qualified full-time salaried employee of a
railroad, a qualified practitioner who contracts with the railroad on a
fee-for-service or other basis, or a qualified physician designated by
the railroad to perform functions in connection with alcohol or
substance abuse evaluation or counseling. As used in this rule, the EAP
Counselor owes a duty to the railroad to make an honest and fully
informed evaluation of the condition and progress of an employee.
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 hi-rail or
specialized maintenance equipment
(1) With one or more propelling motors designed for moving other
equipment;
(2) With one or more propelling motors designed to carry freight or
passenger traffic or both; or
(3) Without propelling motors but with one or more control stands.
Locomotive engineer means any person who moves a locomotive or group
of locomotives regardless of whether they are coupled to other rolling
equipment except:
(1) A person who moves a locomotive or group of locomotives within
the confines of a locomotive repair or servicing area as defined in 49
CFR 218.5(f); 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.
Medical examiner means a person licensed as a doctor of medicine or
doctor of osteopathy. A medical examiner can be a qualified full-time
salaried employee of a railroad, a qualified practitioner who contracts
with the railroad on a fee-for-service or other basis, or a qualified
practitioner designated by the railroad to perform functions in
connection with medical evaluations of employees. As used in this rule,
the medical examiner owes a duty to the railroad to make an honest and
fully informed evaluation of the condition of an employee.
Newly hired employee is any person who is hired with no prior
railroad experience, or one with less than one year of experience in
transportation service on that railroad or another railroad.
Railroad means all forms of non-highway ground transportation that
run on rails or electromagnetic guideways, including
(1) Commuter or other short-haul rail passenger service in a
metropolitan or suburban area and
(2) High speed ground transportation systems that connect
metropolitan areas, without regard to whether they use new technologies
not associated with traditional railroads.
Such term does not include rapid transit operations within an urban
area that are not connected to the general railroad system of
transportation.
Railroad Officer means any supervisory employee of a railroad.
Segment means any portion of a railroad assigned to the supervision
of one superintendent or equivalent transportation officer.
Substance abuse disorder refers to a psychological or physical
dependence on alcohol or a drug or another identifiable and treatable
mental or physical disorder involving the abuse of alcohol or drugs as a
primary manifestation. A substance abuse disorder is ''active'' within
the meaning of this part if the person (1) is currently using alcohol
and other drugs, except under medical supervision consistent with the
restrictions described in 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.
49 CFR 240.9 Waivers.
(a) Any person may petition the Federal Railroad Administration for a
waiver of compliance with any requirement prescribed in this part.
(b) Each petition for a waiver under this section must be filed in
the manner and contain the information required by part 211 of this
chapter.
(c) If the Administrator finds that a waiver of compliance is in the
public interest and is consistent with railroad safety, he or she may
grant the waiver subject to any conditions he or she deems necessary.
49 CFR 240.11 Consequences for Noncompliance.
(a) 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, but 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. Appendix A is
a statement of policy that contains a schedule of civil penalty amounts
used in connection with this rule.
(b) Any person (including a railroad and any manager, supervisor,
official, or other employee or agent of a railroad) who violates any
requirement of this part or causes the violation of any such requirement
may be subject to disqualification from all safety-sensitive service in
accordance with part 209 of this chapter.
(c) Any person (including a railroad and any manager, supervisor,
official, or other employee or agent of a railroad) who knowingly and
willfully falsifies any record required by this part may be subject to
criminal penalties under the provisions of 45 U.S.C. 438.
(d) In addition to the enforcement methods referred to in paragraphs
(a), (b), and (c) of this section, FRA may also address violations of
this part by use of the emergency order, compliance order, and/or
injunctive provisions of the Federal Railroad Safety Act.
49 CFR 240.13 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: 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.
49 CFR 240.13 Subpart B -- Component Elements of the Certification Process
49 CFR 240.101 Certification program required.
(a) After September 17, 1991, each railroad in operation on that date
and subject to this part shall have in effect a written program for
certifying the qualifications of locomotive engineers.
(b) A railroad commencing operations after September 17, 1991, shall
have such a program in effect prior to commencing operations.
(c) After the pertinent date specified in paragraphs (e), (f), or (g)
of 240.201, each railroad shall have a certification program approved
in accordance with 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 240.105;
(2) A designation of the classes of service that it determines will
be used in compliance with the criteria established in 240.107;
(3) A procedure for evaluating prior safety conduct that complies
with the criteria established in 240.109;
(4) A procedure for evaluating visual and hearing acuity that
complies with the criteria established in 240.121;
(5) A procedure for training that complies with the criteria
established in 240.123;
(6) A procedure for knowledge testing that complies with the criteria
established in 240.125;
(7) A procedure for skill performance testing that complies with the
criteria established in 240.127; and
(8) A procedure for monitoring operational performance that complies
with the criteria established in 240.129.
49 CFR 240.103 Approval of design of individual railroad programs by
FRA.
(a) Each railroad shall submit its written program and a description
of how its program conforms to the specific requirements of this part in
accordance with the procedures contained in appendix B and the following
schedule:
(1) A Class I railroad (including National Railroad Passenger
Corporation) and a railroad providing commuter service shall submit no
later than November 15, 1991;
(2) A Class II railroad shall submit no later than May 1, 1992; and
(3) A Class III railroad (including a switching and terminal railroad
or any other railroad not otherwise classified) shall submit no later
than November 1, 1992.
(4) A railroad commencing operations after the pertinent date
previously specified in this paragraph shall submit its certification
program for approval at least 60 days before commencing operations.
(b) That submission shall state the railroad's election either:
(1) To accept responsibility for the training of student engineers
and 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.
49 CFR 240.105 Criteria for selection of designated supervisors of
locomotive engineers.
(a) Each railroad's program shall include criteria and procedures for
implementing this section.
(b) The railroad shall examine any person it is considering for
qualification as a supervisor of locomotive engineers to determine that
he or she:
(1) Knows and understands the requirements of this part;
(2) Can appropriately test and evaluate the knowledge and skills of
locomotive engineers;
(3) Has the necessary supervisory experience to prescribe appropriate
remedial action for any noted deficiencies in the training, knowledge or
skills of a person seeking to obtain or retain certification; and
(4) Is a certified engineer.
49 CFR 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.
49 CFR 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 240.115,
240.117, or 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 240.111, 240.113, 240.115,
240.117, 240.119, and 240.217.
(e) When eva1uating a person's motor vehicle driving record or a
person's railroad employment record, a railroad shall not consider
information concerning motor vehicle driving incidents or prior railroad
safety conduct that
(1) Occurred prior to the effective date of this rule; or
(2) Occurred at a time other than that specifically provided for in
240.115, 240.117 or 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 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 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, 240.111, or 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 240.111 or 240.113.
49 CFR 240.111 Individual's duty to furnish data on prior safety
conduct as motor vehicle operator.
(a) Except for initial certifications under paragraphs (b), (h), or
(i) of 240.201 or for persons covered by 240.109(h), each person
seeking certification or recertification under this part shall, within
180 days preceding the date of the railroad's decision on certification
or recertification:
(1) Take the actions required by paragraphs (b) through (h) or
paragraph (g) of this section to make information concerning his or her
driving record available to the railroad that is considering such
certification or recertification; and
(2) Take any additional actions, including providing any necessary
consent required by State or Federal law to make information concerning
his or her driving record available to that railroad.
(b) Each person seeking certification or recertification under this
part shall:
(1) Request, in writing, that the chief of each driver licensing
agency identified in paragraph (c) of this section provide a copy of
that agency's available information concerning his or her driving record
to the railroad that is considering such certification or
recertification; and
(2) Request, in accordance with the provisions of paragraph (d) or
(e) of this section, that a check of the National Driver Register be
performed to identify additional information concerning his or her
driving record and that any resulting information be provided to that
railroad.
(c) Each person shall request the information required under
paragraph (b)(1) of this section from:
(1) The chief of the driver licensing agency which last issued that
person a driver's license; and
(2) The chief of the driver licensing agency of any other state or
states that issued or reissued him or her a driver's license within the
preceding five years.
(d) Each person shall request the information required under
paragraph (b)(2) of this section from the Chief, National Driver
Register, National Highway Traffic Safety Administration, 400 Seventh
Street, SW., Washington, DC 20590 in accordance with the procedures
contained in appendix C unless the person's motor vehicle driving
license was issued by one of the driver licensing agencies identified in
appendix D.
(e) If the person's motor vehicle driving license was issued by one
of the driver licensing agencies identified in appendix D, the person
shall request the chief of that driver licensing agency to perform a
check of the National Driver Register for the possible existence of
additional information concerning his or her driving record and to
provide the resulting information to the railroad.
(f) If advised by the railroad that a driver licensing agency or the
National Highway Traffic Safety Administration has informed the railroad
that additional information concerning that person's driving history may
exist in the files of a state agency not previously contacted in
accordance with this section, such person shall:
(1) Request in writing that the chief of the state agency which
compiled the information provide a copy of the available information to
the prospective certifying railroad; and
(2) Take any additional action required by State or Federal law to
obtain that additional information.
(g) Any person who has never obtained a motor vehicle driving license
is not required to comply with the provisions of paragraph (b) of this
section but shall notify the railroad of that fact in accordance with
procedures of the railroad that comply with 240.109(d).
(h) The actions required for compliance with paragraph (a) of this
section shall be undertaken within the 180 days preceding the date of
the railroad's decision concerning certification or recertification.
49 CFR 240.113 Individual's duty to furnish data on prior safety
conduct as an employee of a different railroad.
(a) Except for initial certifications under paragraphs (b), (h), or
(i) of 240.201 or for persons covered by 240.109(h), each person
seeking certification or recertification under this part shall, within
180 days preceding the date of the railroad's decision on certification
or recertification:
(1) Take the actions required by paragraph (b) of this section to
make information concerning his or her prior railroad service record
available to the railroad that is considering such certification or
recertification; and
(2) Take any additional actions, including providing any necessary
consent required by State or Federal law to make information concerning
his or her service record available to that railroad.
(b) Each person seeking certification or recertification under this
part shall 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.
49 CFR 240.115 Criteria for consideration of prior safety conduct as a
motor vehicle operator.
(a) Each railroad's program shall include criteria and procedures for
implementing this section.
(b) When evaluating a person's motor vehicle driving record, a
railroad shall not consider information concerning motor vehicle driving
incidents that occurred more than 36 months before the month in which
the railroad is making its certification decision and shall only
consider information concerning the following types of motor vehicle
incidents:
(1) A conviction for, or completed state action to cancel, revoke,
suspend, or deny a motor vehicle drivers license for, operating a motor
vehicle while under the influence of or impaired by alcohol or a
controlled substance; (2) A conviction for, or completed state action
to cancel, revoke, suspend, or deny a motor vehicle driver's license
for, refusal to undergo such testing as is required by State law when a
law enforcement official seeks to determine whether a person is
operating a vehicle while under the influence of alcohol or a controlled
substance.
(c) If such an incident is identified,
(1) The railroad shall provide the data to the railroad's EAP
Counselor, together with any information concerning the person's
railroad service record, and shall refer the person for evaluation to
determine if the person has an active substance abuse disorder;
(2) The person shall cooperate in the evaluation and shall provide
any requested records of prior counseling or treatment for review
exclusively by the EAP Counselor in the context of such evaluation; and
(3) If the person is evaluated as not currently affected by an active
substance abuse disorder, the subject data shall not be considered
further with respect to certification. However, the railroad shall, on
recommendation of the EAP Counselor, condition certification upon
participation in any needed aftercare and/or follow-up testing for
alcohol or drugs deemed necessary by the EAP Counselor consistent with
the technical standards specified in 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 240.119(b) will apply.
49 CFR 240.117 Criteria for consideration of operating rules compliance
data.
(a) Each railroad's program shall include criteria and procedures for
implementing this section.
(b) A person who has demonstrated a failure to comply, as described
in paragraph (e) of this section, with railroad rules and practices for
the safe operation of trains shall not be currently certified as a
locomotive engineer.
(c) A certified engineer who has demonstrated a failure to comply, as
described in paragraph (e) of this section, with railroad rules and
practices for the safe operation of trains shall have certification
revoked.
(d) Limitations on consideration of prior operating rule compliance
data. In determining whether a person may be or remain certified as a
locomotive engineer, a railroad shall consider as operating rule
compliance data only conduct described in paragraph (e) of this section
that occurred within a period of 60 consecutive months prior to the
determination. A review of an existing certification shall be initiated
promptly upon the occurrence and documentation of any occurrence of
conduct described in this paragraph.
(e) A railroad shall consider violations of its operating rules and
practices that involve:
(1) Failure to control a locomotive or train in accordance with a
signal indication;
(2) Failure to adhere to limitations concerning train speed;
(3) Failure to adhere to procedures for the safe use of train or
engine brakes;
(4) Entering track segment without proper authority;
(5) Failure to comply with prohibitions against tampering with
locomotive mounted safety devices; and
(6) Incidents of noncompliance with 219.101 of this chapter;
however such incidents shall be considered as a violation only for the
purposes of subsections (2) and (3) of paragraph (g) of this section.
(f) If in any single incident the person's conduct contravened more
than one operating rule or practice, that event shall be treated as a
single violation for the purposes of this section.
(g) A period of ineligibility described in this paragraph shall:
(1) Begin, for a person not currently certified, on the date of the
railroad's written determination that the most recent incident has
occurred; or
(2) Begin, for a person currently certified, on the date of the
railroad's notification to the person that recertification has been
denied or certification has been revoked; and
(3) Be determined according to the following standards:
(i) In the case of a single incident involving violation of one or
more of the operating rules or practices described paragraphs (e)(1)
through (e)(5) of this section, the person shall be ineligible to hold a
certificate for a period of one month.
(ii) In the case of two separate incidents involving violations of
one or more of the operating rules on practices described in paragraph
(e) of this section that occurred within 36 months of each other, the
person shall be ineligible to hold a certificate for a period of one
year.
(iii) In the case of more than two such violations in any consecutive
60 month interval, the person shall be ineligible to hold a certificate
for a period of five years.
(iv) Where, based on the occurrence of violations described in
subparagraph (e)(6) of this section, different periods of ineligibility
may result under the provisions of this section and 240.119, the longer
period of ineligibility shall control.
(h) Future eligibility to hold certificate. Only a person whose
certification has been denied, suspended or revoked for a period of one
year in accordance with the provisions of paragraph (g)(2) for reasons
other than noncompliance with 219.101 of this chapter shall be eligible
for grant or reinstatement of the certificate prior to the expiration of
the initial period of ineligibility. Such a person shall not be
eligible for grant or reinstatement unless and until --
(1) The person has been evaluated by a designated supervisor of
locomotive engineers and determined to have received adequate remedial
training;
(2) The person has successfully completed any mandatory program of
training or retraining, if that was determined to be necessary by the
railroad prior to return to service; and
(3) At least one half the pertinent period of ineligibility specified
in paragraph (g)(2) has elapsed.
49 CFR 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 240.115), the employee may, if otherwise
eligible, voluntarily self-refer for substance abuse counseling or
treatment under the policy required by 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 219.101 or 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 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 219.102, the person shall be
ineligible to hold a certificate for a period of two years. In the case
of more than two such violations, the person shall be ineligible to hold
a certificate for a period of five years.
(ii) In the case of one violation of 219.102 of this chapter and one
violation of 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 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 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
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) 219.102, in the case of a refusal or failure to provide a urine
specimen for testing; or
(B) 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 drug tests shall be performed
consistent with the requirements of subpart H of part 219 of this
chapter.
(4) Return-to-service and follow-up alcohol tests shall consist of --
(i) Analysis of a breath specimen for alcohol under safeguards
consistent with those specified for reasonable cause breath testing
under subpart C of part 219 of this chapter; or
(ii) Analysis of a blood specimen for alcohol in the same manner as
prescribed in 219.303(c) of this chapter. Alcohol tests shall be
conducted while the employee is in duty status. However, this paragraph
shall not be construed to require compensation of an employee or
applicant for any period devoted exclusively to such tests.
(5) Satisfaction of the more stringent return-to-service requirements
of this paragraph shall also be deemed to satisfy the requirements of
219.104(d) of this chapter.
(6) 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 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 219.403 of this chapter a provision
that, at least with respect to a certified locomotive engineer or a
candidate for certification, the policy of confidentiality is waived (to
the extent that the railroad shall receive from the EAP Counselor
official notice of the substance abuse disorder and shall suspend or
revoke the certification, as appropriate) if the person at any time
refuses to cooperate in a recommended course of counseling or treatment.
49 CFR 240.121 Criteria for vision and hearing acuity data.
(a) Each railroad's program shall include criteria and procedures
implementing this section.
(b) Fitness Requirement. A person who does not have visual acuity
and hearing acuity that meets or exceeds the levels prescribed in this
section shall not, except as permitted by paragraph (e) of this section,
currently be certified as a locomotive engineer.
(c) Except as provided in paragraph (e), each person shall have
visual acuity that meets or exceeds the following thresholds:
(1) For distant viewing either
(i) Distant visual acuity of at least 20/40 (Snellen) in each eye
without corrective lenses or
(ii) Distant visual acuity separately corrected to at least 20/40
(Snellen) with corrective lenses and distant binocular acuity of at
least 20/40 (Snellen) in both eyes with or without corrective lenses;
(2) A field of vision of at least 70 degrees in the horizontal
meridian in each eye; and
(3) The ability to recognize and distinguish between the colors of
signals.
(d) Except as provided in paragraph (e) of this section, each person
shall have hearing acuity that meets or exceeds the following thresholds
when tested by use of an audiometric device (calibrated to American
National Standard Specification for Audiometers, S3.6-1969): the person
does not have an average hearing loss in the better ear greater than 40
decibels at 500Hz, 1,000 Hz, and 2,000 Hz with or without use of a
hearing aid.
(e) A person not meeting the thresholds in paragraphs (c) and (d) of
this section may be subject to further medical evaluation by a
railroad's medical examiner to determine that person's ability to safely
operate a locomotive. If the medical examiner concludes that, despite
not meeting the threshold(s), the person has the ability to safely
operate a locomotive, the person may be certified as a locomotive
engineer and such certification conditioned on any special restrictions
the medical examiner determines in writing to be necessary.
49 CFR 240.123 Criteria for initial and continuing education.
(a) Each railroad's program shall include criteria and procedures for
implementing this section.
(b) A railroad shall provide for the continuing education of
certified locomotive engineers to ensure that each engineer maintains
the necessary knowledge, skill and ability concerning personal safety,
operating rules and practices, mechanical condition of equipment,
methods of safe train handling (including familiarity with physical
characteristics), and relevant Federal safety rules.
(c) A railroad that elects to train a previously untrained person to
be a locomotive engineer shall provide initial training which, at a
minimum:
(1) Is composed of classroom, skill performance, and familiarization
with physical characteristics components;
(2) Includes both knowledge and performance skill testing;
(3) Is conducted under the supervision of a qualified class
instructor;
(4) Is subdivided into segments or periods of appropriate duration to
effectively cover the following subject matter areas:
(i) Personal safety,
(ii) Railroad operating rules,
(iii) Mechanical condition of equipment,
(iv) Train handling procedures (including use of locomotive and train
brake systems),
(v) Familiarization with physical characteristics including train
handling, and
(vi) Compliance with Federal regulations;
(5) Is conducted so that the performance skill component shall
(i) Be under the supervision of a qualified instructor engineer
located in the same control compartment whenever possible;
(ii) Place the student engineer at the controls of a locomotive for a
significant portion of the time; and
(iii) Permit the student to experience whatever variety of types of
trains are normally operated by the railroad.
49 CFR 240.125 Criteria for testing knowledge.
(a) Each railroad's program shall include criteria and procedures for
implementing this section.
(b) A railroad shall have procedures for testing a person being
evaluated for qualification as a locomotive engineer in either train or
locomotive service to determine that the person has sufficient knowledge
of the railroad's rules and practices for the safe operation of trains.
(c) The testing methods selected by the railroad shall be:
(1) Designed to examine a person's knowledge of the railroad's rules
and practices for the safe operation of trains;
(2) Objective in nature;
(3) Administered in written form;
(4) Cover the following subjects:
(i) Personal safety practices;
(ii) Operating practices;
(iii) Equipment inspection practices;
(iv) Train handling practices including familiarity with the physical
characteristics of the territory; and
(v) Compliance with Federal safety rules;
(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.
49 CFR 240.127 Criteria for examining skill performance.
(a) Each railroad's program shall include criteria and procedures for
implementing this section.
(b) A railroad shall have procedures for examining the performance
skills of a person being evaluated for qualification as a locomotive
engineer in either train or locomotive service to determine whether the
person has the skills to safely operate locomotives and/or trains,
including the proper application of the railroad's rules and practices
for the safe operation of locomotives or trains, in the most demanding
class or type of service that the person will be permitted to perform.
(c) The testing procedures selected by the railroad shall be:
(1) Designed to examine a person's skills in safely operating
locomotives or trains including the proper application of the railroad's
rules and practices for the safe operation of locomotives or trains when
performing the most demanding class or type of service that the person
will be permitted to perform;
(2) Conducted by a designated supervisor of locomotive engineers;
(3) Cover the following subjects during the test period
(i) Operating practices;
(ii) Equipment inspection practices;
(iii) Train handling practices; and
(iv) Compliance with Federal safety rules;
(4) Be of sufficient length to effectively evaluate the person's
ability to operate trains; and
(5) Conducted when the person either
(i) Is at the controls of the type of train normally operated on that
railroad or segment of railroad and which this person might be permitted
or required by the railroad to operate in the normal course of events
after certification or
(ii) Is at the controls of a Type I or Type II simulator programmed
to replicate the responsive behavior of the type of train normally
operated on that railroad or segment of railroad and which this person
might be permitted or required by the railroad to operate in the normal
course of events after certification.
(d) The conduct of the test shall be documented in writing by the
designated supervisor and the documentation shall contain:
(1) The relevant facts concerning the train being operated;
(2) The constraints applicable to its operation; and
(3) The factors observed and relied on for evaluation purposes by the
designated supervisor.
49 CFR 240.129 Criteria for monitoring operational performance of
certified engineers.
(a) Each railroad's program shall include criteria and procedures for
implementing this section.
(b) A railroad shall have procedures for monitoring the operational
performance of those it has determined as qualified as a locomotive
engineer in either train or locomotive service.
(c) The procedures shall:
(1) Be designed to determine that the person possesses and routinely
employs the skills to safely operate locomotives and/or trains,
including the proper application of the railroad's rules and practices
for the safe operation of locomotives and trains;
(2) Be designed so that each engineer shall be annually monitored by
a designated supervisor of locomotive engineers;
(3) Be designed so that the locomotive engineer is either accompanied
by the designated supervisor for a reasonable length of time or has his
or her train handling activities electronically recorded by a train
operations event recorder;
(d) The procedures may be designed so that the locomotive engineer
being monitored either (i) is at the controls of the type of train
normally operated on that railroad or segment of railroad and which this
person might be permitted or required by the railroad to operate in the
normal course of events after certification or (ii) is at the controls
of a Type I or Type II simulator programmed to replicate the responsive
behavior of the type of train normally operated on that railroad or
segment of railroad and which this person might be permitted or required
by the railroad to operate in the normal course of events after
certification.
(e) The testing and examination procedures selected by the railroad
for the conduct of a monitoring program shall be:
(1) Designed so that each locomotive engineer shall be given at least
one unannounced test each calendar year.
(2) Designed to test engineer compliance with provisions of the
railroad's operating rules that require response to signals that display
less than a ''clear'' aspect, if the railroad operates with a signal
system that must comply with part 236 of this chapter;
(3) Designed to test engineer compliance with provisions of the
railroad's operating rules, timetable or other mandatory directives that
require affirmative response by the locomotive engineer to less
favorable conditions than that which existed prior to initiation of the
test;
(4) Designed to test engineer compliance with provisions of the
railroad's operating rules, timetable or other mandatory directives
violation of which by engineers were cited by the railroad as the cause
of train accidents or train incidents in accident reports filed in
compliance with part 225 of this chapter in the preceding calendar year;
(5) Designed so that the administration of these tests is effectively
distributed throughout whatever portion of a 24-hour day that the
railroad conducts its operations; and
(6) Designed so that individual tests are administered without prior
notice to the engineer being tested.
49 CFR 240.129 Subpart C -- Implementation of the Certification Process
49 CFR 240.201 Schedule for implementation.
(a) After October 30, 1991, each railroad in operation on that date
shall designate in writing any person(s) it deems qualified as a
designated supervisor of locomotive engineers. Each person so
designated shall have demonstrated to the railroad through training,
testing or prior experience that he or she has the knowledge, skills,
and ability to be a designated supervisor of locomotive engineers.
(b) No later than November 1, 1991, each railroad shall designate in
writing all persons that it will deem to be qualified as certified
locomotive engineers for the purpose of initial compliance with
paragraph (d) of this section, except as provided for in paragraph (h)
of this section.
(1) Each person so designated shall have demonstrated to the railroad
through training, testing or prior experience that he or she has the
knowledge and skills to be a certified locomotive engineer.
(2) Each railroad shall issue, no later than December 31, 1991, a
certificate that complies with 240.223 to each person that it
designates as qualified under the provisions of paragraph (b) of this
section.
(c) No railroad shall permit or require a person, designated as
qualified for certification under the provisions of paragraph (b) of
this section, to perform service as a certified locomotive or train
service engineer for more than the 36-month period beginning on the
pertinent date for compliance with the mandatory procedures for testing
and evaluation set forth in the applicable provisions of paragraph (e),
(f) or (g) of this section unless that person has been determined to be
qualified in accordance with procedures that comply with subpart C.
(d) After December 31, 1991, no railroad shall permit or require any
person to operate a locomotive in any class of locomotive or train
service unless that person has been certified as a qualified locomotive
engineer and issued a certificate that complies with 240.223.
(e) After December 31, 1991, no Class I railroad (including the
National Railroad Passenger Corporation) or railroad providing commuter
service shall designate any person it deems qualified as a designated
supervisor of locomotive engineers or initially certify or recertify a
person as a locomotive engineer in either locomotive or train service
unless that person has been tested, evaluated, and determined to be
qualified in accordance with procedures that comply with subpart C.
(f) After May 31, 1992 no Class II railroad shall designate any
person it deems qualified as a designated supervisor of locomotive
engineers or initially certify or recertify a person as a locomotive
engineer in any class of locomotive or train service unless that person
has been tested, evaluated and determined to be qualified in accordance
with procedures that comply with subpart C.
(g) After November 30, 1992 no Class III railroad (including a
switching and terminal or other railroad not otherwise classified) shall
designate any person it deems qualified as a designated supervisor of
locomotive engineers or initially certify or recertify a person as a
locomotive engineer in any class of locomotive or train service unless
that person has been tested, evaluated and determined to be qualified in
accordance with procedures that comply with subpart C.
(h) A railroad may continue to designate any person it deems
qualified as a designated supervisor of locomotive engineers or as a
certified engineer, on the basis of paragraph (b) determinations, prior
to the pertinent date by which a railroad of its class must comply with
the procedures for testing and evaluating persons required under subpart
C. Each person designated as a locomotive engineer shall be issued a
certificate that complies with 240.223 prior to being required or
permitted to operate a locomotive.
(i) A railroad commencing operations prior to the pertinent date for
compliance by a railroad of its class may designate any person it deems
qualified as a designated supervisor of locomotive engineers or as a
certified locomotive engineer on the basis of paragraph (b) until the
pertinent date for compliance with the procedures for testing and
evaluating required under subpart C. Each person designated as a
locomotive engineer shall be issued a certificate that complies with
240.223 prior to being required or permitted to operate a locomotive.
49 CFR 240.203 Determinations required as a prerequisite to
certification.
(a) Except as provided in paragraph (c), after the pertinent date
specified in paragraph (e), (f), or (g) of 240.201, each railroad,
prior to initially certifying or recertifying any person as an engineer
for any class of service, shall, in accordance with its FRA-approved
program determine in writing that:
(1) The individual meets the eligibility requirements of 240.15,
240.117 and 240.119; and
(2) The individual meets the vision and hearing acuity standards of
240.121;
(3) The individual has the necessary knowledge, as demonstrated by
successfully completing a test that meets the requirements of 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 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
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 240.121. A railroad may subsequently certify that student
engineer as either a locomotive servicing engineer or a train service
engineer without further review of his or her acuity status provided it
determines that:
(1) The person successfully completed a training program that
complies with 240.123;
(2) The person meets the eligibility requirements of 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.
49 CFR 240.205 Procedures for determining eligibility base on prior
safety conduct.
(a) After the pertinent date specified in paragraph (e), (f), or (g)
of 240.201, each railroad, prior to initially certifying or
recertifying any person as an engineer for any class of service, shall
determine that the person meets the eligibility requirements of 240.115
involving prior conduct as a motor vehicle operator, 240.117 involving
prior conduct as a railroad worker, and 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.
49 CFR 240.207 Procedures for making the determination on vision and
hearing acuity.
(a) After the pertinent date specified in paragraph (e), (f), or (g)
of 240.201, each railroad, prior to initially certifying or
recertifying any person as an engineer for any class of service, shall
determine that the person meets the standards for visual acuity and
hearing acuity prescribed in 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 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.
49 CFR 240.209 Procedures for making the determination on knowledge.
(a) After the pertinent date specified in paragraph (e), (f), or (g)
of 240.201, each railroad, prior to initially certifying or
recertifying any person as an engineer for any class of train or
locomotive service, shall determine that the person has, in accordance
with the requirements of 240.125 of this part, demonstrated sufficient
knowledge of the railroad's rules and practices for the safe operation
of trains.
(b) In order to make the determination required by paragraph (a) a
railroad shall have written documentation showing that the person either
(i) Exhibited his or her knowledge by achieving a passing grade in
testing that complies with this part or
(ii) Did not achieve a passing grade in such testing.
(c) If a person fails to achieve a passing score under the testing
procedures required by this part no railroad shall permit or require
that person to operate a locomotive as a locomotive or train service
engineer prior to that person's achieving a passing score during a
reexamination of his or her knowledge.
49 CFR 240.211 Procedures for making the determination on performance
skills.
(a) After the pertinent date specified in paragraph (e), (f), or (g)
of 240.201, each railroad, prior to initially certifying or
recertifying any person as an engineer for any class of train or
locomotive service, shall determine that the person has demonstrated, in
accordance with the requirements of 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.
49 CFR 240.213 Procedures for making the determination on completion of
training program.
(a) After the pertinent date specified in paragraph (e), (f), or (g)
of 240.201, each railroad, prior to the initial issuance of a
certificate to any person as a train or locomotive service engineer,
shall determine that the person has, in accordance with the requirements
of 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
240.123 of this part;
(2) The person demonstrated his or her knowledge and skills by
achieving a passing grade under the testing and evaluation procedures of
that training program; and
(3) The person is familiar with the physical characteristics of the
railroad or its pertinent segments.
49 CFR 240.215 Retaining information supporting determinations.
(a) After the pertinent date in paragraphs (e), (f) or (g) of
240.201, a railroad that issues, denies, or revokes a certificate after
making the determinations required under 240.203 shall maintain a
record for each certified engineer or applicant for certification that
contains the information the railroad relied on in making the
determinations.
(b) The information concerning eligibility that the railroad shall
retain includes:
(1) Any relevant data from the railroad's records concerning the
person's prior safety conduct;
(2) Any relevant data furnished by another railroad;
(3) Any relevant data furnished by a governmental agency concerning
the person's motor vehicle driving record; and
(4) Any relevant data furnished by the person seeking certification
concerning his or her eligibility.
(c) The information concerning vision and hearing acuity that the
railroad shall retain includes:
(1) The relevant test results data concerning acuity; and,
(2) If applicable, the relevant data concerning the professional
opinion of the railroad's medical examiner on the adequacy of the
person's acuity.
(d) The information concerning demonstrated knowledge that the
railroad shall retain includes:
(1) Any relevant data from the railroad's records concerning the
person's 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 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.
49 CFR 240.217 Time limitations for making determinations.
(a) After the pertinent date in paragraphs (e), (f) or (g) of
240.201, a railroad shall not certify or recertify a person as a
qualified locomotive engineer in any class of train or engine service,
if the railroad is making:
(1) A determination concerning eligibility and the eligibility data
being relied on were furnished more than 180 days before the date of the
railroad's certification decision;
(2) A determination concerning visual and hearing acuity and the
medical examination being relied on was conducted more than 180 days
before the date of the railroad's certification decision;
(3) A determination concerning demonstrated knowledge and the
knowledge examination being relied on was conducted more than 360 days
before the date of the railroad's certification decision; or
(4) A determination concerning demonstrated performance skills and
the performance skill testing being relied on was conducted more than
360 days before the date of the railroad's certification decision;
(b) The time limitations of paragraph (a) do not apply to a railroad
that is making a certification decision in reliance on determinations
made by another railroad in accordance with 240.227 or 240.229.
(c) Except as provided in 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 that 36 months; or
(2) Rely on a certification issued by another railroad that is more
than 12 months old.
(d) Except as provided for in 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 240.223 no later than 30 days from the date of its
decision to certify or recertify that person.
49 CFR 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 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.
49 CFR 240.221 Identification of qualified persons.
(a) After November 1, 1991, a railroad shall maintain a written
record identifying each person designated by it as a supervisor of
locomotive engineers.
(b) After November 1, 1991, a railroad shall maintain a written
record identifying each person designated as a certified locomotive
engineer. That listing of certified engineers shall indicate the class
of service the railroad determines each person is qualified to perform
and date of the railroad's certification decision.
(c) If a railroad is responsible for controlling joint operations
territory, the listing shall include person(s) certified in accordance
with 240.229.
(d) The listing required by paragraphs (a), (b), and (c) shall be
updated at least annually.
(e) The record required under this section shall be kept at the
divisional or regional headquarters of the railroad and shall be
available for inspection or copying by FRA during regular business
hours.
(f) A railroad may obtain approval from FRA to maintain this record
electronically or maintain this record at the railroad's general
offices, or both. Requests for such approval shall be filed in writing
with the Associate Administrator for Safety and contain sufficient
information to explain how FRA will be given access to the data that is
fully equivalent to that created by compliance with paragraph (e).
49 CFR 240.223 Criteria for the certificate.
(a) As a minimum, each certificate issued in compliance with this
part shall:
(1) Identify the railroad that is issuing it;
(2) Indicate that the railroad, acting in conformity with this part,
has determined that the person to whom it is being issued has been
determined to be qualified to operate a locomotive;
(3) Identify the person to whom it is being issued (including the
person's 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 on the date of the person's last operating performance test
as required by 240.129 and 240.303; 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.
49 CFR 240.225 Reliance on qualification determinations made by other
railroads.
After December 31, 1991, any railroad that is considering
certification of a person as a qualified engineer may rely on
determinations made by another railroad concerning that person's
qualifications. A railroad relying on another's certification shall
determine that:
(a) The prior certification is still valid in accordance with the
provisions of 240.201, 240.217, and 240.307;
(b) The prior certification was for the same classification of
locomotive or train service being issued under this section;
(c) The person has received training on and visually observed the
physical characteristics of the new territory in accordance with
240.123;
(d) The person has demonstrated the necessary knowledge concerning
its operating rules in accordance with 240.125.
(e) The person has demonstrated the necessary performance skills
concerning its operating rules in accordance with 240.127.
49 CFR 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.
49 CFR 240.229 Requirements for joint operations territory.
(a) After December 31, 1991, 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 240.223.
(b) Each railroad that is responsible for controlling the conduct of
joint operations with another railroad shall certify a person as a
qualified locomotive engineer for the purposes of joint operations
either by making the determinations required under subpart C of this
part or by relying on the certification issued by another railroad under
this part.
(c) If the controlling railroad relies on the certification issued by
another railroad, the controlling railroad shall determine:
(1) That the person has been certified as a qualified engineer under
the provisions of this part by the railroad which employs that
individual;
(2) That the person certified as a locomotive engineer by the other
railroad has demonstrated the necessary knowledge concerning the
controlling railroad's operating rules, if the rules are different;
(3) That the person certified as a locomotive engineer by the other
railroad has the necessary operating skills concerning the joint
operations territory; and
(4) That the person certified as a locomotive engineer by the other
railroad has the necessary familiarity with the physical characteristics
for the joint operations territory.
(d) A railroad that controls joint operations and certifies
locomotive engineers from a different railroad may comply with the
requirements of paragraph (a) of this section by noting its supplemental
certification decision on the original certificate as provided for in
240.223(c).
(e) A railroad responsible for controlling the conduct of joint
operations with another railroad shall be deemed to be in compliance
with paragraph (a) of this section when it provides a qualified person
to accompany a locomotive engineer who lacks joint operations
certification during that engineer's operations in joint operations
territory. As used in this section qualified person means either a
designated supervisor of locomotive engineers or a certified train
service engineer determined by the controlling railroad to have the
necessary knowledge concerning the controlling railroad's operating
rules and to have the necessary operating skills including familiarity
with its physical characteristics concerning the joint operations
territory.
49 CFR 240.229 Subpart D -- Administration of the Certification Programs
49 CFR 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.
49 CFR 240.303 Operational monitoring requirements.
(a) After December 31, 1991, each railroad to which this part applies
shall, prior to FRA approval of its program in accordance with 240.201,
have a program to monitor the conduct of its certified locomotive
engineers by performing both operational monitoring observations and by
conducting unannounced operating rules compliance tests.
(b) The program shall be conducted so that each locomotive engineer
shall be given at least one operational monitoring observation by a
qualified supervisor of locomotive engineers in each calendar year.
(c) The program shall be conducted so that each locomotive engineer
shall be given at least one unannounced compliance test each calendar
year.
(d) The unannounced test program shall:
(1) Test engineer compliance with one or more provisions of the
railroad's operating rules that require response to signals that display
less than a ''clear'' aspect, if the railroad operates with a signal
system that must comply with part 236 of this chapter;
(2) Test engineer compliance with one or more provisions of the
railroad's operating rules, timetable or other mandatory directives that
require affirmative response by the locomotive engineer to less
favorable conditions than that which existed prior to initiation of the
test;
(3) Test engineer compliance with provisions of the railroad's
operating rules, timetable or other mandatory directives the violations
of which by engineers were cited by the railroad as the cause of train
accidents or train incidents in accident reports filed in compliance
with part 225 of this chapter for the preceding year;
(4) Be conducted that so that the administration of these tests is
effectively distributed throughout whatever portion of a 24-hour day
that the railroad conducts its operations;
(5) Be conducted so that individual tests are administered without
prior notice to the locomotive engineer being tested; and
(6) Be conducted so that the results of the test are recorded on the
certificate and entered on the record established under 240.215 within
30 days of the day the test is administered.
49 CFR 240.305 Prohibited conduct by certified engineers.
After December 31, 1991,
(a) It shall be unlawful to:
(1) Operate a locomotive or train at a speed that exceeds the maximum
authorized limit by at least 10 miles per hour or exceeds the maximum
speed by more than one half of the authorized speed, whichever is less;
(2) Operate a locomotive or train past any signal, without completely
stopping the locomotive or train, when that signal requires a complete
stop before passing it; or
(3) Fail to comply with any mandatory directive concerning the
movement of a locomotive or train by entering a segment of track without
authority.
(b) Each locomotive engineer who has received a certificate required
under this part shall:
(1) Have that certificate in his or her possession while on duty as
an engineer; and
(2) Display that certificate upon the receipt of a request to do so
from
(i) A representative of the Federal Railroad Administration,
(ii) An officer of the issuing railroad, or
(iii) An officer of another railroad when operating a locomotive or
train in joint operations territory.
(c) Any locomotive engineer who is notified or called to operate a
locomotive or train that would cause him or her to exceed the limits set
forth in subpart B shall immediately notify the railroad that he or she
is not qualified to perform that anticipated 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.
49 CFR 240.307 Revocation of certification.
(a) A railroad that issues a person certification or recertification
as a qualified locomotive engineer and, during that certification
interval, acquires information which convinces the railroad that the
person no longer meets the qualification requirements of this part,
shall revoke the person's certificate as a qualified locomotive
engineer.
(b) Pending a revocation determination under this section, the
railroad shall:
(1) Upon receipt of reliable information indicating the person's lack
of qualification under this part, immediately suspend the person's
certificate;
(2) Prior to or upon suspending the person, provide notice of the
reason for this suspension, the pending revocation, and an opportunity
for hearing before a presiding officer other than the charging official;
(3) Convene the hearing within ten calendar days of the suspension
when so demanded by the person;
(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 240.117 or 240.119; and
(6) Retain the record of the hearing for 3 years after the date the
decision is rendered.
(c) The hearing may be consolidated with any disciplinary or other
hearing arising from the same facts but the presiding officer for the
hearing shall make separate findings as to the revocation required under
this section.
(d) A hearing that conforms procedurally to the applicable collective
bargaining agreement shall be deemed to satisfy the procedural
requirements of this section.
(e) A railroad that has relied on the certification by another
railroad under the provisions of 240.227 or 240.229, shall revoke its
certification if, during the pendency of that certification interval,
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.
(f) The requirement to provide a hearing under this section does not
impose a duty on more than one railroad to hold a hearing prior to the
revocation by more than one railroad arising from the same facts.
49 CFR 240.309 Railroad oversight responsibilities.
(a) No later than March 31 of each year (beginning in calendar year
1993), each Class I railroad (including the National Railroad Passenger
Corporation and a railroad providing commuter service) and Class II
railroad shall conduct a formal annual review and analysis concerning
the administration of its program for responding to detected instances
of poor safety conduct by certified locomotive engineers during the
prior calendar year.
(b) Each review and analysis shall involve:
(1) The number and nature of the instances of detected poor safety
conduct including the nature of the remedial action taken in response
thereto;
(2) The number and nature of FRA reported train accidents attributed
to poor safety performance by locomotive engineers;
(3) The number and type of operational monitoring test failures and
observations of inadequate skill performance recorded by supervisors of
locomotive engineers; and
(4) If it conducts joint operations with another railroad, the number
of locomotive engineers employed by such other railroad(s) to which such
events were ascribed which the controlling railroad certified for joint
operations purposes.
(c) Based on that review and analysis each railroad shall determine
what action(s) it will take to improve the safety of train operations to
reduce or eliminate future incidents of that nature.
(d) If requested in writing by FRA, the railroad shall provide a
report of the findings and conclusions reached during such annual review
and analysis effort.
(e) For reporting purposes, the nature of detected poor safety
conduct shall be capable of segregation for study and evaluation
purposes in the following manner:
(1) Incidents involving noncompliance with part 218;
(2) Incidents involving noncompliance with part 219;
(3) Incidents involving noncompliance with part 232;
(4) Incidents involving noncompliance with the railroad's operating
rules involving operation of a locomotive or train to operate at a speed
that exceeds the maximum authorized limit;
(5) Incidents involving noncompliance with the railroad's operating
rules resulting in operation of a locomotive or train past any signal
that requires a complete stop before passing it;
(6) Incidents involving noncompliance with the railroad's operating
practices including train handling procedures resulting in improper use
of dynamic brakes;
(7) Incidents involving noncompliance with the railroad's operating
practices (including train handling procedures) resulting in improper
use of automatic brakes;
(8) Incidents involving noncompliance with the railroad's operating
practices (including train handling procedures) resulting in improper
use of a locomotive's independent brake;
(9) Incidents involving noncompliance with the railroad's operating
practices (including train handling procedures) resulting in excessive
in-train force levels; and
(10) Incidents involving noncompliance with the railroad's operating
practices that require operation of a train at a speed that permits
stopping within less than the engineers range of vision.
(e) For reporting purposes each category of detected poor safety
conduct identified in paragraph (d) of this section shall be capable of
being annotated to reflect the following:
(1) The total number of incidents in that category;
(2) The number of incidents within that total which reflects
incidents requiring an FRA accident/incident report; and
(3) The number of incidents within that total which were detected as
a result of a scheduled operational monitoring effort.
(f) For reporting purposes each category of detected poor safety
conduct identified in paragraph (d) of this section shall be capable of
being annotated to reflect the following:
(1) The nature of the remedial action taken and the number of events
subdivided so as to reflect which of the following actions was selected:
(i) Imposition of informal discipline;
(ii) Imposition of formal discipline;
(iii) Provision of informal training; or
(iv) Provision of formal training; and
(2) If the nature of the remedial action taken was formal discipline,
the number of events further subdivided so as to reflect which of the
following punishments was imposed by the hearing officer:
(i) The person was withheld from service;
(ii) The person was dismissed from employment or
(iii) The person was issued demerits. If more than one form of
punishment was imposed only that punishment deemed the most severe shall
be shown.
(g) For reporting purposes each category of detected poor safety
conduct identified in paragraph (d) of this section which resulted in
the imposition of formal or informal discipline shall be annotated to
reflect the following:
(1) The number of instances in which the railroad's internal appeals
process reduced the punishment initially imposed at the conclusion of
its hearing; and
(2) The number of instances in which the punishment imposed by the
railroad was reduced by any of the following entities: the National
Railroad Adjustment Board, a Public Law Board, a Special Board of
Adjustment or other body for the resolution of disputes duly constituted
under the provisions of the Railway Labor Act.
49 CFR 240.309 Subpart E -- Dispute Resolution Procedures
49 CFR 240.401 Review board established.
(a) Any person who has been denied certification, denied
recertification, or has had his or her certification suspended or
revoked and believes that a railroad incorrectly determined that he or
she failed to meet the qualification requirements of this regulation
when making the decision to deny, suspend, 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.
49 CFR 240.403 Petition Requirements.
(a) To obtain review of a railroad's decision to deny certification,
deny recertification, or revoke certification, a person shall file a
petition for review that complies with this section.
(b) Each petition shall:
(1) Be in writing;
(2) Be submitted in triplicate to the Docket Clerk, Federal Railroad
Administration, 400 Seventh Street SW., Washington, DC, 20590;
(3) Contain all available information that the person thinks supports
the person's belief that the railroad acted improperly, including:
(i) The petitioner's full name;
(ii) The petitioner's current mailing address;
(iii) The petitioner's daytime telephone number;
(iv) The name and address of the railroad; and
(v) The facts that the petitioner believes constitute the improper
action by the railroad, specifying the locations, dates, and identities
of all persons who were present or involved in the railroad's actions
(to the degree known by the petitioner);
(4) Explain the nature of the remedial action sought;
(5) Be supplemented by a copy of all written documents in the
petitioner's possession that document that railroad's decision; and
(6) Be filed in a timely manner.
(c) A petition seeking review of a railroad's decision to deny
certification or recertification filed with FRA more than 180 days after
the date of the railroad's denial decision will be denied as untimely.
(d) A petition seeking review of a railroad's decision to revoke
certification in accordance with the procedures required by 240.307
filed with FRA more than 180 days after the date of the railroad's
revocation decision will be denied as untimely.
49 CFR 240.405 Processing qualification review petitions.
(a) Each petition shall be acknowledged in writing by FRA and the
acknowledgement shall contain the docket number assigned to the
petition.
(b) Upon receipt of the petition, FRA will notify the railroad that
it has received the petition and provide the railroad with a copy of the
petition.
(c) The railroad will be given a period of not to exceed 30 days to
submit to FRA any information that the railroad considers pertinent to
the petition.
(d) A railroad that submits such information shall:
(1) Identify the petitioner by name and the docket number of the
review proceeding;
(2) Provide a copy of the information being submitted to FRA to the
petitioner.
(e) Each petition will then be referred to the Locomotive Engineer
Review Board for a decision.
(f) The Board will determine whether the denial or revocation of
certification or recertification was improper under this regulation
(i.e., based on an incorrect determination that the person failed to
meet the qualification requirements of this regulation) and grant or
deny the petition accordingly. The Board will not otherwise consider
the propriety of a railroad's decision, i.e., it will not consider
whether the railroad properly applied its own more stringent
requirements.
(g) Notice of that decision will be provided in writing to both the
petitioner and the railroad. The decision will include findings of fact
on which it is based.
49 CFR 240.407 Request for a hearing.
(a) If adversely affected by the decision, either the original
petitioner or the railroad involved shall have a right to an
administrative hearing concerning that decision.
(b) To exercise that right, the adversely affected party shall file a
written request within 20 days of service of the Board's decision on
them.
(c) Failure to request a hearing within the period provided in
paragraph (b) of this section constitutes a waiver of the right to a
hearing.
(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 facts that the requesting party alleges the Board
wrongly determined in making its decision; 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, the Federal Railroad Administration shall schedule a
hearing at the earliest practicable date.
49 CFR 240.409 Hearings.
(a) An administrative hearing for review of a locomotive engineer
qualification petition shall be conducted by a presiding officer, who
can be any person authorized by the FRA Administrator, including an
administrative law judge.
(b) The presiding officer may exercise the powers of the Federal
Railroad 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.
(d) Testimony by witnesses at the hearing shall be given under oath
and the hearing shall be recorded verbatim.
(e) The presiding officer shall employ the Federal Rules of Evidence
for United States Courts and Magistrates as general guidelines for the
introduction of evidence. 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.
(f) The presiding officer may:
(1) Administer oaths and affirmations;
(2) Issue subpoenas as provided for in 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.
(g) The party favored by FRA's disposition of the initial petition
under this subpart, may participate in the hearing as a third party.
Parties may appear and be heard on their own behalf or through
designated representatives. Respondents may offer relevant evidence
including testimony and may conduct such cross-examination of witnesses
as may be required for a full disclosure of the relevant facts.
(h) 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.
(i) At the close of the record, the presiding officer shall prepare a
written decision in the proceeding.
(j) The decision:
(1) Shall contain the findings of fact and conclusions of law, as
well as the basis therefore, concerning all material issues of fact or
law presented on the record;
(2) Shall be served on the respondent and any other directly affected
party;
(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.
(k) The FRA shall have the burden of proving that its grant or denial
of the initial petition was in accordance with law and supported by
substantial evidence.
49 CFR 240.411 Appeals.
(a) Any party aggrieved by the presiding officer's decision may file
an appeal. The appeal must be filed within 35 days of issuance of the
decision with the Federal Railroad Administrator, 400 Seventh Street
SW., Washington, DC 20590. A copy of the appeal shall be served on each
party. The appeal shall set forth objections to the presiding officer's
decision, supported by reference to applicable laws and regulations and
with specific reference to the record.
(b) A party may file a reply to the appeal within 25 days of service
of the appeal. The reply shall be supported by reference to applicable
laws and regulations and with specific reference to the record, if the
party relies on evidence contained in the record.
(c) The Administrator may extend the period for filing an appeal or a
response for good cause shown, provided that the written request for
extension is served before expiration of the applicable period provided
in this section.
(d) The Administrator has sole discretion to permit oral argument on
the appeal. On the Administrator's own initiative or written motion by
any party, the Administrator may grant the parties an opportunity for
oral argument.
(e) The Administrator may affirm, reverse, alter or modify the
decision of the presiding officer and the Administrator's decision
constitutes final agency action.
49 CFR 240.411 Pt. 240, App. A
49 CFR 240.411 -- Pt. 240, App. B
49 CFR 240.411 -- 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
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.
As provided for in 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 240.103.
Each program must be accompanied by a request for approval organized in
accordance with this appendix. Requests for approval must contain
appropriate references to the relevant portion of the program being
discussed. Requests should be submitted in writing on standard sized
paper (8-1/2 x 11) and can be in letter or narrative format. The
railroad's submission shall be sent to the Associate Administrator for
Safety, FRA. The mailing address for FRA is 400 Seventh Street, SW.,
Washington, DC 20590.
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.
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
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
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 240.107).
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 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 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, the submission must state which criteria
it will employ.
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 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 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.
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 240.125 and 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 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 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 240.125.
Section 240.127 directs that, when seeking a demonstration of the
person's skill, a railroad must employ a test and evaluation procedure
conducted by a designated supervisor of locomotive engineers that
contains an objective evaluation of the person's skills at applying the
railroad's rules and practices for the safe operation of trains. The
test and evaluation procedure must examine the person's skills in terms
of all of the following subject matters: (i) Operating practices; (ii)
equipment inspection practices; (iii) train handling practices
(including familiarity with the physical characteristics of the
territory); and (iv) compliance with relevant Federal safety rules.
The test must be sufficient to effectively examine the person's skills
while operating a train in the most demanding type of service which the
person is likely to encounter in the normal course of events once he or
she is deemed qualified.
Section 240.127 provides a railroad latitude in selecting the design
of its own testing and evaluation procedures (including the duration of
the evaluation process, how each required subject matter will be
covered, weighing (if any) to be given to particular subject matter
response, selection of passing scores, and the manner of presenting the
test information). The section should provide information concerning
the procedures which the railroad will follow that achieve the
objectives described in FRA's recommended practices (see appendix E) for
conducting skill performance testing. The section also gives a railroad
the latitude to employ either a Type 1 or a Type 2 simulator (properly
programmed) to conduct the test and evaluation procedure. A railroad
must describe in this section how it will use that latitude to assure
that its engineers will demonstrate their skills concerning the safe
discharge of their train operation responsibilities so as to comply with
the performance standard set forth in 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.
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 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.
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 240.129, each railroad must
have a program for the ongoing monitoring of its locomotive engineers to
assure that they operate their locomotives in conformity with the
railroad's operating rules and practices including methods of safe train
handling and relevant Federal safety rules.
Section 240.129 requires that a railroad annually observe each
locomotive engineer demonstrating his or her knowledge of the railroad's
rules and practices and skill at applying those rules and practices for
the safe operation of a locomotive or train. Section 240.129 directs
that the observation be conducted by a designated supervisor of
locomotive engineers but provides a railroad latitude in selecting the
design of its own observation procedures (including the duration of the
observation process, reliance on tapes that record the specifics of
train operation, and the specific aspects of the engineer's performance
to be covered). The section also gives a railroad the latitude to
employ either a Type 1 or a Type 2 simulator (properly programmed) to
conduct monitoring observations. A railroad must describe in this
section how it will use that latitude to assure that the railroad is
monitoring that its engineers demonstrate their skills concerning the
safe discharge of their train operation responsibilities. A railroad
that intends to employ train operation event recorder tapes to comply
with this monitoring requirement shall indicate in this section how it
anticipates determining what person was at the controls and what signal
indications or other operational constraints, if any, were applicable to
the train's movement.
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 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, 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.
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
240.103.
FRA initially proposed specifying the details for most aspects of the
programs being submitted under this appendix. The proposed rule
contained a distillation of the essential elements of pre-existing
training, testing, evaluating, and monitoring programs that appear to
result in railroads having locomotive engineers who operate locomotives
and trains safely. The proposal contained very specific details for
each aspect of the program that appeared to contribute to that result.
Those details included such things as the duration of classes intended
to teach operating rules as well as the interval and methodology for
acquiring familiarization with physical characteristics of an engineer's
operational territory. Railroads commenting on the proposed rule did
not question the validity of the FRA's views concerning the essential
elements of an effective program but did convince FRA that they should
be given more discretion to formulate the design of their individual
programs.
Rather than establish rigid requirements for each element of the
program as initially proposed, FRA has given railroads discretion 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.
49 CFR 240.411 -- Pt. 240, App. C
49 CFR 240.411 -- 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
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.
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.
In addition to seeking an individual state's data, each engineer
candidate is required to request that a search and retrieval be
performed of any relevant information concerning his or her driving
record contained in the National Driver Register. The National Driver
Register (NDR) is a system of information created by Congress in 1960.
In essence it is a nationwide repository of information on problem
drivers that was created in an effort to protect motorists. It is a
voluntary State/Federal cooperative program that assists motor vehicle
driver licensing agencies in gaining access to data about actions taken
by other state agencies concerning an individual's motor vehicle driving
record. The NDR is designed to address the problem that occurs when
chronic traffic law violators, after losing their license in one State
travel to and receive licenses in another State. Currently the NDR is
maintained by the National Highway Traffic Safety Administration (NHTSA)
of the Department of Transportation under the provisions of the National
Driver Register Act (23 U.S.C. 401 note). Under that statute, state
motor vehicle licensing authorities voluntarily notify NHTSA when they
take action to deny, suspend, revoke or cancel a person's motor vehicle
driver's license and, under the provisions of a 1982 change to the
statute, states are also authorized to notify NHTSA concerning
convictions for operation of a motor vehicle while under the influence
of, or impaired by, alcohol or a controlled substance, and for traffic
violations arising in connection with a fatal traffic accident, reckless
driving or racing on the highway even if these convictions do not result
in an immediate loss of driving privileges.
The information submitted to NHTSA contains, at a minimum, three
specific pieces of 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.
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.
The procedures for requesting NHTSA performance of an NDR check are
as follows:
1. Each person shall submit a written request to National Highway
Traffic Safety Administration at the following address: Chief, National
Driver Register, National Highway Traffic Safety Administration, 400
Seventh Street, SW., Washington, DC 20590.
2. The request must contain:
(a) The full legal name;
(b) Any other names used by the person (e.g., nickname or
professional name);
(c) The date of birth;
(d) Sex;
(e) Height;
(f) Weight;
(g) Color of eyes;
(h) Driver's license number (unless that is not available).
3. The request must authorize NHTSA to perform the NDR check and to
furnish the results of the search directly to the railroad.
4. The request must identify the railroad to which the results are to
be furnished, including the proper name of the railroad, and the proper
mailing address of the railroad.
5. The person seeking to become a certified locomotive engineer shall
sign the request, and that signature must be notarized.
FRA requires that the request be in writing and contain as much
detail as is available to improve the reliability of the data search.
Any person may supply additional information to that being mandated by
FRA. Furnishing additional information, such as the person's Social
Security account number, will help to more positively identify any
records that may exist concerning the requester. Although no fee is
charged for such NDR checks, a minimal cost may be incurred in having
the request notarized. The requirement for notarization is designed to
ensure that each person's right to privacy is being respected and that
records are only being disclosed to legally authorized parties.
As discussed earlier in connection with obtaining data compiled by
the state agency itself, a person can either write a letter to that
agency asking for the NDR check or can use the agency's forms for making
such a request. If a request is made by letter the individual must
follow the same procedures required when directly seeking the data from
NHTSA. At present there are only a limited number of state licensing
agencies that have the capacity to make a direct NDR inquiry of this
nature. It is anticipated that the number of states with such
capability will increase in the near future; therefore, FRA will
continue to update the identification of such states by revising
appendix D to this regulation to identify such state agencies. Since it
would be more efficient for a prospective locomotive engineer to make a
single request for both aspects of the information required under this
rule, FRA anticipates that state agency inquiry will eventually become
the predominant method for making these NDR checks. Requests to state
agencies may involve payment of a nominal fee established by the state
agency for such a records check.
State agencies normally will respond in approximately 30 days or less
and advise whether there is or is not a listing for a person with that
name and date of birth. If there is a potential match and the inquiry
state was not responsible for causing that entry, the agency normally
will indicate in writing the existence of a probable match and will
identify the state licensing agency that suspended, revoked or canceled
the relevant license or convicted the person of one of the violations
referenced earlier in this appendix.
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 aqency fails or refuses to supply the records.
If the non-issuing state licensing agency does provide the railroad
with the available records, the railroad must verify that the record
pertains to the person being considered for certification. It is
necessary to perform this verification because in some instances only
limited identification information is furnished for use in the NDR and
this might result in data about a different person being supplied to the
railroad. Among the available means for verifying that the additional
state record pertains to the certification candidate are physical
description, photographs and handwriting comparisons.
Once the railroad has obtained the motor vehicle driving record
which, depending on the circumstance, may consist of more than two
documents, the railroad must afford the prospective engineer an
opportunity to review that record and respond in writing to its contents
in accordance with the provisions of 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.
49 CFR 240.411 -- Pt. 240, App. D
49 CFR 240.411 -- Appendix D to Part 240 -- Identification of State
Agencies That Perform National Driver Register Checks
Under the provisions of 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
240.111, each person seeking certification or recertification as a
locomotive engineer must request that National Highway Traffic Safety
Administration conduct the NDR check, unless he or she was issued a
motor vehicle driver license by one of the state agencies identified in
this appendix. If the certification candidate received a license from
one of the designated state agencies, he or she must request the state
agency to perform the NDR check. The state motor vehicle licensing
agencies listed in this appendix participate in a program that
authorizes these state agencies, in accordance with the National Driver
Register Act of 1982, to obtain information from the NDR on behalf of
individuals seeking data about themselves. Since these state agencies
can more efficiently supply the desired data and, in some instances, can
provide a higher quality of information, FRA requires that certification
candidates make use of this method in preference to directly contacting
NHTSA.
Although the number of state agencies that participate in this manner
is limited, FRA anticipates that an increasing number of states will do
so in the future. This appendix will be revised periodically to reflect
current participation in the program. As of December 31, 1989, the
motor vehicle licensing agencies of the following states participate
under the provisions of the 1982 changes to the NDR Act: North Dakota,
Ohio, Virginia, and Washington.
49 CFR 240.411 -- Pt. 240, App. E
49 CFR 240.411 -- Appendix E to Part 240 -- Recommended Procedures for
Conducting Skill Performance Tests
FRA requires (see 240.127 and 240.211) that locomotive engineers be
given a skill performance test prior to certification or recertification
and establishes certain criteria for the conduct of that test.
Railroads are given discretion concerning the manner in which to
administer the required testing. FRA has afforded railroads this
discretion to allow individual railroad companies latitude to tailor
their testing procedures to the specific operational realities. This
appendix contains FRA's recommendations for the administration of skill
performance testing that occurs during operation of an actual train. It
can be modified to serve in instances where a locomotive simulator is
employed for testing purposes. These recommended practices, if
followed, will ensure a more thorough and systematic assessment of
locomotive engineer performance.
There are numerous criteria that should be monitored when a
designated supervisor of locomotive engineers is observing a person to
determine whether that individual should be certified or recertified as
a qualified locomotive engineer. The details of those criteria will
vary for the different classes of service, types of railroads, and
terrain over which trains are being operated. At a minimum, the
attention of a designated supervisor of locomotive engineers should
concentrate on several general areas during any appraisal. Compliance
with the railroad's operating rules, including its safety directives and
train handling rules, and compliance with Federal regulations should be
carefully monitored. But, in order to effectively evaluate employees,
it is necessary to have something against which to compare their
performance. In order to hold a locomotive engineer accountable for
compliance, a railroad must have adequate operating, safety and train
handling rules. Any railroad that fails to have adequate operating,
safety, or train handling rules will experience difficulty in
establishing a objective method of measuring an individual's skill
level. Any railroad that requires the evaluation of an individual's
performance relative to its train handling rules needs to have
established preferred operating ranges for throttle use, brake
application, and train speed. The absence of such criteria results in
the lack of a meaningful yardstick for the designated supervisor of
locomotive engineers to use in measuring the performance of locomotive
engineers. It also is essential to have a definite standard so that the
engineer and any reviewing body can know what the certification
candidate is being measured against.
Evaluating the performance of certain train operation skills will
tend to occur in all situations. For example, it would be rare for a
designated supervisor of locomotive engineers to observe any operator
for a reasonable period of time and not have some opportunity to review
that engineer's compliance with some basic safety rules, compliance with
basic operating rules, and performance of a brake test. As the
complexity of the operation increases, so does the number of items that
the operator must comply with. Higher speeds, mountainous terrain, and
various signal systems place increased emphasis on the need for operator
compliance with more safety, operating, and train handling rules.
Accounting for such variables in any universal monitoring scheme
immediately results in a fairly complex system.
FRA therefore recommends that designated supervisors of locomotive
engineers employ a written aid to help record events and procedures that
as a minimum should be observed for when conducting a skills performance
test. FRA is providing the following information to assist railroads in
developing such a written aid so as to ensure meaningful testing. When
conducting a skills performance test, a designated supervisor of
locomotive engineers should be alert to the following:
-- Does the employee have the necessary books (Operating Rules,
Safety Rules, Timetable, etc.)?
-- Are predeparture inspections properly conducted (Radio, Air
Brake Tests, Locomotive, etc.)?
-- Does the employee comply with applicable safety rules? -- Does
the employee read the bulletins, general orders, etc.? -- Enroute,
does the employee: -- Comply with applicable Federal Rules? --
Monitor gauges? -- Properly use the horn, whistle, headlight? --
Couple to cars at a safe speed? -- Properly control in train
slack and buff forces? -- Properly use the train braking systems?
-- Comply with speed restrictions? -- Display familiarity with
the physical characteristics? -- Comply with signal indications?
-- Respond properly to unusual conditions? -- At the conclusion
of the trip, does the employee: -- Apply a hand brake to the
locomotives? -- Properly report locomotive defects?
Obviously, the less sophisticated the railroad's operations are, the
fewer the number of identified practices that would be relevant. Hence,
this list should modified accordingly.
It is essential that railroads conduct the performance skills testing
in the most objective manner possible, whether this testing is the
locomotive engineer's initial qualification testing or periodic
retesting. There will always be some potential for the subjective
views, held by the designated supervisor of locomotive engineers
conducting the testing, to enter into evaluations concerning the
competency of a particular individual to handle the position of
locomotive engineer. Steps can be taken, and need to be taken, to
minimize the risk that personality factors adversely influence the
testing procedure.
One way to reduce the entry of subjective matters into the
qualification procedures is through the use of a document that specifies
those criteria that the designated supervisor of locomotive engineers is
to place emphasis on. The use of an observation form will reduce but
not eliminate subjectivity. Any skill performance test will contain
some amount of subjectivity. While compliance with the operating rules
or the safety rules 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.
49 CFR 240.411 -- PART 245 -- RAILROAD USER FEES
49 CFR 240.411 -- Subpart A -- General
Sec.
245.1 Purpose and scope.
245.3 Application.
245.5 Definitions.
245.7 Penalties.
49 CFR 240.411 -- Subpart B -- Reporting and Recordkeeping
245.101 Reporting requirements.
245.103 Recordkeeping.
245.105 Retention of records.
49 CFR 240.411 -- Subpart C -- User Fee Calculation
245.201 User fee calculation.
49 CFR 240.411 -- Subpart D -- Collection Procedures and Duty to Pay
245.301 Collection procedures.
245.303 Duty to pay.
Authority: 45 U.S.C. 431, 437, 438, 446 as amended; Pub. L.
101-508, 104 Stat. 1388; and 49 CFR 1.49(m)
Source: 56 FR 49424, Sept. 30, 1991, unless otherwise noted.
Effective Date Note: At 56 FR 49424, Sept. 30, 1991, part 245 was
added effective October 30, 1991.
49 CFR 240.411 -- Subpart A -- General
49 CFR 245.1 Purpose and scope.
(a) The purpose of this part is to implement section 216 of the
Federal Railroad Safety Act of 1970 (45 U.S.C. 446) (the ''Safety Act'')
(as added by section 10501 of the Omnibus Budget Reconciliation Act of
1990, Pub. L. No. 101-508, 104 Stat. 1388-399) which requires the
Secretary of Transportation to establish a schedule of fees to be
assessed equitably to railroads to cover the costs incurred by the
Federal Railroad Administration (''FRA'') in administering the Safety
Act (not including activities described in section 202(a)(2) thereof).
(b) Beginning in the fiscal year ending September 30, 1991, each
railroad subject to this part shall pay an annual user fee to the FRA.
For the fiscal year ending September 30, 1991, the user fee shall be
calculated by the FRA in accordance with 245.101. The Secretary's
authority to collect user fees shall expire on September 30, 1995, as
provided for in section 216(f) of the Safety Act.
49 CFR 245.3 Application.
This part applies to all railroads except those railroads whose
entire operations are confined within an industrial installation.
49 CFR 245.5 Definitions.
As used in this part --
(a) FRA means the Federal Railroad Administration.
(b) Light density railroad means railroads with less than 900
train-miles per road mile.
(c) 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.
(d) Passenger service means both intercity rail passenger service and
commuter rail passenger service.
(e) 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 surburban 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.
(f) Road miles means the length in miles of the single or first main
track, measured by the distance between terminals or stations, or both.
Road miles does not include industrial and yard tracks, sidings, and all
other tracks not regularly used by road trains operated in such specific
service, and lines operated under a trackage rights agreement.
(g) Safety Act means the Federal Railroad Safety Act of 1970 (45
U.S.C. 421 et seq.)
(h) Sliding Scale means the adjustment made to the mile of road of
light density railroads. The sliding scale is as follows:
The scaling factor is multiplied by the road miles by each railroad
for the year.
(i) Trackage rights agreement means an agreement through which a
railroad obtains access and provides service over tracks owned by
another railroad where the owning railroad retains the responsibility
for operating and maintaining the tracks.
(j) Train means a unit of equipment, or a combination of units of
equipment (including light locomotives) in condition for movement over
tracks by self-contained motor equipment.
(k) Train mile means the movement of a train a distance of one mile
measured by the distance between terminals and/or stations.
Note: Yard switching locomotive miles and work train miles are to be
included in train mile reporting. Yard switching locomotive miles are
computed at the rate of 6 mph for the time actually engaged in yard
switching service if actual mileage is unknown.
49 CFR 245.7 Penalties.
Any person (including a railroad and any manager, supervisor,
official, or other employee or agent of a railroad) who violates any
requirement of this part or causes the violation of any such requirement
is subject to a civil penalty of at least $250 and not more than $10,000
per violation. Civil penalties may be assessed against individuals only
for willful violations. Each day a violation continues shall constitute
a separate offense. A person may also be subject to the criminal
penalties provided for in 45 U.S.C. 438(e) for knowingly and willfully
falsifying records or reports required by this part.
49 CFR 245.7 Subpart B -- Reporting and Recordkeeping
49 CFR 245.101 Reporting requirements.
(a) Each railroad subject to this part shall submit to FRA, not later
than October 7, 1991 a report identifying the railroad's total train
miles for the calendar year 1990 and the total road miles owned, leased,
or controlled (but not including trackage rights) by the railroad as of
December 31, 1990. This report shall be made on FRA Form 6180.89 --
Annual Report of Railroads Subject to User Fees. The report shall
include an explanation for an entry of zero for either train miles or
road miles. Each railroad shall also identify all subsidiary railroads
and provide a breakdown of train miles and road miles for each
subsidiary. Finally, each railroad shall enter its corporate billing
address for the user fees, and the name, title, telephone number, date,
and a notarized signature of the person submitting the form to FRA.
(b) FRA mailed blank copies of FRA Form 6180.89 -- Annual Report of
Railroads Subject to User Fees to each railroad of record during the
month of May, 1991 for the railroad's use in preparing the report. This
action by FRA is for the convenience of the railroads only and in no way
affects the obligation of railroads subject to this part to obtain and
submit FRA Form 6180.89 to FRA in a timely fashion in the event a blank
form is not received from FRA. Blank copies of FRA Form 6180.89 may be
obtained from the Office of Safety, FRA, 400 Seventh Street, SW.,
Washington, DC 20590.
(c) Train miles shall be calculated by the railroad in accordance
with the following considerations:
(1) Each railroad subject to this part is to report the train miles
for the freight and passenger service it operates without regard to
track or facility ownership.
(2) Train miles are to be reported by both freight and passenger
railroads and shall include miles run between terminals or stations, or
both, miles run by trains consisting of empty freight cars or without
cars, locomotive train miles run, miles run by trains consisting of
deadhead passenger equipment, motor train miles run, and yard-switching
miles run.
(d) Road miles shall be calculated by the railroad in accordance with
the following considerations:
(1) Road miles to be reported shall include all track owned,
operated, or controlled by the railroad but shall not include track used
under trackage rights agreements. Road miles consisting of leased track
shall be reported by the lessee railroad.
(2) Road miles to be reported shall not include industrial and yard
tracks, sidings, and other tracks not regularly used by road trains
operated in such specific service.
(e) In computing both train miles and road miles, fractions
representing less than one-half mile shall be disregarded and other
fractions considered as one mile.
(f) Each railroad subject to this part has a continuing obligation to
assure that the information provided to FRA on Form 6180.89 is accurate.
Should a railroad learn at a later date that the information provided
was not correct, it shall submit a revised Form 6180.89 along with a
detailed letter explaining the discrepancy.
(g) The information collection and reporting requirements contained
in this part have been referred to the Office of Management and Budget
for approval in accordance with the provision of the Paperwork Reduction
Act of 1980. The Office of Management and Budget has approved the
information collection and reporting requirements and assigned them OMB
approval number 2130-0532.
49 CFR 245.103 Recordkeeping.
Each railroad subject to this part shall maintain adequate records
supporting its calculation of the railroad's total train miles for the
prior calendar year and the total road miles operated by the railroad as
of December 31 of the previous calendar year. Such records shall be
sufficient to enable the FRA to verify the information provided by the
railroad on FRA Form 6180.89 -- Annual Report of Railroads Subject to
User Fees. Such records also be available for inspection and copying by
the Administrator or the Administrator's designee during normal business
hours.
49 CFR 245.105 Retention of records.
Each railroad subject to this part shall retain records required by
245.103 for at least three years after the end of the calendar year to
which they relate.
49 CFR 245.105 Subpart C -- User Fee Calculation
49 CFR 245.201 User fee calculation.
(a) The fee to be paid by each railroad shall be determined as
follows:
(1) After August 15, 1991, FRA will tabulate the total train miles
and total road miles for railroads subject to this part for calendar
year 1990. FRA's calculations will be based on the information supplied
by covered railroads under section 245.101 hereof, and other reports and
submissions which railroads are required to make to FRA under applicable
regulations. At the same time, FRA will calculate the total cost of
administering the Safety Act for the period between March 1, 1991 and
September 30, 1991 (other than activities described in section 202(a)(2)
thereof) which will represent the total amount of user fees to be
collected.
(2) Using tabulations of total train miles, total road miles, and the
total cost of administering the Safety Act, FRA will calculate a
railroad's user fee assessment as follows:
(i) The assessment rate per train mile will be calculated by
multiplying the total costs of administering the Safety Act by 0.5 and
then dividing this amount (i.e., fifty percent of the total amount to be
collected) by the total number of train miles reported to the FRA for
calendar year 1990. The result will be the railroad user fee assessment
rate per train mile for fiscal year 1991.
(ii) The assessment rate per road mile will be calculated in three
steps. First, FRA will determine a preliminary assessment rate per road
mile by multiplying the total costs of administering the Safety Act by
0.5 and dividing this amount (i.e., fifty percent of the total amount to
be collected) by the total road miles reported to FRA for calendar year
1990. Second, FRA will adjust this preliminary rate per road mile for
each light density railroad by multiplying the preliminary rate by the
appropriate scaling factor identified in 245.5(h). The result will be a
reduced assessment rate per road mile for light density railroads.
Third, FRA will adjust the prelminary assessment rate per road mile for
all railroads except light density railroads and those for whom the
minimum fee applies by adding to their preliminary rate an incremental
amount reflecting the reallocation of the relief provided to light
density railroads under step 2 using the sliding scale. The incremental
amount is calculated by subtracting
(A) The total amount to be collected from light density railroads
after application of the sliding scale from
(B) The total amount that would have been collected from light
density using the preliminary assessment rate and developed under step 1
and
(C) Dividing the resulting amount by the total road miles reported to
FRA by all railroads except light density railroads and those paying the
minium fee.
The incremental amount is then added to the preliminary assessment
rate for all railroads except light density railroads to derive the
assessment rate per road mile for all railroads except light density
railroads and those paying the minimum fee. The results will be
modified assessment rate per road mile for light density railroads
qualifying under step 2 and a general assessment rate applicable to all
other railroads (except those railroads assessed the minimum fee).
(iii) In those cases where the computed fee is less than the defined
minimum, the net increase attributable to the application of the minimum
standard is not included in the reallocation process under step 3 and is
instead added to total collections.
(b) FRA will publish a summary of its calculations in the Federal
Register.
(c) The user fee to be paid by each covered railroad is the greater
of $250.00 or the sum of the railroad's train miles times the assessment
rate per train mile and the railroad's road miles times the applicable
asessment rate per road mile.
49 CFR 245.201 Subpart D -- Collection Procedures and Duty to Pay
49 CFR 245.301 Collection procedures.
(a) After August 15, 1991, FRA will provide to each covered railroad
a notice (the ''Preliminary Assessment Notice'') containing FRA's
preliminary estimates of the total user fee to be collected, the
assessment rate per train mile, the assessment rate per road mile, the
train miles and road miles for the railroad for the prior calendar year,
and the user fee to be paid by the railroad. The Preliminary Assessment
Notice is designed to be purely informational and will enable covered
railroads to make necessary plans and budget adjustments in preparation
of receipt of the final notice and user fee assessment. The Preliminary
Assessment Notice is not a bill and no payment is due to FRA on the
basis of the Preliminary Assessment Notice.
(b) FRA will refine its calculations as necessary and will provide to
each covered railroad a notice (the ''Final Assessment Notice'')
containing FRA's final calculations of the total user fee to be
collected, the assessment rate per train mile, the assessment rate per
road mile (as adjusted by the sliding scale), the train miles and road
miles for the railroad for the prior calendar year, the user fee to be
paid by the railroad, and a payment voucher. For the fiscal year ending
September 30, 1991, the Final Assessment Notice will be provided on or
about September 26, 1991.
49 CFR 245.303 Duty to pay.
(a) Beginning in the fiscal year ending September 30, 1991, each
railroad subject to this part shall pay an annual railroad user fee to
the FRA. Each railroad shall make its fiscal year 1991 payment in full
to FRA no later than November 30, 1991. Payment is made only when
received by FRA. Each railroad shall pay by certified check or money
order payable to the Federal Railroad Administration. The payment shall
be identified as the railroad's user fee by marking it with the
railroad's User Fee Account Number as assigned by FRA and by returning
the payment voucher form received with the Final Assessment Notice.
Payment shall be sent to the address stated in the assessment notice.
(b) Payments not received by the due date will be subject to
allowable interest charges, penalties, and administrative charges (31
U.S.C. 3717). Follow-up demands for payment and other actions intended
to assure timely collection, including referral to local collection
agencies or court action, will be conducted in accordance with Federal
Claims Collection Standards (4 CFR chapter II) and Departmental
procedures.
49 CFR 245.303 PART 250 -- GUARANTEE OF CERTIFICATES OF TRUSTEES OF
RAILROADS IN REORGANIZATION
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.
49 CFR 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.
(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 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.
(44 FR 23851, Apr. 23, 1979)
49 CFR 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 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 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)
49 CFR 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.
49 CFR 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 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 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
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.
49 CFR 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.
49 CFR 250.5 PART 251 -- LOANS AND GUARANTEE OF LOANS UNDER RAIL
PASSENGER SERVICE ACT OF 1970
Sec.
251.1 Applicability.
251.3 Definitions.
251.5 Contents of application.
251.7 Required exhibits.
251.9 Additional information.
251.11 Fees for loan guarantees.
251.13 Execution and filing of application.
251.15 General instructions.
Appendix A to Part 251 -- Required Exhibits, Documents, and
Certificates
Appendix B to Part 251 -- Forms
Authority: Secs. 602 and 701 of the Rail Passenger Service Act of
1970, Pub. L. 91-518; sec. 1.49(1), regulations of the Office of the
Secretary of Transportation, 49 CFR 1.49(1).
Source: 36 FR 5791, Mar. 27, 1971, unless otherwise noted.
49 CFR 251.1 Applicability.
This part prescribes the procedures governing applications for loans
or the guarantee of loans to railroads, the National Railroad Passenger
Corporation or regional transportation agencies under section 602 or 701
of the Rail Passenger Service Act of 1970 (45 U.S.C. 501 et seq: 84
Stat. 1327).
49 CFR 251.3 Definitions.
As used in this part --
Act means the Rail Passenger Service Act of 1970.
Administrator means the Federal Railroad Administrator.
Commission means the Interstate Commerce Commission.
Railroad means a common carrier by railroad as defined in section
1(3) of Part 1 of the Interstate Commerce Act, as amended (49 U.S.C.
1(3)).
49 CFR 251.5 Contents of application.
(a) Each application shall include, in the order indicated and
identified by applicable section numbers and letters corresponding to
those used in this part, the following information as to the Applicant
(or Trustee, if applicable) and the transaction:
(1) Full and correct name and principal business address.
(2) Name, title, and address of the person to whom correspondence
regarding the application should be addressed.
(3) Brief description of the loan and its purpose or purposes,
including statements of --
(i) The total amount of the loan;
(ii) The purpose or purposes for which the loan proceeds will be
used;
(iii) The maturity date or dates;
(iv) Description of the security, if any, for the loan, including
applicants' opinion of the value of any collateral and the basis for
such opinion;
(v) The date or dates on which the applicant desires the funds to be
made available;
(vi) The rate of interest;
(vii) Estimated total expenses in connection with the loan, including
detail as to expenses estimated for legal and accounting services,
printing and engraving, trustees' fees, State and Federal taxes, and
commissions and discounts; and
(viii) If a guarantee, the portion of the loan concerning which
guarantee by the Administrator is sought, description of the security
for the loan and the guarantee, together with an opinion of the value of
such collateral and the basis for such opinion.
(4) Statement, in summary form showing the Applicant's financial
obligations to, or claims against, the United States, if any, as of date
of application, or latest available date, listed as to --
(i) Balance on any direct loans;
(ii) Balance on any loans under which the United States is guarantor;
(iii) Status of any claims under litigation; and
(iv) 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.
(b) Each application shall include, in the order indicated and
identified by applicable section numbers and letters corresponding to
those used in this part, the following information as to the lender or
lenders:
(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 mortgage or other obligation securing the
loan.
(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, other than directors,
officers, partners, or employees of the Applicant, representing or
purporting to represent the Applicant 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 Applicant and any of its directors, partners, or principal
executive officers, or any person or persons whose name is required to
be furnished under paragraph (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 listed in paragraph (b)(6)(i) of this
section and the lender or any of its directors, partners, or officers.
49 CFR 251.7 Required exhibits.
Each application and each copy thereof required by this part must
have attached the exhibits listed in appendix A to this part. If a
particular exhibit is not applicable, the application shall so state.
49 CFR 251.9 Additional information.
(a) Each application for a loan guarantee must include the following:
(1) A statement on behalf of the Applicant that it has endeavored to
obtain a loan without a guarantee by the Administrator, but has not been
able to obtain a loan upon reasonable terms, including in the statement
the terms that are available and describing any facts relevant to the
efforts to obtain a loan.
(2) Copies of correspondence from all, and not less than three,
lending institutions to which application for the financing has been
made, showing that they have declined the financing unless guaranteed by
the Administrator or showing the terms upon which they will undertake
the financing without a guarantee.
(b) Each application for a loan must include the following:
(1) A statement on behalf of the Applicant that it has endeavored to
obtain a loan but has been unable to obtain a loan therefor upon
reasonable terms, and including in the statement the terms that are
available and describing any facts relevant to the efforts to obtain a
loan.
(2) Copies of correspondence from all, but not less than three,
lending institutions to which application for the financing has been
made, showing that they have declined the financing.
49 CFR 251.11 Fees for loan guarantees.
The lender of a loan guaranteed by the Administrator shall pay to the
Administrator a guarantee fee that the Administrator determines to be
reasonable under the circumstances. This guarantee fee is paid on the
date of closing the loan and annually thereafter until the loan is
repaid.
49 CFR 251.13 Execution and filing of application.
(a) Each original application shall bear the date of execution and be
signed by or on behalf of the Applicant and the lender. Execution on
behalf of the Applicant shall be by an officer having knowledge of the
matters set forth in the application. Each person signing the
application on behalf of the Applicant or lender shall also sign a
certificate in the form as set forth in appendix B to this part.
(b) Each original application shall include a certificate by the
Chief Accounting Officer of the Applicant in the form set forth in
appendix B to this part.
(c) Each original application and supporting papers, and six copies
thereof shall be filed with the Federal Railroad Administrator,
Department of Transportation, Washington, DC. One copy of the
application and supporting papes for a loan under section 701 of the Act
shall be filed with the Secretary of the Treasury, Washington, DC. Each
copy shall show the dates and signatures that appear in the original and
shall be complete in itself.
(d) If unusual difficulties arise in the furnishing of any of the
exhibits required by 251.7, the Applicant or the lender may, upon
appropriate showing and with the consent of the Administrator, omit
filing those exhibits.
(e) If furnishing exhibits in the detail required by 251.7 is shown
by the Applicant or lender to be unduly burdensome in relation to the
nature and amount of the loan, the Administrator may modify the
requirements of said section.
(f) The Administrator may, with respect to individual loans, waive or
modify any requirement of this part upon good cause shown, or make any
additional requirements he deems necessary.
49 CFR 251.15 General instructions.
(a) If the application is approved by the Administrator the documents
listed in section II of appendix A to this part shall be deposited with
the Administrator at least 3 business days before the transaction is
closed, together with any other document the Administrator may require.
(b) A loan or a guarantee of a loan by the Administrator under this
part does not relieve the applicant from complying with section 20a of
the Interstate Commerce Act (49 U.S.C. 20a) in relation to the issuance
of securities.
49 CFR 251.15 Pt. 251, App. A
49 CFR 251.15 Appendix A to Part 251 -- Required Exhibits, Documents,
and Certificates
I. Exhibits. (a) The following exhibits must be submitted with
respect to the Applicant:
Exhibit 1. A duly certified copy of the Charter or Articles of
Incorporation and the bylaws of the Applicant. (Submitted with the
original application only.)
Exhibit 2. A certified copy of resolutions of the Board of Directors
of the Applicant, or if the Applicant is in reorganization under Chapter
77 of the Bankruptcy Act, a certified copy of the order of the District
Court having jurisdiction of Applicant, authorizing --
(i) The filing of the application;
(ii) The filing of an application with the Interstate Commerce
Commission under section 20a of the Interstate Commerce Act, for
authority to issue securities; and
(iii) The pledge of security for the loan or the guarantee.
Exhibit 3. A preliminary opinion of counsel for Applicant that he is
familiar with the corporate or other organizational powers of the
Applicant, that the Applicant is authorized to make the application, and
that when proper corporate action has been taken, necessary
authorizations obtained and the obligations executed, and security
delivered as contemplated by the application, the obligations will
constitute the valid and subsisting obligations of the Applicant.
Exhibit 4. A map of the railroad owned, operated, or leased by
Applicant.
Exhibit 5. A statement as to whether or not any railroad affiliated
with Applicant has applied for or received a loan guarantee under Title
V of the Interstate Commerce Act, the Emergency Rail Services Act of
1970, or under this Act. If an affiliate has applied for or received
such a guarantee, full particulars shall be given.
Exhibit 6. A statement showing total dividends declared and total
dividends paid for each of the last 5 calendar years and for the current
year to latest available date.
Exhibit 7. A copy of general balance sheet as of latest available
date, but not earlier than the end of the third month preceding date of
filing of the application, in the form and detail required in Schedules
200A and 200L of the Interstate Commerce Commission's annual report Form
A, together with the following supporting schedules:
(i) Particulars of loans and notes receivable in form and detail as
required in Schedule 201 of annual report Form A or the Class I
railroads.
(ii) Particulars of investments in other companies in form and detail
similar to that required in Schedules 205 and 206 of annual report Form
A.
(iii) Particulars of balances in accounts 741 and 743, Other Assets
and Deferred Charges, in form and detail as required in annual report
Form A, Schedule 216.
(iv) Particulars of loans and notes payable in form and detail
required in Schedule 223 of annual report Form A, 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 any
security given.
(v) Particulars of long-term debt in form and detail similar to that
required in Schedules 218 and 219 of annual report Form A, including a
brief statement concerning each mortgage, and indicating the property or
securities encumbered.
(vi) Particulars of balance in account 784, Other Deferred Credits,
in form and detail as required in Schedule 225 of annual report Form A.
(vii) Particulars as to contingent assets and liabilities in form and
detail as required in Schedule 233 of annual report Form A.
(viii) Particulars as to guarantees and suretyships in form and
detail as required in Schedule 110 of annual report Form A.
(ix) Particulars as to capital stock in form and detail as required
in Schedules 228, 229, and 230 of annual report Form A.
The information required in this exhibit shall give effect to any
modification of the Commission's Uniform System of Accounts for Railroad
Companies in effect on the date the loan application is filed.
Exhibit 8. A statement showing comparative balance sheets as of
December 31, for each of the last 2 years preceding the year in which
the application is filed, in the form and detail required in annual
report Form A, Schedules 200A and 200L, and if the Applicant's report to
its stockholders includes a consolidated balance sheet for two or more
railroads which differs from the returns in the balance sheet schedules
of its annual reports to the Commission, reference shall be made to the
sections of the stockholders' reports which include those consolidated
balance sheets.
Exhibit 9. A copy of the Applicant's report to its stockholders for
each of the 3 years preceding the year in which the application is
filed. (Submitted with the original of the application only.)
Exhibit 10. A comparative income statement for last full quarter of
the year preceding the month of the year in which the loan application
is filed, including cumulative data to latest month shown, which may not
be earlier than the third month preceding date of filing the
application, compared with the same quarter of each of the 2 preceding
years, in account form similar to that required in column (a) of
Schedule 300 of annual report Form A. The information must be modified
to include any revision of the Commission's Uniform System of Accounts
for Railroad Companies in effect on the date the loan application is
filed.
Exhibit 11. A comparative income statement showing data for each of
the last 2 years in account form and detail required by Exhibit 10.
Exhibit 12. A pro forma income statement showing estimated income
account for each of the remaining months in the current year and for
each month of the following year, in the account form and detail
required by Exhibit 10, together with a statement setting forth the
basis for such estimates.
Exhibit 13. A comparative statement of total expenditures for
maintenance of (i) way and structures and (ii) equipment for each of the
past 2 years and for each month of the current year, together with
estimated expenditures for the remaining months of the current year and
the following year, including a statement showing the basis for the
estimates.
Exhibit 14. A statement showing for the current calendar year and
each year for 5 years thereafter, estimates for total operating
revenues, total operating expenses, operating ratio, income available
for fixed charges, and net income after fixed charges and contingent
interest.
Exhibit 15. 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 7, 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 for the following year.
Exhibit 16. A statement showing, for each month to latest available
month of the current year, compared with the same month of each of the 2
preceding years --
(i) Number of tons of revenue freight carried;
(ii) Number of revenue ton-miles;
(iii) Freight revenue (Account 101);
(iv) Number of passengers carried;
(v) Number of passenger miles;
(vi) Passenger revenue (Account 102); and
(vii) Estimated information for subdivisions (i) through (iii) for
each of the remaining months in the current year and for the following
year.
Exhibit 17. A comparative statement showing, for each year in the
2-year period preceding the year in which the application is filed, and
on an estimated basis for the current year and each of the 4 years
thereafter, the following:
(i) Total charges to operating expenses for depreciation of way and
structures, and equipment;
(ii) Deductions for accelerated tax amortization under section 168 of
the Internal Revenue Code in excess of charges listed in subdivision
(i);
(iii) Net income reported in annual reports to the Commission; and
(iv) Pro forma net income which would have resulted without the
benefit of deductions for accelerated tax amortization under section 168
of the Internal Revenue Code.
Exhibit 18. A general statement setting forth the facts as to
estimated prospective earnings and other funds upon which Applicant
relies to repay the loan.
(b) The following exhibits must be submitted with respect to the loan
transaction:
Exhibit 19. Specimens or, where specimens are not available, forms
of all securities to be pledged or otherwise issued in connection with
the proposed loan and in case of a mortgage, a copy of the mortgage or
indenture.
Exhibit 20. Copies of the loan agreement entered into, or to be
entered into, between the Applicant and lender, and of any agreements or
instruments executed or to be executed in connection with the proposed
loan.
(c) The following must be submitted with applications under section
701 of the Act:
Exhibit 21. An executed copy of the Agreement between the Applicant
and the National Railroad Passenger Corporation entered into under
section 401 of the Act.
(d) If Applicant is not a carrier subject to the accounting
requirements of the Commission, Exhibits 7, 8, 10-12 shall conform to
generally accepted accounting principles and practices.
II. Documents. (a) The following documents must be submitted under
251.15(a) before the closing of the loan transaction:
(1) A final opinion by counsel for the Applicant to the effect that
he is familiar with the corporate powers of the Applicant; that the
Applicant is authorized to execute and deliver the securities or other
obligations evidencing them, and to pledge and hypothecate any
securities pledged as collateral; that the securities or other
obligations so executed and delivered constitute the valid and binding
obligations of the Applicant; and that the securities or other
obligations of the Applicant will obtain a lien on any security involved
of the rank and priority represented by the Applicant. The opinion
shall also cover the priority and lien of each item of the collateral
offered.
(2) Certified copies of the resolutions of the Board of Directors of
the Applicant or, where applicable, the order of the reorganization
court, authorizing officers of Applicant to execute and deliver the
securities or other obligations and to give the security under and
according to the terms of the loan or guarantee as prescribed by the
Administrator.
49 CFR 251.15 Pt. 251, App. B
49 CFR 251.15 Appendix B to Part 251 -- Forms
I. The following is the form of the certificate to be made by each
person signing an application on behalf of an Applicant or lender:
---------------------------- (Name of official) certifies that
he is the -------------------------------- (title of official) of the
---------------------------- (name of applicant or lender); that he is
authorized by ---------------- (name of applicant or lender) to sign and
file with the Administrator this application and the attached exhibits;
that he has carefully examined all of the statements contained in the
application and the attached exhibits relating to ---------------- (name
of applicant or lender); 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.
(Date)
(Signature)
II. The following is the form of the certificate to be made by the
Chief Accounting Officer of an Applicant:
------------------------ (Name of Officer) certifies that he is
------------------------ (Title of Officer) of ------------------------
(Name of Applicant); that he has supervision over the books of account
and other financial records of ---------------------------- (Name of
Applicant) and has control over the manner in which they are kept; that
the accounts are maintained in good faith in accordance with the orders
of the Interstate Commerce Commission or with generally accepted
accounting principles and practices; that he has examined the financial
statements and supporting schedules included in this application and to
the best of his 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 attached exceptions 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, contingency rental
agreements, or other contingent transactions which might materially
affect the financial position of the Applicant.
(Date)
(Signature)
49 CFR 251.15 PART 255 -- ASSISTANCE TO STATES AND PERSONS IN THE
NORTHEAST AND MIDWEST REGION FOR LOCAL RAIL SERVICES UNDER SECTION 402
OF THE REGIONAL RAIL REORGANIZATION ACT OF 1973
Sec.
255.1 Definitions.
255.3 Applicability.
255.5 Eligibility.
255.7 Rail service continuation assistance.
255.9 Requirements for State Rail Plan for rail transportation and
local rail services.
255.11 Certified program of projects.
255.13 Applications.
255.15 Environmental impact statement.
255.17 Disbursement of rail service continuation assistance.
255.19 Record, audit, and examination.
255.21 Waivers and modifications.
Appendix A to Part 255 -- Contiguous Zones
Appendix B to Part 255 -- Mileage Allocation
Appendix C to Part 255 -- Certificate
Authority: Regional Rail Reorganization Act of 1973, as amended, 45
U.S.C. 701 et seq.; the Department of Transportation Act, as amended, 49
U.S.C. 1651 et seq.; regulations of the Office of the Secretary of
Transportation, 49 CFR 1.49(q).
Source: 41 FR 9693, Mar. 5, 1976, unless otherwise noted.
49 CFR 255.1 Definitions.
As used in this part --
(a) Acquisition means the purchase of rail properties under
255.7(b).
(b) Act means the Regional Rail Reorganization Act of 1973, as
amended.
(c) Administrator means the Federal Railroad Administrator or the
Deputy Administrator or his or her delegate.
(d) Alternate facilities means facilities (including intermodal
terminals, highways, and bridges) needed to provide freight service
which will no longer be available because of the discontinuance of rail
freight service under section 304 of the Act or other lawful authority,
provided, however, that no funds provided for such facilities may be
used to pay the State share of any highway projects under title 23,
U.S.C.
(e) Applicant means the designated State agency of a State in the
region or a person in an ineligible State meeting the requirements of
255.5.
(f) Association means the United States Railway Association.
(g) Entitlement funds means each State's share of the appropriated
sums allocated to the States under section 402 of the Act.
(h) Commission means the Interstate Commerce Commission.
(i) Designated State agency means the State agency designated in the
State Rail Plan to administer or coordinate that plan under section
402(c)(1)(A) of the Act and paragraph (a) of 255.5.
(j) Final System Plan means the plan of reorganization for the
restructuring, rehabilitation, and modernization of railroads in
reorganization prepared under section 206 and approved under section 208
of the Act.
(k) Local or regional transportation authority includes a political
subdivision of a State.
(l) Modernization or rehabilitation means replacing ties, and other
track and structural materials, sufficient functionally to restore the
existing track structure to the level necessary to enable safe and
efficient rail transportation over such properties.
(m) Office means the Rail Services Planning Office established in the
Commission under section 205(a) of the Act.
(n) Rail banking means the acquisition of those rail freight
properties which are eligible for assistance and are identified in the
applicable State Rail Plan as having potential for future use for rail
freight service.
(o) Rail Properties means assets or rights owned, leased, or
otherwise controlled by a railroad (or a person owned, leased, or
otherwise controlled by a railroad) which are used or useful in rail
transportation service; except that the term, when used in conjunction
with the phrase ''railroad leased, operated, or controlled by a railroad
in reorganization'', may not include assets or rights owned, leased, or
otherwise controlled by a Class I railroad which is not wholly owned,
operated, or leased by a railroad in reorganization but is controlled by
a railroad in reorganization.
(p) Railroad in reorganization means a railroad which is subject to a
bankruptcy proceeding and which has not been determined by a court to be
reorganizable or not subjct to reoganization pursuant to the Act as
prescribed in section 207(b) of the Act. A bankruptcy proceeding
includes a proceeding under section 77 of the Bankruptcy Act (11 U.S.C.
205) and an equity receivership or equivalent proceeding.
(q) Rail service continuation assistance means assistance provided
for the purposes enumerated in section 402(a)(1) of the Act and 255.7
and includes expenditures made by a State (or local or regional
transportation authority), at any time on or after January 2, 1973, for
acquisition, rehabilitation, or modernization of rail properties on
which rail freight services eligible under section 402(c)(2) of the Act
would have been curtailed or abandoned but for such expenditures.
(r) Rail service continuation payments means payments designed to
cover the difference between the revenue attributable to rail properties
and the avoidable costs of providing rail service on such properties,
together with a reasonable return on the value of such properties, and a
reasonable management fee, all as determined pursuant to the Standards
for Determining Rail Service Continuation Subsidies promulgated by the
Office pursuant to section 205(d)(6) of the Act, except that where a
service is permitted to be discontinued under section 1a of the
Interstate Commerce Act and is subject to the provisions of subsections
(6), (7), and (10) thereof, the payment will be calculated pursuant to
such subsections.
(s) Region means the States of Connecticut, Delaware, Illinois,
Indiana, Maine, Maryland, Massachusetts, Michigan, New Hampshire, New
Jersey, New York, Ohio, Pennsylvania, Rhode Island, Vermont, Virginia,
West Virginia, and the District of Columbia; and those portions of
contiguous States in which are located rail properties owned or operated
by railroads doing business primarily in those jurisdictions (as
determined by the Commission by order, set out in appendix A).
(t) State means any State or the District of Columbia.
(u) State Rail Plan means the plan required under section
402(c)(1)(A) of the Act and 255.5.
49 CFR 255.3 Applicability.
The provisions of this part apply to the procedures and requirements
regarding applications for and disbursement of financial assistance for
the continuation of local rail freight services and for the acquisition
or modernization of properties or facilities under section 402 of Title
IV of the Act. Compliance with the provisions of this part is a
prerequisite for the receipt of such financial assistance.
49 CFR 255.5 Eligibility.
(a) Requirements for State eligibility. A State in the region is
eligible to receive rail service continuation assistance under section
402(b)(1) of the Act and 255.7 if:
(1) The State has established a State Rail Plan for rail
transportation and local rail services which (i) meets the requirements
of 255.9; (ii) is administered or coordinated by a designated State
agency; (iii) includes a suitable process for updating, revising, and
amending such plan; and (iv) provides for the equitable distribution of
such financial assistance among State, local, and regional
transportation authorities;
(2) The State agency (i) has authority and administrative
jurisdiction to develop, promote, supervise, and support safe, adequate,
and efficient rail services, (ii) employs or will employ, directly or
indirectly, sufficient trained and qualified personnel; and (iii)
maintains or will maintain adequate programs of investigation, research,
promotion, and development, with provision for public participation;
(3) The State 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
funds paid under this part to the State; and
(4) The State complies with the requirements of this part and with
the terms and conditions included in the grant of assistance.
(b) Requirements for eligibility of persons. A person is eligible to
receive financial assistance for the continuation of local rail services
under section 402(b)(2) of the Act and 255.7 if:
(1) The State within which the service is located, and which would
otherwise be entitled to the financial assistance being requested, is
unable to become eligible for such assistance, and the Attorney General
of such State has rendered his opinion to the Administrator that such
State is unable to become eligible. However, the application must be by
the applicant identified in the State Rail Plan and in accordance with
the priorities developed in such Plan.
(2) Such person has been determined by the Administrator to be
financially responsible on the basis of the ability of such person to
(i) administer and comply with the grant of assistance hereunder, (ii)
secure necessity bonding or other sureties, and (iii) provide adequate
fiscal control and fund accounting procedures to assure proper
disbursement of and accounting for Federal funds granted to such person;
(3) Such person makes an offer of subsidy pursuant to section
304(c)(2)(A) of the Act, designates the operator of such service
pursuant to section 304(d) of the Act, and enters into satisfactory
operating and lease agreements with appropriate parties pursuant to
section 304(d) of the Act; and
(4) Such person is directly served by such local rail service or is a
local or regional transportation authority within whose jurisdiction
such local rail service line is located.
49 CFR 255.7 Rail service continuation assistance.
(a) Entitlement funds. (1) Entitlement funds are to be allocated to
each State in the region in the ratio which such State's eligible rail
mileage under section 402(c)(2) of the Act bears to the total eligible
rail mileage in all of the States in the region except that no State
shall get less than three (3) percent of such funds. Section 402(b)(2)
of the Act authorizes the provision of assistance for a one-year period
to persons determined financially responsible by the Administrator for
the continuation of local rail services. Such assistance is to be
provided from the funds to which a State would otherwise be entitled.
Accordingly, all States in the region with eligible mileage will be
included in the formula for the initial allocation regardless of the
final determination of eligibility of States under section 402(c)(1) of
the Act and 255.5. However, where a State, as of the date of the
formula allocation hereunder, has no eligible mileage and has not
submitted a State Rail Plan, such State will not be included in the
formula allocation and will not be entitled to funds from such
allocation. This will not bar such State from subsequently complying
with the requirements of the Act and these regulations and becoming
entitled to funds from future allocations and reallocations. Where a
State has eligible mileage, has filed a State Rail Plan, and has, as of
the date of the formula allocation, failed to qualify under the Act and
these regulations but is attempting to do so, such State will be
included in the formula allocation and afforded a reasonable time to
qualify. If necessary, the State will be afforded an opportunity, after
reasonable notice, for a hearing under section 402(g) of the Act. If
the Administrator determines and so advises the State in writing that he
is unable to approve the State as eligible, he will immediately proceed,
to the extent practicable, to reallocate the funds in accordance with
the requirements of section 402(b)(1) of the Act unless a person
determined to be financially responsible enters into appropriate
agreements under section 304(d) of the Act and requests assistance to
preserve service. However, any funds not provided such person will be
available for immediate reallocation.
(2) The Administrator, in consultation with the Office, has
determined that the initial allocation of funds is to be based on rail
mileage eligible as of February 25, 1976 and that the allocation of
funds for subsequent Federal fiscal years will be based on rail mileage
eligible under section 402(c)(2) of the Act as of August 1 preceding
such Fiscal Year. The mileage allocation is contained in appendix B.
(3) The Federal share of the costs of providing rail service
continuation assistance under section 402(b) of the Act will be as
follows:
(i) 100 percent for the 12-month period beginning April 1, 1976; and
(ii) 90 percent of the 12-month period beginning April 1, 1977. The
balance of such costs shall be provided by the State and the State share
may not be augmented by any Federal funds, directly or indirectly,
unless the funds are provided through a Federal program which
specifically authorizes the augmentation of a non-Federal share of a
federally-subsidized program with such funds.
(b) Purposes. In addition to the Program Operation Costs allowable
under paragraph (c) of this section, rail service continuation
assistance may be expended for the following purposes:
(1) To enable an eligible applicant to pay allowable planning costs
expended in developing its State Rail Plan, Provided, That the State
Rail Plan is approved by the Administrator and provided further that
this assistance in the aggregate shall be limited to five percent of the
State's entitlement under this section;
(2) To enable an eligible applicant to provide rail service
continuation payments, in accordance with the Standards for Determining
Rail Service Continuation Subsidies (49 CFR part 1125) established by
the Office under section 205(d)(6) of the Act, to those rail freight
services which are eligible under section 402(c)(2) of the Act. Such
services are:
(i) Those rail freight services of railroads in reorganization in the
region, or persons leased, operated, or controlled by any such railroad,
which the final system plan does not designate to be continued;
(ii) Those rail freight services on rail properties referred to in
section 304(a)(2) of the Act which are eligible for assistance pursuant
to the final system plan as a result of an arrangement for joint use or
operation of rail properties (under section 206 g) of the Act) or as
part of a coordination project (under sections 206 (c) and (g) of the
Act);
(iii) Those rail freight services in the region which have been at
any time during a 5-year period prior to the date of enactment of the
Act, or which are, subsequent to the date of enactment of the Act,
owned, leased, or operated by a State agency or by a local or regional
transportation authority or with respect to which a State, a political
subdivision thereof, or a local or regional transportation authority has
invested at any time during the 5-year period prior to the date of
enactment of the Act, or invests subsequent to the date of enactment of
the Act, substantial sums for improvement or maintenance of rail service
which would otherwise have been curtailed or abandoned but for such
expenditures; and
(iv) Those rail freight services in the region with respect to which
the Commission authorizes the discontinuance of rail services or the
abandonment of rail properties, effective on or after January 2, 1974;
(3) To enable an eligible applicant to acquire or modernize rail
freight properties which are used for services eligible for rail service
continuation assistance under paragraph (b)(2) of this section,
including those rail freight properties which are identified in the
applicable State Rail Plan as having potential for future use for rail
freight service;
(4) To assist an eligible applicant in the construction or
improvement of alternate facilities (including intermodal terminals,
highways, and bridges) needed to provide freight service which will no
longer be available because of the discontinuance of rail freight
service under section 304 of the Act or other lawful authority,
provided, however, that funds provided for such facilities may not be
used to pay the State share of any highway projects under title 23,
United States Code;
(5) To enable an eligible applicant to acquire rail properties if (i)
they are to be used for intercity or commuter rail passenger service;
and (ii) they pertain to a line in a region (other than rail properties
designated in accordance with section 206(c)(1)(C) of the Act) which, if
so acquired (A) would enable the National Railroad Passenger Corporation
to serve, more efficiently, a route which it operated on November 1,
1975, (B) would provide intercity rail passenger service designated by
the Secretary of Transportation under title II of the Rail Passenger
Service Act, or (C) would provide such service over a route designated
for service pursuant to section 403(c) of the Rail Passenger Service Act
(45 U.S.C. 563(c)); and
(6) To enable an eligible applicant to pay, for a period not
exceeding 12 months following the date rail properties are conveyed
under section 303(b)(1) of the Act, the cost of operating and
maintaining rail service facilities such as yards, shops, and docks
which are useful in facilitating and maintaining mainline or local rail
services and which are contained in the State Rail Plan.
(c) Program operation costs. Assistance may include such program
operation costs as are allowable in accordance with Federal Management
Circular 74-4 (34 CFR part 255). The Federal share of such costs shall
be the same as for the other program elements except that such share
shall not exceed five (5) percent of the aggregate funds otherwise
received by the State under section 402 of the Act.
(d) Reallocation of funds. (1) After the initial apportionment of
funds under paragraph (a) of this section, the funds which will be
available for reallocation are those in excess of the amounts (i) needed
in eligible States or (ii) provided to persons determined to be
financially responsible in ineligible States.
(2) All funds remaining available for obligation will be reallocated
on June 1, 1976, and December 1, 1976. Funds available for reallocation
in Federal fiscal year 1978, will be reallocated, if practicable, after
notice has been provided to participating States by the Administrator.
(3) The amount available for reallocation on June 1, 1976 will be
that in excess of the States' total estimated needs as reflected in
approved applications through September 30, 1976 plus the States'
anticipated additional needs for the period through September 30, 1976
as contained in the latest certified program of projects, approved by
the Administrator, which lead to specific applications in accordance
with 255.11. The amount available for reallocation on December 1, 1976
will be the amount of the new appropriation and the balance of
unobligated funds from the prior year in excess of the funds needed by
the States to maintain their programs for each Federal fiscal year. The
amounts available for reallocation in Federal fiscal year 1978, will be
the amounts in excess of the funds needed by the States to maintain
their programs until the termination of the program, based on their
approved programs of projects.
(Regional Rail Reorganization Act of 1973, as amended, 45 U.S.C. 701
et seq.; the Department of Transportation Act, as amended, 49 U.S.C.
1651 et seq.; Regulations of the Office of the Secretary of
Transportation, 49 CFR 1.49 (q) and (u))
(41 FR 9693, Mar. 5, 1976, as amended at 42 FR 62005, Dec. 8, 1977)
49 CFR 255.9 Requirements for State Rail Plan for rail transportation
and local rail services.
(a) State planning process. Consistent with the purposes of the Act,
the State Rail Plan required under 255.5(a) shall be based upon a
comprehensive, coordinated and continuing planning process for the
provision of rail transportation services in the State which are
essential to meet the economic, environmental and energy needs of the
citizens of that State, and to provide for the development of a
coordinated and balanced transportation system within the State or the
affected portion thereof. This plan shall be developed with opportunity
for participation by public and private agencies having authority and
responsibility for rail activity in the State and adjacent States where
appropriate. Provision shall be made for affording interested persons,
such as users of rail transportation, labor organizations, local
governments, environmental groups, and the public generally, timely
opportunity to express their views in the development of the State Rail
Plan. As part of the planning process, the designated State agency
shall establish procedures whereby local and regional transportation
authorities may review and comment on appropriate elements of the State
Rail Plan. Provision shall also be made for updating, revising, and
amending the State Rail Plan.
(b) Contents of the State Rail Plan. The State Rail Plan for rail
transportation and local rail services shall be submitted to the
Administrator in two phases.
(1) As Phase I of the State Rail Plan, a State shall submit a design
of the State planning process which is consistent with the purposes of
the Act and shall include:
(i) An identification of the data to be acquired on the rail network
and rail services in the State (see 255.9(b)(2)(iv), the sources of
this data, and the methodology to be employed in data collection. In
considering the scope of data collection activities and subsequent
analysis, it is anticipated that time constraints and limitations of the
state-of-the-art will require that the State provide a broad overview of
all rail services in the State while concentrating most of its efforts
on the services for which it expects to require assistance in the
immediate future.
(ii) Methodology to be used in the planning process, including that
to be used in selecting essential lines to be considered for assistance
and indicating consideration of the advisory criteria published by the
Office under subsection 205(d)(3) of the Act.
(iii) Criteria for setting priorities for rail services or properties
to be considered for assistance. In determining which rail services or
properties will receive assistance, a State should give first
consideration to eligible rail freight services to be discontinued as a
result of implementation of the Final System Plan.
(iv) An explanation of the goals or philosophical framework to be
used in guiding the development of the State Rail Plan. Part of this
explanation should be specifically devoted to the expectations of the
State for the future of rail services which receive a subsidy subsequent
to the expiration of the rail service continuation payment under the Act
including such considerations as likelihood of profitability, continued
State or local subsidy, acquisition, substitution of alternate modes,
and other long-term alternatives.
(v) Description of the methods by which the State will involve local
and regional transportation authorities in its rail planning process,
including its methods of providing for the equitable distribution of
financial assistance among State, local and regional transportation
authorities.
(vi) A management plan for the development of the State Rail Plan
which shall include an identification of responsible individuals and a
flow chart of activities with milestones.
(2) Phase II of the State Rail Plan shall: (i) Contain general
information with respect to the physical plant, traffic, and service
characteristics of the existing rail system within the State;
(ii) Describe the planning process utilized in the development of the
State Rail Plan, specifying the particulars as to data sources,
assumptions, and special problems or conditions which may be essential
to the understanding of the setting in which the State Rail Plan was
developed;
(iii) Classify the rail system within the State into the following
categories:
(A) Rail Services in the Final System Plan;
(B) Rail Services of railroads which are not railroads in
reorganization which are continuing in operation;
(C) Rail services of railroads in reorganization which are not
included in the Final System Plan;
(D) Rail services of railroads in reorganization for which a State
does not wish to receive assistance; and
(E) Rail services or properties for which a State wishes to receive
assistance (continuation payments, acquisition, modernization, rail
banking, and construction of alternate facilities) ranked in descending
order of service priority as determined by the specific application of
the methodology, criteria, and goals described in Phase I of the State
Rail Plan and the relevant social, economic, environmental, and energy
considerations, including an estimate of the amount of the Federal share
of the assistance required for these services or properties. These may
include rail services or properties not yet eligible for Federal
assistance but expected to become eligible during the ensuing year;
(iv) Contain detailed and specific knowledge of each service or
property for which assistance is requested, including: The anticipated
amount of funds to be obligated and disbursed for the service or
property during the term of the section 402 program, including a
quarterly breakdown of needs for the ensuing Federal fiscal year;
traffic density of the line; pertinent costs and revenues; a survey of
the condition of the plant, equipment, and facilities; an economic and
operational analysis of present and future rail freight service needs;
the potential for moving rail traffic by alternate modes; the relative
economic, social, and environmental costs and benefits involved in the
use of alternate modes, including costs resulting from lost jobs, energy
shortages, and the degradation of the environment; the competitive or
other effects on or by profitable railroads; methods of achieving
economies in the cost of rail system operations including consolidation,
pooling, and joint use or operation of lines, facilities, and operating
equipment; analysis of the potentials for rehabilitation and
modernization of equipment, track, and other facilities; and an
analysis of the effects of abandonment with respect to the
transportation needs of the State;
(v) Include a statement of the long-term strategy that the State will
apply to each rail service or property to receive assistance, including
such considerations as: Subsidy; acquisition; modernization;
termination of service; and the provision of substitute services and
the anticipated funding needs with respect to the services or properties
for the next five years; and
(vi) Include a statement for each rail service to be acquired which
describes the conditions and requirements of these services, such as the
rolling stock and the track improvements needed to provide minimum
service.
(c) Adoption of State Rail Plan. An original and nine (9) copies of
each Phase of the State Rail Plan, and any amendments thereto, shall be
submitted with a certification by the Governor, or by his or her
delegate, that the submission constitutes the State Rail Plan or portion
thereof established by the State as provided in section 402(c)(1) of the
Act.
(d) Submission and review of State Rail Plan. Phase I shall be
submitted by May 15, 1975, to the Administrator for review. Phase II
shall be submitted to the Administrator for review within 30 days after
the date of approval of the Final System Plan by Congress. If the
Administrator determines that the State Rail Plan is not in accordance
with this part, he will notify the State setting forth his reasons for
such determination and afford the State an opportunity for a hearing and
to amend its State Rail Plan to bring it into compliance with the Act
and this part. Where hearings in accordance with subsection 402(g) of
the Act are necessary, they will be conducted on an expedited basis to
afford the State maximum opportunity to submit an acceptable State Rail
Plan on a timely basis.
(e) Revisions and amendments of the State Rail Plan. State Rail
Plans are to be updated including revisions and amendments at least on
an annual basis but may be done more frequently at the discretion of the
State. The annual update shall be submitted to FRA no later than August
1 of each year. All such updates, revisions, or amendments shall be
subject to the same review and approval procedures as the original State
Rail Plan.
49 CFR 255.11 Certified program of projects.
(a) Contents. Except as provided in paragraph (b) of this section, a
State shall submit an annual program of projects based on the State Rail
Plan, which will lead to specific project applications and which has
been certified by the chief executive officer of the State. The program
shall (1) cover the period of October through September of each year,
(2) list all projects for which applications will be submitted during
such period, (3) provide the anticipated timing of such applications and
a written statement by the chief executive officer that the State
intends to file such applications during the period, and (4) include the
anticipated amount of funds to be obligated and disbursed for each
service and property during the term of the section 402 program,
including a quarterly breakdown of needs for the ensuing year. The
chief executive officer shall certify that these costs represent the
State's best estimate of costs for the period. The program shall also
be the result of the planning process required by 255.9(b)(2).
(b) Submission. The program shall be submitted to the Administrator
for review and approval no later than November 1 except that the first
program shall cover the period from April 1, 1976 through September 30,
1976, and shall be submitted no later than May 1, 1976. When the
Administrator has approved a program or a portion thereof, he will
notify the State in writing.
49 CFR 255.13 Applications.
(a) Submission. When the State is eligible for rail service
continuation assistance, applications for assistance shall be submitted
by the designated State agency. When the State is not eligible for rail
service continuation assistance, applications may be submitted by
persons determined to be financially responsible by the Administrator.
All applications, whether those of the State or of such persons within
ineligible States, shall be consistent with the current State Rail Plan.
Therefore, applications shall be submitted only for those eligible
services, rail properties, or improvements specifically identified in
the current State Rail Plan, including where appropriate revisions and
amendments thereto.
(b) Contents. All applications for assistance shall include:
(1) Full and correct name and principal business address of
applicant;
(2) Name, title, and address of the person to whom correspondence
regarding the application should be addressed;
(3) Detailed description of the services or properties for which
assistance is sought, together with a map of those rail services or
properties, and certification as to their inclusion in the State Rail
Plan;
(4) Evidence of review and coordination within the State in
accordance with the applicable sections of the approved State Rail Plan
as provided in paragraphs (a) and (b) of 255.9;
(5) Estimate of the total amount of assistance required for the
services or properties during the term of the section 402 program;
(6) For applications after the first year following conveyance date,
evidence of applicant's ability and intent to furnish its share of the
total assistance;
(7) Assurance by the applicant that the Federal funds provided under
the Act will be used solely for the purpose for which the assistance is
sought and in conformance with the limitations on the expenditures
allowed under the Act and applicable regulations;
(8) Evidence that the applicant has established such fiscal control
and fund accounting procedures as may be necessary to assure proper
disbursement of, and accounting for, Federal funds paid to the applicant
under Title IV of the Act;
(9) Evidence that the applicant, if a State agency, 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 has the statutory
and other authority to perform its obligations under the Act and the
regulations under this part; or if the applicant is a person, evidence
that it has the ability to administer and comply with the grant of
assistance in accordance with 255.5;
(10) An opinion of the legal counsel to applicant showing that he or
she is familiar with the corporate or other organizational powers of the
applicant, that the applicant is authorized to make the application, 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;
(11) Certification that the applicant is in compliance and agrees to
comply with Title VI of the Civil Rights Act of 1964, (78 Stat. 252, 42
U.S.C. 2000d et seq.) (''Civil Rights Act''), section 905 of the
Railroad Revitalization and Regulatory Reform Act of 1976, (February 5,
1976, Pub. L. 94-210, 90 Stat. 31) (''RRRR Act''), and all requirements
imposed by Title 49, Code of Federal Regulations, part 21,
Nondiscrimination in Federally-Assisted Programs of the Department of
Transportation (''Civil Rights Regulations''), and other pertinent
directives, and that, in accordance with the Civil Rights Act, the RRRR
Act, the Civil Rights Regulations, and other pertinent directives, no
person in the United States shall, on the grounds of race, color,
national origin, or sex, be excluded from participation in, be denied
the benefits of, or be otherwise subjected to discrimination under any
program or activity for which the applicant receives assistance from the
Federal Railroad Administration, and the applicant will promptly take
any measures necessary to effectuate this agreement; and
(12) Such other information as the Administrator may require.
(c) Applications for rail service continuation payments. In addition
to meeting the requirements of paragraphs (a) and (b) of this section,
each application for rail service continuation payments, including any
necessary rehabilitation or modernization, shall include the following:
(1) The amount of the required rail service continuation payment for
each service. Where applicable, this amount shall be calculated
utilizing the standards for determining ''revenue attributable to the
rail properties'', ''avoidable costs of providing service'',
''reasonable return on the value'', and a ''reasonable management fee''
as established by the Office under subsection 205(d)(6) of the Act.
(These standards are set out in 1125.4, 1125.5, and 1125.7 of this
title.)
(2) 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 the service is to be provided.
(3) If rehabilitation or modernization to or above FRA Class II Track
Safety Standards is proposed, a description of the steps necessary, and
the cost and timing thereof, for necessary rehabilitation or
modernization of rail properties for the current calendar year and each
succeeding year until completion.
(4) If rehabilitation or modernization to or above FRA Class II Track
Safety Standards is proposed, the long range plans of the State for
operation of the line, accompanied by an evaluation of the merit of
attaining the higher track safety standard and an economic analysis of
the benefits to be achieved by the higher standard within the State's
proposed minimum period of operation of the line, including:
(i) Evidence that the applicant has considered the costs and benefits
of alternatives including use of alternate modes of transportation and
alternate facilities, acquisition, discontinuance, and abandonment of
service, and other pertinent alternatives in accordance with
255.9(b)(2)(iv);
(ii) Projected financial statements identifying the anticipated
revenues and expenses over the proposed minimum operation period
including a comparison of the revenues and expenses associated with the
proposed level of rehabilitation and those associated with
rehabilitation only up to FRA Class I Track Safety Standards; and
(iii) Any additional financial or supporting data as requested by
FRA.
(d) Applications for acquisition. In addition to meeting the
requirements of paragraphs (a) and (b) of this section, each application
for acquisition and any necessary rehabilitation or modernization,
including for the preservation of future rail freight service, shall
include, to the extent applicable, the following:
(1) Copies of the offer to purchase, the proposed contract of sale,
and the basis for the proposed acquisition price including valuation
appraisals by two qualified and certified independent appraisers. If
the offer of purchase was made under subsection 304(c)(2)(C) of the Act,
a copy of the offer of a rail service continuation payment as required
by subsection 304(d) of the Act.
(2) A description of the steps necessary, and the cost and timing
thereof, for the acquisition and necessary rehabilitation or
modernization of the rail properties for the current calendar year and
each succeeding year until completion.
(3) If rehabilitation or modernization to FRA Class II Track Safety
Standards or above is proposed, the long range plans of the State for
operation of the line, accompanied by an evaluation of the merit of
attaining the higher track safety standard and an economic analysis of
the benefits to be achieved by the higher standard within the State's
proposed minimum period of operation of the line, including:
(i) Evidence that the applicant has considered the costs and benefits
of alternatives including use of alternate modes of transportation and
alternate facilities, acquisition, discontinuance, and abandonment of
service, and other pertinent alternatives in accordance with
255.9(b)(2)(iv);
(ii) Projected financial statements identifying the anticipated
revenues and expenses over the proposed minimum operation period
including a comparison of the revenues and expenses associated with the
proposed level of rehabilitation and those associated with
rehabilitation only up to FRA Class I Track Safety Standards;
(iii) The proposed method of financing the operation of such rail
services; and
(iv) Any additional financial or supporting data as requested by FRA.
(4) A description of the proposed method of repayment of assistance
if the properties are abandoned or sold including an itemization of
revenue sources from which repayment will be made and indication of any
revenue authority granted to the applicant.
(5) For applications regarding rail banking, evidence that the
properties for which the assistance is requested have potential for
future use for rail freight service, such as plans for development of an
industrial park or existence of fossil fuel reserves, including analysis
of alternate mode potential or alternate rail service.
(e) Applications for modernization. In addition to meeting the
requirements of paragraphs (a) and (b) of this section, all applications
for modernization assistance, when rail service continuation payments or
acquisition assistance is not requested for the property to be
modernized, shall include the applicable requirements of 255.13(c) with
respect to modernization or rehabilitation.
(f) Applications for construction or improvement of alternate
facilities. In addition to meeting the requirements of paragraphs (a)
and (b) of this section and of 255.15, all applications for assistance
for construction or improvement of alternate facilities shall include:
(1) A description of the steps necessary, and the cost and timing
thereof, for the construction or improvement for the current calendar
year and each succeeding year until completion.
(2) A detailed description of the construction or improvement program
which the applicant plans to accomplish including:
(i) The goals and related objectives which the program is designed to
achieve;
(ii) The criteria and priorities (and their application to the
analysis of alternatives) which the applicant used in making
determinations with respect to the program and a description of the
alternatives which the applicant considered, including subsidy,
discontinuance, and abandonment of service; acquisition or
modernization of rail properties; and other pertinent alternatives;
(iii) An analysis of the alternatives evaluated by the applicant
including explicit consideration of those factors listed in
255.9(b)(2)(iv);
(iv) The proposed method of repayment of assistance if the properties
are abandoned or sold, including an itemization of revenue sources from
which repayment will be made and an indication of any revenue authority
granted to the applicant; and
(v) Any additional financial or supporting data requested by FRA.
(3) Assurance that the rail freight service which the alternate
facility is designed to replace will be discontinued and that further
Federal assistance will not be requested after the alternate facility
construction is completed.
(4) Assurance that funds provided for highway or bridge construction
will not be used to pay the State share of any highway projects under
Title 23, United States Code.
(5) Evidence that the construction or improvement is limited to that
necessary to replace the rail service being discontinued.
(g) Execution and filing of application. (1) Each original
application shall bear the date of execution and be signed by the Chief
Executive Officer of the applicant. Each person required to execute the
application will execute a certificate in the form of appendix C to this
part.
(2) Each original application and certificate, and nine copies
thereof, shall be filed with the Federal Railroad Administrator,
Department of Transportation, 400 Seventh Street, SW., Washington, DC
20590. Each copy shall show the dates and signatures that appear in the
original and shall be complete in itself.
(3) Exhibits previously filed with the State Rail Plan or pursuant to
an application under this part need not be refiled except that such
prior filing shall be appropriately referenced.
(h) Review and approval of applications. Applications for rail
service continuation assistance shall be submitted to the Administrator
for review and approval. When the Administrator has approved an
application he will notify the applicant in writing.
49 CFR 255.15 Environmental impact statement.
The Administrator has determined that assistance provided for the
purposes of rail service continuation payments, acquisition, or
modernization does not significantly affect the quality of the human
environment. Therefore, applicants for financial assistance for these
purposes are not required to prepare or submit an environmental
assessment. When applicants request assistance for the construction or
improvement of alternate facilities in the region (including intermodal
terminals or highways or bridges), an environmental assessment shall be
submitted with the application. Highway or highway-related facilities
shall be subject to the applicable Federal Highway Administration
regulations on environmental assessments.
49 CFR 255.17 Disbursement of rail service continuation assistance.
(a) Rail service continuation payments. (1) After receipt, review
and approval of an application meeting the requirements of 255.13, the
Administrator will enter into a grant agreement with a grantee for the
Federal share of the estimated amount of subsidy necessary to continue
the service described in the application. When the grantee is the State
such payments may be made either in an advance by a letter-of-credit or
a Treasury check, or by reinbursement. When the grantee is a person
determined to be financially responsible, such payments shall be made
directly to the operator providing the rail service unless special
circumstances make it necessary to provide the payments to the grantee.
When payment is made directly to the operator, persons determined to be
financially responsible need not fulfill the bonding and fiscal control
and fund accounting requirements of 255.5(b)(1) to the extent such
requirements are needed for Federal fiscal control purposes.
(2) To be eligible for advance payments, the grantee must demonstrate
to the satisfaction of the Administrator a willingness and an ability to
establish procedures that will minimize the time elapsing between the
receipt of funds by the grantee and their disbursement. In addition,
the financial management system of the recipient must provide for
effective control over and accountability for all Federal funds. If the
grantee is not eligible for advance payments or elects not to receive
such payments, the grantee will be reimbursed for eligible expenditures
at the end of each fiscal quarter.
(3) A letter-of-credit will be used when the rail service
continuation assistance is expected to be provided by FRA for a minimum
of one (1) year, and involves or is expected to involve annual advances
aggregating at least $250,000. Otherwise, advances will be made only by
Treasury check.
(4) The grant agreement referred to in paragraph (a)(1) of this
section and the estimated amount of subsidy required in 255.13(b)(5)
may be revised to reflect information provided in the ''Financial Status
Report'' filed in accordance with 1125.8(f) of this title entitled
''Standards for Determining Rail Service Continuation Subsidies''.
(5) Grant agreements for operating assistance will be limited to the
period for which the Federal appropriations have been provided for such
assistance, except that operating assistance provided a financially
responsible person under section 402(b)(2) of the Act shall be available
only for the 1-year period following the date on which rail properties
are conveyed pursuant to section 303(b)(1) of the Act.
(6) The settlement under the grant agreement shall be made on the
basis of a Federal audit which has determined the actual revenues and
costs, over the entire term of the agreement: Provided however, That
any additional payments of Federal assistance may not be made unless:
(i) The Administrator determines that the grantee has fulfilled its
responsibilities for ensuring the proper and efficient administration of
its subsidy program;
(ii) The required State share is available;
(iii) The necessary Federal funds are available; and
(iv) The parties execute a grant agreement or grant agreement
amendment for the additional funds determined due.
A Federal audit may also establish that a portion of the grant
assistance received by the grantee shall be refunded to FRA. Such
refunds shall be made as part of the settlement process.
(b) Acquisition and modernization assistance. After receipt, review,
and approval of an application for assistance for acquisition,
modernization, or construction or improvement of alternate facilities,
which meets the applicable requirements of 255.13, the Administrator
will enter into a grant agreement for the appropriate Federal share of
the allowable costs of acquisition or modernization or both as
determined by the Administrator. The terms of payment of the Federal
share will be set forth in the grant agreement which may be in the form
of either advance payments or reimbursements, in accordance with
paragraph (a) of this section.
49 CFR 255.19 Record, audit, and examination.
(a) Each recipient of financial assistance under this section,
whether in the form of grants, subgrants, contracts, subcontracts, or
other arrangements, 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 supplied by other sources, and such other records as will
facilitate an effective audit.
(b) The Administrator or any of his duly authorized representatives
shall, until the expiration of three (3) years after completion of the
project or undertaking referred to in paragraph (a) of this section,
have access for the purpose of audit and examination to any books,
documents, papers, and records of such receipts which in the opinion of
the Administrator may be related or pertinent to the grants, contracts,
or other arrangements referred to in such paragraph.
49 CFR 255.21 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 he deems necessary.
49 CFR 255.21 Pt. 255, App. A
49 CFR 255.21 Appendix A to Part 255 -- Contiguous Zones
By order dated January 23, and supplemental order dated May 23, 1974,
(Ex Parte No. 293, and Northeastern Railroad Investigation (Definition
of the Midwest and Northeast Region)) the Commission has included, in
addition to the jurisdictions specifically named, the following:
(1) Points in Kentucky in the Louisville, Kentucky, Standard
Metropolitan Statistical Area as used in the latest national census;
(2) Points in Missouri in the St. Louis, Missouri, Standard
Metropolitan Statistical Area as used in the latest national census;
and
(3) Kewaunee and Manitowoc, and the Port of Milwaukee, Wisconsin.
49 CFR 255.21 Pt. 255, App. B
49 CFR 255.21 Appendix B to Part 255 -- Mileage Allocation
The Administrator, in consultation with the Office, has determined
that effective February 25, 1976, the total eligible mileage of all the
States in the region is 7371.9 miles; and that the eligible mileage in
each State in the region and its ratio to the total eligible track
mileage in the region are as follows:
49 CFR 255.21 Pt. 255, App. C
49 CFR 255.21 Appendix C to Part 255 -- Certificate
The following is the form of the certificate to be made by each
person signing an application.
---------------------------- (Name of Agency) certifies that he
or she is the chief executive officer of -------------------- (Name of
Agency) that he or she is authorized to sign and file with the Federal
Railroad Administrator this application; that he or she has carefully
examined all of the statements contained in the application relating to
---------------- (Name of Agency); that he or she 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 or her knowledge,
information and belief.
(Date)
(Signature)
Subscribed and sworn to before me this ---- day of ------------ , 19
---- .
49 CFR 255.21 PART 256 -- FINANCIAL ASSISTANCE FOR RAILROAD PASSENGER
TERMINALS
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. 1653(i), as amended by (1) sec. 15 of the Amtrak Improvement Act
of 1974, Pub. L. 93-496, 88 Stat. 1528; (2) sec. 13 of the Amtrak
Improvement Act of 1975, Pub. L. 94-25, 89 Stat. 93; (3) sec. 706 of
the Railroad Revitalization and Regulatory Reform Act of 1976, Pub. L.
94-210, 90 Stat. 125; and (4) sec. 219(a) of the Rail Transportation
Improvement Act, Pub. L. 94-555, 90 Stat. 2629; and regulations of
the Office of the Secretary of Transportation, 49 CFR 1.49(r).
49 CFR 255.21 Regulations Governing Applications for and Disbursement of Financial Assistance
49 CFR 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)
49 CFR 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 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)
49 CFR 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 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 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 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 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 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 256.11(e).
(40 FR 29080, July 10, 1975, as amended at 43 FR 21887, May 22, 1978;
44 FR 21647, Apr. 11, 1979)
49 CFR 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 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)
256.9 (Reserved)
49 CFR 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 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 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; (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 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 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 within two years
following the approval of the application for Federal financial
assistance;
(21) A description of how the applicant can incorporate features
which appear reasonably likely to attract private investors willing to
share in the implementation of the planned conversion and its subsequent
maintenance and operation;
(22) An environmental assessment using an interdisciplinary approach
in identifying the type, degree, effect, and probability of occurrence
of potential environmental impacts due to the conversion to an
intermodal passenger terminal; and
(23) Any other information that the Administrator may require.
(f) Execution and filing of applications. (1) The original
application shall bear the date of execution and be signed by the Chief
Executive Officer of the applicant or by the applicant, where the
applicant is an individual. Each person required to execute an
application shall execute a certificate in the form of appendix A
hereto.
(2) The original application and two (2) copies shall be filed with
the Federal Railroad Administrator, Department of Transportation, 400
7th Street SW., Washington, DC 20590. Each copy shall show the dates
and signatures that appear in the original and shall be complete in
itself.
(3) Pre-applications for demonstration funds must be submitted to the
Administrator no later than August 21, 1978. Applications for planning,
preservation and demonstration funds must be submitted to the
Administrator no later than September 19, 1978. Applications received
after these deadlines will not be considered for funding, unless all
funds are not granted to applicants who have met the application
deadline.
(43 FR 21887, May 22, 1978)
49 CFR 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
256.11(f)(3) and the Administrator will promptly notify in writing each
applicant whose application has been approved.
(40 FR 29080, July 10, 1975, as amended at 43 FR 21890, May 22, 1978;
44 FR 21647, Apr. 11, 1979)
49 CFR 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)
49 CFR 256.15 Pt. 256, App. A
49 CFR 256.15 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)
49 CFR 256.15 PART 258 -- REGULATIONS GOVERNING SECTION 505 OF THE RAILROAD REVITALIZATION AND REGULATORY REFORM ACT OF 1976, AS AMENDED
49 CFR 256.15 Subpart A -- Procedures for Applications for Preference
Share Financing
Sec.
258.1 Applicability.
258.3 Definitions.
258.5 Eligibility.
258.7 Form and content of application.
258.9 Required exhibits.
258.11 Preapplication and application procedure.
258.13 Information requests.
258.15 Waiver and modification.
49 CFR 256.15 Subpart B -- Standards for Evaluations and Determinations
Under Section 505(b)(2) of the Act
258.17 Purpose.
258.19 Definitions.
258.21 Evaluation process.
258.23 Cost of funds available from other sources.
258.25 Public interest in supplementing total railroad funding.
258.27 Public benefits and costs.
258.29 Order of funding.
Appendix to Part 258 -- Environmental Assessments
Authority: Railroad Revitalization and Regulatory Reform Act of
1976, Pub. L. 94-210, as amended; the Department of Transportation
Act, 49 U.S.C. 1651 et seq.; 49 CFR 1.49(u).
Source: 42 FR 28980, June 6, 1977, unless otherwise noted.
49 CFR 256.15 Subpart A -- Procedures for Applications for Preference Share Financing
49 CFR 258.1 Applicability.
This part prescribes the requirements and procedures governing
applications by railroads for financial assistance pursuant to section
505 of the Railroad Revitalization and Regulatory Reform Act of 1976, as
amended. These requirements and procedures also govern applications for
assistance for the purpose set forth in section 517 of that Act,
improvement of intercity rail passenger service on lines owned by the
applicant and located outside the Northeast Corridor, being the
properties acquired by the National Railroad Passenger Corporation
pursuant to title VII of the Act and described in section 701(a)(4) of
that Act.
49 CFR 258.3 Definitions.
As used in this part --
(a) Act means the Railroad Revitalization and Regulatory Reform Act
of 1976 (Pub. L. 94-210, February 5, 1976), as amended.
(b) Administrator means the Federal Railroad Administrator, or his
delegate.
(c) Applicant means any railroad that submits an application for
financial assistance pursuant to this part.
(d) Commission means the Interstate Commerce Commission.
(e) Equipment means any type of new or rebuilt standard gauge
locomotive, caboose, or general service railroad freight car the use of
which is not limited to any specialized purpose by particular equipment,
design, or other features, or any other type of car designated by the
Administrator upon a written finding that such designation is consistent
with the purposes of the Act. General service railroad freight car
includes a boxcar, gondola, open-top or covered hopper car, and flatcar.
(f) Facilities means --
(1) Track, roadbed, and related structures, including rail, ties,
ballast, other track materials, grading, tunnels, bridges, trestles,
culverts, elevated structures, stations, office buildings used for
operating purposes only, repair shops, enginehouses, and public
improvements used or usable for rail service operations;
(2) Communication and power transmission systems, including
electronic, microwave, wireless, communication, and automatic data
processing system, electrical transmission systems, powerplants, power
transmission systems, powerplant machinery and equipment, structures,
and facilities for the transmission of electricity for use by railroads;
(3) Signals, including signals and interlocks;
(4) Terminal or yard facilities, including trailer-on-flat-car and
container-on-flat-car terminals, express or railroad terminal and
switching facilities, and services to express companies and railroads
and their shippers, including ferries, tugs, carfloats, and related
shoreside facilities designed for the transportation of equipment by
water; or
(5) Shop or repair facilities or any other property used or capable
of being used in rail freight transportation services or in connection
with such services or for originating, terminating, improving, and
expediting the movement of equipment.
(g) FRA means Federal Railroad Administration.
(h) Including means including but not limited to.
(i) Project means the purpose for which the applicant seeks financial
assistance under this part, including acquisition or maintenance of
facilities or equipment, rehabilitation or improvement of facilities or
equipment, and new construction of facilities, and shall include as
separate projects each part or subpart into which the total project for
which the applicant seeks funding may reasonably be divided and for
which the cost is considered independent of the remainder of the total
project cost. The cost of a part or subpart is independent of the
remainder of the total project cost if the cash flow impact upon the
applicant resulting from the part or subpart would be approximately the
same regardless of whether or not the remainder of the total project
were undertaken.
(j) Railroad means a common carrier by railroad or express as defined
in section 1(3) of Part I of the Interstate Commerce Act (49 U.S.C.
1(3)), and includes the National Railroad Passenger Corporation and the
Alaska Railroad.
(k) Railroad in reorganization means a railroad being reorganized
under section 77 of the Bankruptcy Act (11 U.S.C. 205).
(l) Redeemable preference shares means shares acquired by the
Administrator under section 505(d) of the Act that conform to the
requirements set forth in section 506 of the Act.
(m) Trustee means the trustee, or trustees if more than one trustee
has been appointed, of a railroad in reorganization.
(n) Trustee certificates means certificates issued under section
77(c)(3) of the Bankruptcy Act (11 U.S.C. 205(c)(3)).
49 CFR 258.5 Eligibility.
Any railroad may apply to the Administrator under section 505 for
such financial assistance as the Administrator may approve.
49 CFR 258.7 Form and content of application.
(a) Each application shall include, in the order indicated and
identified by applicable section numbers and letters corresponding to
those used in this part, the following information:
(1) Full and correct name and principal business address of the
applicant;
(2) Date of applicant's incorporation, and name of the government,
State, or territory under the laws of which it was incorporated or
organized. If applicant is a trustee, then, in addition, the name and
address of the reorganization court under the direction of which the
applicant 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) Detailed description of the amount and timing of financial
assistance that is being sought and its purpose or purposes, including:
(i) A description of the physical condition of all facilities
included in or directly affected by the proposed project;
(ii) Identification of each part or subpart into which the project
may reasonably be divided, including the assignment of priorities for
funding of each part or subpart;
(iii) Amount of financing requested in the application for the
proposed project, and for each part or sub-part;
(iv) Proposed dates for commencement and completion of the project,
and for each part and subpart, as well as the date or dates on which
applicant desires to have the funds made available, and a schedule
according to which applicant desires to redeem preference shares
purchased pursuant to this part and make dividend payments thereon,
which schedule results in a yield as prescribed in 258.25(b) (ii) of
this part:
(v) A detailed statement setting forth the estimated internal rate of
return on the project, computed in accordance with the provisions of
subpart C of part 260 of this chapter. This statement shall follow the
procedures and follow the format required by such subpart C. Relevant
material presented in the application need not be repeated in this
statement, but must be explicitly referenced. If the project can be
divided into parts such that each part:
(A) Accounts for a significant portion of the total investment for
which Federal assistance is sought; and
(B) Produces approximately the same cash flow impacts regardless of
whether the remainder of the project is undertaken; then the applicant
must submit a separate internal rate of return computation, with the
supporting documentation described in such subpart C, for each part of
the project. In that case, all references to the term ''project'' in
such subpart C shall be deemed to refer to the part of the project for
which the rate of return is being computed.
(vi) Statement of whether the project involves another railroad or
other participant, through joint execution, coordination, or otherwise;
if so, description of the relative participation of applicant and such
other railroad or participant, including statement of financing
arrangements of each participant, portion of the work to be performed by
each, and contemplated level of usage of the equipment or facility by
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;
(vii) A description of the project's effect on national energy
consumption (over the life of the project) by the applicant and other
parties (as applicable) with particular emphasis on increases and
decreases in the national use of petroleum, natural gas, and coal.
(5) Full and complete statement, together with supporting evidence,
of the category within 258.27 into which each project, and part and
subpart of a project, falls.
(6) 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 employees and the improvement of
physical or other conditions that have caused or may cause serious
injury or loss of life to the public and to users of the railroad's
services;
(7) Full and complete statement, together with supporting evidence,
of whether, under the standards set forth in 258.23(b), funds are
available from alternative sources at a cost which is reasonable under
principles of prudent railroad financial management. The statement must
indicate, together with supporting evidence, for each source of funds
listed in 258.23(b), either that the condition which gives rise to the
presumption does not exist or that other circumstances and facts
described in that section as necessary to rebut the presumption do
exist.
(8) Detailed assessment of impact of the project on the environment,
in the general format and including the information set forth in the
appendix to this part.
(9) Statement that notice of the application, including a brief
description of the project, has been posted on bulletin boards
convenient to interested employees of the railroad and by sending
registered mail notice to the duly authorized representatives of such
employees. This requirement is not in lieu of any other requirements
imposed by reason of section 516 of the Act.
(10) A narrative statement detailing management's program to maintain
applicant's ability to provide essential rail freight services as a
viable railroad. The statement shall include as a minimum a discussion
of each of the elements listed as paragraph (a)(10) (i) through (vii) in
this section including how each relates to the four year financial
forecasts provided in Exhibits E and G of the application, and a full
explanation of the methodology and reasoning used in making the analyses
together with supporting documentation as appropriate.
(i) Applicant's current and prospective traffic base, including by
commodity and geographic region major markets served, major interchange
points, and market development plans.
(ii) Applicant's current operating patterns, and plans if any, to
enhance its ability to serve the prospective traffic base identified in
paragraph (a)(10) (i) of this section.
(iii) System-wide plans to maintain (A) equipment and (B)
right-of-way by major segments at levels adequate to serve markets and
maintain operating patterns discussed in paragraph (a)(10) (i) and (ii)
of this section.
(iv) Specific plans for rationalization of marginal or uneconomic
services including consolidation or coordination with other carriers in
jointly served markets, withdrawal from markets served by two railroads
other than the applicant and in which the applicant's services produce
marginal or no earnings, and the abandonment of uneconomic facilities.
(v) Facilities and service not discussed in paragraph (a)(10)(iv) of
this section that are physically or operationally susceptible to
consolidation or coordination with other carriers or internally, and
summary of plans or discussions with other carriers regarding same.
(vi) Relationship of current requests for Federal financial
assistance to the program discussed in this section, including a
specific explanation of the impact of the assistance as stated in the
financial forecasts of applicant in Exhibits E and G.
(vii) Any plans to seek further financial assistance from the FRA or
assistance from any other public source.
This statement must be submitted for all applications pending on or
filed subsequent to August 1, 1977.
(11) Any information that the applicant deems appropriate to convey a
full and complete understanding of the project and its impact or to
assist the Administrator in making the statutorily prescribed
determinations; and
(12) Any other information which the Administrator may deem necessary
concerning an application filed under this part.
(b) When applicant is a trustee and the form of proposed assistance
is purchase by the Administrator of trustee certificates, the
application shall provide all of the information required in paragraph
(a) of this section, and in addition shall provide:
(1) Statement on behalf of the trustee, together with supporting
evidcence, that such certificates cannot otherwise be sold at a
reasonable rate of interest:
(2) Full and complete statement, together with supporting evidence,
demonstrating that the project can reasonably be expected to be
maintained as a part of a financially self-sustaining railroad system;
and
(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.
(Sec. 505, Railroad Revitalization and Regulatory Reform Act of 1976
(Pub. L. 94-210, 90 Stat. 71), as amended by sec. 212 of the Rail
Transportation Improvement Act (Pub. L. 94-555, 90 Stat 2024); Dept.
of Transportation Act, 49 U.S.C. 1651 et seq., 49 CFR 1.49(u))
(42 FR 28980, June 6, 1977; 42 FR 30840, June 17, 1977, as amended
at 43 FR 14663, Apr. 7, 1978; 45 FR 58037, Aug. 29, 1980)
49 CFR 258.9 Required exhibits.
There shall be filed with and made a part of each application and
copy thereof the following exhibits, except that exhibits filed with the
Administrator pursuant to some other statutory provision or regulation
which are in the same format as the following exhibits may be
incorporated in and made part of the application filed under this part
by reference. While an application is pending, when actual data becomes
available in place of the estimated or forecasted data required in
exhibits under this part, such actual data must be reported promptly to
the Administrator in the form required in the appropriate exhibit. All
forecasted data required in the exhibits under this part must be based
on the assumption that the project will be funded on the January 1 next
following the date of the application.
(a) Exhibit A. Map of applicant's existing railroad with location of
project indicated, if appropriate.
(b) Exhibit B. Statement showing to the latest available date but in
any event to a date no less recent than the end of the third month
preceding the date of filing of the application:
(1) Maximum number of locomotive units out of service during each
quarter due to business conditions; maximum number of such units out of
service during each quarter due to mechanical defects; and ratio of
each to total ownership quarterly for each of the last three calendar
years but not earlier than the quarter ending June, 1974, and the
current calender year; and
(2) Maximum number of general service freight cars out of service
during each quarter due to business conditions; maximum number of such
cars out of service during each quarter due to mechanical defects; and
ratio of each to total number of general service freight cars owned by
applicant quarterly for each of the last three calendar years but not
earlier than the quarter ending June 1974, and the current calender
year.
(c) Exhibit C. A copy of applicant's most recent year end general
balance sheet, if available, certified by applicant's independent public
accountants, and a copy of applicant's most recent unaudited general
balance sheet as of a date no less recent than the end of the third
month preceding the date of filing of the application. The unaudited
balance sheet shall be presented in account form and detail as required
in Schedule 200 of the Commission's annual report R-1 or R-2, as
appropriate, together with the following schedules (where changes in
accounts from the end of the prior year to date of the application have
not been significant, copies of the appropriate schedules in the prior
year's R-1 or R-2 with marginal notations listing the changes may be
submitted):
(1) Particulars of Account 704, Loans and Notes Receivable, in form
and detail as required in Schedule 201 of Annual Report R-1 for the
Class I railroads, and in similar form for the Class II railroads except
that for Class II railroads loans and notes receivable that are each
less than $25,000 may be combined into a single amount;
(2) Particulars of investments in affiliated companies and other
investments in form and detail required in Schedules 205 and 206 of
Annual Report R-1, or Schedules 1001 and 1002 of Annual Report R-2, as
appropriate;
(3) Particulars of balances in Accounts 741, Other Assets, and 743,
Other Deferred Charges, in form and detail required in Schedule 216 of
Annual Report R-1 or Schedule 1703 of Annual Report R-2, as appropriate;
(4) Particulars of loans and notes payable in form and detail
required in Schedule 223 of Annual Report R-1, or Schedule 1701 of
Annual Report R-2, as appropriate, as well as information as to bank
loans, including the name of the bank, date and amount of the original
loan, current balance, maturities, rate of interest, and security, if
any;
(5) Particulars of long-term debt in form and detail required in
Schedules 218 and 219 of Annual Report R-1 or Schedules 670, 695, 901,
902 and 1702 of Annual Report R-2, as appropriate, together with a brief
statement concerning each mortgage, pledge, and other lien, indicating
the property or securities encumbered, the mortgage limit per mile, if
any, and particulars as to priority;
(6) Particulars of balance in account 784, Other Deferred Credits, in
form and detail required in Schedule 225 of Annual Report R-1 or
schedule 1704 of Annual Report R-2, as appropriate; and
(7) Particulars as to capital stock in form and detail as required in
Schedules 228, 229, and 230 of Annual Report R-1 or Schedule 690 in R-2,
as appropriate.
(d) Exhibit D. Applicant's most recent annual income statement, if
available, certified by applicant's independent public accountants, and
a spread sheet showing unaudited monthly and year-to-date income
statement data for the calendar year in which the application is filed
in account form similar to that required in column (a) of Schedule 300
of Annual Report R-1 or R-2, as appropriate. For those months preceding
and ending upon the date of the unaudited balance sheet presented in
Exhibit C, the income statement data shall be reported on an actual
basis and so noted. For those months between the dates of the unaudited
balance sheet and the filing of the application, the income statement
data shall be reported on an estimated basis and so noted and shall be
submitted in conjunction with corresponding estimated month-end balance
sheets. For those months between the date of the application and the
end of the year, the income statement data shall be presented on a
forecasted basis and so noted and shall be submitted in conjunction with
a forecasted balance sheet as at the year end.
(e) Exhibit E. Spread sheets showing for each of the four years
subsequent to the year in which the application is filed, both before
and after giving effect to the proceeds of the assistance requested in
the application:
(1) Forecasted annual income statement data in account form and
detail similar to that required in column (a) of Schedule 300 of Annual
Report R-1 or R-2 as appropriate, including the subaccounts comprising
line 2 (railway operating expenses), as specified by lines 64, 92, 105,
159, 168, and 180 of Schedule 320; and
(2) Forecasted year-end balance sheets in account form and detail
similar to that required in schedule 200 of Annual Report R-1 and R-2,
as appropriate. These spread sheets shall be accompanied by a statement
setting forth the bases for such forecasts.
(f) Exhibit F. A spread sheet showing changes in financial position
for the year in which the application is filed in account form and
detail as required in Schedule 309 of Annual Report R-1 or R-2 as
appropriate, as follows:
(1) For that period ending on the date of the unaudited balance sheet
in Exhibit C, based upon actual data; and
(2) For that period from the balance sheet date to the end of the
year, based upon estimated and forecasted data.
(g) Exhibit G. A spread sheet showing forecasted changes in
financial position for each of the four calendar years subsequent to the
year in which the application is filed, both before and after giving
effect to any funds requested in the application and including a
statement showing the bases for such estimates, in account form and
detail as required in Schedule 309 of the Annual Report R-1 for Class I
railroads and in similar form and detail for Class II railroads.
(h) Exhibit H. With respect to equipment proposed to be
rehabilitated, improved, maintained, or acquired in the application, a
statement indicating number of units and in-service or out-of-service
status and, as appropriate:
(1) For locomotives, service type, age, size, horsepower, name of
builder, description of work, and unit cost of proposed work; and
(2) For freight cars or intermodal equipment, information as to
service type (box, gondola, flat, etc.), age, capacity, description of
work, and unit costs of proposed work. Such statement shall show the
total cost of the project, types and quantities of work items, unit cost
of each item and distribution of such cost by primary accounts of the
Commission's Uniform System of Accounts separated where applicable
between material, labor, and other; the ownership of all equipment
which is the subject of the project; and the dates on which work is to
be commenced or completed. Direct labor, supervision, material costs,
contingencies, and any applicable overhead expenses that are included in
the total cost of the project should be shown separately and identified.
(i) Exhibit I. With respect to the maintenance, rehabilitation,
improvement, acquisition, or construction of facilities proposed in the
application, a statement showing, as appropriate:
(1) The classification of each line, or part of a line, on which
maintenance, rehabilitation, improvement, acquisition, or construction
is proposed, as determined in accordance with the final standards and
designations under section 503(e) of the Act.
(2) Track Class, as defined by the FRA Track Safety Standards in Part
213 of this chapter, and maximum allowable speed under which each line,
or sub-part of a line, referred to above, has been and is being operated
and the reasons therefor; the highest track class and maximum allowable
speed at which each such line, or subpart of a line, will be designated
when the proposed project is completed; and the track class, maximum
allowable speed, and signal requirements necessary in the judgment of
the railroad to provide safe, reliable and competitive rail services
over each line, or subpart of the line, included in or directly affected
by the project, together with applicant's recommendations as to:
(i) The most economical method of rehabilitating or improving the
physical condition of each line, or subpart of each line, referred to
above, to achieve and maintain such line to the track class and maximum
allowable speed deemed necessary by the applicant;
(ii) The cost of rehabilitating or improving each line, or subpart of
each line, specified above, to meet the minimum safety requirements as
defined by the FRA in part 213 of this chapter for the track class and
maximum allowable speed deemed necessary by the applicant and the cost
of installing, rehabilitating, improving, maintaining, and repairing, as
necessary, block signal systems, interlockings, automatic train stop,
train control, cab signal devices or other similar appliances, methods,
and systems in accordance with the FRA requirements in parts 233, 234
and 236 of this chapter; and
(iii) An economic analysis of the cost of installing, rehabilitating,
and improving facilities described in paragraph (i)(2)(ii) of this
section.
(3) The identification number of each grade crossing on each line, or
sub-part of a line, included in the project, as provided in the United
States Department of Transportation/Association of American Railroads
Crossing Inventory, and the safety standards, signal and other
requirements necessary in the judgment of the railroad to prevent loss
of life and serious accident or injury at such grade crossings.
(4) Types and quantities of work items, unit cost of each item, cost
of project in total and by parts or sub-parts into which the project may
be reasonably divided, and distribution of such costs by primary
accounts of the Commission's Uniform System of Accounts, separated where
applicable between material, labor and other. Direct labor,
supervision, material costs, contingencies, and any applicable overhead
expenses that are included in the costs of the project should be shown
separately and identified.
Note: The account forms referred to in the exhibits are those of the
Commission's Uniform System of Accounts for Railroad Companies in use on
August 31, 1976. However, the information required in any of the
exhibits shall give effect to any modification of the Commission's
Uniform System of Accounts for Railroad Companies in effect on the date
of filing the application.
(Sec. 505, Railroad Revitalization and Regulatory Reform Act of 1976
(Pub. L. 94-210, 90 Stat. 71, February 5, 1976), as amended by Sec. 212
of the Rail Transportation Improvement Act (Pub. L. 94-555, 90 Stat.
2024, October 19, 1976); Department of Transportation Act, 49 U.S.C.
1651 et seq. Regulations of the Office of the Secretary of
Transportation, 49 CFR 1.49(u))
(42 FR 28980, June 6, 1977; 42 FR 30840, June 17, 1977, as amended
at 43 FR 14663, Apr. 7, 1978)
49 CFR 258.11 Preapplication and application procedure.
(a) When a railroad has developed plans for a project for which it
may wish to seek assistance under this part, a responsible official of
the railroad may request a meeting with the Associate Administrator for
Federal Assistance of the FRA to discuss those plans. Upon receipt of
such request, the Associate Administrator will promptly schedule a
meeting at which the railroad will present to representatives of the FRA
the project and discuss with them information which must be submitted in
the application and the type of terms and conditions and financing
documents that will be utilized in connection with financial assistance
provided under section 505. Applicants are not required to prepare a
draft application or other special information for the preapplication
conference; however, applicants should be prepared to discuss
information which management has used in making its initial decision to
seek assistance.
(b) The following procedure shall govern the execution and filing of
the application:
(1) The original application shall bear the date of execution and be
signed with ink by or on behalf of the applicant and shall bear the
corporate seal in the case of an applicant which is a corporation.
Execution shall be by all partners if a partnership, unless satisfactory
evidence is furnished of the authority of a partner to bind the
partnership, or if a corporation, an association or other similar form
of organization, by its president or other executive officer having
knowledge of the matters therein set forth. Persons signing the
application on behalf of the applicant shall also sign a certificate in
form as follows:
-------------------------- (Name of official) certifies that he
is the (Title of official) -------------------- of the (Name of
railroad) -------------------- ; that he is authorized on the part of
said applicant to sign and file with the Administrator this application
and exhibits attached thereto; that the consent of all parties whose
consent is required, by law or by binding commitment of the applicant,
in order to make this application has been given; that he has carefully
examined all of the statements contained in such application and the
exhibits attached thereto and made a part thereof relating to the (Name
of railroad) -------------------- ; that he has knowledge of the
matters set forth therein and that all such statements made and matters
set forth therein are true and correct to the best of his knowledge,
information, and belief.
(Name of official)
(Date)
(2) There shall be made a part of the original application the
following certificate by the Chief Financial Officer of the applicant:
-------------------------- (Name of officer) certifies that he
is (Title of officer) -------------------- of (Name of railroad
applicant) -------------------- ; that he has supervision over the
books of account and other financial records of the railroad applicant
and has control over the manner in which they are kept; that such
accounts are maintained in good faith in accordance with the effective
accounting and other orders of the Interstate Commerce Commission; that
such accounts are adequate to assure that proceeds from the financing
being requested will be used solely and specifically for the purposes
authorized; that he has examined the financial statements and
supporting schedules included in this application and to the best of his
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 railroad 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 railroad
applicant.
(Name of official)
(Date)
(3) The original application and supporting papers, and ten (10)
copies thereof, shall be filed with the Associate Administrator for
Federal Assistance of the Federal Railroad Administration, 400 7th
Street, SW., Washington, DC. Each copy shall bear the dates and
signatures that appear in the original and shall be complete in itself,
but the signatures in the copies may be stamped or typed.
49 CFR 258.13 Information requests.
If an applicant desires that any information submitted in an
application or supplement thereto not be released by the Administrator
upon request from a member of the public, the applicant must so state
and must set forth any reasons why such information should not be
released, including particulars as to any competitive harm which would
probably result from release of such information. The Administrator
will keep such information confidential as permitted by law.
49 CFR 258.15 Waiver and modification.
The Administrator, upon good cause shown, may waive or modify any
requirement of this part not required by law, or make any additional
requirements he deems necessary.
49 CFR 258.15 Subpart B -- Standards for Evaluations and Determinations Under Section 505(b)(2) of the Act
49 CFR 258.17 Purpose.
This subpart prescribes standards in accordance with which the
Administrator will make the evaluations and determinations required
under section 505(b)(2) of the Act.
49 CFR 258.19 Definitions.
As used in this subpart --
(a) Consolidation means the combination of separate rail facilities
into fewer facilities and the abandonment of the excess facilities,
except that ''consolidation'' shall not include the combination by a
single railroad of double track into single track where the lines do not
constitute separate physical and operating systems.
(b) Coordination means the combination of rail freight tyraffic flows
through the use of joint facilities arrangements that result in a
partial or complete discontinuance of service on the less essential
facility.
(c) Corridor of consolidation potential means a corridor of
consolidation potential as identified in the Final Standards,
Classification and Designation of Lines of Class I Railroads in the
United States, published by the United States Department of
Transportation pursuant to section 503(e) of the Act.
(d) Mainline means a line that has an overall annual traffic density
of at least five million gross ton-miles per mile.
(e) Ratio means the applicant's fiscal 1975 rate of return on total
capital, represented by the ratio which such applicant's net income,
including interest on long-term debt, bore to the sum of average
shareholders' equity, long-term debt, and accumulated deferred income
tax credits in fiscal year 1975.
(f) Return means the anticipated after-tax, internal rate of return
on a proposed project, computed in accordance with the methodology set
forth in subpart C of part 260 of title 49 of the Code of Federal
Regulations (42 FR 4652, January 25, 1977).
(g) Spread means the difference between the Return and the cost of a
project, as applicable in each paragraph of 258.23(b), computed by
subtracting that cost from the Return.
(42 FR 28980, June 6, 1977; 42 FR 30840, June 17, 1977)
49 CFR 258.21 Evaluation process.
(a) Section 505(b)(2) of the Act requires the Administrator to
consider the following three factors in determining if financial
assistance applied for under this part is in the public interest:
(1) The availability of funds from other sources at a cost which is
reasonable under principles of prudent railroad financial management in
light of the railroad's projected rate of return for the project to be
financed and the applicant's Ratio.
(2) The interest of the public in supplementing such other funds as
may be available for railroad financing; and
(3) The public benefits to be realized from the project to be
financed in relation to the public costs of such financing and whether
the proposed project will return public benefits sufficient to justify
such public costs.
(b) In accordance with section 505(a) of the Act, this subpart sets
forth standards for each of the three factors listed above by which the
Aministrator will make his determination of whether the requested
financial assistance is in the public interest. Except where otherwise
stated in this subpart, all of the standards must be satisfied in order
for the applicant to qualify for the requested financial assistance.
The Administrator retains discretion to determine the appropriate level
of funding for all projects that qualify for assistance.
49 CFR 258.23 Cost of funds available from other sources.
(a) General. Section 258.7(a)(7) requires each applicant to submit a
statement on the availability of funds from alternative sources and
efforts which have been made to secure such funds. Alternative sources
of funds that applicants should explore include money borrowed without a
Federal guarantee (including public or private placements of funded or
unfunded debt, bank loans, loans from shippers and suppliers, and loans
from affiliated companies), the use of internal funds, and the issuance
of new common or preferred equity. The standards contained in paragraph
(b) of this section set forth conditions that will give rise to a
presumption by the Administrator that funds are available from each of
these sources at a cost which is reasonable under principles of prudent
railroad financial management. In order to qualify for financing under
section 505, applicants must show in their statement under 258.7(a)(7),
for each source of funds listed in paragraph (b) of this section, either
that the condition which gives rise to the presumption does not exist or
that other circumstances and facts described below as necessary to rebut
the presumption do exist. Because the availability of a Federal
guarantee of obligations under section 511 of the Act is uniquely within
the jurisdiction of the FRA, the Administrator will analyze each
application under section 505 of the Act to determine whether all or any
part of the application would qualify for loan guarantees under section
511 and whether the cost of such guaranteed obligations is reasonable
under principles of prudent railroad financial management.
(b) Standards. (1) Borrowed money will be presumed to be available
at a reasonable cost to the applicant if the applicant has a Moody's
bond rating for any outstanding long-term debt (other than equipment
obligations) of Baa or higher, or, in the case of an applicant that does
not have indebtedness that is rated by Moody's, the ratio of the
applicant's consolidated net operating income before taxes to the sum of
its consolidated fixed and contingent charges for the three calendar
years preceding the date of submission of the application equals or
exceeds the average of such ratios for all Class I railroads with debt
securities rated Baa as at the last day of the most recent calendar year
for which all such railroads shall have reported their results to the
Commission. The applicant may rebut the presumption by showing that
potential sources of such borrowed money have been thoroughly explored
and that no borrowed money has been found to be available. If borrowed
money has been found to be available, the applicant may still rebut the
presumption by showing that:
(i) The forecasted financial condition and operating results of the
applicant (after giving effect to the project's net cash stream) appear
inadequate to provide reasonable assurance that the applicant will be
able to service its total debt; or
(ii) The amount of money to be borrowed is less than 25 percent of
the denominator of the applicant's Ratio and the borrowing would result
in a reduction of more than 10% in the applicant's Ratio, computed by
adding an amount equal to the product of (A) the amount of money to be
borrowed and (B) the sum of the spread between the Return and the
after-tax, effective annualized cost (expressed as a percentage and
including interest, placement, trustee's and other related charges) of
the money to be borrowed (hereafter in this 258.23(b)(1) referred to as
''Cost'') and the pre-tax effective interest rate to the numerator of
the Ratio, and an amount equal to the product of (C) the amount of money
to be borrowed and (D) the sum of 100% and the spread between the Return
and the Cost to the denominator of the Ratio.
(2) Internal funds will be presumed to be available at a reasonable
cost to the applicant if, on the date of the most recent unaudited
general balance sheet submitted under Exhibit C, the consolidated
current assets of the applicant (consisting of cash, cash equivalents,
accounts and notes receivable net of noncollectable accounts, and
prepaid expenses) exceeds the sum of consolidated current liabilities of
the applicant and consolidated long-term debt due within one year, after
deducting special funds, if any, to be used to pay that debt, said
amount representing ''Excess Working Capital''. The applicant may rebut
this presumption by showing that:
(i) The deployment of Excess Working Capital to finance the proposed
project is likely to impair the continuing operations of the railroad;
or
(ii) The railroad's Ratio is reduced by more than 10 percent when an
amount equal to the product of (A) the Excess Working Capital to be used
for the project and (B) the spread, if negative, between the Return and
the after-tax opportunity cost (expressed as an annual percentage rate
representing the return available on short-term securities customarily
invested in by the applicant) is added to both the numerator and the
denominator of the Ratio.
(3) New issues of common stock by the applicant or its holding
company will be presumed to be available at a reasonable cost to the
applicant if the current market price of its common shares, adjusted to
reflect the cash impact, if any, of the proposed project, is higher than
the current tangible book value per common share, computed in accordance
with the Uniform System of Accounts of the Interstate Commerce
Commission. The applicant may rebut the presumption by showing that the
possibility of such an issuance has been thoroughly explored and that a
viable market for such an issuance has not been found to be available.
If a viable market for such an issuance has been found to be available,
the applicant can still rebut the presumption by showing that:
(i) The consideration received from an offering of common stock
(hereafter in this 258.23(b)(3) referred to as ''Consideration'') plus
the project's cash impact on the applicant (computed by multiplying the
Return and the Consideration) would result in a reduction in the
applicant's current tangible book value per common share;
(ii) The issuance and sale would result in a substantial
deterioration in the market price per common share; or
(iii) The Consideration is less than 25 percent of the denominator of
the applicant's Ratio, and the issuance and sale would result in a
reduction of more than 10 percent in the applicant's Ratio, computed by
adding an amount equal to the product of the Return and the
Consideration to the numerator of the Ratio, and an amount equal to the
product of the Consideration and the sum of 100 percent and the Return
to the denominator of the Ratio.
(4) New issues of preferred stock by the applicant or its holding
company will be presumed to be available at a reasonable cost to the
applicant. The applicant may rebut the presumption by showing that the
possibility of such an issuance has been thoroughly explored and that a
viable market for such an issuance has not been found to be available.
If a viable market for such an issuance has been found to be available,
the applicant can still rebut the presumption by showing that:
(i) The forecasted financial condition and operating results of the
applicant (after giving effect to the project's net cash stream) appear
inadequate to provide reasonable assurance that the applicant can pay
dividends on a current and continuing basis; or
(ii) The amount of consideration to be received by the applicant or
its holding company upon the issuance and sale of new preferred stock
equity (hereafter in this 258.23(b)(4) referred to as
''Consideration'') is less than 25 percent of the denominator of the
applicant's Ratio, and the issuance and sale would result in a reduction
of more than 10 percent in the applicant's Ratio, computed by adding an
amount equal to the product of the Return and the Consideration to the
numerator of the Ratio, and an amount equal to the product of (A) the
Consideration and (B) the sum of 100 percent and the spread between the
Return and the effective annualized cost (expressed as a percentage and
including the dividend rate) of the preferred stock to the denominator
of the Ratio.
(5) If the applicant fails to rebut any of the presumptions set forth
in paragraphs (b) (1) through (4) of this section, the Administrator
will consider such other facts and arguments as the applicant may put
forward to show that funds are not available to it at a cost which is
reasonable under principles of prudent railroad financial management.
(42 FR 28980, June 6, 1977; 42 FR 30840, June 17, 1977)
49 CFR 258.25 Public interest in supplementing total railroad funding.
(a) General. The standards set forth in paragraph (b) of this
section will enable the Administrator to evaluate an applicant's
long-term role in a viable national rail system in order to determine
that the application is consistent with ''the interest of the public in
supplementing such other funds as may be available for railroad
financing,'' as stated in section 505(b)(2)(B) of the Act.
(b)(1) Standards. (i) Effective August 1, 1977, for all then-pending
or subsequently filed applications, management's program submitted under
258.7(a)(10) of this part is reasonably likely to assure that essential
rail freight services currently provided by the applicant will continue
to be provided by the applicant as a viable railroad or by another
carrier as the result of a merger of companies or consolidation of
lines, and the financing applied for will contribute to that program.
(ii) The applicant is reasonably likely to be able to redeem any
preference shares issued to finance the project according to a dividend
and redemption schedule which results in a yield which, expressed as an
annual percentage rate from the date of issuance of such shares, shall
be as follows:
(A) In the case of shares whose proceeds are to be expended solely to
reduce the level of deferred maintenance on facilities, equal to the
applicant's average rate of return on total capital, as defined in
section 506(a)(5) of the Act, for the three fiscal years preceding the
date of submission of the application, except where the public interest
in financing the project warrants a lower yield;
(B) In the case of shares whose proceeds result in no reduction in
the level of deferred maintenance on facilities, equal to the cost of
money to the government, except where the public interest in financing
the project warrants a lower yield; and
(C) In all other cases, equal to a weighted average yield determined
by applying the yields obtained in paragraphs (b) (ii) (A) and (B) of
this section to the appropriate portions of the total project cost.
In no event shall the yield under this paragraph (b)(1)(ii) be lower
than the minimum permissible yield determinable under sections 506(a)
(3) and (4) of the Act.
49 CFR 258.27 Public benefits and costs.
(a) General. Each project for which assistance is sought must
satisfy a set of public benefit standards based on national goals and
objectives in order to qualify for funding. Public benefits and costs
related to rail facility improvements encompass a wide range of values
and are not easily quantified. Because of the multiplicity of project
types, variations between applicants and their markets, and the
difficulty of quantifying certain benefits and costs, consideration of
public benefits and costs is accomplished through identification of
broad categories of projects for which the public benefits of proposed
projects are substantial and will equal or exceed whatever monetary and
social costs are involved, subject to an assessment of its environmental
impact. As provided in 258.29, priority within each category will be
given to projects that provide safety improvements.
(b) Standards. The public benefits of a proposed project will be
deemed to justify the public costs of the project if the project
satisfies any of the following standards.
(1) Essential freight services. The proposed project enhances the
ability of the applicant or other carriers to provide essential freight
services by acquiring by lease, purchase or merger, constructing,
rehabilitating, or significantly improving mainlines, including yards or
other facilities used primarily to serve traffic moving on such lines,
which:
(i) Are located in a corridor of consolidation potential, entail a
consolidation of mainlines or coordination of traffic of the applicant
and at least one other carrier, and will have a current or reasonably
prospective annual traffic density of not less than 20 million gross
ton-miles per mile;
(ii) Are not located in a corridor of consolidation potential, entail
a consolidation of mainlines or coordination of traffic by the applicant
or between the applicant and at least one other carrier, and will have a
current or reasonably prospective annual traffic density of not less
than 20 million gross ton-miles per mile;
(iii) Are not located in a corridor of consolidation potential and
have a current or reasonably prospective annual traffic density of not
less than 20 million gross ton-miles per mile;
(iv) Are located in a corridor of consolidation potential, entail a
consolidation of facilities or coordination of traffic of the applicant
and at least one other carrier, and will have a current or reasonably
prospective annual traffic density of not less than two million net tons
of revenue freight per mile originating or terminating on the line but
have a current or reasonably prospective overall annual traffic density
of less than 20 million gross ton-miles per mile;
(v) Are not located in a corridor of consolidation potential, entail
a consolidation of facilities or coordination of traffic by the
applicant or between the applicant and at least one other carrier, and
will have a current or reasonably prospective annual traffic density of
less than 20 million gross ton-miles per mile;
(vi) Are not located in a corridor of consolidation potential and
have a current or reasonably prospective annual traffic density of not
less than two million net tons of revenue freight per mile originating
or terminating on the line but have a current or reasonably prospective
overall annual traffic density of less than 20 million gross ton-miles
per mile;
(vii) Are located in a corridor of consolidation potential and have a
current or reasonably prospective annual traffic density of not less
than two million net tons of revenue freight per mile originating or
terminating on the line; or
(viii) Are not located in a corridor of consolidation potential and
have a current or reasonably prospective annual traffic density of less
than two million net tons of revenue freight per mile originating or
terminating on the line, but have a current or reasonably prospective
overall annual traffic density of less than 20 million gross ton-miles
per mile.
The current annual traffic density of a line under this standard in
net tons of revenue freight per mile originating or terminating on the
line or gross ton-miles per mile will be deemed to be the average annual
traffic density for the three calendar years preceding the filing of the
application. In segmenting lines for the purpose of determining traffic
density in paragraph (b)(1), (iv), (vi), (vii), and (viii) of this
section, originating and terminating traffic is measured from its
originating or terminating point to the next operationally feasible
interchange point consistent with traffic flows. A forecasted level of
traffic will be deemed to be ''reasonably prospective'' under this
standard if the increment of traffic above the average annual traffic
density for the three calendar years preceding the filing of the
application is accounted for by newly generated traffic which applicant
demonstrates is: (A) The result of an increase in the capacity of
shippers or receivers currently located on the line to produce or
consume commodities that are traditionally shipped by rail or is the
result of new shippers or receivers locating on the line and (B) cannot
be shipped by an alternate rail carrier.
(2) Competitive freight services. The application provides for:
(i) Rehabilitation or improvement of a line of an applicant who is
competitive with one and only one rail carrier in the market served by
the line and is shown by applicant to be economic in light of the
current or reasonably prospective levels of traffic in the market and
the number of alternative rail carriers in the market; or
(ii) Financial assistance to enable an applicant to withdraw from a
market which has more than two competing rail carriers, where the
applicant demonstrates that the reasonably prospective levels of traffic
in the market are insufficient to enable all of the railroads competing
in that market to earn a reasonable rate of return.
(3) Special projects. The proposed project will eliminate
identifiable and severe public safety hazards.
(4) Equipment rebuilding. The proposed project provides for
rebuilding equipment which the applicant requires in order to serve
adequately traffic which originates or terminates on applicant's lines
at levels which are consistent with the applicant's average market share
in the commodity hauled for the three calendar years preceding the
filing of the application or are reasonably prospective as defined in
paragraph (b)(1) of this section, and, in the case of locomotives, are
necessary to the performance of local service and switching.
(42 FR 28980, June 6, 1977; 42 FR 30840, June 17, 1977; 42 FR
35159, July 8, 1977)
49 CFR 258.29 Order of funding.
(a) Where appropriated funds are inadequate to finance all projects
which qualify for Federal assistance, projects will be funded in the
order in which the categories in which they fall are set forth in
258.27 of this subpart; that is, in descending order of priority from
258.27(b) (1) to (4) and within 258.27(b)(1), from paragraph (i) to
paragraph (viii).
(b) Where appropriated funds are adequate to finance some but not all
projects which are eligible for Federal assistance within any one of the
categories described in paragraph (a) of this section, priority for
funding will be given first to projects that provide safety improvements
and signals, including underpasses or overpasses at railroad crossings
at which injury or loss of life has frequently occurred or is likely to
occur and then to projects which significantly reduce national energy
consumption.
(c) As between two projects within the same category, as described in
paragraph (a) of this section, which both either provide or do not
provide safety improvements and signals or which significantly reduce
national energy consumption, priority for funding will be given to the
project which was first proposed in a completed application.
(42 FR 28980, June 6, 1977, as amended at 45 FR 58037, Aug. 29, 1980)
49 CFR 258.29 Pt. 258, App.
49 CFR 258.29 Appendix to Part 258 -- Environmental Assessments
Part I. Description of the environment in the area of the project
before commencement of such project, together with statement of other
Federal activities in the area which are known, or should be known, to
the applicant. This description shall include, without limitation, the
following information:
(A) Demographic data. Statement of population and growth
characteristics of area and of any population and growth assumptions
made by applicant in planning the project. Such statement should use
the rates of growth in the projection compiled for the Water Resources
Council by the Bureau of Economic Analysis of the Department of Commerce
and the Economic Research Service of the Department of Agriculture,
commonly referred to as the OBERS projection of regional economic
activity in the United States. Applicants should refer to 1972 OBERS
projections for economic areas, and provide 1969 data and 1980
projections for the following: Population; manufacturing earnings;
transportation, communications and public utilities earnings;
agriculture, forestry and fisheries earnings; and mining earnings.
Information should be provided for economic areas which the applicant's
proposal would affect.
(B) Current land use patterns. Statement of the project's
relationship to proposed land use plans, policies, and controls of
affected communities, including, where appropriate, maps or diagrams.
Where the project is inconsistent with any such plans, policies, or
controls, the statement should describe and explain in detail the
reasons for such inconsistency.
(C) Characteristics of current operations. The Applicant should
indicate the maximum allowable speed and frequency of current rail
traffic on any affected line, the number and location of grade
crossings, and the length of time such grade crossings are blocked
during a typical day. The Applicant should indicate derailments and
fatalities or injuries resulting from accidents involving trains and
motor vehicles or pedestrians on such lines. The Applicant should also
indicate the hours of operation on such lines and noise levels of rail
operations at 100' from the right of way. Applicants should refer to
the United States Environmental Protection Agency document titled
''Information on Levels of Noise Requisite to Protect Public Health and
Welfare with an Adequate Margin of Safety'', which provides a system of
measuring day and night noises on a weighted average.
(D) Air quality. The Applicant should indicate the air quality in
the region, as found in the state Air Quality Implementation Plans to
meet ambient air quality standards. Each state is required to prepare
such a plan under the Clean Air Act (42 U.S.C. 1857). Some states are
required to have Transportation Control Plans to meet ambient air
quality standards where transportation sources pose major air quality
problems. Applicants should refer to state air quality agencies or to
the Regional Offices of the U.S. Environmental Protection Agency for
guidance.
(E) Wetland or coastal zones. Location, types, and extent of wetland
areas or coastal zones that might be affected by the project,
(F) Properties and sites of historical or cultural significance.
Identification of districts, sites, buildings and other structures, and
objects of historical, architectural, archeological, or cultural
significance that may be affected by the project. This should be
accomplished by consulting the National Register and applying the
National Register Criteria (36 CFR part 800) to determine which
properties that may be affected by the project are included in or
eligible for inclusion in the National Register of Historic Places. The
National Register is published in its entirety each February in the
Federal Register. Monthly additions and listings of eligible properties
are published in the Federal Register the first Tuesday of each month.
The Secretary of the Interior will advise, upon request, whether
properties are eligible for the National Register. Officials designated
by their Governors to act as State Historic Preservation Officers
responsible for state activities under the National Historic
Preservation Act may also be consulted. A listing of these state
officials may be found at 36 CFR 60.5(d), or may be obtained from the
Director, National Parks Service, U.S. Department of the Interior,
Washington, DC 20240.
(G) Publicly-owned parklands, recreational areas, and waterfowl
refuges, and historic sites (45 U.S.C. 1653(f)). (i) Protected land
proposed to be used. Describe any publicly-owned land from a public
park, recreation area or wildlife and waterfowl refuge or any land from
an historic site or wildlife and waterfowl refuge or any land from an
historic site which would be affected or taken by the proposed program
or project, including the size of the land proposed to be affected or
taken, available activities on the land, use, patronage, unique or
irreplaceable qualities, relationship to other similarly used land in
the vicinity of the proposed project, and maps, plans, slides,
photographs, and drawings in sufficient scale and detail to clearly show
proposed project. Include a description of inpacts of the proposed
project on the land and changes in vehicular or pedestrian access.
(ii) Significant area. Include a statement of the national, State,
or local significance of the entire park, recreation area, wildlife or
waterfowl refuge, or historic site as determined by the Federal, State
or local officials having jurisdiction thereof. In the absence of such
a statement, protected land is persumed to be located in an area of
national, State or local significance.
Part II. The probable impact of the project on the environment and
measures which can be taken to mitigate adverse impacts. The applicant
shall (1) assess the positive and negative environmental effects,
including primary, secondary, and other foreseeable effects, on each of
the areas specified in Part I of this appendix, including long-term
impacts associated with the increased intensity, if any, of rail
operations, and (2) list measures which can be taken to mitigate adverse
impacts. Mitigation measures include control of hours of operation,
coordination of street blockages with adjacent communities, dust and
erosion control measures, and proposed methods of tie diposal. In
addition, the applicant shall provide the following:
(A) Statement of the extent to which any of the impacts of the
project represent irreversible or irretrievable commitments of
resources. This requires identification of the extent to which
implementation of the project irreversibly curtails the range of
potential uses of the environment. ''Resources'' include the natural
and cultural resources lost or destroyed as a result of the project.
(B) Statement of the relationship between local short-term uses of
man's environment and the maintenance and enhancement of long-term
productivity. This shall include a brief discussion of the extent to
which the proposed action involves trade-offs between short-term
environmental gains at the expense of long-term losses, or vice versa,
and a discussion of the extent to which the proposed action forecloses
future options.
(C) Statement of any probable adverse environmental effect which
cannot be avoided, such as changes in exposure to noise and changes in
level of noise or vibration; water or air pollution; undesirable land
use patterns; impacts on public parks and recreation areas, wildlife
and waterfowl refuges, or historic sites; damage to life systems;
congestion of street traffic in adjacent communities; delays in the
provision of essential services (police, fire, ambulance), anticipated
changes in accident patterns and other threats to health; and other
consequences adverse to the environmental goals set out in section
101(b) of the National Environmental Protection Act, 42 U.S.C. 4331(b).
In considering noise levels, applicants should note any conflicts
between projected noise levels from rail operations and HUD standards
for noise at sensitive sites, such as schools, hospitals, parks and
residential locations. (U.S. Department of Housing and Urban
Development, ''Noise Abatement and Control: Department Policy
Implementing Responsibilities and Standards,'' Departmental Circular
1390.2, Chart: External Noise Exposure Standards for New Construction,
April 4, 1971).
(D) Statement of construction impacts, identifying any special
problem areas and including:
(i) Noise impacts from construction and any specifications setting
maximum noise levels.
(ii) Disposal of spoil and effect on borrow areas and disposal sites
(include any specifications).
(iii) Measures to minimize effects on traffic and pedestrians.
(iv) Consideration of non-point source pollution such as might result
from water runoff.
(E) Statement of any positive or negative impacts on energy supply
and natural resource development, including, where applicable, any
effect on either the production or consumption of energy or other
natural resources. Discuss such effects if they are significant.
(F) Discussion of problems and objections raised by other Federal,
State or local agencies, and citizens with respect to impact of the
project on the environment.
Part III. Discussion of any alternatives to the project that have
been considered with respect to impact on the environment. If
cost-benefit analyses have been performed, the extent to which
environmental costs have been reflected in the analysis should be
stated. Underlying studies, reports, and other information obtained and
considered in preparing each section of the statement should be
identified. For energy comparisions, a possible source is Oak Ridge
National Laboratory Report, ''Energy Intensiveness of Passenger and
Freight Transport Modes'' by Dr. Eric Hirst, April, 1973. For
analyzing community impacts, the following report may be useful: ''The
Impacts on Communities of Abandonment of Railroad Service,'' July, 1975,
prepared for the U.S. Railway Association by the Public Interest
Economics Center, Washington, D.C. In examining the environmental
effects of highway transport as an alternative to rail service,
applicants may wish to use the following publication: ''A Study of the
Environmental Impact of Projected Increases in Intercity Freight
Traffic, August, 1971, prepared for the Association of American
Railroads by Battelle, Columbus, Ohio.''
49 CFR 258.29 PART 260 -- REGULATIONS GOVERNING SECTION 511 OF THE RAILROAD REVITALIZATION AND REGULATORY REFORM ACT OF 1976, AS AMENDED
49 CFR 258.29 Subpart A -- Procedures for Application for Commitment to
Guarantee or Guarantee of Obligations
Sec.
260.1 Applicability.
260.3 Definitions.
260.5 Eligibility.
260.7 Form and content of application.
260.9 Required exhibits.
260.11 Preapplication and application procedure.
260.13 Information requests.
260.15 Waivers and modifications.
Appendix to Subpart A -- Environmental Assessments
49 CFR 258.29 Subpart B -- Standards for Maintenance of Facilities by
Recipients of Obligation Guarantees
260.17 Applicability.
260.19 Definitions.
260.21 Standards.
260.23 Inspection and reporting.
260.25 Waiver.
260.27 Impact on other laws.
260.29 Penalties.
49 CFR 258.29 Subpart C -- Procedures for Computing the Internal Rate
of Return on Projects
260.31 Applicability.
260.33 Definitions.
260.35 Procedures to be followed and format to be utilized.
Appendix A to Part 260 -- Selected Cash Flow Impacts
Appendix B to Part 260 -- Forms to be Used in Computing IRR
form I -- analysis of capitalized investment form II -- analysis
of sale or retirement of assets form III -- analysis of expenses
and contribution to profit form IV -- consolidation of cash flows
form V -- computation of irr
Authority: Railroad Revitalization and Regulatory Reform Act of
1976, Pub. L. 94-210, 90 Stat. 76, as amended by the Rail
Transportation Improvement Act, Pub. L. 94-555, 90 Stat. 2625; the
Department of Transportation Act, 49 U.S.C. 1651 et seq., regulations of
the Office of the Secretary of Transportation, 49 CFR 1.49(u).
Source: 43 FR 14870, Apr. 7, 1978, unless otherwise noted.
49 CFR 258.29 Subpart A -- Procedures for Application for Commitment to Guarantee or Guarantee of Obligations
49 CFR 260.1 Applicability.
This subpart prescribes the procedures governing applications for a
commitment to guarantee or a guarantee of the payment of the principal
balance of, and any interest on, an obligation of an applicant under
section 511 of the Railroad Revitalization and Regulatory Reform Act of
1976, as amended (''Act''). Applications for a commitment to guarantee
or a guarantee of obligations of the Consolidated Rail Corporation for
electrification of high-density mainline routes must be filed in
accordance with these procedures, as provided in section 211(i) of the
Regional Rail Reorganization Act of 1973, as amended (45 U.S.C. 721(i)).
These procedures also govern applications for a commitment to guarantee
or guarantee of obligations incurred for the purpose set forth in
section 517 of the Act, improvement of intercity rail passenger service
on lines of the applicant located outside the Northeast Corridor, being
the properties acquired by the National Railroad Passenger Corporation
pursuant to title VII of the Act and described in section 701(a)(4) of
the Act.
49 CFR 260.3 Definitions.
As used in this part --
(a) Act means the Railroad Revitalization and Regulatory Reform Act
of 1976 (Pub. L. 94-210, February 5, 1976), as amended.
(b) Administrator means the Federal Railroad Administrator, or his
delegate.
(c) Applicant means any railroad, or other person (including a
governmental entity) that submits an application to the Administrator
for the guarantee of an obligation under which it is an obligor or for a
commitment to guarantee such an obligation.
(d) Commission means the Interstate Commerce Commission.
(e) Equipment means any type of new or rebuilt standard gauge
locomotive, caboose, or general service railroad freight car the use of
which is not limited to any specialized purpose by particular equipment,
design, or other features, or any other type of car designated by the
Administrator upon a written finding that such designation is consistent
with the purposes of the Act. General service railroad freight car
includes a boxcar, gondola, opentop or covered hopper car, and flatcar.
(f) Facilities means --
(1) Track, roadbed, and related structures, including rail, ties,
ballast, other track materials, grading, tunnels, bridges, trestles,
culverts, elevated structures, stations, office buildings used for
operating purposes only, repair shops, enginehouses, and public
improvements used or usable for rail service operations;
(2) Communications and power transmission systems, including
electronic, microwave, wireless, communication, and automatic data
processing systems, electrical transmission systems, powerplants, power
transmission systems, powerplant machinery and equipment, structures,
and facilities for the transmission of electricity for use by railroads;
(3) Signals, including signals and interlockers;
(4) Terminal or yard facilities, including trailer-on-flat-car and
container-on-flatcar terminals, express or railroad terminal and
switching facilities, and services to express companies and railroads
and their shippers, including ferries, tugs, carfloats, and related
shoreside facilities designed for the transportation of equipment by
water; or
(5) Shop or repair facilities or any other property used or capable
of being used in rail freight transportation services or in connection
with such services or for originating, terminating, improving, and
expediting the movement of equipment.
(g) FRA means Federal Railroad Administration.
(h) Guarantee means guarantee or commitment to guarantee unless the
context in which it is used indicates otherwise.
(i) Including means including but not limited to.
(j) Holder means the obligee or creditor under an obligation, except
that when a bank or trust company is acting as agent or trustee for such
an obligee or creditor pursuant to an agreement to which the obligor is
a part, the term refers to such bank or trust company.
(k) Obligation means a bond, note, conditional sale agreement,
equipment trust certificate, security agreement, or other obligation
issued or granted to finance or refinance equipment or facilities
acquisition, construction, rehabilitation or improvement.
(l) Obligor means the debtor under an obligation, including the
original obligor and any successor or assignee of such obligor who is
approved by the Administrator.
(m) Project means the use of the proceeds of the obligation for which
a guarantee or guarantee commitment is sought.
(n) Railroad means a common carrier by railroad or express as defined
in section 1(3) of Part I of the Interstate Commerce Act (49 U.S.C.
1(3)), including the National Railroad Passenger Corporation and the
Alaska Railroad.
(o) Trustee means the trustee, or trustees if more than one trustee
has been appointed, of an applicant in bankruptcy.
49 CFR 260.5 Eligibility.
Under section 511 the Administrator may guarantee and make
commitments to guarantee the payment of the principal balance of, and
any interest on, an obligation of any applicant prior to, on, or after
the date of execution or the date of disbursement of such obligation, if
the proceeds of such obligation shall be or have been used to acquire or
to rehabilitate and improve facilities or equipment, or to develop or
establish new railroad facilities.
49 CFR 260.7 Form and content of application.
(a) Each application shall include, in the order indicated and
identified by applicable section numbers and letters corresponding to
those used in this part, the following information:
(1) Full and correct name and principal business address of the
applicant;
(2) Date of applicant's incorporation, or organization if not a
corporation, and name of the government, state or territory under the
laws of which it was incorporated or organized. If applicant is a
trustee then, in addition, the name and address of the reorganization
court under the direction of which applicant is acting, and the docket
number of the proceeding. If applicant is a partnership, association,
or other form of organization other than a corporation, a full
description of the organization should be furnished;
(3) Name, title, and address of the person to whom correspondence
regarding the application should be addressed;
(4) Certified copy of proposed or executed obligation agreement,
including and related agreements of other documents, and detailed
description of the obligation, and of the series or issue of which the
obligation is a part, including --
(i) Total amount of the obligation;
(ii) Detailed description of the project and its purpose or purposes,
including --
(A) A description of all facilities or equipment and the physical
condition of such facilities or equipment included in or directly
affected by the proposed project and a description of the project;
(B) Each part or sub-part into which the project may reasonably be
divided, the priority and schedule of expenditure for each part or
sub-part:
(C) Estimated timing of the expenditure of the proceeds of the
obligation; and
(D) Statement of whether the project involves another railroad or
other participant, through joint execution, coordination, or otherwise;
if so, description of the relative participation of applicant and such
other railroad or participant, including statement or financing
arrangements of each participant, portion of the work to be performed by
each participant, and contemplated level of usage of the equipment or
facility of each participant when the work is completed, along with a
statement by a responsible officer or official of the other railroad or
participant that the information provided reflects their agreement on
these matters;
(iii) Effective date;
(iv) Schedule for repayment of principal;
(v) Description of the security to be offered the Administrator in
connection with any guarantee, applicant's opinion of the value of this
security and the basis for such opinion; in the case of leased
equipment to be rehabilitated or improved with the proceeds of the
obligation proposed to be guaranteed, applicant shall state, in addition
to the above, whether the lease provides for, or the lessor will permit,
encumbrance of the leasehold or subordination of the lessor's interest
in the equipment to the Administrator.
(vi) Where the obligation for which a guarantee is sought is
outstanding, actual effective rate of interest; or where the applicant
has discussed with a potential holder the terms of an obligation to be
issued, the proposed effective rate of interest;
(5) Statement, in summary form, showing financial obligations to or
claims against the United States or obligations for which the United
States is guarantor, if any, by applicant or any affiliated corporate
entity of the applicant or the applicant's parent as of the date of the
application, including:
(i) Status of any claims under litigation; and
(ii) Any other debits or credits existing between the applicant and
the United States, showing the department or agency involved in such
loans, claims and other debts;
(6) An analysis that includes:
(i) Statement, together with supporting evidence including copies of
all market analyses and studies that have been performed to determine
present and future demand for rail services, that the financing is
justified by present and future demand for rail services, will meet
existing needs for such services, and will provide shippers with
improved service;
(ii) Description of the impact of the financing upon the projected
traffic to be originated, terminated, or carried by the obligor for at
least the five years immediately following completion of the project;
and
(iii) Description of any other benefit which would accrue to the
applicant from the proceeds of the obligation;
(7) Statement, together with supporting evidence, that the facilities
or equipment being acquired, rehabilitated or improved will be
efficiently and economically utilized, including:
(i) A detailed statement setting forth the estimated internal rate of
return on the project, computed in accord- ance with the provisions of
subpart C of this part. This statement shall follow the procedures and
follow the format required by subpart C. Relevant material presented
elsewhere in the application need not be repeated in this statement, but
must be explicitly referenced. If the project can be divided into parts
such that each part:
(A) Accounts for a significant portion of the total investment for
which Federal assistance is sought; and
(B) Produces approximately the same cash flow impacts regardless of
whether the remainder of the project is undertaken; then the applicant
must submit a separate internal rate of return computation, with the
supporting documentation described in subpart C of this part, for each
part of the project. In that case, all references to the term
''project'' in subpart C of this part shall be deemed to refer to the
part of the project for which the rate of return is being computed;
(ii) Explanation of the manner in which the project will increase the
economical and efficient utilization of equipment and facilities; and
(iii) Documentation of any other improvements in service as a result
of the project, including service reliability between origin and
destination point pairs and reduction in time from load to load car
cycle by car type;
(iv) A description of the project's effect on national energy
consumption (over the life of the project and in light of the
information provided in response to 260.6) by the applicant and other
parties (as applicable) with particular emphasis on increases and
decreases in national use of petroleum, natural gas, and coal.
(8) Statement, together with supporting evidence, that the
transaction will improve the ability of any affected railroad to
transport passengers or freight;
(9) Statement of applicant's maintenance program for its entire rail
system and planned maintenance program for the equipment or facilities
financed by the proceeds of the obligation;
(10) Certified statement that applicant will pay to the Administrator
in accordance with 260.11(b)(4) an initial investigation charge and any
additional investigation charges the Administrator assesses with respect
to analysis and evaluation of the application, appraisal of any security
offered by an applicant, and all studies and investigations that the
Administrator deems necessary in order to make determinations or
findings prescribed in the Act, up to a maximum of one-half of one
percent of the obligation for which a guarantee is sought.
(11) With respect to each existing holder or proposed prospective
holder, a statement as to:
(i) Full and correct name and principal business address;
(ii) Reference to applicable provisions of law and the charter or
other governing instruments conferring authority on the holder to accept
the obligation;
(iii) Brief statement of the circumstances and negotiations leading
to the agreement by the holder to take the proposed obligation;
(iv) Brief statement of the nature and extent of any affiliation or
business relationship between the existing or prospective holder and any
of its directors, partners, or principal executive officers, on the one
hand, and, on the other, the applicant and any of its directors,
partners, or principal executive officers, or any person or persons
whose name is required to be furnished under paragraph (a)(11)(v) of
this section; and
(v) Full and complete statement of all sums to be given by the holder
in connection with the proposed obligation including:
(A) Name and address of each person to whom the payment has been made
or will be made and nature of any affiliation, association, or prior
business relationship between any person named in this paragraph and the
holder or any of its directors, partners, or officers;
(B) Amount of the cash payment, or the nature and value of other
consideration; and
(C) Any condition upon the obligation of the obligee to make such
payment;
(12) Detailed assessment of impact of the project on the environment,
in the general format and including the information set forth in the
appendix to subpart A of this part;
(13) Statement that notice of the application, including a brief
description of the project, has been posted on bulletin boards
convenient to interested employees of the railroad and by sending
registered mail notice to the duly authorized representatives of such
employees. This requirement is not in lieu of any other requirement
imposed by reason of section 516 of the Act;
(14) Any information that the applicant deems appropriate to convey a
full and complete understanding of the project and its impact or to
assist the Administrator in making the statutorily prescribed findings;
and
(15) Any other information which the Administrator may deem necessary
concerning an application filed under this part.
(b) When applicant is a trustee, the application shall provide all of
the information required in paragraph (a) of this section, and in
addition shall provide a full and complete statement, together with
supporting evidence, demonstrating that applicant can reasonably be
expected to become self-sustaining within a reasonable period of time.
(43 FR 14870, Apr. 7, 1978, as amended at 45 FR 58038, Aug. 29, 1980)
49 CFR 260.9 Required exhibits.
There shall be filed with and made a part of each application and
copy thereof the following exhibits, except that exhibits filed with the
Administrator pursuant to some other statutory provision or regulation
which are in the same format as the following exhibits may be
incorporated in and made part of the application filed under this part
by reference. While the application is pending, when actual data become
available in place of the estimated or forecasted data required in the
exhibits under this part, such actual data must be reported promptly to
the Administrator in the form required in the appropriate exhibit. All
forecasted data required in the exhibits under this part must be based
on the assumption that the project will be funded on the January 1 next
following the date of the application.
(a) Exhibit A. Map of applicant's existing railroad with location of
project indicated, if appropriate.
(b) Exhibit B. Statement showing to the latest available date but in
any event to a date no less recent than the end of the 3d month
preceding the date of filing of the application:
(1) Maximum number of locomotive units out of service during each
quarter due to business conditions; maximum number of such units out of
service during each quarter due to mechanical defects; and ratio of
each to total ownership quarterly for each of the last 3 calendar years
but not earlier than the quarter ending June 1974, and the current
calendar year; and
(2) Maximum number of general service freight cars out of service
during each quarter due to business conditions; maximum number of such
cars out of service during each quarter due to mechanical defects; and
ratio of each to total number of general service freight cars owned by
applicant quarterly for each of the last 3 calendar years but not
earlier than the quarter ending June 1974, and the current calendar
year.
(c) Exhibit C. A copy of applicant's most recent year-end general
balance sheet certified by applicant's independent public accountants,
if available, and a copy of applicant's most recent unaudited general
balance sheet as of a date no less recent than the end of the third
month preceding the date of filing of the application. The unaudited
balance sheet shall be presented in account form and detail as required
in Schedule 200 of the Commission's Annual Report R-1 or R-2, as
appropriate, together with the following schedules (where changes in
accounts from the end of the prior year to date of the application have
not been significant, copies of the appropriate schedules in the prior
year's R-1 or R-2 with marginal notations listing the changes may be
submitted:
(1) Particulars of Account 704, Loans and Notes Receivable, in form
and detail as required in Schedule 201 of Annual Report R-1 for the
Class I railroads, and in similar form for the Class II railroads except
that for Class II railroads loans and notes receivable that are each
less than $25,000 may be combined into a single amount;
(2) Particulars of investments in affiliated companies and other
investments in form and detail required in Schedules 205 and 206 of
Annual Report R-1, or schedules 1001 and 1002 of Annual Report R-2, as
appropriate;
(3) Particulars of balances in Accounts 741, Other Assests, and 743,
Other Deferred Charges, in form and detail required in Schedule 216 of
Annual Report R-1 or Schedule 1703 of Annual Report R-2, as appropriate;
(4) Particulars of loans and notes payable in form and detail
required in Schedule 223 of Annual Report R-1, or Schedule 1701 of
Annual Report R-2, as appropriate, as well as information as to bank
loans, including the name of the bank, date and amount of the original
loan, current balance, maturities, rate of interest, and security, if
any;
(5) Particulars of long-term debt in form and detail required in
Schedules 218 and 219 of Annual Report R-1 or Schedules 670, 695, 901,
902 and 1702 of Annual Report R-2, as appropriate, together with a brief
statement concerning each mortgage, pledge, and other lien, indicating
the property or securities encumbered, the mortgage limit per mile, if
any, and particulars as to priority;
(6) Particulars of balance in account 784, Other Deferred Credits, in
form and detail required in Schedule 225 of Annual Report R-1 or
Schedule 1704 of Annual Report R-2, as appropriate; and
(7) Particulars as to capital stock in form and detail required in
Schedules 228, 229, and 230 of Annual Report R-1 or Schedule 690 in
Annual Report R-2, as appropriate.
(d) Exhibit D. Applicant's most recent annual income statement
certified by applicant's independent public accountants if available,
and a spread sheet showing unaudited monthly and year-to-date income
statement data for the calendar year in which the application is filed
in account form similar to that required in column (a) of Schedule 300
of Annual Report R-1 or R-2 as appropriate. For those months preceding
and ending upon the date of the unaudited balance sheet presented in
Exhibit C, the income statement data shall be reported on an actual
basis and so noted. For those months between the dates of the unaudited
balance sheet and the filing of the application, the income statement
data shall be reported on an estimated basis and so noted and shall be
submitted in conjunction with corresponding estimated month-end balance
sheets. For those months between the date of the application and the
end of the year the income statement data shall be presented on a
forecasted basis and so noted and shall be submitted in conjunction with
a forecasted balance sheet as at the year end.
(e) Exhibit E. Spread sheets showing for each of the four years
subsequent to the year in which the application is filed, both before
and after giving effect to the proceeds of the assistance requested in
the application:
(1) Forecasted annual income statement data in account form and
detail similar to that required in column (a) of Schedule 300 of Annual
Report R-1 or R-2 as appropriate, including the subaccounts comprising
line 2 (railway operating expenses), as specified by lines 64, 92, 105,
159, 168, and 180 of Schedule 320; and
(2) Forecasted year-end balance sheets in account form and detail
similar to that required in Schedule 200 of Annual Report R-1 or R-2, as
appropriate.
These spread sheets shall be accompanied by a statement setting forth
the bases for such forecasts.
(f) Exhibit F. A spread sheet showing changes in financial position
for the year in which the application is filed in account form and
detail as required in Schedule 309 of Annual Report R-1 or R-2 as
appropriate as follows:
(1) For that period ending on the date of the unaudited balance sheet
in Exhibit C, based upon actual data; and
(2) For that period from the balance sheet date to the end of the
year, based upon estimated and forecasted data.
(g) Exhibit G. A spread sheet showing forecasted changes in
financial position for each of the four calendar years subsequent to the
year in which the application is filed, both before and after giving
effect to any funds requested in the application and including a
statement showing the bases for such estimates, in account form and
detail as required in Schedule 309 of the Annual Report R-1 for Class I
railroads and in similar form and detail for Class II railroads.
(h) Exhibit H. With respect to equipment proposed to be
rehabilitated, improved, maintained, or acquired in the application, a
statement indicating number of units and in-service or out-of-service
status and, as appropriate:
(1) For locomotives, service type, age, size, horsepower, name of
builder, description of work, and unit cost of proposed work; and
(2) For freight cars or intermodal equipment, information as to
service type (box, gondola, flat, etc.), age, capacity, description of
work, and unit costs of proposed work.
Such statement shall show the total cost of the project, types and
quantities of work items, unit cost of each item, and distribution of
such cost by primary accounts of the Commission's Uniform System of
Accounts separated where applicable between material, labor, and other;
the ownership of all equipment which is the subject of the project; and
the dates on which work is to be commenced or completed. Direct labor,
supervision, material costs, contingencies, and any applicable overhead
expenses that are included in the total cost of the project should be
shown separately and identified.
(i) Exhibit I. With respect to the maintenance, rehabilitation,
improvement, acquisition, or construction of facilities proposed in the
application, a statement showing, as appropriate:
(1) Track Class, as defined by the FRA Track Safety Standards in part
213 of this chapter, and maximum allowable speed under which each line
on which maintenance, rehabilitation, improvement, acquisition or
construction is proposed has been and is being operated and the reasons
therefor, the track class, maximum allowable speed, and signal
requirements necessary in the judgment of the railroad to provide safe,
reliable and competitive rail services over such lines, and the highest
track class and maximum allowable speed at which each such line will be
designated when the proposed project is completed;
(2) Dates on which project is proposed to be commenced and completed;
and dates on which any part of sub-part into which the project may
reasonably be divided is proposed to be commenced and completed;
(3) Types and quantities of work items, unit cost of each item, cost
of project in total and by parts or sub-parts into which the project may
be reasonably divided, and distribution of such costs by primary
accounts of the Commission's Uniform System of Accounts, separated where
applicable between material, labor and other. Direct labor,
supervision, material costs, contingencies, and any applicable overhead
expenses that are included in the costs of the project should be shown
separately and identified.
(j) Exhibit J. A draft notice of filing, to be published by the
Administrator in the Federal Register, which shall contain a brief
summary of the project(s) proposed to be funded, including as
applicable:
(1) The name and address of applicant;
(2) A brief description of the project(s) proposed to be funded, the
total cost of such project(s), and the amount of Federal financial
assistance sought;
(3) A brief description of the facilities or equipment to be
acquired, rehabilitated or improved, including where appropriate, city
or county and State location termini, and approximate distance in miles;
(4) The justification for the project(s); and
(5) A final paragraph which shall read as follows:
Interested persons may submit written comments on the application to
the Associate Administrator for Federal Assistance, Federal Railroad
Administration, 400 Seventh Street SW., Washington, DC 20590, not later
than 30 days after the date on which this notice is published in the
Federal Register. Such submission shall indicate the docket number
shown on this notice and state whether the commenter supports or opposes
the application and the reasons therefor.
The comments will be taken into consideration by the Federal Railroad
Administration in evaluating the application. However, formal
acknowledgment of the comments will not be provided.
Note: The account forms referred to in the exhibits are those of the
Commission's Uniform System of Accounts for Railroad Companies in use on
October 1, 1976. However, the information required in any of the
exhibits shall give effect to any modification of the Commission's
Uniform System of Accounts for Railroad Companies in effect on the date
of filing the application.
49 CFR 260.11 Preapplication and application procedure.
(a) When a railroad or any other person has developed plans for a
project for which it may wish to seek assistance under this part, a
responsible official of the railroad or other person may request a
meeting with the Associate Administrator for Federal Assistance of the
FRA to discuss those plans. Upon receipt of such request, the Associate
Administrator will promptly schedule a meeting at which the railroad or
other person will present to representatives of the FRA the proposed
project and discuss with them information which must be submitted in the
application and the type of terms and conditions and financing documents
that will be utilized in connection with financial assistance provided
under section 511. Applicants are not required to prepare a draft
application or other special information for the preapplication
conference; however, applicants should be prepared to discuss
information which management has used in making its initial decision to
seek assistance.
(b) The following procedure shall govern the execution and filing of
the application:
(1) The original application shall bear the date of execution, be
signed with ink by or on behalf of the applicant, and shall bear the
corporate seal in the case of an applicant which is a corporation.
Execution shall be by all partners if a partnership, unless satisfactory
evidence is furnished of the authority of a partner to bind the
partnership, or if a corporation, an association or other similar form
of organization, by its president or other executive officer having
knowledge of the matters therein set forth. Persons signing the
application on behalf of the applicant shall also sign a certificate in
form as follows:
---------- (Name of official) certifies that he is the
---------- (Title of official) of the ---------- (Name of applicant);
that he is authorized on the part of the applicant to sign and file with
the Administrator this application and exhibits attached thereto; that
the consent of all parties whose consent is required, by law or by
binding commitment of the applicant, in order to make this application
has been given; that he has carefully examined all of the statements
contained in such application and the exhibits attached thereto and made
a part thereof relating to the aforesaid ---------- (Name of applicant);
that he has knowledge of the matters set forth therein and that all
such statements made and matters set forth therein are true and correct
to the best of his knowledge, information, and belief.
(Name of official)
------------
(Date)
(2) There shall be made a part of the original application the
following certificate by the Chief Financial Officer or equivalent
officer of the applicant:
---------- (Name of officer) certifies that he is ----------
(Title of officer) of ---------- (Name of applicant); that he has
supervision over the books of accounts and other financial records of
the affected applicant and has control over the manner in which they are
kept; that such accounts are maintained in good faith in accordance
with the effective accounting and other orders of the Interstate
Commerce Commission; that such accounts are adequate to assure that
proceeds from the financing being requested will be used solely and
specifically for the purposes authorized; that he has examined the
financial statements and supporting schedules included in this
application and to the best of his 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.
(Name of official)
------------
(Date)
(3) The original application and supporting papers, and ten copies
thereof for the use of the Administrator, shall be filed with the
Associate Administrator for Federal Assistance of the Federal Railroad
Administration, 400 Seventh Street SW., Washington, DC 20590. Each copy
shall bear the dates and signatures that appear in the original and
shall be complete in itself, but the signatures in the copies may be
stamped or typed.
(4) The application shall be accompanied by a filing fee in an amount
equal to one-eighth of one percent of the principal amount of the
obligation for which a guarantee is sought. This filing fee shall be
applied towards the costs of analyzing and evaluating the application,
appraising any security offered by applicant, and making any studies or
investigations that the Administrator deems necessary in order to make
the determinations and findings prescribed in the Act, except where the
Administrator finds it necessary to retain contractors to perform or
assist in performing these functions. Where any of these functions is
performed under contract to the Administrator, the applicant will be
charged, and shall pay promptly, an additional amount to cover the costs
of such contract(s) but such charges will not exceed, when added to the
initial charge, one-half of one percent of the obligation for which a
guarantee is sought.
(5) The application shall be accompanied by a transmittal letter in
form as follows:
Re Application for a Commitment to Guarantee (Guarantee) under
section 511 of the Railroad Revitalization and Regulatory Reform Act of
1976, as amended (the ''Act'').
Federal Railroad Administrator,
c/o the Associate Administrator for Federal Assistance of the Federal
Railroad Administration, Department of Transportation, Washington, D.C.
Dear Sir: Being duly authorized by ---------- (jointly and
severally/if more than one) (the ''Applicant'') to convey the
understandings hereinafter set forth, I respectfully submit this
application and remit its filing fee. By this filing, Applicant
requests the Administrator to investigate the application and make the
necessary findings upon which Applicant's eligibility for a Commitment
to Guarantee (Guarantee) may be determined.
Applicant understands that neither the acceptance of this filing, the
deposit of the filing fee, nor the commencement of an investigation
acknowledges the sufficiency of the application's form, content or
merit. Furthermore, Applicant understands that the Administrator will
incur numerous expenses by this filing, and promises to pay, when
charged, such amounts as the Administrator may assess with respect to
the investigation of the application, the appraisal of security being
offered, and the making of the necessary determinations and findings, up
to one-half of one percent (including the filing fee) of the principal
amount of the obligation for which Applicant seeks a Commitment to
Guarantee (Guarantee).
Finally, Applicant understands that (1) payment of all such charges
is required prior to the Administrator's final determination, (2) no
charge will be cancelled nor refund made upon any termination of this
application, (3) notice of this application will be published in the
Federal Register to invite comment by interested parties, and (4) the
Administrator will assess an annual premium charge, pursuant to the Act,
on any obligation guaranteed under section 511.
Respectfully submitted,
Applicant(s)
Seal(s)
by ----------------
Its (Their)
49 CFR 260.13 Information requests.
If an applicant desires that any information submitted in an
application or supplement thereto not be released by the Administrator
upon request from a member of the public, the applicant must so state
and must set forth any reasons why such information should not be
released, including particulars as to any competitive harm which would
probably result from release of such information. The Administrator
will keep such information confidential as permitted by law.
49 CFR 260.15 Waivers and modifications.
The Administrator may, upon good cause shown, waive or modify any
requirement of this part not required by law or make any additional
requirements he deems necessary.
49 CFR 260.15 Pt. 260, Subpt. A, App.
49 CFR 260.15 Appendix to Subpart A -- Environmental Assessments
Part I. Description of the environment in the area of the project
before commencement of such project, together with statement of other
Federal activities in the area which are known, or should be known, to
the applicant. This description shall include, without limitation, the
following information:
(A) Demographic data. Statement of population and growth
characteristics of area and of any population and growth assumptions
made by applicant in planning the project. Such statement should use
the rates of growth in the projection compiled for the Water Resources
Council by the Bureau of Economic Analysis of the Department of Commerce
and the Economic Research Service of the Department of Agriculture,
commonly referred to as the OBERS projection of regional economic
activity in the United States. Applicants should refer to 1972 OBERS
projections for economic areas, and provide 1969 data and 1980
projections for the following: Population; manufacturing earnings;
transportation, communications and public utilities earnings;
agriculture, forestry and fisheries earnings; and mining earnings.
Information should be provided for economic areas which the applicant's
proposal would affect.
(B) Current land use patterns. Statement of the project's
relationship to proposed land use plans, policies, and controls of
affected communities, including, where appropriate, maps or diagrams.
Where the project is inconsistent with any such plans, policies, or
controls, the statement should describe and explain in detail the
reasons for such inconsistency.
(C) Characteristics of current operations. The Applicant should
indicate the maximum allowable speed and frequency of current rail
traffic on any affected line, the number and location of grade
crossings, and the length of time such grade crossings are blocked
during a typical day. The Applicant should indicate derailments and
fatalities or injuries resulting from accidents involving trains and
motor vehicles or pedestrians on such lines. The Applicant should also
indicate the hours of operation on such lines and noise levels of rail
operations at 100' from the right of way. Applicants should refer to
the United States Environmental Protection Agency document titled
''Information on Levels of Noise Requisite to Protect Public Health and
Welfare with an Adequate Margin of Safety'', which provides a system of
measuring day and night noises on a weighted average.
(D) Air quality. The Applicant should indicate the air quality in
the region, as found in the state Air Quality Implementation Plans to
meet ambient air quality standards. Each state is required to prepare
such a plan under the Clean Air Act (42 U.S.C. 1857). Some states are
required to have Transportation Control Plans to meet ambient air
quality standards where transportation sources pose major air quality
problems. Applicants should refer to state air quality agencies or to
the Regional Offices of the U.S. Environmental Protection Agency for
guidance.
(E) Wetland or coastal zones. Location, types, and extent of wetland
areas or coastal zones that might be affected by the project.
(F) Properties and sites of historical or cultural significance.
Identification of districts, sites, buildings and other structures, and
objects or historical, architectural, archeological, or cultural
significance that may be affected by the project. This should be
accomplished by consulting the National Register and applying the
National Register Criteria (36 CFR part 800) to determine which
properties that may be affected by the project are included in or
eligible for inclusion in the National Register of Historic Places. The
National Register is published in its entirety each February in the
Federal Register. Monthly additions and listings of eligible properties
are published in the Federal Register the first Tuesday of each month.
The Secretary of the Interior will advise, upon request, whether
properties are eligible for the National Register. Officials designated
by their Governors to act as State Historic Preservation Officers
responsible for state activities under the National Historic
Preservation Act may also be consulted. A listing of these state
officials may be found at 36 CFR 60.5(d), or may be obtained from the
Director, National Parks Service, U.S. Department of the Interior,
Washington, D.C. 20240.
(G) Publicly-owned parklands, recreational areas, and waterfowl
refuges, and historic sites (45 U.S.C. 1653(f)). (i) Protected land
proposed to be used. Describe any publicly-owned land from a public
park, recreation area or wildlife and waterfowl refuge or any land from
an historic site or wildlife and waterfowl refuge or any land from an
historic site which would be affected or taken by the proposed program
or project, including the size of the land proposed to be affected or
taken, available activites on the land, use, patronage, unique or
irreplaceable qualities, relationship to other similarly used land in
the vicinity of the proposed project, and maps, plans, slides,
photographs, and drawings in sufficient scale and detail to clearly show
proposed project. Include a description of impacts of the proposed
project on the land and changes in vehicular or pedestrian access.
(ii) Significant area. Include a statement of the national, State,
or local significance of the entire park, recreation area, wildlife or
waterfowl refuge, or historic site as determined by the Federal, State
or local officials having jurisdiction thereof. In the absence of such
a statement, protected land is presumed to be located in an area of
national, State or local significance.
Part II. The probable impact of the project on the environment and
measures which can be taken to mitigate adverse impacts. The applicant
shall (1) assess the positive and negative environmental effects,
including primary, secondary, and other foreseeable effects, on each of
the areas specified in Part I of this appendix, including long-term
impacts associated with the increased intensity, if any, of rail
operations, and (2) list measures which can be taken to mitigate adverse
impacts. Mitigation measures include control of hours of operation,
coordination of street blockages with adjacent communities, dust and
erosion control measures, and proposed methods of tie disposal. In
addition, the applicant shall provide the following.
(A) Statement of the extent to which any of the impacts of the
project represent irreversible or irretrievable commitments of
resources. This requires identification of the extent to which
implementation of the project irreversibly curtails the range of
potential uses of the environment. ''Resources'' include the natural
cultural resources lost or destroyed as a result of the project.
(B) Statement of the relationship between local short-term uses of
man's environment and the maintenance and enhancement of long-term
productivity. This shall include a brief discussion of the extent to
which the proposed action involves trade-off between short-term
environmental gains at the expense of long-term losses, or vice versa,
and a discussion of the extent to which the proposed action forecloses
future options.
(C) Statement of any probable adverse environmental effect which
cannot be avoided, such as changes in exposure to noise and changes in
level of noise or vibration; water or air pollution; undesirable land
use patterns; impacts on public parks and recreation areas, wildlife
and waterfowl refuges, or historic sites; damage to life systems;
congestion of street traffic in adjacent communities; delays in the
provision of essential services (police, fire, ambulance), anticipated
changes in accident patterns and other threats to health; and other
consequences adverse to the environmental goals set out in section
101(b) of the National Environmental Protection Act, 42 U.S.C. 4331(b).
In considering noise levels, applicants should note any conflicts
between projected noise levels from rail operations and HUD standards
for noise at sensitive sites, such as schools, hospitals, parks and
residential locations. (U.S. Department of Housing and Urban
Development, ''Noise Abatement and Control: Department Policy
Implementing Responsibilities and Standards,'' Departmental Circular
1390.2, Chart; External Noise Exposure Standards for New Construction,
April 4, 1971)
(D) Statement of construction impacts, identifying any special
problem areas and including:
(i) Noise impacts from construction and any specifications setting
maximum noise levels.
(ii) Disposal of spoil and effect on borrow areas and disposal sites
(include any specifications).
(iii) Measures to minimize effects on traffic and pedestrians.
(iv) Consideration of non-point source pollution such as might result
from water runoff.
(E) Statement of any positive or negative impacts on energy supply
and natural resource development, including, where applicable, any
effect on either the production or consumption of energy or other
natural resources. Discuss such effects if they are significant.
(F) Discussion of problems and objections raised by other Federal,
State or local agencies, and citizens with respect to impact of the
project on the environment.
Part III. Discussion of any alternatives to the project that have
been considered with respect to impact on the environment. If
cost-benefit analyses have been performed, the extent to which
environmental costs have been reflected in the analysis should be
stated. Underlying studies, reports, and other information obtained and
considered in preparing each section of the statement should be
identified. For energy comparisons, a possible source is Oak Ridge
National Laboratory Report, ''Energy Intensiveness of Passenger and
Freight Transport Modes'' by Dr. Eric Hirst, April, 1973. For
analyzing community impacts, the following report may be useful: ''The
Impacts on Communities of Abandonment of Railroad Service,'' July, 1975,
prepared for the U.S. Railway Association by the Public Interest
Economics Center, Washington, D.C. In examining the environmental
effects of highway transport as an alternative to rail service,
applicants may wish to use the following publication: ''A Study of the
Environmental Impact of Projected Increases in Intercity Freight
Traffic, August, 1971, prepared for the Association of American
Railroads by Battelle, Columbus, Ohio.''
49 CFR 260.15 Subpart B -- Standards for Maintenance of Facilities by Recipients of Obligation Guarantees
49 CFR 260.17 Applicability.
This subpart prescribes standards governing the maintenance of
facilities, as defined in subpart A of this part, that are being
acquired, rehabilitated, improved, or constructed with the proceeds of a
guaranteed obligation, by the recipient of such guarantee for the period
during which any portion of the principal or interest of such obligation
remains unpaid.
49 CFR 260.19 Definitions.
The terms defined in subpart A of this part shall have the same
meaning for the purposes of this subpart that such terms are given in
260.3 of this part.
49 CFR 260.21 Standards.
(a) When the proceeds of an obligation guaranteed by the
Administrator are used to acquire, rehabilitate, improve or construct
track, roadbed, and related structures, the guarantee recipient shall,
as long as any portion of the principal or interest of such obligation
remains unpaid, maintain such facilities in at least the highest track
Class, as defined by FRA Track Safety Standards in part 213 of this
chapter, as that Class in which the rehabilitated, improved, acquired,
or constructed track is to be operated upon completion of the project
for which the obligation was guaranteed unless a waiver is granted in
accordance with 260.25.
(b) When the proceeds of an obligation guaranteed by the
Administrator are used in facilities, including those mentioned in
paragraph (a) of this section, the recipient shall, during the period in
which any portion of the principal or interest in such obligation
remains unpaid, maintain such facilities in a manner consistent with
sound engineering and maintenance practices and in a condition that will
permit the level of use that existed upon completion of the acquisition,
rehabilitation, improvement or construction of such facilities unless a
waiver is granted in accordance with 260.25.
49 CFR 260.23 Inspection and reporting.
(a) The facilities subject to the provisions of this subpart shall be
inspected at such regular intervals as the Administrator deems necessary
to assure compliance with the standards set forth in 260.21. Each
recipient shall permit representatives of the FRA to enter upon its
property to inspect and examine such facilities at reasonable times and
in a reasonable manner. Such representatives shall be permitted to use
such testing devices as the Administrator deems necessary to insure that
the maintenance standards imposed by this subpart are being followed.
(b) Each recipient shall submit to the Administrator annually
financial records and other documents detailing the maintenance
performed and the inspections conducted which demonstrate that the
recipient has complied with the standards in 260.21.
49 CFR 260.25 Waiver.
Any recipient of a guarantee may petition the Administrator in
writing for relief from any or all requirements imposed by this subpart.
The Administrator may, for good cause shown, waive or modify any
requirements of this part. Good cause may include, but is not limited
to, insufficient capital resources of the recipient to comply with these
maintenance standards or changes in the level of service required for
any facility subject to this subpart.
49 CFR 260.27 Impact on other laws.
Standards issued under this subpart shall not be construed to relieve
the recipient of any obligation to comply with any other Federal, State,
or local law or regulation.
49 CFR 260.29 Penalties.
If the Administrator finds that a guarantee recipient has violated
the requirements of this subpart, such recipient will be subject to
civil action for injunction to cease activities which violate this
subpart and for any other appropriate civil or criminal relief,
including termination, suspension, and punitive damages.
49 CFR 260.29 Subpart C -- Procedures for Computing the Internal Rate of Return on Projects
49 CFR 260.31 Applicability.
This subpart prescribes the procedures to be followed and the format
to be utilized in computing the IRR under paragraph (a)(7)(i) of 260.7
of subpart A of this part.
49 CFR 260.33 Definitions.
As used in this subpart --
(a) Investment means any substantial non-recurring expenditure even
if expensed for accounting purposes.
(b) IRR means the estimated internal rate of return on a project for
which an application for financial assistance is filed pursuant to this
part.
(c) IRS means the Internal Revenue Service.
49 CFR 260.35 Procedures to be followed and format to be utilized.
(a) A narrative discussion of the IRR computation for the project
consisting of the following five parts shall be prepared and provided:
(1) A detailed description of the project. This description must
present the following: The objectives of the project; what assets will
be improved, rehabilitated, acquired or constructed; where they will be
located; and how they will be used. It must also describe any other
work to be done as a part of the project, and any operating changes,
including retirement of assets, which will accompany the investment.
For these purposes, the project shall be deemed to include all
expenditures (including those for which no Federal assistance is
requested) necessary to carry out its objectives.
(2) A detailed description of the base case. The base case is the
most favorable alternative action the applicant could take with little
or no investment. The description must be comparable in scope to the
description of the project. In some cases, the most favorable
alternative action may be to do nothing, i.e., making no change in the
current situation. In other cases, the applicant may have other
alternative actions such as rerouting traffic, changing operating
practices (perhaps with an increase in operating costs), or relying more
heavily on facilities or equipment belonging to others. If the
applicant has considered more than one alternative action (requiring
little or no investment) to the project, the applicant must describe
each of the actions considered and give the rationale for the selection
of the base case from among those other actions.
(3) A discussion of key assumptions. All general assumptions and
those relating only to a particulary cash flow impact which
substantially affect the IRR should be explained. Assumptions regarding
traffic volumes deserve particular attention. The applicant must
specify how much traffic is expected if the project and base case are
undertaken, and where the difference, if any, between the project and
base case is expected to come from (e.g., diverted from truck, diverted
from other railroads, generated by the project, etc.). Other key
assumptions may relate to actions by third parties, such as regulatory
agencies and other railroads.
(4) A discussion of each cash flow impact resulting from the project
or base case. The applicant must identify all the cash receipts and
disbursements resulting from the project but not the base case, and
vice-versa. Cash flows which would be the same in either event should
not be considered. For each cost and benefit used in the IRR
computations, the applicant must explain why the particular cash flow
will result from the project or base case, and how the size of the cash
flow and the corresponding measure in physical units were estimated. In
addition, the applicant must identify and discuss important costs and
benefits which it has not been able to quantify. The applicant must
note which of the benefit and cost items could be measured to confirm
the predictions in the IRR computation, and must suggest how such
measurements could be made. Appendix A of this subpart lists the most
common cash flow impacts of railroad investment projects and base case
alternatives, indicates the kinds of actions likely to involve each type
of cash flow, suggests how each might be measured (both in physical and
monetary units), and discusses special problems associated with each.
Appendix A is not exhaustive; other cash flow items should be included
in the analysis as appropriate.
(5) A discussion of the principal areas of uncertainty. This
discussion must indicate why particular values might be different from
those used in the computation, and the range into which each uncertain
value could be expected to fall. It must also indicate the applicant's
subjective level of confidence that the computed IRR is a reasonably
close prediction of the project's and base case's financial performance.
In some circumstances, the applicant must point out where the IRR fails
to incorporate certain important features of the project or the base
case, or both. Applicant may enhance its discussion by presenting
examples of its own prior experiences with IRR, stating, perhaps, that
an audit of past computations has shown marked deviations from actual
results regardless of the detail of those computations.
(b) For the project (as it relates to its base case alternative), a
thorough presentation of all the computations underlying the IRR using
the Forms I-V of appendix B to this subpart shall be prepared and
provided. State and local tax impacts need not be included in the
computations, unless the applicant has determined that their inclusion
substantially affects the IRR. The computation of the IRR must follow
the four steps described below. (This procedure cannot be used if the
project consists of replacing an asset, usually equipment, which would
otherwise remain in service (at high cost) for only a few more years.
In that situation, the lifetime of the project (the new asset) is
substantially longer than the lifetime of the base case (the old asset),
so that it is not possible to get a differential cash flow in every year
of the project's life. A possible approach for handling such cases is to
determine the discount rate which gives the same average annual cost per
unit of output for both the project and the base case. Because it is
expected that very few of the applications will involve such
replacements, the procedure for handling them will not be detailed here
but will be provided upon request.) The foregoing does not apply to the
rehabilitation of track or similar replacement of components of an asset
which could reasonably be kept in service at high cost for at least 15
years (or the life of the replaced material, if shorter). The IRR on
such projects must be computed in accordance with the procedures
mandated by this subpart.).
(1) Step 1: Determination of before-tax case flows. The applicant
must determine, for each year of the project's expected useful life, up
to a maximum of 15 years (unless the cash flow impacts of later years
would substantially affect the IRR), both the project's and base case's
before-tax cash flow impacts (receipts and disbursements). The cash
flow estimates must not include the effects of inflation, but rather
must be done in constant dollars. The effects of financing must also be
excluded; that is the cash flows must be estimated as if the required
cash were immediately available at no cost.
The various cash flow impacts for this step 1 must be shown on Forms
I through V of appendix B as explained below. On Forms I through V cash
flow impacts occurring in the first year of the project and base case
are assigned to and recorded in the time period year 1. Cash flows in
subsequent years are all assigned to and recorded in the year in which
they occur regardless of whether they occur at the beginning or end of
the year. For purposes of assigning and recording cash flow impacts of
the project and base case, it will be assumed that the project's
starting date and thus the commencement of year 1 begins as of the first
of the January following the year in which an application for financial
assistance is filed.
(i) Capitalized investments which would occur as a part of the
project but not in the base case must be entered in Column 1 of Form I.
The capitalized investment includes capitalized engineering work,
installation expenditures and other startup costs allowable in reporting
to the IRS. The total investment for the project must be divided into
portions which are homogeneous with respect to depreciation method (if
depreciable), depreciation period (if depreciable), year in which the
assets enter service, and whether the assets qualify for investment tax
credit. (If applicant has a considerable tax credit carryforward, the
tax credit must be shown only in the year or years it will result in a
reduction of tax payments.) A separate form should be completed for each
such portion. Similarly, a set of Forms I must be completed for a
capitalized investments which would be made as part of the base case but
not the project.
(ii) Sales of released assets (as useful assets or as scrap), which
would occur as a part of the project or the base case, must be entered
in Column 1 of Form II. As was the case for capitalized investments,
there must be a separate Form II for each portion of the assets sold,
such that each portion is homogeneous with respect to tax treatment and
year of sale. Form II must also be completed for retirements of assets,
even though the sale price is zero, if the retirement will affect the
applicant's income taxes and thereby the applicant's cash flow. The
sale or retirement of an asset at the end of the project's life, if the
cash flow impact is substantial enough to merit inclusion in the
computation, must also appear on one or more Forms II. (If a project
would continue an asset already owned in its prior use but the base case
would put the asset to an alternative use, and if the cash flow from
that alternative use is difficult to determine, the applicant may do the
analysis as if the asset were to be sold in the base case at its fair
market value when put to the alternative use. Similarly, if the base
case would continue an asset in its present use but the project would
result in the asset being employed in an alternative use, the
anticipated cash flow of which would be difficult to determine, the
asset in the project may be treated as a sale at fair market value in
the IRR computations. In either event, the market value of the asset
otherwise put to an alternative use would be entered in Column 1 of a
Form II and the asset in its current use (in either the project or base
case, as the case may be) would be recorded, as to continuing
depreciation and income tax credit, if any, on Form I and, as to
expenses and contribution to profit, on Form III. However, whenever
possible, the anticipated cash flow of the alternative use, whether in
the project or base case, should be entered on Form III rather than
treated as a theoretical sale at fair market value.)
(iii) Expense items or contributions to profit which arise by reason
of the project or the base case must be documented on Form III for the
respective case, with a separate form being used for each item.
Columns 1 and 2 of Form III must be completed unless the difference
of column 3 can be ascertained only through a direct computation (as,
e.g., car-day savings resulting from faster movement over rehabilitated
track). When practical, expenses and traffic are to be expressed first
in physical units (Columns 1, 2 and 3) and then converted to dollars
(Column 4). In instances where this is not practical, the applicant may
estimate expenses and contribution directly in dollars using only
Columns 1, 2, and 4. In Columns 1 and 2, expense items should always be
enclosed in parentheses because they represent cash outflows. Thus,
positive numbers in Columns 3 and 4 will indicate that the project
produces a larger cash inflow (or smaller cash outflow) than the base
case.
(2) Step 2: Determination of after-tax cash flows relating to
capital assets. The applicant must compute the annual cash flows after
Federal income tax corresponding to each of the before-tax flows
recorded on each Form I and Form II in the previous step. If the
applicant expects to pay taxes in some years but not others, the
applicant will undoubtedly carry forward (or back) the tax losses and
credits from years in which no tax was paid, so as to take full
advantage of them. In that case, the applicant must estimate when such
tax benefits will actually be received, and include them in the cash
flow stream at the appropriate time. The appropriate tax rate for such
computations is the applicant's marginal tax rate. This is the rate
which would apply to one additional dollar of income earned by the
applicant. Normally, the marginal rate will be 48% for Federal taxes
except in years in which the applicant does not expect to pay taxes.
The average or effective tax rate (found by dividing a firm's actual tax
payments by its net income before taxes) is not appropriate for this
purpose. If the tax rate assumed is different from 48% or if the
computations assume the applicant will not pay taxes in certain years,
then those assumptions must be explained in the discussion of key
assumptions. The tax-related computations must be shown on the same
forms as were used to record the pre-tax cash flows. Additional working
papers should be submitted as necessary to clarify the computations.
The computations to be done on the two forms are as follows:
(i) On each Form I, the applicant must indicate in Column 2 the
depreciation schedule which it expects to use in reporting to the IRS.
In Column 3, the applicant must indicate how much its tax bill will be
reduced as a result of the depreciation shown in Column 2. (If the
applicant expects to pay taxes every year, Column 3 is simply 48% of
Column 2.) In Column 4, the applicant must indicate the tax reduction,
if any, it expects from investment tax credit. (The effect of the tax
credit must be computed using the flow through method, in which
investment credits are generally treated as reductions in income tax
expense of the year in which the credits are actually realized, rather
than being deferred and amortized over the productive life of the
acquired property). Column 5 is the net after-tax cash flow associated
with the investment.
(ii) On each Form II, the applicant must indicate in Column 2 the
increase (or decrease) in its Federal income tax payments resulting from
the difference between the sale price and the book value of assets to be
sold by reason of the project or base case. If an asset is released
without a sale or a corresponding write down of book value, Form II is
not used, but Form I is used to reflect continuing depreciation as
before the release. In Column 3, the applicant must record any
recapture of investment tax credit by the IRS. (Such recapture can only
occur when an asset is disposed of before it has been in service for
seven years.) Finally, Column 4 records the net cash flow in or out.
(3) Step 3: Determination of aggregate after-tax cash flow. The
applicant must determine the project's aggregate after-tax cash flow
using Form IV. This shall be done as follows:
(i) For each year, the corresponding after-tax cash flow (Column 5)
on the various Forms I on which the ''project'' box was checked are
summed, and the total entered into Column 1 of Form IV. Then the net
after-tax cash flows on the base case Forms I are summed and entered
into Column 2 of Form IV.
(ii) Similarly, the project and base case Forms II (Column 4) are
consolidated and entered into Columns 3 and 4, respectively, of Form IV.
(iii) The Forms III (Column 4) are consolidated into Column 5 of Form
IV. The corresponding cash flow after Federal income tax is recorded in
Column 6. If the applicant expects to pay taxes every year, Column 6 is
simply 52% of Column 5. If applicant expects to pay no taxes, the two
columns are identical. If applicant expects to pay taxes in some years
but not others, the applicant must incorporate the effects of carrying
losses forward (or back) into the estimated after-tax cash flow.
(iv) The aggregate net cash flow for the project relative to the base
case is then found and entered in Column 7 of Form IV.
(4) Step 4: Computation of the IRR. The applicant must determine
the discount rate for which the present value of the differential cash
flow stream is zero. That is, the applicant must find the value of r
which makes the expression
equal to zero. In the above expression, r is the discount rate
applied to future cash flows; i is an index denoting a particular year
of a project's life; n is the number of years in the project's life;
and ci is the differential cash flow in year i. Computer programs for
calculating the rate of return are widely available. If a program is
utilized, copies of the printout showing input and output data, and a
brief explanation of the program function must be included in the
application. If the applicant chooses not to use such a computer
program to find the IRR, the applicant may use Form V. If the IRR lies
off the graph, it is sufficient to report that the IRR is negative or
above 50%. If the nature of the cash flow stream is such that a unique
IRR cannot be found, the work done to develop the cash flow stream must
be submitted with a note that no IRR could be computed.
(c) Copies of all financial analyses which the applicant did on
rejected alternatives to the project, including changes in scale or
scope. The applicant need not do any such analyses beyond those already
done, nor need the format, assumptions, or procedures used in those
analyses be changed to conform to the requirements of these regulations.
(d) A reconcilation between the cash flows used in the IRR
computations and all forecasted data presented in the application, both
before (for the base case) and after (for the project) giving effect to
Federal assistance. This reconciliation must indicate what inflation
factor or factors were used in developing the forecasted financial
statements as compared to the constant dollar figures used in the IRR
computations. The reconciliation must also show how each of the
individual parts and subparts of the project relates to the applicant's
forecasted financial statements.
49 CFR 260.35 Pt. 260, App. A
49 CFR 260.35 Appendix A to Part 260 -- Selected Cash Flow Impacts
Railroad investments usually affect the investor's cash flow by
changing some of the following things:
Use of assets.
Contribution from traffic.
Labor requirements.
Locomotive requirements.
Requirements for cars, trailers, and containers.
Maintenance material consumption.
Energy consumption.
Accident rates and severity.
Expenditures needed to meet legal requirements.
Salvage value.
Installation and start up expenses.
While this list is not exhaustive it does identify the most common
cash flow impacts.
Some of the items listed, such as start up expenses, are almost
always costs of projects or base cases, rather than benefits. Others,
such as salvage value, are usually benefits. Most of the items,
however, may be either project or base case benefits or costs, depending
on the particular situation.
This appendix briefly discusses each of the eleven factors listed
above. The discussions include four parts: a list of the kinds of
actions which often involve the particular cash flow impact in question;
the physical units in which the impact is generally measured;
suggestions for converting the physical units to their monetary
equivalent; and notes on special characteristics or problems associated
with the particular cash flow impact.
Characteristic Actions: Assets are often released for sale or
altenative uses when they are replaced or made unnecessary by new
assets. Examples are pole line materials released when microwave is
installed; shop equipment released when similar new equipment is
acquired; rail replaced by rail in better condition; and land and
track materials released when yards, shops, and terminals are made
unnecessary by new facilities elsewhere. Some other types of actions,
such as line changes and the installation of centralized traffic
control, often permit some track segments to be abandoned, thereby
releasing track material for sale or other uses.
On the other hand, some actions involve the use of assets already
owned, thereby prohibiting their sale or use for other purposes.
Examples are car modifications and projects involving land and buildings
already owned.
Physical Units: Feet (or miles) of rail, number of ties, acres of
land, etc.
Monetary Value: The value of an asset released by an action depends
on what will be done with it. The value of an asset occupied by an
action, on the other hand, depends on what would have been done with it
in the absence of the action. Regardless of whether it is the action or
its alternative which makes the material available, one must first
carefully specify what is assumed to happen to the asset both with and
without the action, and identify the factors which change the cash flow
stream. Depending on the particular circumstances, any of the following
might be involved: Payment received from selling the asset; a
multi-year stream of income produced by the asset in some use; tax paid
on the sale of the asset; expenditure for dismantling and/or moving the
asset; recapture by the IRS of investment tax credit taken when the
asset was purchased (if it had been in use for less than seven years).
Also, if the owner of the asset sells or retires it, he would lose the
tax reductions he is receiving from depreciating the asset. It is the
use of the released asset which values it. Thus, a released asset such
as rail which, by cascading, results in the subsequent release of less
valuable rail, must be valued in its use and not as the value of
subsequently released assets.
In cases in which the asset is transferred to another use which
produces income over several years, the effect of releasing the asset
extends over several years, and must be expressed as a series of annual
cash flows, rather than a lump sum.
Special Features: A common error in project evaluations is to value
a used asset at its book value (i.e., purchase price less accumulated
depreciation). The book value may be far from the value of the asset on
the open market, especially in the case of rail released by track
abandonments and land released by the abandonment of facilities in urban
areas. The only way the book value of retired assets enters into the
cash flow stream is in determining the tax paid on the sale of the asset
(or the tax saving if the asset is discarded or sold for less than its
book value).
In calculating the tax paid on the sale of a released asset, the
ordinary tax rate (48%) should be used, except when the capital gains
rate applies.
It is sometimes difficult or impossible to estimate the contribution
to profit which a particular asset, such as second hand rail, will
produce in an alternative use. In such cases, it is better to do the
financial analysis on the assumption that the asset in question would be
sold at its fair market value (even though it would in fact be put to an
alternative use), rather than leaving the asset out of the computations
entirely.
Characteristic Actions: Actions which affect the availability and
attractiveness of the railroad to shippers. The action may involve
giving the shipper better access to the railroad (track extensions and
terminal improvements) or better service. Line consolidations, on the
other hand, may involve abandonments which deprive some shippers of
service, or may result in such degradations in service quality that some
shippers switch to other carriers. Faster service can result from more
power or improvements in track, yards, terminals, signals, and
communication. Another component of service quality, reduced loss and
damage to lading can be occasionally improved by eliminating accidents
(wayside warning devices), using specialized cars, and making
improvements to yard and terminal facilities. Service quality can also
be enhanced by purchases of additional freight cars and trailers, so as
to reduce the likelihood of car shortages. Another aspect of service
quality is reliability, which may be affected by improvements in yards,
terminals, and communications, as well as the elimination of accidents.
Still another component of service quality is the cost to the shipper of
packing and loading, which may be affected by investments in specialized
cars and terminal facilities.
Physical Units: Car-loads.
Monetary Value: The contribution to profit is found by subtracting
the variable cost of moving the traffic from the associated revenue.
The variable cost is best estimated by a careful study of the operations
and costs of the particular movements involved.
Such a study is not practical for certain traffic. In these cases
the best alternative may be to estimate the variable cost using system
averges, as is done in the Interstate Commerce Commission's Rail Form A,
Carload Cost Scales, and Rail Revenue Contribution studies. Where
appropriate, such system average costs should be adjusted to exclude
costs not involved in the particular movement, and to reflect the
current, not the historical, costs of assets to be purchased in the
future.
Special Features: The contribution from new traffic resulting from
an improvement is extremely important, but it is also one of the most
difficult of all project benefits to estimate. One major problem is
estimating the volume of traffic likely to result from a particular
improvement, especially if the improvement affects service quality. A
second serious problem is estimating the variable cost of particular
movements. (These estimates may be facilitated by a six-part FRA cost
study currently in progress.)
Characteristic Actions: Labor requirements are often reduced by
automation, facility consolidation, faster train running times,
reductions in switch engine requirements, better communications for
operations, and reductions in maintenance needs. On the other hand,
actions involving new or expanded yards, terminals, or shop facilities
may increase manpower requirements.
Physical Units: Man-hours, number of employees.
Monetary Value: The value of labor depends on the particular
situation. If the action results in a change in the number of employees
or in overtime hours, the wages and fringe benefits associated with that
change directly affect the railroad's cash flow. If an action changes
or eliminates work for employees without changing jobs or overtime, the
change will affect the railroad's cash flow if either:
The man-hours released or occupied by the change can be used on other
profitable tasks which would otherwise not be done, or which would be
accomplished by paying overtime or hiring more people; or
The action can be combined with one or more other actions, each of
which saves or requires a fraction of an employee, so that the set of
actions results in a change in the size of the work force.
In either case, the value of the man-hours released or consumed is
the cost of the associated wages and fringe benefits. On the other
hand, if the result of the action is simply to give existing employees
more (or less) free time on the job, no cash impacts can be attributed
to the change in the amount of work.
Special Features: There are several different kinds of labor which a
project might affect: road crews, yard crews, maintenance-of-way, shop,
inspection, clerical, and other.
Determining the wages and fringe benefits associated with a
particular man-hour is often not straightforward because of rules
governing employee compensation. The payment of some train crews on a
mileage rather than a time basis is an example.
Wage and fringe benefit savings resulting from the elimination of
jobs may be at least partially offset by costs incurred as a result of
labor protection agreements. Depending on the situation, these costs
may be lump-sum or recurring. Determination of employee protection
costs is complicated by the fact that the individual who holds a
position which is to be eliminated may not be the person who is actually
laid off as a result of the elimination. Rather, the person whose job
is actually eliminated may displace a person with less seniority holding
a similar job. That person may, in turn, displace another employee and
so on.
Characteristic Actions: Actions reducing train running time (track
upgrading, line changes, signal system improvements, etc.), or which
permit moving the same traffic with fewer trains (yard consolidations)
or with fewer terminal delays (yard and terminal improvements) can all
reduce the number of road engines needed. The number of switch engines
needed can be reduced by some types of yard and terminal improvements,
such as yard consolidations, track changes, and the installation of
weigh-in-motion scales. Actions which lead to increased traffic, such
as track extensions, may increase the need for both types of
locomotives.
Physical Units: Locomotive-years (or locomotive-hours or
locomotive-days). Note that one does not have to save 365
locomotive-days to save a locomotive-year, since locomotives are not
available for service 365 days per year because of maintenance work. If
a railroad's locomotives were available for service 78% of the time,
applicant would only have to save 285 locomotive-days to save a
locomotive-year.
Monetary Value: One way to estimate the value of a locomotive-year
is the following four-step process:
1. Estimate the after-tax cash flow stream resulting from owning a
locomotive. The components of this stream would be: The investment
expenditure; investment tax credit; tax savings from depreciation;
normal maintenance; overhauls; and salvage value. The cash flow
stream must be in constant dollars of the same base year as would be
used in the rest of the IRR computation.
2. Calculate the net present value of the cash flow stream, using the
yield on 180-day United States treasury bills as the discount rate.
3. Find a stream of equal annual outlays which produces the same net
present value as was found in Step 2. The anual outlay may be found by
multiplying the net present value by
where r is the yield in Step 2, and n is the number of equal annual
outlays.
4. Find the pre-tax equivalent of the after-tax annual payment found
in Step 3, by dividing the after-tax figure by one minus the railroad's
marginal tax rate. This is the pre-tax value of a locomotive year,
expressed in dollars of the base year chosen in Step 1.
The procedures set forth above for valuing estimated savings or costs
from locomotive requirements on a locomotive-year basis may be used only
where it is not practical to associate particular future locomotive
purchases with the project. Where practical, changes in locomotive
requirements (except for locomotives belonging to other railroads) must
be treated as capital investments that would have to be made in the base
case but not in the project or vice versa, with due recognition given to
those fixed charges associated with ownership of locomotives that would
be incurred if such locomotives were purchased. This also applies to
Requirements for Cars, Trailers, and Containers, which follows.
Increased locomotive productivity is somewhat analogous to increased
labor productivity (see Labor Requirements) in that it may not always
lead to significant cash savings. This is especially true with switch
engines, since a decrease in car movements may not reduce the number of
engines required if the number of locations which the switch fleet must
serve does not also change. On the other hand, reducing the number of
locations covered (by consolidating yards, for example) may decrease
switch engine requirements. As in the case of increased labor
productivity, increased locomotive productivity affects a railroad's
cash flow only if a locomotive can be sold (or a purchase avoided) or if
the locomotive is able to do other profitable work which would not be
done otherwise.
Special Features: The locomotive values computed using the procedure
above include maintenance and overhaul expense, but not fuel or other
labor expense. Therefore any concomitant change in fuel or labor
(except maintenance) should be estimated separately. Care should be
taken to exclude changes in locomotive maintenance costs from any other
estimates of charges in maintenance costs resulting from the investment
project.
Characteristic Actions: Actions which change train running time
(such as track upgrading, purchase of additional power, line changes and
signal improvements); actions which change the time cars spend in
yards, or permit bypassing yards altogether (yard improvements and
improved communication systems); actions which change the time cars are
out of service for maintenance (shop facilities, car modifications,
track upgrading); and actions which affect the turn-around time for
cars in terminals.
Physical Units: Car-days.
Monetary Value: The procedure for finding the value of a
locomotive-year or day is equally applicable to cars. (See Locomotive
Requirements).
Another acceptable approach is to use per diem costs (including
incentive per diem) since those charges approximate the cost of
ownership. Although incentive per diem is in addition to car ownership
costs, its inclusion in the car-day value is justified because it
reflects, to some degree, the fact that a railroad sometimes loses
business during short peaks in demand, because it is not immediately
able to buy or hire the cars necessary to take advantage of a particular
business opportunity.
Over the long run, however, a railroad need not continually lose
traffic, so long as it is willing to incur the cost of owning a
sufficient number of cars. Therefore, it is not appropriate to use the
investing railroad's average contribution per car-day to value improved
car utilization in IRR calculations. Given that per diem is a
satisfactory approximation to the cost of car ownership, there is no
need to distinguish between foreign car-days saved and investor car-days
saved by an action.
Special features: The valuation of improved car utilization is
complicated by the fact that some projects, such as improvements in
classification yards, may affect the entire car fleet, while other
projects may affect only certain kinds of cars. For example, it may be
that all the cars affected by a particular terminal improvement are
refrigerator cars. The car-day value to be used is therefore not
necessarily the same in all projects. Rather, it depends on the type of
cars involved.
Characteristic Actions: Since nearly all assets require maintenance,
almost any action involving the acquisition of new assets will lead to
expenditures for maintenance materials. On the other hand, actions
which involve taking assets out of service, such as replacements,
eliminate the need to maintain the retired assets. Improving track
conditions may decrease equipment maintenance, while decreasing traffic
volumes may decrease track maintenance needs.
Primary Units: List of materials involved (and quantities).
Monetary Value: The value of maintenance materials is the price of
those materials (plus freight in and labor added, if any). Where a
direct relationship exists between maintenance labor and materials, it
may be more convenient to first estimate man-hours and then compute
material costs in proportion to the man hours.
Special Features: The material costs (or savings) associated with
changes in maintenance may include work equipment, as well as the
materials consumed during maintenance.
Usually the best basis for predicting maintenance costs is the
maintenance history of similar assests in similar service.
Manufacturers can also sometimes provide projections of maintenance
expense. To the extent practical, care should be taken to specifically
reflect cyclical maintenance (overhauls) by assigning the maintenance
cost (or savings) to the years in which they will actually occur, rather
than normalizing, or smoothing out, the cash flow stream.
Assets which permit maintenance savings often involve maintenance
costs which partially offset those savings.
Characteristic Actions: Actions changing locomotive activity or
locomotive efficiency. Line changes and locomotive replacements may
reduce fuel consumption by road engines. Improvements in yards and
terminals, as well as locomotive replacements, may reduce the fuel
consumed by switch engines. Improvements in buildings and structures
can cut heating costs.
Physical Units: Gallons, kilowatt-hours, etc.
Monetary Value: Found by multiplying the fuel or electricity by the
current price per unit.
Special Features: Road engine energy consumption generally varies
with gross tonmiles and speed. Yard engines are frequently idling,
consuming energy, even when not in use. Thus, energy consumption may
vary with the number of switch engine crew shifts rather than the amount
of work done. Care should be taken not to count changes in locomotive
energy consumption twice, once as a change in locomotive requirements
and once as a change in energy consumption.
Characteristic Actions: Accidents may be reduced by wayside warning
detectors (hot box detectors, grade crossing protection, dragging
equipment detectors, etc.), lading protection devices, some specially
equipped cars, some yard and terminal improvements, and track upgrading.
Physical Units: Accidents (of several different types) per year.
Monetary Value: Only the monetary cost likely to be borne by the
railroad would be relevant to the IRR computation. This would include
damage to equipment, roadway and lading, and the cost of wreckage
removal as well as injury to people. The expected cost of an accident
varies drastically, depending on the particular situation.
Special Features: Accidents delay trains and yard and terminal
operations. Thus, actions which reduce accidents may also improve car
and locomotive productivity. Care should be exercised that such
benefits are counted only once.
Characteristic Actions: Actions permitting abandonment of old
facilities or equipment may reduce the need for such expenditures. New
facilities may make some such expenditures necessary.
Physical Units: List of actions, such as grade crossing protection,
water treatment facilities, or the installation of retention toilets,
which would be required to bring the facilities or equipment in question
up to legal standards.
Monetary Value: The total cost of the improvements including
engineering (except engineering work already done), capital expenditure,
maintenance, and operation. These expenditures should be offset by the
appropriate tax reductions (resulting from depreciation and investment
tax credit) which would result from those improvements.
Characteristic Actions: Acquisition of new assets or disposal of
existing assets.
Physical Units: List of the particular assets involved (such as
tamping machine, 500' of 112 rail, etc.)
Monetary Value: The cash flow resulting from disposing of the assets
or using them elsewhere. (See Use of Assets).
Special Features: The salvage value of most assets declines as the
asset ages. The value of land often remains roughly constant, as does
the value of materials in well maintained track. The salvage value of
assets which cannot be used for other purposes, such as a culvert, is
zero.
When salvage values are small relative to other benefits and costs,
and when they are heavily discounted (because they occur far in the
future), their impact on the IRR is likely to be negligible. In such
cases, the salvage value can be safely ignored.
Characteristic Actions: Most fixed facilities.
Physical Units: Man-hours, list of materials required.
Monetary Value: As noted in the discussion of labor requirements the
value of the labor depends on the particular situation. The value of
the materials would normally be their market price.
Special Features: Often all or part of the expenditures needed to
get a new asset in place and operating is capitalized. In such a case,
the capitalized portion of the expenditure should be included as part of
the investment cost, but not counted again as a start-up expense.
49 CFR 260.35 Pt. 260, App. B
dollars) TABLE/GRAPH OMITTED
Instructions
1. Col. 1 is brought from form IV col. 7
2. Cols. 2, 3, and 4 are found by multiplying col. 1 each time by
the indicated factor.
3. Plot totals of cols. 1, 2, 3, and 4 against discount rate used
(0, 10, 25, and 40 pct respectively). Applicant must indicate scale on
horizontal axis of chart and connect the points in a column (1-4)
sequence.
4. IRR is the discount rate corresponding to the point at which the
graphical presentation intersects the zero present value ordinate.''
INSERT ILLUS. 173A
49 CFR 260.35 -- PART 265 -- NONDISCRIMINATION IN FEDERALLY ASSISTED RAILROAD PROGRAMS
49 CFR 260.35 -- Subpart A -- General
Sec.
265.1 Purpose.
265.3 Applicability.
265.5 Definitions.
49 CFR 260.35 -- Subpart B -- Requirements
265.7 Nondiscrimination clauses.
265.9 Affirmative action program -- General.
265.11 Submission of affirmative action program.
265.13 Contents of affirmative action program.
265.14 Determining the MBE status of a business.
265.14-1 Appeals of determinations of MBE status.
265.15 Implementation and maintenance of affirmative action program.
265.17 Review of affirmative action program.
49 CFR 260.35 -- Subpart C -- Compliance
265.19 Compliance information.
265.21 Conduct of investigations.
265.23 Procedures for effecting compliance.
265.25 Other information.
Appendix A to Part 265
Authority: Sec. 905 of the Railroad Revitalization and Regulatory
Reform Act of 1976, Pub. L. 94-210, 90 Stat. 31; regulations of the
Office of the Secretary of Transportation, 49 CFR 1.49(u).
Source: 42 FR 4286, Jan. 24, 1977, unless otherwise noted.
49 CFR 260.35 -- Subpart A -- General
49 CFR 265.1 Purpose.
The purpose of this part is to effectuate the provisions of section
905 of the Railroad Revitalization and Regulatory Reform Act of 1976
(hereinafter referred to as the ''Act'') to ensure that no person in the
United States shall on the grounds of race, color, national origin, or
sex be excluded from participation in, or denied the benefits of, or be
subjected to discrimination under, any project, program or activity
funded in whole or in part through financial assistance under the Act,
or any provision of law amended by the Act. Nothing contained in these
regulations is intended to diminish or supersede the obligations made
applicable by either Title VI of the Civil Rights Act of 1964, (42
U.S.C. 2000d), or Executive Order No. 11246, (42 USC 2000e (note)).
Subsection (d) of section 905 of the Act authorizes the Secretary to
prescribe such regulations and take such actions as are necessary to
monitor, enforce, and affirmatively carry out the purposes of that
section. This authority coupled with the provisions of section 906 of
the Act, which requires the establishment of a Minority Resource Center
which is authorized to encourage, promote and assist in the
participation by MBE enterprises in the restructuring, improvement,
revitalization and maintenance of our Nation's railroads, provides the
basis for requirements for the development of affirmative action
programs by recipients of Federal financial assistance and certain of
their contractors to insure that minorities and MBEs are afforded ample
consideration with respect to employment and contractual opportunities
produced as a result of the implementation of the Act and other
provisions of law amended by the Act.
49 CFR 265.3 Applicability
This part applies to any project, program, or activity funded in
whole or in part through financial assistance provided under the Act,
and to any activity funded under any provision of the Regional Rail
Reorganization Act of 1973, as amended (45 U.S.C. 701 et seq.) or the
Rail Passenger Service Act, as amended (45 U.S.C. 501 et seq.) amended
by the Act including the financial assistance programs listed in
appendix A. It applies to contracts awarded to implement the Northeast
Corridor Project and to financial assistance programs administered by
the United States Railway Association.
49 CFR 265.5 Definitions.
As used in this part, unless the context indicates otherwise:
(a) Act means the Railroad Revitalization and Regulatory Reform Act
of 1976 (Pub. L. No. 94-210).
(b) Administrator means the Federal Railroad Administrator or his
delegate.
(c) Affirmative action program means the program described in 265.9
through 265.15 of this part.
(d) Agency means the Federal Railroad Administration.
(e) Applicant means persons applying for financial assistance under
any of the Rail Acts.
(f) Contractor means a prime contractor or a subcontractor who will
be paid in whole or in part directly or indirectly from financial
assistance provided under the Rail Acts.
(g) (Reserved)
(h) Includes means includes but not limited to.
(i) Minority means women, Blacks, Hispanic Americans, American
Indians, American Eskimos, American Orientals and American Aleuts.
(j) MBE means a business concern which is owned and controlled by a
minority. For the purpose of this part, 'owned and controlled' means a
business:
(1) Which is at least 51 per centum owned by one or more minority
individuals; or, in the case of a publicly owned business, at least 51
per centum of the stock of which is owned by one or more minority
individuals; and
(2) Whose management and daily operations are controlled by one or
more such individuals.
(k) MBE Resource Center means the Minority Resource Center
established in the Department of Transportation pursuant to section 906
of the Act.
(l) Rail Acts means the Railroad Revitalization and Regulatory Reform
Act of 1976, the Regional Rail Reorganization Act of 1973, as amended
(45 U.S.C. 701 et seq.) and the Rail Passenger Service Act, as amended
(45 U.S.C. 501 et seq.).
(m) Recipient means a person who receives financial assistance under
any of the Rail Acts except under section 602 of the Rail Passenger
Service Act, as amended (45 U.S.C. 501 et seq.).
(n) Underutilization means the condition of having fewer minority
employees in a particular job group or fewer awards of contracts to MBEs
than would reasonably be expected by their availability for such jobs or
awards.
(42 FR 4286, Jan. 24, 1977, as amended at 44 FR 36339, June 21, 1979)
49 CFR 265.5 Subpart B -- Requirements
49 CFR 265.7 Nondiscrimination clauses.
(a) Each agreement for financial assistance made under any provision
of the Rail Acts shall include, or in the case of agreements made prior
to the effective date of this part, shall be amended to include, the
following clauses:
(1) As a condition to receiving Federal financial assistance under
the Rail- road Revitalization and Regulatory Reform Act of 1976
(''Act''), or the provisions of the Regional Rail Reorganization Act of
1973, as amended (45 U.S.C. 701 et seq.), or the Rail Passenger Service
Act of 1970, as amended (45 U.S.C. 501 et seq.) amended by the Act
(collectively called, together with the Act, the ''Rail Acts''), the
recipient hereby agrees to observe and comply with the following:
(i) No person in the United States shall on the ground of race,
color, national origin or sex be excluded from participation in, or
denied the benefits of, or be subjected to discrimination under, any
project, program, or activity funded in whole or in part through such
assistance.
(2) The following specific discriminatory actions are prohibited:
(i) A recipient under any project, program or activity to which these
clauses apply shall not, directly or through contractual or other
arrangements, on the ground of race, color, national origin, or sex:
(A) Deny a person any service, financial aid, or other benefit
provided under such project, program or activity;
(B) Provide any service, financial aid, or other benefit to a person
which is different, or is provided in a different manner, from that
provided to others under such project, program or activity;
(C) Subject a person to segregation or separate treatment in any
matter related to his receipt of any service, financial aid or other
benefit under such project, program or activity;
(D) Restrict a person in any way in the enjoyment of any advantage or
privilege enjoyed by others receiving any service, financial aid or
other benefit under such project, program or activity; or
(E) Deny a person an opportunity to participate in such project,
program or activity through the provision of services or otherwise or
afford him an opportunity to do so which is different from that afforded
others under such project, program or activity.
(ii) A recipient, in determining the types of services, financial
aid, or other benefits, or facilities which will be provided under any
such project, program or activity or the class of persons to whom, or
the situations in which such services, financial aid, other benefits, or
facilities will be provided under any such project, program or activity,
or the class of persons to be afforded an opportunity to participate in
any such project, program or activity shall not, directly or through
contractual or other arrangements, utilize criteria or methods of
administration which have the effect of subjecting persons to
discrimination because of their race, color, national origin, or sex, or
have the effect of defeating or substantially impairing accomplishment
of the objectives of the project, program or activity, with respect to
individuals of a particular race, color, national origin or sex.
(iii) In determining the site or location of facilities, a recipient
shall not make selections with the purpose or effect of excluding
persons from, de- nying them the benefits of, or subjecting them to
discrimination under any project, program or activity to which these
clauses apply on the grounds of race, color, national origin or sex, or
with the purpose or effect of defeating or substantially impairing the
accomplishment of the objectives of these clauses.
(iv) The recipient shall not discriminate against any employee or
applicant for employment because of race, color, national origin or sex.
Except as otherwise required by the regulations or orders of the
Administrator, the recipient shall take affirmative action to insure
that applicants for employment are employed, and that employees are
treated during employment, without regard to their race, color, national
origin or sex. Such action shall include but not be limited to the
following: Employment, promotion, demotion, transfer, recruitment or
recruitment advertising, layoff or termination, rates of pay or other
forms of compensation, and selection for training, including
apprenticeship. The recipient agrees to post in conspicuous places,
available to employees and applicants for employment, notices to be
provided by the agency's representative setting forth the provisions of
these nondiscrimination clauses. The recipient understands and agrees
that it shall not be an excuse for the recipient's failure to provide
affirmative action that the labor organizations with which the recipient
has a collective bargaining agreement failed or refused to admit or
qualify minorities for admission to the union, or that the provisions of
such agreements otherwise prevent recipient from implementing its
affirmative action program.
(v) The recipient shall not discriminate against any business
organization in the award of any contract because of race, color,
national origin or sex of its employees, managers or owners. Except as
otherwise required by the regulations or orders of the Administrator,
the recipient shall take affirmative action to insure that business
organizations are permitted to compete and are considered for awards of
contracts without regard to race, color, national origin or sex.
(3) As used in these clauses, the services, financial aid, or other
benefits provided under a project, program, or activity receiving
financial assistance under the Rail Acts include any service, financial
aid, or other benefit provided in or through a facility funded through
financial assistance provided under the Rail Acts.
(4) The enumeration of specific forms of prohibited discrimination
does not limit the generality of the prohibition in paragraph (a)(1)(i)
of this section.
(5) These clauses do not prohibit the consideration of race, color,
national origin or sex if the purpose and effect are to remove or
overcome the consequences of practices or impediments which have
restricted the availability of, or participation in, recipient's
operations or activities on the grounds of race, color, national origin
or sex. Where prior discriminatory or other practice or usage tends, on
the grounds of race, color, national origin or sex, to exclude
individuals or businesses from participation in, to deny them the
benefits of, or to subject them to discrimination under any project,
program or activity to which these clauses apply, the recipient must
take affirmative action to remove or overcome the effects of the prior
discriminatory practice or usage. Even in the absence of prior
discriminatory practice or usage to which this part applies, the
recipient is expected to take affirmative action to insure that no
person is excluded from participation in or denied the benefits of the
project, program or activity on the grounds of race, color, national
origin or sex, and that minorities and MBEs are afforded a reasonable
opportunity to participate in employment and procurement opportunities
that will result from financial assistance provided under the Rail Acts.
(6) The recipient agrees to take such actions as are necessary to
monitor its activities and those of its contractors who will be paid in
whole or in part with funds provided by the Rail Acts, or from
obligations guaranteed by the Administrator pursuant to the Rail Acts,
except obligations guaranteed under section 602 of the Rail Passenger
Service Act, in order to carry out affirmatively the purposes of
paragraph (a)(1) of this section, and to implement the affirmative
action program developed and implemented pursuant to 49 CFR part 265.
(7) The recipient shall, in all advertisements for employees, or
solicitations for services or materials from business organizations
placed by or on behalf of the recipient, in connection with any project,
program or activity funded in whole or in part with financial assistance
under the Rail Acts, state that all applicants for employment will
receive consideration for employment, and all business organizations
will receive consideration for an award of a contract, without regard to
race, color, national origin or sex.
(8) The recipient shall send to each labor organization or
representative of workers with which it has a collective bargaining
agreement or other contract or understanding a notice to be provided by
the agency's representative, advising the labor organization or workers'
representative of the recipient's commitments under section 905 of the
Act, and shall post copies of the notice in conspicuous places available
to employees and applicants for employment.
(9) The recipient shall comply with all provisions of section 905 of
the Act, the Civil Rights Act of 1964, any other Federal civil rights
act, and with the rules, regulations, and orders issued under such acts.
(10) The recipient shall furnish all information and reports required
by the rules, regulations, and orders of the Administrator, and will
permit access to its books, records, and accounts by the Administrator
for purposes of investigation to ascertain compliance with rules,
regulations, and orders referred to in paragraph (a)(9) of this section.
(11) Recipient shall furnish such relevant procurement information,
not included in its affirmative action program as may be requested by
the MBE Resource Center. Upon the request of the recipient, the Center
shall keep such information confidential to the extent necessary to
protect commercial or financial information or trade secrets to the
extent permitted by law.
(12) In the event of the recipient's noncompliance with the
nondiscrimination clauses of this agreement, or with the provisions of
section 905 of the Act, the Civil Rights Act of 1964, or with any other
Federal civil rights act, or with any rules, regulations, or orders
issued under such acts, this contract will, after notice of such
noncompliance, and after affording a reasonable opportunity for
compliance, be canceled, terminated, or suspended in whole or in part
and the recipient may be declared ineligible for further Federal
financial assistance in accordance with procedures authorized in section
905 of the Act, or as otherwise provided by law.
(13) The recipient shall not enter into any contract or contract
modification whether for the furnishing of supplies or services or for
the use of real or personal property, including lease arrangements, or
for construction, in connection with a project, program or activity
which receives financial assistance under the Rail Acts with a
contractor debarred from or who has not demonstrated eligibility for
Federal or federally assisted contracts, and will carry out such
sanctions and penalties for violation of this part as may be imposed
upon contractors and subcontractors by the Administrator or any other
authorized Federal official. The recipient shall insure that the
clauses required by 41 CFR 60-1.46 implementing Executive Order 11246
will be placed in each non-exempt federally assisted construction
contract.
(14) The recipient agrees to comply with and implement the written
affirmative action program as approved by the Administrator pursuant to
265.17 of title 49 CFR.
(15) The recipient agrees to notify the Administrator promptly of any
law suit or complaint filed against the recipient alleging
discrimination on the basis of race, color, national origin or sex.
(16) The recipient shall include the preceding provisions of
paragraphs (a) (1) through (15) of this section in every contract or
purchase order, whether for the furnishing of supplies or services or
for the use of real or personal property, including lease arrangements,
or for construction relating to projects, programs or activities
financed in whole or in part under the Rail Acts. The recipient shall
cause each such contractor or vendor to include the provisions of
paragraphs (a) (1) through (15) of this section in every subcontract.
The recipient will take such action with respect to any such contract or
purchase order as the Administrator may direct as a means of enforcing
such provisions including sanctions for noncompliance; provided,
however, that in the event the recipient becomes involved in, or is
threatened with, litigation with a contractor or vendor as a result of
such direction by the Administrator, the recipient may request the
United States to enter into such litigation.
49 CFR 265.9 Affirmative action program -- General.
Recipients of financial assistance under the Rail Acts and their
contractors, as specified herein, shall develop and maintain an
affirmative action program to insure that persons and businesses are not
discriminated against because of race, color, national origin or sex in
programs, projects and activities financed in whole or in part through
financial assistance provided under the Rail Acts, and that minorities
and MBEs receive a fair proportion of employment and contractual
opportunities which will result from such programs, projects and
activities.
49 CFR 265.11 Submission of affirmative action program.
(a) Each application for financial assistance under any of the Rail
Acts shall, as a condition to its approval and the extension of any
financial assistance pursuant to the application, contain or be
accompanied by two copies of a written affirmative action program for
review by and approval of the Administrator. Recipients that have
already entered into an agreement or other arrangement providing for
such assistance shall, within 60 days after the effective date of this
part, develop and submit to the Administrator two copies of a written
affirmative action program for review by and approval of the
Administrator and thereafter maintain such program.
(b)(1) Beginning 30 days after the effective date of this part, and
until 120 days after such date, each recipient shall require any
contractor, as a condition to an award of a contract, for $50,000 or
more for services or products on a project receiving federal financial
assistance under a program covered by section 905 of the Act:
(i) To furnish to the recipient a written assurance that it will,
within 90 days after the date of the award, develop and maintain a
written affirmative action program meeting the requirements of this part
for the project, program or activity covered by the contract,
(ii) To require each of its subcontractors receiving an award of a
subcontract for $50,000 or more within 120 days after the effective date
of this part, to furnish to the contractor as a condition to such an
award the written assurance described in paragraph (b)(1)(i) of this
section.
(2) Beginning 120 days after the effective date of this part, each
recipient shall require as a condition to the award of a contract or
subcontract of $50,000 or more that the contractor or subcontractor
furnish a certificate to the recipient or contractor as appropriate that
a written affirmative action program meeting the requirements of this
part has been developed and is being maintained.
(3) Notwithstanding paragraphs (b) (1) and (2) of this section, each
contractor or subcontractor having a contract or $50,000 or more but
less than 50 employees shall be required to develop and maintain a
written affirmative action program only for contracts in accordance with
265.13(c) of this part.
(4) A recipient or contractor shall not procure supplies or services
in less than usual quantities or in a manner which is intended to have
the effect of avoiding the applicability of this paragraph.
49 CFR 265.13 Contents of affirmative action program.
(a) General. A prerequisite to the development of a satisfactory
affirmative action program is the identification and analysis of problem
areas inherent in minority employment and utilization of MBEs, and an
evaluation of opportunities for utilization of minority group personnel
and MBEs. Therefore, an affirmative action program to guarantee
employment and contractual opportunities shall provide for specific
actions keyed to the problems and needs of minority persons and MBEs
including, where there are deficiencies based on past practices, and
with respect to future plans for hiring and promoting employees or
awarding contracts, the development of specific goals and timetables for
the prompt achievement and maintenance of full opportunities for
minority persons and MBEs with respect to programs, projects and
activities subject to this part.
(b) Employment practices. (1) The affirmative action program for
employment showing the level of utilization of minority employees, and
establishing a plan to insure representative opportunities for
employment for minority persons shall be developed in accordance with
the regulations of the Department of Labor at 41 CFR 60-2.
(2) Railroad applicants or recipients shall develop their program for
each establishment in their organization and by job categories in
accordance with the requirements of the Joint Reporting Committee of the
Equal Employment Opportunity Commission and the Department of Labor.
Other applicants, recipients or contractors may use any program format
or organization which has been approved for use by other Federal
agencies enforcing equal opportunity laws.
(3) The affirmative action program shall show the source of
statistical data used.
(4) The affirmative action program shall include a listing by job
category of all jobs which may be established or filled by the
applicant, recipient or contractor as a result of the project, program
or activity funded by federal financial assistance under the Rail Acts
for the first five years of such project, program or activity or the
period during which such project, program or activity will be
undertaken, whichever is the lesser (''program period'').
(5) The affirmative action program shall set forth in detail a plan
to insure that with respect to the project, program or activity financed
in whole or in part through financial assistance under the Rail Acts,
minority persons have an opportunity to participate in employment in
proportion to the percentage of the minority work force in the area
where the applicant's, recipient's or contractor's operations are
located as compared to the total work force, and that such minority
persons have an equal opportunity for promotion or upgrading. Where
appropriate because of prior underutilization of minority employees, the
program shall establish specific goals and timetables to utilize
minority employees in such projects, programs or activities in the
above-mentioned proportion.
(c) Contracts. (1) The affirmative action program shall include
details of proposed contracts in excess of $10,000 to be awarded in
connection with projects, programs and activities funded in whole or in
part through financial assistance under the Rail Acts, including
contracts for professional and financial services, for the program
period. The details shall include a description of the services or
products which will be sought including estimated quantities, the
location where the services are to be provided, the manner in which
proposals will be solicited (e.g., cost plus fixed fee, fixed price),
the manner in which contracts will be awarded (e.g., competitive or sole
source). The plan shall also give details as to bidding procedures, and
information as to other qualifications for doing business with the
applicant, recipient or contractor. Upon request by the applicant,
recipient or contractor, any information submitted to the Administrator
shall be kept confidential to the extent permitted by law.
(2) The affirmative action program shall review the procurement
practices of the applicant, recipient or contractor for the full year
preceding the date of the submission of the affirmative action program
and evaluate the utilization of MBE in its procurement activities. Such
evaluation of utilization of MBEs shall include the following:
(i) An analysis of awards of contracts to MBEs during such year
describing the nature of goods and services purchased and the dollar
amount involved; and
(ii) A comparison of the percentage of awards of contracts to MBEs
(by number of contracts and by total dollar amount involved) to the
total procurement activity of the applicant, recipient or contractor for
said year.
(3) The affirmative action program shall set forth in detail
applicant's, recipient's or contractor's plan to insure that MBEs are
afforded a fair and representative opportunity to do business with
applicant, recipient or contractor (both in terms of number of contracts
and dollar amount involved) for the program period. Such plan shall
identify specific actions to be taken to:
(i) Designate a liaison officer who will administer the MBE program;
(ii) Provide for adequate and timely consideration of the
availability and potential of MBEs in all procurement decisions;
(iii) Assure that MBEs will have an equitable opportunity to compete
for contracts, by arranging solicitation time for the preparation of
bids, quantities, specifications, and delivery schedules so as to
facilitate the participation of MBEs and by assisting MBEs who are
potential contractors in preparing bid materials and in obtaining and
maintaining suitable bonding coverage in those instances where bonds are
required;
(iv) Maintain records showing that the policies set forth in this
part are being complied with;
(v) Submit quarterly reports of the records referred to in paragraph
(c)(3)(iv) of this section in such form and manner as the Administrator
may prescribe; and
(vi) Where appropriate because of prior underutilization of MBEs,
establish specific goals and timetables to utilize MBEs in the
performance of contracts awarded.
(d) Successor organizations. Where applicant, recipient or
contractor is a successor organization, its affirmative action program
shall review the hiring and procurement practices of its predecessor
organization or organizations.
49 CFR 265.14 Determining the MBE status of a business.
FRA or a recipient may, on the basis of available information,
determine that a business is not an MBE within the meaning of this part.
This determination shall be final, except as provided in 265.14-1, for
that contract and other contracts being let by that contracting agency
at the time of the determination. Businesses may correct deficiencies
in their ownership and control and apply as MBEs only for future
contracts.
(44 FR 36339, June 21, 1979)
49 CFR 265.14-1 Appeals of determination of MBE status.
(a) Filing. Any firm who believes that it has been wrongly
determined not to be an MBE under 265.14 by the FRA or a recipient may
file an appeal in writing with the Administrator. The appeal shall be
filed no later than 30 days after the date of the determination. The
Administrator may extend the time for filing or waive the time limit in
the interest of justice, specifying in writing the reasons for so doing.
Third parties who have reason to believe that a business has been
wrongly denied or granted status as an MBE may advise the Administrator.
This information is not considered an appeal pursuant to this section.
(b) Decision to investigate. The Administrator ensures that a prompt
investigation is made of those cases with investigative merit (except
those being reviewed on the merits by the Comptroller General), pursuant
to prescribed DOT Title VI (49 CFR part 21) investigation procedures.
(c) Status during the investigation. The Administrator may deny the
business in question eligibility to participate as an MBE in direct or
FRA-assisted contracts let during the pendancy of the investigation,
after providing the business in question an opportunity to show cause by
written statement to the Administrator why this should not occur.
(d) Cooperation in investigation. All parties shall cooperate fully
with the investigation. Failure or refusal to furnish relevant
information or other failure to cooperate is a violation of this part.
(e) Determinations. The Administrator will make one of the following
determinations and so inform the business in writing of the reasons for
the determination:
(1) The business is considered to be an MBE within the meaning of
this part; or
(2) The business is not considered to be an MBE within the meaning of
this part and is denied eligibility to participate as an MBE in any
direct or FRA-assisted contract until a further determination is made by
FRA that the business is an MBE within the meaning of this part.
(44 FR 36339, June 21, 1979)
49 CFR 265.15 Implementation and maintenance of affirmative action
program.
The affirmative action program with respect to employment and
procurement practices shall set forth in detail applicant's recipient's
or contractor's program to implement and maintain its recommended action
program to insure that persons and businesses are not discriminated
against because of race, color, national origin or sex, and that
minorities and MBEs have equal employment and contractual opportunities
with applicant, recipient or contractor. In developing its maintenance
program for employment, applicants, recipients and contractors shall
follow the applicable regulations of the Department of Labor
implementing Executive Order 11246 at 41 CFR 60-2, subpart C, which
provisions may also be helpful in implementing and maintaining
applicant's recipient's or contractor's procurement program.
49 CFR 265.17 Review of affirmative action program.
(a) Except as provided for contractors and subcontractors in
265.11(b), each affirmative action program to be acceptable must have
the written approval of the Administrator.
(b) The Administrator recognizes that there may be some exceptional
situations where the requirements of 265.13 through 265.15 may not
fulfill the affirmative action objectives sought or that those
objectives may be better achieved through modified or different
requirements. Accordingly, the applicant, recipient or contractor may
request approval for modified or different requirements that embody the
objectives of 265.13 through 265.15. Such a request must include
detailed showings that the particular situation is exceptional and that
the modified or different proposals substantially comply with the
objectives of this part. If the Administrator determines that the
requirements for a detailed justification have been met, he may waive or
modify these requirements or impose different requirements as he deems
necessary to further the objectives sought herein.
49 CFR 265.17 Subpart C -- Compliance
49 CFR 265.19 Compliance information.
(a) Each recipient and contractor shall keep such records and submit
to the Administrator complete and accurate reports, at such times, and
in such form, and containing such information as the Administrator may
determine to be necessary to enable him to ascertain whether the
recipient or contractor has complied or is complying with this part.
These records shall show in connection with the project, program or
activity funded in whole or in part through financial assistance under
the Rail Acts:
(1) Procedures which have been adopted to comply with the policies
set forth in this part, including the establishment of a source list of
MBEs;
(2) Specific efforts to identify and award contracts to MBEs; and
(3) Awards to MBEs on the source list required in paragraph (a)(1) of
this section.
(b) Each recipient and contractor shall permit access by the
Administrator during normal business hours to such of its books,
records, accounts and other sources of information and its facilities as
may in the opinion of the Administrator be necessary to ascertain
compliance with this part.
(c) Each recipient and contractor shall make available to
participants, beneficiaries and other interested persons, such
information regarding the provisions of this part and the applicability
to the program, project or activity under which the recipient received
financial assistance from the Rail Acts or under which the contractor is
awarded a contract and make such information available to them in such
manner as the Administrator finds necessary to apprise such persons of
the protections against discrimination assured them by the Act and this
part.
49 CFR 265.21 Conduct of investigations.
(a) The Administrator shall from time to time review the practices of
recipients and contractors to determine whether they are complying with
this part. The Administrator shall to the fullest extent practicable
seek the cooperation of recipients and contractors in obtaining
compliance with this part and shall provide assistance and guidance to
recipients and contractors to help them comply voluntarily with this
part. As required by 265.7(a)(6) of this part recipients and
contractors shall from time to time review the practices of their
contractors and subcontractors to determine whether they are complying
with this part.
(b) Any person who believes himself or herself or any other person to
be subjected to discrimination prohibited by this part, may file with
the Administrator a written complaint. A complaint must be filed not
later than sixty (60) days after the date complainant discovers the
alleged discrimination, unless the time for filing is extended by the
Administrator.
(c) The Administrator will make a prompt investigation in cases where
a compliance review, report, complaint or other information indicates a
possible failure to comply with this part.
(d)(1) If an investigation pursuant to paragraph (c) of this section
indicates a failure to comply with this part, the Administrator shall
within ten (10) days after such determination so inform the recipient or
contractor in writing of the specific grounds for alleging noncompliance
and the matter shall be resolved by informal means whenever possible.
The notice shall provide that, if it has been determined that the matter
is not resolved by informal means within thirty (30) days after the
delivery of the notice, action will be taken as provided for in 265.23.
(2) If an investigation does not warrant action pursuant to paragraph
(d)(1) of this section, the Administrator shall within ten (10) days
after such determination so inform the recipient, or contractor and the
complainant, if any, in writing.
(e) No recipient, contractor or other person shall intimidate,
threaten, coerce or discriminate against any individual for the purpose
of interfering with any right or privilege secured by section 905 of the
Act or this part, or because he or she made a complaint, testified,
assisted or participated in any manner in an investigation, proceeding
or hearing under this part. The identity of complainants shall be kept
confidential at their election during the conduct of any investigation,
proceeding or hearing under this part. But when such confidentiality is
likely to hinder the investigation the complainant will be advised for
the purpose of waiving the privilege.
49 CFR 265.23 Procedures for effecting compliance.
(a) Whenever the Administrator determines that any recipient, or
contractor has failed to comply with the provisions of this part, or
with any Federal civil rights statute, or with any order or regulation
issued under such a statute, and such failure has not been resolved by
informal means pursuant to 265.21 of this part, the Administrator shall
within ten (10) days after such determination notify such recipient or
contractor, and the appropriate labor organization if the matter may
appear to affect a person who is covered by a collective bargaining
agreement, in writing of the specific grounds for alleging
noncompliance, and the right of such persons to respond to such
determination in writing or to request an informal hearing. Where the
Administrator determines that substantial noncompliance exists and it is
unlikely that compliance will be obtained, or that lack of good faith
exists, or that other good cause exists, he may order that further
financial assistance be suspended in whole or in part pending a final
decision in the matter. Subject to the provisions of paragraphs (b)
through (e) of this section, the recipient or contractor shall have
sixty (60) days from the date of delivery of the notice within which to
comply. The recipient or contractor may be entitled to additional time
if it is demonstrated that compliance is not possible within the sixty
day period and that the necessary initial curative actions were
undertaken promptly and have been diligently prosecuted toward
completion. The Administrator shall specify the last day upon which
curative action must be completed to his satisfaction. Unless the
Administrator determines that compliance cannot be reasonably attained,
failure to take curative action shall be grounds for the Administrator
to:
(1) Direct that no further Federal financial assistance be provided
to the recipient;
(2) Refer the matter to the Attorney General with a recommendation
that an appropriate civil action be instituted;
(3) Exercise the powers and functions provided by title VI of the
Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.); or
(4) Take such other actions as may be provided by law or this part.
(b) Persons receiving notification and a directive pursuant to
paragraph (a) of this section may within thirty (30) days after receipt
respond to the notice in writing in lieu of requesting an informal
hearing as specified in paragraph (c) of this section. The
Administrator will make a determination as to compliance within thirty
(30) days after receipt of such written response, and advise the person
in writing of his determination. If the Administrator determines that
compliance is reasonably attainable and that such person has failed to
comply with the provisions of this part or with his determination within
30 days after receipt of his determination, the Administrator shall
pursue the remedies set forth in the last sentence of paragraph (a) of
this section.
(c) Persons receiving notification and a directive pursuant to
paragraph (a) of this section may within ten (10) days after receipt
request an informal hearing in lieu of filing a written response as
specified in paragraph (b) of this section. The Administrator may, in
his discretion, grant a request for an informal hearing for the purpose
of inquiring into the status of compliance of such person. The
Administrator will advise persons subject to his directive in writing as
to the time and place of the informal hearings and may direct such
persons to bring specific documents and records, or furnish other
relevant information concerning their compliance status. When so
requested, such person shall attend and bring the requested information.
The time and place so fixed shall be reasonable and shall be subject to
change for cause. The complainant, if any, shall be advised of the time
and place of the hearing. The failure of such person to request a
hearing or to appear at a hearing for which a date has been set shall be
deemed to be a consent to the applicability of the procedures set forth
in paragraph (a) of this section.
(d) The hearing shall be conducted by a hearing officer appointed by
the Administrator. Such hearings shall commence within twenty (20) days
from the date the hearing is granted and shall be concluded no later
than thirty (30) days from the commencement date. Parties to informal
hearings may be represented by counsel or other authorized
representative and shall have a fair opportunity to present any relevant
material. Formal rules of evidence will not apply to such proceedings.
(e) Decisions and notices. (1) Within ten (10) days after the
conclusion of such hearings, the hearing officer will advise the
Administrator, in writing, of his views and recommendations as to
compliance with this part and a copy of such decision shall be sent by
registered mail, return receipt requested, to the recipient or
contractor and participating labor organization. If the hearing officer
in his decision determines that the recipient or contractor is in
noncompliance with this part, he may, if he determines that it is
unlikely that compliance will be obtained, or that a lack of good faith
exists, or for other good cause, order that further financial assistance
be suspended in whole or in part, pending a decision by the
Administrator in the matter.
(2) The recipient, contractor or labor organization may file
exceptions to the hearing officer's decision, with his reasons therefor,
with the Administrator within thirty (30) days of receipt of the initial
decision. Within twenty (20) days, after the time for filing
exceptions, the Administrator shall determine, in writing, whether or
not the parties involved are in compliance with this part. A copy of
the Administrator's decision will be given to the recipient, contractor,
labor organization, if appropriate, and to the complainant, if any.
(3) If the Administrator determines that compliance can reasonably be
attained, his decision shall provide that if such person fails or
refuses to comply with the decision of the Administrator within thirty
(30) days after receipt of the decision, the Administrator shall:
(i) Direct that no further Federal assistance be provided to such a
person;
(ii) Refer the matter to the Attorney General with a recommendation
that an appropriate civil action be instituted;
(iii) Exercise the powers and functions provided by title VI of the
Civil Rights Act of 1964; and/or
(iv) Take such other actions as may be provided by law or this part.
(4) A recipient or contractor adversely affected by a decision of the
Administrator issued under paragraph (a) or (b) of this section shall be
restored to full eligibility to receive Federal assistance or award of a
federally assisted contract if the recipient or contractor takes
complete curative action to eliminate the noncompliance with this part
and if the recipient or contractor provides reasonable assurance that
the recipient or contractor will fully comply with this part.
49 CFR 265.25 Other information.
(a) Each person required to submit a written affirmative action
program pursuant to this part shall include as an appendix thereto, the
following information except to the extent such information is already
provided as part of the application for financial assistance;
(1) A brief description of other pending applications to other
federal agencies for financial assistance, and of federal assistance
being provided at the time of submission of the affirmative action
program;
(2) A statement of any civil rights compliance reviews regarding
applicant or recipient conducted in the two year period before the
application, or affirmative action program; the name of the agency or
organization performing the review, and the findings of the review;
(3) Where the project, program or activity receiving financial
assistance will require the relocation of persons and businesses, a
description of the requirements and steps used or proposed to guard
against unnecessary impact on persons on the basis of race, color, or
national origin;
(4) Where the project, program or activity receiving financial
assistance will result in the construction of new facilities or
expansion of existing facilities, a description of the requirements and
steps used or proposed to guard against unnecessary impact on persons on
the basis of race, color or national origin;
(5) Where paragraphs (a) (3) and (4) of this section are applicable,
additional data such as demographic maps, racial composition of affected
neighborhoods, or census data should be provided where necessary or
appropriate to evaluate the impact of projects, programs and activities
referred to in paragraphs (a) (3) and (4) of this section.
49 CFR 265.25 Pt. 265, App. A
49 CFR 265.25 Appendix A to Part 350
The following are the financial assistance programs to which this
part applies:
(a) Railroad Revitalization and Regulatory Reform Act of 1976, (1)
purchase of redeemable preference shares or trustee certificates
pursuant to section 505;
(2) Guarantee of obligations, the proceeds of which will be used to
acquire, or rehabilitate or improve rail facilities, or equipment,
pursuant to section 511; and
(3) Grants and contracts made to implement the Northeast Corridor
project under section 704.
(b) Regional Rail Reorganization Act of 1973, as amended, (1) loans
made by the United States Railway Association (USRA) pursuant to section
211;
(2) Purchase of securities of the Consolidated Rail Corporation
pursuant to section 216; and
(3) Grants to States, or local or regional authorities for rail
continuation assistance under section 402.
(c) Department of Transportation Act, (1) grants to States for rail
freight assistance programs under section 5 (sec. 803 of the Railroad
Revitalization and Regulatory Reform Act of 1976); and
(2) Grants under section 4(i) for the planning, preservation and
conversion of rail passenger terminals of historical or architectural
significance.
(d) Rail Passenger Service Act, (1) grants to Amtrak under section
601.
49 CFR 265.25 PART 266 -- ASSISTANCE TO STATES FOR LOCAL RAIL SERVICE
UNDER SECTION 5 OF THE DEPARTMENT OF TRANSPORTATION ACT
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.
49 CFR 266.1 Definitions.
As used in this part:
Acquisition assistance means funds granted to a State under section
5(f)(2) of the Department of Transportation Act (49 U.S.C. 1654(f)(2))
to cover the cost of acquiring by purchase, lease, or in such other
manner as the State considers appropriate, a line of railroad or other
rail properties, or any interest therein for existing or future rail
freight service.
Act means the Department of Transportation Act (49 U.S.C. 1650 et
seq.).
Administrator means the Administrator of the Federal Railroad
Administration or the Administrator's delegate.
Cash means an outlay of funds.
Commission means the Interstate Commerce Commission or any successor
Federal agency to the relevant activity.
Common carrier means a person providing railroad transportation for
compensation who is subject to the jurisdiction of the Commission under
subchapter I of chapter 105 of title 49 of the U.S.C.
Designated State Agency means the State agency designated under
section 5(j)(2) of the Act (49 U.S.C. 1654(j)(2)).
Entitlement means the amount of assistance which a State is eligible
to receive annually under section 5(h) of the Act (49 U.S.C. 1654(h)).
Equipment means rolling stock of the kind generally used by American
railroads in revenue freight service.
Facilities means track, ties, roadbed and related structures
including terminals, team tracks and appurtenances, bridges and tunnels,
and other structures used or usable for rail service operations.
FRA means the Federal Railroad Administration.
Federal Share means the contribution by the Administrator under
section 5(g) of the Act (49 U.S.C. 1654(g)) to a State's rail service
assistance program.
Final System Plan means the plan approved by the Congress under
section 208 of the Regional Rail Reorganization Act of 1973 (45 U.S.C.
718).
Gross ton miles per mile means the combined weight of locomotives and
all trailing cars and their contents used in revenue freight trains
multiplied by the number of route miles traveled and divided by the
number of route miles of the line.
Line means a line of railroad.
Maintenance means inspection and light repairs, emergency repairs and
a planned program of periodic maintenance which is necessary to keep a
line at its existing condition or to comply with FRA Class 1 Safety
Standards.
Planning assistance means funds granted to a State under section 5(i)
of the Act (49 U.S.C. 1654(i)) to meet the cost of establishing
(including developing a planning application), implementing, revising,
and updating the State Rail Plan required by section 5(j) of the Act (49
U.S.C. 1654(j)).
Planning Work Program means that portion of a State's planning
application which outlines the State's plan for establishing,
implementing, revising, or updating a State Rail Plan which meets the
requirements of section 5(i) of the Act, (49 U.S.C. 1654(i)).
Program operation assistance means funds granted to a State to cover
those administrative costs allowable under Federal Management Circular
74-4.
Rail Act means the Regional Rail Reorganization Act of 1973 (45
U.S.C. 701 et seq.).
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.
49 CFR 266.3 Rail Service Assistance Program.
(a) Scope of the program. The Rail Service Assistance Program
includes:
(1) Rail service continuation assistance;
(2) Acquisition assistance;
(3) Rehabilitation or improvement assistance;
(4) Substitute service assistance;
(5) Rail facility construction assistance;
(6) Planning assistance; and
(7) Program operations assistance.
(b) Special limitations on planning assistance and program operation
assistance. (1) A State is eligible to receive up to $100,000, or 5
percent of its entitlement, whichever is greater, as planning
assistance; and
(2) A State is eligible to receive up to 5 percent of the total
amount of funds granted to it each fiscal year under paragraphs (a)(1)
to (5) of this section as program operation assistance.
49 CFR 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 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 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.
49 CFR 266.7 Project eligibility.
(a) Rail service continuation assistance, acquisition assistance and
substitute service assistance. A project is eligible for assistance
under 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
266.3(a) (3) and (5) of this part, respectively, if:
(1)(i) The Commission has not made a finding that the public
convenience and necessity would require or permit abandonment or
discontinuance of rail service on the line related to the project;
(ii) Any pending application for a certificate of abandonment or
discontinuance of rail service on the line related to the project is
withdrawn within a reasonable period (as determined by the
Administrator) following the execution of the grant agreement and before
Federal funds are disbursed for the project; and
(iii)(A) The line related to the project is certified by the railroad
as having carried three million gross ton miles per mile or less during
the prior year; or
(B) The line related to the project is certified by the railroad in a
written statement which identifies the name of the line, the State or
States in which it is located, its length, termini, and termini mile
posts as having carried between three and five million gross ton miles
per mile during the prior year, and the Administrator has determined
that the project is consistent with proposals made under the authority
of subsections 5 (a) through (e) of the Act (49 U.S.C. 1654 (a)-(e));
(2)(i) An application for a certificate of abandonment or
discontinuance of rail service on the line related to the project has
been filed with the Commission during the period February 5, 1976
through December 31, 1978, whether or not such application has been
granted; or
(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.
49 CFR 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 266.7 of this part
(whether or not Federal assistance is requested for the projects) or
they are activities which would be eligible for planning and program
operation assistance. Eligible in-kind benefits are valued as follows:
(i) The value of forgiven taxes, such as those portions of gross
receipts or revenue taxes which are applicable to an approved project or
property taxes on project related property, shall be the amount which
would otherwise have been levied by the taxing authority. Forgiveness
may be through exemption or remission;
(ii) The value of trackage rights secured by a State for a common
carrier shall be the amount paid by railroads for comparable rights on
comparable rail freight properties;
(iii) The value of State salaries for State public employees working
in the State Rail Service Assistance Program, shall be consistent with
rates paid for similar work by state public employees working in
comparable state programs but shall not include overhead or general
administrative costs;
(iv) The value of donations by the State or by a third party on
behalf of the State of real property or tangible personal property of
the kind necessary for safe and efficient operation of rail freight
service, such as State or locally owned or leased buildings used in rail
freight operations or equipment or materials, shall be determined as
follows:
(A) The value of State tangible personal property shall be
established at the State's actual cost in accordance with Federal
Management Circular 74-4;
(B) The value of donated tangible personal property shall be
determined in accordance with Attachment F of Office of Management and
Budget Circular (OMB) A-102;
(C) The value of State real property shall be established at the
State's actual cost in accordance with Federal Management Circular 74-4,
if at least one independent appraisal based on the 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.
49 CFR 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 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.
49 CFR 266.13 Distribution of funds.
(a) Formula. Funds appropriated for or reallocated in any fiscal
year (in this section refered to jointly as ''funds'') are to be
distributed to each State as follows:
(1) Two-thirds of the funds will be allocated in the ratio which a
State's rail mileage that, in accordance with 49 U.S.C. 10904(d), is
either potentially subject to abandonment or is to become the subject of
an application for a certificate of abandonment or discontinuance which
a carrier plans to submit, but has not yet submitted, bears to the total
such rail mileage in all the States;
(2) One-third of the funds will be allocated in the ratio which a
State's rail mileage for which the Commission has found within three
years prior to the first day of the fiscal year for which the funds are
being allocated that the public convenience and necessity permits the
abandonment, or the discontinuance, of rail service on such rail
mileage, bears to the total such rail mileage in all the States. Until
September 30, 1981, such rail mileage includes the rail mileage which
was eligible under the Rail Service Assistance Program pursuant to
section 402 of the Rail Act, and all rail mileage which, prior to
October 1, 1978, had been included for formula allocation purposes. The
Administrator will calculate rail mileage under this paragraph as of
October 1 of each year; and
(3) The above calculations will be adjusted if necessary so that no
State receives less than 1 percent of the funds appropriated for a
fiscal year.
(b) Reallocation. The Administrator will reallocate among the States
funds which have not been granted under an executed grant agreement by
the end of the fiscal year for which the funds were appropriated and
funds determined by 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 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.