[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 1996 Edition]
[From the U.S. Government Printing Office]

Transportation

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PARTS 200 TO 399

Revised as of October 1, 1996
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT

AS OF OCTOBER 1, 1996
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register

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U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 1996

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

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Table of Contents

Page
Explanation................................................. v
Title 49:
Subtitle B--Other Regulations Relating to
Transportation--(
C
o
n
t
i
n
u
e
d
)
:

Chapter II--Federal Railroad Administration,
Department of Transportation 5
Chapter III--Federal Highway Administration,
Department of Transportation 503
Finding Aids:
Material Approved for Incorporation by Reference.......... 817
Table of CFR Titles and Chapters.......................... 819
Alphabetical List of Agencies Appearing in the CFR........ 835
List of CFR Sections Affected............................. 845

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Cite this Code: CFR

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

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EXPLANATION

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

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
revision date (in this case, October 1, 1996), 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.

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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.

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A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

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

INQUIRIES

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

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

Richard L. Claypoole,
Director,
Office of the Federal Register.

October 1, 1996.

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THIS TITLE

Title 49--Transportation is composed of seven volumes. The parts in
these volumes are arranged in the following order: Parts 1-99, parts
100-185, parts 186-199, parts 200-399, parts 400-999, parts 1000-1199,
part 1200 to End. The first volume (parts 1-99) contains current
regulations issued under subtitle A--Office of the Secretary of
Transportation; the second volume (parts 100-185) and the third volume
(parts 186-199) contain the current regulations issued under chapter I--
Research and Special Programs Administration (DOT); the fourth volume
(parts 200-399) contains the current regulations issued under chapter
II--Federal Railroad Administration (DOT), and chapter III--Federal
Highway Administration (DOT); the fifth volume (parts 400-999) contains
the current regulations issued under chapter IV--Coast Guard (DOT),
chapter V--National Highway Traffic Safety Administration (DOT), chapter
VI--Federal Transit Administration (DOT), chapter VII--National Railroad
Passenger Corporation (AMTRAK), and chapter VIII--National
Transportation Safety Board; the sixth volume (parts 1000-1199) and the
seventh volume (part 1200 to End) both contain current regulations
issued under chapter X--Surface Transportation Board, Department of
Transportation. The contents of these volumes represent all current
regulations codified under this title of the CFR as of October 1, 1996.

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

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

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

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[[Page 1]]

TITLE 49--TRANSPORTATION

(This book contains parts 200 to 399)

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SUBTITLE B--
Other
Regulations
Relating
To
Transportat
ion--
(Continued)

Part

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

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

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Subtitle B--Other Regulations

Relating To

Transportation (Continued)

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CHAPTER II--FEDERAL RAILROAD ADMINISTRATION,

DEPARTMENT OF TRANSPORTATION

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Part Page
200 Informal rules of practice for passenger
service................................. 7
201 Formal rules of practice for passenger
service................................. 9
207 Railroad police officers.................... 15
209 Railroad safety enforcement procedures...... 16
210 Railroad noise emission compliance
regulations............................. 52
211 Rules of practice........................... 58
212 State safety participation regulations...... 65
213 Track safety standards...................... 76
214 Railroad workplace safety................... 89
215 Railroad freight car safety standards....... 98
216 Special notice and emergency order
procedures: railroad track, locomotive
and equipment........................... 113
217 Railroad operating rules.................... 116
218 Railroad operating practices................ 120
219 Control of alcohol and drug use............. 133
220 Radio standards and procedures.............. 211
221 Rear end marking device--passenger, commuter
and freight trains...................... 217
223 Safety glazing standards--locomotives,
passenger cars and cabooses............. 222
225 Railroad accidents/incidents: Reports
classification, and investigations...... 227
228 Hours of service of railroad employees...... 248
229 Railroad locomotive safety standards........ 261
230 Locomotive inspection....................... 283
231 Railroad safety appliance standards......... 284
232 Railroad power brakes and drawbars.......... 325
233 Signal systems reporting requirements....... 338
234 Grade crossing signal system safety......... 339
235 Instructions governing applications for
approval of a discontinuance or material
modification of a signal system or
relief from the requirements of part 236 350

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236 Rules, standards, and instructions governing
the installation, inspection,
maintenance, and repair of signal and
train control systems, devices and
appliances.............................. 354
240 Qualification and certification of
locomotive engineers.................... 389
245 Railroad user fees.......................... 430
250 Guarantee of certificates of trustees of
railroads in reorganization............. 435
256 Financial assistance for railroad passenger
terminals............................... 441
260 Regulations governing section 511 of the
Railroad Revitalization and Regulatory
Reform Act of 1976, as amended.......... 451
265 Nondiscrimination in federally assisted
railroad programs....................... 476
266 Assistance to States for local rail service
under section 5 of the Department of
Transportation Act...................... 487

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

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

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

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

Sec. 200.1 General.

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

Sec. 200.3 Definitions.

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

Sec. 200.5 Applications.

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

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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.

Sec. 200.7 Objections.

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

Sec. 200.9 Hearings.

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

Sec. 200.11 Orders, approvals, and determinations.

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

Sec. 200.13 Publication.

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

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

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

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

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

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

Sec. 201.1 General.

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

Sec. 201.3 Definitions.

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

Sec. 201.4 Scope of regulations.

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

Sec. 201.5 Applications.

[[Page 10]]

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

Sec. 201.6 Notice of hearing.

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

Sec. 201.7 Notification by interested persons.

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

Sec. 201.8 Presiding officer.

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

[[Page 11]]

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

Sec. 201.9 Direct testimony submitted as written documents.

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

Sec. 201.10 Mailing address.

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

Sec. 201.11 Inspection and copying of documents.

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

[[Page 12]]

Sec. 201.12 Ex parte communications.

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

Sec. 201.13 Prehearing conference.

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

Sec. 201.14 Final agenda of the hearing.

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

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

Sec. 201.15 Determination to cancel the hearing.

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

[[Page 13]]

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

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

Sec. 201.17 Waiver of right to participate.

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

Sec. 201.18 Conduct of the hearing.

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

Sec. 201.19 Direct testimony.

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

[[Page 14]]

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

Sec. 201.20 Cross-examination.

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

Sec. 201.21 Oral and written arguments.

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

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

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

[[Page 15]]

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

Sec. 201.23 Administrator's decision.

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

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

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

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

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

Sec. 207.1 Application.

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

Sec. 207.2 Definitions.

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

Sec. 207.3 Designation and commissioning.

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

[[Page 16]]

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

Sec. 207.4 Notice to State Officials.

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

Sec. 207.5 Authority in States where officer not commissioned.

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

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

Subpart A--General

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

Subpart B--Hazardous Materials Penalties

Civil Penalties

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

[[Page 17]]

Criminal Penalties

209.131 Criminal penalties generally.
209.133 Referral for prosecution.

Subpart C--Compliance Orders

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

Subpart D--Disqualification Procedures

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

Subpart E--Reporting of Remedial Actions

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

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

Authority: 49 U.S.C. Chs. 51, 57, and 201-213; 49 CFR 1.49.

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

Subpart A--General

Sec. 209.1 Purpose.

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

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

Sec. 209.3 Definitions.

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

[[Page 18]]

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

[59 FR 43676, Aug. 24, 1994]

Sec. 209.5 Service.

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

[[Page 19]]

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

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

Sec. 209.6 Requests for admission.

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

[54 FR 42906, Oct. 18, 1989]

Sec. 209.7 Subpoenas; witness fees.

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

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

[[Page 20]]

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

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

Sec. 209.8 Depositions in formal proceedings.

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

[[Page 21]]

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

[54 FR 42906, Oct. 18, 1989]

Sec. 209.9 Filing.

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

[54 FR 42906, Oct. 18, 1989]

Sec. 209.11 Request for confidential treatment.

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

[[Page 22]]

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

Sec. 209.13 Consolidation.

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

[54 FR 42906, Oct. 18, 1989]

Sec. 209.15 Rules of evidence.

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

[54 FR 42907, Oct. 18, 1989]

Sec. 209.17 Motions.

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

[54 FR 42907, Oct. 18, 1989]

Subpart B--Hazardous Materials Penalties

Civil Penalties

Sec. 209.101 Civil penalties generally.

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

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

Sec. 209.103 Minimum and maximum penalties.

A person who knowingly violates a requirement of subchapter A or C
of chapter I, Subtitle B of this title is liable for a civil penalty of
at least $250 but not more than $25,000 for each violation. When the
violation is a continuing one, each day of the violation constitutes a
separate offense. 49 U.S.C. 5123.

[61 FR 38646, July 25, 1996]

Sec. 209.105 Notice of probable violation.

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

[[Page 23]]

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

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

Sec. 209.107 Reply.

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

Sec. 209.109 Payment of penalty; compromise.

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

Sec. 209.111 Informal response and assessment.

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

Sec. 209.113 Request for hearing.

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

[[Page 24]]

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

Sec. 209.115 Hearing.

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

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

Sec. 209.117 Presiding officer's decision.

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

Sec. 209.119 Assessment considerations.

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

[[Page 25]]

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

Sec. 209.121 Appeal.

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

Criminal Penalties

Sec. 209.131 Criminal penalties generally.

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

[61 FR 38647, July 25, 1996]

Sec. 209.133 Referral for prosecution.

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

[61 FR 38647, July 25, 1996]

Subpart C--Compliance Orders

Sec. 209.201 Compliance orders generally.

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

[61 FR 38647, July 25, 1996]

Sec. 209.203 Notice of investigation.

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

Sec. 209.205 Reply.

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

[[Page 26]]

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

Sec. 209.207 Consent order.

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

Sec. 209.209 Hearing.

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

[[Page 27]]

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

Sec. 209.211 Presiding officer's decision.

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

Sec. 209.213 Appeal.

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

Sec. 209.215 Time limitation.

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

Subpart D--Disqualification Procedures

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

Sec. 209.301 Purpose and scope.

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

Sec. 209.303 Coverage.

This subpart applies to the following individuals:
(a) Railroad employees who are assigned to perform service subject
to the Hours of Service Act (45 U.S.C. 61-64b) during a duty tour,
whether or not the

[[Page 28]]

person has performed or is currently performing such service, and any
person who performs such service.
(b) Railroad employees or agents who:
(1) Inspect, install, repair, or maintain track and roadbed;
(2) Inspect, repair or maintain, locomotives, passenger cars, and
freight cars;
(3) Conduct training and testing of employees when the training or
testing is required by the FRA's safety regulations; or
(c) Railroad managers, supervisors, or agents when they:
(1) Perform the safety-sensitive functions listed in paragraphs (a)
and (b) of this section;
(2) Supervise and otherwise direct the performance of the safety-
sensitive functions listed in paragraphs (a) and (b) of this section; or
(3) Are in a position to direct the commission of violations of any
of the requirements of parts 213 through 236 of this title.

Sec. 209.305 Notice of proposed disqualification.

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

Sec. 209.307 Reply.

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

[[Page 29]]

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

Sec. 209.309 Informal response.

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

Sec. 209.311 Request for hearing.

(a) If the respondent elects to request a hearing, he or she must
submit a written request within the time periods specified in
Sec. 209.307(a) or Sec. 209.309(g) to the Chief Counsel referring to the
case

[[Page 30]]

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

Sec. 209.313 Discovery.

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

Sec. 209.315 Subpoenas.

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

Sec. 209.317 Official record.

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

Sec. 209.319 Prehearing conference.

(a) The parties shall confer with the presiding officer, either in
person or by telephone, for a conference at least 10 days before the
hearing to consider:
(1) Formulation and simplification of the issues;

[[Page 31]]

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

Sec. 209.321 Hearing.

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

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

[[Page 32]]

Sec. 209.323 Initial decision.

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

Sec. 209.325 Finality of decision.

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

Sec. 209.327 Appeal.

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

Sec. 209.329 Assessment considerations.

(a) Proof of a respondent's willful violation of one of the
requirements of parts 213 through 236 (excluding parts

[[Page 33]]

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

Sec. 209.331 Enforcement of disqualification order.

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

Sec. 209.333 Prohibitions.

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

Sec. 209.335 Penalties.

(a) Any individual who violates Sec. 209.331(c) or Sec. 209.333(a)
may be permanently disqualified from performing the safety-sensitive
functions described in Sec. 209.303. Any individual who willfully
violates Sec. 209.331(c) or Sec. 209.333(a) may also be assessed a civil
penalty of

[[Page 34]]

at least $1,000 and not more than $5,000 per violation.
(b) Any railroad that violates Sec. 209.331 (a) or (b) or
Sec. 209.333(b) may be assessed a civil penalty of at least $5,000 and
not more than $10,000 per violation.
(c) Each day a violation continues shall constitute a separate
offense.

Sec. 209.337 Information collection.

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

[56 FR 66791, Dec. 26, 1991]

Subpart E--Reporting of Remedial Actions

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

Sec. 209.401 Purpose and scope.

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

Sec. 209.403 Applicability.

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

Sec. 209.405 Reporting of remedial actions.

(a) Except as provided in Sec. 209.407, each railroad that has
received written notification on Form FRA F 6180.96 from an FRA Safety
Inspector both that assessment of a civil penalty will be recommended
for the railroad's failure to comply with a provision of the Federal
railroad safety laws and that it must submit a remedial actions report,
shall report on this form all actions that it takes to remedy that
failure. The railroad shall submit the completed form to the FRA Safety
Inspector within 30 days after the end of the calendar month in which
the notification is received.
(1) Date of receipt of notification. If the FRA Safety Inspector
provides written notification to the railroad by first class mail, then
for purposes of determining the calendar month in which notification is
received, the railroad shall be presumed to have received the
notification five business days following the date of mailing.
(2) Completion of Form FRA F 6180.96, including selection of
railroad remedial action code. Each railroad shall complete the remedial
actions report in the manner prescribed on the report form. The railroad
shall select the one remedial action code on the reporting form

[[Page 35]]

that most accurately reflects the action or actions that it took to
remedy the failure, such as, repair or replacement of a defective
component without movement, movement of a locomotive or car for repair
(where permitted) and its subsequent repair, completion of a required
test or inspection, removal of a noncomplying item from service but not
for repair (where permitted), reduction of operating speed (where
sufficient to achieve compliance), or any combination of actions
appropriate to remedy the noncompliance cited. Any railroad selecting
the remedial action code ``other remedial actions'' shall also furnish
FRA with a brief narrative description of the action or actions taken.
(3) Submission of Form FRA F 6180.96. The railroad shall return the
form by first class mail to the FRA Safety Inspector whose name and
address appear on the form.
(b) Any railroad concluding that the violation alleged on the
inspection report may not have occurred may submit the remedial actions
report with an appropriate written explanation. Failure to raise all
pertinent defenses does not foreclose the railroad from doing so in
response to a penalty demand.

Sec. 209.407 Delayed reports.

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

Sec. 209.409 Penalties.

Any person who violates any requirement of this subpart or causes
the violation of any such requirement is subject to a civil penalty of
at least $500 and not more than $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. A person may also be subject to the
criminal penalties provided for in 49 U.S.C. 21311 (formerly codified in
45 U.S.C. 438(e)) for knowingly and willfully falsifying reports
required by this subpart.
Appendix A to Part 209--Interim Statement of Agency Policy Concerning
Enforcement of the Federal Railroad Safety Laws
The Federal Railroad Administration (``fra'') enforces the federal
railroad safety statutes under delegation from the Secretary of
Transportation. See 49 CFR 1.49 (c), (d), (f), (g), and (m). Those
statutes include the Federal Railroad Safety Act of 1970 (``Safety
Act''), 45 U.S.C. 421 et seq., and a group of statutes enacted prior to
1970 referred to collectively herein as the ``older safety statutes'':
The Safety Appliance Acts, 45 U.S.C. 1-16; the Locomotive Inspection
Act, 45 U.S.C. 22-34; the Accident Reports Act, 45 U.S.C. 38-43; the
Hours of Service Act, 45 U.S.C. 61-64b; and the Signal Inspection Act,
49 App. U.S.C. 26. Regulations implementing those statutes are found at
49 CFR parts 213 through 236. The Rail Safety Improvement Act of 1988
(Pub. L. No. 100-342, enacted June 22, 1988) (``RSIA'') raised the
maximum civil penalties available under the railroad safety laws and
made individuals liable for willful violations of those laws. FRA also
enforces the Hazardous Materials Transportation Act, 49 App. U.S.C. 1801
et seq., as it pertains to

[[Page 36]]

the shipment or transportation of hazardous materials by rail.

The Civil Penalty Process

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

[[Page 37]]

et seq., are, due to certain statutory requirements, handled under more
formal administrative procedures. See 49 CFR part 209, subpart B.

Civil Penalties Against Individuals

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

[[Page 38]]

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

[[Page 39]]

makes clear that FRA encourages discussion, through the mail, over the
telephone or in person, of any defenses or mitigating factors the
individual may wish to raise. That letter also advises the individual
that he or she may wish to obtain representation by an attorney and/or
labor representative. During the negotiation stage, FRA considers each
case individually on its merits and gives due weight to whatever
information the alleged violator provides.
Finally, in the unlikely event that a settlement cannot be reached,
FRA sends the individual a letter warning of its intention to request
that the Attorney General sue for the initially proposed amount and
giving the person a sufficient interval (e.g., 30 days) to decide if
that is the only alternative.
FRA believes that the intent of Congress would be violated if
individuals who agree to pay a civil penalty or are ordered to do so by
a court are indemnified for that penalty by the railroad or another
institution (such as a labor organization). Congress intended that the
penalties have a deterrent effect on individual behavior that would be
lessened, if not eliminated, by such indemnification.
Although informal, face-to-face meetings are encouraged during the
negotiation of a civil penalty charge, the RSIA does not require that
FRA give individuals or railroads the opportunity for a formal, trial-
type administrative hearing as part of the civil penalty process. FRA
does not provide that opportunity because such administrative hearings
would be likely to add significantly to the costs an individual would
have to bear in defense of a safety claim (and also to FRA's enforcement
expenses) without shedding any more light on what resolution of the
matter is fair than would the informal procedures set forth here. Of
course, should an individual or railroad decide not to settle, that
person would be entitled to a trial de novo when FRA, through the
Attorney General, sued to collect the penalty in the appropriate United
States district court.

Penalty Schedules; Assessment of Maximum Penalties

As recommended by the Department of Transportation in its initial
proposal for rail safety legislative revisions in 1987, the RSIA raised
the maximum civil penalties for violations of the safety regulations.
Under the Hours of Service Act, the penalty was changed from a flat $500
to a penalty of ``up to $1,000, as the Secretary of Transportation deems
reasonable.'' Under all the other statutes, the maximum penalty was
raised from $2,500 to $10,000 per violation, except that, ``where a
grossly negligent violation or pattern of repeated violations has
created an imminent hazard of death or injury to persons, or has caused
death or injury,'' a penalty of up to $20,000 per violation may be
assessed.
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 Extent And Exercise Of FRA's Safety Jurisdiction

The Safety Act and, as amended by the RSIA, the older safety
statutes apply to ``railroads.'' Section 202(e) of the Safety Act
defines railroad as follows:
The term ``railroad'' as used in this title means all forms of non-
highway ground transportation that run on rails or electromagnetic
guideways, including (1) commuter or other short-haul rail passenger
service in

[[Page 40]]

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

[[Page 41]]

operated over it. See 49 CFR 213.5 for the rules on how an owner of
track may assign responsibility for it.) A lease or practice that
permitted other types of movements by general system railroads on that
trackage would, of course, bring it back into the general system, as
would operations by the plant railroad indicating it was moving cars on
such trackage for other than its own purposes (e.g., moving cars to
neighboring industries for hire).
It is important to note that FRA's exercise of its regulatory
authority on a given matter does not preclude it from subsequently
amending its regulations on that subject to bring in railroads
originally excluded. More important, the self-imposed restrictions on
FRA's exercise of regulatory authority in no way constrain its exercise
of emergency order authority under section 203 of the Safety Act. That
authority was designed to deal with imminent hazards not dealt with by
existing regulations and/or so dangerous as to require immediate, ex
parte action on the government's part. Thus, a railroad excluded from
the reach of any of FRA's regulations is fully within the reach of FRA's
emergency order authority, which is coextensive with FRA's statutory
jurisdiction over all railroads.

Extraordinary Remedies

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

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

These guidelines establish benchmarks to be used in determining
initial civil penalty assessments for violations of the Hazardous
Materials Regulations (HMR). The guideline penalty amounts reflect the
best judgment of the FRA Office of Safety Assurance and Compliance (RRS)
and of the Safety Law Division of the Office of Chief Counsel (RCC) on
the relative severity, on a scale of $250 to $25,000, of the various
violations routinely encountered by FRA inspectors. (49 U.S.C. 5123)
Unless otherwise specified, the guideline amounts refer to average
violations, that is, violations involving a hazardous material with a
medium level of hazard, and a violator with an average compliance
history. In an ``average violation,'' the respondent has committed the
acts due to a failure to exercise reasonable care under the
circumstances (``knowingly''). For some sections, the guidelines contain
a breakdown according to relative severity of the violation, for
example, the guidelines for shipping paper violations at 49 CFR
Secs. 172.200-.203. All penalties in these guidelines are subject to
change depending upon the circumstances of the particular case. The
general duty sections, for example Secs. 173.1 and 174.7, are not
ordinarily cited as separate violations; they are primarily used as
explanatory citations

[[Page 42]]

to demonstrate applicability of a more specific section where
applicability is otherwise unclear.
FRA believes that infractions of the regulations that lead to
personal injury are especially serious; this is directly in line with
Department of Transportation policy that hazardous materials are only
safe for transportation when they are securely sealed in a proper
package. (Some few containers, such as tank cars of carbon dioxide, are
designed to vent off excess internal pressure. They are exceptions to
the ``securely sealed'' rule.) ``Personal injury'' has become somewhat
of a term of art, especially in the fields of occupational safety and of
accident reporting. To avoid confusion, these penalty guidelines use the
notion of ``human contact'' to trigger penalty aggravation. In essence,
any contact by a hazardous material on a person during transportation is
a per se injury and proof will not be required regarding the extent of
the physical contact or its consequences. When a violation of the
Hazardous Materials Regulations causes a death or serious injury, the
maximum penalty of $25,000 shall always be assessed initially.
These guidelines are a preliminary assessment tool for FRA's use.
They create no rights in any party. FRA is free to vary from them when
it deems appropriate and may amend them from time to time without prior
notice. Moreover, FRA is not bound by any amount it initially proposes
should litigation become necessary. In fact, FRA reserves the express
authority to amend the NOPV to seek a penalty of up to $25,000 for each
violation at any time prior to issuance of an order.

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

------------------------------------------------------------------------
49 CFR section Description Guideline
------------------------------------------------------------------------
PART 107
------------------------------------------------------------------------
107.608............................ Failure to register or 1,000
to renew
registration. (Note:
registration--or
renewal--is
mitigation.).
------------------------------------------------------------------------
PART 171
------------------------------------------------------------------------
171.2(c)........................... Representing (marking, 8,000
certifying, selling,
or offering) a
packaging as meeting
regulatory
specification when it
does not.
171.2(f)(2)........................ Billing, marking, etc. 2,000
for the presence of
HM when no HM is
present. (Mitigation
required for
shipments smaller
than a carload, i.e.,
single drum penalty
is 1,000).
171.12............................. Import shipments-- 4,000
Importer not
providing shipper and
forwarding agent with
US requirements.
Cannot be based on
inference.
Import shipments-- 2,000
Failure to certify by
shipper or forwarding
agent.
171.15............................. Failure to provide 6,000
immediate notice of
certain hazardous
materials incidents.
171.16............................. Failure to file 4,000
incident report (form
DOT 5800.1). (Note:
Multiple failures
will aggravate the
penalty; see the
expert attorney.).
------------------------------------------------------------------------
PART 172
------------------------------------------------------------------------
Shipping Papers:
172.200--.203.................. Offering hazardous
materials for
transportation when
the material is not
properly described on
the shipping paper as
required by Secs.
172.200--.203. (The
``shipping paper'' is
the document tendered
by the shipper/
offeror to the
carrier. The original
shipping paper
contains the
shipper's
certification at Sec.
172.204.).
--Information on the 15,000
shipping paper is
wrong to the extent
that it caused or
materially
contributed to a
reaction by emergency
responders that
aggravated the
situation or caused
or materially
contributed to
improper handling by
the carrier that led
to or materially
contributed to a
product release.
--Total lack of 7,500
hazardous materials
information on
shipping paper. (Some
shipping names alone
contain sufficient
information to reduce
the guideline to the
next lower level, but
they may be such
dangerous products
that aggravation
needs to be
considered.).
--Some information is 5,000
present but the
missing or improper
description could
cause mishandling by
the carrier or a
delay or error in
emergency response.

[[Page 43]]

--When the improper 2,000
description is not
likely to cause
serious problem
(technical defect).
--Shipping paper 7,500
includes a hazardous
materials description
and no hazardous
materials are present.
Note: Failure to
include emergency
response information
is covered at Secs.
172.600-604; while
the normal unit of
violation for
shipping papers is
the whole document,
failure to provide
emergency response
information is a
separate violation.
172.204........................ Shipper's failure to 2,000
certify.
172.205........................ Hazardous waste 4,000
manifest. (Applies
only to defects in
the Hazardous Waste
Manifest form [EPA
Form 8700-22 and 8700-
22A]; shipping paper
defects are cited and
penalized under Sec.
172.200-.203.).
Marking............................ The guidelines for
``marking''
violations
contemplate a total
lack of the
prescribed mark.
Obviously, where the
package (including a
whole car) is
partially marked,
mitigation should be
applied.
172.301........................ Failure to mark a non- 1,000
bulk package as
required (e.g., no
commodity name on a
55-gallon drum).
(Shipment is the unit
of violation.).
172.302........................ Failure to follow 2,000
standards for marking
bulk packaging.
(Note: If a more
specific section
applies, cite it and
its penalty
guideline.).
172.302(a)..................... ID number missing or 2,500
in improper location.
(The guideline is for
a portable tank; for
smaller bulk
packages, the
guideline should be
mitigated downward.).
172.302(b)..................... Failure to use the 2,000
correct size of
markings. (Note: If
Sec. 172.326(a) is
also cited, it takes
precedence and
.302(b) is not cited.
Note also: the
guideline is for a
gross violation of
marking size--\1/2\''
where 2'' is
required--and
mitigation should be
considered for
markings approaching
the required size.).
172.302(c)..................... Failure to place 2,000
exemption number
markings on bulk
package.
172.303........................ Prohibited marking.
(Package is marked
for a hazardous
material and contains
either another
hazardous material or
no hazardous
material.)
--The marking is wrong 10,000
and caused or
contributed to a
wrong emergency
response.
--Inconsistent 5,000
marking; e.g.,
Shipping name and ID
number do not agree.
--Marked as a 2,000
hazardous material
when package does not
contain a hazardous
material.
172.313........................ ''Inhalation Hazard'' 2,500
not marked.
172.322........................ Failure to mark for 1,500
MARINE POLLUTANT
where required.
172.325(a)..................... Improper, or missing, 1,500
HOT mark for elevated
temperature material.
172.326(a)..................... Failure to mark a 2,500
portable tank with
the commodity name.
172.326(b)..................... Owner's/lessee's name 500
not displayed.
172.326(c)..................... Failure to mark 2,500
portable tank with ID
number.
172.330(a)(1)(i)............... Offering/transporting 2,500
hazardous materials
in a tank car that
does not have the
required shipping
name or common name
stenciled on the car;
include reference to
section requiring
stenciling, such as
Sec. 173.314(b) (5)
or (6).
172.330(a)(1)(ii).............. Offering/transporting 2,500
hazardous materials
in a tank car that
does not have the
required ID number
displayed on the car.
172.331(b)..................... Offering bulk 2,500
packaging other than
a portable tank,
cargo tank, or tank
car (e.g., a hopper
car) not marked with
UN/NA number. (I.e.,
a hopper car carrying
a hazardous
substance, where a
placard is not
required).
172.332........................ Improper display of 2,000
identification number
markings. Note:
Citation of this
section and Secs.
172.326 (portable
tanks), 172.328
(cargo tanks), or
172.330 (tank cars)
does not create two
separate violations.
172.334(a)..................... Displaying ID numbers 4,000
on a RADIOACTIVE,
EXPLOSIVES
1.1,1.2,1.3,1.4,1.5,
or 1.6, or DANGEROUS,
or subsidiary hazard
placard.
172.334(b)..................... --Improper display of 15,000
ID number that caused
or contributed to a
wrong emergency
response.
--Improper display of 5,000
ID number that could
cause carrier
mishandling or minor
error in emergency
response.
--Technical error..... 2,000
172.334(f)..................... Displaying ID number 1,500
on orange panel not
in proximity to the
placard.
Labeling:
172.400-.450................... Failure to label 2,500
properly. (See also
Sec. 172.301
regarding the marking
of packages.).
Placarding......................... The guidelines for
``placarding''
violations
contemplate a total
lack of the
prescribed placard.
Obviously, where the
package (including a
whole car) is
partially placarded,
mitigation should be
applied.
172.502........................ --Placarded as 2,000
hazardous material
when car does not
contain a hazardous
material.
--Placard does not 2,000
represent hazard of
the contents.
--Display of sign or 2,000
device that could be
confused with
regulatory placard.
Photograph or good,
clear description
necessary.

[[Page 44]]

172.503........................ Improper display of ID (\1\)
number on placards.
(Note: Do not cite
this section; cite
Sec. 172.334.).
172.504(a)..................... Failure to placard;
affixing or
displaying wrong
placard. (See also
Secs. 172.502(a),
172.504(a), 172.505,
172.510(c), 172.516,
174.33, 174.59,
174.69; all
applicable sections
should be cited, but
the penalty should be
set at the amount for
the violation most
directly in point.)
(Generally, the car
is the unit of
violation, and
penalties vary with
the number of errors,
typically at the rate
of $1,000 per
placard.)
--Complete failure to 7,500
placard.
--One placard missing 1,000
(add $1,000 per
missing placard up to
a total of three;
then use the
guideline above).
-- Complete failure to 2,500
placard, but only 2
placards are required
(e.g., intermediate
bulk containers
[IBCs]).
172.504(b)..................... Improper use of 5,000
DANGEROUS placard for
mixed loads.
172.504(c)..................... Placarded for wrong 2,000
hazard class when no
placard was required
due to 1,001 pound
exemption.
172.504(e)..................... Use of placard other
than as specified in
the table:
--Improper placard 15,000
caused or contributed
to improper reaction
by emergency response
forces or caused or
contributed to
improper handling by
carrier that led to a
product release.
--Improper placard 5,000
that could cause
improper emergency
response or handling
by carrier.
--Technical violation. 2,500
172.505........................ Improper application 5,000
of placards for
subsidiary hazards.
(Note: This is in
addition to any
violation on the
primary hazard
placards.).
172.508(a)..................... Offering hazardous 7,500
material for rail
transportation
without affixing
placards. (Note: The
preferred section for
a total failure to
placard is
172.504(a); only one
section should be
cited to avoid a dual
penalty.) (Note also:
Persons offering
hazardous materials
for rail movement
must affix placards;
if offering for
highway movement, the
placards must be
tendered to the
carrier. Sec.
172.506.).
Placards OK, except 500
they were IMDG labels
instead of 10''
placards. (Unit of
violation is the
packaging, usually a
portable tank.).
Placards on TOFC/COFC (\2\)
units not readily
visible. (Note: Do
not cite this
section, cite Sec.
172.516 instead.).
172.508(b)..................... Accepting hazardous 5,000
material for rail
transportation
without placards
affixed.
172.510(a)..................... EXPLOSIVES 1.1, 5,000
EXPLOSIVES 1.2,
POISON GAS, POISON
GAS-RESIDUE,
(Division 2.3, Hazard
Zone A), POISON, or
POISON-RESIDUE
(Division 6.1,
Packing Group I,
Hazard Zone A)
placards displayed
without square
background.
172.510(c)..................... Improper use of
RESIDUE placard.
--Placarded RESIDUE 4,000
when loaded.
--Placarded loaded 1,000
when car contains
only a residue.
--Placarded EMPTY when 500
RESIDUE is required.
172.514........................ Improper placarding of 2,000
bulk packaging other
than a tank car: For
the ``exception''
packages in
174.514(c). Note: Use
the regular
placarding sections
for the guideline
amounts for larger
bulk packages.
172.516........................ Placard not readily 1,000
visible, improperly
located or displayed,
or deteriorated. Good
color photos
``essential'' to
prove deterioration,
and considerable
weathering is
permissible. Placard
is the unit of
violation.
--When placards on an 2,000
intermodal container
are not visible, for
instance, because the
container is in a
well car. Container
is the unit of
violation, and, as a
matter of enforcement
policy, FRA accepts
the lack of
visibility of the end
placards.
Emergency Response Information..... Violations of Secs.
172.600-.604 are in
addition to shipping
paper violations. In
citing a carrier, if
the railroad's
practice is to carry
an emergency response
book or to put the E/
R information as an
attachment to the
consist, the unit of
violation is
generally the train
(or the consist).
``Telephone number''
violations are
generally best cited
against the shipper;
if against a
railroad, there
should be proof that
the number was given
to the railroad, that
is, it was on the
original shipping
document.
172.600-.602................... Where improper 15,000
emergency response
information has
caused an improper
reaction from
emergency forces and
the improper response
has aggravated the
situation. Note:
Proof of this will be
rigorous. For
instance, if the
emergency response
forces had chemical
information with the
correct response and
they relied, instead,
on shipper/carrier
information to their
detriment; the
$15,000 penalty
guideline applies.
Bad, missing, or 4,000
improper emergency
response information.
(Be careful in
transmitting
violations of this
section against a
railroad; there are
many sources of E/R
information and it
does not necessarily
``travel'' with the
shipping documents.).
172.602(c)..................... Failure to have 15,000
emergency response
information
``immediately
accessible''.
172.604........................ Improper or missing 2,500
emergency response
telephone number.

[[Page 45]]

Training:
172.702(a)..................... General failure to 5,000
train hazmat
employees.
172.702(b)..................... Hazmat employee 1,000
performing covered
function without
training. (Unit of
violation is the
employee; see the
expert attorney if
more than 10
employees are
involved.).
172.704(a)..................... Failure to train in 2,500
the required areas:
--General awareness/
familiarization
--Function-specific
--Safety
(Unit of violation is
the ``area,'' and,
for a total failure
to train, cite
172.702(a) and use
that penalty instead
of 172.704.)
172.704(c)..................... Initial and recurrent (\3\)
training. (Note: Cite
this and the relevant
substantive section,
e.g., 172.702(a), and
use penalty provided
there.).
172.704(d)..................... Failure to maintain 2,500
record of training.
(Unit of violation is
the record.).
------------------------------------------------------------------------
PART 173
------------------------------------------------------------------------
173.1.............................. General duty section 2,000
applicable to
shippers; also
includes subparagraph
(b), the requirement
to train employees
about applicable
regulations. (Cite
the appropriate
section in the
172.700-.704 series
for training
violations.).
173.9(a)........................... Early delivery of 5,000
transport vehicle
that has been
fumigated. (48 hours
must have elapsed
since fumigation.).
173.9(b)........................... Failure to display 1,000
fumigation placard.
(Ordinarily cited
against shipper only,
not against
railroad.).
173.10............................. Delivery requirements 3,000
for gases and for
flammable liquids.
See also 174.204 and
174.304.
173.22............................. Shipper (\4\)
responsibility: This
general duty section
should ordinarily be
cited only to support
a more specific
charge.
173.22a............................ Improper use of 2,500
packagings authorized
under exemption.
Failure to maintain 1,000
copy of exemption as
required..
173.24(b)(1) & 173.24(b)(2) and Securing closures:
173.24(f)(1) & 173.24(f)(1)(ii). These subsections are
the general ``no
leak'' standard for
all packagings. Sec.
173.24(b) deals
primarily with
packaging as a whole,
while Sec. 173.24(f)
focuses on closures.
Cite the sections
accordingly, using
both the leak/non-
leak criteria and the
package size
considerations to
reach the appropriate
penalty. Any actual
leak will aggravate
the guideline by,
typically, 50%; a
leak with contact
with a human being
will aggravate by at
least 100%, up to the
maximum of $25,000 if
the HMR violation
causes the injury.
With tank cars, Sec.
173.31(b) applies,
and IM portable tanks
[Sec. 173.32c], and
other tanks of that
size range, should
use the tank car
penalty amounts,
stated in reference
to that section.
--Small bottle or box. 1,000
--55-gallon drum...... 2,500
--Larger container, 5,000
e.g., IBC; not
portable tank or tank
car.
173.24(c).......................... Use of package not
meeting
specifications,
including required
stencils and
markings. The most
specific section for
the package involved
should be cited (see
below). The penalty
guideline should be
adjusted for the size
of the container. Any
actual leak will
aggravate the
guideline by,
typically, 50%; a
leak with contact
with a human being
will aggravate by at
least 100%, up to the
maximum of $25,000 if
the HMR violation
causes the injury.
--Small bottle or box. 1,000
--55-gallon drum...... 2,500
--Larger container, 5,000
e.g., IBC; not
portable tank or tank
car.
For more specific
sections: Tank cars--
Sec. 173.31(a),
portable tanks--Sec.
173.32, and IM
portable tanks--Secs.
173.32a, .32b, and
.32c, q.v
173.24a(a)(3)...................... Non-bulk packagings: 1,000
Failure to secure and
cushion inner
packagings.
--Causes leak......... 3,000
--Leak with any 10,000
contact between
product and any human
being.
173.24a(b)&(d)..................... Non-bulk packagings: 1,000
Exceeding filling
limits.
--Causes leak......... 3,000
--Leak with any 10,000
contact between
product and any human
being.
173.24b(a) Insufficient outage:.. 3,000
--<1%
--Causes leak......... 5,000
--Leak with any 10,000
contact between
product and any human
being.
173.24b(a)(3)...................... Outage <5% on PIH 5,000
material.
--Causes leak......... 7,500
--Leak with any 10,000
contact between
product and any human
being.
173.26............................. Loaded beyond gross 5,000
weight or capacity as
stated in
specification.
(Applies only if
quantity limitations
do not appear in
packaging
requirements of Part
173.).
173.28............................. Improper reuse, 1,000
reconditioning, or
remanufacture of
packagings..

[[Page 46]]

173.29(a).......................... Offering residue tank
car for
transportation when
openings are not
tightly closed (Sec.
174.67(k) is also
usually applicable).
The regulation
requires offering
``in the same manner
as when'' loaded and
may be cited when a
car not meeting
specifications (see
Sec. 173.31(a)(1))
is released back into
transportation after
unloading; same
guideline amount.
Guidelines vary with
the type of commodity
involved:
--Hazardous material 2,000
with insignificant
vapor pressure and
without
classification as
``poison'' or
``inhalation hazard''.
--With actual leak.... 5,000
--With leak allowing 15,000
the product to
contact any human
being.
--Hazardous material 5,000
with vapor pressure
(essentially any gas
or compressed gas)
and/or with
classification as
``poison'' or
``inhalation
hazard.''.
--With actual leak.... 7,500
--With leak allowing 15,000
the product (or fumes
or vapors) to contact
any human being. (In
the case of fumes,
the ``contact'' must
be substantial.).
--Where only violation 1,000
is failure to secure
a protective housing,
e.g., the covering
for the gaging device.
173.30............................. A general duty section
that should be cited
with the explicit
statement of the
duty.
173.31(a)(1)....................... Use of a tank car not
meeting
specifications and
the ``Bulk
packaging''
authorization in
Column 8 of the Sec.
172.101 Hazardous
Materials Table
reference is:
Sec. 173.240......... 1,000
Sec. 173.241......... 2,500
Sec. 173.242......... 5,000
Sec. 173.243......... 5,000
Sec. 173.244......... 7,500
Sec. 173.245......... 7,500
Sec. 173.247......... 1,000
Sec. 173.314, .315... 5,000
--Minor defect not 500
affecting the ability
of the package to
contain a hazardous
material, e.g., no
chain on a bottom
outlet closure plug.
Tank meets 1,000
specification, but
specification is not
stenciled on car.
Note: Sec. 179.1(e)
implies that only the
builder has the duty
here, but it is the
presence of the
stencil that gives
the shipper the right
to rely on the
builder. (See Sec.
173.22(a)(3).).
Tank car not stenciled
``Not for flammable
liquids,'' and it
should be. (AAR Tank
Car Manual, Appendix
C, C3.03(a)5.)
--Most cars........... 2,500
--Molten sulfur car... 500
--If flammable liquid 5,000
is actually in the
car.
173.31(a)(4)....................... Use of a tank car 5,000
stenciled for one
commodity to
transport another.
173.31(a)(5)....................... Use of DOT- 10,000
specification tank
car without shelf
couplers. (Note:
prior to November 15,
1992, this did not
apply to a car not
carrying hazardous
materials.).
--Against a carrier, 6,000
cite Sec. 174.3 and
this section.
173.31(a)(6)....................... Use of non-DOT 10,000
specification car
without shelf
couplers to carry
hazardous materials.
(Applies only since
November 15, 1990.).
--Against a carrier, 6,000
cite Sec. 174.3 and
this section.
173.31(a)(7)....................... Use of tank car 5,000
without air brake
support attachments
welded to pads.
(Effective July 1,
1991).
173.31(a)(15)...................... Tank car with 7,500
nonreclosing pressure
relief device used to
transport Class 2
gases, Class 3 or 4
liquids, or Division
6.1 liquids, PG I or
II.
173.31(a)(17)...................... Tank car with interior 7,500
heating coils used to
transport Division
2.3 or Division 6.1,
PG I, based on
inhalation toxicity.
173.31(b)(1), 173.31(b)(3)......... Shipper failure to 5,000
determine (to the
extent practicable)
that tank, safety
appurtenances, and
fittings are in
proper condition for
transportation;
failure to properly
secure closures.
(Sections
173.31(b)(1) &
.31(b)(3), often
cited as together for
loose closure
violations, are taken
as one violation.)
The unit of violation
is the car,
aggravated if
necessary for truly
egregious condition.
Sections 173.24(b) &
(f) establish a ``no-
leak'' design
standard, and 173.31
imposes that standard
on operations.
--With actual leak of 10,000
product.
--With actual leak 15,000
allowing the product
(or fumes or vapors)
to contact any human
being. (With safety
vent, be careful
because carrier might
be at fault.).
--Minor violation, 1,000
e.g., bottom outlet
cap loose on tank car
of molten sulfur
(because product is a
solid when shipped).
--Failure (.31(b)(1)) 1,000
to have bottom outlet
cap off during
loading.
173.31(b)(4)....................... Filling and offering 6,000
for transportation a
tank car overdue for
retest of tank,
interior heater
system, and/or safety
relief valve. Note
that the car may be
filled while in-date,
held, and then
shipped out-of-date.
(Adjust penalty if
less than one month
or more than one year
overdue.).

[[Page 47]]

173.31(c)(1)....................... Tank, interior heater
system, and/or safety
valve overdue for
retest. If these
conditions exist, the
violation is of Sec.
173.31(b)(4). If the
violation is for
improperly conducting
the test(s), see the
expert attorney.
173.31(c)(10)...................... Failure to properly 1,000
stencil a retest that
was performed.
173.32c............................ Loose closures on an 5,000
IM portable tank
(Sec. 173.24
establishes the
``tight closure''
standard; Sec.
172.32c applies it to
IM portable tanks.)
(The scale of
penalties is the same
as for tank cars.).
--With actual leak of 10,000
product.
--With actual leak and 15,000
human being contact.
--Minor violation..... 1,000
173.314(b)(5)...................... No commodity stencil, 2,500
compressed gas tank
car. (See also Sec.
172.330).
173.314(c)......................... Compressed gas loaded 6,000
in excess of filling
density (same basic
concept as
insufficient outage).
--``T'' car with 5,000
excessive voids in
the thermal coating,
such that the car no
longer complies with
the DOT
specification.
Section 173.31(a)(1)
requires tank cars
used to transport
hazardous materials
to meet the
requirements of the
applicable
specification and
this section (Sec.
173..314(c)) lists
112T/114T cars as
allowed for
compressed gases.
------------------------------------------------------------------------
PART 174
------------------------------------------------------------------------
General Requirements:
174.3.......................... Acceptance of
improperly prepared
shipment. This
general duty section
must be accompanied
by a citation to the
specific section
violated.
174.7.......................... Carrier's failure to (\5\)
instruct employees;
cannot be based on
inference; Secs.
172.700-.704 are
preferred citations.
174.8(b)....................... --Failure to inspect 4,000
hazardous materials
(and adjacent) cars
at point where train
is required to be
inspected. (Unit of
violation is the
train.) (Note: For
all ``failure to
inspect'' citations,
the mere presence of
a nonconforming
condition does not
prove a failure to
inspect.).
--Allowing unsafe 8,000
loaded placarded car
to continue in
transportation beyond
point where
inspection was
required). (Unit of
violation is the
car.).
--Failure to determine 5,000
whether placards are
in place and conform
to shipping papers
(at a required
inspection point).
(Unit of violation is
the car.).
174.9(a)....................... Failure to properly 4,000
inspect loaded,
placarded tank car at
origin or interchange.
174.9(b)....................... Loose or insecure 1,000
closures on tank car
containing a residue
of a hazardous
material. (FRA policy
is that, against a
railroad, this
violation must be
observable from the
ground because, for
reasons of safety,
railroad inspectors
do not climb on cars
absent an indication
of a leak.).
174.9(c)....................... Failure to ``card'' a 3,000
tank car overdue for
tank retest.
174.10(c)...................... Offering a 3,000
noncomplying shipment
in interchange.
174.10(d)...................... Offering leaking car 10,000
of hazardous
materials in
interchange.
174.12......................... Improper performance 3,000
of intermediate
shipper/carrier
duties; applies to
forwarders and
highway carriers
delivering TOFC/COFC
shipments to
railroads.
174.14......................... Failure to expedite: 1,000
violation of ``48-
hour rule.'' Note:
does not apply to
cars ``held short''
of destination or
constructively placed.
General Operating Requirements..... Note: This subpart
(Subpart B) of Part
174 has three
sections referring to
shipment
documentation: Sec.
174.24 relating to
accepting documents,
Sec. 174.25 relating
to the preparation of
movement documents,
and Sec. 174.26
relating to movement
documents in the
possession of the
train crew. Only the
most relevant section
should be cited. In
most cases, the unit
of violation is the
shipment, although
where a unified
consist is used to
give notice to the
crew, there is some
justification for
making it the train,
especially where the
discrepancy was
generated using
automated data
processing and the
error is repetitious.
174.24......................... Accepting hazardous
materials shipment
without properly
prepared shipping
paper. (Note: The
carrier's duty
extends only to the
document received,
that is, a shipment
of hazardous
materials in an
unplacarded transport
vehicle with a
shipping paper
showing other than a
hazardous material is
not a violation
against the carrier
unless knowledge of
the contents of the
vehicle is proved.
Likewise, receipt of
a tank car placarded
for Class 3 with a
shipping paper
indicating a
flammable liquid does
not create a carrier
violation if the car,
in fact, contains a
corrosive. On the
other hand, receipt
of a placarded
trailer with a
shipping paper
listing only FAK
(``freight-all-
kinds''), imposes a
duty on the carrier
to inquire further
and to reject the
shipment if it is
improperly billed.)
--Improper hazardous 7,500
materials information
that could cause
delay or error in
emergency response.
--Total absence of 5,000
hazardous materials
information.
--Technical errors, 1,000
not likely to cause
problems, especially
with emergency
response.

[[Page 48]]

--Minor errors not 500
relating to hazardous
materials emergency
response, e.g., not
listing an exemption
number and the
exemption is not one
affecting emergency
response.
174.25......................... Preparing improper
movement documents.
(Similar to the
requirements in Sec.
174.24, here the
carrier is held
responsible for
preparing a movement
document that
accurately reflects
the shipping paper
tendered to it. With
no hazardous
materials information
on the shipper's bill
of lading, the
carrier is not in
violation--absent
knowledge of
hazardous contents--
for preparing a
nonhazardous movement
document. While
``movement
documents'' in the
rail industry used to
be waybills or switch
tickets (almost
exclusively),
carriers are now
incorporating the
essential information
into a consist,
expanded from its
former role as merely
a listing of the cars
in the train.)
--Information on the 15,000
movement document is
wrong to the extent
that it actually
caused or materially
contributed to a
reaction by emergency
responders that
aggravated the
situation or caused
or materially
contributed to
improper handling by
the carrier that led
to or materially
contributed to a
product release.
--Total lack of 7,500
hazardous materials
information on
movement document.
(Some shipping names
alone contain
sufficient
information to reduce
the guideline to the
next lower level, but
they may be such
dangerous products
that aggravation
needs to be
considered.).
--Some information is 5,000
present, but the
missing or improper
description could
cause mishandling by
the carrier or a
delay or error in
emergency response,
including missing
RESIDUE description
required by Sec.
174.25(c).
--Missing/improper 3,500
endorsement, unless
on a switch ticket as
allowed under Sec.
174.25(b).
--Movement document 2,500
does not indicate,
for a flatcar
carrying trailers or
containers, which
trailers or
containers contain
hazardous materials.
(If all trailers or
containers on the
flatcar contain
hazardous materials,
there is no
violation.).
--When the improper 1,000
description is not
likely to cause
serious problem
(technical defect).
--Minor errors not 500
related to hazardous
materials emergency
response, e.g., not
listing an exemption
number and the
exemption is not one
affecting emergency
response.
Note: Failure to
include emergency
response information
is covered at Sec.
172.600-604; while
the normal unit of
violation for
movement documents is
the whole document,
failure to provide
emergency response
information is a
separate violation.
174.26(a)...................... Failure to execute the 5,000
required POISON GAS
and EXPLOSIVES 1.1/
1.2 notices. (The
notice is the unit of
violation, because
one notice can cover
several shipments.).
Failure to deliver the 5,000
required POISON GAS
and EXPLOSIVES 1.1/
1.2 notices to train
and engine crew.
(Cite this, or the
above, as
appropriate.).
Failure to transfer 3,000
notice from crew to
crew. (Note that this
is very likely an
individual liability
situation; the
penalty guideline
listed here, however,
presumes action
against a railroad.).
Failure to keep copy 1,000
of notice on file.
174.26(b)...................... Train crew does not 6,000
have a document
indicating position
in train of each
loaded, placarded
car. Aggravate by 50%
for Poison Gas, 2.3,
and Explosives, 1.1
and 1.2. (Train is
the unit of
violation.).
--Technical violation, 1,000
e.g., car is listed
in correct relative
order, but not in
exact numerical
order, usually
because of addition
of car or cars to
head or tail of
train. (Note: Applies
only if the actual
location is off by 10
or fewer cars.).
174.26(c)...................... Improper paperwork in
possession of train
crew. (If the
investigation of an
accident reveals a
violation of this
section and Sec.
174.25, cite this
section.) (Shipment
is unit of violation,
although there is
justification for
making it the train
if a unified consist
is used to carry this
information and the
violation is a
pattern one
throughout all, or
almost all, of the
hazardous materials
shipments. For
intermodal traffic,
``shipment'' can mean
the container or
trailer--e.g., a UPS
trailer with several
non-disclosed
hazardous materials
packages would be one
unit.)
--Information on the 15,000
document possessed by
the train crew is
wrong to the extent
that it caused or
materially
contributed to a
reaction by emergency
responders that
aggravated the
situation or caused
or materially
contributed to
improper handling by
the carrier that led
to or materially
contributed to a
product release.

[[Page 49]]

--Total lack of 7,500
hazardous materials
information on
movement document.
(Some shipping names
alone contain
sufficient
information to reduce
the guideline to the
next lower level, but
they may be such
dangerous products
that aggravation
needs to be
considered.).
--Some information is 5,000
present but the
error(s) could cause
mishandling by the
carrier or a delay or
error in emergency
response. Includes
missing RESIDUE
description required
by Sec. 174.25(c).
--Improper 3,500
information, but the
hazardous materials
are small shipments
(e.g., UPS moves) and
PG III (e.g., the
``low hazard''
materials allowed in
TOFC/COFC service
without an exemption
since HM-197).
--Technical defect not 1,000
likely to cause delay
or error in emergency
response or carrier
handling.
--Minor error not 500
relating to emergency
response or carrier
handling, e.g., not
listing the exemption
number on document
and the exemption is
not one affecting
emergency response.
174.33......................... --Failure to maintain
``an adequate supply
of placards.'' [The
violation is for
``failure to
replace''; if missing
placards are
replaced, the supply
is obviously
adequate, if not,
failure to have a
placard is not a
separate violation
from failure to
replace it.]
--Failure to replace 1,000
lost or destroyed
placards based on
shipping paper
information. (This is
in addition to the
basic placarding
mistakes in, for
instance, Sec.
172.504.).
Note: A railroad's
placarding duties are
to not accept a car
without placards
[Sec. 172.508(b)];
to maintain an
``adequate supply''
of placards and to
replace them based on
shipping paper
information [Sec.
174.33]; and to not
transport a car
without placards
[Sec. 174.59]. At
each inspection
point, a railroad
must determine that
all placards are in
place. [Sec.
172.8(b)] The ``next
inspection point''
replacement
requirement in Sec.
174.59, q.v., refers
to placards that
disappear between
inspection points; a
car at an inspection
point must be
placarded because it
is in transportation,
even if held up at
that point. [49
U.S.C. 5102(12)]
174.45......................... Failure to report
hazardous materials
accidents or
incidents. Cite Secs.
171.15 or 171.16 as
appropriate.
174.50......................... Moving leaking tank 7,500
car unnecessarily.
Failure to stencil 3,500
leaking tank car.
Loss of product 15,000
resulted in human
being contact because
of improper carrier
handling.
174.55......................... Failure to block and
brace as prescribed.
(See also Secs.
174.61, .63, .101,
.112, .115; where
these more specific
sections apply, cite
them.) Note: The
regulatory
requirement is that
hazardous materials
packages be loaded
and securely blocked
and braced to prevent
the packages from
changing position,
falling to the floor,
or sliding into each
other. If the load is
tight and secure,
pieces of lumber or
other materials may
not be necessary to
achieve the ``tight
load'' requirement.
Be careful on these
and consult freely
with the expert
attorney and
specialists in the
Hazardous Materials
Division.
--General failure to 5,000
block and brace.
--Inadequate blocking 2,500
and bracing (an
attempt was made but
blocking/bracing was
insufficient.).
--Inadequate blocking 7,500
and bracing leading
to a leak.
--Inadequate blocking 15,000
and bracing leading
to a leak and human
being contact.
174.59......................... Marking and
placarding. Note: As
stated elsewhere, a
railroad's placarding
duties are to not
accept a car without
placards [Sec.
172.508(b)], to
maintain an
``adequate supply''
of placards and to
replace them based on
shipping paper
information [Sec.
174.33], and to not
transport a car
without placards
[Sec. 174.59]. At
each inspection
point, a railroad
must determine that
all placards are in
place. [Sec.
172.8(b)] The ``next
inspection point''
replacement
requirement in this
section refers to
placards that
disappear between
inspection points. A
car at an inspection
point must be
placarded because it
is in transportation
[49 U.S.C. 5102(12)],
even if held up at
that point. Because
the statute creates
civil penalty
liability only if a
violation is
``knowing,'' that is,
``a reasonable person
knew or should have
known that an act
performed by him was
in violation of the
HMR,'' and because
railroads are not
under a duty to
inspect hazardous
materials cars merely
standing in a yard,
violations written
for unplacarded cars
in yards must include
proof that the
railroad knew about
the unplacarded cars
and took no
corrective action
within a reasonable
time. (Note also that
the real problem with
unplacarded cars in a
railyard may be a
lack of emergency
response information,
Secs. 172.600-.604,
and investigation may
reveal that those
sections should be
cited instead of this
one.)
--Complete failure to 7,500
placard.

[[Page 50]]

--One placard missing 1,000
(add $1,000 per
missing placard up to
a total of three;
then use the
guideline above).
For other placarding
violations, see Secs.
172.500-.560 and
determine if one of
them more correctly
states the violation.
174.61......................... Improper 3,000
transportation of
transport vehicle or
freight container on
flat car. (Note: If
improper lading
restraint is the
violation, see Sec.
174.55; if improper
restraint of a bulk
packaging inside a
closed transport
vehicle is the
violation, see Sec.
174.63(b).).
174.63(a) & (c)................ --Improper 3,000
transportation of
portable tank or
other bulk packaging
in TOFC/COFC service.
--Improper 7,500
transportation
leading to a release
of product.
--Improper 15,000
transportation
leading to a release
and human being
contact.
174.63(b)...................... Improper securement of
bulk packaging inside
enclosed transport
vehicle or freight
container.
--General failure to 5,000
secure.
--Inadequate 2,500
securement (an
attempt to secure was
made but the means of
securement were
inadequate).
--Inadequate 7,500
securement leading to
a leak.
--Inadequate 15,000
securement leading to
a leak and human
being contact.
174.63(e)...................... Transportation of 7,500
cargo tank or multi-
unit tank car tank
without authorization
and in the absence of
an emergency.
174.67(a)(1)................... Tank car unloading 2,500
operations performed
by persons not
properly instructed
(case cannot be based
on inference).
174.67(a)(2)................... Unloading without
brakes set and/or
wheels blocked. (The
enforcement standard,
as per 1995 Hazardous
Materials Technical
Resolution Committee,
is that sufficient
handbrakes must be
applied on one or
more cars to prevent
movement and each car
with a handbrake set
must be blocked in
both directions. The
unloading facility
must make a
determination on how
many brakes to set.)
--No brakes set, no 5,000
wheels blocked, or
fewer brakes set/
wheels blocked than
facility's operating
plan.
--No brakes set, but 3,000
wheels blocked.
--Brakes set, but 4,000
wheels not blocked.
174.67(a)(3)................... Unloading without 2,000
cautions signs
properly displayed.
(See Part 218,
Subpart B).
174.67(c)(2)................... Failure to use non-
metallic block to
prop manway cover
open while unloading
through bottom outlet.
--Flammable or 3,000
combustible liquid,
or other product with
a vapor flash point
hazard.
--Material with no 500
vapor flammability
hazard.
174.67(h)...................... Insecure unloading 10,000
connections, such
that product is
actually leaking.
174.67(i)...................... Unattended unloading.. 5,000
174.67(j)...................... Discontinued unloading 2,000
without disconnecting
all unloading
connections,
tightening valves,
and applying closures
to all other
openings. (Note: If
the car is attended,
this subsection does
not apply.).
174.67(k)...................... Preparation of car
after unloading:
Removal of unloading
connections is
required, as is the
closing of all
openings with a
``suitable tool.''
Note: This subsection
requires unloading
connections to be
``removed'' when
unloading is
complete, Sec.
174.67(j) requires
them to be
``disconnected'' for
a temporary cessation
of unloading. The
penalties recommended
here mirror those in
Sec. 173.29, dealing
with insecure
closures generally.
--Hazardous material 2,000
with insignificant
vapor pressure and
without
classification as
``poison'' or
``inhalation hazard''.
--With actual leak.... 5,000
--With leak allowing 15,000
the product to
contact any human
being.
--Hazardous material 5,000
with vapor pressure
(essentially any gas
or compressed gas)
and/or with
classification as
``poison'' or
``inhalation hazard''.
--With actual leak.... 7,500
--With leak allowing 15,000
the product (or fumes
or vapors) to contact
any human being).
Note: Contact with
fumes must be
substantial.
174.69......................... --Complete failure to 6,000
remove loaded
placards and replace
with RESIDUE placard
on tank cars.
--Partial failure. 1,000
(Unit of violation is
the placard; the
guideline is used for
each placard up to 3,
then the penalty
above is applicable.).
174.81......................... --Failure to obey 6,000
segregation
requirements for
materials forbidden
to be stored or
transported together.
(``X'' in the table).
--Failure to obey 4,000
segregation
requirements for
materials that must
be separated to
prevent commingling
in the event of a
leak. (``O'' in the
table).
174.83(a)...................... Improper switching of 5,000
placarded rail cars.
174.83(b)...................... Improper switching of 8,000
loaded rail car
containing Division
1.1/1.2, 2.3 PG I
Zone A, or Division
6.1 PG I Zone A, or
DOT 113 tank car
placarded for 2.1.

[[Page 51]]

174.83(c)-(e).................. Improper switching of 5,000
placarded flatcar.
174.83(f)...................... Switching Division 1.1/ 8,000
1.2 without a buffer
car or placement of
Division 1.1/1.2 car
under a bridge or
alongside a passenger
train or platform.
174.84......................... Improper handling of 4,000
Division 1.1/1.2, 2.3
PG I Zone A, 6.1 PG I
Zone A in relation to
guard or escort cars.
174.85......................... Improper Train
Placement (The unit
of violation under
this section is the
car. Where more than
one placarded car is
involved, e.g., if 2
placarded cars are
too close to the
engine, both are
violations. Where
both have a similar
violation, e.g., a
Division 1.1 car next
to a loaded tank car
of a Class 3
material, each car
gets the appropriate
penalty as listed
below.)
RESIDUE car without at 3,000
least 1 buffer from
engine or occupied
caboose.
Placard Group 1--
Division 1.1/1.2
(Class A explosive)
materials
--Fewer than 6 cars 8,000
(where train length
permits) from engine
or occupied caboose.
--As above but with at 7,000
least 1 buffer.
--No buffer at all 8,000
(where train length
doesn't permit 5).
--Next to open top car 7,000
with lading beyond
car ends or, if
shifted, would be
beyond car ends.
--Next to loaded flat 6,000
car, except closed
TOFC/COFC equipment,
auto carriers,
specially equipped
car with tie-down
devices, or car with
permanent bulkhead.
--Next to operating 7,000
temperature-control
equipment or internal
combustion engine in
operation.
--Next to placarded 7,000
car, except one from
same placard group or
COMBUSTIBLE.
Placard Group 2--
Division 1.3/1.4/1.5
(Class B and C
explosives); Class 2
(compressed gas,
other than Division
2.3, PG 1 Zone A;
Class 3 (flammable
liquids); Class 4
(flammable solid);
Class 5 (oxidizing
materials); Class 6,
(poisonous liquids),
except 6.1 PG 1 Zone
A; Class 8 (corrosive
materials).
For tank cars:
--Fewer than 6 cars 6,000
(where train length
permits) from engine
or occupied caboose.
--As above but with at 5,000
least 1 buffer.
No buffer at all 6,000
(where train length
doesn't permit 5).
--Next to open top car 5,000
with lading beyond
car ends or, if
shifted, would be
beyond car ends.
--Next to loaded flat 4,000
car, except closed
TOFC/COFC equipment,
auto carriers,
specially equipped
car with tie-down
devices, or car with
permanent bulkhead.
--Next to operating 5,000
temperature-control
equipment or internal
combustion engine in
operation.
--Next to placarded 5,000
car, except one from
same placard group or
COMBUSTIBLE.
For other rail cars:
--Next to placarded 5,000
car, except one from
same placard group or
COMBUSTIBLE.
Placard Group 3--
Divisions 2.3 (PG 1
Zone A; poisonous
gases) and 6.1 (PG 1
Zone A; poisonous
materials)
For tank cars:
--Fewer than 6 cars 8,000
(where train length
permits) from engine
or occupied caboose.
--As above but with at 7,000
least 1 buffer.
No buffer at all 8,000
(where train length
doesn't permit 5).
--Next to open top car 7,000
with lading beyond
car ends or, if
shifted, would be
beyond car ends.
--Next to loaded flat 6,000
car, except closed
TOFC/COFC equipment,
auto carriers,
specially equipped
car with tie-down
devices, or car with
permanent bulkhead.
--Next to operating 7,000
temperature-control
equipment or internal
combustion engine in
operation.
--Next to placarded 7,000
car, except one from
same placard group or
COMBUSTIBLE.
For other rail cars:
--Next to placarded 5,000
car, except one from
same placard group or
COMBUSTIBLE.
Placard Group 4--Class
7 (radioactive)
materials.
For rail cars:
--Next to locomotive 8,000
or occupied caboose.
--Next to placarded 5,000
car, except one from
same placard group or
COMBUSTIBLE.
--Next to carload of 3,000
undeveloped film.
174.86......................... Exceeding maximum 3,000
allowable operating
speed (15 mph) while
transporting molten
metals or molten
glass.

[[Page 52]]

174.101(o)(4).................. Failure to have proper
explosives placards
on flatcar carrying
trailers/containers
placarded for Class
1. (Except for a
complete failure to
placard, the unit of
violation is the
placard.).
--Complete failure to 7,500
placard.
--One placard missing 1,000
(add $1,000 per
missing placard up to
a total of three,
then use the
guideline above).
174.104(f)..................... Failure to retain car 1,000
certificates at
``forwarding
station''.
Failure to attach car 1,000
certificates to car.
(Unit of violation is
the certificate, 2
are required.).
174.204........................ Improper tank car 3,000
delivery of gases
(Class 2 materials).
174.304........................ Improper tank car 3,000
delivery of flammable
liquids (Class 3
materials).
174.600........................ Improper tank car 5,000
delivery of materials
extremely poisonous
by inhalation
(Division 2.3 Zone A
or 6.1 Zone A
materials).
------------------------------------------------------------------------
PART 178
------------------------------------------------------------------------
178.2(b)........................... Package not
constructed according
to specifications--
also cite section not
complied with.
--Bulk packages, 8,000
including portable
tanks.
--55-gallon drum...... 2,500
--Smaller package..... 1,000
------------------------------------------------------------------------
PART 179
------------------------------------------------------------------------
179.1(e)........................... Tank car not 8,000
constructed according
to specifications--
also cite section not
complied with. (Note:
Part 179 violations
are against the
builder or repairer.
Sections in this Part
are often cited in
conjunction with
violations of Secs.
172.330 and 173.31
(a)&(b) by shippers.
In such cases, the
Part 179 sections are
cited as references,
not as separate
alleged violations.).
179.6.............................. Repair procedures not 5,000
in compliance with
Appendix R of the
Tank Car Manual.
------------------------------------------------------------------------
\1\ See Sec. 172.334.
\2\ See Sec. 172.516.
\3\ Varies.
\4\ See specific section.
\5\ See penalties: 172.700-.704.

[61 FR 38647, July 25, 1996]

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

Subpart A--General Provisions

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

Subpart B--Inspection and Testing

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

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

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

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

Subpart A--General Provisions

Sec. 210.1 Scope of part.

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

[[Page 53]]

Sec. 210.3 Applicability.

(a) Except as provided in paragraph (b) of this section, the
provisions of this part apply to the total sound emitted by moving rail
cars and locomotives (including the sound produced by refrigeration and
air conditioning units that are an integral element of such equipment),
active retarders, switcher locomotives, car coupling operations, and
load cell test stands, operated by a railroad as defined in 45 U.S.C.
22, under the conditions described in this part and in 40 CFR part 201.
(b) The provisions of this part do not apply to--
(1) Steam locomotives;
(2) Street, suburban, or interurban electric railways unless
operated as a part of the general railroad system of transportation;
(3) Sound emitted by warning devices, such as horns, whistles, or
bells when operated for the purpose of safety;
(4) Special purpose equipment that may be located on or operated
from rail cars;
(5) As prescribed in 40 CFR 201.10, the provisions of 40 CFR 201.11
(a) and (b) and (c) do not apply to gas turbinepowered locomotives or
any locomotive type that cannot be connected by any standard method to a
load cell; or
(6) Inert retarders.

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

Sec. 210.5 Definitions.

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

Sec. 210.7 Responsibility for noise defective railroad equipment.

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

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

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

Sec. 210.11 Waivers.

(a) Any person may petition the Administrator for a waiver of
compliance with any requirement in this part. A

[[Page 54]]

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

Sec. 210.13 Penalty.

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

Subpart B--Inspection and Testing

Sec. 210.21 Scope of subpart.

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

Sec. 210.23 Authorization.

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

[[Page 55]]

Sec. 210.25 Measurement criteria and procedures.

The parameters and procedures for the measurement of the noise
emission levels are prescribed in the Standards.
(a) Quantities measured are defined in Sec. 201.21 of the Standards.
(b) Requirements for measurement instrumentation are prescribed in
Sec. 201.22 of the Standards. In addition, the following calibration
procedures shall be used:
(1)(i) The sound level measurement system including the microphone
shall be calibrated and appropriately adjusted at one or more nominal
frequencies in the range from 250 through 1000 Hz at the beginning of
each series of measurements, at intervals not exceeding 1 (one) hour
during continual use, and immediately following a measurement indicating
a violation.
(ii) The sound level measurement system shall be checked not less
than once each year by its manufacturer, a representative of its
manufacturer, or a person of equivalent special competence to verify
that its accuracy meets the manufacturer's design criteria.
(2) An acoustical calibrator of the microphone coupler type designed
for the sound level measurement system in use shall be used to calibrate
the sound level measurement system in accordance with paragraph
(b)(1)(i) of this section. The calibration must meet or exceed the
accuracy requirements specified in section 5.4.1 of the American
National Standard Institute Standards, ``Method for Measurement of Sound
Pressure Levels,'' (ANSI S1.13-1971) for field method measurements.
(c) Acoustical environment, weather conditions, and background noise
requirements are prescribed in Sec. 201.23 of the Standards. In
addition, a measurement tolerance of 2 dB(A) for a given measurement
will be allowed to take into account the effects of the factors listed
below and the interpretations of these effects by enforcement personnel:
(1) The common practice of reporting field sound level measurements
to the nearest whole decibel;
(2) Variations resulting from commercial instrument tolerances;
(3) Variations resulting from the topography of the noise
measurement site;
(4) Variations resulting from atmospheric conditions such as wind,
ambient temperature, and atmospheric pressure; and
(5) Variations resulting from reflected sound from small objects
allowed within the test site.

Sec. 210.27 New locomotive certification.

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

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

The operation standards for the noise emission levels of moving
locomotives, rail cars, or consists of locomotives and rail cars are
prescribed in the Standards and duplicated in appendix A of this part.
(a) Measurements for compliance shall be made in compliance with the
provisions of subpart C of the Standards and the following:

[[Page 56]]

(1) Consists of locomotives containing at least one locomotive unit
manufactured prior to December 31, 1979, shall be evaluated for
compliance in accordance with Sec. 201.12(a) of the Standards, unless a
locomotive within the consist is separated by at least 10 rail car
lengths or 500 feet from other locomotives in the consist, in which case
such separated locomotives may be evaluated for compliance according to
their respective built dates.
(2) Consists of locomotives composed entirely of locomotive units
manufactured after December 31, 1979, shall be evaluated for compliance
in accordance with Sec. 201.12(b) of the Standards.
(3) If the inspector cannot establish the built dates of all
locomotives in a consist of locomotives measured under moving
conditions, evaluation for compliance shall be made in accordance with
Sec. 201.12(a) of the Standards.
(b) Noise emission standards for rail cars operating under moving
conditions are contained in Sec. 201.13 of the Standards and are stated
in appendix A of this part. If speed measurement equipment used by the
inspector at the time of the measurement is not operating within an
accuracy of 5 miles per hour, evaluation for compliance shall be made in
accordance with Sec. 201.13(2) of the Standards.
(c) Locomotives and rail cars tested pursuant to the procedures
prescribed in this part and in the Standards shall be considered in
noncompliance whenever the test measurement, minus the appropriate
tolerance (Sec. 210.25), exceeds the noise emission levels prescribed in
appendix A of this part.

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

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

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

(a) Measurement on receiving property of the noise emission levels
from

[[Page 57]]

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

Appendix A to Part 210--Summary of Noise Standards, 40 CFR Part 201
----------------------------------------------------------------------------------------------------------------
Noise
standard--A
Paragraph and section Noise source weighted Noise measure \1\ Measurement location
sound level
in dB
----------------------------------------------------------------------------------------------------------------
All Locomotives
Manufactured on or
Before 31 December
1979

201.11(a).................. Stationary, Idle 73 Lmax (slow)........... 30 m (100 ft)
Throttle Setting.
201.11(a).................. Stationary, All Other 93 ......do.............. Do.
Throttle Settings.
201.12(a).................. Moving................ 96 Lmax (fast)........... Do.

All Locomotives
Manufactured After 31
December 1979

201.11(b).................. Stationary, Idle 70 Lmax (slow)........... Do.
Throttle Setting.
201.11(b).................. Stationary, All Other 87 ......do.............. Do.
Throttle Settings.
201.12(b).................. Moving................ 90 Lmax (fast)........... Do.
201.11(c) and 201.12(c).... Additional Requirement 65 L90 (fast)\2\......... Receiving property
for Switcher
Locomotives
Manufactured on or
Before 31 December
1979 Operating in
Yards Where
Stationary Switcher
and other Locomotive
Noise Exceeds the
Receiving Property
Limit of.
201.11(c).................. Stationary, Idle 70 Lmax (slow)........... 30 m (100 ft)
Throttle Setting.
201.11(c).................. Stationary, All Other 87 ......do.............. Do.
Throttle Settings.
201.12(c).................. Moving................ 90 Lmax (fast)........... Do.

Rail Cars

201.13(1).................. Moving at Speeds of 45 88 ......do.............. Do.
mph or Less.
201.13(2).................. Moving at Speeds 93 ......do.............. Do.
Greater than 45 mph.

Other Yard Equipment
and Facilities

201.14..................... Retarders............. 83 Ladj ave max (fast)... Receiving property
201.15..................... Car-Coupling 92 ......do.............. Do.
Operations.
201.16..................... Locomotive Load Cell 65 L90 (fast)\2\......... Do.
Test Stands, Where
the Noise from
Locomotive Load Cell
Operations Exceeds
the Receiving
Property Limits of.
201.16(a).................. Primary Standard...... 78 Lmax (slow)........... 30 m (100 ft).
201.16(b).................. Secondary Standard if 65 L90 (fast)............ Receiving property
30-m Measurement Not located more than 120
Feasible. m from Load Cell.
----------------------------------------------------------------------------------------------------------------
\1\ Lmax=Maximum sound level; L90=Statistical sound level exceeded 90% of the time; Ladj ave max=Adjusted
average maximum sound level.
\2\ L90 must be validated by determining that L10-L99 is less than or equal to 4dB (A).

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

Appendix B to Part 210--Switcher Locomotive Enforcement Policy

The EPA standards require that the noise emissions from all switcher
locomotives in a particular facility be less than prescribed levels
measured at 30 meters, under all operating modes. This requirement is
deemed to be met unless ``receiving property'' noise due to switcher
locomotives exceeds 65 dB(A), when measured in accordance with subpart C
of 40 CFR part 201. The 65 dB(A) receiving property standard is the
``trigger'' for requiring the 30-meter test of switcher locomotives.
The purpose underlying FRA's enforcement of the noise standards is
to reduce the impact of rail operations noise on receiving properties.
In some instances, measures other than the 30-meter test approach may
more effectively reduce the noise levels at receiving properties;
therefore, FRA enforcement efforts will focus on abatement procedures
that will achieve a reduction of receiving property noise levels to less
than 65 dB(A).
For example, a parked, idling locomotive, even if equipped with
exhaust silencing that meets the stationary locomotive standard

[[Page 58]]

(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.

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

Subpart A--General

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

Subpart B--Rulemaking Procedures

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

Subpart C--Waivers

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

Subpart D--Emergency Orders

211.47 Review procedures.

Subpart E--Miscellaneous Safety-Related Proceedings and Inquiries

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

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

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

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

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

Subpart A--General

Sec. 211.1 General.

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

[[Page 59]]

(5) Railroad Safety Board means the Railroad Safety Board, Office of
Safety, Federal Railroad Administration, Washington, DC 20590.
(c) Records relating to proceedings and inquiries subject to this
part are available for inspection as provided in part 7 of this title.

Sec. 211.3 Participation by interested persons.

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

Sec. 211.5 Regulatory docket.

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

Sec. 211.7 Filing requirements.

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

Sec. 211.9 Content of rulemaking and waiver petitions.

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

[[Page 60]]

Subpart B--Rulemaking Procedures

Sec. 211.11 Processing of petitions for rulemaking.

(a) General. Each petition for rulemaking filed as prescribed in
Secs. 211.7 and 211.9 is referred to the head of the office responsible
for the subject matter of the petition to review and recommend
appropriate action to the Administrator. No public hearing or oral
argument is held before the Administrator decides whether the petition
should be granted. However, a notice may be published in the Federal
Register inviting written comments concerning the petition. Each
petition shall be granted or denied not later than six months after its
receipt by the Docket Clerk.
(b) Grants. If the Administrator determines that a rulemaking
petition complies with the requirements of Sec. 211.9 and that
rulemaking is justified, he initiates a rulemaking proceeding by
publishing an advance notice or notice of proposed rulemaking in the
Federal Register.
(c) Denials. If the Administrator determines that a rulemaking
petition does not comply with the requirements of Sec. 211.9 or that
rulemaking is not justified, he denies the petition. If the petition
pertains to railroad safety, the Administrator may also initiate an
informal safety inquiry under Sec. 211.61.
(d) Notification; closing of docket. Whenever the Administrator
grants or denies a rulemaking petition, a notice of the grant or denial
is mailed to the petitioner. If the petition is denied, the proceeding
is terminated and the docket for that petition is closed.

Sec. 211.13 Initiation and completion of rulemaking proceedings.

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

Sec. 211.15 Notice and participation.

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

Sec. 211.17 Publication and contents of notices.

Each advance notice or notice of proposed rulemaking is published in
the Federal Register and includes--
(a) A statement of the time, place and nature of the proposed
rulemaking proceeding;
(b) A reference to the authority under which it is issued;
(c) A description of the subjects or issues involved or the
substance or terms of the proposed rule;

[[Page 61]]

(d) A statement of the time within which written comments must be
submitted and the required number of copies; and
(e) A statement of how and to what extent interested persons may
participate in the proceeding.

Sec. 211.19 Petitions for extensions of time to comment.

(a) Any person may petition the Administrator for an extension of
time to submit comments in response to an advance notice or notice of
proposed rulemaking. The petition must be received by the Docket Clerk
not later than 10 days before expiration of the time stated in the
notice and must contain reference to the FRA docket number for the
proceeding involved. The filing of the petition does not automatically
extend the time for petitioner's comments.
(b) The Administrator grants the petition only if the petitioner
shows a substantive interest in the proposed rule and good cause for the
extension, and if time permits and the extension is in the public
interest. Extensions will not be granted unless time permits and will
not exceed one month. If an extension is granted, it is granted as to
all persons and a notice of the extension is published in the Federal
Register.

Sec. 211.21 Consideration of comments received.

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

Sec. 211.23 Additional public proceedings.

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

Sec. 211.25 Hearings.

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

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

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

Sec. 211.29 Petitions for reconsideration of a final rule.

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

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

[[Page 62]]

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

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

Subpart C--Waivers

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

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

Sec. 211.43 Processing of other waiver petitions.

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

[[Page 63]]

Subpart D--Emergency Orders

Sec. 211.47 Review procedures.

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

Subpart E--Miscellaneous Safety-Related Proceedings and Inquiries

Sec. 211.51 Tests.

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

Sec. 211.53 Signal applications.

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

Sec. 211.55 Special approvals.

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

[[Page 64]]

Sec. 211.57 Petitions for reconsideration.

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

Sec. 211.59 Proceedings on petitions for reconsideration.

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

Sec. 211.61 Informal safety inquiries.

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

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

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

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

Sec. 211.71 General.

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

Sec. 211.73 Presiding officer; powers.

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

Sec. 211.75 Evidence.

(a) The Federal Rules of Evidence for United States Courts and
Magistrates shall be employed as general guidelines for the introduction
of evidence in proceedings under this subpart. However, except as
provided in paragraph (b) of this section, all relevant and probative
evidence offered by a party shall be received in evidence.

[[Page 65]]

(b) The presiding officer may deny the admission of evidence which
is determined to be--
(1) Unduly repetitive; or
(2) So extensive and lacking in relevance or probative effect that
its admission would impair the prompt, orderly, and fair resolution of
the proceeding.

Sec. 211.77 Appeal to the Administrator.

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

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

Subpart A--General

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

Subpart B--State/Federal Roles

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

Subpart C--State Inspection Personnel

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

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

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

Subpart A--General

Sec. 212.1 Purpose and scope.

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

Sec. 212.3 Definitions.

As used in this part:
(a) Administrator means the Federal Railroad Administrator or the
Deputy Administrator or the delegate of either of them.
(b) Associate Administrator means the Associate Administrator for
Safety, Federal Railroad Administration (FRA), or the Deputy Associate
Administrator for Safety, FRA.
(c) FRA means the Federal Railroad Administration.
(d) Federal railroad safety laws means the following enactments,
together with regulations and orders issued under their authority:
(1) The Federal Railroad Safety Act of 1970, as amended (45 U.S.C.
421, 431-441);
(2) The Safety Appliance Acts, as amended (45 U.S.C. 1-16);
(3) The Locomotive Inspection Act, as amended (45 U.S.C. 22-34);
(4) The Signal Inspection Act, as amended (49 U.S.C. 26);
(5) The Accident Reports Act, as amended (45 U.S.C. 38-42);

[[Page 66]]

(6) The Hours of Service Act, as amended (45 U.S.C. 61-64(b); and
(7) The Hazardous Materials Transportation Act (49 app. U.S.C. 1801
et seq.), as it pertains to shipment or transportation by railroad.
(e) Manufacturer means a person that manufactures, fabricates,
marks, maintains, reconditions, repairs, or tests containers which are
represented, marked, certified, or sold for use in the bulk
transportation of hazardous materials by railroad.
(f) Shipper means a person that offers a hazardous material for
transportation or otherwise causes it to be transported.
(g) Planned compliance inspections means investigative and
surveillance activities described in the annual work plan required by
Sec. 212.109 of this part that provide basic surveillance of railroad
facilities, equipment and/or operations for the purpose of determining
the level of compliance with relevant Federal safety requirements.

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

Sec. 212.5 Filing.

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

Subpart B--State/Federal Roles

Sec. 212.101 Program principles.

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

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

Sec. 212.103 Investigative and surveillance authority.

(a) Subject to the requirements of this part, a State agency with
jurisdiction under State law may participate in investigative and
surveillance activities concerning Federal railroad safety laws and
regulations by entering into an agreement under Sec. 212.105 for the
exercise of specified authority.

[[Page 67]]

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

Sec. 212.105 Agreements.

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

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

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

Sec. 212.107 Certification.

(a) Scope. In the event the FRA and the State agency do not agree on
terms for the participation of the State under Sec. 212.105 of this part
and the State wishes to engage in investigative and surveillance
activities with respect to any

[[Page 68]]

rule, regulation, order, or standard issued under the authority of the
Federal Railroad Safety Act of 1970, the State shall file an annual
certification with respect to such activities.
(b) Content. The annual certification shall be filed not less than
60 days before the beginning of the Federal fiscal year to which it
applies, shall contain the information required by Sec. 212.105(e) of
this part and, in addition, shall certify that:
(1) The State agency has the authority and capability to conduct
investigative and surveillance activities under the requirements of this
part with respect to each rule, regulation, order or standard for which
certification is submitted; and
(2) The State agency will, at a minimum, conduct planned compliance
inspections meeting the level of effort prescribed in the applicable
appendix to this part.
(c) Action on certification. The Associate Administrator responds to
the filing of an annual certification within 60 days of its receipt by
accepting it or by rejecting it for cause stated.
(d) Delegation of authority. Acceptance of an annual certification
constitutes a delegation of authority to conduct investigative and
surveillance activities only to the extent that the delegation is
carried out through personnel recognized by the State and the FRA
(pursuant to subpart C of this part) to be qualified to perform the
particular investigative and surveillance activities to which the
personnel are assigned.

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

Sec. 212.109 Joint planning of inspections.

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

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

[57 FR 28115, June 24, 1992]

Sec. 212.111 Monitoring and other inspections.

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

Sec. 212.113 Program termination.

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

[[Page 69]]

Sec. 212.115 Enforcement actions.

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

Subpart C--State Inspection Personnel

Sec. 212.201 General qualifications of State inspection personnel.

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

[[Page 70]]

the applicable requirements of Secs. 212.203 through 212.229 of this
subpart.

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

Sec. 212.203 Track inspector.

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

Sec. 212.205 Apprentice track inspector.

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

Sec. 212.207 Signal and train control inspector.

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

[[Page 71]]

(4) Knowledge of operating practices and signal systems sufficient
to understand the safety significance of deviations and combination of
deviations; and
(5) Specialized knowledge of the requirements of the Rules,
Standards and Instructions for Railroad Signal Systems, including the
remedial action required to bring signal and train control systems into
compliance with the standards.

Sec. 212.209 Train control inspector.

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

Sec. 212.211 Apprentice signal and train control inspector.

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

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

(a) The MP&E inspector is required, at a minimum, to be able to
conduct independent inspections of railroad equipment for the purpose of
determining compliance with all sections of the Freight Car Safety
Standards (49 CFR part 215), Safety Glazing Standards (49 CFR part 223),
Locomotive Safety Standards (49 CFR part 229), Safety Appliance
Standards (49 CFR part 231), and Power Brake Standards (49 CFR part
232), to make reports of those inspections and to recommend the
institution of enforcement actions when appropriate to promote
compliance.
(b) The MP&E inspector is required, at a minimum, to have at least
four years of recent experience in the construction or maintenance of
railroad rolling equipment. A bachelor's degree in engineering or a
related technical specialization may be substituted for two of the four
years of this experience requirement and successful completion

[[Page 72]]

of the apprentice training program may be substituted for the four year
experience requirement.
(c) The MP&E inspector shall demonstrate the following
qualifications:
(1) A comprehensive knowledge of construction, testing, inspecting
and repair of railroad freight cars, passenger cars, locomotives and air
brakes;
(2) The ability to understand and detect deviations from:
(i) Railroad equipment maintenance standards accepted in the
industry; and
(ii) The Freight Car Safety Standards, Safety Glazing Standards,
Locomotive Safety Standards, Safety Appliance Standards and Power Brake
Standards.
(3) The knowledge of railroad operating procedures associated with
the operation of freight cars, passenger cars, locomotives and air
brakes sufficient to understand the safety significance of deviations
and combinations of deviations; and
(4) Specialized knowledge of proper remedial action to be taken in
order to bring defective freight cars, passenger cars, locomotives, and
air brakes into compliance with applicable Federal standards.

Sec. 212.215 Locomotive inspector.

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

Sec. 212.217 Car inspector.

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

[[Page 73]]

(i) Railroad freight and passenger car maintenance standards
accepted in the industry; and
(ii) The Freight Car Safety Standards (49 CFR part 215), Safety
Glazing Standards (49 CFR part 223), Safety Appliance Standards (49 CFR
part 231) and Power Brake Standards (49 CFR part 232);
(3) The knowledge of railroad operating procedures associated with
the operation of freight and passenger cars and air brakes sufficient to
understand the safety significance of deviations and combinations of
deviations; and
(4) Specialized knowledge of proper remedial action to be taken in
order to bring defective freight and passenger car equipment and air
brakes into compliance with applicable Federal standards.

Sec. 212.219 Apprentice MP&E inspector.

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

Sec. 212.221 Operating practices inspector.

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

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

Sec. 212.223 Operating practices compliance inspector.

(a) The operating practices compliance inspector is required, at a
minimum, to be able to conduct independent inspections for the purpose
of determining compliance with the requirements of the following:
(1) Operating Rules--blue flag (49 CFR part 218);
(2) Control of Alcohol and Drug Use (49 CFR part 219);
(3) Rear End Marking Device Regulations (49 CFR part 221);
(4) Railroad accidents/incidents: reports classification and
investigations (49 CFR part 225); and
(5) Hours of Service Act (45 U.S.C. 61-64b) and implementing
regulations (49 CFR part 228); to make reports of those inspections and
to recommend the institution of enforcement actions when appropriate to
promote compliance.
(b) The operating practices compliance inspector is required, at a
minimum, to have at least two years of recent experience in developing
or administering railroad operating rules.

[[Page 74]]

Successful completion of the apprentice training program may be
substituted for the two year experience requirement.
(c) The compliance inspector shall demonstrate the following
specific qualifications.
(1) A basic knowledge of railroad operations, duties of railroad
employees and general railroad safety as it relates to the protection of
railroad employees;
(2) A basic knowledge of railroad rules and practices;
(3) The ability to understand and detect deviations from the
requirements cited in paragraph (a) of this section; and
(4) Specialized knowledge of the requirements of the Federal
operating practices regulations listed in paragraph (a) of this section,
including the remedial action required to bring defective conditions
into compliance with the applicable Federal standards.

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

Sec. 212.225 Apprentice operating practices inspector.

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

Sec. 212.227 Hazardous materials inspector.

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

[57 FR 28115, June 24, 1992]

Sec. 212.229 Apprentice hazardous materials inspector.

(a) The apprentice hazardous materials inspector must be enrolled in
a program of training prescribed by the Associate Administrator for
Safety leading to qualification as a hazardous materials inspector. The
apprentice may not participate in investigative and surveillance
activities, except as

[[Page 75]]

an assistant to a qualified State or FRA inspector while accompanying
that qualified inspector.
(b) An apprentice hazardous materials inspector shall demonstrate a
basic knowledge of the chemical hazards associated with hazardous
materials that are transported by railroad, including requirements such
as shipping papers, marking, labeling, placarding, and the manufacturing
and maintenance of packagings associated with these shipments.

[57 FR 28116, June 24, 1992]

Sec. 212.231 Highway-rail grade crossing inspector.

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

[59 FR 50104, Sept. 30, 1994]

Sec. 212.233 Apprentice highway-rail grade crossing inspector.

(a) An apprentice highway-rail grade crossing inspector shall be
enrolled in a program of training prescribed by the Associate
Administrator for Safety leading to qualification as a highway-rail
grade crossing inspector. The apprentice inspector may not participate
in investigative and surveillance activities, except as an assistant to
a qualified State or FRA inspector while accompanying that qualified
inspector.
(b) Prior to being enrolled in the program the apprentice inspector
shall demonstrate:
(1) Working basic knowledge of electricity;

[[Page 76]]

(2) The ability to use electrical test equipment in direct current
and alternating current circuits; and
(3) A basic knowledge of highway-rail grade crossing inspection and
maintenance methods and procedures.

[59 FR 50104, Sept. 30, 1994]

Sec. 212.235 Inapplicable qualification requirements.

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

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

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

Subpart A--General

Sec.
213.1 Scope of part.
213.3 Application.
213.4 Excepted track.
213.5 Responsibility 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.

Subpart B--Roadbed

213.31 Scope.
213.33 Drainage.
213.37 Vegetation.

Subpart C--Track Geometry

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

Subpart D--Track Structure

213.101 Scope.
213.103 Ballast; general.
213.109 Crossties.
213.113 Defective rails.
213.115 Rail end mismatch.
213.121 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.

Subpart E--Track Appliances and Track-Related Devices

213.201 Scope.
213.205 Derails.

Subpart F--Inspection

213.231 Scope.
213.233 Track inspections.
213.235 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.

Subpart A--General

Sec. 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.

Sec. 213.3 Application.

(a) Except as provided in paragraph (b) of this section, this part
applies to all standard gage track in the general railroad system of
transportation.
(b) This part does not apply to track--

[[Page 77]]

(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]

Sec. 213.4 Excepted track.

A track owner may designate a segment of track as excepted track
provided that:
(a) The segment is identified in the timetable, special
instructions, general order, or other appropriate records which are
available for inspection during regular business hours;
(b) The identified segment is not located within 30 feet of an
adjacent track which can be subjected to simultaneous use at speeds in
excess of 10 miles per hour;
(c) The identified segment is inspected in accordance with
Sec. 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]

Sec. 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
Sec. 213.7(a), who has at least one year of supervisory experience in
railroad track maintenance, subject to conditions set forth in this
part.
(b) If an owner of track to which this part applies designates a
segment of track as ``excepted track'' under the provisions of
Sec. 213.4, operations may continue over that track without complying
with the provisions of subparts B, C, D, and E.
(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

[[Page 78]]

may hold the track owner or the assignee or both responsible for
compliance with this part and subject to penalties under Sec. 213.15.
(e) A common carrier by railroad which is directed by the 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]

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

(a) Each track owner to which this part applies shall designate
qualified persons to supervise restorations and renewals of track under
traffic conditions. Each person designated 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 Sec. 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]

Sec. 213.9 Classes of track: operating speed limits.

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

[In miles per hour]
------------------------------------------------------------------------
The The
maximum maximum
allowable allowable
Over track that meets all of the requirements operating operating
prescribed in this part for-- speed for speed for
freight passenger
trains is-- trains is--

------------------------------------------------------------------------
Class 1 track................................... 10 15
Class 2 track................................... 25 30
Class 3 track................................... 40 60
Class 4 track................................... 60 80
Class 5 track................................... 80 90
Class 6 track................................... 110 110
------------------------------------------------------------------------

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

[[Page 79]]

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

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

If during a period of restoration or renewal, track is under traffic
conditions and does not meet all of the requirements prescribed in this
part, the work on the track must be under the continuous supervision of
a person designated under Sec. 213.7(a) who has at least one year of
supervisory experience in railroad track maintenance. 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]

Sec. 213.13 Measuring track not under load.

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

[38 FR 875, Jan. 5, 1973]

Sec. 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 Sec. 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]

Sec. 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 Secs. 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]

[[Page 80]]

Subpart B--Roadbed

Sec. 213.31 Scope.

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

Sec. 213.33 Drainage.

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

Sec. 213.37 Vegetation.

Vegetation on railroad property which is on or immediately adjacent
to roadbed 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.

Subpart C--Track Geometry

Sec. 213.51 Scope.

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

Sec. 213.53 Gage.

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

------------------------------------------------------------------------
The gage must be at
Class of track least-- But not more than
------------------------------------------------------------------------
1...................... 4'8'' 4'10''
2 and 3................ 4'8'' 4'9\3/4\''
4 and 5................ 4'8'' 4'9\1/2\''
6...................... 4'8'' 4'9\1/4\''
------------------------------------------------------------------------

[36 FR 20336, Oct. 20, 1971, as amended at 47 FR 39402, Sept. 7, 1982]

Sec. 213.55 Alinement.

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

------------------------------------------------------------------------
Tangent Curved
track--The track--The
deviation of deviation of
the mid- the mid-
Class of track offset from ordinate
62-foot from 62-foot
line\1\ may chord\2\ may
not be more not be more
than-- than--
------------------------------------------------------------------------
1........................................... 5'' 5''
2........................................... 3'' 3''
3........................................... 1\3/4\'' 1\3/4\''
4........................................... 1\1/2\'' 1\1/2\''
5........................................... \3/4\'' \5/8\''
6........................................... \1/2\'' \3/8\''
------------------------------------------------------------------------
\1\The ends of the line must be at points on the gage side of the line
rail, five-eights of an inch below the top of the railhead. Either
rail may be used as the line rail, however, the same rail must be used
for the full length of that tangential segment of track.
\2\The ends of the chord must be at points on the gage side of the outer
rail, five-eighths of an inch below the top of the railhead.

Sec. 213.57 Curves; elevation and speed limitations.

(a) Except as provided in Sec. 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:

Vmax=(Ea+3)/0.0007d

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.

Sec. 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 Sec. 213.57(b).
(b) Elevation runoff must be at a uniform rate, within the limits of
track surface deviation prescribed in Sec. 213.63, and it must extend at
least the full

[[Page 81]]

length of the spirals. If physical conditions do not permit a spiral
long enough to accommodate the minimum length of runoff, part of the
runoff may be on tangent track.

Sec. 213.63 Track surface.

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

----------------------------------------------------------------------------------------------------------------
Class of track
Track surface -----------------------------------------------------
1 2 3 4 5 6
----------------------------------------------------------------------------------------------------------------
The runoff in any 31 feet of rail at the end of a raise
may not be more than..................................... 3\1/
2\'' 3'' 2'' 1\1/
2\'' 1'' \1/2\''
The deviation from uniform profile on either rail at the
midordinate of a 62-foot chord may not be more than...... 3'' 2\3/
4\'' 2\1/
4\'' 2'' 1\1/
4\'' \1/2\''
Deviation from designated elevation on spirals may not be
more than................................................ 1\3/
4\'' 1\1/
2\'' 1\1/
4\'' 1'' \3/4\'' \1/2\''
Variation in cross level on spirals in any 31 feet may not
be more than............................................. 2'' 1\3/
4\'' 1\1/
4\'' 1'' \3/4\'' \1/2\''
Deviation from zero cross level at any point on tangent or
from designated elevation on curves between spirals may
not be more than......................................... 3'' 2'' 1\3/
4\'' 1\1/
4\'' 1'' \1/2\''
The difference in cross level between any two points less
than 62 feet apart on tangents and curves between spirals
may not be more than..................................... 3'' 2'' 1\3/
4\'' 1\1/
4\'' 1'' \5/8\''
----------------------------------------------------------------------------------------------------------------

Subpart D--Track Structure

Sec. 213.101 Scope.

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

Sec. 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.

Sec. 213.109 Crossties.

(a) Crossties shall be made of a material to which rail can be
securely fastened.
(b) Each 39 foot segment of track shall have:
(1) A sufficient number of crossties which in combination provide
effective support that will:
(i) Hold gage within the limits prescribed in Sec. 213.53(b);
(ii) Maintain surface within the limits prescribed in Sec. 213.63;
and
(iii) Maintain alinement within the limits prescribed in
Sec. 213.55.
(2) The minimum number and type of crossties specified in 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.

[[Page 82]]

CLASSES 1 AND 2
[GRAPHIC] [TIFF OMITTED] TC01AP91.000

CLASSES 3 THROUGH 6
[GRAPHIC] [TIFF OMITTED] TC01AP91.001

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]

Sec. 213.113 Defective rails.

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

Remedial Action
----------------------------------------------------------------------------------------------------------------
Length of defect (inch) Percent of rail head
-------------------------- cross-sectional area If defective rail is
weakened by defect not replaced, take the
Defect But not -------------------------- remedial action
More than more than But not prescribed in note
Less than less than
----------------------------------------------------------------------------------------------------------------
Transverse fissure.................. ........... ........... 20 ........... B.
........... ........... 100 20 B.
........... ........... ........... 100 A.
Compound fissure.................... ........... ........... 20 ........... B.
........... ........... 100 20 B.
........... ........... ........... 100 A.
Detail fracture..................... ........... ........... 20 ........... C.
Engine burn fracture................ ........... ........... 100 20 D.
Defective weld...................... ........... ........... ........... 100 A or E and H.
Horizontal split head............... 0 2 ........... ........... H and F.

[[Page 83]]

2 4 ........... ........... I and G.
Vertical split head................. 4 ........... ........... ........... B.
(\1\) (\1\) (\1\) ........... A.
Split web........................... 0 \1/2\ ........... ........... H and F.
Piped rail.......................... \1/2\ 3 ........... ........... I and G.
Head web separation................. 3 ........... ........... ........... B.
(\1\) (\1\) (\1\) ........... A.
0 \1/2\ ........... ........... H and F.
Bolt hole crack..................... \1/2\ 1\1/2\ ........... ........... G.
1\1/2\ ........... ........... ........... B.
(\1\) (\1\) (\1\) ........... A.
Broken base......................... 0 6 ........... ........... E.
6 ........... ........... ........... A, or E and I.
Ordinary break...................... ........... ........... ........... ........... A or E.
Damaged rail........................ ........... ........... ........... ........... C.
----------------------------------------------------------------------------------------------------------------
\1\ Break out in rail head.

AAAAANotes:
A. Assigned person designated under Sec. 213.7 to visually supervise each operation over defective rail.
B. Limit operating speed over defective rail to that as authorized by a person designated under Sec. 213.7(a),
who has at least one year of supervisory experience in railroad track maintenance.
C. Apply joint bars bolted only through the outermost holes to defect within 20 days after it is determined to
continue the track in use. In the case of Classes 3 through 6 track, limit operating speed over defective rail
to 30 mph until angle bars are applied; thereafter limit speed to 60 mph or the maximum allowable speed under
Sec. 213.9 for the class of track concerned, whichever is lower.
D. Apply joint bars bolted only through the outermost holes to defect within 10 days after it is determined to
continue the track in use. In the case of Classes 3 through 6 track, limit operating speed over the defective
rail to 30 mph or less as authorized by a person designated under Sec. 213.7(a), who has at least one year of
supervisory experience in railroad track maintenance, until angle bars are applied; thereafter, limit speed to
60 mph or the maximum allowable speed under Sec. 213.9 for the class of track concerned, whichever is lower.
E. Apply joint bars to defect and bolt in accordance with Sec. 213.121 (d) and (e).
F. Inspect rail 90 days after it is determined to continue the track in use.
G. Inspect rail 30 days after it is determined to continue the track in use.
H. Limit operating speed over defective rail to 60 mph or the maximum allowable speed under Sec. 213.9 for the
class of track concerned, whichever is lower.
I. Limit operating speed over defective rail to 30 mph or the maximum allowable speed under Sec. 213.9 for the
class of track concerned, whichever is lower.

(b) As used in this section--
(1) Transverse Fissure means a progressive crosswise fracture
starting from a crystalline center or nucleus inside the head from which
it spreads outward as a smooth, bright, or dark, round or oval surface
substantially at a right angle to the length of the rail. The
distinguishing features of a transverse fissure from other types of
fractures or defects are the crystalline center or nucleus and the
nearly smooth surface of the development which surrounds it.
(2) Compound Fissure means a progressive fracture originating in a
horizontal split head which turns up or down in the head of the rail as
a smooth, bright, or dark surface progressing until substantially at a
right angle to the length of the rail. Compound fissures require
examination of both faces of the fracture to locate the horizontal split
head from which they originate.
(3) Horizontal Split Head means a horizontal progressive defect
originating inside of the rail head, usually one-quarter inch or more
below the running surface and progressing horizontally in all
directions, and generally accompanied by a flat spot on the running
surface. The defect appears as a crack lengthwise of the rail when it
reaches the side of the rail head.
(4) Vertical Split Head means a vertical split through or near the
middle of the head, and extending into or through it. A crack or rust
streak may show under the head close to the web or pieces may be split
off the side of the head.
(5) Split Web means a lengthwise crack along the side of the web and
extending into or through it.
(6) Piped Rail means a vertical split in a rail, usually in the web,
due to

[[Page 84]]

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]

Sec. 213.115 Rail end mismatch.

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

------------------------------------------------------------------------
Any mismatch of rails at
joints may not be more
than the following--
---------------------------
Class of track On the gage
On the trend side of the
of the rail rail ends
ends (inch) (inch)
------------------------------------------------------------------------
1........................................... \1/4\ \1/4\
2........................................... \1/4\ \3/16\
3........................................... \3/16\ \3/16\
4, 5........................................ \1/8\ \1/8\
6........................................... \1/8\ \1/8\
------------------------------------------------------------------------

Sec. 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.

Sec. 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]

Sec. 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 Sec. 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 Sec. 212.75).

[47 FR 39404, Sept. 7, 1982]

Sec. 213.133 Turnouts and track crossings generally.

(a) In turnouts and track crossings, the fastenings must be intact
and

[[Page 85]]

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]

Sec. 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.

Sec. 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.

Sec. 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.

Sec. 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.

Sec. 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:

------------------------------------------------------------------------
Guard check
gage--The
distance
between the Guard face
gage line of gage--The
a frog to distance
the guard between
line\1\ of guard
its guard lines,\1\
rail or measured
Class of track guarding across the
face, track at
measured right angles
across the to the gage
track at line,\2\ may
right angles not be more
to the gage than--
line,\2\ may
not be less
than--
------------------------------------------------------------------------
1........................................... 4'6\1/8\'' 4'5\1/4\''
2........................................... 4'6\1/4\'' 4'5\1/8\''
3, 4........................................ 4'6\3/8\'' 4'5\1/8\''

[[Page 86]]

5, 6........................................ 4'6\1/2\'' 4'5''
------------------------------------------------------------------------
\1\Aline along that side of the flangeway which is nearer to the center
of the track and at the same elevation as the gage line.
\2\Aline \5/8\ inch below the top of the center line of the head of the
running rail, or corresponding location of the tread portion of the
track structure.

Subpart E--Track Appliances and Track-Related Devices

Sec. 213.201 Scope.

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

Sec. 213.205 Derails.

(a) Each derail 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]

Subpart F--Inspection

Sec. 213.231 Scope.

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

Sec. 213.233 Track inspections.

(a) All track must be inspected in accordance with the schedule
prescribed in paragraph (c) of this section by a person designated under
Sec. 213.7.
(b) Each inspection 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:

------------------------------------------------------------------------
Class of track Type of track Required frequency
------------------------------------------------------------------------
Weekly with at
least 3 calendar
days interval
between
inspections, or
Before use, if the
track is used less
than once a week,
or
1, 2, 3........................ Main track and Twice weekly with
sidings. at least 1
calendar day
interval between
inspections, if
the track carries
passenger trains
or more than 10
million gross tons
of traffic during
the preceding
calendar year.
1, 2, 3........................ Other than main Monthly with at
track and sidings. least 20 calendar
days interval
between
inspections.
4, 5, 6........................ .................. Twice weekly with
at least 1
calendar day
interval between
inspections.
------------------------------------------------------------------------

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

[36 FR 20336, Oct. 20, 1971, as amended at 40 FR 8558, Feb. 28, 1975]

Sec. 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.

Sec. 213.237 Inspection of rail.

(a) In addition to the track inspections required by Sec. 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

[[Page 87]]

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]

Sec. 213.239 Special inspections.

In the event of fire, flood, severe storm, or other occurrence which
might have damaged track structure, a special inspection must be made of
the track involved as soon as possible after the occurrence.

Sec. 213.241 Inspection records.

(a) Each owner of track to which this part applies shall keep a
record of each inspection required to be performed on that track under
this subpart.
(b) Each record of an inspection under Secs. 213.4, 213.233 and
213.235 shall be prepared on the day the inspection is made and signed
by the person making the inspection. Records 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]

[[Page 88]]

Appendix A to Part 213--Maximum Allowable Operating Speeds for Curved Track
Elevation of outer rail (inches)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Degree of curvature 0 \1/2\ 1 1\1/2\ 2 2\1/2\ 3 3\1/2\ 4 4\1/2\ 5 5\1/2\ 6
--------------------------------------------------------------------------------------------------------------------------------------------------------
Maximum allowable operating speed (mph)

--------------------------------------------------------------------------------------------------------------------------------------------------------
0 deg.30'....................................... 93 100 107 ...... ...... ...... ...... ...... ...... ...... ...... ...... ......
0 deg.40'....................................... 80 87 93 98 103 109 ...... ...... ...... ...... ...... ...... ......
0 deg.50'....................................... 72 78 83 88 93 97 101 106 110 ...... ...... ...... ......
1 deg.00'....................................... 66 71 76 80 85 89 93 96 100 104 107 110 ......
1 deg.15'....................................... 59 63 68 72 76 79 83 86 89 93 96 99 101
1 deg.30'....................................... 54 58 62 66 69 72 76 79 82 85 87 90 93
1 deg.45'....................................... 50 54 57 61 64 67 70 73 76 78 81 83 86
2 deg.00'....................................... 46 50 54 57 60 63 66 68 71 73 76 78 80
2 deg.15'....................................... 44 47 50 54 56 59 62 64 67 69 71 74 76
2 deg.30'....................................... 41 45 48 51 54 56 59 61 63 66 68 70 72
2 deg.45'....................................... 40 43 46 48 51 54 56 58 60 62 65 66 68
3 deg.00'....................................... 38 41 44 46 49 51 54 56 58 60 62 64 66
3 deg.15'....................................... 36 39 42 45 47 49 51 54 56 57 59 61 63
3 deg.30'....................................... 35 38 40 43 45 47 50 52 54 55 57 59 61
3 deg.45'....................................... 34 37 39 41 44 46 48 50 52 54 55 57 59
4 deg.00'....................................... 33 35 38 40 42 44 46 48 50 52 54 55 57
4 deg.30'....................................... 31 33 36 38 40 42 44 45 47 49 50 52 54
5 deg.00'....................................... 29 32 34 36 38 40 41 43 45 46 48 49 51
5 deg.30'....................................... 28 30 32 34 36 38 40 41 43 44 46 47 48
6 deg.00'....................................... 27 29 31 33 35 36 38 39 41 42 44 45 46
6 deg.30'....................................... 26 28 30 31 33 35 36 38 39 41 42 43 45
7 deg.00'....................................... 25 27 29 30 32 34 35 36 38 39 40 42 43
8 deg.00'....................................... 23 25 27 28 30 31 33 34 35 37 38 39 40
9 deg.00'....................................... 22 24 25 27 28 30 31 32 33 35 36 37 38
10 deg.00'...................................... 21 22 24 25 27 28 29 31 32 33 34 35 36
11 deg.00'...................................... 20 21 23 24 26 27 28 29 30 31 32 33 34
12 deg.00'...................................... 19 20 22 23 24 26 27 28 29 30 31 32 33
--------------------------------------------------------------------------------------------------------------------------------------------------------

[36 FR 20336, Oct. 20, 1971, as amended at 38 FR 876, Jan. 5, 1973]

[[Page 89]]

Appendix B to Part 213--Schedule of Civil Penalties\1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
Subpart A--General:
213.4(a) Excepted track\2\................ $2,500 $5,000
213.4(b) Excepted track\2\................ 2,500 5,000
213.4(c) Excepted track\2\................ 2,500 5,000
213.4(d) Excepted track\2\................ 2,500 5,000
213.4(e):
1 Excepted track...................... 5,000 7,500
2 Excepted track...................... 7,000 10,000
32 Excepted track..................... 7,000 10,000
213.7 Designation of qualified persons to
supervise certain renewals and inspect
track.................................... 1,000 2,000
213.9 Classes of track:
Operating speed limits................ 2,500 5,000
213.11 Restoration or renewal of track
under traffic conditions................. 2,500 5,000
213.13 Measuring track not under load.... 1,000 2,000
Subpart B--Roadbed:
213.33 Drainage.......................... 2,500 5,000
213.37 Vegetation........................ 1,000 2,000
Subpart C--Track geometry:
213.53 Gage.............................. 5,000 7,500
213.55 Alinement......................... 5,000 7,500
213.57 Curves; elevation and speed
limitations.............................. 2,500 5,000
213.59 Elevation of curved track; runoff. 2,500 5,000
213.63 Track surface..................... 5,000 7,500
Subpart D--Track surface:
213.103 Ballast; general................. 2,500 5,000
213.109 Crossties
(a) Material used..................... 1,000 2,000
(b) Distribution of ties.............. 2,500 5,000
(c) Sufficient number of nondefective
ties................................. 1,000 2,000
(d) Joint ties........................ 2,500 5,000
213.113 Defective rails................... 5,000 7,500
213.115 Rail end mismatch................. 2,500 5,000
213.121 (a) Rail joints................... 2,500 5,000
213.121 (b) Rail joints................... 2,500 5,000
213.121 (c) Rail joints................... 5,000 7,500
213.121 (d) Rail joints................... 2,500 5,000
213.121 (e) Rail joints................... 2,500 5,000
213.121 (f) Rail joints................... 2,500 5,000
213.121 (g) Rail joints................... 5,000 7,500
213.123 Tie plates........................ 1,000 2,000
213.127 Track spikes...................... 2,500 5,000
213.133 Turnouts and track crossings
generally................................ 1,000 2,000
213.135 Switches:
(a) through (g)....................... 2,500 5,000
(h) chipped or worn points............ 5,000 7,500
213.137 Frogs............................ 2,500 5,000
213.139 Spring rail frogs................ 5,000 7,500
213.141 Self-guarded frogs............... 2,500 5,000
213.143 Frog guard rails and guard faces;
gage..................................... 2,500 5,000
Subpart E--Track appliances and track-related
devices:
213.205 Derails.......................... 2,500 5,000
Subpart F--Inspection:
213.233 Track inspections................ 2,000 4,000
213.235 Switch and track crossings
inspections.............................. 2,000 4,000
213.237 Inspection of rail............... 2,500 5,000
213.239 Special inspections.............. 2,500 5,000
213.241 Inspection records............... 1,000 2,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.
\2\ In addition to assessment of penalties for each instance of
noncompliance with the requirements identified by this footnote, track
segments designated as excepted track that are or become ineligible
for such designation by virtue of noncompliance with any of the
requirements to which this footnote applies are subject to all other
requirements of part 213 until such noncompliance is remedied.

[53 FR 52924, Dec. 29, 1988]

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

Subpart A--General

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

Subpart B--Bridge Worker Safety Standards

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

Appendix A to Part 214--Schedule of Civil Penalties

Authority: 45 U.S.C. 431, 438, as amended; 49 CFR 1.49(m).

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

Subpart A--General

Sec. 214.1 Purpose and scope.

(a) The purpose of this part is to prevent accidents and casualties
to employees involved in certain railroad inspection, maintenance and
construction activities.

[[Page 90]]

(b) This part prescribes minimum Federal safety standards for the
railroad workplace safety subjects addressed herein. This part does not
restrict a railroad or railroad contractor from adopting and enforcing
additional or more stringent requirements not inconsistent with this
part.

Sec. 214.3 Application.

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

Sec. 214.5 Responsibility for compliance.

Any person (including a railroad and any manager, supervisor,
official, or other employee or agent of a railroad or railroad
contractor) who violates any requirement of this part or causes the
violation of any such requirement is subject to a civil penalty of at
least $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,
or has caused death or injury, a penalty not to exceed $20,000 per
violation may be assessed. See appendix A to this part for a statement
of agency civil penalty policy.

Sec. 214.7 Definitions.

(a) Anchorage means a secure point of attachment for lifelines,
lanyards or deceleration devices that is independent of the means of
supporting or suspending the employee.
(b) Body belt means a strap that can be secured around the waist or
body and attached to a lanyard, lifeline, or deceleration device.
(c) Body harness means a device with straps that is secured about
the employee in a manner so as to distribute the fall arrest forces over
(at least) the thighs, shoulders, pelvis, waist, and chest and that can
be attached to a lanyard, lifeline, or deceleration device.
(d) Competent person means one who is capable of identifying
existing and predictable hazards in the workplace and who is authorized
to take prompt corrective measures to eliminate them.
(e) Deceleration device means any mechanism, including, but not
limited to, rope grabs, ripstitch lanyards, specially woven lanyards,
tearing or deforming lanyards, and automatic self-retracting lifelines/
lanyards that serve to dissipate a substantial amount of energy during a
fall arrest, or otherwise limit the energy on an employee during fall
arrest.
(f) Equivalent means alternative designs, materials, or methods that
the railroad or railroad contractor can demonstrate will provide equal
or greater safety for employees than the means specified in this part.
(g) Free fall means the act of falling before the personal fall
arrest system begins to apply force to arrest the fall.
(h) Free fall distance means the vertical displacement of the fall
arrest attachment point on the employee's body belt or body harness
between onset of the fall and the point at which the system begins to
apply force to arrest the fall. This distance excludes deceleration
distance and lifeline and lanyard elongation, but includes any
deceleration device slide distance or self-retracting lifeline/lanyard
extension before they operate and fall arrest forces occur.
(i) Lanyard means a flexible line of rope, wire rope, or strap that
is used to secure a body belt or body harness to a deceleration device,
lifeline, or anchorage.
(j) Lifeline means a component of a fall arrest system consisting of
a flexible line that connects to an anchorage at one end to hang
vertically (vertical lifeline) or to an anchorage at both ends to
stretch horizontally (horizontal lifeline), and that serves as a means
for connecting other components of a personal fall arrest system to the
anchorage.
(k) Personal fall arrrest system means a system used to arrest the
fall of an employee from a working level. It consists of an anchorage,
connectors, body harness or body belt, lanyard, deceleration device,
lifeline, or combination of these.
(l) 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

[[Page 91]]

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) Railroad employee or employee as used in subpart B means any
employee of, or employee of a contractor of, a railroad owning or
responsible for the construction, inspection, testing, or maintenance of
a bridge whose assigned duties, if performed on the bridge, include
inspection, testing, maintenance, repair, construction, or
reconstruction of the track, bridge structural members, operating
mechanisms and water traffic control systems, or signal, communication,
or train control systems integral to that bridge.
(n) Railroad bridge means a structure supporting one or more
railroad tracks above land or water with a span length of 12 feet or
more measured along the track centerline. This term applies to the
entire structure between the faces of the backwalls of abutments or
equivalent components, regardless of the number of spans, and includes
all such structures, whether of timber, stone, concrete, metal, or any
combination thereof.
(o) Self-retracting lifeline/lanyard means a deceleration device
that contains a drum-wound line that may be slowly extracted from, or
retracted onto, the drum under slight tension during normal employee
movement, and which, after onset of a fall, automatically locks the drum
and arrests the fall.
(p) Snap-hook means a connector comprised of a hook-shaped member
with a normally closed keeper, that may be opened to permit the hook to
receive an object and, when released, automatically closes to retain the
object.

Subpart B--Bridge Worker Safety Standards

Sec. 214.101 Purpose and scope.

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

Sec. 214.103 Fall protection, generally.

(a) Except as provided in paragraphs (b) through (d) of this
section, when employees work twelve feet or more above the ground or
water surface, they shall be provided and shall use a personal fall
arrest system or safety net system. All fall protection systems required
by this section shall conform to the standards set forth in Sec. 214.105
of this subpart.
(b)(1) This section shall not apply if the installation of the fall
arrest system poses a greater exposure to risk than the work to be
performed. In any action brought by FRA to enforce the fall protection
requirements, the railroad or railroad contractor shall have the burden
of proving that the installation of such device poses greater exposure
to risk than performance of the work itself.

[[Page 92]]

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

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

Sec. 214.105 Fall protection systems standards and practices.

(a) General requirements. All fall protection systems required by
this subpart shall conform to the following:
(1) Fall protection systems shall be used only for employee fall
protection.
(2) Any fall protection system subjected to impact loading shall be
immediately and permanently removed from service unless fully inspected
and determined by a competent person to be undamaged and suitable for
reuse.
(3) All fall protection system components shall be protected from
abrasions, corrosion, or any other form of deterioration.
(4) All fall protection system components shall be inspected prior
to each use for wear, damage, corrosion, mildew, and other
deterioration. Defective components shall be permanently removed from
service.
(5) Prior to use and after any component or system is changed,
employees shall be trained in the application limits of the equipment,
proper hook-up, anchoring and tie-off techniques, methods of use, and
proper methods of equipment inspection and storage.
(6) The railroad or railroad contractor shall provide for prompt
rescue of employees in the event of a fall.
(7) Connectors shall have a corrosion-resistant finish, and all
surfaces and edges shall be smooth to prevent damage to interfacing
parts of the system.
(8) Connectors shall be drop forged, pressed or formed steel, or
made of equivalent-strength materials.
(9) Anchorages, including single- and double-head anchors, shall be
capable of supporting at least 5,000 pounds per employee attached, or
shall be designed, installed, and used under the supervision of a
qualified person as

[[Page 93]]

part of a complete personal fall protection system that maintains a
safety factor of at least two.
(b) Personal fall arrest systems. All components of a personal fall
arrest system shall conform to the following standards:
(1) Lanyards and vertical lifelines that tie off one employee shall
have a minimum breaking strength of 5,000 pounds.
(2) Self-retracting lifelines and lanyards that automatically limit
free fall distance to two feet or less shall have components capable of
sustaining a minimum static tensile load of 3,000 pounds applied to the
device with the lifeline or lanyard in the fully extended position.
(3) Self-retracting lifelines and lanyards that do not limit free
fall distance to two feet or less, ripstitch, and tearing and deformed
lanyards shall be capable of withstanding 5,000 pounds applied to the
device with the lifeline or lanyard in the fully extended position.
(4) Horizontal lifelines shall be designed, installed, and used
under the supervision of a competent person, as part of a complete
personal fall arrest system that maintains a safety factor of at least
two.
(5) Lifelines shall not be made of natural fiber rope.
(6) The personal fall arrest system shall limit the maximum
arresting force on an employee to 900 pounds when used with a body belt.
(7) The personal fall arrest system shall limit the maximum
arresting force on an employee to 1,800 pounds when used with a body
harness.
(8) The personal fall arrest system shall bring an employee to a
complete stop and limit maximum deceleration distance an employee
travels to 3.5 feet.
(9) The personal fall arrest system shall have sufficient strength
to withstand twice the potential impact energy of an employee free
falling a distance of six feet, or the free fall distance permitted by
the system, whichever is less.
(10) The personal fall arrest system shall be arranged so that an
employee cannot free fall more than six feet and cannot contact the
ground or any lower horizontal surface of the bridge.
(11) Personal fall arrest systems shall be worn with the attachment
point of the body belt located in the center of the wearer's back, and
the attachment point of the body harness located in the center of the
wearer's back near shoulder level, or above the wearer's head.
(12) When vertical lifelines are used, each employee shall be
provided with a separate lifeline.
(13) Devices used to connect to a horizontal lifeline that may
become a vertical lifeline shall be capable of locking in either
direction.
(14) Dee-rings and snap-hooks shall be capable of sustaining a
minimum tensile load of 3,600 pounds without cracking, breaking, or
taking permanent deformation.
(15) Dee-rings and snap-hooks shall be capable of sustaining a
minimum tensile load of 5,000 pounds.
(16) Snap-hooks shall not be connected to each other.
(17) Snap-hooks shall be dimensionally compatible with the member to
which they are connected to prevent unintentional disengagement, or
shall be a locking snap-hook designed to prevent unintentional
disengagement.
(18) Unless of a locking type, snap-hooks shall not be engaged:
(i) Directly next to webbing, rope, or wire rope;
(ii) To each other;
(iii) To a dee-ring to which another snap-hook or other connector is
attached;
(iv) To a horizontal lifeline; or
(v) To any object that is incompatibly shaped or dimensioned in
relation to the snap-hook so that unintentional disengagement could
occur.
(c) Safety net systems. Use of safety net systems shall conform to
the following standards and practices:
(1) Safety nets shall be installed as close as practicable under the
walking/working surface on which employees are working, but shall not be
installed more than 30 feet below such surface.
(2) If the distance from the working surface to the net exceeds 30
feet, employees shall be protected by personal fall arrest systems.

[[Page 94]]

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

Sec. 214.107 Working over or adjacent to water.

(a) Employees working over or adjacent to water with a depth of four
feet or more, or where the danger of drowning exists, shall be provided
and shall use life vests or buoyant work vests in compliance with U.S.
Coast Guard requirements in 46 CFR 160.047, 160.052, and 160.053. Life
preservers in compliance with U.S. Coast Guard requirements in 46 CFR
160.055 shall also be within ready access. This section shall not apply
to employees using personal fall arrest systems or safety nets that
comply with this subpart.
(b) Life vests or bouyant work vests shall not be required when
employees are conducting inspections that involve

[[Page 95]]

climbing structures above or below the bridge deck.
(c) Prior to each use, all flotation devices shall be inspected for
defects that reduce their strength or bouyancy by designated individuals
trained by the railroad or railroad contractor. Defective units shall
not be used.
(d) Where life vests are required by paragraph (a) of this section,
ring buoys with at least 90 feet of line shall be provided and readily
available for emergency rescue operations. Distance between ring buoys
shall not exceed 200 feet.
(e) Where life vests are required, at least one lifesaving skiff,
inflatable boat, or equivalent device shall be immediately available. If
it is determined by a competent person that environmental conditions,
including weather, water speed, and terrain, merit additional
protection, the skiff or boat shall be manned.

Sec. 214.109 Scaffolding.

(a) Scaffolding used in connection with railroad bridge maintenance,
inspection, testing, and construction shall be constructed and
maintained in a safe condition and meet the following minimum
requirements:
(1) Each scaffold and scaffold component, except suspension ropes
and guardrail systems, but including footings and anchorage, shall be
capable of supporting, without failure, its own weight and at least four
times the maximum intended load applied or transmitted to that scaffold
or scaffold component.
(2) Guardrail systems shall be capable of withstanding, without
failure, a force of at least 200 pounds applied within two inches of the
top edge, in any outward or downward direction, at any point along the
top edge.
(3) Top edge height of toprails, or equivalent guardrail system
member, shall be 42 inches, plus or minus three inches. Supports shall
be at intervals not to exceed eight feet. Toeboards shall be a minimum
of four inches in height.
(4) Midrails, screens, mesh, intermediate vertical members, solid
panels, and equivalent structural members shall be capable of
withstanding, without failure, a force of at least 150 pounds applied in
any downward or outward direction at any point along the midrail or
other member.
(5) Midrails shall be installed at a height midway between the top
edge of the guardrail system and the walking/working level.
(b) Scaffolds shall not be altered or moved while they are occupied.
This paragraph does not apply to vertical movements of mobile scaffolds
that are designed to move vertically while occupied.
(c) An access ladder or equivalent safe access shall be provided.
(d) All exposed surfaces shall be prepared and cleared to prevent
injury due to laceration, puncture, tripping, or falling hazard.
(e) All scaffold design, construction, and repair shall be completed
by competent individuals trained and knowledgeable about design
criteria, intended use, structural limitations, and procedures for
proper repair.
(f) Manually propelled mobile ladder stands and scaffolds shall
conform to the following:
(1) All manually propelled mobile ladder stands and scaffolds shall
be capable of carrying the design load.
(2) All ladder stands, scaffolds, and scaffold components shall be
capable of supporting, without failure, displacement, or settlement, its
own weight and at least four times the maximum intended load applied or
transmitted to that ladder stand, scaffold, or scaffold component.
(3) All exposed surfaces shall be free from sharp edges or burrs.
(4) The maximum work level height shall not exceed four times the
minimum or least base dimensions of any mobile ladder stand or scaffold.
Where the basic mobile unit does not meet this requirement, suitable
outrigger frames shall be employed to achieve this least base dimension,
or equivalent provisions shall be made to guy or brace the unit against
tipping.
(5) The minimum platform width for any work level shall not be less
than 20 inches for mobile scaffolds (towers). Ladder stands shall have a
minimum step width of 16 inches. The steps of ladder stands shall be
fabricated from slip resistant treads.

[[Page 96]]

(6) Guardrails and midrails shall conform to the requirements listed
in paragraph (a) of this section.
(7) A climbing ladder or stairway shall be provided for proper
access and egress, and shall be affixed or built into the scaffold and
so located that in its use it will not have a tendency to tip the
scaffold.
(8) Wheels or casters shall be capable of supporting, without
failure, at least four times the maximum intended load applied or
transmitted to that component. All scaffold casters shall be provided
with a positive wheel and/or swivel lock to prevent movement. Ladder
stands shall have at least two of the four casters and shall be of the
swivel type.

Sec. 214.111 Personal protective equipment, generally.

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

[59 FR 30883, June 16, 1994]

Sec. 214.113 Head protection.

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

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

Sec. 214.115 Foot protection.

(a) The railroad or railroad contractor shall require railroad
employees to wear foot protection equipment when potential foot injury
may result from impact, falling or flying objects, electrical shock or
burns, or other hazardous condition.
(b) Safety-toe footwear for railroad employees shall conform to the
national consensus standards for safety-toe footwear (American National
Standards Institute, American National Standard Z41-1991, Standard for
Personal Protection--Protective Footwear). This incorporation by
reference was approved by the Director of the Federal Register in
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be
obtained from the American National Standards Institute, 11 West 42nd
Street, New York, NY 10036. Copies may be inspected at the Federal
Railroad Administration, Docket Clerk, 400 7th Street, SW., Washington,
DC, or at the Office of the Federal Register, 800 North Capitol Street,
NW., suite 700, Washington, DC.

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

Sec. 214.117 Eye and face protection.

(a) Railroad employees shall be provided and shall wear eye and face
protection equipment when potential eye or face injury may result from
physical, chemical, or radiant agents.
(b) Eye and face protection equipment required by this section shall
conform to the national consensus standards for occupational and
educational eye and face protection (American National Standards
Institute, American National Standard Z87.1-1989, Practice for
Occupational

[[Page 97]]

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

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

Appendix A to Part 214--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Section Violation Willful
------------------------------------------------------------------------
Subpart B--Bridge Worker Safety Standards

214.103 Fall protection:
(i) Failure to provide fall protection...... $5,000 $10,000
(ii) Failure to use fall protection......... ........... 2,500
214.105 Standards and practices:
(a) General:
(1) Fall protection used for other
purposes................................. 2,500 5,000
(2) Failure to remove from service........ 2,500 5,000
(3) Failure to protect from deterioration. 2,500 5,000
(4) Failure to inspect and remove......... 5,000 10,000
(5) Failure to train...................... 5,000 10,000
(6) Failure to provide for prompt rescue.. 5,000 10,000
(7) Failure to prevent damage............. 2,500 5,000
(8) Failure to use proper connectors...... 2,500 5,000
(9) Failure to use proper anchorages...... 2,500 5,000
(b) Fall arrest system:
(1)-(17) Failure to provide conforming
equipment................................ 2,500 5,000
(c) Safety net systems:
(1) Failure to install close to workplace. 2,500 5,000
(2) Failure to provide fall arrest if over
30 feet.................................. 5,000 10,000
(3) Failure to provide for unobstructed
fall..................................... 5,000 10,000
(4) Failure to test....................... 2,500 5,000
(5) Failure to use proper equipment....... 2,500 5,000
(6) Failure to prevent contact with
surface below............................ 5,000 10,000
(7) Failure to properly install........... 5,000 10,000
(8) Failure to remove defective nets...... 5,000 10,000
(9) Failure to inspect.................... 5,000 10,000
(10) Failure to remove objects............ 1,000 2,500
(11)-(13) Failure to use conforming
equipment................................ 2,500 10,000
214.107 Working over water:
(a)(i) Failure to provide life vest......... 5,000 10,000
(ii) Failure to use life vest............. ........... 1,500
(c) Failure to inspect...................... 2,500 5,000
(e)(i) Failure to provide ring bouys........ 5,000 10,000
(ii) Failure to use ring bouys............ ........... 1,500
(f)(i) Failure to provide skiff............. 1,000 2,500
(ii) Failure to use skiff................. ........... 1,500
214.109 Scaffolding:
(a)-(f) Failure to provide conforming
equipment.................................. 2,500 5,000
214.113 Head protection:
(a)(i) Failure to provide................... 2,500 5,000
(ii) Failure to use....................... ........... 1,500
(b) or (c) Failure to provide conforming
equipment.................................. 2,500 5,000
214.115 Foot protection:
(a)(i) Failure to require use of............ 2,500 5,000

[[Page 98]]

(ii) Failure to use....................... ........... 1,500
214.117 Eye and face protection:
(a)(i) Failure to provide................... 2,500 5,000
(ii) Failure to use....................... ........... 1,500
(b) Failure to use conforming equipment..... 2,500 5,000
(c) Use of defective equipment.............. 2,500 5,000
(d) Failure to provide for corrective lenses 2,500 5,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.

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

Subpart A--General

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

Subpart B--Freight Car Components

215.101 Scope.

Suspension System

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

Car Bodies

215.121 Defective car body.

Draft System

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

Subpart C--Restricted Equipment

215.201 Scope.
215.203 Restricted cars.

Subpart D--Stenciling

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

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

Authority: 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.

Subpart A--General

Sec. 215.1 Scope of part.

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

Sec. 215.3 Application.

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

[[Page 99]]

of-way equipment) if that equipment is not used in revenue service and
is stenciled in accordance with Sec. 215.305 of this part.

Sec. 215.5 Definitions.

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

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

Sec. 215.7 Prohibited acts.

Any person (including a railroad and any manager, supervisor,
official, or

[[Page 100]]

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]

Sec. 215.9 Movement of defective cars for repair.

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

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

Sec. 215.11 Designated inspectors.

(a) Each railroad that operates railroad freight cars to which this
part applies shall designate persons qualified to inspect railroad
freight cars for compliance with this part and to make

[[Page 101]]

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

[45 FR 26710, Apr. 21, 1980]

Sec. 215.13 Pre-departure inspection.

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

[45 FR 26710, Apr. 21, 1980]

Sec. 215.15 Periodic inspection.

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

Subpart B--Freight Car Components

Sec. 215.101 Scope.

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

Suspension System

Sec. 215.103 Defective wheel.

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

[[Page 102]]

substantially equal extent on both the front and the back face of the
rim, that extends on either face more than four inches into the plate
area measured from the inner edge of the front or back face of the rim;
or,
(i) A wheel on the car has been welded unless the car is being moved
for repair in accordance with Sec. 215.9 of this part.

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

Sec. 215.105 Defective axle.

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

Sec. 215.107 Defective plain bearing box: General.

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

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

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

Sec. 215.111 Defective plain bearing.

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

Sec. 215.113 Defective plain bearing wedge.

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

Sec. 215.115 Defective roller bearing.

(a) A railroad may not place or continue in service a car, if the
car has--
(1) A roller bearing that shows signs of having been overheated as
evidenced by--
(i) Discoloration; or

[[Page 103]]

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

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

Sec. 215.117 Defective roller bearing adapter.

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

Sec. 215.119 Defective freight car truck.

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

[[Page 104]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.002

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

Car Bodies

Sec. 215.121 Defective car body.

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

[[Page 105]]

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

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

Draft System

Sec. 215.123 Defective couplers.

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

[[Page 106]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.003

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

Sec. 215.125 Defective uncoupling device.

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

Sec. 215.127 Defective draft arrangement.

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

[[Page 107]]

(f) The car has a missing or broken follower plate.

Sec. 215.129 Defective cushioning device.

A railroad may not place or continue in service a car if it has a
cushioning device that is--
(a) Broken;
(b) Inoperative; or
(c) Missing a part--
unless its sliding components have been effectively immobilized.

Subpart C--Restricted Equipment

Sec. 215.201 Scope.

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

215.203 Restricted cars.

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

Subpart D--Stenciling

Sec. 215.301 General.

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

Sec. 215.303 Stenciling of restricted cars.

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

[[Page 108]]

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

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

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

Appendix A to Part 215--Railroad Freight Car Components

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

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

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

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

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

E. Plain journal bearings:
Cartridge type.

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

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

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

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

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

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

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

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

[[Page 109]]

Appendix B to Part 215--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
Subpart A--General:
215.9 Movement for repair:
(a), (c).............................. (\1\) (\1\)
(b)................................... $2,500 $5,000
215.11 Designation of qualified persons.. 2,500 5,000
215.13 Pre-departure inspection.......... 2,000 4,000
Subpart B--Freight Car Components:
215.103 Defective wheel:
(a) Flange thickness of:
(1) 7/8'' or less but more than
\13/16\''........................ 2,500 5,000
(2) \13/16\'' or less............. 5,000 7,500
(b) Flange height of:
(1) 1\1/2\'' or greater but less
than 1\5/8\''.................... 2,500 5,000
(2) 1\5/8\'' or more.............. 5,000 7,500
(c) Rim thickness of:
(1) \11/16\'' or less but more
than \5/8\''..................... 2,500 5,000
(2) \5/8\'' or less............... 5,000 7,500
(d) Wheel rim, flange plate hub width:
(1) Crack of less than 1''........ 2,500 5,000
(2) Crack of 1'' or more.......... 5,000 7,500
(3) Break......................... 5,000 7,500
(e) Chip or gouge in flange of:
(1) 1\1/2\'' or more but less than
1\5/8\'' in length; and \1/2\''
or more but less than \5/8\'' in
width............................ 2,500 5,000
(2) 1\5/8\'' or more in length; or
\5/8\'' or more in width......... 5,000 7,500
(f) Slid flat or shelled spot(s):
(1)(i) One spot more than 2\1/
2\'', but less than 3'', in
length........................... 2,500 5,000
(ii) One spot 3'' or more in
length........................... 5,000 7,500
(2)(i) Two adjoining spots each of
which is more than 2'' but less
than 2\1/2\'' in length.......... 2,500 5,000
(ii) Two adjoining spots both of
which are at least 2'' in length,
if either spot is 2\1/2\'', or
more in length................... 5,000 7,500
(g) Loose on axle 6,000 8,500
(h) Overheated; discoloration
extending:
(1) more than 4'' but less than
4\1/2\''......................... 2,500 5,000
(2) 4\1/2\'' or more.............. 5,000 7,500
(i) Welded 5,000 7,500
215.105 Defective axle:
(a)(1) Crack of 1'' or less........... 2,500 5,000
(2) Crack of more than 1''.......... 5,000 7,500
(3) Break........................... 6,000 8,500
(b) Gouge in surface that is between
the wheel seats and is more than \1/
8\'' in depth........................ 2,500 5,000
(c) End collar with crack or break.... 2,500 5,000
(d) Journal overheated................ 5,000 7,500
(e) Journal surface has: a ridge; a
depression; a circumferential score;
corrugation; a scratch; a continuous
streak; pitting; rust; or etching.... 2,500 5,000
215.107 Defective plain bearing box:
general:
(a)(1) No visible free oil............ 1,500 3,000
(2) Lubricating pad dry (no
expression of oil observed when pad
is compressed)....................... 5,000 7,500
(b) Box lid is missing, broken, or
open except to receive servicing..... 1,000 2,000
(c) Contains foreign matter that can
be expected to damage the bearing or
have a detrimental effect on the
lubrication of the journal and
bearing.............................. 2,500 5,000
215.109 Defective plain bearing box:
journal lubrication system:
(a) Lubricating pad has a tear........ 1,000 2,000
(b) Lubricating pad scorched, burned,
or glazed............................ 2,500 5,000
(c) Lubricating pad contains decaying
or deteriorating fabric.............. 2,500 5,000
(d) Lubricating pad has an exposed
center core or metal parts contacting
the journal.......................... 2,500 5,000
(e) Lubricating pad is missing or not
in contact with the journal.......... 5,000 7,500

[[Page 110]]

215.111 Defective plain bearing:
(a) Missing........................... 5,000 7,500
(b) Bearing liner is loose or has
piece broken out..................... 2,500 5,000
(c) Overheated........................ 5,000 7,500
215.113 Defective plain bearing wedge:
(a) Missing........................... 5,000 7,500
(b) Cracked........................... 2,500 5,000
(c) Broken............................ 5,000 7,500
(d) Not located in its design position 5,000 7,500
215.115 Defective roller bearing:
(a)(1) Overheated..................... 5,000 7,500
(2) (i) Cap screw(s) loose.......... 2,500 5,000
(ii) Cap screw lock broken,
missing or improperly applied.... 1,000 2,000
(3) Seal is loose or damaged, or
permits leakage of lubricant......... 2,500 5,000
(b)(1) Not inspected and tested after
derailment........................... 2,500 5,000
(2) Not disassembled after
derailment........................... 2,500 5,000
(3) Not repaired or replaced after
derailment........................... 5,000 7,500
215.117 Defective roller bearing adapter:
(a) Cracked or broken................. 2,500 5,000
(b) Not in its design position........ 5,000 7,500
(c) Worn on the crown................. 2,500 5,000
215.119 Defective freight car truck:
(a)(1) A side frame or bolster that is
broken............................... 5,000 7,500
(2)(i) Side frame or bolster with
crack of: \1/4\'' or more, but less
than 1''............................. 2,500 5,000
(ii) 1'' or more................ 5,000 7,500
(b) A snubbing device that is
ineffective or missing............... 2,500 5,000
(c) Side bearing(s):
(1) Assembly missing or broken.... 5,000 7,500
(2) In contact except by design... 5,000 7,500
(3), (4) Total clearance at one
end or at diagonally opposite
sides of:........................
(i) more than \3/4\'' but not
more than 1''.................... 2,500 5,000
(ii) more than 1''.............. 5,000 7,500
(d) Truck spring(s):
(1) Do not maintain travel or load 2,500 5,000
(2) Compressed solid.............. 2,500 5,000
(3) Outer truck springs broken or
missing:
(i) Two outer springs........... 2,500 5,000
(ii) Three or more outer springs 5,000 7,500
(e) Truck bolster-center plate
interference......................... 5,000 7,500
(f) Brake beam shelf support worn..... 2,500 5,000
215.121 Defective car body:
(a) Has less than 2\1/2\'' clearance
from the top of rail................. 2,500 5,000
(b) Car center sill is:
(1) Broken........................ 6,000 8,500
(2) Cracked more than 6''......... 2,500 5,000
(3) Bent or buckled more than 2\1/
2\'' in any 6' length............ 2,500 5,000
(c) Coupler carrier that is broken or
missing.............................. 2,500 5,000
(d) Car door not equipped with
operative safety hangers............. 5,000 7,500
(e)(1) Center plate not properly
secured.............................. 5,000 7,500
(2) Portion missing................. 2,500 5,000
(3) Broken.......................... 5,000 7,500
(4) Two or more cracks.............. 2,500 5,000
(f) Broken sidesill, crossbearer, or
body bolster......................... 2,500 5,000
215.123 Defective couplers:
(a) Shank bent out of alignment....... 1,000 2,000
(b) Crack in highly stressed junction
area................................. 2,500 5,000
(c) Coupler knuckle broken or cracked. 2,500 5,000
(d) Coupler knuckle pin or thrower
that is missing or inoperative....... 2,500 5,000
(e) Coupler retainer pin lock that is
missing or broken.................... 1,000 2,000
(f) Coupler with following conditions:
locklift inoperative; no anticreep
protection; or coupler lock is
missing, inoperative, bent, cracked,
or broken............................ 2,500 5,000

[[Page 111]]

215.125 Defective uncoupling device...... 2,500 5,000
215.127 Defective draft arrangement:
(a) Draft gear that is inoperative.... 2,500 5,000
(b) Yoke that is broken............... 2,500 5,000
(c) End of car cushioning unit is
leaking or inoperative............... 2,500 5,000
(d) Vertical coupler pin retainer
plate missing or has missing fastner. 5,000 7,500
(e) Draft key or draft key retainer
that is inoperative or missing....... 5,000 7,500
(f) Follower plate that is missing or
broken............................... 2,500 5,000
215.129 Defective cushioning device...... 2,500 5,000
Subpart C--Restricted equipment:
215.203 Restricted cars.................. 2,500 5,000
Subpart D--Stencilling:
215.301 General.......................... 1,000 2,000
215.303 Stencilling of restricted cars... 1,000 2,000
215.305 Stencilling of maintenance-of-way 1,000 2,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. Generally, when two or more violations of these regulations
are discovered with respect to a single freight car that is placed or
continued in service by a railroad, the appropriate penalties set
forth above are aggregated up to a maximum of $10,000 per day.
However, a failure to perform, with respect to a particular freight
car, the predeparture inspection required by Sec. 215.13 of this part
will be treated as a violation separate and distinct from, and in
addition to, any substantive violative conditions found on the car.
The Administrator reserves the right to assess a penalty of up to
$20,000 for any violation where circumstances warrant. See 49 CFR part
209, appendix A.
Failure to observe any condition for movement set forth in paragraphs
(a) and (c) of Sec. 215.9 will deprive the railroad of the benefit of
the movement-for-repair provision and make the railroad and any
responsible individuals liable for penalty under the particular
regulatory section(s) concerning the substantive defect(s) present on
the freight car at the time of movement.
Maintenance-of-way equipment not stenciled in accordance with Sec.
215.305 is subject to all requirements of this part. See Sec.
215.3(c)(3).

[53 FR 52925, Dec. 29, 1988]

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

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

Index

General

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

Freight Car Components

Suspension System

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

Car Bodies

215.121 Defective Car Body.

Draft System

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

Restricted Equipment

215.203 Restricted Cars.

Stenciling

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

Description of Defects

215.009 Failure to meet conditions for movement of defective cars for
repairs.
215.011 Designation of Qualified Persons.
(A)(1) Railroad fails to designate persons qualified to inspect
freight cars;
(2) Persons designated does not have knowledge and ability to
inspect freight cars for compliance with the requirements of this part.
(B) Railroad fails to maintain written record of:
(1) Each designation in effect;
(2) The basis for this designation.
215.013 Failure to perform pre-departure inspection.
215.015 Periodic Inspection.

[[Page 112]]

(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.

[[Page 113]]

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

Stenciling

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

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

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

[45 FR 26711, Apr. 21, 1980]

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

Subpart A--General

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

Subpart B--Special Notice for Repairs

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

Subpart C--Emergency Order--Track

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

[[Page 114]]

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.

Subpart A--General

Sec. 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]

Sec. 216.3 Definitions.

As used in this part--
(a) FRA means the Federal Railroad Administration.
(b) State means a State participating in investigative and
surveillance activities under section 206 of the Federal Railroad Safety
Act of 1970 (45 U.S.C. 435).
(c) Inspector includes FRA Regional Supervisors of Inspectors.

Sec. 216.5 Delegation and general provisions.

(a) The Administrator has delegated to the appropriate FRA and State
personnel the authority to implement this part.
(b) Communications to the Administrator relating to the operation of
this part should be submitted in triplicate to the Docket Clerk, Office
of Chief Counsel, Federal Railroad Administration, Washington, DC 20590.
(c) The notices prescribed in Secs. 216.11, 216.13, 216.15, 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]

Sec. 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]

Subpart B--Special Notice for Repairs

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

(a) When an FRA Motive Power and Equipment Inspector or a State
Equipment Inspector determines that a railroad freight car is not in
conformity with the requirements of the FRA Freight Car Safety Standards
set forth in part 215 of this chapter and that it is unsafe for further
service, he notifies the railroad in writing that the car is not in
serviceable condition. The Special Notice sets out and describes the
defects that cause the car to be in unserviceable condition. After
receipt of the Special Notice, the railroad shall remove the car from
service until it is restored to serviceable condition. The car may not
be deemed to be in serviceable condition until it complies with all
applicable requirements of part 215 of this chapter.
(b) The railroad shall notify the 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

[[Page 115]]

to make such repairs. However, the movement is subject to the further
restrictions of Sec. 215.9 of this chapter.

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

Sec. 216.13 Special notice for repairs--locomotive.

(a) When an FRA Motive Power and Equipment Inspector 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.

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

(a) When an FRA Track Inspector or State Track Inspector determines
that track does not comply with the requirements for the class at which
the track is being operated, as defined in the Track Safety Standards
(49 CFR part 213), he notifies the railroad in writing that the track is
being lowered in class and that operations over that track must comply
with the speed limitations prescribed in part 213 of this chapter. The
notice describes the conditions requiring the track to be lowered in
class, specifies the exact location of the affected track segment, and
states the highest class and corresponding maximum speeds at which
trains may be operated over that track. After receipt of such notice,
the speeds at which trains operate over that track shall not exceed the
stated maximum permissible speeds, until such time as the track conforms
to applicable standards for a higher class.
(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]

Sec. 216.17 Appeals.

(a) Upon receipt of a Special Notice prescribed in Sec. 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.

[[Page 116]]

Subpart C--Emergency Order--Track

Sec. 216.21 Notice of track conditions.

(a) When an FRA Track Inspector or State Track Inspector finds track
conditions which may require the issuance of an Emergency order removing
the track from service under section 203, Public Law No. 91-458, 84
Stat. 972 (45 U.S.C. 432), the Inspector may issue a notice to the
railroad owning the track. The notice sets out and describes the
conditions found by the Inspector and specifies the location of defects
on the affected track segment. The Inspector provides a copy to the FRA
Regional Track Engineer and the FRA Regional 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.

Sec. 216.23 Consideration of recommendation.

Upon receipt of a Notice of Track Conditions issued under
Sec. 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.

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

Sec. 216.27 Reservation of authority and discretion.

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

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

Subpart A--General

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

[[Page 117]]

217.13 Information collection.

Appendix A to Part 217--Schedule of Civil Penalties

Authority: 49 U.S.C. 20103, 20107, 20111, 20112, 21301, 21304, 21311
(1994) (formerly codified at 45 U.S.C. 431, 437, 438); Pub. L. 103-272
(1994); and 49 CFR 1.49(m).

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

Subpart A--General

Sec. 217.1 Purpose.

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

Sec. 217.3 Application.

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

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

Sec. 217.4 Definitions.

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

[59 FR 43070, Aug. 22, 1994]

Sec. 217.5 Penalty.

[53 FR 28599, July 28, 1988, as amended at 53 FR 52927, Dec. 29, 1988]

Sec. 217.7 Operating rules; filing and recordkeeping.

(a) On or before December 21, 1994, each Class I railroad, Class II
railroad, the National Railroad Passenger Corporation, and each railroad
providing commuter service in a metropolitan or suburban area that is in
operation on November 21, 1994, shall file with the Federal Railroad
Administrator, Washington, DC 20590, one copy of its code of operating
rules, timetables, and timetable special instructions which were in
effect on November 21, 1994. Each Class I railroad, each Class II
railroad, and each railroad providing commuter service in a metropolitan
or suburban area that commences operations after November 21, 1994,
shall file with the Administrator one copy of its code of operating
rules, timetables, and timetable special instructions before it
commences operations.
(b) After November 21, 1994, each Class I railroad, each Class II
railroad, the National Railroad Passenger Corporation, and each railroad
providing commuter service in a metropolitan or suburban area shall file
each new

[[Page 118]]

amendment to its code of operating rules, each new timetable, and each
new timetable special instruction with the Federal Railroad
Administrator within 30 days after it is issued.
(c) On or after November 21, 1994, each Class III railroad and any
other railroad subject to this part but not subject to paragraphs (a)
and (b) of this section shall keep one copy of its current code of
operating rules, timetables, and timetable special instructions and one
copy of each subsequent amendment to its code of operating rules, each
new timetable, and each new timetable special instruction, at its system
headquarters, and shall make such records available to representatives
of the Federal Railroad Administration for inspection and copying during
normal business hours.

[59 FR 43070, Aug. 22, 1994]

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

(a) Requirement to conduct operational tests and inspections. Each
railroad to which this part applies shall periodically conduct
operational tests and inspections to determine the extent of compliance
with its code of operating rules, timetables, and timetable special
instructions in accordance with a written program retained at its system
headquarters and at the division headquarters for each division where
the tests are conducted.
(b) Written program of operational tests and inspections. On or
after November 21, 1994, or 30 days before commencing operations,
whichever is later, each railroad to which this part applies shall
retain one copy of its current program for periodic performance of the
operational tests and inspections required by paragraph (a) of this
section and one copy of each subsequent amendment to such program. These
records shall be retained at the system headquarters of the railroad and
at the division headquarters for each division where the tests are
conducted, for three calendar years after the end of the calendar year
to which they relate. These records shall be made available to
representatives of the Federal Railroad Administration for inspection
and copying during normal business hours. The program shall--
(1) Provide for operational testing and inspection under the various
operating conditions on the railroad;
(2) Describe each type of operational test and inspection adopted,
including the means and procedures used to carry it out;
(3) State the purpose of each type of operational test and
inspection;
(4) State, according to operating divisions where applicable, the
frequency with which each type of operational test and inspection is
conducted;
(5) Begin within 30 days after November 21, 1994, or the date of
commencing operations, whichever is later; and
(6) Include a schedule for making the program fully operative within
210 days after it begins.
(c) Records of individual tests and inspections. Each railroad to
which this part applies shall keep a record of the date, time, place,
and result of each operational test and inspection that was performed in
accordance with its program. Each record shall specify the officer
administering the test and inspection and each employee tested. These
records shall be retained at the system headquarters of the railroad and
at the division headquarters for each division where the tests are
conducted for one calendar year after the end of the calendar year to
which they relate. These records shall be made available to
representatives of the Federal Railroad Administration for inspection
and copying during normal business hours.
(d) Annual summary on operational tests and inspections. Before
March 1 of each calendar year, each railroad to which this part applies,
except for a railroad with less than 400,000 total manhours, shall
retain, at each of its division headquarters and at the system
headquarters of the railroad, one copy of a written summary of the
following with respect to its previous year's activities: The number,
type, and result of each operational test and inspection, stated
according to operating divisions where applicable, that was conducted as
required by paragraphs (a) and (b) of this section. These records shall
be retained for three calendar years after the end of the calendar year
to which they relate and

[[Page 119]]

shall be made available to representatives of the Federal Railroad
Administration for inspection and copying during normal business hours.
(e) Electronic recordkeeping. Each railroad to which this part
applies is authorized to retain by electronic recordkeeping the
information prescribed in paragraphs (b) through (d) of this section,
provided that all of the following conditions are met:
(1) The railroad adequately limits and controls accessibility to
such information retained in its electronic database system and
identifies those individuals who have such access;
(2) The railroad has a terminal at the system headquarters and at
each division headquarters;
(3) Each such terminal has a desk-top computer (i.e., monitor,
central processing unit, and keyboard) and either a facsimile machine or
a printer connected to the computer to retrieve and produce information
in a usable format for immediate review by FRA representatives;
(4) The railroad has a designated representative who is authorized
to authenticate retrieved information from the electronic system as true
and accurate copies of the electronically kept records; and
(5) The railroad provides representatives of the Federal Railroad
Administration with immediate access to these records for inspection and
copying during normal business hours and provides printouts of such
records upon request.

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

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

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

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

Sec. 217.13 Information collection.

[[Page 120]]

(3) Section 217.11.

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

Appendix A to Part 217--Schedule Of Civil Penalties ^{1
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
217.7 Operating rules:
(a)........................................... $2,500 $5,000
(b)........................................... $2,000 $5,000
(c)........................................... $2,500 $5,000
217.9 Operational tests and inspections:

(a) Program................................... $5,000 $7,500
(b) Record of program......................... 2,500 $5,000
(c) Record of tests and inspections........... $5,000 $7,500
(d) Annual summary............................ $5,000 $7,500
217.11 Program of instruction on operating rules:
(a)........................................... $5,000 $7,500
(b)........................................... $2,500 $5,000
------------------------------------------------------------------------
^{1 A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.

[59 FR 43071, Aug. 22, 1994]

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

Subpart A--General

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

Subpart B--Blue Signal Protection of Workers

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

Subpart C--Protection of Trains and Locomotives

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

Subpart D--Prohibition Against Tampering With Safety Devices

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

Subpart E--Protection of Occupied Camp Cars

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

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

Authority: 49 U.S.C. 20101 et seq.; and 49 CFR 1.49(m).

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

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

Subpart A--General

Sec. 218.1 Purpose.

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

Sec. 218.3 Application.

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

[[Page 121]]

the general railroad system of transportation.

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

Sec. 218.5 Definitions.

Absolute block means a block in which no train is permitted to enter
while it is occupied by another train.
Blue signal means a clearly distinguishable blue flag or blue light
by day and a blue light at night. When attached to the operating
controls of a locomotive, it need not be lighted if the inside of the
cab area of the locomotive is sufficiently lighted so as to make the
blue signal clearly distinguishable.
Camp car means any on-track vehicle, including outfit, camp, or bunk
cars or modular homes mounted on flat cars used to house rail employees.
It does not include wreck trains.
Car shop repair track area means one or more tracks within an area
in which the testing, servicing, repair, inspection, or rebuilding of
railroad rolling equipment is under the exclusive control of mechanical
department personnel.
Controlling Locomotive means a locomotive arranged as having the
only controls over all electrical, mechanical and pneumatic functions
for one or more locomotives, including controls transmitted by radio
signals if so equipped. It does not include two or more locomotives
coupled in multiple which can be moved from more than one set of
locomotive controls.
Designated crew member means an individual designated under the
railroad's operating rules as the point of contact between a train or
yard crew and a utility employee working with that crew.
Effective locking device when used in relation to a manually
operated switch or a derail means one which is:
(1) Vandal resistant;
(2) Tamper resistant; and
(3) Capable of being locked and unlocked only by the class, craft or
group of employees for whom the protection is being provided.
Flagman's signals means a red flag by day and a white light at
night, and a specified number of torpedoes and fusees as prescribed in
the railroad's operating rules.
Group of workers means two or more workers of the same or different
crafts assigned to work together as a unit under a common authority and
who are in communication with each other while the work is being done.
Interlocking limits means the tracks between the opposing home
signals of an interlocking.
Locomotive means a self-propelled unit of equipment designed for
moving other railroad rolling equipment in revenue service including a
self-propelled unit designed to carry freight or passenger traffic, or
both, and may consist of one or more units operated from a single
control.
Locomotive servicing track area means one or more tracks, within an
area in which the testing, servicing, repair, inspection, or rebuilding
of locomotives is under the exclusive control of mechanical department
personnel.
Main track means a track, other than an auxiliary track, extending
through yards or between stations, upon which trains are operated by
timetable or train order or both, or the use of which is governed by a
signal system.
Rolling equipment includes locomotives, railroad cars, and one or
more locomotives coupled to one or more cars.
Switch providing access means a switch which if traversed by rolling
equipment could permit that rolling equipment to couple to the equipment
being protected.
Train or yard crew means one or more railroad employees assigned a
controlling locomotive, under the charge and control of one crew member;
called to perform service covered by Section 2 of the Hours of Service
Act; involved with the train or yard movement of railroad rolling
equipment they are to work with as an operating crew; reporting and
working together as a unit that remains in close contact if more than
one employee; and subject to the railroad operating rules and program of
operational tests and inspections required in Secs. 217.9 and 217.11 of
this chapter.
Utility employee means a railroad employee assigned to and
functioning as a temporary member of a train or yard

[[Page 122]]

crew whose primary function is to assist the train or yard crew in the
assembly, disassembly or classification of rail cars, or operation of
trains (subject to the conditions set forth in Sec. 218.22 of this
chapter).
Worker means any railroad employee assigned to inspect, test,
repair, or service railroad rolling equipment, or their components,
including brake systems. Members of train and yard crews are excluded
except when assigned such work on railroad rolling equipment that is not
part of the train or yard movement they have been called to operate (or
been assigned to as ``utility employees''). Utility employees assigned
to and functioning as temporary members of a specific train or yard crew
(subject to the conditions set forth in Sec. 218.22 of this chapter),
are excluded only when so assigned and functioning.

Note: Servicing does not include supplying cabooses, locomotives, or
passenger cars with items such as ice, drinking water, tools, sanitary
supplies, stationery, or flagging equipment.
Testing does not include (i) visual observations made by an employee
positioned on or alongside a caboose, locomotive, or passenger car; or
(ii) marker inspections made in accordance with the provisions of
Sec. 221.16(b) of this chapter.

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

Sec. 218.7 Waivers.

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

Sec. 218.9 Civil penalty.

[53 FR 28599, July 28, 1988, as amended at 53 FR 52928, Dec. 29, 1988]

Sec. 218.11 Filing, testing, and instruction.

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

Subpart B--Blue Signal Protection of Workers

Sec. 218.21 Scope.

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

Sec. 218.22 Utility employee.

(a) A utility employee shall be subject to the Hours of Service Act,
and the requirements for training and testing, control of alcohol and
drug use, and hours of service record keeping provided for in parts 217,
219, and 228 of this chapter.
(b) A utility employee shall perform service as a member of only one
train or yard crew at any given time. Service

[[Page 123]]

with more than one crew may be sequential, but not concurrent.
(c) A utility employee may be assigned to and serve as a member of a
train or yard crew without the protection otherwise required by subpart
D of part 218 of this chapter only under the following conditions:
(1) The train or yard crew is assigned a controlling locomotive that
is under the actual control of the assigned locomotive engineer of that
crew;
(2) The locomotive engineer is in the cab of the controlling
locomotive, or, while the locomotive is stationary be replaced in the
cab by another member of the same crew;
(3) The utility employee established communication with the crew by
contacting the designated crew member on arriving at the train (as
defined for the purpose of this section as one or more locomotives
coupled, with or without cars) and before commencing any duties with the
crew.
(4) Before each utility employee commences duties, the designated
crew member shall provide notice to each crew member of the presence and
identity of the utility employee. Once all crew members have
acknowledged this notice, the designated crew member shall advise the
utility employee that he or she is authorized to work as part of the
crew. Thereafter, communication shall be maintained in such a manner
that each member of the train or yard crew understands the duties to be
performed and whether those duties will cause any crew member to go on,
under, or between the rolling equipment; and
(5) The utility employee is performing one or more of the following
functions: set or release hand brakes; couple or uncouple air hoses and
other electrical or mechanical connections; prepare rail cars for
coupling; set wheel blocks or wheel chains; conduct air brake tests to
include cutting air brake components in or out and position retaining
valves; inspect, test, install, remove or replace a rear end marking
device or end of train device. Under all other circumstances a utility
employee working on, under, or between railroad rolling equipment must
be provided with blue signal protection in accordance with Secs. 218.23
through 218.30 of this part.
(d) When the utility employee has ceased all work in connection with
that train and is no longer on, under, or between the equipment, the
utility employee shall notify the designated crew member. The designated
crew member shall then provide notice to each crew member that the
utility employee is being released from the crew. Once each crew member
has acknowledged the notice, the designated crew member shall then
notify the utility employee that he is released from the train or yard
crew.
(e) Communications required by Sec. 218.22(c)(4) and (d) shall be
conducted between the utility employee and the designated crew member.
This communications shall be conducted either through direct verbal
contact, by radio in compliance with part 220 of this chapter, or by
oral telecommunication of equivalent integrity.
(f) No more than three utility employees may be attached to one
train or yard crew at any given time.
(g) Any railroad employee who is not assigned to a train or yard
crew, or authorized to work with a crew under the conditions set forth
by paragraph (b) of this section, is a worker required to be provided
blue signal protection in accordance with Secs. 218.23 through 218.30 of
this part.
(h) Nothing in this section shall affect the alternative form of
protection specified in Sec. 221.16 of this chapter with respect to
inspection of rear end marking devices.

[58 FR 43293, Aug. 16, 1993, as amended at 60 FR 11050, Mar. 1, 1995]

Sec. 218.23 Blue signal display.

(a) Blue signals displayed in accordance with Sec. 218.25, 218.27,
or 218.29 signify that workers are on, under, or between rolling
equipment. When so displayed--
(1) The equipment may not be coupled to;
(2) The equipment may not be moved, except as provided for in
Sec. 218.29;
(3) Other rolling equipment may not be placed on the same track so
as to reduce or block the view of a blue signal, except as provided for
in Sec. 218.29 (a), (b) and (c); and

[[Page 124]]

(4) Rolling equipment may not pass a displayed blue signal.
(b) Blue signals must be displayed in accordance with Sec. 218.25,
218.27, or 218.29 by each craft or group of workers prior to their going
on, under, or between rolling equipment and may only be removed by the
same craft or group that displayed them.

Sec. 218.24 One-person crew.

(a) An engineer working alone as a one-person crew shall not perform
duties on, under, or between rolling equipment, without blue signal
protection that complies with Sec. 218.27 or Sec. 218.29, unless the
duties to be performed are listed in Sec. 218.22(c)(5) and the following
protections are provided:
(1) Each locomotive in the locomotive engineer's charge is either:
(i) Coupled to the train or other railroad rolling equipment to be
assisted; or
(ii) Stopped a sufficient distance from the train or rolling
equipment to ensure a separation of at least 50 feet; and
(2) Before a controlling locomotive is left unattended, the one-
member crew shall secure the locomotive as follows:
(i) The throttle is in the IDLE position;
(ii) The generator field switch is in the OFF position;
(iii) The reverser handle is removed (if so equipped);
(iv) The isolation switch is in the ISOLATE position;
(v) The locomotive independent (engine) brake valve is fully
applied;
(vi) The hand brake on the controlling locomotive is fully applied
(if so equipped); and
(vii) A bright orange engineer's tag (a tag that is a minimum of
three by eight inches with the words ASSIGNED LOCOMOTIVE--DO NOT
OPERATE) is displayed on the control stand of the controlling
locomotive.
(b) When assisting another train or yard crew with the equipment the
other crew was assigned to operate, a single engineer must communicate
directly, either by radio in compliance with part 220 of this chapter or
by oral telecommunication of equivalent integrity, with the crew of the
train to be assisted. The crews of both trains must notify each other in
advance of all moves to be made by their respective equipment. Prior to
attachment or detachment of the assisting locomotive(s), the crew of the
train to be assisted must inform the single engineer that the train is
secured against movement. The crew of the train to be assisted must not
move the train or permit the train to move until authorized by the
single engineer.

[60 FR 11050, Mar. 1, 1995]

Effective Date Note: Section 218.24 was added at 60 FR 11050, Mar.
1, 1995, effective May 15, 1995. At 60 FR 30469, June 9, 1995,
Sec. 218.24 was suspended effective May 15, 1995.

Sec. 218.25 Workers on a main track.

When workers are on, under, or between rolling equipment on a main
track:
(a) A blue signal must be displayed at each end of the rolling
equipment; and
(b) If the rolling equipment to be protected includes one or more
locomotives, a blue signal must be attached to the controlling
locomotive at a location where it is readily visible to the engineman or
operator at the controls of that locomotive.
(c) When emergency repair work is to be done on, under, or between a
locomotive or one or more cars coupled to a locomotive, and blue signals
are not available, the engineman or operator must be notified and
effective measures must be taken to protect the workers making the
repairs.

[44 FR 2175, Jan. 10, 1979, as amended at 48 FR 6123, Feb. 10, 1983]

Sec. 218.27 Workers on track other than main track.

When workers are on, under, or between rolling equipment on track
other than main track--
(a) A blue signal must be displayed at or near each manually
operated switch providing access to that track;
(b) Each manually operated switch providing access to the track on
which the equipment is located must be lined against movement to that
track and locked with an effective locking device; and
(c) The person in charge of the workers must have notified the
operator of any remotely controlled switch that

[[Page 125]]

work is to be performed and have been informed by the operator that each
remotely controlled switch providing access to the track on which the
equipment is located has been lined against movement to that track and
locked as prescribed in Sec. 218.30.
(d) If rolling equipment requiring blue signal protection as
provided for in this section is on a track equipped with one or more
crossovers, both switches of each crossover must be lined against
movement through the crossover toward that rolling equipment, and the
switch of each crossover that provides access to the rolling equipment
must be protected in accordance with the provisions of paragraphs (a)
and (b), or (c) of this section.
(e) If the rolling equipment to be protected includes one or more
locomotives, a blue signal must be attached to the controlling
locomotive at a location where it is readily visible to the engineman or
operator at the controls of that locomotive.

Sec. 218.29 Alternate methods of protection.

Instead of providing blue signal protection for workers in
accordance with Sec. 218.27, the following methods for blue signal
protection may be used:
(a) When workers are on, under, or between rolling equipment in a
locomotive servicing track area:
(1) A blue signal must be displayed at or near each switch providing
entrance to or departure from the area;
(2) Each switch providing entrance to or departure from the area
must be lined against movement to the area and locked with an effective
locking device; and
(3) A blue signal must be attached to each controlling locomotive at
a location where it is readily visible to the engineman or operator at
the controls of that locomotive;
(4) If the speed within this area is resticted to not more than 5
miles per hour a derail, capable of restricting access to that portion
of a track within the area on which the rolling equipment is located,
will fulfill the requirements of a manually operated switch in
compliance with paragraph (a)(2) of this section when positioned at
least 50 feet from the end of the equipment to be protected by the blue
signal, when locked in a derailing position with an effective locking
device, and when a blue signal is displayed at the derail;
(5) A locomotive may be moved onto a locomotive servicing area track
after the blue signal has been removed from the entrance switch to the
area. However, the locomotive must be stopped short of coupling to
another locomotive;
(6) A locomotive may be moved off of a locomotive servicing area
track after the blue signal has been removed from the controlling
locomotive to be moved and from the area departure switch;
(7) If operated by an authorized employee under the direction of the
person in charge of the workers, a locomotive protected by blue signals
may be repositioned within this area after the blue signal has been
removed from the locomotive to be repositioned and the workers on the
affected track have been notified of the movement; and
(8) Blue signal protection removed for the movement of locomotives
as provided in paragraphs (a) (5) and (6) of this section must be
restored immediately after the locomotive has cleared the switch.
(b) When workers are on, under, or between rolling equipment in a
car shop repair track area:
(1) A blue signal must be displayed at or near each switch providing
entrance to or departure from the area; and
(2) Each switch providing entrance to or departure from the area
must be lined against movement to the area and locked with an effective
locking device;
(3) If the speed within this area is restricted to not more than 5
miles per hour, a derail capable of restricting access to that portion
of a track within the area on which the rolling equipment is located
will fulfill the requirements of a manually operated switch in
compliance with paragraph (a)(2) of this section when positioned at
least 50 feet from the end of the equipment to be protected by the blue
signal, when locked in a derailing position with an effective locking
device and when a blue signal is displayed at the derail;
(4) If operated by an authorized employee under the direction of the
person in charge of the workemen, a car

[[Page 126]]

mover may be used to reposition rolling equipment within this area after
workers on the affected track have been notified of the movement.
(c) Except as provided in paragraphs (a) and (b) of this section,
when workers are on, under, or between rolling equipment on any track,
other than a main track:
(1) A derail capable of restricting access to that portion of the
track on which such equipment is located, will fulfill the requirements
of a manually operated switch when positioned no less than 150 feet from
the end so such equipment; and
(2) Each derail must be locked in a derailing position with an
effective locking device and a blue signal must be displayed at each
derail.
(d) When emergency repair work is to be done on, under, or between a
locomotive or one or more cars coupled to a locomotive, and blue signals
are not available, the engineman or operator at the controls of that
locomotive must be notified and effective measures must be taken to
protect the workers making the repairs.

[44 FR 2175, Jan. 10, 1979, as amended at 48 FR 6123, Feb. 10, 1983]

Sec. 218.30 Remotely controlled switches.

(a) After the operator of the remotely controlled switches has
received the notification required by Sec. 218.27(c), he must line each
remotely controlled switch against movement to that track and apply an
effective locking device to the lever, button, or other device
controlling the switch before he may inform the employee in charge of
the workers that protection has been provided.
(b) The operator may not remove the locking device unless he has
been informed by the person in charge of the workers that it is safe to
do so.
(c) The operator must maintain for 15 days a written record of each
notification which contains the following information:
(1) The name and craft of the employee in charge who provided the
notification;
(2) The number or other designation of the track involved;
(3) The date and time the operator notified the employee in charge
that protection had been provided in accordance with paragraph (a) of
this section; and
(4) The date and time the operator was informed that the work had
been completed, and the name and craft of the employee in charge who
provided this information.

[44 FR 2175, Jan. 10, 1979, as amended at 48 FR 6123, Feb. 10, 1983]

Subpart C--Protection of Trains and Locomotives

Sec. 218.31 Scope.

This subpart prescribes minimum operating rule requirements for the
protection of railroad employees engaged in the operation of trains,
locomotives and other rolling equipment.

[42 FR 5065, Jan. 27, 1977]

Sec. 218.35 Yard limits.

(a) After August 1, 1977, yard limits must be designated by--
(1) Yard limit signs, and
(2) Timetable, train orders, or special instructions.
(b) After August 1, 1977, each railroad must have in effect an
operating rule which complies with the requirements set forth below:
(1) The main tracks within yard limits may be used, clearing the
time an approaching designated class train is due to leave the nearest
station where time is shown. In case of failure to clear the time of
designated class trains, protection must be provided as Sec. 218.37. In
yard limits where main tracks are governed by block signal system rules,
protection as prescribed by Sec. 218.37 is not required.
(2) Trains and engines, except designated class trains, within yard
limits must move prepared to stop within onehalf the range of vision but
not exceeding 20 m.p.h. unless the main track is known to be clear by
block signal indications.
(3) Within yard limits, movements against the current of traffic on
the main tracks must not be made unless authorized and protected by
train order, yardmaster, or other designated official and only under the
operating restrictions prescribed in Sec. 218.35(b)(2).

[[Page 127]]

(c) Each railroad shall designate in the operating rule prescribed
under paragraph (b) of this section the class or classes of trains which
shall have superiority on the main track within yard limits.

[42 FR 5065, Jan. 27, 1977]

Sec. 218.37 Flag protection.

(a) After August 1, 1977, each railroad must have in effect an
operating rule which complies with the requirements set forth below:
(1) Except as provided in paragraph (a)(2) of this section, flag
protection shall be provided--
(i) When a train is moving on the main track at less than one-half
the maximum authorized speed (including slow order limits) in that
territory, flag protection against following trains on the same track
must be provided by a crew member by dropping off single lighted fusees
at intervals that do not exceed the burning time of the fusee.
(ii) When a train is moving on the main track at more than one-half
the maximum authorized speed (including slow order limits) in that
territory under circumstances in which it may be overtaken, crew members
responsible for providing protection will take into consideration the
grade, curvature of track, weather conditions, sight distance and
relative speed of his train to following trains and will be governed
accordingly in the use of fusees.
(iii) When a train stops on main track, flag protection against
following trains on the same track must be provided as follows: A crew
member with flagman's signals must immediately go back at least the
distance prescribed by timetable or other instructions for the
territory, place at least two torpedoes on the rail at least 100 feet
apart and display one lighted fusee. He may then return one-half of the
distance to his train where he must remain until he has stopped the
approaching train or is recalled. When recalled, he must leave one
lighted fusee and while returning to his train, he must also place
single lighted fusees at intervals that do not exceed the burning time
of the fusee. When the train departs, a crew member must leave one
lighted fusee and until the train resumes speed not less than one-half
the maximum authorized speed (including slow order limits) in that
territory, he must drop off single lighted fusees at intervals that do
not exceed the burning time of the fusee.
(iv) When required by the railroad's operating rules, a forward crew
member with flagman's signals must protect the front of his train
against opposing movements by immediately going forward at least the
distance prescribed by timetable or other instructions for the territory
placing at least two torpedoes on the rail at least 100 feet apart,
displaying one lighted fusee, and remaining at that location until
recalled.
(v) Whenever a crew member is providing flag protection, he must not
permit other duties to interfere with the protection of his train.
(2) Flag protection against following trains on the same track is
not required if--
(i) The rear of the train is protected by at least two block
signals;
(ii) The rear of the train is protected by an absolute block;
(iii) The rear of the train is within interlocking limits; or
(iv) A train order specifies that flag protection is not required.
(v) A railroad operates only one train at any given time.
(b) Each railroad shall designate by timetable or other instruction
for each territory the specific distance which a crew member providing
flag protection must go out in order to provide adequate protection for
his train.
(c) Whenever the use of fusees is prohibited by a Federal, State or
local fire regulation, each railroad operating within that jurisdiction
shall provide alternate operating procedures to assure full protection
of trains in lieu of flag protection required by this section.

[42 FR 5065, Jan. 27, 1977, as amended at 42 FR 38362, July 28, 1977]

Sec. 218.39 Hump operations.

After June 30, 1984, each railroad that operates a remote control
hump yard facility must have in effect an operating rule that adopts the
following provisions in substance:
(a) When a train or engine service employee is required to couple an
air

[[Page 128]]

hose or to adjust a coupling device and that activity will require that
the employee place himself between pieces of rolling equipment located
on a bowl track, the operator of any remotely controlled switch that
provides access from the apex of the hump to the track on which the
rolling equipment is located shall be notified;
(b) Upon such notification, the operator of such remotely controlled
switch shall line it against movement to the affected bowl track and
shall apply a locking or blocking device to the control for that switch;
and
(c) The operator shall then notify the employee that the requested
protection has been provided and shall remove the locking or blocking
device only after being notified by the employee that protection is no
longer required on that track.

(Sec. 202, 84 Stat. 971 (45 U.S.C. 431); sec. 1.49(m) of the regulations
of the Secretary of Transportation (49 CFR 1.49(m))

[49 FR 6497, Feb. 22, 1984]

Sec. 218.41 Noncompliance with hump operations rule.

A person (including a railroad and any manager, supervisor,
official, or other employee or agent of a railroad) who fails to comply
with a railroad's operating rule issued pursuant to Sec. 218.39 of this
part is subject to a penalty, as provided in appendix A of this part.

[53 FR 52928, Dec. 29, 1988]

Subpart D--Prohibition Against Tampering With Safety Devices

Source: 54 FR 5492, Feb. 3, 1989, unless otherwise noted.

Sec. 218.51 Purpose.

(a) The purpose of this subpart is to prevent accidents and
casualties that can result from the operation of trains when safety
devices intended to improve the safety of their movement have been
disabled.
(b) This subpart does not prohibit intervention with safety devices
that is permitted:
(1) Under the provisions of Sec. 236.566 or Sec. 236.567 of this
chapter;
(2) Under the provisions of Sec. 218.61 of this part; or
(3) Under the provisions of Sec. 229.9 of this chapter, provided
that when a locomotive is being operated under the provision of
Sec. 229.9(b) a designated officer has been notified of the defective
alerter or deadman pedal at the first available point of communication.

[54 FR 5492, Feb. 3, 1989, as amended at 58 FR 36613, July 8, 1993]

Sec. 218.53 Scope and definitions.

(a) This subpart establishes standards of conduct for railroads and
individuals who operate or permit to be operated locomotives equipped
with one or more of the safety devices identified in paragraph (c) of
this section.
(b) Disable means to unlawfully render a device incapable of proper
and effective action or to materially impair the functioning of that
device.
(c) Safety device means any locomotive-mounted equipment that is
used either to assure that the locomotive operator is alert, not
physically incapacitated, aware of and complying with the indications of
a signal system or other operational control system or to record data
concerning the operation of that locomotive or the train it is powering.
See appendix B to this part for a statement of agency policy on this
subject.

Sec. 218.55 Tampering prohibited.

Any individual who willfully disables a safety device is subject to
a civil penalty as provided in appendix A of this part and to
disqualification from performing safety-sensitive functions on a
railroad if found unfit for such duties under the procedures provided
for in 49 CFR part 209.

Sec. 218.57 Responsibilities of individuals.

Any individual who knowingly operates a train, or permits it to be
operated, when the controlling locomotive of that train is equipped with
a disabled safety device, is subject to a civil penalty as provided for
in appendix A of this part and to disqualification from performing
safety-sensitive functions on a railroad if found to be unfit for such
duties. See appendix B to this

[[Page 129]]

part for a statement of agency enforcement policy concerning violations
of this section.

Sec. 218.59 Responsibilities of railroads.

Any railroad that operates a train when the controlling locomotive
of a train is equipped with a disabled safety device is subject to a
civil penalty as provided for in appendix A of this part.

Sec. 218.61 Authority to deactivate safety devices.

(a) For the purpose of this chapter, it is lawful to temporarily
render a safety device incapable of proper or effective action or to
materially impair its function if this action is taken as provided for
in paragraph (b) or (c) of this section.
(b) If a locomotive is equipped with a device to assure that the
operator is alert or not physically incapacitated, that device may be
deactivated when:
(1) The locomotive is not the controlling locomotive;
(2) The locomotive is performing switching operations and not
hauling cars in a manner that constitutes a train movement under part
232 of this chapter:
(3) The locomotive is dead-in-tow; or
(4) The locomotive is a mid-train slave unit being controlled by
radio from a remote location.
(c) If a locomotive is equipped with a device to record data
concerning the operation of that locomotive and/or of the train it is
powering, that device may be deactivated only in accordance with the
provisions of Sec. 229.135.

[54 FR 5492, Feb. 3, 1989, as amended at 58 FR 36613, July 8, 1993]

Subpart E--Protection of Occupied Camp Cars

Source: 54 FR 39545, Sept. 27, 1989, unless otherwise noted.

Sec. 218.71 Purpose and scope.

This subpart prescribes minimum requirements governing protection of
camp cars that house railroad employees. The rule does not apply to such
cars while they are in a train.

Sec. 218.73 Warning signal display.

(a) Warning signals, i.e., a white disk with the words ``Occupied
Camp Car'' in black lettering during daylight hours and an illuminated
white signal at night, displayed in accordance with Sec. 218.75,
Sec. 218.77, or Sec. 218.79 signify that employees are in, around, or in
the vicinity of camp cars. Once the signals have been displayed--
(1) The camp cars may not be moved for coupling to other rolling
equipment or moved to another location;
(2) Rolling equipment may not be placed on the same track so as to
reduce or block the view of a warning signal; and
(3) Rolling equipment may not pass a warning signal.
(b) Warning signals indicating the presence of occupied camp cars,
displayed in accordance with Secs. 218.75 and 218.79, shall be displayed
by a designated occupant of the camp cars or that person's immediate
supervisor. The signal(s) shall be displayed as soon as such cars are
placed on the track, and such signals may only be removed by those same
individuals prior to the time the cars are moved to another location.

Sec. 218.75 Methods of protection for camp cars.

When camp cars requiring protection are on either main track or
track other than main track:
(a) A warning signal shall be displayed at or near each switch
providing access to that track;
(b) The person in charge of the camp car occupants shall immediately
notify the person responsible for directing train movements on that
portion of the railroad where the camp cars are being parked;
(c) Once notified of the presence of camp cars and their location on
main track or other than main track, the person responsible for
directing train movements on that portion of the railroad where the camp
cars are being parked shall take appropriate action to alert affected
personnel to the presence of the cars;
(d) Each manually operating switch providing access to track on
which the camp cars are located shall be lined against movement to that
track and

[[Page 130]]

secured with an effective locking device and spiked; and
(e) Each remotely controlled switch providing access to the track on
which the camp cars are located shall be protected in accordance with
Sec. 218.77.

Sec. 218.77 Remotely controlled switches.

(a) After the operator of the remotely controlled switch is notified
that a camp car is to be placed on a particular track, he shall line
such switch against movement to that track and apply an effective
locking device applied to the lever, button, or other device controlling
the switch before informing the person in charge of the camp car
occupants that protection has been provided.
(b) The operator may not remove the locking device until informed by
the person in charge of the camp car occupants that protection is no
longer required.
(c) The operator shall maintain for 15 days a written record of each
notification that contains the following information:
(1) The name and craft of the employee in charge who provided the
notification;
(2) The number or other designation of the track involved;
(3) The date and time the operator notified the employee in charge
that protection had been provided in accordance with paragraph (a) of
this section; and
(4) The date and time the operator was informed that the work had
been completed, and the name and craft of the employee in charge who
provided this information.
(d) When occupied camp cars are parked on main track, a derail,
capable of restricting access to that portion of the track on which such
equipment is located, shall be positioned no less than 150 feet from the
end of such equipment and locked in a derailing position with an
effective locking device, and a warning signal must be displayed at the
derail.

Sec. 218.79 Alternative methods of protection.

Instead of providing protection for occupied camp cars in accordance
with Sec. 218.75 or Sec. 218.77, the following methods of protection may
be used:
(a) When occupied camp cars are on track other than main track:
(1) A warning signal must be displayed at or near each switch
providing access to or from the track;
(2) Each switch providing entrance to or departure from the area
must be lined against movement to the track and locked with an effective
locking device; and
(3) If the speed within this area is restricted to not more than
five miles per hour, a derail, capable of restricting access to that
portion of track on which the camp cars are located, will fulfill the
requirements of a manually operated switch in compliance with paragraph
(a)(2) of this section when positioned at least 50 feet from the end of
the camp cars to be protected by the warning signal, when locked in a
derailing position with an effective locking device, and when a warning
signal is displayed at the derail.
(b) Except as provided in paragraph (a) of this section, when
occupied camp cars are on track other than main track:
(1) A derail, capable of restricting access to that portion of the
track on which such equipment is located, will fulfill the requirements
of a manually operated switch when positioned no less than 150 feet from
the end of such equipment; and
(2) Each derail must be locked in a derailing position with an
effective locking device and a warning signal must be displayed at each
derail.

Sec. 218.80 Movement of occupied camp cars.

Occupied cars may not be humped or flat switched unless coupled to a
locomotive.

Appendix A to Part 218--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
Subpart B--Blue signal protection of workmen:
218.22 Utility employees:
(a) Employee qualifications........... $5,000 $7,500
(b) Concurrent service................ 5,000 7,500
(c) Assignment conditions.............

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(1) No controlling locomotive......... 5,000 7,500
(2) Empty cab......................... 5,000 7,500
(3)(4) Improper communication......... 5,000 7,500
(5) Performing functions not listed... 2,000 4,000
(d) Improper release of utility
employee............................. 2,000 4,000
(f) More than three utility employees
with one crew........................ 2,000 4,000
218.23 Blue signal display 5,000 7,500
218.24 One-person crew:
(a)(1) Equipment not coupled or
insufficiently separated............. 2,000 4,000
(a)(2) Unoccupied locomotive cab not
secured.............................. 5,000 7,500
(b) Helper service.................... 2,000 4,000
218.25 Workmen on a main track 5,000 7,500
218.27 Workmen on track other than main
track:
(a) Protection provided except that
signal not displayed at switch....... 2,000 4,000
(b) through (e)....................... 5,000 7,500
218.29 Alternate methods of protection:
(a)(1) protection provided except that
signal not displayed at switch....... 2,000 4,000
(a)(2) through (a)(8)................. 5,000 7,500
(b)(1) Protection provided except that
signal not displayed at switch....... 2,000 4,000
(b)(2) through (b)(4)................. 5,000 7,500
(c) Use of derails.................... 5,000 7,500
(d) Emergency repairs................. 5,000 7,500
218.30 Remotely controlled switches:
(a) and (b)........................... 5,000 7,500
(c)................................... 1,000 2,000
Subpart C--Protection of trains and
locomotives:
218.35 Yard limits:
(a) and (b)........................... 5,000 7,500
(c)................................... 1,000 2,000
218.37 Flag protection:
(a)................................... 5,000 7,500
(b) and (c)........................... 5,000 7,500
218.39 Hump operations................... 5,000 7,500
218.41 Noncompliance with hump operations
rule..................................... 5,000 7,500
Subpart D--Prohibition against tampering with
safety devices:
218.55 Tampering......................... ........... 7,500
218.57 (i) Knowingly operating or
permitting operation of disabled
equipment................................ 2,500 ...........
(ii) Willfully operating or
permitting operation of disabled
equipment............................ ........... 5,000
218.59 Operation of disabled equipment... 2,500 5,000
------------------------------------------------------------------------
\1\ Except as provided for in Sec. 218.57, a penalty may be assessed
against an individual only for a willful violation. The Administrator
reserves the right to assess a penalty of up to $20,000 for any
violation where the circumstances warrant. See 49 CFR part 209,
appendix A.

[53 FR 52928, Dec. 29, 1988, as amended at 54 FR 5492, Feb. 3, 1989; 58
FR 43293, Aug. 16, 1993; 60 FR 11050, Mar. 1, 1995]

Appendix B to Part 218--Statement of Agency Enforcement Policy on Blue
Signal Protection for Utility Employees

The following examples of the application of the train or yard crew
exclusion from required blue signal protection for utility employees are
provided to clarify FRA's enforcement policy. In the first four
examples, the utility employee is properly attached to and functioning
as member of a train or yard crew and is excluded from blue signal
protection, provided all the conditions specified in Sec. 218.22 are
met:
Example 1: A utility employee assists a train crew by adding or
reducing railroad cars to or from the train. The utility employee may
perform any duties which would normally be conducted by members of the
train crew, i.e., setting or releasing handbrakes, coupling air hoses
and other connections, prepare rail cars for coupling, and perform air
brake tests.
Example 2: A utility employee is assigned to assist a yard crew for
the purpose of classifying and assembling railroad cars. The yard crew
onboard their locomotive arrives at the location in the yard where the
work is to be performed. At that time, the utility employee may attach
himself to the yard crew and commence duties as a member of that yard
crew.
Example 3: A utility employee is assigned to inspect, test, remove
and replace if necessary, a combination rear end marking device/end of
train device on a through freight train. The utility employee attaches
himself to the train crew after the arrival of the train and its crew at
the location where this work is to be conducted. He may then perform
duties as a member of that crew.
Example 4: A railroad manager who properly attaches himself as a
utility employee to a train or yard crew, in accordance with
Sec. 218.22, may then function as a member of

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the train or yard crew under the exclusion provided for train and yard
crews.
Note: In the last four examples, any railroad employee, including
regularly assigned crew members, would need blue signal protection to
perform the described function.
Example 5: Prior to the arrival of a through freight train, a
utility employee installs an end-of-train device on one end of a block
of railroad cars that are scheduled to be picked up by the freight
train.
Example 6: A railroad employee attaches himself to a train or yard
crew while the crew is in the ready room preparing to take charge of
their train. Prior to the train crew leaving the ready room and taking
charge of the equipment, the employee couples air hoses and other
connections between the locomotives.
Example 7: A railroad employee is attached to a train crew after the
train crew has taken charge of the train. It is necessary for the
employee to perform a repair on a rail car, such as replacing a brake
shoe, in addition to those duties normally performed by train or yard
crew members.
Example 8: A train or yard crew, supplemented by three utility
employees, has an assigned locomotive and train. The regular crew,
including the engineer, has left the train to eat lunch. The utility
employees have remained with the train and are coupling air hoses
between rail cars in the train.

[58 FR 43293, Aug. 16, 1993]

Appendix C to Part 218--Statement of Agency Enforcement Policy on
Tampering

The Rail Safety Improvement Act of 1988 (Pub. L. 100-342, enacted
June 22, 1988) (``RSIA'') raised the maximum civil penalties available
under the railroad safety laws and made individuals liable for willful
violations of those laws. Section 21 of the RSIA requires that FRA adopt
regulations addressing three related but distinct aspects of problems
that can occur when safety devices are tampered with or disabled. It
requires that FRA make it unlawful for (i) any individual to willfully
tamper with or disable a device; (ii) any individual to knowingly
operate or permit to be operated a train with a tampered or disabled
device; and (iii) any railroad to operate such a train.
Because the introduction of civil penalties against individuals
brings FRA's enforcement of the rail safety laws into a new era and
because the changes being introduced by this regulation are so
significant, FRA believes that it is advisable to set forth the manner
in which it will exercise its enforcement authority under this
regulation.

Safety Devices Covered by This Rule

FRA has employed a functional description of what constitutes a
safety device under this rule. FRA's wording effectively identifies
existing equipment and is sufficiently expansive to cover equipment that
may appear in the future, particularly devices associated with advanced
train control systems currently undergoing research testing.
FRA has been advised by portions of the regulated community that its
functional definition has some potential for confusing people who read
the rule without the benefit of the preamble discussions concerning the
meaning of this definition. Since this rule is specifically intended to
preclude misconduct by individuals, FRA wants this rule to be easily
comprehended by all who read it. To achieve that clarity, FRA has decide
to specify which types of equipment it considers to be within the scope
of this rule and provide some examples of equipment that is not covered.
In addition, FRA is ready and willing to respond in writing to any
inquiry about any other devices that a party believes are treated
ambiguously under this rule. This regulation applies to a variety of
devices including equipment known as ``event recorders,'' ``alerters,''
``deadman controls,'' ``automatic cab signals,'' ``cab signal
whistles,'' ``automatic train stop equipment,'' and ``automatic train
control equipment.'' FRA does not consider the following equipment to be
covered by this rule: Radios; monitors for end-of-train devices; bells
or whistles that are not connected to alerters, deadman pedals, or
signal system devices; fans for controlling interior temperature of
locomotive cabs; and locomotive performance monitoring devices, unless
they record data such as train speed and air brake operations. Although
FRA considers such devices beyond the scope of the regulation, this does
not imply that FRA condones the disabling of such devices. FRA will not
hesitate to include such devices at a later date should instances of
tampering with these devices be discovered. FRA does not currently
perceive a need to directly proscribe tampering with such devices
because there is no history of these devices being subjected to
tampering.

Subsequent Operators of Trains With Disabled Devices

Section 218.57 addresses instances in which one individual has
tampered with a safety device and a second individual (a ``subsequent
operator'') knowingly operates a train or permits it to be operated,
notwithstanding the presence of the disabled or tampered-with unit. The
most common occurrence addressed by this provision is the situation in
which a train crew encounters a locomotive with a safety device that has
been tampered

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with prior to the crew's assuming responsibility for the locomotive. FRA
has structured this provision and its attendant enforcement policy to
reflect the fact that instances in which one individual encounters a
locomotive that someone else has tampered with are relatively infrequent
occurrences.
FRA's regulatory prohibition for subsequent operator conduct
reflects the legal standard for individual culpability set forth in the
RSIA. Under the relevant statutory standard (``knowingly operates or
permits to be operated a train on which such devices have been tampered
with or disabled by another person'')--now incorporated into
Sec. 218.57--individuals could be held to a simple negligence standard
of conduct, i.e., a standard of reasonable care under the circumstances.
FRA's conclusion about the proper interpretation of the word
``knowingly'' stems from both normal canons of statutory construction
and analysis of decisional law concerning the use of similar statutory
constructs in the civil penalty context. It is also consistent with
other Departmental interpretations of the word as used in similar
contexts. (See 49 CFR 107.299, defining ``knowingly'' under the
Hazardous Materials Transportation Act, 49 App. U.S.C. 1801 et seq.)
Under that statutory language, the responsible members of the crew
could be culpable if either (1) due to their failure to exercise
reasonable care, they failed to determine that the safety device was not
functioning, or (2) having ascertained that the device was not
functioning, still elected to operate the train. Similarly, railroad
supervisors who permit or direct that a train with a disabled device be
operated after having learned that the safety device is not functioning
or after having failed to use reasonable care in the performance of
their duties could also be subject to sanction.
However, as a matter of enforcement policy, application of a
negligence standard in this particular context presently appears
unwarranted. We have seen no evidence of an employee's negligent failure
to detect another employee's tampering having caused a safety problem.
FRA can effectively attack the known dimensions of the tampering problem
by employing an enforcement policy that limits its enforcement actions
to situations where individuals clearly had actual knowledge of the
disabled device and intentionally operated the train notwithstanding
that knowledge.
Therefore, FRA will not take enforcement action against an
individual under Sec. 218.57 absent a showing of such actual knowledge
of the facts. Actual, subjective knowledge need not be demonstrated. It
will suffice to show objectively that the alleged violator must have
known the facts based on reasonable inferences drawn from the
circumstances. For example, it is reasonable to infer that a person
knows about something plainly in sight on the locomotive he is
operating. Also, unlike the case where willfulness must be shown (see
FRA's statement of policy at 49 CFR part 209, appendix A), knowledge of
or reckless disregard for the law need not be shown to make out a
violation of Sec. 218.57. The knowledge relevant here is knowledge of
the facts constituting the violation, not knowledge of the law.
Should FRA receive evidence indicating that a stricter enforcement
policy is necessary to address the tampering problem, it will revise its
enforcement policy to permit enforcement actions based only on a showing
of the subsequent operator's negligent failure to detect the tampering,
as the relevant provision of the RSIA permits it to do now. Any such
change in enforcement policy will become effective only after
publication of a revised version of this appendix.

[54 FR 5492, Feb. 3, 1989. Redesignated and amended at 58 FR 43293, Aug.
16, 1993]

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

Subpart A--General

Sec.
219.1 Purpose and scope.
219.3 Application.
219.5 Definitions.
219.7 Waivers.
219.9 Responsibility for compliance.
219.11 General conditions for chemical tests.
219.13 Preemptive effect.
219.15 [Reserved]
219.17 Construction.
219.19 Field Manual.
219.21 Information collection.
219.23 Railroad policies.

Subpart B--Prohibitions

219.101 Alcohol and drug use prohibited.
219.102 Prohibition on abuse of controlled substances.
219.103 Prescribed and over-the-counter drugs.
219.104 Responsive action.
219.105 Railroad's duty to prevent violations.
219.107 Consequences of unlawful refusal.

Subpart C--Post-Accident Toxicological Testing

219.201 Events for which testing is required.
219.203 Responsibilities of railroads and employees.
219.205 Sample collection and handling.
219.206 FRA access to breath test results.
219.207 Fatality.
219.209 Reports of tests and refusals.
219.211 Analysis and follow-up.

[[Page 134]]

219.213 Unlawful refusals; consequences.

Subpart D--Testing for Cause

219.300 Mandatory reasonable suspicion testing.
219.301 Testing for reasonable cause.
219.302 Prompt sample collection; time limitation.
219.303 Alcohol test procedures and safeguards.
219.305 Urine test procedures and safeguards.

Subpart E--Identification of Troubled Employees

219.401 Requirement for policies.
219.403 Voluntary referral policy.
219.405 Co-worker report policy.
219.407 Alternate policies.

Subpart F--Pre-employment Tests

219.501 Pre-employment tests.
219.503 Notification; records.
219.505 Refusals.

Subpart G--Random Alcohol and Drug Testing Programs

219.601 Railroad random drug testing programs.
219.602 Administrator's determination of random drug testing rate.
219.603 Participation in drug testing.
219.605 Positive drug test results; procedures.
219.607 Railroad random alcohol testing programs.
219.608 Administrator's determination of random alcohol testing rate.
219.609 Participation in alcohol testing.
219.611 Test result indicating prohibited alcohol concentration;
procedures.

Subpart H--Procedures and Safeguards for Urine Drug Testing and for
Alcohol Testing

219.701 Standards for urine drug testing.
219.703 Drug testing procedures.
219.705 Drugs tested.
219.707 Review by MRO of urine drug testing results.
219.708 Employee requests for testing.
219.709 Retest.
219.711 Confidentiality of test results.
219.713 [Reserved]
219.715 Alcohol testing procedures.

Subpart I--Annual Report

219.801 Reporting alcohol misuse prevention program results in a
management information system.
219.803 Reporting drug misuse prevention program results in a
management information system.

Subpart J--Recordkeeping Requirements

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

Appendix A to Part 219--Schedule of Civil Penalties
Appendix B to Part 219--Designation of Laboratory for Post-Accident
Toxicological Testing
Appendix C to Part 219--Post-Accident Testing Sample Collection
Appendix D to Part 219--Drug Testing Management Information System (MIS)
Data Collection Form
Appendix D1 to Part 219--[Reserved]
Appendix D2 to Part 219--Drug Testing Management Information System
(MIS) ``EZ'' Data Collection Form
Appendix D3 to Part 219--Alcohol Testing Management Information System
(MIS) Data Collection Form
Appendix D4 to Part 219--Alcohol Testing Management Information System
(MIS) ``EZ'' Data Collection Form

Authority: 49 U.S.C. 20103, 20107, 20111, 20112, 20113, 20140,
21301, 21304; and 49 CFR 1.49(m).

Source: 54 FR 53259, Dec. 27, 1989, unless otherwise noted.

Editorial Note: Nomenclature changes to part 219 appear at 59 FR
7457, Feb. 15, 1994.

Subpart A--General

Sec. 219.1 Purpose and scope.

(a) The purpose of this part is to prevent accidents and casualties
in railroad operations that result from impairment of employees by
alcohol or drugs.
(b) This part prescribes minimum Federal safety standards for
control of alcohol and drug use. This part does not restrict a railroad
from adopting and enforcing additional or more stringent requirements
not inconsistent with this part.

Sec. 219.3 Application.

(a) Except as provided in paragraphs (b) and (c), this part applies
to--
(1) Railroads that operate rolling equipment on standard gage track
which is part of the general railroad system of transportation; and
(2) Railroads that provide commuter or other short-haul rail
passenger service in a metropolitan or suburban area

[[Page 135]]

(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.
(3) Subpart I does not apply to a railroad that has fewer than
400,000 total manhours.
(c) Subparts E, F and G do not apply to operations of a foreign
railroad conducted by covered service employees whose primary place of
service (``home terminal'') for rail transportation services is located
outside the United States. Such operations and employees are subject to
subparts A, B, C, and D when operating in United States territory.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7457, Feb. 15, 1994]

Sec. 219.5 Definitions.

As used in this part--
Alcohol means the intoxicating agent in beverage alcohol, ethanol or
other low molecular weight alcohols including methyl or isopropyl
alcohol.
Alcohol concentration (or content) means the alcohol in a volume of
breath expressed in terms of grams of alcohol per 210 liters of breath
(as indicated by a breath test under this part) or grams of alcohol per
100 milliliters of whole blood.
Alcohol use means the consumption of any beverage, mixture or
preparation, including any medication, containing alcohol.
Class I, ``Class II,'' and ``Class III'' have the meaning assigned
by regulations of the Interstate Commerce Commission (49 CFR Part 1201;
General Instructions 1-1), as those regulations may be revised and
applied by order of the Commission (including modifications in class
thresholds based revenue deflator adjustments).
Confirmation test means a second test, following a screening test
with a result of .02 or greater, that provides quantitative data of
alcohol concentration.
Consortium means an entity, including a group or association of
employers or contractors, that provides alcohol testing as required by
this part or other DOT alcohol testing regulation and that acts on
behalf of the employers.
Controlled substance has the meaning assigned by 21 U.S.C. 802 and
includes all substances listed on Schedules I through V as they may be
revised from time to time (21 CFR parts 1301-1316).
Covered employee means a person who has been assigned to perform
service subject to the Hours of Service Act (45 U.S.C. 61-64b) during a
duty tour, whether or not the person has performed or is currently
performing such service, and any person who performs such service. (An
employee is not ``covered'' within the meaning of this part exclusively
by reason of being an employee for purposes of section 2(a)(3) of the
Hours of Service Act, as amended (45 U.S.C. 62(a)(3)).) For the purposes
of pre-employment testing only, the term covered employee includes a
person applying to perform covered service.
Co-worker means another employee of the railroad, including a
working supervisor directly associated with a yard or train crew, such
as a conductor or yard foreman, but not including any other railroad
supervisor, special agent or officer.
DOT Agency means an agency (or ``operating administration'') of the
United States Department of Transportation administering regulations
requiring alcohol or controlled substance testing (14 CFR parts 61, 63,
65, 121 and 135; 49 CFR parts 199, 219, 382 and 654) in accordance with
part 40 of this title.
Drug means any substance (other than alcohol) that has known mind or
function-altering effects on a human subject, specifically including any
psychoactive substance and including, but not limited to, controlled
substances.
Field Manual refers to the document described in Sec. 219.19 of this
subpart.
FRA means the Federal Railroad Administration, U.S. Department of
Transportation.

[[Page 136]]

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,
$6,300 in 1991 and thereafter) consisting of a head-on collision, a
rear-end collision, a side collision (including a collision at a
railroad crossing at grade), a switching collision, or impact with a
deliberately-placed obstruction such as a bumping post. The following
are not impact accidents:
(1) An accident in which the derailment of equipment causes an
impact with other rail equipment;
(2) Impact of rail equipment with obstructions such as fallen trees,
rock or snow slides, livestock, etc.; and
(3) Raking collisions caused by derailment of rolling stock or
operation of equipment in violation of clearance limitations.
Independent with respect to a medical facility, means not under the
ownership or control of the railroad and not operated or staffed by a
salaried officer or employee of the railroad. The fact that the railroad
pays for services rendered by a medical facility or laboratory, selects
that entity for performing tests under this part, or has a standing
contractual relationship with that entity to perform tests under this
part or perform other medical examinations or tests of railroad
employees does not, by itself, remove the facility from this definition.
Medical facility means a hospital, clinic, physician's office, or
laboratory where toxicological samples can be collected according to
recognized professional standards.
Medical practitioner means a physician or dentist licensed or
otherwise authorized to practice by the state.
Medical Review Officer or MRO refers to a licensed physician
designated by the railroad who is responsible for receiving laboratory
results generated by the railroad's drug testing program (including
testing mandated or authorized by this part), who has knowledge of
substance abuse disorders, and who has appropriate medical training to
interpret and evaluate an individual's positive test result (as reported
by the laboratory) together with his or her medical history and any
other relevant biomedical information.
NTSB means the National Transportation Safety Board.
Passenger train means a train transporting persons (other than
employees, contractors or persons riding equipment to observe or monitor
railroad operations) in intercity passenger service, commuter or other
short-haul service, or for excursion or recreational purposes.
Positive rate means the number of positive results for random drug
tests conducted under this part plus the number of refusals of random
tests required by this part, divided by the total number of random drug
tests conducted under this part plus the number of refusals of random
tests required by this part.
Possess means to have on one's person or in one's personal effects
or under one's control. However, the concept of possession as used in
this part does not include control by virtue of presence in the
employee's personal residence or other similar location off of railroad
property.
Railroad means all forms of non-highway ground transportation that
run on rails or electro-magnetic guideways, including:
(1) Commuter or other short-haul rail passenger service in a
metropolitan or suburban area, as well as any commuter rail service
which was operated by Consolidated Rail Corporation as of January 1,
1979, and
(2) High speed ground transportation systems that connect
metropolitan areas, without regard to whether they use new technologies
not associated with traditional railroads.

Such term does not include rapid transit operations within an urban area
that are not connected to the general railroad system of transportation.
Railroad property damage or damage to railroad property refers to
damage to railroad property, including railroad

[[Page 137]]

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.
Refuse to submit means that a covered employee fails to provide a
urine sample as required by 49 CFR part 40, without a genuine inability
to provide a specimen (as determined by a medical evaluation), after he
or she has received notice of the requirement to be tested in accordance
with the provisions of this part, or engages in conduct that clearly
obstructs the testing process.
Refuse to submit (to an alcohol test) means that a covered employee
fails to provide adequate breath for testing without a valid medical
explanation after he or she has received notice of the requirement to be
tested in accordance with the provisions of this part, or engages in
conduct that clearly obstructs the testing process.
Reportable injury means an inury reportable under part 225 of this
title.
Reporting threshold means the amount specified in Sec. 225.19(c) of
this title, as adjusted from time to time in accordance with appendix A
to part 225 of this title (i.e., $6,300 in 1991 and thereafter).
Screening test means an analytical procedure to determine whether a
covered employee may have a prohibited concentration of alcohol in his
or her system.
Supervisory employee means an officer, special agent, or other
employee of the railroad who is not a co-worker and who is responsible
for supervising or monitoring the conduct or performance of one or more
employees.
Train, except as context requires, means a locomotive, or more than
one locomotive coupled, with or without cars. (A locomotive is a self-
propelled unit of equipment which can be used in train service.)
Train accident means a passenger, freight, or work train accident
described in Sec. 225.19(c) of this title (a ``rail equipment accident''
involving damage in excess of the current reporting threshold, $6,300 in
1991 and thereafter), including an accident involving a switching
movement.
Train incident means an event involving the movement of railroad on-
track equipment that results in a casualty but in which railroad
property damage does not exceed the reporting threshold.
Violation rate means the number of covered employees (as reported
under Sec. 219.801 of this part) found during random tests given under
this part to have an alcohol concentration of .04 or greater, plus the
number of employees who refuse a random test required by this part,
divided by the total reported number of employees in the industry given
random alcohol tests under this part plus the total reported number of
employees in the industry who refuse a random test required by this
part.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7457, Feb. 15, 1994; 59
FR 62228, Dec. 2, 1994; 61 FR 37224, July 17, 1996]

Sec. 219.7 Waivers.

(a) A person subject to a requirement of this part may petition the
Federal Railroad Administration for a waiver of compliance with such
requirement.
(b) Each petition for waiver under this section must be filed in a
manner and contain the information required by part 211 of this chapter.
(c) If the Administrator finds that waiver of compliance is in the
public interest and is consistent with railroad safety, the
Administrator may grant the waiver subject to any necessary conditions.

Sec. 219.9 Responsibility for compliance.

(a) Any person (including but not limited to a railroad; any
manager, supervisor, official, or other employee or agent of a railroad;
any owner, manufacturer, lessor, or lessee of railroad equipment, track,
or facilities; any independent contractor providing goods or services to
a railroad; and any employee of such owner, manufacturer, lessor,
lessee, or independent contractor) who violates any requirement of this
part or causes the violation of any such requirement is subject to a
civil

[[Page 138]]

penalty of at least $500 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., Sec. 219.105, which
shall be construed to qualify the responsibility of a railroad for the
unauthorized conduct of an employee that violates Sec. 219.101 or
Sec. 219.102 (while imposing a duty of due diligence to prevent such
conduct). Each day a violation continues shall constitute a separate
offense. See appendix A to this part for a statement of agency civil
penalty policy.
(b)(1) In the case of joint operations, primary responsibility for
compliance with this part with respect to determination of events
qualifying for breath or body fluid testing under subparts C and D of
this part shall rest with the host railroad, and all affected employees
shall be responsive to direction from the host railroad consistent with
this part. However, nothing in this paragraph shall restrict the ability
of the railroads to provide for an appropriate assignment of
responsibility for compliance with this part as among those railroads
through a joint operating agreement or other binding contract. FRA
reserves the right to bring an enforcement action for noncompliance with
applicable portions of this part against the host railroad, the
employing railroad, or both.
(2) Where an employee of one railroad is required to participate in
breath or body fluid testing under subpart C or D and is subsequently
subject to adverse action alleged to have arisen out of the required
test (or alleged refusal thereof), necessary witnesses and documents
available to the other railroad shall be made available to the employee
on a reasonable basis.
(c) Any independent contractor or other entity that performs covered
service for a railroad has the same responsibilities as a railroad under
this part, with respect to its employees who perform covered service.
The entity's responsibility for compliance with this part may be
fulfilled either directly by that entity or by the railroad's treating
the entity's employees who perform covered service as if they were its
own employees for purposes of this part. The responsibility for
compliance must be clearly spelled out in the contract between the
railroad and the other entity or in another document. In the absence of
such a clear delineation of responsibility, FRA will hold the railroad
and the other entity jointly and severally liable for compliance.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7458, Feb. 15, 1994]

Sec. 219.11 General conditions for chemical tests.

(a) Any employee who performs covered service for a railroad shall
be deemed to have consented to testing as required in subparts B, C, D,
and G of this part; and consent is implied by performance of such
service.
(b)(1) Each such employee shall participate in such testing, as
required under the conditions set forth in this part by a representative
of the railroad.
(2) In any case where an employee has sustained a personal injury
and is subject to alcohol or drug testing under this part, necessary
medical treatment shall be accorded priority over provision of the
breath or body fluid sample(s). No employee who is unable to urinate
normally (based on the judgment of a medical professional that
catheterization would be required) as a result of a personal injury,
resulting medical treatment, or renal failure shall be required to
provide a urine sample. Nothing in this section shall bar use of a urine
sample made available as a result of catheterization undertaken for
medical purposes, provided the circumstances of such collection are
fully documented and the specimen is otherwise handled in accordance
with the applicable requirements of this title.
(3) Failure to remain available following an accident or casualty as
required by company rules (i.e., being absent without leave) shall be
considered a refusal to participate in testing, without regard to any
subsequent provision of samples.

[[Page 139]]

(4) Tampering with a sample in order to prevent a valid test (e.g.,
through substitution, dilution or adulteration) constitutes a refusal to
provide a sample.
(c) A covered employee who is required to be tested under subpart C
or D and who is taken to a medical facility for observation or treatment
after an accident or incident shall be deemed to have consented to the
release to FRA of the following:
(1) The remaining portion of any body fluid sample taken by the
treating facility within 12 hours of the accident or incident that is
not required for medical purposes, together with any normal medical
facility record(s) pertaining to the taking of such sample;
(2) The results of any laboratory tests for alcohol or any drug
conducted by or for the treating facility on such sample; and
(3) The identity, dosage, and time of administration of any drugs
administered by the treating facility prior to the time samples were
taken by the treating facility or prior to the time samples were taken
in compliance with this part.
(4) The results of any breath tests for alcohol conducted by or for
the treating facility.
(d) An employee required to participate in body fluid testing under
subpart C (post-accident toxicological testing) or testing subject to
subpart H shall, if requested by the representative of the railroad or
the medical facility (including under subpart H of this part, a non-
medical contract collector), evidence consent to taking of samples,
their release for toxicological analysis under pertinent provisions of
this part, and release of the test results to the railroad's Medical
Review Officer by promptly executing a consent form, if required by the
medical facility. The employee is not required to execute any document
or clause waiving rights that the employee would otherwise have against
the employer, and any such waiver is void. The employee may not be
required to waive liability with respect to negligence on the part of
any person participating in the collection, handling or analysis of the
specimen or to indemnify any person for the negligence of others. Any
consent provided consistent with this section shall be construed to
extend only to those actions specified herein.
(e) Nothing in this part shall be construed to authorize the use of
physical coercion or any other deprivation of liberty in order to compel
breath or body fluid testing.
(f) Any railroad employee who performs service for a railroad shall
be deemed to have consented to removal of body fluid and/or tissue
samples necessary for toxicological analysis from the remains of such
employee, if such employee dies within 12 hours of an accident or
incident described in subpart C as a result of such event. This consent
is specifically required of employees not in covered service, as well as
employees in covered service.
(g) Each supervisor responsible for covered employees (except a
working supervisor within the definition of co-worker under this part)
shall be trained in the signs and symptoms of alcohol and drug
influence, intoxication and misuse consistent with a program of
instruction to be made available for inspection upon demand by FRA. Such
a program shall, at a minimum provide information concerning the acute
behavioral and apparent physiological effects of alcohol and the major
drug groups on the controlled substances list. The program shall also
provide training on the qualifying criteria for post-accident testing
contained in subpart C of this part, and the role of the supervisor in
post-accident collections described in subpart C and appendix C of this
part. The duration of such training shall be not less than 3 hours.
(h) Nothing in this subpart restricts any discretion available to
the railroad to request or require that an employee cooperate in
additional body fluid testing. However, no such testing may be performed
on urine or blood samples provided under this part. For purposes of this
paragraph, all urine from a void constitutes a single sample.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7458, Feb. 15, 1994]

[[Page 140]]

Sec. 219.13 Preemptive effect.

(a) Under section 205 of the Federal Railroad Safety Act of 1970 (45
U.S.C. 434), issuance of these regulations preempts any State law, rule,
regulation, order or standard covering the same subject matter, except a
provision directed at a local hazard that is consistent with this part
and that does not impose an undue burden on interstate commerce.
(b) FRA does not intend by issuance of these regulations to preempt
provisions of State criminal law that impose sanctions for reckless
conduct that leads to actual loss of life, injury or damage to property,
whether such provisions apply specifically to railroad employees or
generally to the public at large.
Sec. 219.15 [Reserved]

Sec. 219.17 Construction.

Nothing in this part--
(a) Restricts the power of FRA to conduct investigations under
section 208 of the Federal Railroad Safety Act of 1970, as amended; or
(b) Creates a private right of action on the part of any person for
enforcement of the provisions of this part or for damages resulting from
noncompliance with this part.

Sec. 219.19 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.

Sec. 219.21 Information collection.

(a) The information collection requirements of this part have been
reviewed by the Office of Management and Budget pursuant to the
Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.) and have been
assigned OMB control number 2130-0526.
(b) The information collection requirements are found in the
following sections:

Section 219.7.
Section 219.23.
Section 219.104.
Section 219.201.
Section 219.203.
Section 219.205.
Section 219.207.
Section 219.209.
Section 219.211.
Section 219.213.
Section 219.303.
Section 219.307.
Section 219.309.
Section 219.401.
Section 219.403.
Section 219.405.
Section 219.407.
Section 219.501.
Section 219.503.
Section 219.601.
Section 219.605.
Section 219.701.
Section 219.703.
Section 219.705.
Section 219.707.
Section 219.709.
Section 219.711.
Section 219.713.

Sec. 219.23 Railroad policies.

(a) Whenever a breath or body fluid test is required of an employee
under this part, the railroad shall provide clear and unequivocal
written notice to the employee that the test is being required under
Federal Railroad Administration regulations. Use of the mandated DOT
form for urine drug testing or breath analysis satisfies the
requirements of this paragraph.
(b) Whenever a breath or body fluid test is required of an employee
under this part, the railroad shall provide clear, unequivocal written
notice of the basis or bases upon which the test is required (e.g.,
reasonable suspicion, violation of a specified operating/safety rule
enumerated in subpart D of this part, random selection, follow-up,
etc.). Completion of the alcohol testing form or urine custody and
control form indicating the basis of the test (prior to providing a copy
to the employee) satisfies the requirement of this paragraph.

[[Page 141]]

(c) Use of approved forms for mandatory post-accident toxicological
testing under subpart C of this part provides the notifications required
under this section with respect to such tests. Use of those forms for
any other test is prohibited.
(d) Each railroad shall provide educational materials that explain
the requirements of this part, and the railroad's policies and
procedures with respect to meeting those requirements.
(1) The railroad shall ensure that a copy of these materials is
distributed to each covered employee prior to the start of alcohol
testing under the railroad's alcohol misuse prevention program and to
each person subsequently hired for or transferred to a covered position.
(2) Each railroad shall provide written notice to representatives of
employee organizations of the availability of this information.
(e) Required content. The materials to be made available to
employees shall include detailed discussion of at least the following:
(1) The identity of the person designated by the railroad to answer
employee questions about the materials.
(2) The classes or crafts of employees who are subject to the
provisions of this part.
(3) Sufficient information about the safety-sensitive functions
performed by those employees to make clear that the period of the work
day the covered employee is required to be in compliance with this part
is that period when the employee is on duty and is required to perform
or is available to perform covered service.
(4) Specific information concerning employee conduct that is
prohibited under subpart B of this part.
(5) In the case of a railroad utilizing the accident/incident and
rule violation reasonable cause testing authority provided by this part,
prior notice (which may be combined with the notice required by
Secs. 219.601(d)(1) and 219.607(d)(1)), to covered employees of the
circumstances under which they will be subject to testing.
(6) The circumstances under which a covered employee will be tested
under this part.
(7) The procedures that will be used to test for the presence of
alcohol and controlled substances, protect the employee and the
integrity of the testing processes, safeguard the validity of the test
results, and ensure that those results are attributed to the correct
employee.
(8) The requirement that a covered employee submit to alcohol and
drug tests administered in accordance with this part.
(9) An explanation of what constitutes a refusal to submit to an
alcohol or drug test and the attendant consequences.
(10) The consequences for covered employees found to have violated
subpart B of this part, including the requirement that the employee be
removed immediately from covered service, and the procedures under
Sec. 219.104.
(11) The consequences for covered employees found to have an alcohol
concentration of .02 or greater but less than .04.
(12) Information concerning the effects of alcohol misuse on an
individual's health, work, and personal life; signs and symptoms of an
alcohol problem (the employee's or a coworker's); and available methods
of evaluating and resolving problems associated with the misuse of
alcohol, including utilization of the procedures set forth in subpart E
of this part and the names, addresses, and telephone numbers of
substance abuse professionals and counseling and treatment programs.
(f) Optional provisions. The materials supplied to employees may
also include information on additional railroad policies with respect to
the use or possession of alcohol and drugs, including any consequences
for an employee found to have a specific alcohol concentration, that are
based on the railroad's authority independent of this part. Any such
additional policies or consequences shall be clearly and obviously
described as being based on independent authority.

[54 FR 53259, Dec. 27, 1989; 55 FR 22793, June 4, 1990, as amended at 59
FR 7458, Feb. 15, 1994]

[[Page 142]]

Subpart B--Prohibitions

Sec. 219.101 Alcohol and drug use prohibited.

(a) Prohibitions. Except as provided in Sec. 219.103--
(1) No employee may use or possess alcohol or any controlled
substance while assigned by a railroad to perform covered service;
(2) No employee may report for covered service, or go or remain on
duty in covered service while--
(i) Under the influence of or impaired by alcohol;
(ii) Having .04 or more alcohol concentration in the breath or
blood; or
(iii) Under the influence of or impaired by any controlled
substance.
(3) No employee may use alcohol for whichever is the lesser of the
following periods:
(i) Within four hours of reporting for covered service; or
(ii) After receiving notice to report for covered service.
(4) No employee tested under the provisions of this part whose test
result indicates an alcohol concentration of .02 or greater but less
than .04 shall perform or continue to perform covered service functions
for a railroad, nor shall a railroad permit the employee to perform or
continue to perform covered service, until the start of the employee's
next regularly scheduled duty period, but not less than eight hours
following administration of the test.
(b) Controlled substance. ``Controlled substance'' is defined by
Sec. 219.5 of this part. Controlled substances are grouped as follows:
Marijuana, narcotics (such as heroin and codeine), stimulants (such as
cocaine and amphetamines), depressants (such as barbiturates and minor
tranquilizers), and hallucinogens (such as the drugs known as PCP and
LSD). Controlled substances include illicit drugs (Schedule I), drugs
that are required to be distributed only by a medical practitioner's
prescription or other authorization (Schedules II through IV, and some
drugs on Schedule V), and certain preparations for which distribution is
through documented over the counter sales (Schedule V only).
(c) Railroad rules. Nothing in this section restricts a railroad
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.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7459, Feb. 15, 1994]

Sec. 219.102 Prohibition on abuse of controlled substances.

On and after October 2, 1989, no employee who performs covered
service may use a controlled substance at any time, whether on duty or
off duty, except as permitted by Sec. 219.103 of this subpart.

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

(a) This subpart does not prohibit the use of a controlled substance
(on Schedule II through V of the controlled substance list) prescribed
or authorized by a medical practitioner, or possession incident to such
use, if--
(1) The treating medical practitioner or a physician designated by
the railroad has made a good faith judgment, with notice of the
employee's assigned duties and on the basis of the available medical
history, that use of the substance by the employee at the prescribed or
authorized dosage level is consistent with the safe performance of the
employee's duties;
(2) The substance is used at the dosage prescribed or authorized;
and
(3) In the event the employee is being treated by more than one
medical practitioner, at least one treating medical practitioner has
been informed of all medications authorized or prescribed and has
determined that use of the medications is consistent with the safe
performance of the employee's duties (and the employee has observed any
restrictions imposed with respect to use of the medications in
combination).
(b) This subpart does not restrict any discretion available to the
railroad to

[[Page 143]]

require that employees notify the railroad of therapeutic drug use or
obtain prior approval for such use.

Sec. 219.104 Responsive action.

(a) Removal from covered service. (1) If the railroad determines
that an employee has violated Sec. 219.101 or Sec. 219.102, or the
alcohol or controlled substances misuse rule of another DOT agency, the
railroad shall immediately remove the employee from covered service and
the procedures described in paragraphs (b) through (e) of this section
shall apply.
(2) If an employee refuses to provide breath or a body fluid sample
or samples when required to by the railroad under a mandatory provision
of this part, the railroad shall immediately remove the employee from
covered service, and the procedures described in paragraphs (b) through
(e) of this section shall apply.
(3)(i) This section does not apply to actions based on breath or
body fluid tests for alcohol or drugs that are conducted exclusively
under authority other than that provided in this part (e.g., testing
under a company medical policy, for-cause testing policy wholly
independent of subpart D of this part, or testing under a labor
agreement).
(ii) This section and the information requirements listed in
Sec. 219.23 do not apply to applicants who refuse to submit to a pre-
employment test or who have a pre-employment test with a result
indicating either an alcohol concentration equal to or greater than .04,
or the misuse of controlled substances.
(b) Notice. Prior to or upon withdrawing the employee from covered
service under this section, the railroad shall provide notice of the
reason for this action.
(c) Hearing procedures. (1) If the employee denies that the test
result is valid evidence of alcohol or drug use prohibited by this
subpart, the employee may demand and shall be provided an opportunity
for a prompt post-suspension hearing before a presiding officer other
than the charging official. This hearing may be consolidated with any
disciplinary hearing arising from the same accident or incident (or
conduct directly related thereto), but the presiding officer shall make
separate findings as to compliance with Secs. 219.101 and 219.102 of
this part.
(2) The hearing shall be convened within the period specified in the
applicable collective bargaining agreement. In the absence of an
agreement provision, the employee may demand that the hearing be
convened within 10 calendar days of the suspension or, in the case of an
employee who is unavailable due to injury, illness, or other sufficient
cause, within 10 days of the date the employee becomes available for
hearing.
(3) A post-suspension proceeding conforming to the requirements of
an applicable collective bargaining agreement, together with the
provisions for adjustment of disputes under section 3 of the Railway
Labor Act, shall be deemed to satisfy the procedural requirements of
this paragraph.
(4) Nothing in this part shall be deemed to abridge any additional
procedural rights or remedies not inconsistent with this part that are
available to the employee under a collective bargaining agreement, the
Railway Labor Act, or (with respect to employment at will) at common law
with respect to the removal or other adverse action taken as a
consequence of a positive test result in a test authorized or required
by this part.
(5) Nothing in this part shall restrict the discretion of the
railroad to treat an employee's denial of prohibited alcohol or drug use
as a waiver of any privilege the employee would otherwise enjoy to have
such prohibited alcohol or drug use treated as a non-disciplinary matter
or to have discipline held in abeyance.
(d) Return to covered service. An employee who has been determined
to have violated Sec. 219.101 or Sec. 219.102 or who refused to
cooperate in a breath or body fluid test under this part shall not be
returned to covered service unless the employee has--
(1) Been evaluated by a substance abuse professional to determine if
the employee is affected by a psychological or physical dependence on
alcohol or one or more controlled substances or by another identifiable
and treatable mental or physical disorder involving

[[Page 144]]

misuse of alcohol or drugs as a primary manifestation;
(2) Been evaluated by a substance abuse professional to determine
that the employee has properly followed the prescribed rehabilitation
program; and
(3)(i) Presented a urine sample for testing under subpart H of this
part that tested negative for controlled substances assayed (in the case
of an employee who has been determined to have violated a prohibition of
Sec. 219.101 or Sec. 219.102 regarding possession or misuse of
controlled substances or who refused to provide a body fluid sample or
samples when required to by the railroad under a mandatory provision of
this part); or
(ii) Presented breath for testing under subpart H of this part that
indicated an alcohol concentration of less than .02. (in the case of an
employee who has been determined to have violated a prohibition of
Sec. 219.101 regarding possession or misuse of alcohol or who refused to
provide breath when required to by the railroad under a mandatory
provision of this part).
(4) An employee shall be required to present both a urine sample and
breath for testing, as specified in this section and subpart H of this
part, if the substance abuse professional determines that such testing
is necessary as a condition for returning the particular employee to
covered service.
(e) Follow-up testing. An employee returned to service under the
above-stated conditions shall continue in any program of counseling or
treatment deemed necessary by the substance abuse professional and shall
be subject to unannounced follow-up tests administered by the railroad
following the employee's return to duty. The number and frequency of
such follow-up testing shall be determined by a substance abuse
professional, but shall consist of at least six tests in the first 12
months following the employee's return to duty. Any such testing shall
be performed in accordance with the requirements of 49 CFR part 40.
Follow-up testing shall not exceed 60 months from the date of the
employee's return to duty. The substance abuse professional may
terminate the requirement for follow-up testing at any time after the
first six tests have been administered, if the substance abuse
professional determines that such testing is no longer necessary.
(1) If the employee has been determined to have violated a
prohibition of Sec. 219.101 or Sec. 219.102 regarding possession or
misuse of controlled substances, or if the employee refused to provide a
body fluid sample or samples when required to by the railroad under a
mandatory provision of this part, the employee shall be subject to
follow-up testing as specified in this section. Such testing shall be
for controlled substances, but may include testing for alcohol as well,
if the substance abuse professional determines that alcohol testing is
necessary for the particular employee.
(2) If the employee has been determined to have violated a
prohibition of Sec. 219.101 regarding possession or misuse of alcohol,
or if the employee refused to provide breath when required to by the
railroad under a mandatory provision of this part, the employee shall be
subject to follow-up testing as specified in this section. Such testing
shall be for alcohol, but may include testing for controlled substances
as well, if the substance abuse professional determines that drug
testing is necessary for the particular employee.
(f) The railroad shall ensure that a substance abuse professional
who determines that a covered employee requires assistance in resolving
problems with alcohol or controlled substances misuse does not refer the
employee to the substance abuse professional's private practice or to a
person or organization from which the substance abuse professional
receives remuneration or in which the substance abuse professional has a
financial interest. This paragraph does not prohibit a substance abuse
professional from referring an employee for assistance provided
through--
(1) A public agency, such as a state, county, or municipality;
(2) The railroad or a person under contract to provide treatment for
alcohol problems on behalf of the railroad;
(3) The sole source of therapeutically appropriate treatment under
the employee's health insurance program; or

[[Page 145]]

(4) The sole source of therapeutically appropriate treatment
reasonably accessible to the employee.
(g) Railroad compliance with the provisions of paragraphs (a), (d),
and (e) of this section is mandatory beginning on January 1, 1995.

[54 FR 53259, Dec. 27, 1989; 55 FR 22793, June 4, 1990, as amended at 59
FR 7459, Feb. 15, 1994]

Sec. 219.105 Railroad's duty to prevent violations.

(a) A railroad may not, with actual knowledge, permit an employee to
go or remain on duty in covered service in violation of the prohibitions
of Sec. 219.101 or Sec. 219.102. As used in this section, the knowledge
imputed to the railroad shall be limited to that of a railroad
management employee (such as a supervisor deemed an ``officer,'' whether
or not such person is a corporate officer) or a supervisory employee in
the offending employee's chain of command.
(b) A railroad must exercise due diligence to assure compliance with
Sec. 219.101 and Sec. 219.102 by each covered employee.

Sec. 219.107 Consequences of unlawful refusal.

(a) An employee who refuses to provide breath or a body fluid sample
or samples when required to by the railroad under a mandatory provision
of this part shall be deemed disqualified for a period of nine (9)
months.
(b) Prior to or upon withdrawing the employee from covered service
under this section, the railroad shall provide notice of the reason for
this action, and the procedures described in Sec. 219.104(c) shall
apply.
(c) The disqualification required by this section shall apply with
respect to employment in covered service by any railroad with notice of
such disqualification.
(d) The requirement of disqualification for nine (9) months does not
limit any discretion on the part of the railroad to impose additional
sanctions for the same or related conduct.
(e) Upon the expiration of the 9-month period described in this
section, a railroad may permit the employee to return to covered service
only under the same conditions specified in Sec. 219.104(d), and the
employee shall be subject to follow-up tests, as provided by that
section.

[59 FR 7460, Feb. 15, 1994]

Subpart C--Post-Accident Toxicological Testing

Sec. 219.201 Events for which testing is required.

(a) List of events. Except as provided in paragraph (b) of this
section, post-accident toxicological tests shall be conducted after any
event that involves one or more of the circumstances described in
paragraphs (a) (1) through (4) of this section:
(1) Major train accident. Any train accident (i.e., a rail equipment
accident involving damage in excess of the current reporting threshold,
$6,300 in 1991 and thereafter) that involves one or more of the
following:
(i) A fatality;
(ii) Release of hazardous material lading from railroad equipment
accompanied by--
(A) An evacuation; or
(B) A reportable injury resulting from the hazardous material
release (e.g., from fire, explosion, inhalation, or skin contact with
the material); or
(iii) Damage to railroad property of $1,000,000 or more.
(2) Impact accident. An impact accident (i.e., a rail equipment
accident defined as an ``impact accident'' in Sec. 219.5 of this part
that involves damage in excess of the current reporting threshold,
$6,300 in 1991 and thereafter) resulting in--
(i) A reportable injury; or
(ii) Damage to railroad property of $150,000 or more.
(3) Fatal train incident. Any train incident that involves a
fatality to any on-duty railroad employee.
(4) Passenger train accident. Reportable injury to any person in a
train accident (i.e., a rail equipment accident involving damage in
excess of the current reporting threshold, $6,300 in 1991 and
thereafter) involving a passenger train.
(b) Exceptions. No test shall be required in the case of a collision
between railroad rolling stock and a

[[Page 146]]

motor vehicle or other highway conveyance at a rail/highway grade
crossing. No test shall be required in the case of an accident/incident
the cause and severity of which are wholly attributable to a natural
cause (e.g., flood, tornado or other natural disaster) or to vandalism,
as determined on the basis of objective and documented facts by the
railroad representative responding to the scene.
(c) Good faith determinations. (1)(i) The railroad representative
responding to the scene of the accident/incident shall determine whether
the accident/incident falls within the requirements of paragraph (a) of
this section or is within the exception described in paragraph (b) of
this section. It is the duty of the railroad representative to make
reasonable inquiry into the facts as necessary to make such
determinations. In making such inquiry, the railroad representative
shall consider the need to obtain samples as soon as practical in order
to determine the presence or absence of impairing substances reasonably
contemporaneous with the accident/incident. The railroad representative
satisfies the requirement of this section if, after making reasonable
inquiry, the representative exercises good faith judgement in making the
required determinations.
(ii) The railroad representative making the determinations required
by this section shall not be a person directly involved in the accident/
incident. This section does not prohibit consultation between the
responding railroad representative and higher level railroad officials;
however, the responding railroad representative shall make the factual
determinations required by this section.
(iii) Upon specific request made to the railroad by the Associate
Administrator for Safety, FRA (or the Associate Administrator's
delegate), the railroad shall provide a report describing any decision
by a person other than the responding railroad representative with
respect to whether an accident/incident qualifies for testing. This
report shall be affirmed by the decision maker and shall be provided to
FRA within 72 hours of the request. The report shall include the facts
reported by the responding railroad representative, the basis upon which
the testing decision was made, and the person making the decision.
(iv) Any estimates of railroad property damage made by persons not
the scene shall be based on descriptions of specific physicial damage
provided by the on-scene railroad representative.
(v) In the case of an accident involving passenger equipment, a host
railroad may rely upon the the damage estimates provided by the
passenger railroad (whether present on scene or not) in making the
decision whether testing is required, subject to the same requirement
that visible physical damage be specifically described.
(2) A railroad shall not require an employee to provide blood or
urine specimens under the authority or procedures of this subject unless
the railroad has made the determinations required by this section, based
upon reasonable inquiry and good faith judgment. A railroad does not act
in excess of its authority under this subpart if its representative has
made such reasonable inquiry and exercised such good faith judgment, but
it is later determined, after investigation, that one or more of the
conditions thought to have required testing were not, in fact, present.
However, this section does not excuse the railroad for any error arising
from a mistake of law (e.g., application of testing criteria other than
those contained in these regulations).
(3) A railroad is not in violation of this subpart if its
representative has made such reasonable inquiry and exercised such good
faith judgment but nevertheless errs in determining that post-accident
testing is not required.
(4) An accident/incident with respect to which the railroad has made
reasonable inquiry and exercised good faith judgment in determining the
facts necessary to apply the criteria contained in paragraph (a) of this
section is deemed a qualifying event for purposes of sample analysis,
reporting, and other purposes.
(5) In the event samples are collected following an event determined
by FRA not to be a qualifying event within the meaning of this
paragraph, FRA directs its designated laboratory to destroy any sample
material submitted and to refrain from disclosing to any

[[Page 147]]

person the results of any analysis conducted.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7460, Feb. 15, 1994]

Sec. 219.203 Responsibilities of railroads and employees.

(a) Employees tested. (1)(i) Following each accident and incident
described in Sec. 219.201, the railroad (or railroads) shall take all
practicable steps to assure that all covered employees of the railroad
directly involved in the accident or incident provide blood and urine
samples for toxicological testing by FRA. Such employees shall cooperate
in the provision of samples as described in this part and appendix C.
(ii) If the conditions for mandatory toxicological testing exist,
the railroad may also require employees to provide breath for testing in
accordance with the procedures set forth in 49 CFR part 40 and this
part, if such testing does not interfere with timely collection of
required samples.
(2) Such employees shall specifically include each and every
operating employee assigned as a crew member of any train involved in
the accident or incident. In any case where an operator, dispatcher,
signal maintainer or other covered employee is directly and
contemporaneously involved in the circumstances of the accident/
incident, those employees shall also be required to provide samples.
(3) An employee shall be excluded from testing under the following
circumstances: In any case of an accident/incident for which testing is
mandated only under Sec. 219.201(a)(2) of this subpart (an ``impact
accident''), Sec. 219.201(a)(3) (``fatal train incident''), or
Sec. 219.201(a)(4) (a ``passenger train accident with injury'') if the
railroad representative can immediately determine, on the basis of
specific information, that the employee had no role in the cause(s) or
severity of the accident/incident. The railroad representative shall
consider any such information immediately available at the time the
qualifying event determination is made under Sec. 219.201 of this
subpart.
(4) The following provisions govern accidents/incidents involving
non-covered employees:
(i) Surviving non-covered employees are not subject to testing under
this subpart.
(ii) Testing of the remains of non-covered employees who are fatally
injured in train accidents and incidents is required.
(b) Timely sample collection. (1) The railroad shall make every
reasonable effort to assure that samples are provided as soon as
possible after the accident or incident.
(2) This paragraph shall not be construed to inhibit the employees
required to be tested from performing, in the immediate aftermath of the
accident or incident, any duties that may be necessary for the
preservation of life or property. However, where practical, the railroad
shall utilize other employees to perform such duties.
(3) In the case of a passenger train which is in proper condition to
continue to the next station or its destination after an accident or
incident, the railroad shall consider the safety and convenience of
passengers in determining whether the crew is immediately available for
testing. A relief crew shall be called to relieve the train crew as soon
as possible.
(4) Covered employees who may be subject to testing under this
subpart shall be retained in duty status for the period necessary to
make the determinations required by Sec. 219.201 and this section and
(as appropriate) to complete the sample collection procedure. An
employee may not be recalled for testing under this subpart if that
employee has been released from duty under the normal procedures of the
railroad, except that an employee shall be immediately recalled for
testing if--
(i) The employee could not be retained in duty status because the
employee went off duty under normal carrier procedures prior to being
contacted by a railroad supervisor and instructed to remain on duty
pending completion of the required determinations (e.g., in the case of
a dispatcher or signal maintainer remote from the scene of an accident
who was unaware of the occurrence at the time the employee went off
duty);
(ii) The railroad's preliminary investigation (contemporaneous with
the determination required by Sec. 219.201 of this

[[Page 148]]

subpart) indicates a clear probability that the employee played a major
role in the cause or severity of the accident/incident; and
(iii) The accident/incident actually occurred during the employee's
duty tour.

An employee who has been transported to receive medical care is not
released from duty for purposes of this section. Nothing in this section
prohibits the subsequent testing of an employee who has failed to remain
available for testing as required (i.e., who is absent without leave);
but subsequent testing does not excuse such refusal by the employee
timely to provide the required specimens.
(c) Place of sample collection. (1) Employees shall be transported
to an independent medical facility where the samples shall be obtained.
The railroad shall pre-designate for such testing one or more such
facilities in reasonable proximity to any location where the railroad
conducts operations. Designation shall be made on the basis of the
willingness of the facility to conduct sample collection and the ability
of the facility to complete sample collection promptly, professionally,
and in accordance with pertinent requirements of this part. In all cases
blood shall be drawn only by a qualified medical professional or by a
qualified technician subject to the supervision of a qualified medical
professional
(2) In the case of an injured employee, the railroad shall request
the treating medical facility to obtain the samples.
(d) Obtaining cooperation of facility. (1) In seeking the
cooperation of a medical facility in obtaining a sample under this
subpart, the railroad shall, as necessary, make specific reference to
the requirements of this subpart.
(2) If an injured employee is unconscious or otherwise unable to
evidence consent to the procedure and the treating medical facility
declines to obtain blood samples after having been acquainted with the
requirements of this subpart, the railroad shall immediately notify 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; 59
FR 7460, Feb. 15, 1994]

Sec. 219.205 Sample collection and handling.

(a) General. Urine and blood samples shall be obtained, marked,
preserved, handled, and made available to FRA consistent with the
requirements of this subpart, and the technical specifications set forth
in appendix C to this part.
(b) Information requirements. In order to process samples, analyze
the significance of laboratory findings, and notify the railroads and
employees of test results, it is necessary to obtain basic information
concerning the accident/incident and any treatment administered after
the accident/incident. Accordingly, the railroad representative shall
complete the information required by FRA Form 6180.73 (revised) for
shipping with the samples. Each employee subject to testing shall
cooperate in completion of the required information on FRA Form 6180.74
(revised) for inclusion in the shipping kit and processing of the
samples. The railroad representative shall request an appropriate
representative of the medical facility to complete the remaining portion
of the information on each Form 6180.74 (revised). One Form 6180.73
(revised) shall be forwarded in the shipping kit with each group of
samples. One Form 6180.74 (revised) shall be forwarded in the shipping
kit for each employee who provides samples.
(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

[[Page 149]]

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.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7460, Feb. 15, 1994]

Sec. 219.206 FRA access to breath test results.

Documentation of breath test results shall be made available to FRA
consistent with the requirements of this subpart, and the technical
specifications set forth in appendix C to this part.

[59 FR 7461, Feb. 15, 1994]

Sec. 219.207 Fatality.

(a) In the case of an employee fatality in an accident or incident
described in Sec. 219.201, body fluid and/or tissue samples shall be
obtained from the remains of the employee for toxicological testing. To
ensure that samples are timely collected, the railroad shall immediately
notify the appropriate local authority (such as a coroner or medical
examiner) of the fatality and the requirements of this subpart, making
available the shipping kit and requesting the local authority to assist
in obtaining the necessary body fluid or tissue samples. The railroad
shall also seek the assistance of the custodian of the remains, if a
person other than the local authority.
(b) If the local authority or custodian of the remains declines to
cooperate in obtaining the necessary samples, the railroad shall
immediately notify 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.

Sec. 219.209 Reports of tests and refusals.

(a)(1) A railroad that has experienced one or more events for which
samples were obtained shall provide prompt telephonic notification
summarizing such events. Notification shall be provided

[[Page 150]]

to the Office of Safety, FRA, at (202) 366-0501; an answering machine
will record any notification calls made to this number outside of the
Federal work week (8:30 a.m. to 5 p.m. EST or EDT).
(2) Each telephonic report shall contain:
(i) Name of railroad;
(ii) Name, title and telephone number of person making the report;
(iii) Time, date and location of the accident/incident;
(iv) Brief summary of the circumstances of the accident/incident,
including basis for testing; and
(v) Number, names and occupations of employees tested.
(b) If the railroad is unable, as a result of non-cooperation of an
employee or for any other reason, to obtain a sample and cause it to be
provided to FRA as required by this subpart, the railroad shall make a
concise narrative report of the reason for such failure and, if
appropriate, any action taken in response to the cause of such failure.
This report shall be appended to the report of the accident/incident
required to be submitted under part 225 of this subchapter.
(c) If a test required by this section is not administered within
four hours following the accident or incident, the railroad shall
prepare and maintain on file a record stating the reasons the test was
not promptly administered. Records shall be submitted to the Federal
Railroad Administration upon request of the Associate Administrator for
Safety.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7461, Feb. 15, 1994]

Sec. 219.211 Analysis and follow-up.

(a) The laboratory designated in appendix B to this part undertakes
prompt analysis of samples provided under this subpart, consistent with
the need to develop all relevant information and produce a complete
report. Samples are analyzed for alcohol and controlled substances
specified by FRA under protocols specified by FRA, summarized in
appendix C, which have been submitted to the Department of Health and
Human Services for acceptance. Samples may be analyzed for other
impairing substances specified by FRA as necessary to the particular
accident investigation.
(b) Results of post-accident toxicological testing under this
subpart are reported to the railroad's Medical Review Officer and the
employee. The MRO and the railroad shall treat the test results and any
information concerning medical use or administration of drugs provided
under this subpart in the same confidential manner as if subject to
subpart H of this part, except where publicly disclosed by FRA or the
National Transportation Safety Board.
(c) With respect to a surviving employee, a test reported as
positive for alcohol or a controlled substance by the designated
laboratory shall be reviewed by the railroad's Medical Review Officer
with respect to any claim of use or administration of medications
(consistent with Sec. 219.103 of this part) that could account for the
laboratory findings. The Medical Review Officer shall promptly report
the results of each review to the Associate Administrator for Safety,
FRA, Washington, DC 20590. Such report shall be in writing and shall
reference the employing railroad, accident/incident date, and location;
and the envelope shall be marked ``ADMINISTRATIVELY CONFIDENTIAL:
ATTENTION ALCOHOL/DRUG PROGRAM MANAGER.'' The report shall state whether
the MRO reported the test result to the employing railroad as positive
or negative and the basis of any determination that analytes detected by
the laboratory derived from authorized use (including a statement of the
compound prescribed, dosage/frequency, and any restrictions imposed by
the authorized medical practitioner). Unless specifically requested by
FRA in writing, the Medical Review Officer shall not disclose to FRA the
underlying physical condition for which any medication was authorized or
administered. The Federal Railroad Administration shall not be bound by
the railroad Medical Review Officer's determination, but that
determination will be considered by FRA in relation to the accident/
incident investigation and with respect to any enforcement action under
consideration.

[[Page 151]]

(d) To the extent permitted by law, FRA treats test results
indicating medical use of controlled substances consistent with
Sec. 219.103 (and other information concerning medically authorized drug
use or administration provided incident to such testing) as
administratively confidential and withholds public disclosure, except
where it is necessary to consider this information in an accident
investigation in relation to determination of probable cause. (However,
as further provided in this section, FRA may provide results of testing
under this subpart and supporting documentation to the National
Transportation Safety Board.)
(e) An employee may respond in writing to the results of the test
prior to the preparation of any final investigation report concerning
the accident or incident. An employee wishing to respond shall do so by
letter addressed to the Alcohol/Drug Program Manager, Office of Safety,
FRA, 400 Seventh Street, SW., Washington, DC 20590 within 45 days of
receipt of the test results. Any such submission shall refer to the
accident date, railroad and location, shall state the position occupied
by the employee on the date of the accident/incident, and shall identify
any information contained therein that the employee requests be withheld
from public disclosure on grounds of personal privacy (but the decision
whether to honor such request shall be made by the FRA on the basis of
controlling law).
(f)(1) The toxicology report may contain a statement of
pharmacological significance to assist FRA and other parties in
understanding the data reported. No such statement may be construed as a
finding of probable cause in the accident or incident.
(2) The toxicology report is a part of the report of the accident/
incident and therefore subject to the limitation of section 4 of the
Accident Reports Act (45 U.S.C. 41) (prohibiting use of the report for
any purpose in any action for damages).
(g)(1) It is in the public interest to ensure that any railroad
disciplinary actions that may result from accidents and incidents for
which testing is required under this subpart are disposed of on the
basis of the most complete and reliable information available so that
responsive action will be appropriate. Therefore, during the interval
between an accident or incident and the date that the railroad receives
notification of the results of the toxicological analysis, any provision
of collective bargaining agreements establishing maximum periods for
charging employees with rule violations, or for holding an
investigation, shall not be deemed to run as to any offense involving
the accident or incident (i.e., such periods shall be tolled).
(2) This provision shall not be construed to excuse the railroad
from any obligation to timely charge an employee (or provide other
actual notice) where the railroad obtains sufficient information
relating to alcohol or drug use, impairment or possession or other rule
violations prior to the receipt to toxicological analysis.
(3) This provision does not authorize holding any employee out of
service pending receipt of toxicological analysis; nor does it restrict
a railroad from taking such action in an appropriate case.
(h) Except as provided in Sec. 219.201 (with respect to non-
qualifying events), each sample (including each split sample) provided
under this subpart is retained for not less than three months following
the date of the accident or incident (two years from the date of the
accident or incident in the case of a sample testing positive for
alcohol or a controlled substance). Post-mortem specimens may be made
available to the National Transportation Safety Board (on request).
(i) An employee (donor) may, within 60 days of the date of the
toxicology report, request that the employee's blood and/or urine sample
be retested by the designated laboratory or by another laboratory
certified by the Department of Health and Human Services under 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

[[Page 152]]

retest shall be in writing, specify the railroad, accident date and
location, be signed by the employee/donor, be addressed to the Associate
Administrator for Safety, FRA, Washington, DC 20590, and be designated
``ADMINISTRATIVELY CONFIDENTIAL: ATTENTION ALCOHOL/DRUG PROGRAM
MANAGER.'' The expense of any employee-requested retest at a laboratory
other than the laboratory designated under this subpart shall be borne
by the employee.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7461, Feb. 15, 1994]

Sec. 219.213 Unlawful refusals; consequences.

(a) Disqualification. An employee who refuses to cooperate in
providing breath, blood or urine samples following an accident or
incident specified in this subpart shall be withdrawn from covered
service and shall be deemed disqualified for covered service for a
period of nine (9) months in accordance with the conditions specified in
Sec. 219.107.
(b) Procedures. Prior to or upon withdrawing the employee from
covered service under this section, the railroad shall provide notice of
the reason for this action and an opportunity for hearing before a
presiding officer other than the charging official. The employee shall
be entitled to the procedural protection set out in Sec. 219.104(d).
(c) Subject of hearing. The hearing required by this section shall
determine whether the employee refused to submit to testing, having been
requested to submit, under authority of this subpart, by a
representative of the railroad. In determining whether a
disqualification is required, the hearing official shall, as
appropriate, also consider the following:
(1) Whether the railroad made a good faith determination, based on
reasonable inquiry, that the accident or incident was within the
mandatory testing requirements of this subpart; and
(2) In a case where a blood test was refused on the ground it would
be inconsistent with the employee's health, whether such refusal was
made in good faith and based on medical advice.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7461, Feb. 15, 1994]

Subpart D--Testing for Cause

Sec. 219.300 Mandatory reasonable suspicion testing.

(a) Requirements. (1) Beginning on January 1, 1995, a railroad shall
require a covered employee to submit to an alcohol test when the
railroad has reasonable suspicion to believe that the employee has
violated any prohibition of subpart B of this part concerning use of
alcohol. The railroad's determination that reasonable suspicion exists
to require the covered employee to undergo an alcohol test must be based
on specific, contemporaneous, articulable observations concerning the
appearance, behavior, speech or body odors of the employee.
(2) A railroad shall require a covered employee to submit to a urine
drug test when the railroad has reasonable suspicion to believe that the
employee has violated the prohibitions of subpart B of this part
concerning use of controlled substances. The railroad's determination
that reasonable suspicion exists to require the covered employee to
undergo a drug test must be based on specific, contemporaneous,
articulable observations concerning the appearance, behavior, speech or
body odors of the employee. Such observations may include indications of
the chronic and withdrawal effects of drugs.
(b)(1) With respect to an alcohol test, the required observations
shall be made by a supervisor trained in accordance with Sec. 219.11(g).
The supervisor who makes the determination that reasonable suspicion
exists may not conduct testing on that employee.
(2) With respect to a urine drug test, the required observations
shall be made by two supervisors, at least one of whom is trained in
accordance with Sec. 219.11(g).
(c) Nothing in this section shall be construed to require the
conduct of breath alcohol testing or urine drug testing when the
employee is apparently in need of immediate medical attention.
(d)(1) If a test required by this section is not administered within
two hours following the determination under this section, the railroad
shall prepare and maintain on file a record

[[Page 153]]

stating the reasons the test was not properly administered. If a test
required by this section is not administered within eight hours of the
determination under this section, the railroad shall cease attempts to
administer an alcohol test and shall state in the record the reasons for
not administering the test. Records shall be submitted to FRA upon
request of the Administrator.
(2) For the years stated in this paragraph, employers who submit MIS
reports shall submit to the FRA each record of a test required by this
section that is not completed within 8 hours. The employer's records of
tests that are not completed within 8 hours shall be submitted to the
FRA by March 15, 1996; March 15, 1997; and March 15, 1998; for calendar
years 1995, 1996, and 1997, respectively. Employers shall append these
records to their MIS submissions. Each record shall include the
following information:
(i) Triggering event (including date, time, and location);
(ii) Employee category (do not include employee name or other
identifying information);
(iii) Reason(s) test could not be completed within 8 hours; and
(iv) If blood alcohol testing could have been completed within eight
hours, the name, address, and telephone number of the testing site where
blood testing could have occurred.

[59 FR 7461, Feb. 15, 1994, as amended at 59 FR 62239, Dec. 2, 1994]

Sec. 219.301 Testing for reasonable cause.

(a) Authorization. A railroad may, under the conditions specified in
this subpart, require any covered employee, as a condition of employment
in covered service, to cooperate in breath or urine testing, or both, to
determine compliance with Secs. 219.101 and 219.102 of this part or a
railroad rule implementing the requirements of Secs. 219.101 and
219.102. This authority is limited to testing after observations or
events that occur during duty hours (including any period of overtime or
emergency service). The provisions of this subpart apply only when, and
to the extent that, the test in question is conducted in reliance upon
the authority conferred by this section. Section 219.23 prescribes the
notice to an employee that is required when an employee is required to
provide a breath or body fluid sample under this part. A railroad may
not require an employee to be tested under the authority of this subpart
unless reasonable cause, as defined in this section, exists with respect
to that employee.
(b) For cause breath testing. In addition to reasonable suspicion as
described in Sec. 219.300, the following circumstances constitute cause
for the administration of breath alcohol tests under this section:
(1) [Reserved]
(2) Accident/incident. The employee has been involved in an accident
or incident reportable under part 225 of this title, and a supervisory
employee of the railroad has a reasonable belief, based on specific,
articulable facts, that the employee's acts or omissions contributed to
the occurrence or severity of the accident or incident; or
(3) Rule violation. The employee has been directly involved in one
of the following operating rule violations or errors:
(i) Noncompliance with a train order, track warrant, timetable,
signal indication, special instruction or other direction with respect
to movement of a train that involves--
(A) Occupancy of a block or other segment of track to which entry
was not authorized;
(B) Failure to clear a track to permit opposing or following
movement to pass;
(C) Moving across a railroad crossing at grade without
authorization; or
(D) Passing an absolute restrictive signal or passing a restrictive
signal without stopping (if required);
(ii) Failure to protect a train as required by a rule consistent
with Sec. 218.37 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

[[Page 154]]

a switch as required for movement, operation of a switch under a train,
or unauthorized running through a switch;
(v) Failure to apply or stop short of derail as required;
(vi) Failure to secure a hand brake or failure to secure sufficient
hand brakes, as required;
(vii) Entering a crossover before both switches are lined for
movement; or
(viii) In the case of a person performing a dispatching function or
block operator function, issuance of a train order or establishment of a
route that fails to provide proper protection for a train.
(c) For cause urine testing. In addition to reasonable suspicion as
described in Sec. 219.300, each of the conditions set forth in
paragraphs (b)(2) (``accident/incident'') and (b)(3) (``rule
violation'') of this section as constituting cause for breath alcohol
testing also constitutes cause with respect to urine drug testing.
(d) [Reserved]
(e) Limitation for subpart C events. The compulsory urine testing
authority conferred by this section does not apply with respect to any
event subject to post-accident toxicological testing as required by
Sec. 219.201 of this part. However, use of compulsory breath test
authority is authorized in any case where breath test results can be
obtained in a timely manner at the scene of the accident and conduct of
such tests does not materially impede the collection of samples under
subpart C.

[54 FR 53259, Dec. 27, 1989; 55 FR 22793, June 4, 1990, as amended at 59
FR 7461, Feb. 15, 1994]

Sec. 219.302 Prompt sample collection; time limitation.

(a) Testing under this subpart may only be conducted promptly
following the observations or events upon which the testing decision is
based, consistent with the need to protect life and property.
(b) No employee shall be required to participate in breath alcohol
or urine drug testing under this section after the expiration of an
eight hour period from--
(1) The time of the observations or other events described in this
section; or
(2) In the case of an accident/incident, the time a responsible
railroad supervisor receives notice of the event providing reasonable
cause for conduct of the test.
(c) An employee may not be tested under this subpart if that
employee has been released from duty under the normal procedures of the
railroad. An employee who has been transported to receive medical care
is not released from duty for purposes of this section. Nothing in this
section prohibits the subsequent testing of an employee who has failed
to remain available for testing as required (i.e., who is absent without
leave).
(d) As used in this subpart a ``responsible railroad supervisor''
means any responsible line supervisor (e.g., a trainmaster or road
foreman of engines) or superior official in authority over the employee
to be tested.
(e) In the case of a urine drug test, the eight-hour requirement is
satisfied if the employee has been delivered to the collection site
(where the collector is present) and the request has been made to
commence collection of the urine specimens within that period.
(f) [Reserved]
(g) Section 219.23 prescribes the notice to an employee that is
required to provide breath or a body fluid sample under this part.

[59 FR 7462, Feb. 15, 1994, as amended at 59 FR 62239, Dec. 2, 1994]

Sec. 219.303 Alcohol test procedures and safeguards.

(a)(1) Each Class I railroad (including the National Railroad
Passenger Corporation) and each railroad providing commuter passenger
service shall implement mandatory reasonable suspicion testing according
to the procedures listed in paragraph (b) of this section beginning on
January 1, 1995.
(2) Each Class II railroad shall implement mandatory reasonable
suspicion testing according to the procedures listed in paragraph (b) of
this section beginning on July 1, 1995. Prior to that date, a Class II
railroad may use the procedures described in paragraphs (c) through (e)
of this section.

[[Page 155]]

(3) Each Class III railroad (including a switching and terminal or
other railroad not otherwise classified) shall implement mandatory
reasonable suspicion testing according to the procedures listed in
paragraph (b) of this section beginning on January 1, 1996. Prior to
that date, a Class III railroad may use the procedures described in
paragraphs (c) through (e) of this section.
(4) In the case of a railroad commencing operations after January 1,
1996, the railroad shall implement mandatory reasonable suspicion
testing not later than the expiration of 60 days from approval by the
Administrator of the railroad's random testing programs.
(b) As provided for in subparagraph (a)(1) of this section, the
conduct of alcohol testing under this subpart is governed by subpart H
of this part and part 40 of subtitle A of this title.
(c) As provided for in subparagraphs (a)(2) and (a)(3) of this
section, and except as provided in paragraph (f), 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 Sec. 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.
(d) Because of the inherent limitations of the instrumentation, any
indicated breath test result of less than .02 percent shall be deemed a
negative test.
(e)(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

[[Page 156]]

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.
(f)(1) Under the circumstances set forth in Sec. 219.301, a railroad
may require an employee to participate in a breath alcohol screening
test solely for the purpose of determining whether the conduct of a test
meeting the criteria of paragraph (a) is indicated. If the screening
test is negative within the meaning of paragraph (b), the employee shall
not be required to submit to further breath testing under this subpart.
If the screening test is positive, no consequence shall attach except
that the employee may be removed from covered service for the period
necessary to conduct a breath test meeting the criteria of paragraph
(a).
(2) Except as provided in paragraph (d)(2)(iii) of this section, the
conduct of a screening test under paragraph (d)(1) of this section does
not excuse full compliance with paragraph (a) of this section with
respect to any breath test procedure which is then undertaken. If a
screening test is positive, the following procedures govern:
(i) An initial breath test shall be conducted meeting the criteria
of paragraph (a) of this section.
(ii) If that test is positive, a second breath test shall be
conducted meeting the criteria of paragraph (a) of this section.
(iii) The second test meeting the criteria of section (a) of this
section must be conducted at least 15 minutes after the positive
screening test conducted under paragraph (d)(1) of this section.
However, since a waiting period of 15 minutes is sufficient to permit
the dissipation of any alcohol in the mouth, the requirement of
paragraph (a)(5) of this section that there be a period of at least 15
minutes between the two tests meeting the criteria of paragraph (a) of
this section does not apply.
[59 FR 60563, Nov. 25, 1994]

Sec. 219.305 Urine test procedures and safeguards.

The conduct of urine drug testing under this subpart is governed by
subpart H of this part and (to the extent not inconsistent with this
part) part 40 of subtitle A of this title.

Subpart E--Identification of Troubled Employees

Sec. 219.401 Requirement for policies.

(a) The purpose of this subpart is to prevent the use of alcohol and
drugs in connection with covered service.
(b) Each railroad shall adopt, publish and implement--
(1) A policy designed to encourage and facilitate the identification
of those covered employees who abuse alcohol or drugs as a part of a
treatable condition and to ensure that such employees are provided the
opportunity to obtain counseling or treatment before those problems
manifest themselves in

[[Page 157]]

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
Secs. 219.403 and 219.405 of this subpart or by complying with
Sec. 219.407.
(d) If a railroad complies with this part by adopting, publishing
and implementing policies consistent with Secs. 219.403 and 219.405, the
railroad shall make such policies, and publications announcing such
policies, available for inspection and copying by FRA.
(e) Nothing in this subpart shall be construed to--
(1) Require payment of compensation for any period an employee is
out of service under a voluntary referral or co-worker report policy;
(2) Require a railroad to adhere to a voluntary referral or co-
worker report policy in a case where the referral or report is made for
the purpose, or with the effect, of anticipating the imminent and
probable detection of a rule violation by a supervising employee; or
(3) Limit the discretion of a railroad to dismiss or otherwise
discipline an employee for specific rule violations or criminal
offenses, except as specifically provided by this subpart.

Sec. 219.403 Voluntary referral policy.

(a) Scope. This section prescribes minimum standards for voluntary
referral policies. Nothing in this section restricts a railroad from
adopting, publishing and implementing a voluntary referral policy that
affords more favorable conditions to employees troubled by alcohol or
drug abuse problems, consistent with the railroad's responsibility to
prevent violations of Sec. 219.101 and Sec. 219.102.
(b) Required provisions. A voluntary referral policy shall include
the following provisions:
(1) A covered employee who is affected by an alcohol or drug use
problem may maintain an employment relationship with the railroad if,
before the employee is charged with conduct deemed by the railroad
sufficient to warrant dismissal, the employee seeks assistance through
the railroad for the employee's alcohol or drug use problem or is
referred for such assistance by another employee or by a representative
of the employee's collective bargaining unit. The railroad shall specify
whether, and under what circumstances, its policy provides for the
acceptance of referrals from other sources, including (at the option of
the railroad) supervisory employees.
(2) Except as may be provided under paragraph (c) of this part, the
railroad treats the referral and subsequent handling, including
counseling and treatment, as confidential.
(3) The railroad will, to the extent necessary for treatment and
rehabilitation, grant the employee a leave of absence from the railroad
for the period necessary to complete primary treatment and establish
control over the employee's alcohol or drug problem. The policy must
allow a leave of absence of not less than 45 days, if necessary for the
purpose of meeting initial treatment needs.
(4) Except as may be provided under paragraph (c)(2) of this
section, the employee will be returned to service on the recommendation
of the substance abuse professional. Approval to return to service may
not be unreasonably withheld.
(c) Optional provisions. A voluntary referral policy may include any
of the following provisions, at the option of the railroad:
(1) The policy may provide that the rule of confidentiality is
waived if--
(i) The employee at any time refuses to cooperate in a recommended
course of counseling or treatment and/or;
(ii) The employee is later determined, after investigation, to have
been involved in an alcohol or drug-related disciplinary offense growing
out of subsequent conduct.
(2) The policy may require successful completion of a return-to-
service medical examination as a further condition on reinstatement in
covered service.
(3) The policy may provide that it does not apply to an employee who
has

[[Page 158]]

previously been assisted by the railroad under a policy or program
substantially consistent with this section or who has previously elected
to waive investigation under Sec. 219.405 of this section (co-worker
report policy).
(4) The policy may provide that, in order to invoke its benefits,
the employee must report to the contact designated by the railroad
either:
(i) During non-duty hours (i.e., at a time when the employee is off
duty) or
(ii) While unimpaired and otherwise in compliance with the
railroad's alcohol and drug rules consistent with this subpart.

Sec. 219.405 Co-worker report policy.

(a) Scope. This section prescribes minimum standards for co-worker
report policies. Nothing in this section restricts a railroad from
adopting, publishing and implementing a policy that affords more
favorable conditions to employees troubled by alcohol or drug abuse
problems, consistent with the railroad's responsibility to prevent
violations of Secs. 219.101 and 219.102.
(b) Employment relationship. A co-worker report policy shall provide
that a covered employee may maintain an employment relationship with the
railroad following an alleged first offense under these rules or the
railroad's alcohol and drug rules, subject to the conditions and
procedures contained in this section.
(c) General conditions and procedures. (1) The alleged violation
must come to the attention of the railroad as a result of a report by a
co-worker that the employee was apparently unsafe to work with or was,
or appeared to be, in violation of this part or the railroad's alcohol
and drug rules.
(2) If the railroad representative determines that the employee is
in violation, the railroad may immediately remove the employee from
service in accordance with its existing policies and procedures.
(3) The employee must elect to waive investigation on the rule
charge and must contact the substance abuse professional within a
reasonable period specified by the policy.
(4) The substance abuse professional must schedule necessary
interviews with the employee and complete an evaluation within 10
calendar days of the date on which the employee contacts the
professional with a request for evaluation under the policy, unless it
becomes necessary to refer the employee for further evaluation. In each
case, all necessary evaluations must be completed within 20 days of the
date on which the employee contacts the professional.
(d) When treatment is required. If the substance abuse professional
determines that the employee is affected by psychological or chemical
dependence on alcohol or a drug or by another identifiable and treatable
mental or physical disorder involving the abuse of alcohol or drugs as a
primary manifestation, the following conditions and procedures shall
apply:
(1) The railroad must, to the extent necessary for treatment and
rehabilitation, grant the employee a leave of absence from the railroad
for the period necessary to complete primary treatment and establish
control over the employee's alcohol or drug problem. The policy must
allow a leave of absence of not less than 45 days, if necessary for the
purpose of meeting initial treatment needs.
(2) The employee must agree to undertake and successfully complete a
course of treatment deemed acceptable by the substance abuse
professional.
(3) The railroad must promptly return the employee to service, on
recommendation of the substance abuse professional, when the employee
has established control over the substance abuse problem. Return to
service may also be conditioned on successful completion of a return-to-
service medical examination. Approval to return to service may not be
unreasonably withheld.
(4) Following return to service, the employee, as a further
condition on withholding of discipline, may, as necessary, be required
to participate in a reasonable program of follow-up treatment for a
period not to exceed 60 months from the date the employee was originally
withdrawn from service.
(e) When treatment is not required. If the substance abuse
professional determines that the employee is not affected by an
identifiable and treatable mental or physical disorder--

[[Page 159]]

(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 Sec. 219.104 of this part) of an
employee who waives investigation and is determined to be ready to
return to service under this section.

Sec. 219.407 Alternate policies.

(a) In lieu of a policy under Sec. 219.403 (voluntary referral) or
Sec. 219.405 (co-worker report), or both, a railroad may adopt, publish
and implement, with respect to a particular class or craft of covered
employees, an alternate policy or policies having as their purpose the
prevention of alcohol or drug use in railroad operations, if such policy
or policies has the written concurrence of the recognized
representatives of such employees.
(b) The concurrence of recognized employee representatives in an
alternate policy may be evidenced by a collective bargaining agreement
or any other document describing the class or craft of employees to
which the alternate policy applies. The agreement or other document must
make express reference to this part and to the intention of the railroad
and employee representatives that the alternate policy shall apply in
lieu of the policy required by Sec. 219.403, Sec. 219.405, or both.
(c) The railroad shall file the agreement or other document
described in paragraph (b) with the Associate Administrator for Safety,
FRA. If the alternate policy is amended or revoked, the railroad shall
file a notice of such amendment or revocation at least 30 days prior to
the effective date of such action.
(d) This section does not excuse a railroad from adopting,
publishing and implementing the policies required by Secs. 219.403 and
219.405 with respect to any group of covered employees not within the
coverage of an appropriate alternate policy.

Subpart F--Pre-employment Tests

Sec. 219.501 Pre-employment tests.

(a)(1) Each Class I railroad (including the National Railroad
Passenger Corporation) and each railroad providing commuter passenger
service shall implement pre-employment alcohol testing beginning on
January 1, 1995.
(2) Each Class II railroad shall implement pre-employment alcohol
testing beginning on July 1, 1995.
(3) Each Class III railroad (including a switching and terminal or
other railroad not otherwise classified) shall implement pre-employment
alcohol testing beginning on January 1, 1996.
(4) In the case of a railroad commencing operations after January 1,
1996, the railroad shall implement pre-employment alcohol testing not
later than the expiration of 60 days from approval by the Administrator
of the railroad's random testing programs.
(b) Prior to the first time a covered employee performs covered
service for a railroad, the employee shall undergo testing for alcohol
and drugs. No railroad shall allow a covered employee to perform covered
service, unless the employee has been administered an alcohol test with
a result indicating an alcohol concentration of less than .04 and has
been administered a test for drugs with a result that did not indicate
the misuse of controlled substances. This requirement shall apply to
final applicants for employment and to employees seeking to transfer for
the first time from non-covered service to duties involving covered
service. If the test result of a final applicant for pre-employment
indicates an alcohol content of .02 or greater, the provisions of
paragraph (b) of this section shall apply.
(c) No final applicant for employment tested under the provisions of
this part who is found to have an alcohol concentration of .02 or
greater but less than .04 shall perform safety-sensitive functions for a
railroad, nor shall a railroad permit the applicant to perform safety-
sensitive functions, until the applicant's alcohol concentration
measures less than .02.

[[Page 160]]

(d) Tests shall be accomplished through breath analysis and analysis
of urine samples. The conduct of breath alcohol testing and urine drug
testing under this subpart is governed by subpart H of this part and
part 40 of subtitle A of this title.
(e) As used in subpart H with respect to a test required under this
subpart, the term covered employee includes an applicant for pre-
employment testing only. In the case of an applicant who declines to be
tested and withdraws the application for employment, no record shall be
maintained of the declination.
(f) Notwithstanding any other provisions of this subpart, all
provisions and requirements in this section pertaining to preemployment
testing for alcohol are suspended as of May 10, 1995.

[59 FR 60564, Nov. 25, 1994, as amended at 60 FR 24766, May 10, 1995]

Sec. 219.503 Notification; records.

The railroad shall provide for medical review of the urine drug test
results as provided in subpart H of this part. The railroad shall notify
the applicant of the results of the urine and breath tests in the same
manner as provided for employees in subpart H. Records shall be
maintained confidentially and shall be retained in the same manner as
required under subpart J for employee test records, except that such
records need not reflect the identity of an applicant whose application
for employment in covered service was denied.

[59 FR 7462, Feb. 15, 1994]

Sec. 219.505 Refusals.

An applicant who has refused to submit to pre-employment testing
under this section shall not be employed in covered service based upon
the application and examination with respect to which such refusal was
made. This section does not create any right on the part of the
applicant to have a subsequent application considered; nor does it
restrict the discretion of the railroad to entertain a subsequent
application for employment from the same person.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7462, Feb. 15, 1994]

Subpart G--Random Alcohol and Drug Testing Programs

Sec. 219.601 Railroad random drug testing programs.

(a) Submission. Each railroad shall submit for FRA approval a random
testing program meeting the requirements of this subpart. A Class I
railroad (including the National Railroad Passenger Corporation) or a
railroad providing commuter passenger service shall submit such a
program not later than October 2, 1989. A Class II railroad shall submit
such a program not later than April 2, 1990. A Class III railroad
(including a switching and terminal or other railroad not otherwise
classified) shall submit such a program not later than July 2, 1990. A
railroad commencing operations after the pertinent date specified in
this paragraph shall submit such a program not later than 30 days prior
to such commencement. The program shall be submitted to the Associate
Administrator for Safety, FRA, for review and approval by the
Administrator. If, after approval, a railroad desires to amend the
random testing program implemented under this subpart, the railroad
shall file with FRA a notice of such amendment at least 30 days prior to
the intended effective date of such action. A program responsive to the
requirements of this section or any amendment to the program shall not
be implemented prior to approval.
(b) Form of programs. Random testing programs submitted by or on
behalf of each railroad under this subpart shall meet the following
criteria, and the railroad and its managers, supervisors, officials and
other employees and agents shall conform to such criteria in
implementing the program:
(1) Selection of covered employees for testing shall be made by a
method employing objective, neutral criteria which ensure that every
covered employee has a substantially equal statistical chance of being
selected within a specified time frame. The method may not permit
subjective factors to play a role in selection, i.e., no employee may be
selected as the result of the exercise

[[Page 161]]

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 the subsequent 12-month period, the program shall select for
testing a sufficient number of employees so that the number of tests
conducted will equal at least 50 percent of the number of covered
employees. Annualized percentage rates shall be determined by reference
to the total number of covered employees employed by the railroad at the
beginning of the particular twelve-month period or by an alternate
method specified in the plan approved by the Associate Administrator for
Safety. If the railroad conducts random testing through a consortium,
the annual rate may be calculated for each individual employer or for
the total number of covered employees subject to random testing by the
consortium.
(3) Railroad random testing programs shall ensure to the maximum
extent practicable that each employee shall perceive the possibility
that a random test may be required on any day the employee reports for
work.
(4) Notice of an employee's selection shall not be provided until
the duty tour in which testing is to be conducted, and then only so far
in advance as is reasonably necessary to ensure the employee's presence
at the time and place set for testing.
(5) The program shall include testing procedures and safeguards, and
procedures for action based on positive test results, consistent with
this part.
(6) An employee shall be subject to testing only while on duty. Only
employees who perform covered service for the railroad shall be subject
to testing under this part. In the case of employees who during some
duty tours perform covered service and during others do not, the
railroad program shall specify the extent to which, and the
circumstances under which they shall be subject to testing. To the
extent practical within the limitations of this part and in the context
of the railroad's operations, the railroad program shall provide that
employees shall be subject to the possibility of random testing on any
day they actually perform covered service.
(7) Each time an employee is notified for random drug testing the
employee will be informed that selection was made on a random basis.
(c) Approval. The Associate Administrator for Safety will notify the
railroad in writing whether the program is approved as consistent with
the criteria set forth in this part. If the Associate Administrator for
Safety determines that the program does not conform to those criteria,
the Associate Administrator for Safety will inform the railroad of any
matters preventing approval of the program, with specific explanation as
to necessary revisions. The railroad shall resubmit its program with the
required revisions within 30 days of such notice. Failure to resubmit
the program with the necessary revisions will be considered a failure to
implement a program under this subpart.
(d) Implementation. (1) No later than 45 days prior to commencement
of random testing, the railroad shall publish to each of its covered
employees, individually, a written notice that they will be subject to
random drug testing under this part. Such notice shall state the date
for commencement of the program, shall state that the selection of
employees for testing will be on a strictly random basis, shall describe
the consequences of a determination that the employee has violated
Sec. 219.102 or any applicable railroad rule, and shall inform the
employee of the employee's rights under subpart E of this part. A copy
of the notice shall be provided to each new covered employee on

[[Page 162]]

or before the employee's initial date of service. Since knowledge of
Federal law is presumed, nothing in this paragraph creates a defense to
a violation of Sec. 219.102 of this part.
(2) Each Class I railroad (including the National Railroad Passenger
Corporation) and each railroad providing commuter passenger service
shall implement its approved random testing program not later than
January 16, 1990. Each Class II railroad shall implement its approved
random testing program not later than July 2, 1990. Each Class III
railroad (including a switching and terminal or other railroad not
otherwise classified) shall implement its approved random testing
program not later than November 1, 1990. In the case of a railroad
commencing operations after the pertinent date set forth in paragraph
(a) of this section for filing of a program, the railroad shall
implement its approved random testing program not later than the
expiration of 60 days from approval by the Administrator or by the
pertinent date set forth in this paragraph, whichever is later.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7462, Feb. 15, 1994]

Sec. 219.602 Administrator's determination of random drug testing rate.

(a) Except as provided in paragraphs (b) through (d) of this
section, the minimum annual percentage rate for random drug testing
shall be 50 percent of covered employees.
(b) The Administrator's decision to increase or decrease the minimum
annual percentage rate for random drug testing is based on the reported
positive rate for the entire industry. All information used for this
determination is drawn from the drug MIS reports required by this part.
In order to ensure reliability of the data, the Administrator considers
the quality and completeness of the reported data, may obtain additional
information or reports from railroads, and may make appropriate
modifications in calculating the industry positive rate. Each year, the
Administrator will publish in the Federal Register the minimum annual
percentage rate for random drug testing of covered employees. The new
minimum annual percentage rate for random drug testing will be
applicable starting January 1 of the calendar year following
publication.
(c) When the minimum annual percentage rate for random drug testing
is 50 percent, the Administrator may lower this rate to 25 percent of
all covered employees if the Administrator determines that the data
received under the reporting requirements of Sec. 219.803 for two
consecutive calendar years indicate that the reported positive rate is
less than 1.0 percent.
(d) When the minimum annual percentage rate for random drug testing
is 25 percent, and the data received under the reporting requirements of
Sec. 219.803 for any calendar year indicate that the reported positive
rate is equal to or greater than 1.0 percent, the Administrator will
increase the minimum annual percentage rate for random drug testing to
50 percent of all covered employees.
(e) Selection of covered employees for testing shall be made by a
method employing objective, neutral criteria which ensures that every
covered employee has a substantially equal statistical chance of being
selected within a specified time frame. The method may not permit
subjective factors to play a role in selection, i.e., no employee may be
selected as a result of the exercise of discretion by the railroad. The
selection method shall be capable of verification with respect to the
randomness of the selection process.
(f) The railroad shall randomly select a sufficient number of
covered employees for testing during each calendar year to equal an
annual rate not less than the minimum annual percentage rate for random
drug testing determined by the Administrator. If the railroad conducts
random drug testing through a consortium, the number of employees to be
tested may be calculated for each individual railroad or may be based on
the total number of covered employees covered by the consortium who are
subject to random drug testing at the same minimum annual percentage
rate under this part or any DOT drug testing rule.
(g) Each railroad shall ensure that random drug tests conducted
under this part are unannounced and that the dates for administering
random tests

[[Page 163]]

are spread reasonably throughout the calendar year.
(h) If a given covered employee is subject to random drug testing
under the drug testing rules of more than one DOT agency for the same
railroad, the employee shall be subject to random drug testing at the
percentage rate established for the calendar year by the DOT agency
regulating more than 50 percent of the employee's function.
(i) If a railroad is required to conduct random drug testing under
the drug testing rules of more than one DOT agency, the railroad may--
(1) Establish separate pools for random selection, with each pool
containing the covered employees who are subject to testing at the same
required rate; or
(2) Randomly select such employees for testing at the highest
percentage rate established for the calendar year by any DOT agency to
which the railroad is subject.

[59 FR 62228, Dec. 2, 1994]

Sec. 219.603 Participation in drug testing.

Participation. A railroad shall, under the conditions specified in
this subpart and subpart H, require a covered employee selected through
the random testing program to cooperate in urine testing to determine
compliance with Sec. 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.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7463, Feb. 15, 1994]

Sec. 219.605 Positive drug test results; procedures.

(a) Medical review. The result of a test required under this subpart
shall be deemed positive only after it has been properly confirmed as
required in subpart H of this part and reviewed by a Medical Review
Officer (MRO) as provided in subpart H to determine if it is evidence of
prohibited drug use under Sec. 219.102.
(b) Procedures for administrative handling by the railroad in the
event a sample provided under this subpart is reported as positive by
the MRO are set forth in Sec. 219.104 of this part. The responsive
action required in Sec. 219.104 is not stayed pending the result of a
retest or split sample test.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7463, Feb. 15, 1994]

Sec. 219.607 Railroad random alcohol testing programs.

(a) Each railroad shall submit for FRA approval a random alcohol
testing program meeting the requirements of this subpart. A Class I
railroad (including the National Railroad Passenger Corporation) or a
railroad providing commuter passenger service shall submit such a
program not later than August 15, 1994. A Class II railroad shall submit
such a program not later than February 15, 1995. A Class III railroad
(including a switching and terminal or other railroad not otherwise
classified) shall submit such a program not later than August 15, 1995.
A railroad commencing operations after the pertinent date specified in
this paragraph shall submit a random alcohol testing program not later
than 30 days prior to such commencement. The program shall be submitted
to the Associate Administrator for Safety, FRA, for review and approval.
If, after approval, a railroad desires to amend the random alcohol
testing program implemented under this subpart, the railroad shall file
with FRA a notice of such amendment at least 30 days prior to the
intended effective date of such action. A program responsive to the
requirements of this section or any amendment to the program shall not
be implemented prior to approval.
(b) Form of programs. Random alcohol testing programs submitted by
or on behalf of each railroad under this subpart shall meet the
following criteria, and the railroad and its managers, supervisors,
officials and other employees and agents shall conform to such criteria
in implementing the program:
(1) Selection of covered employees for testing shall be made by a
method employing objective, neutral criteria which ensures that every
covered employee has a substantially equal statistical chance of being
selected within a specified time frame. The method may not permit
subjective factors to play a

[[Page 164]]

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 include testing procedures and safeguards,
and, consistent with this part, procedures for action based on tests
where the employee is found to have violated Sec. 219.101.
(3) The program shall ensure that random alcohol tests conducted
under this part are unannounced and that the dates for administering
random tests are spread reasonably throughout the calendar year.
(4) The program shall ensure to the maximum extent practicable that
each covered employee shall perceive the possibility that a random
alcohol test may be required at any time the employee reports for work
and at any time during the duty tour (except any period when the
employee is expressly relieved of any responsibility for performance of
covered service).
(5) An employee shall be subject to testing only while on duty. Only
employees who perform covered service for the railroad shall be subject
to testing under this part. In the case of employees who during some
duty tours perform covered service and during others do not, the
railroad program shall specify the extent to which, and the
circumstances under which they shall be subject to testing. To the
extent practical within the limitations of this part and in the context
of the railroad's operations, the railroad program shall provide that
employees shall be subject to the possibility of random testing on any
day they actually perform covered service.
(6) Testing shall be conducted promptly, as provided in
Sec. 219.715(a).
(7) Each time an employee is notified for random alcohol testing the
employee will be informed that selection was made on a random basis.
(8) Each railroad shall ensure that each covered employee who is
notified of selection for random alcohol testing proceeds to the test
site immediately; provided, however, that if the employee is performing
a safety-sensitive function at the time of the notification, the
railroad shall instead ensure that the employee ceases to perform the
safety-sensitive function and proceeds to the testing site as soon as
possible.
(c) Implementation. (1) No later than 45 days prior to commencement
of random alcohol testing, the railroad shall publish to each of its
covered employees, individually, a written notice that they will be
subject to random alcohol testing under this part. Such notice shall
state the date for commencement of the program, shall state that the
selection of employees for testing will be on a strictly random basis,
shall describe the consequences of a determination that the employee has
violated Sec. 219.101 or any applicable railroad rule, and shall inform
the employee of the employee's rights under subpart E of this part. A
copy of the notice shall be provided to each new covered employee on or
before the employee's initial date of service. Since knowledge of
Federal law is presumed, nothing in this paragraph creates a defense to
a violation of Sec. 219.101. This notice may be combined with the notice
or policy statement required by Sec. 219.23.
(2) Each Class I railroad (including the National Railroad Passenger
Corporation) and each railroad providing commuter passenger service
shall implement its approved random alcohol testing program beginning on
January 1, 1995. Each Class II railroad shall implement its approved
random testing program beginning on July 1, 1995. Each Class III
railroad (including a switching and terminal or other railroad not
otherwise classified) shall implement its approved random testing
program beginning on January 1, 1996. In the case of a railroad
commencing operations after the pertinent date set forth in paragraph
(a) of this section for filing of a program, the railroad shall
implement its approved random testing program not later than the
expiration of 60 days from approval by the Administrator or by the
pertinent date set forth in this paragraph, whichever is later.

[59 FR 7463, Feb. 15, 1994]

[[Page 165]]

Sec. 219.608 Administrator's determination of random alcohol testing rate.

(a) Except as provided in paragraphs (b) through (d) of this
section, the minimum annual percentage rate for random alcohol testing
shall be 25 percent of covered employees.
(b) The Administrator's decision to increase or decrease the minimum
annual percentage rate for random alcohol testing is based on the
violation rate for the entire industry. All information used for the
determination is drawn from the alcohol MIS reports required by this
part. In order to ensure reliability of the data, the Administrator
considers the quality and completeness of the reported data, may obtain
additional information or reports from employers, and may make
appropriate modifications in calculating the industry violation rate.
Each year, the Administrator will publish in the Federal Register the
minimum annual percentage rate for random alcohol testing of covered
employees. The new minimum annual percentage rate for random alcohol
testing will be applicable starting January 1 of the calendar year
following publication.
(c)(1) When the minimum annual percentage rate for random alcohol
testing is 25 percent or more, the Administrator may lower this rate to
10 percent of all covered employees if the Administrator determines that
the data received under the reporting requirements of Sec. 219.801 for
two consecutive calendar years indicate that the violation rate is less
than 0.5 percent.
(2) When the minimum annual percentage rate for random alcohol
testing is 50 percent, the Administrator may lower this rate to 25
percent of all covered employees if the Administrator determines that
the data received under the reporting requirements of Sec. 219.801 for
two consecutive calendar years indicate that the violation rate is less
than 1.0 percent but equal to or greater than 0.5 percent.
(d)(1) When the minimum annual percentage rate for random alcohol
testing is 10 percent, and the data received under the reporting
requirements of Sec. 219.801 for that calendar year indicate that the
violation rate is equal to or greater than 0.5 percent, but less than
1.0 percent, the Administrator will increase the minimum annual
percentage rate for random alcohol testing to 25 percent of all covered
employees.
(2) When the minimum annual percentage rate for random alcohol
testing is 25 percent or less, and the data received under the reporting
requirements of Sec. 219.801 for any calendar year indicate that the
violation rate is equal to or greater than 1.0 percent, the
Administrator will increase the minimum annual percentage rate for
random alcohol testing to 50 percent of all covered employees.
(e) The railroad shall randomly select and test a sufficient number
of covered employees for testing during each calendar year to equal an
annual rate not less than the minimum annual percentage rate for random
alcohol testing determined by the Administrator. If the railroad
conducts random alcohol testing through a consortium, the number of
employees to be tested may be calculated for each individual employer or
may be based on the total number of covered employees covered by the
consortium who are subject to random testing at the same minimum annual
percentage rate under this part or any DOT alcohol testing rule.
(f) If a railroad is required to conduct random alcohol testing
under the alcohol testing rules of more than one DOT agency, the
railroad may--
(1) Establish separate pools for random selection, with each pool
containing the covered employees who are subject to testing at the same
required rate; or
(2) Randomly select such employees for testing at the highest
percentage rate established for the calendar year by any DOT agency to
which the railroad is subject.

[59 FR 7464, Feb. 15, 1994]

Sec. 219.609 Participation in alcohol testing.

A railroad shall, under the conditions specified in this subpart and
subpart H of this part, require a covered employee selected through the
random testing program to cooperate in breath testing to determine
compliance with Sec. 219.101, and the employee shall provide the
required breath and complete the required paperwork and certifications.
Compliance by the employee

[[Page 166]]

shall be excused only in the case of a documented medical or family
emergency.

[59 FR 7464, Feb. 15, 1994]

Sec. 219.611 Test result indicating prohibited alcohol concentration; procedures.

Procedures for administrative handling by the railroad in the event
an employee's confirmation test indicates an alcohol concentration of
.04 or greater are set forth in Sec. 219.104.

[59 FR 7464, Feb. 15, 1994]

Subpart H--Procedures and Safeguards for Urine Drug Testing and for
Alcohol Testing

Sec. 219.701 Standards for urine drug testing.

(a) Urine drug testing required or authorized by subparts B, D, F,
and G of this part shall be conducted in the manner provided by this
subpart and (to the extent not inconsistent with this part) part 40 of
subtitle A of this title. Laboratories employed for these purposes must
be certified by the Department of Health and Human Services under that
Department's Mandatory Guidelines for Federal Workplace Drug Testing
Programs.
(b) Each railroad's contract with a laboratory conducting testing
subject to this subpart shall provide that the FRA and the railroad
shall have the right to unannounced inspection during normal business
hours through qualified personnel or designated contractors. Such
inspecton rights shall, at minimum, include reasonable accompanied
access to all records pertinent to testing under this part, quality
control data incident thereto, samples submitted under this part, and
equipment and personnel related to analysis of those samples.
(c) Each such contract shall also require that the laboratory comply
with all applicable provisions of this part and 49 CFR part 40,
including requirements for employee access to specified laboratory
records and any applicable conditions imposed upon approvals issued
under this subpart or 49 CFR part 40.

Sec. 219.703 Drug testing procedures.

(a) Urine samples shall be collected and handled as required in 49
CFR part 40 and this section.
(b) The collection site person (collector) shall meet the
requirements of 49 CFR part 40.
(c) A person with management or supervisory responsibility over the
employee to be tested, or a co-worker of the employee to be tested, may
not serve as a collector. For purposes of this paragraph, co-worker
means a person with whom the person to be tested is assigned or could be
assigned in a crew or other working unit to perform normal
transportation duties on the railroad.
(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.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7464, Feb. 15, 1994]

Sec. 219.705 Drugs tested.

(a) Urine samples shall be analyzed for the presence of controlled
substances designated in paragraph (b) of this section and may be
analyzed by procedures reasonably incident to analysis of the specimen
for controlled substances (e.g., determination of pH or tests for
specific gravity, creatinine concentration, or presence of adulterants).
(b) Each sample submitted shall be analyzed for marijuana, cocaine,
phencylidine (PCP), opiates (morphine and codeine), and amphetamines
(amphetamine and methamphetamine).
(c) As part of the reasonable cause testing program established by
subpart D of this part, a railroad may test for additional controlled
substances in addition to those specified in this section only with
approval granted by FRA and for substances for which the Department of
Health and Human Services

[[Page 167]]

has established an approved testing protocol and positive threshold.

Sec. 219.707 Review by MRO of urine drug testing results.

(a) Urine drug test results reported positive by the laboratory as
provided in part 40 of this title shall not be deemed positive or
disseminated to any person (other than to the employee tested in a
medical interview, if conducted) until they are reviewed by a Medical
Review Officer (MRO) of the railroad as required by part 40 of this
title and this section. For purposes of this part, medical use of
controlled substances by a covered employee is a legitimate medical
explanation for presence of a controlled substance (i.e., a basis for
declaring the result ``negative'') only to the extent such use was
consistent with Sec. 219.103 of this part.
(b) The MRO shall complete review of test results within not more
than 10 regular working days of receipt of the laboratory report or they
shall be declared negative, unless any portion of the delay shall result
from the unwillingness or inability of the employee to appear for an
interview or provide documentation of prescription or other authorized
use of medications. If the employee is responsible for such delay, the
10-day period may be extended by a period equal to the period attributed
to the employee's delay. This paragraph shall not be read to bar
reporting of a positive result if the employee, without a reasonable
basis, fails to respond to an opportunity to provide supplementary
information.
(c) After the MRO has reviewed the pertinent information and the
laboratory assessment is verified as indicating presence of controlled
substances without medical authorization consistent with Sec. 219.103 of
this part (and the review required by paragraph (b) of this section is
completed), the MRO shall report the results to a designated railroad
officer for action in keeping with the requirements of this part (or
take appropriate action under the railroad's medical standards). The
employee shall be provided a copy of the approved test results, or such
results shall be dispatched by U.S. mail or other suitable means
providing prompt delivery, not later than 24 hours following any adverse
action.
(d) Test results reported as negative by the laboratory shall also
be communicated through the MRO. The MRO shall promptly transmit the
negative finding to the employee. If the MRO provides the railroad with
negative test results in a nonaggregated manner, all such negative test
results, including results involving medical use or administration of
controlled substances or insufficiency of laboratory data, shall be
transmitted to the designated railroad officer over the MRO's signature
in a manner that does not disclose medical use of drugs which is
permitted under Sec. 219.103 of this part.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7464, Feb. 15, 1994]

Sec. 219.708 Employee requests for testing.

If the test result of the primary sample is positive, an employee
may request that his or her split sample(s) be tested in accordance with
the procedures specified in 49 CFR part 40.

[59 FR 7464, Feb. 15, 1994]

Sec. 219.709 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

[[Page 168]]

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).

Sec. 219.711 Confidentiality of test results.

(a) A laboratory reporting results of tests conducted under this
subpart shall report those results only to the designated Medical Review
Officer of the railroad. The results shall not be disclosed by the
laboratory to any other person, except that the laboratory may affirm
the test result to the employee to whom the sample was identified. This
paragraph shall not be read to bar normal access to analytical data for
laboratory accreditation or certification processes.
(b) The MRO may not disclose medically approved drug use or
administration information obtained under this part (whether ascertained
through testing or reported by the employee or the employee's medical
practitioner at the employee's request) to non-medical railroad
personnel or any third party; however, nothing in this part bars use of
such information by the railroad's medical officer in the context of an
established medical qualifications program. This paragraph shall not be
construed to permit medical disqualification of an employee based upon a
laboratory report indicating presence of a controlled substance prior to
completion of the MRO review, nor to limit the discretion of the
railroad under Sec. 40.33(c) of this chapter.
(c) No record of tests conducted subject to this subpart or
information drawn therefrom shall be used or disseminated by the
railroad or within the railroad for any purpose other than providing for
compliance with this part (and railroad rules consistent herewith),
unless with the voluntary written consent of the employee. Such written
consent shall specify the person to whom the information may be
provided. Each railroad shall adopt and implement procedures to guard
this information against unauthorized disclosure both within and
external to the railroad company.
Sec. 219.713 [Reserved]

Sec. 219.715 Alcohol testing procedures.

(a) Each covered employee who is notified of selection for alcohol
testing and who is not performing covered service at the time of
notification shall proceed to the testing site immediately. The railroad
shall ensure that an employee who is performing covered service at the
time of notification shall, as soon as possible without affecting
safety, cease to perform covered service and proceed to the testing
site.
(b) Each railroad shall ensure that all alcohol testing conducted
under this part complies with the procedures set forth in part 40 of
this title. The provisions of part 40 of this title that address alcohol
testing are made applicable to employers by this part.

[59 FR 7464, Feb. 15, 1994]

Subpart I--Annual Report

Sec. 219.801 Reporting alcohol misuse prevention program results in a management information system.

(a) Each railroad that has 400,000 or more total manhours shall
submit to FRA by March 15 of each year a report covering the previous
calendar year (January 1-December 31), summarizing the results of its
alcohol misuse prevention program.
(b) A railroad that is subject to more than one DOT agency alcohol
regulation shall identify each employee covered by the regulations of
more than one DOT agency. The identification will be by the total number
and category of covered functions. Prior to conducting any alcohol test
on a covered employee subject to the regulations of more than one DOT
agency, the railroad shall determine which DOT agency regulation or rule
authorizes or requires the test. The test result information shall be
directed to

[[Page 169]]

the appropriate DOT agency or agencies.
(c) Each railroad shall ensure the accuracy and timeliness of each
report submitted. The report shall be submitted on one of the two forms
specified by the FRA.
(d) Each report that contains information on an alcohol screening
test result of .02 or greater or a violation of the alcohol misuse
provisions of subpart B of this part shall include the following
elements (the ``Alcohol Testing Management Information System Data
Collection Form,'' appendix D3 to this part):
(1) Number of covered employees by employee category (i.e., train
service, engine service, dispatcher/operator, signal, other).
(2) Number of covered employees in each category subject to alcohol
testing under the alcohol misuse regulation of another DOT agency,
identified by each agency.
(3)(i) Number of screening tests by type of test (i.e., pre-
employment and covered service transfer, random, post-positive return to
service, and follow-up) and employee category.
(ii) Number of confirmation tests, by type of test and employee
category.
(4) Number of confirmation alcohol tests indicating an alcohol
concentration equal of .02 or greater but less than .04, by type of test
and employee category.
(5) Number of confirmation alcohol tests indicating an alcohol
concentration of .04 or greater, by type of test and employee category.
(6) Number of persons denied a position as a covered employee
following a pre-employment alcohol test indicating an alcohol
concentration of .04 or greater.
(7) Number of covered employees with a confirmation alcohol test
indicating an alcohol concentration of .04 or greater, or who have
violations of other alcohol misuse provisions, who were returned to
service in covered positions (having complied with the recommendations
of a substance abuse professional as described in Sec. 219.104(d)).
(8) For cause breath alcohol testing under railroad authority, by
reason for test (accident/injury or rules violation), the number of
screening tests conducted, the number of confirmation tests conducted,
the number of confirmation tests of .02 or greater but less than .04,
and the number of confirmation test results of .04 or greater.
(9) For cause breath alcohol testing under FRA authority, by reason
for test (reasonable suspicion, accident/injury or rules violation), the
number of screening tests conducted, the number of confirmation tests
conducted, the number of confirmation tests of .02 or greater but less
than .04, and the number of confirmation test results of .04 or greater.
(10) Number of covered employees who were found to have violated
other provisions of subpart B of this part, and the action taken in
response to the violation.
(11) Number of covered employees who were administered alcohol and
drug tests at the same time, with both a positive drug test result and
an alcohol test result indicating an alcohol concentration of .04 or
greater.
(12) Number of covered employees who refused to submit to a random
alcohol test required under this part.
(13) Number of covered employees who refused to submit to a non-
random alcohol test required under this part.
(14) Number of supervisory personnel who have received the required
initial training on the specific contemporaneous physical, behavioral,
and performance indicators of probable alcohol use during the reporting
period.
(e) Each report that contains no screening test results of 0.02 or
greater or violations of the alcohol misuse provisions of subpart B of
this part shall include the following informational elements (the
``Alcohol Testing Management Information System Data Collection Form (No
Alcohol Misuse),'' appendix D4 to this part): (This report may only be
submitted if the program results meet this criteria.)
(1) Number of covered employees by employee category (i.e., train
service, engine service, dispatcher/operator, signal, other).
(2) Number of covered employees in each category subject to alcohol
testing under the alcohol misuse regulation of another DOT agency,
identified by each agency.

[[Page 170]]

(3) Number of screening tests by type of test (i.e., pre-employment
and covered service transfer, random, post-positive return to service,
and follow-up) and employee category.
(4) Number of covered employees with a confirmation alcohol test
indicating an alcohol concentration of .04 or greater, or who have
violations of other alcohol misuse provisions, who were returned to
service in covered positions (having complied with the recommendations
of a substance abuse professional as described in Sec. 219.104(d)).
(5) For cause breath alcohol testing under railroad authority, by
reason for test (accident/injury or rules violation), the number of
screening tests conducted.
(6) For cause breath alcohol testing under FRA authority, by reason
for test (reasonable suspicion, accident/injury or rules violation), the
number of screening tests conducted.
(7) Number of covered employees who refused to submit to a random
alcohol test required under this part.
(8) Number of covered employees who refused to submit to a non-
random alcohol test required under this part.
(9) Number of supervisory personnel who have received the required
initial training on the specific contemporaneous physical, behavioral,
and performance indicators of probable alcohol use during the reporting
period.
(f) Annual reporting for calendar year 1993 and prior years shall be
governed by the provisions of Sec. 217.13 of this chapter in effect
during the subject calendar period.

[59 FR 7465, Feb. 15, 1994]

Sec. 219.803 Reporting drug misuse prevention program results in a management information system.

(a) Each railroad with more than 400,000 total manhours shall submit
to FRA an annual report covering the calendar year, summarizing the
results of its drug misuse prevention program.
(b) A railroad that is subject to more than one DOT agency drug
regulation shall identify each employee covered by the regulations of
more than one DOT agency. The identification will be by the total number
and category of covered functions. Prior to conducting any drug test on
a covered employee subject to the regulations of more than one DOT
agency, the railroad shall determine which DOT agency regulation or
rules authorizes or requires the test. The test result information shall
be directed to the appropriate DOT agency or agencies.
(c) Each railroad shall ensure the accuracy and timeliness of each
report submitted by the railroad or a consortium.
(d) Each railroad shall submit the required annual reports no later
than March 15 of each year. The report shall be submitted on one of the
forms specified by the FRA. A railroad with no positive test results
shall submit the ``Drug Testing Management Information System Zero
Positives Data Collection Form'' form attached as appendix D2 to this
part. All other railroads shall submit the ``Drug Testing Management
Information System Data Collection Form'' attached as appendix D to this
part.
(e) A railroad submitting the ``Drug Testing Management Information
System Data Collection Form'' shall address each of the following data
elements:
(1) Number of covered employees by employee category (i.e., train
service, engine service, dispatcher/operator, signal service, other).
(2) Number of covered employees in each category subject to testing
under the anti-drug regulations of more than one DOT agency, identified
by each agency.
(3) Number of specimens collected by type of test (ie., pre-
employment and covered service transfer, random, post-positive return to
service, and follow-up), and employee category.
(4) Number of specimens verified negative by a Medical Review
Officer (MRO) by type of test, and employee category.
(5) Number of specimens verified positive for one or more of the
five drugs by a MRO by type of test, employee category, and type of
drug. If a test has been verified positive by a MRO for multiple drugs,
the employer should report the result as a positive for each type of
drug.
(6) Number of applicants or transfers denied employment or transfer
to a covered service position following a

[[Page 171]]

verified positive pre-employment drug test.
(7) Number of employees, currently in or having completed
rehabilitation or otherwise qualified to return to duty, who have
returned to work in a covered position during the reporting period.
(8) For cause drug testing, the number of specimens collected by
reason for test (i.e., accident/injury, rules violation, or reasonable
suspicion), type of authority (railroad or FRA), employee category and
type of drug, including drugs tested for under railroad authority only.
(9) For cause drug testing, the number of specimens verified
negative by a MRO by reason for test, type of authority, employee
category and type of drug, including drugs tested for under railroad
authority only.
(10) For cause drug testing, the number of specimens verified
positive by a MRO by reason for test, type of authority, employee
category and type of drug, including drugs tested for under railroad
authority only.
(11) For cause breath alcohol testing under railroad authority, by
reason for test, the number of tests conducted, the number of tests with
a positive result (i.e., breath alcohol concentration (BAC) = or > .02),
and the number of refusals.
(12) For cause urine alcohol testing under railroad authority, by
reason for test, the number of tests conducted, the number of tests with
a positive result, and the number of refusals.
(13) For cause breath alcohol testing under FRA authority, by reason
for test, the number of tests conducted, the number of tests with a
positive result, and the number of refusals.
(14) Total number of covered employees observed in documented
operational tests and inspections related to enforcement of the
railroad's rules on alcohol and drug use.
(15) Based on the tests and inspections described in element 14, the
number of covered employees charged with a violation of the railroad's
Rule G or similar rule or policy on drugs.
(16) Based on the tests and inspections described in element 14, the
number of covered employees charged with a violation of the railroad's
Rule G or similar rule or policy on alcohol.
(17) Number of specimens verified positive for more than one drug,
by employee category and type of drug.
(18) Number of covered employees who refused to submit to a random
drug test required under FRA authority.
(19) Number of covered employees who refused to submit to a non-
random drug test required under FRA authority.
(20) Number of supervisory personnel who have received the required
initial training on the specific contemporaneous physical, behavioral,
and performance indicators of probable drug use during the reporting
period.
(f) A railroad authorized to submit the ``Drug Testing Management
Information System Zero Positives Data Collection Form'' attached as
appendix D2 to this part shall address each of the following data
elements:
(1) Number of covered employees by employee category (i.e., train
service, engine service, dispatcher/operator, signal service, other).
(2) Number of covered employees in each category subject to testing
under the anti-drug regulations of more than one DOT agency, identified
by each agency.
(3) Number of specimens collected and verified negative by type of
test (i.e., pre-employment and covered service transfer, random, for
cause due to accident/incident, for cause due to rules violation,
reasonable suspicion, post-positive return to service, and follow-up),
and employee category.
(4) For cause breath alcohol testing under railroad authority, the
number of tests conducted by reason for test (i.e., accident/injury,
rules violation, or reasonable suspicion).
(5) For cause urine alcohol testing under railroad authority, the
number of tests conducted by reason for test.
(6) For cause breath alcohol testing under FRA authority, the number
of tests conducted by reason for test.
(7) Total number of covered employees observed in documented
operational tests and inspections related to enforcement of the
railroad's rules on alcohol and drug use.

[[Page 172]]

(8) Based on the tests and inspections described in element 7, the
number of covered employees charged with a violation of the railroad's
Rule G or similar rule or policy on drugs.
(9) Based on the tests and inspections described in element 7, the
number of covered employees charged with a violation of the railroad's
Rule G or similar rule or policy on alcohol.
(10) Number of covered employees who refused to submit to a random
drug test required under FRA authority.
(11) Number of covered employees who refused to submit to a non-
random drug test required under FRA authority.
(12) Number of supervisory personnel who have received the required
initial training on the specific contemporaneous physical, behavioral,
and performance indicators of probable drug use during the reporting
period.

[58 FR 68235, Dec. 23, 1993]

Subpart J--Recordkeeping Requirements

Source: 59 FR 7466, Feb. 15, 1994, unless otherwise noted.

Sec. 219.901 Retention of breath alcohol testing records.

(a) General requirement. Each railroad shall maintain records of its
alcohol misuse prevention program as provided in this section. The
records shall be maintained in a secure location with controlled access.
(b) Period of retention. Each railroad shall maintain the records in
accordance with the following schedule:
(1) Five years. The following shall be maintained for a minimum of
five years:
(i) Records of alcohol test results with results indicating an
alcohol concentration of .02 or greater, documentation of refusals to
take required alcohol tests, calibration documentation, and employee
evaluation and referrals;
(ii) A summary record of each covered employee's test results; and
(iii) A copy of the annual report summarizing the results of its
alcohol misuse prevention programs (if required to submit under
Sec. 219.801(a).
(2) Two years. Records related to the collection process (except
calibration of evidential breath testing devices) and training shall
also be maintained for a minimum of two years.
(3) One year. Records of all test results below .02 shall be
maintained for a minimum of one year.
(c) Types of records. The following specific records must be
maintained.
(1) Records related to the collection process:
(i) Collection logbooks, if used.
(ii) Documents relating to the random selection process.
(iii) Calibration documentation for evidential breath testing
devices.
(iv) Documentation of breath alcohol technician training.
(v) Documents generated in connection with decisions to administer
reasonable suspicion alcohol tests.
(vi) Documents generated in connection with decisions on post-
accident testing.
(vii) Documents verifying the existence of a medical explanation of
the inability of a covered employee to provide an adequate breath
sample.
(2) Records related to test results:
(i) The railroad's copy of the alcohol test form, including the
results of the test.
(ii) Documents related to the refusal of any covered employee to
submit to an alcohol test required by this part.
(iii) Documents presented by a covered employee to dispute the
result of an alcohol test administered under this part.
(3) Records related to other violations of this part.
(4) Records related to evaluations:
(i) Records pertaining to a determination by a substance abuse
professional concerning a covered employee's need for assistance.
(ii) Records concerning a covered employee's compliance with the
recommendations of the substance abuse professional.
(5) Records related to evaluation and training:
(i) Materials on drug misuse awareness, including a copy of the
railroad's policy on drug misuse.

[[Page 173]]

(ii) Documentation of compliance with the requirements of
Sec. 219.23.
(iii) Documentation of training provided to supervisors for the
purpose of qualifying the supervisors to make a determination concerning
the need for alcohol testing based on reasonable suspicion.
(iv) Certification that any training conducted under this part
complies with the requirements for such training.

Sec. 219.903 Retention of urine drug testing records.

(a) General requirement. Each railroad shall maintain records of its
drug misuse prevention program as provided in this section. The records
shall be maintained in a secure location with controlled access.
(b) Period of retention. Each railroad shall maintain the records in
accordance with the following schedule:
(1) Five years. The following shall be maintained for a minimum of
five years:
(i) Records of employee positive drug test results, documentation of
refusals to take required drug tests, and employee evaluation and
referral;
(ii) A summary record of each covered employee's test results; and
(iii) A copy of the annual report summarizing the results of its
drug misuse prevention program (if required to submit under
Sec. 219.803(a).
(2) Two years. Records related to the collection process and
training shall be maintained for a minimum of two years.
(3) One year. Records of negative test results (as defined in Part
40 of this title) shall be maintained for a minimum of one year.
(c) Types of records. The following specific records must be
maintained.
(1) Records related to the collection process:
(i) Documents relating to the random selection process.
(ii) Documents generated in connection with decisions to administer
reasonable suspicion drug tests.
(iii) Documents generated in connection with decisions on post-
accident testing.
(iv) Documents verifying the existence of a medical explanation of
the inability of a covered employee to provide a urine sample.
(2) Records related to test results:
(i) The railroad's copy of the drug test custody and control form,
including the results of the test.
(ii) Documents related to the refusal of any covered employee to
submit to a drug test required by this part.
(iii) Documents presented by a covered employee to dispute the
result of a drug test administered under this part.
(3) Records related to other violations of this part.
(4) Records related to evaluations:
(i) Records pertaining to a determination by a substance abuse
professional concerning a covered employee's need for assistance.
(ii) Records concerning a covered employee's compliance with the
recommendations of the substance abuse professional.
(5) Records related to evaluation and training:
(i) Materials on alcohol misuse awareness, including a copy of the
railroad's policy on alcohol misuse.
(ii) Documentation of compliance with the requirements of
Sec. 219.23.
(iii) Documentation of training provided to supervisors for the
purpose of qualifying the supervisors to make a determination concerning
the need for alcohol testing based on reasonable suspicion.
(iv) Certification that any training conducted under this part
complies with the requirements for such training.

Sec. 219.905 Access to facilities and records.

(a) Release of covered employee information contained in records
required to be maintained under Secs. 219.901 and 219.903 shall be in
accordance with 49 CFR part 40 and this section. (For purposes of this
section only, urine drug testing records shall be considered equivalent
to breath alcohol testing records.)
(b) Each railroad shall permit access to all facilities utilized in
complying with the requirements of this part to the Secretary of
Transportation or any DOT agency with regulatory authority

[[Page 174]]

over the railroad or any of its covered employees.
(c) Each railroad shall make available copies of all results for
railroad alcohol and drug testing programs conducted under this part and
any other information pertaining to the railroad's alcohol and drug
misuse prevention program, when requested by the Secretary of
Transportation or any DOT agency with regulatory authority over the
railroad or covered employee.

Appendix A to Part 219--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section Violation Violation
------------------------------------------------------------------------
Subpart A--General

219.11 General Conditions for Chemical Tests
(b)(1), (3), or (4) Employee unlawfully refuses
to participate in testing........................ (--) $5,000
(b)(2) Failure to give necessary medical
treatment priority, or improperly requiring
urine sample................................. $3,000 8,000
219.23 Notice to employees:
(a) Failure to give notice of FRA test....... 1,000 4,000
(b) Failure to give notice of basis for FRA
test......................................... 500 2,000
(c) Use of Subpart C forms for other types of
tests........................................ 500 1,000

Subpart B--Prohibitions

219.101 Alcohol and drug use Employee violates
prohibition (--) 10,000
219.104 Responsive action:
(a) Failure to remove from service
immediately.................................. 3,000 8,000
(b) Failure to provide notice................ 1,000 4,000
(c) Failure to provide prompt post-suspension
hearing...................................... 2,000 7,000
(d) Unlawful return to service............... 2,000 7,000
(e) Improper alcohol test.................... 1,000 4,000
219.105 Railroad's duty to prevent violations:
(a) Permitting employee to go or remain on
duty in violation of prohibitions............ 7,000 10,000
(b) Failure to exercise due diligence to
assure compliance with prohibition........... 2,500 5,000

Subpart--C: Post-Accident Testing

219.201 Events for which testing is required:
(i) Failure to facilitate conduct of required
post-accident toxicological test by making
reasonable inquiry and good faith judgments
with respect to circumstances of accident/
incident; by failing to take all practicable
steps to require employee participation; or
by otherwise failing to comply with Subpart C
such that test cannot be conducted (each
employee not tested is a violation........... 5,000 7,500
(ii) Required employee to provide samples
under authority of Subpart C where one or
more testing criteria not present, due either
to mistake of law or failure to make
reasonable inquiry or exercise good faith
judgment..................................... 5,000 10,000
(iii) Failure to promptly provide FRA with
report describing decision on whether event
qualified for testing........................ 1,000 3,000
219.203 Responsibilities of Railroads and
Employees:
(a) Failure to exclude employee from impact
of fatal train incident testing where
appropriate.................................. 2,500 5,000
(b)(1) Delay in obtaining samples account
failure to make every reasonable effort...... 2,500 5,000
(b)(4) Improper release of or failure to
recall employee subject to testing, or
improper recall to duty...................... 4,000 7,500
(c) Place of sample collection; by whom...... 2,500 5,000
(d) Failure to notify FRA of an employee
injury requiring FRA intervention............ 2,500 5,000
219.205 Sample collection and handling:
(a) Failure to observe requirements with
respect to sample collection, marking and
handling..................................... 2,500 5,000
(b) Failure to provide properly prepared
information sheets with samples.............. 1,000 2,000
(d) Failure to promptly forward samples...... 2,500 5,000
219.207 Fatality:
(a) Failure to contact custodian and request
assistance................................... 2,500 5,000
(b) Failure to notify FRA where intervention
needed....................................... 2,500 5,000
219.209 Reports of tests and refusals:
(a) Failure to provide telephonic report..... 1,000 2,000
(b) Failure to provide written report
(samples not provided)....................... 1,000 2,000
219.213 Unlawful refusals, consequences:
(a) Failure to take action against employee
who refuses to provide samples, or permitting
employee to return without meeting conditions 2,500 5,000
(b), (c) Failure to provide timely notice and
proper hearing............................... 2,500 5,000

Subpart D--Authorization to test for casue

219.301 Testing for reasonable cause:
(a) Employee required, under authority of
this subpart, to submit to testing without
reasonable cause............................. 5,000 7,500
(f)(2) Employee required to participate in
testing after expiration of 8 hours.......... 2,000 4,000
(f)(4) Employee tested after release from
duty......................................... 1,500 3,000

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219.303 Breath testing procedures and safeguards
(incl. optional blood test)...................... 2,000 4,000
219.305 Urine test: failure to comply with
Subpart H procedures and safeguards.............. 2,000 4,000
219.309 Employee notice.......................... 1,000 4,000

Subpart E--Identification of troubled employees

219.401 Requirements for policies:
(i) Failure to adopt or publish or wholesale
failure to implement policy required by
Subpart E.................................... 5,000 7,500
(ii) Failure to implement as to individual
employee..................................... 2,500 5,000
219.407 Alternate policies: Failure to file
agreement or other document or provide timely
notice of revocation............................. 1,000 2,000

Subpart F--Pre-Employment Drug Screen

219.501 Pre-employment drug screens:
(a) Failure to perform preemployment drug
screen prior to employing applicant in
covered service.............................. 2,500 5,000
(b)(i) Failure to provide prior notice of
drug screen.................................. 2,000 4,000
(ii) Maintaining record of declination of
test......................................... 500 1,000
(c) Failure to comply with Subpart H--
Procedures and safeguards.................... 2,000 4,000
219.503 Notification; records Failure to notify
applicant of test results or to proplerly
maintain or retain records 2,000 4,000
219.505 Refusals; consequences of positive:
(a) Employing one who has refused test in
covered service.............................. 2,500 5,000
(b) Employing applicant who has tested
positive in covered service.................. 3,000 8,000

Subpart G--Random Drug Testing

219.601 Programs:
(a) Failure to submit to FRA on a timely
basis a random testing program that satisfies
requirements of this subpart and subpart H... 5,000 7,500
(b)(1) Required employee to provide sample in
reliance on this subpart based on other than
random selection............................. 5,000 10,000
(b)(2) through (b)(7) Fail to conform to
approved criteria in implementing program.... 2,000 4,000
(d)(1) Failure to provide timely notice to
each employee................................ 1,000 4,000
(d)(2) Failure to implement program on timely
basis........................................ 5,000 7,500
219.603 Participation in testing; refusals:
(a) Failure to require a selected employee to
cooperate in random testing.................. 2,500 5,000
(b)(1) Failure to take action against employee
who refuses to provide sample................ 2,500 5,000
(b)(2) Failure to provide timely notice and
proper hearing............................... 2,500 5,000
(c) Permitting employee to return without
meeting conditions........................... 2,500 5,000
219.605 Positive test results: (a) Test deemed
positive without following Subpart H procedures.. 2,000 4,000

Subpart H--Procedures and Safeguards For Urine
Drug Testing

219.701 Standards for urine drug testing (e.g.,
use of uncertified lab or other violation of 49
CFR part 40 not referenced below, absence of
required provisions in contract, etc.). 5,000 7,500
219.703 Collection............................... 2,000 4,000
219.705 Drugs tested............................. 2,000 4,000
219.707 Review by MRO............................ 2,000 4,000
219.709 Retest................................... 2,000 4,000
219.711 Confidentiality.......................... 3,000 6,000
219.713 Reports; FRA access...................... 500 2,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.

[54 FR 53259, Dec. 27, 1989, as amended at 55 FR 22794, June 4, 1990]

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: Northwest
Toxicology, Inc., 1141 E. 3900 S., Suite A-110, Salt Lake City, UT
84124, telephone: (801) 288-2431 (Day), (801) 483-3383 (Night/Weekend).

[60 FR 61665, Dec. 1, 1995]

Appendix C to Part 219--Post-Accident Testing Sample Collection

1.0 General.

This appendix prescribes procedures for collection of samples for
mandatory post-accident testing pursuant to subpart C of this part.
Collection of blood and urine samples is required to be conducted at an
independent medical facility.

(Surviving Employees)

2.0 Surviving Employees.

This unit provides detailed procedures for collecting post-accident
toxicological samples from surviving employees involved in train
accidents and train incidents, as required by 49 CFR part 219, subpart
C. Subpart C specifies qualifying events and employees required to be
tested.

[[Page 176]]

2.1 Collection Procedures; General.

All forms and supplies necessary for collection and transfer of
blood and urine samples for three surviving employees can be found in
the FRA post-accident shipping box, which is made available to the
collection site by the railroad representative.
Each shipping box contains supplies for blood/urine collections from
three individuals, including instructions and necessary forms. The
railroad is responsible for ensuring that materials are fresh, complete
and meet FRA requirements.

2.11 Responsibility of the Railroad Representative.

In the event of an accident/incident for which testing is required
under subpart C of this part, the railroad representative shall follow
the designated set of instructions, and, upon arrival at the independent
medical facility, promptly present to the collection facility
representative a post-accident shipping box or boxes with all remaining
sets of instructions. (Each box contains supplies to collect samples
from three employees.) The railroad representative shall request the
collection facility representative to review the instructions provided
and, through qualified personnel, provide for collection of the samples
according to the procedures set out.
The railroad representative shall undertake the following additional
responsibilities--
Complete FRA Form 6180.73 (revised), Accident Information
Required for Post-Accident Toxicological Testing, describing the testing
event and identifying the employees whose samples are to be deposited in
the shipping box.
As necessary to verify the identity of individual
employees, affirm the identity of each employee to the medical facility
personnel.
Consistent with the policy of the collection facility,
monitor the progress of the collection procedure.
Warning: Monitor but do not directly observe urination or otherwise
disturb the privacy of urine or blood collection. Do not handle sample
containers, bottles or tubes (empty or full). Do not become part of the
collection process.

2.12 Employee Responsibility.

An employee who is identified for post-accident toxicological
testing shall cooperate in testing as required by the railroad and
personnel of the independent medical facility. Such cooperation will
normally consist of the following, to be performed as requested:
Provide a blood sample, which a qualified medical
professional or technician will draw using a single-use sterile syringe.
The employee should be seated for this procedure.
Provide, in the privacy of an enclosure, a urine sample
into a plastic collection cup. Deliver the cup to the collector.
Do not let the blood and urine samples that you provided
leave your sight until they have been properly sealed and initialed by
you.
Certify the statement in Step 4 of the Blood/Urine Custody
and Control Form (FRA Form 6180.74 (revised)).
If required by the medical facility, complete a separate
consent form for taking of the samples and their release to FRA for
analysis under the FRA rule.

Note: The employee may not be required to complete any form that
contains any waiver of rights the employee may have in the employment
relationship or that releases or holds harmless the medical facility
with respect to negligence in the collection.

2.2 The Collection.

Exhibit C-1 contains instructions for collection of samples for
post-accident toxicology from surviving employees. These instructions
shall be observed for each collection. Instructions are also contained
in each post-accident shipping box and shall be provided to collection
facility personnel involved in the collection and/or packaging of
samples for shipment.

(Post Mortem Collection)

3.0 Fatality.

This unit provides procedures for collecting post-accident body
fluid/tissue samples from the remains of employees killed in train
accidents and train incidents, as required by 49 CFR part 219, subpart
C. Subpart C specifies qualifying events and employees required to be
tested.

3.1 Collection.

In the event of a fatality for which testing is required under
subpart C, the railroad shall promptly make available to the custodian
of the remains a post-accident shipping box. The railroad representative
shall request the custodian to review the instructions contained in the
shipping box and, through qualified medical personnel, to provide the
samples as indicated.

(Surviving Employees and Fatalities)

4.0 Shipment.

The railroad is responsible for arranging overnight transportation
of the sealed shipping box containing the samples. When possible without
incurring delay, the box should be delivered directly from the
collection personnel providing the samples to an overnight express
service courier. If it becomes necessary for the railroad to transport
the box

[[Page 177]]

from point of collection to point of shipment, then--
1. Individual kits and the shipping box shall be sealed by
collection personnel before the box is turned over to the railroad
representative;
2. The railroad shall limit the number of persons handling the
shipping box to the minimum necessary to provide for transportation;
3. If the shipping box cannot immediately be delivered to the
express carrier for transportation, it shall be maintained in secure
temporary storage; and
4. The railroad representatives handling the box shall document
chain of custody of the shipping box and shall make available such
documentation to FRA on request.

Exhibit C-1--Instructions for Collection of Blood and Urine Samples:
Mandatory Post-Accident Toxicological Testing

A. Purpose

These instructions are for the use of personnel of collection
facilities conducting collection of blood and urine samples from
surviving railroad employees following railroad accidents and casualties
that qualify for mandatory alcohol/drug testing. The Federal Railroad
Administration appreciates the participation of medical facilities in
this important public safety program.

B. Prepare for Collection

Railroad employees have consented to provision of samples for
analysis by the Federal Railroad Administration as a condition of
employment (49 CFR 219.11). A private, controlled area should be
designated for collection of samples and completion of paperwork.
Only one sample should be collected at a time, with each employee's
blood draw or urine collection having the complete attention of the
collector until the specific sample has been labeled, sealed and
documented.
Please remember two critical rules for the collections:
All labeling and sealing must be done in the sight of the donor,
with the sample never having left the donor's presence until the sample
has been labeled, sealed and initialled by the donor.
Continuous custody and control of blood and urine samples must be
maintained and documented on the forms provided. In order to do this it
is important for the paperwork and the samples to stay together.
To the extent practical, blood collection should take priority over
urine collection. To limit steps in the chain of custody, it is best if
a single collector handles both collections from a given employee.
You will use a single Post-Accident Testing Blood/Urine Custody and
Control Form (FRA Form 6108.74 (revised)), consisting of six Steps to
complete the collection for each employee. We will refer to it as the
Control Form.

C. Identify the Donor

The employee donor must provide photo identification to each
collector, or lacking this, be identified by the railroad
representative.
The donor should remove all unnecessary outer garments such as coats
or jackets, but may retain valuables, including wallet. Donors should
not be asked to disrobe, unless necessary for a separate physical
examination required by the attending physician.

D. Draw Blood

Assemble the materials for collecting blood from each employee: two
10 ml grey-stoppered blood tubes and the Control Form.
Ask the donor to complete STEP 1 on the Control Form.
With the donor seated, draw two (2) 10 ml tubes of blood using
standard medical procedures (sterile, single-use syringe into evacuated
gray-top tubes provided). CAUTION: Do not use alcohol or an alcohol-
based swab to cleanse the venipuncture site.
Once both tubes are filled and the site of venipuncture is
protected, immediately--
Seal and label each tube by placing a numbered blood sample
label from the label set on the Control Form over the top of the tube
and securing it down the sides.
Ask the donor to initial each label. Please check to see
that the initials match the employee's name and note any discrepancies
in the ``Remarks'' block of the Control Form.
As collector, sign and date each blood tube label at the
place provided.
Skip to STEP 5 and initiate chain of custody for the blood
tubes by filling out the first line of the block to show receipt of the
blood samples from the donor.
Complete STEP 2 on the form.
Return the blood tubes into the individual kit. Keep the
paperwork and samples together. If another collector will be collecting
the urine sample from this employee, transfer both the form and the
individual kit with blood tubes to that person, showing the transfer of
the blood tubes on the second line of STEP 5 (the chain of custody
block).

E. Collect Urine

The urine collector should assemble at his/her station the materials
for collecting urine from each employee: one plastic collection cup with
temperature device affixed enclosed in a heat-seal bag (with protective
seal intact), two 90 ml urine sample bottles with caps and one biohazard
bag (with absorbent) also enclosed in a heat-seal bag (with protective
seal intact), and the Control Form.

[[Page 178]]

Blood samples already collected must remain in the collector's custody
and control during this procedure.
After requiring the employee to wash his/her hands, the collector
should escort the employee directly to the urine collection area. To the
extent practical, all sources of water in the collection area should be
secured and a bluing agent (provided in the box) placed in any toilet
bowl, tank, or other standing water.
The employee will be provided a private place in which to void.
Urination will not be directly observed. If the enclosure contains a
source of running water that cannot be secured or any material (soap,
etc.) that could be used to adulterate the sample, the collector should
monitor the provision of the sample from outside the enclosure. Any
unusual behavior or appearance should be noted in the remarks section of
the Control Form or on the back of that form.
The collector should then proceed as follows:
Unwrap the collection cup in the employee's presence and hand it to
the employee (or allow the employee to unwrap it).
Ask the employee to void at least 60 ml into the collection cup (at
least to the line marked). Leave the private enclosure.

IF THERE IS A PROBLEM WITH URINATION OR SAMPLE QUANTITY, SEE THE
``TROUBLE BOX'' AT THE BACK OF THESE INSTRUCTIONS

Once the void is complete, the employee should exit the private
enclosure and deliver the sample to the collector. Both the collector
and the employee must proceed immediately to the labeling/sealing area,
with the sample never leaving the sight of the employee before being
sealed and labeled.
Upon receipt of the sample, proceed as follows:
In the full view of the employee, remove the wrapper from
the two urine sample bottles. Transfer the urine from the collection cup
into the sample bottles (at least 30 ml in bottle A and at least 15 ml
in bottle B).
As you pour the sample into the sample bottles, please
inspect for any unusual signs indicating possible adulteration or
dilution. Carefully secure the tops. Note any unusual signs under
``remarks'' at STEP 3 of the Control Form.
Within 4 minutes after the void, measure the temperature of
the urine by reading the strip on the bottle. Mark the result at STEP 3
of the Control Form.

IF THERE IS A PROBLEM WITH THE URINE SAMPLE, SEE THE TROUBLE BOX AT THE
BACK OF THESE INSTRUCTIONS

Remove the urine bottle labels from the Control Form. The
labels are marked A and B. Place each label as marked over the top of
its corresponding bottle, and secure the label to the sides of the
bottle.
Ask the donor to initial each label. Please check to see
that the initials match the employee name and note any discrepancy in
the ``Remarks'' block of STEP 3.
As collector, sign and date each urine label.
Skip to STEP 5 and initiate chain-of-custody by showing
receipt of the urine samples from the donor. (If you collected the
blood, a check under ``urine'' will suffice. If someone else collected
the blood, first make sure transfer of the blood to you is documented.
Then, using the next available line, show ``Provide samples'' under
purpose, ``Donor'' under ``released by,'' check under ``urine'' and
place your name, signature and date in the space provided.)
Complete the remainder of STEP 3 on the Control Form.
Have the employee complete STEP 4 on the Control Form.
Place the filled urine bottles in the individual employee
kit. Keep the paperwork and samples together. If another collector will
be collecting the blood sample from this employee, transfer both the
form and the kit to that person, showing the transfer of the urine
samples on the next available line of STEP 5 (the chain of custody
block).

F. Seal the Individual Employee Kit

The blood and urine samples have now been collected for this
employee. The blood/urine samples will now be sealed into the individual
employee kit, while all paperwork will be retained for further
completion. After rechecking to see that each sample is properly labeled
and initialled, close the plastic bag to contain any leakage in
transportation, and apply the kit security seal to the small individual
kit. As collector, sign and date the kit seal.
Before collecting samples from the next employee, complete the next
line on the chain-of-custody block showing release of the blood and
urine by yourself for the purpose of ``Shipment'' and receipt by the
courier service or railroad representative that will provide
transportation of the box, together with the date.

G. Complete Treatment Information

Complete STEP 6 of the Control Form. Mark the box if a breath
alcohol test was conducted under FRA authority.

H. Prepare the Box for Shipment

Sealed individual employee kits should be retained in secure storage
if there will be a delay in preparation of the shipping box. The
shipping box shall be prepared and sealed by a collection facility
representative as follows:

[[Page 179]]

Inspect STEP 5 of each Control Form to ensure chain-of-
custody is continuous and complete for each fluid (showing samples
released for shipment). Retain the medical facility copy of each Control
Form and the Accident Information form for your records.
Place sealed individual employee kits in the shipping box.
Place all forms in zip-lock bag and seal securely. Place bag with forms
and unused supplies in shipping box.
Affix the mailing label provided to the outside of the
shipping box.

I. Ship the Box

The railroad must arrange to have the box shipped overnight air
express or (if express service is unavailable) by air freight, prepaid,
to FRA's designated laboratory. Whenever possible without incurring
delay, the collector should deliver the box directly into the hands of
the express courier or air freight representative.
Where courier pickup is not immediately available at the collection
facility where the samples are taken, the railroad is required to
transport the shipping box for expeditious shipment by air express, air
freight or equivalent means.
If the railroad is given custody of the box to arrange shipment,
please record the name of the railroad official taking custody on the
copy of Form 6180.73 retained by the collection site.

``TROUBLE BOX''

1. Problem: The employee claims an inability to urinate, either
because he/she has recently voided or because of anxiety concerning the
collection.
Action: The employee may be offered moderate quantities of liquid to
assist urination. If the employee continues to claim inability after 4
hours, the urine collection should be discontinued, but the blood
samples should be forwarded and all other procedures followed. Please
note in area provided for remarks what explanation was provided by the
employee.
2. Problem: The employee cannot provide approximately 60 ml. of
sample.
Action: The employee should remain at the collection facility until
as much as possible of the required amount can be given (up to 4 hours).
The employee should be offered moderate quantities of liquids to aid
urination. The first bottle, if it contains any quantity of urine,
should be sealed and securely stored with the blood tubes and Control
Form pending shipment. A second bottle should then be used for the
subsequent void (using a second Control Form with the words ``SECOND
VOID--FIRST SAMPLE INSUFFICIENT'' in the remarks block and labels from
that form). However, if after 4 hours the donor's second void is also
insufficient or contains no more than the first insufficient void,
discard the second void and send the first void to the laboratory.
3. Problem: The urine temperature is outside the normal range of
32 deg.-38 deg.C/90 deg.-100 deg.F, and a suitable medical explanation
cannot be provided by an oral temperature or other means; or
4. Problem: The collector observes conduct clearly and unequivocally
indicating an attempt to substitute or adulterate the sample (e.g.,
substitute urine in plain view, blue dye in sample presented, etc.) and
a collection site supervisor or the railroad representative agrees that
the circumstances indicate an attempt to tamper with the sample.
Action (for either Problem No. 3 or Problem No. 4): Document the
problem on the Control Form. If the collection site supervisor or
railroad representative concur that the temperature of the sample, or
other clear and unequivocal evidence, indicates a possible attempt to
substitute or alter the sample, another void must be taken under direct
observation by a collector of the same gender.
If a collector of the same sex is not available, do NOT proceed with
this step.
If a collector of the same gender is available, proceed as follows:
A new Control Form must be initiated for the second void. The original
suspect sample should be marked ``Void 1'' and the follow-up void should
be marked ``Void 2,'' with both voids being sent to the laboratory and
the incident clearly detailed on the Control Form.

Exhibit C-2--Instructions for Collection of Post Mortem Samples:
Employee Killed in a Railroad Accident/Incident

To the Medical Examiner, Coroner, or Pathologist:
In compliance with Federal safety regulations (49 CFR part 219), a
railroad representative has requested that you obtain samples for
toxicology from the remains of a railroad employee who was killed in a
railroad accident or incident. The deceased consented to the taking of
such samples, as a matter of Federal law, by performing service on the
railroad (49 CFR 219.11(f)).
Your assistance is requested in carrying out this program of
testing, which is important to the protection of the public safety and
the safety of those who work on the railroads.

Materials:

The railroad will provide you a post-accident shipping box that
contains necessary supplies. If the box is not immediately available,
please proceed using supplies available to you that are suitable for
forensic toxicology.

[[Page 180]]

Samples requested, in order of preference:

(1) Blood--20 milliliters or more. Preferred sites: intact femoral
vein or artery or peripheral vessels (up to 10 ml, as available) and
intact heart (20 ml). Deposit blood in gray-stopper tubes individually
by site and shake to mix sample and preservative.

Note: If uncontaminated blood is not available, bloody fluid or
clots from body cavity may be useful for qualitative purposes; but do
not label as blood. Please indicate source and identity of sample on
label of tube.

(2) Urine--as much as 100 milliliters, if available. Deposit into
plastic bottles provided.
(3) Vitreous fluid--all available, deposited into smallest available
tube (e.g., 3 ml) with 1% sodium fluoride, or gray-stopper tube
(provided). Shake to mix sample and preservative.
(4) If available at autopsy, organs--50 to 100 grams each of two or
more of the following in order preference, as available: liver, bile,
brain, kidney, spleen, and/or lung. Samples should be individually
deposited into zip-lock bags or other clean, single use containers
suitable for forensic samples.
(5) If vitreous or urine is not available, please provide--
a. Spinal fluid--all available, in 8 ml container (if available)
with sodium fluoride or in gray-stopper tube; or, if spinal fluid cannot
be obtained,
b. Gastric content--up to 100 milliliters, as available, into
plastic bottle.

Sample collection:

Sampling at time of autopsy is preferred so that percutaneous needle
puncturing is not necessary. However, if autopsy will not be conducted
or is delayed, please proceed with sampling.
Blood samples should be taken by sterile syringe and deposited
directly into evacuated tube, if possible, to avoid contamination of
sample or dissipation of volatiles (ethyl alcohol).

Note: If only cavity fluid is available, please open cavity to
collect sample. Note condition of cavity.

Please use smallest tubes available to accommodate available
quantity of fluid sample (with 1% sodium fluoride).

Sample identification, sealing:

As each sample is collected, seal each blood tube and each urine
bottle using the respective blood tube or urine bottle using the
identifier labels from the set provided with the Post Accident Testing
Blood/Urine Custody and Control Form (FRA Form 6180.74 (revised)). Make
sure the unique identification number on the labels match the pre-
printed number on the Control Form. Please label other samples with name
and sample set identification numbers. You can use labels and seals from
any of the extra forms, but annotate them accordingly.
Annotate each label with sample description and source (as
appropriate) (e.g., blood, femoral vein).
Please provide copy of any written documentation regarding condition
of body and/or sampling procedure that is available at the time samples
are shipped.

Handling:

If samples cannot be shipped immediately as provided below, samples
other than blood may be immediately frozen. Blood samples should be
refrigerated, but not frozen.
All samples and documentation should be secured from unauthorized
access pending delivery for transportation.

Information:

If the railroad has not already done so, please place the name of
the subject at the top of the Control Form (STEP 1). You are requested
to complete STEP 2 of the form, annotating it by writing the word
``FATALITY,'' listing the samples provided, providing any further
information under ``Remarks'' or at the bottom of the form. If it is
necessary to transfer custody of the samples from the person taking the
samples prior to preparing the box for shipment, please use the blocks
provided in STEP 5 to document transfer of custody.
The railroad representative will also provide Accident Information
Required for Post-Accident Toxicological Testing, FRA Form 6180.73
(revised). Both forms should be placed in the shipping box when
completed; but you may retain the designated medical facility copy of
each form for your records.

Packing the shipping box:

Place urine bottles and blood tubes in the sponge liner in the
individual kit, close the biohazard bag zipper, close the kit and apply
the kit custody seal to the kit. You may use additional kits for each
tissue sample, being careful to identify sample by tissue, name of
deceased, and specimen set identification number. Apply kit security
seals to individual kits and initial across all seals.
Place all forms in the zip-lock bag and seal securely. Place the bag
in the shipping box. Do not put forms in with the specimens.
Seal the shipping box with the seal provided and initial and date
across the seal.
Affix the mailing label to the outside of the box.

Shipping the box:

The railroad must arrange to have the box shipped overnight air
express or (if express service is unavailable) by air freight, prepaid,
to FRA's designated laboratory. When

[[Page 181]]

possible, but without incurring delay, deliver the sealed shipping box
directly to the express courier or the air freight representative.
If courier pickup is not immediately available at your facility, the
railroad is required to transport the sealed shipping box to the nearest
point of shipment via air express, air freight or equivalent means.
If the railroad receives the sealed shipping box to arrange
shipment, please record under ``Supplemental Information'' on the
Control Form, the name of the railroad official taking custody.

Other:

FRA requests that the person taking the samples annotate the Control
Form under ``Supplemental Information'' if additional toxicological
analysis will be undertaken with respect to the fatality. FRA reports
are available to the coroner or medical examiner on request.

[60 FR 19539, Apr. 19, 1995]

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[58 FR 68237, Dec. 23, 1993]

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Appendix D1 to Part 219--[Reserved]
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[59 FR 7477, Feb. 15, 1994]

PART 220--RADIO STANDARDS AND PROCEDURES--Table of Contents

Subpart A--General

Sec.
220.1 Scope.
220.3 Application.
220.5 Definitions.
220.7 Penalty.

Subpart B--Radio Procedures

220.21 Railroad operating rules; radio communications; recordkeeping.
220.23 Publication of radio information.
220.25 Instruction of employees.

[[Page 212]]

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.

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: 49 U.S.C. 20103, 20107, 20111, 20112, 21301, 21304, 21311
(1994) (formerly codified at 45 U.S.C. 431, 437, 438); Pub. L. 103-272
(1994); and 49 CFR 1.49(m).

Source: 42 FR 5065, Jan. 27, 1977, unless otherwise noted.

Subpart A--General

Sec. 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.

Sec. 220.3 Application.

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

[42 FR 5065, Jan. 27, 1977, as amended at 53 FR 28600, July 28, 1988]

Sec. 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.
(d) Division headquarters means the location designated by the
railroad where a high-level operating manager (e.g., a superintendent,
division manager, or equivalent), who has jurisdiction over a portion of
the railroad, has an office.
(e) System headquarters means the location designated by the
railroad as the general office for the railroad system.

[42 FR 5065, Jan. 27, 1977, as amended at 59 FR 43071, Aug. 22, 1994]

Sec. 220.7 Penalty.

[53 FR 28600, July 28, 1988, as amended at 53 FR 52930, Dec. 29, 1988]

[[Page 213]]

Subpart B--Radio Procedures

Sec. 220.21 Railroad operating rules; radio communications; recordkeeping.

(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) On or after November 21, 1994, or 30 days before commencing to
use radio communications in connection with railroad operations,
whichever is later, each railroad shall retain one copy of its current
operating rules with respect to radio communications, and of each
amendment to these rules, at the locations prescribed in paragraphs (b)
(1) and (2) of this section. These records shall be made available to
representatives of the Federal Railroad Administration for inspection
and copying during normal business hours.
(1) Each Class I railroad, each Class II railroad, the National
Railroad Passenger Corporation, and each railroad providing commuter
service in a metropolitan or suburban area shall retain such rules at
each of its division headquarters and at the system headquarters of the
railroad; and
(2) Each Class III railroad and any other railroad subject to this
part but not subject to paragraph (b)(1) of this section shall retain
such rules at the system headquarters of the railroad.

[42 FR 5065, Jan. 27, 1977, as amended at 59 FR 43072, Aug. 22, 1994]

Sec. 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.

Sec. 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 Sec. 217.11 of this chapter.

Sec. 220.27 Identification.

(a) Except as provided in paragraph (c) of this section, the
identification of each wayside, base or yard station shall include at
least the following minimum elements, stated in the order listed:
(1) Name of railroad. An abbreviated name or initial letters of the
railroad may be used where the name or initials are in general usage and
are understood in the railroad industry;
(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''.

Sec. 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.

[[Page 214]]

(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.)

Sec. 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
Sec. 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 station acknowledging his transmission fails to identify itself
properly, the employee shall require a proper identification before
proceeding with the transmission.

Sec. 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 Sec. 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.

Sec. 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.

Sec. 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.

Sec. 220.39 Continuous monitoring.

Engine and caboose radios must be turned on to the appropriate
channel as designated in Sec. 220.23 with the volume adjusted to receive
communications while the engine or caboose is manned.

Sec. 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.

[[Page 215]]

Sec. 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.

Sec. 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.

Sec. 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.

Sec. 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.

Sec. 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.

Subpart C--Train Orders

Sec. 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

[[Page 216]]

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]

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''.

Appendix B to Part 220--Recommended Pronunciation of Numerals

To distinguish numbers from similar sounding words, the word
``figures'' should be used preceding such numbers. Numbers should be
pronounced as follows:

------------------------------------------------------------------------
Number Spoken
------------------------------------------------------------------------
0......................................... 0
1......................................... WUN
2......................................... TOO
3......................................... THUH-REE-
4......................................... FO-WER
5......................................... FI-YIV
6......................................... SIX
7......................................... SEVEN
8......................................... ATE
9......................................... NINER
------------------------------------------------------------------------

(The figure ZERO should be written as ``0'' to distinguish it from
the letter ``O''. The figure ONE should be underlined to distinguish it
from the letter ``I''. When railroad rules require that numbers be
spelled, these principles do not apply.)
The following examples illustrate the recommended pronunciation of
numerals:

------------------------------------------------------------------------
Number Spoken
------------------------------------------------------------------------
44..................................... FO-WER FO-WER
500.................................... FI-YIV HUNDRED
1000................................... WUN THOUSAND
1600................................... WUN SIX THOUSAND
14899.................................. WUN FO-WER ATE NINER NINER
20.3................................... TOO ZERO DECIMAL THUH-REE
------------------------------------------------------------------------

Appendix C to Part 220--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
220.21 Railroad Operating rules; radio
communications:
(a)....................................... $5,000 $7,500
(b)....................................... 2,500 5,000
220.23 Publication of radio information...... 2,500 5,000
220.25 Instruction of employees.............. 5,000 7,500
220.27 Identification........................ 1,000 2,000
220.29 Statement of letters and numbers...... 1,000 2,000
220.31 Initiating a transmission............. 1,000 2,000
220.33 Receiving a transmission.............. 1,000 2,000
220.35 Ending a transmission................. 1,000 2,000
220.37 Voice test............................ 5,000 7,500
220.39 Continuous monitoring................. 2,500 5,000
220.41 Notification on failure of train radio 2,500 5,000
220.43 Communication consistent with the
rules........................................ 2,500 5,000
220.45 Complete communications............... 2,500 5,000
220.47 Emergencies........................... 2,500 5,000
220.49 Switching, backing or pushing......... 5,000 7,500

[[Page 217]]

220.51 Signal indications.................... 5,000 7,500
220.61 Transmission of train orders by radio. 5,000 7,500
------------------------------------------------------------------------
\1\ A penalty may be assessed against and only for a willful violation.
The Administrator reserves the right to assess a penalty of up to
$20,000 for any violation where circumstances warrant. See 49 CFR part
209, appendix A.

[53 FR 52930, Dec. 29, 1988]

PART 221--REAR END MARKING DEVICE--PASSENGER, COMMUTER AND FREIGHT TRAINS--Table of Contents

Subpart A--General

Sec.
221.1 Scope
221.3 Application.
221.5 Definitions.
221.7 Civil penalty
221.9 Waivers.
221.11 State regulation.

Subpart B--Marking Devices

221.13 Marking device display.
221.14 Marking devices.
221.15 Marking device inspection.
221.16 Inspection procedure.
221.17 Movement of defective equipment.

Appendix A to Part 221--Procedures for Approval of Rear End Marking
Devices
Appendix B to Part 221--Approved Rear End Marking Devices
Appendix C to Part 221--Schedule of Civil Penalties

Authority: 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.

Subpart A--General

Sec. 221.1 Scope.

This part prescribes minimum requirements governing highly visible
marking devices for the trailing end of the rear car of all passenger,
commuter and freight trains. So long as these minimum requirements are
met, railroads may adopt additional or more stringent requirements for
rear end marking devices.

Sec. 221.3 Application.

(a) Except as provided in paragraph (b) of this section, this part
applies to passenger, commuter and freight trains when operated on a
standard gage main track which is part of the general railroad system of
transportation.
(b) This part does not apply to:
(1) A railroad that operates only trains consisting of historical or
antiquated equipment for excursion, educational, or recreational
purposes;
(2) A train that operates only on track inside an installation which
is not part of the general railroad system of transportation;
(3) Rapid transit operations in an urban area that are not connected
with the general railroad system of transportation.
(4) A railroad that operates only one train at any given time.

[42 FR 2321, Jan. 11, 1977, as amended at 53 FR 28600, July 28, 1988]

Sec. 221.5 Definitions.

As used in this part:
(a) Train means a locomotive unit or locomotive units coupled, with
or without cars, involved in a railroad operation conducted on a main
track. It does not include yard movements.
(b) Commuter train means a short haul passenger train operating on
track which is part of the general railroad system of transportation,
within an urban, suburban or metropolitan area. It includes a passenger
train provided by an instrumentality of a State or political subdivision
thereof.
(c) Locomotive means a self-propelled unit of equipment designed for
moving other equipment in revenue service and includes a self-propelled
unit designed to carry freight or passenger traffic, or both.
(d) Main track means a track, other than an auxiliary track,
extending through yards or between stations, upon which trains are
operated by timetable or train order or both, or the use of which is
governed by a signal system.
(e) Train order means mandatory directives issued as authority for
the conduct of a railroad operation outside of yard limits.

[[Page 218]]

(f) Red-orange-amber color range means those colors defined by
chromaticity coordinates, as expressed in terms of the International
Commission on Illumination's 1931 Colormetric System, which lie within
the region bounded by the spectrum locus and lines defined by the
following equations:

X+Y=.97 (white boundary)

Y=X--.12 (green boundary)

(g) Administrator means the Federal Railroad Administrator, the
Deputy Administrator, or any official of the Federal Railroad
Administration to whom the Administrator has delegated his authority
under this part.
(h) Effective intensity means that intensity of a light in candela
as defined by the Illuminating Engineering Society's Guide for
Calculating the Effective Intensity of Flashing Signal Lights, November,
1964.
(i) Qualified person means any person who has the skill to perform
the task and has received adequate instruction.

[42 FR 2321, Jan. 11, 1977; 42 FR 3843, Jan. 21, 1977, as amended at 51
FR 25185, July 10, 1986]

Sec. 221.7 Civil penalty.

[53 FR 28600, July 28, 1988, as amended at 53 FR 52930, Dec. 29, 1988]

Sec. 221.9 Waivers.

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

Sec. 221.11 State regulation.

Notwithstanding the provisions of this part, a State may continue in
force any law, rule, regulation, order, or standard that was in effect
on July 8, 1976, relating to lighted marking devices on the rear car of
freight trains except to the extent that such law, rule, regulation,
order, or standard would cause such cars to be in violation of this
part.

Subpart B--Marking Devices

Sec. 221.13 Marking device display.

(a) During the periods prescribed in paragraph (b) of this section,
each train to which this part applies that occupies or operates on main
track shall (1) be equipped with, (2) display on the trailing end of the
rear car of that train, and (3) continuously illuminate or flash a
marking device prescribed in this subpart.
(b) Unless equipped with a functioning photoelectric cell activation
mechanism complying with paragraph (c) of this section, the marking
devices prescribed by this subpart shall be illuminated continuously or
flash during the period between one hour before sunset and one hour
after sunrise, and during all other hours when weather conditions so
restrict visibility that the end silhouette of a standard box car cannot
be seen from \1/2\ mile on tangent track by a person having 20/20
corrected vision.
(c) Marking devices prescribed by this part and equipped with a
functioning photoelectric cell activation mechanism shall illuminate or
flash the device continuously when there is less than 1.0 candela per
square meter of ambient light.

[[Page 219]]

(d) The centroid of the marking device must be located at a minimum
of 48 inches above the top of the rail.

[51 FR 25185, July 10, 1986]

Sec. 221.14 Marking devices.

(a) As prescribed in Sec. 221.13, passenger, commuter and freight
trains shall be equipped with at least one marking device, which has
been approved by the Federal Railroad Adminstrator in accordance with
the procedures included in appendix A of this part, and which has the
following characteristics:
(1) An intensity of not less than 100 candela nor more than 1000
candela (or an effective intensity of not less than 100 candela nor more
than 1000 candela for flashing lights) as measured at the center of the
beam width;
(2) A horizontal beam with a minimum arc width of fifteen (15)
degrees each side of the vertical center line, and a vertical beam with
a minimum arc width of five (5) degrees each side of the horizontal
center line as defined in terms of the 50 candela intensity points;
(3) A color defined by the red-orange-amber color range; and
(4) If a flashing light is used, a flash rate of not less than once
every 1.3 seconds nor more than once every .7 seconds.
(b) Marking devices used on passenger and commuter trains in
compliance with paragraph (a) of this section shall be lighted under the
conditions prescribed in Sec. 221.13 (b) and (c).
(c) When a locomotive is operated singly, or at the rear of a train,
highly visible marking devices may be provided by the use of:
(1) At least one marking device that complies with paragraph (a) of
this section; or
(2) At least one illuminated red or amber classification light on
the rear of the locomotive, provided it complies with paragraph (a) of
this section; or
(3) The rear headlight of the locomotive illuminated on low beam.

[51 FR 25185, July 10, 1986]

Sec. 221.15 Marking device inspection.

(a) Each marking device displayed in compliance with this part shall
be examined at each crew change point to assure that the device is in
proper operating condition.
(b) This examination shall be accomplished either by visually
observing that the device is functioning as required or that the device
will function when required by either (1) repositioning the activation
switch or (2) covering the photoelectric cell.
(c) This examination shall be conducted either by the train crew or
some other qualified person, Provided that, if a non-train crewmember
performs the examination, that person shall communicate his or her
findings to the locomotive engineer of the new train crew.
(d) When equipped with a radio telemetry capability, a marker
displayed in accordance with this part may be examined by observing the
readout information displayed in the cab of the controlling locomotive
demonstrating that the light is functioning as required in lieu of
conducting a visual observation.

[51 FR 25185, July 10, 1986]

Sec. 221.16 Inspection procedure.

(a) Prior to operating the activation switch or covering the
photoelectric cell when conducting this test, a non-train crew person
shall determine that he is being protected against the unexpected
movement of the train either under the procedures established in part
218 of this chapter or under the provisions of paragraph (b) of this
section.
(b) In order to establish the alternative means of protection under
this section, (1) the train to be inspected shall be standing on a main
track; (2) the inspection task shall be limited to ascertaining that the
marker is in proper operating condition; and (3) prior to performing the
inspection procedure, the inspector shall personally contact the
locomotive engineer or hostler and be advised by that person that they
are occupying the cab of the controlling locomotive and that the train
is and will remain secure against movement until the inspection has been
completed.

[51 FR 25185, July 10, 1986]

[[Page 220]]

Sec. 221.17 Movement of defective equipment.

(a) Whenever the marking device prescribed in this part becomes
inoperative enroute, the train may be moved to the next forward location
where the marking device can be repaired or replaced.
(b) Defective rolling equipment which, because of the nature of the
defect, can be placed only at the rear of a train for movement to the
next forward location at which repairs can be made need not be equipped
with marking devices prescribed in this part.
(c) When a portion of a train has derailed, and a portable marking
device is not available, the remainder of the train may be moved to the
nearest terminal without being equipped with the marking device
prescribed in this part.

Appendix A to Part 221--Procedures for Approval of Rear End Marking
Devices

As provided in Sec. 221.15 of this part, marking devices must be
approved by the Administrator, Approval shall be issued in accordance
with the following procedures:
(a) Each submission for approval of a marking device consisting of
lighted elements only shall contain the following information:
(1) A detailed description of the device including the type,
luminance description, size of lens, manufacturer and catalog number,
lamp manufacturer, lamp type and model number, and any auxiliary optics
used.
(2) A certification, signed by the chief operating officer of the
railroad, that--
(i) The device described in the submission has been tested in
accordance with the current ``Guidelines for Testing of FRA Rear End
Marking Devices,'' copies of which may be obtained from the Office of
Safety, Federal Railroad Administration, 2100 Second Street SW.,
Washington, DC 20590;
(ii) The results of the tests performed under paragraph (i) of this
subsection demonstrate marking device performance in compliance with the
standard perscribed in 49 CFR 221.15;
(iii) Detailed test records, including as a minimum the name and
address of the testing organizations, the name of the individual in
charge of the tests, a narrative description of the test procedures, the
number of samples tested, and for each sample tested, the on-axis beam
candela, the beam candela at the ^{plus-minus15 degree points in the
horizontal plane, the beam candela at the ^{plus-minus5 degree points
in the vertical plane, and the chromaticity coordinates, are maintained
by the railroad and are available for inspection by the FRA at a
designated location which is identified in the submission;
(iv) Marking devices of this type installed in the operating
environment shall consist of the same type and model of components as
were used in the samples tested for purposes of this approval
submission.
(3) Unless otherwise qualified, acknowledgement of the receipt of
the submission required by this section shall constitute approval of the
device. The FRA reserves the right to review the test records maintained
by the railroad, or to test independently any device submitted for
approval under these procedures, and to withdraw the approval of such
device at any time, after notice and opportunity for oral comment, if
its performance in the operating environment fails to substantiate the
rest results or to comply with 49 CFR 221.15.
(b)(1) Each submission for approval of a marking device consisting
of non-lighted elements or a combination of lighted and non-lighted
elements shall contain the following information:
(i) A detailed description of the device including the type of
material, the reflectance factor, the size of the device, and the
manufacturer and catalogue number;
(ii) A detailed description of the external litht source including
the intensity throughout its angle of coverage, and the manufacturer and
catalogue number;
(iii) A detailed description of the proposed test procedure to be
used to demonstrate marking device compliance with the standard
prescribed in 49 CFR 221.15, including any detailed mathematical data
reflecting expected performance.
(2) FRA will review the data submitted under subsection (1) of this
section, and in those instances in which compliance with 49 CFR 221.15
appears possible from a theoretical analysis, the FRA will authorize and
may take part in testing to demonstrate such compliance.
(3) Where authorized testing has demonstrated compliance with 49 CFR
221.15, a railroad shall submit a certification, signed by the chief
operating officer of the railroad, that--
(i) The device described in the original submission has been tested
in accordance with the procedures described therein;
(ii) The results of the tests peformed under paragraph (i) of this
subsection demonstrate marking device performance in compliance with the
standard prescribed in 49 CFR 221.15;
(iii) Detailed test records, including as a minimum the name and
address of the testing organization, the name of the individual in
charge of the tests, a narrative description of the test procedure, a
description of the external light source used, the number of samples
tested, and for each sample tested,

[[Page 221]]

the on-axis beam candela, the beam candela at the ^{plus-minus15
degree points in the horizontal plane, the beam candela at the
^{plus-minus15 degree point in the vertical plane, and the
chromaticity coordinates, are maintained by the railroad and are
available for inspection by the FRA at a designated location which is
identified in the submission;
(iv) Marking devices of this type installed in the operating
environment and the external light source used to illuminate them shall
consist of the same type and model of components as were used in the
samples tested for purposes of this approval submission.
(4) Unless otherwise qualified, acknowledgement of the receipt of
the submission required by this subsection shall constitute approval of
the device. The FRA reserves the right to review the test records
maintained by the railroad, or to test independently any device
submitted for approval under these procedures, and to disapprove the use
of such device at any time if its performance fails to comply with 49
CFR 221.15.
(c) Whenever a railroad elects to use a marking device which has
been previously approved by the FRA, and is included in the current list
in appendix B to this part, the submission shall contain the following
information:
(1) The marking device model designation as it appears in appendix
B.
(2) A certification, signed by the chief operating officer of the
railroad that--
(i) Marking devices of this type installed in the operating
environment shall consist of the same type and model of components as
were used in the samples tested for the original approval.
(d) Each submission for approval of a marking device shall be filed
in triplicate with the Office of Standards and Procedures, Office of
Safety, Federal Railroad Administration, 2100 Second Street SW.,
Washington, DC 20590.

[42 FR 62004, Dec. 8, 1977]

Appendix B to Part 221--Approved Rear End Marking Devices

part i--approved devices tested for or by manufacturers

1. Manufacturer: Star Headlight & Lantern Co., 168 West Main Street,
Honeoye Falls, NY 14472.
FRA identification Nos. FRA-PLE-STAR-845-F (flasher) and FRA-PLE-
STAR-845-C (steady burn).
2. Manufacturer: Julian A. McDermott Corp., 1639 Stephen Street,
Ridgewood, Long Island, NY 11227.
FRA identification Nos. FRA-MEC-MCD-100-C (steady burn), FRA-MEC-
MCD-100-F (flasher), FRA-MEC-MCD-300-C (steady burn), and FRA-MEC-MCD-
300-F (flasher).
3. Manufacturer: American Electronics, Inc.,^{1 40 Essex Street,
Hackensack, NJ 07601.
---------------------------------------------------------------------------

^{1 Note: Yankee Metal Products Corp. previously produced these
devices.
---------------------------------------------------------------------------

FRA identification Nos. FRA-DRGW-YANK-300 (portable strobe), FRA-WP-
YANK-301R (flashing), FRA-WP-YANK-305R (flashing), and FRA-WP-YANK-306R
(steady burn).

part ii--approved devices tested for or by rail carriers

1. Carrier: Atchison, Topeka & Santa Fe Railway Co., Technical
Research & Development Department, 1001 Northeast Atchison Street,
Topeka, Kans. 66616.
Manufacturer: Trans-Lite, Inc., P.O. Box 70, Milford, Conn. 06460.
FRA identification Nos. FRA-ATSF-TL-875-150, FRA-ATSF-TL-875-60,
FRA-ATSF-TL-875-4412, and FRA-ATSF-TL-200.
2. Carrier: Amtrak--National Railroad Passenger Corporation, 400
North Capitol Street NW., Washington, DC 20001.
Manufacturer: (a) Trans-Lite, Inc., P.O. Box 70, Milford, Conn.
06460.
FRA identification Nos. FRA-ATK-TL-3895-1, FRA-ATK-TL-4491-2, FRA-
ATK-TL-4491-3, and FRA-ATK-TL-FM-4491-1.
Manufacturer: (b) Luminator Division of Gulfton Industries, Inc.,
1200 East Dallas North Parkway, Plano, Tex. 75074.
FRA identification No. FRA-ATK-LUM-0101890-001.
Manufacturer: (c) Whelen Engineering Co., Inc., Deep River, Conn.
06417.
FRA identification No. FRA-ATK-WHE-WERT-12.

[43 FR 36447, Aug. 17, 1978]

Appendix C to Part 221--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
221.13 Marking device display:
(a) device not present, not displayed, or
not properly illuminated................. $5,000 $7,500
(d) device too close to rail.............. 1,000 2,000
221.14 Marking devices: Use of unapproved or
noncomplying device.......................... 2,500 5,000
221.15 Marking device inspection:
(a) Failure to inspect at crew change..... 2,500 5,000
(b), (c) improper inspection.............. 2,500 5,000
221.16 Inspection procedure:
(a) Failure to obtain protection.......... 5,000 7,500
(b) Improper protection................... 2,500 5,000

[[Page 222]]

221.17 Movement of defective equipment....... (\1\) (\1\)
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A. Where the conditions for movement of
defective equipment set forth in Sec. 221.17 of this part are not
met, the movement constitutes a violation of Sec. 221.13 of this
part.

[53 FR 52930, Dec. 29, 1988]

PART 223--SAFETY GLAZING STANDARDS--LOCOMOTIVES, PASSENGER CARS AND CABOOSES--Table of Contents

Subpart A--General

Sec.
223.1 Scope.
223.3 Application.
223.5 Definitions.
223.7 Responsibility.

Subpart B--Specific Requirements

223.9 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).

Subpart A--General

Sec. 223.1 Scope.

This part provides minimum requirements for glazing materials in
order to protect railroad employees and railroad passengers from injury
as a result of objects striking the windows of locomotives, caboose and
passenger cars.

[44 FR 77352, Dec. 31, 1979]

Sec. 223.3 Application.

(a) This part applies to railroads that operate rolling equipment on
standard gauge track that is a part of the general railroad system of
transportation.
(b) This part does not apply to--
(1) Locomotives, cabooses, and passenger cars that operate only on
track inside an installation that is not part of the general railroad
system of transportation;
(2) Rapid transit operations in an urban area that are not connected
with the general railroad system of transportation.
(3) Locomotives, passenger cars and cabooses that are historical or
antiquated equipment and are used only for excursion, educational,
recreational purposes or private transportation purposes.
(4) Locomotives that are used exclusively in designated service as
defined in Sec. 223.5(m).

[44 FR 77352, Dec. 31, 1979, as amended at 53 FR 28600, July 28, 1988]

Sec. 223.5 Definitions.

As used in this part--
(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

[[Page 223]]

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]

Sec. 223.7 Responsibility.

[53 FR 28601, July 28, 1988, as amended at 53 FR 52930, Dec. 29, 1988]

Subpart B--Specific Requirements

Sec. 223.9 Requirements for new or rebuilt equipment.

(a) Locomotives, including yard locomotives, built or rebuilt after
June 30, 1980, must be equipped with certified glazing in all locomotive
cab windows.
(b) Cabooses, including yard cabooses, built or rebuilt after June
30, 1980, must be equipped with certified glazing in all windows.
(c) Passenger cars, including self-propelled passenger cars, built
or rebuilt after June 30, 1980, must be equipped with certified glazing
in all windows and at least four emergency opening windows.

[44 FR 77352, Dec. 31, 1979, as amended at 45 FR 49271, July 24, 1980]

Sec. 223.11 Requirements for existing locomotives.

(a) Locomotives, other than yard locomotives, built or rebuilt prior
to July 1, 1980, which are equipped in the forward and rearward end
facing glazing locations of the locomotive cab windshield with a glazing
material that meets the criteria for either portion of the impact
testing required for a Type I test under the provisions of appendix A of
this part, will not require the installation of certified glazing in the
windshield location except to replace windshield glazing material that
is broken or damaged.

[[Page 224]]

(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]

Sec. 223.13 Requirements for existing cabooses.

(a) Cabooses, other than yard cabooses, built or rebuilt prior to
July 1, 1980, which are equipped in the forward and rearward end facing
glazing locations of the windshield with a glazing material that meets
the criteria for either portion of the impact testing required for a
Type I test under the provisions of appendix A of this part, will not
require the installation of certified glazing in the windshield location
except to replace windshield glazing material that is broken or damaged.
(b) Cabooses, other than yard cabooses, built or rebuilt prior to
July 1, 1980, which are equipped in all side facing glazing locations
with a glazing material that meets the criteria for either portion of
the impact testing required for a Type II test under the provisions of
appendix A of this part, will not require the installation of certified
glazing in the sidefacing glazing locations except to replace sidefacing
glazing material that is broken or damaged.
(c) Except for yard cabooses and cabooses equipped as described in
paragraphs (a) and (b), cabooses built or rebuilt prior to July 1, 1980,
shall be equipped with certified glazing in all windows after June 30,
1984.
(d) Each caboose subject to the provision of paragraph (c) of this
section, which, as a result of an act of vandalism, has a window that is
broken or damaged so that the window fails to permit good visibility
shall be equipped with certified glazing in the following manner:
(1) If the broken window is a part of the windshield, all of the
forward and rearward end facing glazing locations must be replaced with
certified glazing within 30 days of the date of breakage or damage.
(2) If the broken window is a part of the sidefacing window, all of
the sidefacing glazing locations must be replaced with certified glazing
within 30 days of the date of breakage.

(Sec. 209 of the Federal Railroad Safety Act, 94 Stat. 957 (45 U.S.C.
438); Sec. 1.49(m) of the regulations of the Office of the Secretary of
Transportation, 49 CFR 1.49(m))

[44 FR 77352, Dec. 31, 1979, as amended at 48 FR 24083, May 31, 1983; 48
FR 56956, Dec. 27, 1983]

Sec. 223.15 Requirements for existing passenger cars.

(a) Passenger cars built or rebuilt prior to July 1, 1980, which are
equipped in the forward and rearward

[[Page 225]]

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]

Sec. 223.17 Identification of equipped locomotives, passenger cars and cabooses.

Each locomotive, passenger car and caboose that is fully equipped
with glazing materials that meet the requirements of this part shall be
stencilled on an interior wall as follows:

``Fully Equipped FRA Part 223 glazing'' or similar words conveying that
meaning in letters at least \3/8\ inch high.

[45 FR 49271, July 24, 1980]

Appendix A to Part 223--Certification of Glazing Materials

As provided in this part, certified glazing materials installed in
locomotives, passenger cars, or cabooses must be certified by the
glazing manufacturer in accordance with the following procedures:
a. General Requirements
(1) Each manufacturer that provides glazing materials, intended by
the manufacturer for use in achieving compliance with the requirements
of this part, shall certify that each type of glazing material being
supplied for this purpose has been succcessfully tested in accordance
with this appendix and that test verification data is available to a
railroad or to FRA upon request.
(2) The test verification data shall contain all pertinent original
data logs and documentation that the selection of material samples, test
set-ups, test measuring devices, and test procedures were performed by
qualified personnel using recognized and acceptable practices and in
accordance with this appendix.
b. Testing Requirements
(1) The material to be tested (Target Material) shall be a full
scale sample of the largest dimension intended to be produced and
installed.
(2) The Target Material shall be representative of production
material and shall be selected on a documented random choice basis.
(3) The Target Material shall be securely and rigidly attached in a
fixture so that the fixture's own characteristics will not induce test
errors.
(4) The Target Material so selected and attached shall constitute a
Test Specimen.
(5) The Test Specimen will then be equipped with a Witness Plate
that shall be mounted parallel to and at a distance of six inches in
back of the Target Material. The Witness Plate shall have at least an
area which will cover the full map of the Target Material.

[[Page 226]]

(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.

Appendix B to Part 223--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
223.9 New or rebuilt equipment:
(a) Locomotives........................... $2,500 $5,000
(b) Cabooses.............................. 2,500 5,000
(c) Passenger cars........................ 2,500 5,000
223.11(c) Existing locomotives............... 2,500 5,000
(d) repair of window...................... 1,000 2,000
223.13(c) Existing cabooses.................. 2,500 5,000
(d) Repair of window...................... 1,000 2,000
223.15(c) Existing passenger cars............ 2,500 5,000
(d) repair of window...................... 1,000 2,000
223.17 Identification of units............... 500 1,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.

[53 FR 52930, Dec. 29, 1988]

[[Page 227]]

PART 225--RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND INVESTIGATIONS--Table of Contents

Sec.
225.1 Purpose.
225.3 Applicability.
225.5 Definitions.
225.7 Public examination and use of reports.
225.9 Telephonic reports of certain accidents/incidents.
225.11 Reporting of accidents/incidents.
225.12 Rail Equipment Accident/Incident Reports alleging employee human
factor as cause; Employee Human Factor attachment; notice to
employee; employee supplement.
225.13 Late reports.
225.15 Accidents/incidents not to be reported.
225.17 Doubtful cases; alcohol or drug involvement.
225.19 Primary groups of accidents/incidents.
225.21 Forms.
225.23 Joint operations.
225.25 Recordkeeping.
225.27 Retention of records.
225.29 Penalties.
225.31 Investigations.
225.33 Internal Control Plans.
225.35 Access to records and reports.
225.37 Magnetic media transfer and electronic submission.

Appendix A to Part 225--Schedule of Civil Penalties
Appendix B to Part 225--Schedule of Civil Penalties

Authority: 49 U.S.C. 20901, 20102, 322(a), 21302, 21304, formerly
codified at 45 U.S.C. 38, 42, 43, and 43a; 49 U.S.C. 20102-20103, 20107,
20108, 20110, 20131-20143, 21301-21302, 21304, 21311, 24902, formerly
codified at 45 U.S.C. 39, 431, 437, and 438; 49 U.S.C. 103, 49 U.S.C.
20901-20902, 21302, formerly codified at 49 App. U.S.C. 1655(e)(1)(K);
49 CFR 1.49 (c), (g), and (m).

Source: 39 FR 43224, Dec. 11, 1974, unless otherwise noted.

Sec. 225.1 Purpose.

The purpose of this part is to provide the Federal Railroad
Administration with accurate information concerning the hazards and
risks that exist on the Nation's railroads. FRA needs this information
to effectively carry out its regulatory responsibilities under 49 U.S.C.
chapters 201-213. FRA also uses this information for determining
comparative trends of railroad safety and to develop hazard elimination
and risk reduction programs that focus on preventing railroad injuries
and accidents. Issuance of these regulations under the federal railroad
safety laws and regulations preempts States from prescribing accident/
incident reporting requirements. Any State may, however, require
railroads to submit to it copies of accident/incident and injury/illness
reports filed with FRA under this part, for accidents/incidents and
injuries/illnesses which occur in that State.

[61 FR 30967, June 18, 1996]

Effective Date Note: At 61 FR 30967, June 18, 1996, Sec. 225.1 was
revised, effective Jan. 1, 1997. For the convenience of the user, the
superseded text is set forth as follows:
Sec. 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]

Sec. 225.3 Applicability.

This part applies to all railroads except--
(a) A railroad that operates freight trains only on track inside an
installation which is not part of the general railroad system of
transportation or that owns no track except for track that is inside an
installation that is not part of the general railroad system of
transportation and used for freight operations.
(b) Rail mass transit operations in an urban area that are not
connected with the general railroad system of transportation.

[[Page 228]]

(c) A railroad that exclusively hauls passengers inside an
installation that is insular or that owns no track except for track used
exclusively for the hauling of passengers inside an installation that is
insular. An operation is not considered insular if one or more of the
following exists on its line:
(1) A public highway-rail grade crossing that is in use;
(2) An at-grade rail crossing that is in use;
(3) A bridge over a public road or waters used for commercial
navigation; or
(4) A common corridor with a railroad, i.e., its operations are
within 30 feet of those of any railroad.

[61 FR 30967, June 18, 1996]

Effective Date Note: At 61 FR 30967, June 18, 1996, Sec. 225.3 was
revised, effective Jan. 1, 1997. For the convenience of the user, the
superseded text is set forth as follows:
Sec. 225.3 Applicability.
This part applies to all railroads except those railroads whose
entire operations are confined within an industrial installation.

Sec. 225.5 Definitions.

As used in this part--
Accident/incident means:
(1) Any impact between railroad on-track equipment and an
automobile, bus, truck, motorcycle, bicycle, farm vehicle or pedestrian
at a highway-rail grade crossing;
(2) Any collision, derailment, fire, explosion, act of God, or other
event involving operation of railroad on-track equipment (standing or
moving) that results in reportable damages greater than the current
reporting threshold to railroad on-track equipment, signals, track,
track structures, and roadbed;
(3) Any event arising from the operation of a railroad which results
in:
(i) Death to any person;
(ii) Injury to any person that requires medical treatment;
(iii) Injury to a railroad employee that results in:
(A) A day away from work;
(B) Restricted work activity or job transfer; or
(C) Loss of consciousness; or
(4) Occupational illness of a railroad employee.
Accountable injury or illness means any condition, not otherwise
reportable, of a railroad worker that is associated with an event,
exposure, or activity in the work environment that causes or requires
the worker to be examined or treated by a qualified health care
professional. Such treatment would usually occur at a location other
than the work environment; however, it may be provided at any location,
including the work site.
Accountable rail equipment accident/incident means any event not
otherwise reportable, involving the operation of on-track equipment that
causes physical damage to either the on-track equipment or the track
upon which such equipment was operated and that requires the removal or
repair of rail equipment from the track before any rail operations over
the track can continue. An accountable rail equipment accident/incident,
if not tended to, thus would disrupt railroad service. Examples of
``disruption of service'' would include: loss of main track; one or more
derailed wheels; any train failing to arrive or depart at its scheduled
time; one or more cars or locomotives taken out of service; or rerouting
trains due to a damaged car or locomotive.
Arising from the operation of a railroad includes all activities of
a railroad that are related to the performance of its rail
transportation business.
Day away from work is any day subsequent to the day of the injury or
diagnosis of occupational illness that a railroad employee does not
report to work for reasons associated with his or her condition.
Day of restricted work activity is any day that a employee is
restricted (as defined below) in his or her job following the day of the
injury or diagnosis of occupational illness.
Employee human factor includes any of the accident causes signified
by the train accident cause codes listed under ``Train Operation--Human
Factors'' in the current ``FRA Guide for Preparing Accidents/Incidents
Reports,'' except for those train accident cause codes pertaining to
non-railroad workers. For purposes of this definition ``employee''
includes the classifications of Worker on Duty--Employee, Employee not
on Duty, Worker on Duty--Contractor, and Worker on Duty--Volunteer.

[[Page 229]]

Establishment means a single physical location where workers report
to work, where business is conducted or where services or operations are
performed, for example, an operating division, general office, and major
installation, such as a locomotive or car repair or construction
facility.
First aid treatment means treatment limited to simple procedures
used to treat minor conditions, such as abrasions, cuts, bruises, and
splinters. First aid treatment is typically confined to a single
treatment and does not require special skills or procedures.
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.
Highway-rail grade crossing means a location where a public highway,
road, street, or private roadway, including associated sidewalks and
pathways, crosses one or more railroad tracks at grade.
Joint operations means rail operations conducted on a track used
jointly or in common by two or more railroads subject to this part or
operation of a train, locomotive, car, or other on-track equipment by
one railroad over the track of another railroad.
Medical treatment includes any medical care or treatment beyond
``first aid'' regardless of who provides such treatment. Medical
treatment does not include diagnostic procedures, such as X-rays and
drawing blood samples. Medical treatment also does not include
preventive emotional trauma counseling provided by the railroad's
employee counseling and assistance officer unless the participating
worker has been diagnosed as having a mental disorder that was
significantly caused or aggravated by an accident/incident and this
condition requires a regimen of treatment to correct.
Non-train incident means an event that results in a reportable
casualty, but does not involve the movement of on-track equipment nor
cause reportable damage above the threshold established for train
accidents.
Occupational illness means any abnormal condition or disorder, of
any person who falls under the definition for the classifications of
Worker on Duty--Employee, Worker on Duty--Contractor, or Worker on
Duty--Volunteer, other than one resulting from injury, caused by
environmental factors associated with the person's railroad employment,
including, but not limited to, acute or chronic illnesses or diseases
that may be caused by inhalation, absorption, ingestion, or direct
contact.
Person includes all categories of entities covered under 1 U.S.C. 1,
including, but not limited to, a railroad; any manager, supervisor,
official, or other employee or agent of a railroad; any owner,
manufacturer, lessor, or lessee of railroad equipment, track, or
facilities; any passenger; any trespasser or nontrespasser; any
independent contractor providing goods or services to a railroad; any
volunteer providing goods or services to a railroad; and any employee of
such owner, manufacturer, lessor, lessee, or independent contractor.
Qualified health care professional is a health care professional
operating within the scope of his or her license, registration, or
certification. For example, an otolaryngologist is qualified to diagnose
a case of noise-induced hearing loss and identify potential causal
factors, but may not be qualified to diagnose a case of repetitive
motion injuries.
Railroad means a person providing railroad transportation.
Railroad transportation means any form of non-highway ground
transportation that run on rails or electro-magnetic guideways,
including commuter or other short-haul railroad passenger service in a
metropolitan or suburban area, as well as any commuter railroad service
that was operated by the Consolidated Rail Corporation as of January 1,
1979, and high speed ground transportation systems that connect
metropolitan areas, without regard to whether they use new technologies
not associated with traditional railroads. Such term does not include
rapid transit operations within an urban area that are not connected to
the general railroad system of transportation.
Train accident means any collision, derailment, fire, explosion, act
of God,

[[Page 230]]

or other event involving operation of railroad on-track equipment
(standing or moving) that results in damages greater than the current
reporting threshold to railroad on-track equipment, signals, track,
track structures, and roadbed.
Train incident means any event involving the movement of on-track
equipment that results in a reportable casualty but does not cause
reportable damage above the current threshold established for train
accidents.
Work environment is the physical location, equipment, materials
processed or used, and activities of a railroad employee associated with
his or her work, whether on or off the railroad's property.
Work related means related to any incident, activity, exposure, or
the like occurring within the work environment.

[61 FR 30968, June 18, 1996]

Effective Date Note: At 61 FR 30968, June 18, 1996, Sec. 225.5 was
revised, effective Jan. 1, 1997. For the convenience of the user, the
superseded text is set forth as follows:
Sec. 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''

[[Page 231]]

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, as amended at 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]

Sec. 225.7 Public examination and use of reports.

(a) Accident/Incident reports made by railroads in compliance with
these rules shall be available to the public in the manner prescribed by
part 7 of this title. Accident/Incident reports may be inspected at the
Office of Safety, Federal Railroad Administration, 400 Seventh Street,
SW., Washington, DC 20590. Written requests for a copy of a report
should be addressed to the Freedom of Information Officer, Office of
Chief Counsel, FRA, 400 Seventh Street, SW., Washington, DC 20590, and
be accompanied by the appropriate fee prescribed in part 7 of this
title. To facilitate expedited handling, each request should be clearly
marked ``Request for Accident/Incident Report.''
(b) 49 U.S.C. 20903 provides that monthly reports filed by railroads
under Sec. 225.11 may not be admitted as evidence or used for any
purpose in any action for damages growing out of any matters mentioned
in these monthly reports. The Employee Human Factor Attachment, Notice,
and Employee Supplement under Sec. 225.12 are part of the reporting
railroad's accident report to FRA pursuant to the 49 U.S.C. 20901 and,
as such, shall not ``be admitted as evidence or used for any purpose in
any suit or action for damages growing out of any matter mentioned in
said report * * *.'' 49 U.S.C. 20903.

[39 FR 43224, Dec. 11, 1974, as amended at 51 FR 47019, Dec. 30, 1986;
53 FR 28601, July 28, 1988; 55 FR 37827, Sept. 13, 1990; 55 FR 52487,
Dec. 21, 1990; 61 FR 30969, June 18, 1996]

Effective Date Note: At 61 FR 30969, June 18, 1996, in Sec. 225.7,
paragraph (a) was amended by removing ``Executive Director'' in the
third sentence and adding in its place ``Freedom of Information Officer,
Office of Chief Counsel''; paragraph (b) was amended by removing
``Section 4 of the Accidents Reports Act (36 Stat. 351, 45 U.S.C. 41)''
in the first sentence and adding in its place ``49 U.S.C. 20903'',
removing ``Accident Reports Act'' in the second sentence and adding in
its place ``49 U.S.C. 20901'' and removing the ``45 U.S.C. 41'' from the
last sentence and adding in its place ``49 U.S.C. 20903'', effective
Jan. 1, 1997.

Sec. 225.9 Telephonic reports of certain accidents/incidents.^{1, 2
---------------------------------------------------------------------------

1 The National Transportation Safety Board requires certain railroad
accidents to be reported by telephone at the same toll free number (See
Title 49, Code of Federal Regulations Part 840).
^{2 FRA Locomotive Safety Standards require certain locomotive
accidents to be reported by telephone at the same toll free number (See
Title 49, Code of Federal Regulations, Sec. 229.17.)
---------------------------------------------------------------------------

(a) Each railroad must report immediately by toll free telephone,
Area Code 800-424-0201, whenever it learns of the occurrence of an
accident/incident arising from the operation of the railroad that
results in the:
(1) Death of rail passenger or employee; or
(2) Death or injury of five or more persons.
(b) Each report must state the:
(1) Name of the railroad;
(2) Name, title, and telephone number of the individual making the
report;
(3) Time, date, and location of accident/incident;
(4) Circumstances of the accident/incident; and
(5) Number of persons killed or injured.

[39 FR 43224, Dec. 11, 1974, as amended at 41 FR 15847, Apr. 15, 1976;
49 FR 48939, Dec. 17, 1984]

Sec. 225.11 Reporting of accidents/incidents.

Each railroad subject to this part shall submit to FRA a monthly
report of all railroad accidents/incidents described in Sec. 225.19. The
report shall be made on the forms prescribed in Sec. 225.21 in hard copy
or, alternatively, by means of magnetic media or electronic submission,
as prescribed in Sec. 225.37, and shall be submitted within 30 days
after expiration of the month during

[[Page 232]]

which the accidents/incidents occurred. Reports shall be completed as
required by the current ``FRA Guide for Preparing Accidents/Incidents
Reports.'' A copy of this guide may be obtained from the Office of
Safety, RRS-22, Federal Railroad Administration, 400 Seventh Street,
S.W., Washington, D.C. 20590.

[61 FR 30969, June 18, 1996]

Effective Date Note: At 61 FR 30969, June 18, 1996, Sec. 225.11 was
revised, effective Jan. 1, 1997. For the convenience of the user, the
superseded text is set forth as follows:
Sec. 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 Sec. 225.19. The
report must be made on the forms prescribed in Sec. 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]

Sec. 225.12 Rail Equipment Accident/Incident Reports alleging employee human factor as cause; Employee Human Factor Attachment; notice to employee; employee
supplement.

(a) Rail Equipment Accident/Incident Report alleging employee human
factor as cause; completion of Employee Human Factor Attachment. If, in
reporting a rail equipment accident/incident to FRA, a railroad cites an
employee human factor as the primary cause or a contributing cause of
the accident; then the railroad that cited such employee human factor
must complete, in accordance with instructions on the form and in the
current ``FRA Guide for Preparing Accident/Incident Reports,'' an
Employee Human Factor Attachment form on the accident. For purposes of
this section, ``employee'' is defined as a Worker on Duty--Employee,
Employee not on Duty, Worker on Duty--Contractor, or Worker on Duty--
Volunteer.
(b) Notice to identified implicated employees. Except as provided in
paragraphs (e) and (f) of this section, for each employee whose act,
omission, or physical condition was alleged by the railroad as the
employee human factor that was the primary cause or a contributing cause
of a rail equipment accident/incident and whose name was listed in the
Employee Human Factor Attachment for the accident and for each such
railroad employee of whose identity the railroad has actual knowledge,
the alleging railroad shall--
(1) Complete part I, ``Notice to Railroad Employee Involved in Rail
Equipment Accident/Incident Attributed to Employee Human Factor,'' of
Form FRA F 6180.78 with information regarding the accident, in
accordance with instructions on the form and in the current ``FRA Guide
for Preparing Accident/Incident Reports''; and
(2) Hand deliver or send by first class mail (postage prepaid) to
that employee, within 45 days after the end of the month in which the
rail equipment accident/incident occurred--
(i) A copy of Form FRA F 6180.78, ``Notice to Railroad Employee
Involved in Rail Equipment Accident/Incident Attributed to Employee
Human Factor; Employee Statement Supplementing Railroad Accident
Report,'' with part I completed as to the applicable employee and
accident;
(ii) A copy of the railroad's Rail Equipment Accident/Incident
Report and Employee Human Factor Attachment on the rail equipment
accident/incident involved; and
(iii) If the accident was also reportable as a highway-rail grade
crossing accident/incident, a copy of the railroad's Highway-Rail Grade
Crossing Accident/Incident Report on that accident.
(c) Joint operations. If a reporting railroad makes allegations
under paragraph (a) of this section concerning the employee of another
railroad, the employing railroad must promptly provide the name, job
title, address, and medical status of any employee reasonably identified
by the alleging railroad, if requested by the alleging railroad.
(d) Late identification. Except as provided in paragraphs (e) and
(f) of this section, if a railroad is initially unable to identify a
particular railroad employee whose act, omission, or physical condition
was cited by the railroad as a primary or contributing cause of the

[[Page 233]]

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, or to the Federal
Railroad Administration, Office of Safety Assurance and Compliance, RRS-
11, 400 Seventh Street, SW., Washington, DC 20590. The letter should
include the name of the railroad making the allegations, the date and
place of the accident, and the rail equipment accident/incident number.
(h) Willful false statements; penalties. If an employee chooses to
submit a Supplement to FRA, all of the employee's assertions in the
Supplement must be true and correct to the best of the employee's
knowledge and belief.
(1) Under 49 U.S.C. 21301, 21302, and 21304, any person who
willfully files a false Supplement with FRA is subject to a civil
penalty. See appendix A to this part.
(2) Any person who knowingly and willfully files a false Supplement
is subject to a $5,000 fine, or up to two years'' imprisonment, or both,
under 49 U.S.C. 21311.

[55 FR 37827, Sept. 13, 1990; 55 FR 39538, Sept. 27, 1990, as amended at
61 FR 30969, 30973, June 18, 1996]

Effective Date Note: 1. At 61 FR 30969, 30973, June 18, 1996, in
Sec. 225.12, paragraph (a) was amended by adding a sentence; the second
sentence in paragraph (g)(3), paragraphs (h)(1) and (2) were revised;
paragraph (b)(2)(iii) was amended by removing the word ``rail-highway''
and adding in its place the word ``highway-rail'', effective Jan. 1,
1997. For the convenience of the user, the superseded text is set forth
as follows:

[[Page 234]]

Sec. 225.12 Rail Equipment Accident/Incident Reports alleging employee
human factor as cause; Employee Human Factor Attachment; notice to
employee; employee supplement.

* * * * *

(g) * * *
(1) * * *
(2) * * *
(3) * * * 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. * * *
(h) * * *
(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)).

Sec. 225.13 Late reports.

Whenever a railroad discovers that a report of an accident/incident,
through mistake or otherwise, has been improperly omitted from or
improperly reported on its regular monthly accident/incident report, a
report covering this accident/incident together with a letter of
explanation must be submitted immediately. Whenever a railroad receives
a partially or fully completed Employee Statement Supplementing Railroad
Accident Report (part II of Form FRA F 6180.78), in response to a Notice
to Railroad Employee (part I of Form FRA F 6180.78) issued by the
railroad and mailed or hand delivered to the employee, the railroad must
promptly review that Supplement; based on that review, reassess the
accuracy and validity of the railroad's Rail Equipment Accident/Incident
Report and of any other reports and records required by this part
concerning the same accident, including the Employee Human Factor
Attachment; make all justified revisions to each of those reports and
records; submit any amended reports to FRA; and submit a copy of any
amended Rail Equipment Accident/Incident Report, Employee Human Factor
Attachment, and Highway-Rail Grade Crossing Accident/Incident Report on
the accident to the employee. A second notice under Sec. 225.12 is not
required for the employee. If an employee who was never sent a notice
under Sec. 225.12 for that accident is implicated in the revised
Employee Human Factor Attachment, the railroad must follow the
procedures of Sec. 225.12(d).

[39 FR 43224, Dec. 11, 1974, as amended at 55 FR 37828, Sept. 13, 1990;
61 FR 30973, June 18, 1996]

Effective Date Note: At 61 FR 30973, June 18, 1996, Sec. 225.13 was
amended by removing the word ``Rail-Highway'' and adding in its place
the word ``Highway-Rail'', effective Jan. 1, 1997.

Sec. 225.15 Accidents/incidents not to be reported.

A railroad need not report:
(a) Casualties which occur at highway-rail grade crossings that do
not involve the presence or operation of on-track equipment, or the
presence of railroad employees then engaged in the operation of a
railroad;
(b) Casualties in or about living quarters not arising from the
operation of a railroad;
(c) Suicides as determined by a coroner or other public authority;
or
(d) Attempted suicides.

[39 FR 43224, Dec. 11, 1974, as amended at 61 FR 30973, June 18, 1996]

Effective Date Note: At 61 FR 30973, June 18, 1996, in Sec. 225.15,
paragraph (a) was amended by removing the word ``rail-highway'' and
adding in its place the word ``highway-rail'', effective Jan. 1, 1997.

Sec. 225.17 Doubtful cases; alcohol or drug involvement.

(a) The reporting officer of a railroad will ordinarily determine
the reportability or nonreportability of an accident/incident after
examining all evidence available. The FRA, however, cannot delegate
authority to decide matters of judgment when facts are in dispute. In
all such cases the decision shall be that of the FRA.
(b) Even though there may be no witness to an accident/incident, if
there is evidence indicating that a reportable accident/incident may
have occurred, a

[[Page 235]]

report of that accident/incident must be made.
(c) All accidents/incidents reported as ``claimed but not admitted
by the railroad'' are given special examination by the FRA, and further
inquiry may be ordered. Accidents/incidents accepted as reportable are
tabulated and included in the various statistical statements issued by
the FRA. The denial of any knowledge or refusal to admit responsibility
by the railroad does not exclude those accidents/incidents from monthly
and annual figures. Facts stated by a railroad that tend to refute the
claim of an injured person are given consideration, and when the facts
seem sufficient to support the railroad's position, the case is not
allocated to the reporting railroad.
(d)(1) In preparing a Rail Equipment Accident/Incident Report under
this part, the railroad shall make such specific inquiry as may be
reasonable under the circumstances into the possible involvement of
alcohol or drug use or impairment in such accident or incident. If the
railroad comes into possession of any information whatsoever, whether or
not confirmed, concerning alleged alcohol or drug use or impairment by
an employee who was involved in, or arguably could be said to have been
involved in, the accident/incident, the railroad shall report such
alleged use or impairment as provided in the current FRA Guide for
Preparing Accident/Incident Reports. If the railroad is in possession of
such information but does not believe that alcohol or drug impairment
was the primary or contributing cause of the accident/incident, then the
railroad shall include in the narrative statement of such report a brief
explanation of the basis of such determination.
(2) For any train accident within the requirement for post-accident
testing under Sec. 219.201 of this title, the railroad shall append to
the Rail Equipment Accident/Incident Report any report required by
Sec. 219.209(b) (pertaining to failure to obtain samples for post-
accident toxicological testing).
(3) For any train or non-train incident, the railroad shall provide
any available information concerning the possible involvement of alcohol
or drug use or impairment in such accident or incident.
(4) In providing information required by this paragraph, a railroad
shall not disclose any information concerning use of controlled
substances determined by the railroad's Medical Review Officer to have
been consistent with 49 CFR 219.103.

[39 FR 43224, Dec. 11, 1974, as amended at 50 FR 31579, Aug. 2, 1985; 54
FR 53279, Dec. 27, 1989]

Sec. 225.19 Primary groups of accidents/incidents.

(a) For reporting purposes reportable railroad accidents/incidents
are divided into three groups:

Group I--Highway-Rail Grade Crossing;
Group II--Rail Equipment;
Group III--Death, Injury and Occupational Illness.

(b) Group I--Rail-highway grade crossing. Each highway-rail grade
crossing accident/incident must be reported to the FRA on Form FRA F
6180.57, regardless of the extent of damages or whether a casualty
occurred. In addition, whenever a highway-rail grade crossing accident/
incident results in damages greater than the current reporting threshold
to railroad on-track equipment, signals, track, track structures, or
roadbed, that accident/incident shall be reported to the FRA on Form FRA
F 6180.54. For reporting purposes, damages include labor costs and all
other costs to repair or replace in kind damaged on-track equipment,
signals, track, track structures, or roadbed, but do not include the
cost of clearing a wreck.
(c) Group II--Rail Equipment. Rail equipment accidents/incidents are
collisions, derailments, fires, explosions, acts of God, or other events
involving the operation of railroad on-track equipment, signals, track,
track equipment (standing or moving) that result in damages greater than
the current reporting threshold to railroad on-track equipment, signals,
tracks, track structures, or roadbed, including labor costs and the
costs for acquiring new equipment and material. Each rail equipment
accident/incident must be reported to the FRA on Form FRA F 6180.54. If
the property of more than

[[Page 236]]

one railroad is involved in an accident/incident, the reporting
threshold is calculated by including the damages suffered by all of the
railroads involved. See Sec. 225.23, Joint Operations. The reporting
threshold will be reviewed periodically and will be adjusted every year.
(d) Group III--Death, injury, or occupational illness. Each event
arising from the operation of a railroad shall be reported on Form FRA F
6180.55a if it results in:
(1) Death to any person;
(2) Injury to any person that requires medical treatment;
(3) Injury to a railroad employee that results in:
(i) A day away from work;
(ii) Restricted work activity or job transfer; or
(iii) Loss of consciousness; or
(4) Occupational illness of a railroad employee.
(e) The accident/incident reporting threshold for calendar years
1991 through 1996 is $6,300. This threshold dollar amount will remain in
effect until FRA amends that amount and provides notice in the Federal
Register. The procedure for determining the reporting threshold will
appear as appendix B to part 225.

(Secs. 11144 and 11145, Subtitle IV of Title 49 (49 U.S.C. 11144 and
11145); secs. 1 and 6, Accident Reports Act (45 U.S.C. 431 and 437);
sec. 6(e) and (f), Department of Transportation Act (49 U.S.C. 1655(e)
and (f)); sec. 1.49(g) and (m), regulations of the Office of the
Secretary of Transportation (49 CFR 1.49(g) and (m))

[39 FR 43224, Dec. 11, 1974, as amended at 41 FR 50691, Nov. 17, 1976;
42 FR 1221, Jan. 6, 1977; 47 FR 56358, Dec. 16, 1982; 51 FR 47019, Dec.
30, 1986; 53 FR 48548, Dec. 1, 1988; 55 FR 52847, Dec. 21, 1990; 61 FR
30969, 30973, June 18, 1996]

Effective Date Note: 1. At 61 FR 30969, 30973, June 18, 1996, in
Sec. 225.19, the second sentence in paragraph (b), the first, third and
fifth sentences of paragraph (c) and paragraph (d) were revised;
paragraph (e) was added; paragraphs (a) and (b) were amended by removing
the word ``rail-highway'' and adding in its place the word ``highway-
rail'', effective Jan. 1, 1997. For the convenience of the user, the
superseded text is set forth as follows:
Sec. 225.19 Primary groups of accidents/incidents.

* * * * *

(b) * * * 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.* * *
(c) * * * 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. * * * 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. * * * 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.

Sec. 225.21 Forms.

The following forms and copies of the FRA Guide for Preparing
Accident/Incident Reports may be obtained from the Office of Safety,
FRA, 400 Seventh Street, SW., Washington, DC 20590.
(a) Form FRA F 6180.54--Rail Equipment Accident/Incident Report.
Form FRA F 6180.54 shall be used to report each reportable rail
equipment accident/incident which occurred during the preceding month.

[[Page 237]]

(b) Form FRA F 6180.55--Railroad Injury and Illness Summary. Form
FRA F 6180.55 must be filed each month, even though no reportable
accident/incident occurred during the month covered. Each report must
include an oath or verification, made by the proper officer of the
reporting railroad, as provided for attestation on the form. If no
reportable accident/incident occurred during the month, that fact must
be stated on this form. All railroads subject to this part, shall show
on this form the total number of freight train miles, passenger train
miles, yard switching train miles, and other train miles run during the
month.
(c) Form FRA 6180.55a--Railroad Injury and Illness (Continuation
Sheet). Form FRA 6180.55a shall be used to report all reportable
fatalities, injuries and occupational illnesses that occurred during the
preceding month.
(d) Form FRA 6180.56--Annual Railroad Report of Manhours by State.
Form FRA 6180.56 shall be submitted as part of the monthly Railroad
Injury and Illness Summary (Form FRA F 6180.55) for the month of
December of each year.
(e) Form FRA F 6180.57--Highway-Rail Grade Crossing Accident/
Incident Report. Form FRA F 6180.57 shall be used to report each
highway-rail grade crossing accident/incident which occurred during the
preceding month.
(f) Form FRA F 6180.81--Employee Human Factor Attachment. Form FRA F
6180.81 shall be used by railroads, as a supplement to the Rail
Equipment Accident/Incident Report (Form FRA F 6180.54), in reporting
rail equipment accidents/incidents that they attribute to an employee
human factor. This form shall be completed in accordance with
instructions printed on the form and in the current ``FRA Guide for
Preparing Accident/Incident Reports.'' The form shall be attached to the
Rail Equipment Accident/Incident Report and shall be submitted within 30
days after expiration of the month in which the accident/incident
occurred.
(g) Form FRA F 6180.78--Notice to Railroad Employee Involved in Rail
Equipment Accident/Incident Attributed to Employee Human Factor;
Employee Statement Supplementing Railroad Accident Report. When a
railroad alleges, in the Employee Human Factor Attachment to a Rail
Equipment Accident/Incident Report, that the act, omission, or physical
condition of a specific employee was a primary or contributing cause of
the rail equipment accident/incident, the railroad shall complete part I
of Form FRA F 6180.78 to notify each such employee identified that the
railroad has made such allegation and that the employee has the right to
submit a statement to FRA. The railroad shall then submit the entire
form, parts I and II, to the employee. The Employee Statement
Supplementing Railroad Accident Report (Employee Supplement) is
completely at the option of the employee; however, if the employee
desires to make a statement about the accident that will become part of
the railroad's Rail Equipment Accident/Incident Report, the employee
shall complete the Employee Supplement form (part II of Form FRA F
6180.78) and shall then submit the original of the entire form, parts I
and II, and any attachments, to FRA and submit a copy of the same to the
railroad that issued the Notice in part I.
(h) Form FRA F 6180.98--Railroad Employee Injury and/or Illness
Record. Form FRA F 6180.98 or an alternative railroad-designed record
shall be used by the railroads to record all reportable and accountable
injuries and illnesses to railroad employees for each establishment.
This record shall be completed and maintained in accordance with the
requirements set forth in Sec. 225.25.
(i) Form FRA F 6180.97--Initial Rail Equipment Accident/Incident
Record. Form FRA F 6180.97 or an alternative railroad-designed record
shall be used by the railroads to record all reportable and accountable
rail equipment accidents/incidents for each establishment. This record
shall be completed and maintained in accordance with the requirements
set forth in Sec. 225.25.

[39 FR 43224, Dec. 11, 1974, as amended at 42 FR 1221, Jan. 6, 1977; 49
FR 48939, Dec. 17, 1984; 55 FR 37828, Sept. 13, 1990; 61 FR 30969,
30973, June 18, 1996]

Effective Date Note: At 61 FR 30969, 30973, June 18, 1996, in
Sec. 225.21, the fourth sentence of paragraph (b) was revised; paragraph
(f) was removed; paragraphs (g) and (h) were redesignated as (f) and
(g); paragraphs (h)

[[Page 238]]

and (i) were added; paragraph (e) was amended by removing the word
``rail-highway'' and adding in its place the word ``highway-rail'',
effective Jan. 1, 1997. For the convenience of the user, the superseded
text is set forth as follows:
Sec. 225.21 Forms.

* * * * *

(b) * * * 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.

* * * * *

(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.

* * * * *

Sec. 225.23 Joint operations.

(a) Any reportable death or injury to an employee arising from an
accident/incident involving joint operations must be reported on Form
FRA F 6180.55a by the employing railroad.
(b) In all cases involving joint operations, each railroad must
report on Form FRA F 6180.55a the casualties to all persons on its train
or other on-track equipment. Casualties to railroad employees must be
reported by the employing railroad regardless of whether the employees
were on or off duty. Casualties to all other persons not on trains or
on-track equipment must be reported on Form FRA F 6180.55a by the
railroad whose train or equipment is involved. Any person found
unconscious or dead, if such condition arose from the operation of a
railroad, on or adjacent to the premises or right-of-way of the railroad
having track maintenance responsibility must be reported by that
railroad on Form FRA F 6180.55a.
(c) In rail equipment accident/incident cases involving joint
operations, the railroad responsible for carrying out repairs to, and
maintenance of, the track on which the accident/incident occurred, and
any other railroad directly involved in the accident/incident, each must
report the accident/incident on Form FRA F 6180.54.

[39 FR 43224, Dec. 11, 1974, as amended at 42 FR 1221, Jan. 6, 1977]

Sec. 225.25 Recordkeeping.

(a) Each railroad shall maintain either the Railroad Employee Injury
and/or Illness Record (Form FRA F 6180.98) or an alternative railroad-
designed record as described in paragraph (b) of this section of all
reportable and accountable injuries and illnesses of its employees that
arise from the operation of the railroad for each railroad establishment
where such employees report to work, including, but not limited to, an
operating division, general office, and major installation such as a
locomotive or car repair or construction facility.
(b) The alternative railroad-designed record may be used in lieu of
the Railroad Employee Injury and/or Illness Record (Form FRA F 6180.98)
described in paragraph (a) of this section. Any such alternative record
shall contain all of the information required on the Railroad Employee
Injury and/or Illness Record. Although this information may be displayed
in a different order from that on the Railroad Employee Injury and/or
Illness Record, the order of the information shall be consistent from
one such record to another such record. The order chosen by the railroad
shall be consistent for each of the railroad''s reporting
establishments. Railroads may list additional information on the
alternative record beyond the information required on the Railroad
Employee Injury and/or Illness Record. The alternative record shall
contain, at a minimum, the following information:
(1) Name of railroad;
(2) Case/incident number;
(3) Full name of railroad employee;
(4) Date of birth of railroad employee;
(5) Gender of railroad employee;
(6) Social security number of railroad employee;
(7) Date the railroad employee was hired;

[[Page 239]]

(8) Home address of railroad employee; include the street address,
city, State, ZIP code, and home telephone number with area code;
(9) Name of facility where railroad employee normally reports to
work;
(10) Address of facility where railroad employee normally reports to
work; include the street address, city, State, and ZIP code;
(11) Job title of railroad employee;
(12) Department assigned;
(13) Specific site where accident/incident/exposure occurred;
include the city, county, State, and ZIP code;
(14) Date and time of occurrence; military time or AM/PM;
(15) Time employee's shift began; military time or AM/PM;
(16) Whether employee was on premises when injury occurred;
(17) Whether employee was on or off duty;
(18) Date and time when employee notified company personnel of
condition; military time or AM/PM;
(19) Name and title of railroad official notified;
(20) Description of the general activity this employee was engaged
in prior to the injury/illness/condition;
(21) Description of all factors associated with the case that are
pertinent to an understanding of how it occurred. Include a discussion
of the sequence of events leading up to it; and the tools, machinery,
processes, material, environmental conditions, etc., involved;
(22) Description, in detail, of the injury/illness/condition that
the employee sustained, including the body parts affected. If a
recurrence, list the date of the last occurrence;
(23) Identification of all persons and organizations used to
evaluate or treat the condition, or both. Include the facility, provider
and complete address;
(24) Description of all procedures, medications, therapy, etc., used
or recommended for the treatment of the condition.
(25) Extent and outcome of injury or illness to show the following
as applicable:
(i) Fatality--enter date of death;
(ii) Restricted work; number of days; beginning date;
(iii) Occupational illness; date of initial diagnosis;
(iv) Instructions to obtain prescription medication, or receipt of
prescription medication;
(v) If missed one or more days of work or next shift, provide number
of work days; and beginning date;
(vi) Medical treatment beyond ``first aid'';
(vii) Hospitalization for treatment as an inpatient;
(viii) Multiple treatments or therapy sessions;
(ix) Loss of consciousness;
(x) Transfer to another job or termination of employment;
(26) Each railroad shall indicate if the Railroad Injury and Illness
Summary (Continuation Sheet) (FRA Form F 6180.55a) has been filed with
FRA for the injury or illness. If FRA Form F 6180.55a was not filed with
FRA, then the railroad shall provide an explanation of the basis for its
decision.
(27) The reporting railroad shall indicate if the injured or ill
railroad employee was provided an opportunity to review his or her file;
and
(28) The reporting railroad shall identify the preparer's name;
title; telephone number with area code; and the date the log entry was
completed.
(c) Each railroad shall provide the employee, upon request, a copy
of either the completed Railroad Employee Injury and/or Illness Record
(Form FRA F 6180.98) or the alternative railroad-designed record as
described in paragraphs (a) and (b) of this section as well as a copy of
any other form, record or report filed with FRA or held by the railroad
pertaining to the employee's injury or illness.
(d) Each railroad shall maintain the Initial Rail Equipment
Accident/Incident Record (Form FRA F 6180.97) or an alternative
railroad-designed record as described in paragraph (e) of this section
of reportable and accountable collisions, derailments, fires,
explosions, acts of God, or other events involving the operation of
railroad on-track equipment, signals, track, or track equipment
(standing or moving) that result in damages to railroad on-track
equipment, signals, tracks, track structures, or roadbed, including
labor costs and all other costs for repairs or replacement in kind for
each railroad establishment where workers report to

[[Page 240]]

work, including, but not limited to, an operating division, general
office, and major installation such as a locomotive or car repair or
construction facility.
(e) The alternative railroad-designed record may be used in lieu of
the Initial Rail Equipment Accident/Incident Record (Form FRA F
6180.97). Any such alternative record shall contain all of the
information required on the Initial Rail Equipment Accident/Incident
Record. Although this information may be displayed in a different order
from that on the Initial Rail Equipment Accident/Incident Record, the
order of the information shall be consistent from one such record to
another such record. The order chosen by the railroad shall be
consistent for each of the railroad's reporting establishments.
Railroads may list additional information in the alternative record
beyond the information required on the Initial Rail Equipment Accident/
Incident Record. The alternative record shall contain, at a minimum, the
following information:
(1) Date and time of accident;
(2) Reporting railroad, and accident/incident number;
(3) Other railroad, if applicable, and other railroad's accident/
incident number;
(4) Railroad responsible for track maintenance, and that railroad's
incident number;
(5) Type of accident/incident (derailment, collision, etc.);
(6) Number of cars carrying hazardous materials that derailed or
were damaged; and number of cars carrying hazardous materials that
released product;
(7) Division;
(8) Nearest city or town;
(9) State;
(10) Milepost (to the nearest tenth);
(11) Specific site;
(12) Speed (indicate if actual or estimate);
(13) Train number or job number;
(14) Type of equipment (freight, passenger, yard switching, etc.);
(15) Type of track (main, yard, siding, industry);
(16) Total number of locomotives in train;
(17) Total number of locomotives that derailed;
(18) Total number of cars in train;
(19) Total number of cars that derailed;
(20) Total amount of damage in dollars to equipment based on
computations as described in the ``FRA Guide for Preparing Accidents/
Incidents Reports'';
(21) Total amount of damage in dollars to track, signal, way and
structures based on computations as described in the ``FRA Guide for
Preparing Accidents/Incidents Reports'';
(22) Primary cause;
(23) Contributing cause;
(24) Persons injured and persons killed, broken down into the
following classifications: worker on duty--employee; employee not on
duty; passenger on train; nontrespasser--on railroad property;
trespasser; worker on duty--contractor; contractor--other; worker on
duty--volunteer; volunteer--other; and nontrespasser--off railroad
property;
(25) Narrative description of the accident;
(26) Whether the accident/incident was reported to FRA;
(27) Preparer's name, title, telephone number with area code, and
signature; and
(28) Date the report was completed.
(f) Each railroad shall enter each reportable and accountable injury
and illness and each reportable and accountable rail equipment accident/
incident on the appropriate record, as required by paragraphs (a)
through (e) of this section, as early as practicable but no later than
seven working days after receiving information or acquiring knowledge
that an injury or illness or rail equipment accident/incident has
occurred.
(g) The records required under paragraphs (a) through (e) of this
section may be maintained at the local establishment or, alternatively,
at a centralized location. If the records are maintained at a
centralized location, but not through electronic means, then a paper
copy of the records that is current within 35 days of the month to which
it applies shall be available for that establishment. If the records are
maintained at a centralized location

[[Page 241]]

through electronic means, then the records for that establishment shall
be available for review in a hard copy format within four business hours
of FRA's request. FRA recognizes that circumstances outside the
railroad's control may preclude it from fulfilling the four-business-
hour time limit. In these circumstances, FRA will not assess a monetary
penalty against the railroad for its failure to provide the requested
documentation provided the railroad made a reasonable effort to correct
the problem.
(h) A listing of all reported injuries and occupational illnesses
for the previous month shall be posted in a conspicuous location at and
for each railroad establishment within 30 days after expiration of the
month during which the injuries and illnesses occurred. For purposes of
this paragraph, this list is required to be posted only at those
establishments that are in continual operation for a minimum of 90
calendar days; otherwise the list shall be posted at the next higher
organizational level establishment. This listing shall be posted and
shall remain continuously displayed for the next twelve consecutive
months. Incidents reported for employees at that establishment shall be
displayed in date sequence. The listing shall contain, at a minimum, the
following information:
(1) Name and address of the establishment;
(2) Calendar year of the cases being displayed;
(3) Incident number used to report case;
(4) Date of the injury or illness;
(5) Location of incident;
(6) Regular job title of employee injured or ill;
(7) Description of the injury or condition;
(8) Number of days employee absent from work at time of posting;
(9) Number of days of work restriction for employee at time of
posting;
(10) If fatality--enter date of death;
(11) Annual average number of railroad employees reporting to this
establishment;
(12) Preparer's name, title, telephone number with area code, and
signature; and
(13) Date the report was completed.
(14) When there are no reportable injuries or occupational illnesses
associated with an establishment for that month, the listing shall make
reference to this fact.

[61 FR 30970, June 18, 1996]

Effective Date Note: At 61 FR 30970, June 18, 1996, Sec. 225.25 was
revised, effective Jan. 1, 1997. For the convenience of the user, the
superseded text is set forth as follows:
Sec. 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

[[Page 242]]

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.

Sec. 225.27 Retention of records.

(a) Each railroad shall retain the Railroad Employee Injury and/or
Illness Record and the Monthly List of Injuries and Illnesses required
by Sec. 225.25 for at least five years after the end of the calendar
year to which they relate. Each railroad shall retain the Initial Rail
Equipment Accident/Incident Record required by Sec. 225.25 for at least
two years after the end of the calendar year to which they relate. Each
railroad must retain the Employee Human Factor Attachments required by
Sec. 225.12, the written notices to employees required by Sec. 225.12,
and the Employee Statements Supplementing Railroad Accident Reports
described in Sec. 225.12(g) that have been received by the railroad for
at least 2 years after the end of the calendar year to which they
relate.
(b) Each railroad must retain a duplicate of each form it submits to
FRA under Sec. 225.21, for at least 2 years after the calendar year to
which it relates.

[39 FR 43224, Dec. 11, 1974, as amended at 55 FR 37828, Sept. 13, 1990;
61 FR 30971, June 18, 1996]

Effective Date Note: At 61 FR 30971, June 18, 1996, in Sec. 225.27,
the first sentence of paragraph (a) was revised and a new sentence was
added after the revised first sentence, effective Jan. 1, 1997. For the
convenience of the user, the superseded text is set forth as follows:
Sec. 225.27 Retention of records.
(a) Each railroad must retain the logs, supplementary records, and
annual summaries, required by Sec. 225.25 for at least 5 years after the
end of the calendar year to which they relate. * * *

* * * * *

Sec. 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 $500 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. A person
may also be subject to the criminal penalties provided for in 49 U.S.C.
21311.

[53 FR 28601, July 28, 1988, as amended at 53 FR 52931, Dec. 29, 1988;
61 FR 30971, June 18, 1996]

Effective Date Note: At 61 FR 30971, June 18, 1996, Sec. 225.29 was
amended by removing

[[Page 243]]

``$250'' in the first sentence and adding in its place ``$500''; the
third and fourth sentences were revised, effective Jan. 1, 1997. For the
convenience of the user, the superseded text is set forth as follows:
Sec. 225.29 Penalties.
* * * 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).

Sec. 225.31 Investigations.

(a) It is the policy of the FRA to investigate rail transportation
accidents/incidents which result in the death of a railroad employee or
the injury of five or more persons. Other accidents/incidents are
investigated when it appears that an investigation would substantially
serve to promote railroad safety.
(b) FRA representatives are authorized to investigate accidents/
incidents and have been issued credentials authorizing them to inspect
railroad records and properties. They are authorized to obtain all
relevant information concerning accidents/incidents under investigation,
to make inquiries of persons having knowledge of the facts, conduct
interviews and inquiries, and attend as an observer, hearings conducted
by railroads. When necessary to carry out an investigation, the FRA may
authorize the issuance of subpoenas to require the production of records
and the giving of testimony.
(c) Whenever necessary, the FRA will schedule a public hearing
before an authorized hearing officer, in which event testimony will be
taken under oath, a record made, and opportunity provided to question
witnesses.
(d) When necessary in the conduct of an investigation, the Federal
Railroad Administrator may require autopsies and other tests of the
remains of railroad employees who die as a result of an accident/
incident.
(e) Information obtained through FRA accident investigations may be
published in public reports or used for other purposes FRA deems to be
appropriate.
(f) Section 20903 of title 49 of the United States Code provides
that no part of a report of an accident investigation under section
20902 of title 49 of the United States Code may be admitted as evidence
or used for any purpose in any suit or action for damages growing out of
any matter mentioned in the accident investigation report.

[39 FR 43224, Dec. 11, 1974, as amended at 61 FR 30971, June 18, 1996]

Effective Date Note: At 61 FR 30971, June 18, 1996, in Sec. 225.31,
paragraph (f) was revised, effective Jan. 1, 1997. For the convenience
of the user, the superseded text is set forth as follows:
Sec. 225.31 Investigations.

* * * * *

(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.

Sec. 225.33 Internal Control Plans.

(a) Each railroad shall adopt and comply with a written Internal
Control Plan that shall be maintained at the office where the railroad's
reporting officer conducts his or her official business. Each railroad
shall amend its Internal Control Plan, as necessary, to reflect any
significant changes to the railroad's internal reporting procedures. The
Internal Control Plan shall be designed to maintain absolute accuracy
and shall include, at a minimum, each of the following ten components:
(1) A policy statement declaring the railroad's commitment to
complete and accurate reporting of all accidents, incidents, injuries,
and occupational illnesses arising from the operation of the railroad,
to full compliance with the letter and spirit of FRA's accident
reporting regulations, and to the principle, in absolute terms, that
harassment or intimidation of any person that is calculated to
discourage or prevent such person from receiving proper medical
treatment or from reporting such accident, incident, injury or illness
will not be permitted or tolerated and will result in some stated
disciplinary action against any employee, supervisor, manager, or
officer of the railroad committing such harassment or intimidation.
(2) The dissemination of the policy statement; complaint procedures.
Each

[[Page 244]]

railroad shall provide to all employees, supervisory personnel, and
management the policy statement described in paragraph (a)(1). Each
railroad shall have procedures to process complaints from any person
about the policy stated in paragraph (a)(1) being violated, and to
impose the appropriate prescribed disciplinary actions on each employee,
supervisor, manager, or officer of the railroad found to have violated
the policy. These procedures shall be disclosed to railroad employees,
supervisors, managers, and officers. The railroad shall provide
``whistle blower'' protection to any person subject to this policy, and
such policy shall be disclosed to all railroad employees, supervisors
and management.
(3) Copies of internal forms and/or a description of the internal
computer reporting system used for the collection and internal recording
of accident and incident information.
(4) A description of the internal procedures used by the railroad
for the processing of forms and/or computerized data regarding accident
and incident information.
(5) A description of the internal review procedures applicable to
accident and incident information collected, and reports prepared by,
the railroad's safety, claims, medical and/or other departments engaged
in collecting and reporting accident and incident information.
(6) A description of the internal procedures used for collecting
cost data and compiling costs with respect to accident and incident
information.
(7) A description of applicable internal procedures for ensuring
adequate communication between the railroad department responsible for
submitting accident and incident reports to FRA and any other department
within the railroad responsible for collecting, receiving, processing
and reporting accidents and incidents.
(8) A statement of applicable procedures providing for the updating
of accident and incident information prior to reporting to FRA and a
statement of applicable procedures providing for the amendment of
accident and incident information as specified in the ``FRA Guide for
Preparing Accidents/Incidents Reports.''
(9) A statement that specifies the name and title of the railroad
officer responsible for auditing the performance of the reporting
function; a statement of the frequency (not less than once per calendar
year) with which audits are conducted; and identification of the site
where the most recent audit report may be found for inspection and
photocopying.
(10)(i) A brief description of the railroad organization, including
identification of:
(A) All components that regularly come into possession of
information pertinent to the preparation of reports under this part
(e.g., medical, claims, and legal departments; operating, mechanical,
and track and structures departments; payroll, accounting, and personnel
departments);
(B) The title of each railroad reporting officer;
(C) The title of each manager of such components, by component; and
(D) All officers to whom managers of such components are
responsible, by component.
(ii) A current organization chart satisfies paragraphs
(a)(10)(i)(C)(D) (iii) and (iv) of this section.
(b) [Reserved]

[61 FR 30972, June 18, 1996]

Effective Date Note: At 61 FR 30972, June 18, 1996, Sec. 225.33 was
added, effective Jan. 1, 1997.

Sec. 225.35 Access to records and reports.

Each railroad subject to this part shall have at least one location,
and shall identify each location, where any representative of the
Federal Railroad Administration or of a State agency participating in
investigative and surveillance activities under Part 212 of this chapter
or any other authorized representative, has centralized access to a copy
of any record and report (including relevant claims and medical records)
required under this part, for examination and photocopying in a
reasonable manner during normal business hours. Such representatives
shall display proper credentials when requested. Each railroad shall
identify the locations where a copy of any record and report required
under this part is accessible for inspection and photocopying by
maintaining a list of

[[Page 245]]

such establishment locations at the office where the railroad's
reporting officer conducts his or her official business. A copy of any
record and report required under this part shall be accessible within
four business hours after the request. FRA will not assess a monetary
penalty against the railroad for its failure to provide the requested
documentation when circumstances outside the railroad's control preclude
it from fulfilling the four-business-hour time limit and the railroad
has made a reasonable effort to correct the problem.

[61 FR 30972, June 18, 1996]

Effective Date Note: At 61 FR 30972, June 18, 1996, Sec. 225.35 was
added, effective Jan. 1, 1997.

Sec. 225.37 Magnetic media transfer and electronic submission.

(a) A railroad has the option of submitting the following reports,
updates, and amendments by way of magnetic media (computer diskette or
magnetic tape), or by means of electronic submission over telephone
lines or other means:
(1) The Rail Equipment Accident/Incident Report (Form FRA F
6180.54);
(2) the Railroad Injury and Illness Summary (Form FRA F 6180.55);
(3) the Railroad Injury and Illness Summary (Continuation Sheet)
(Form FRA F 6180.55a);
(4) the Highway-Rail Grade Crossing Accident/Incident Report (Form
FRA F 6180.57); and
(5) the Batch Control Form (Form FRA F 6180.99).
(b) Each railroad utilizing the magnetic media option shall submit
to FRA the following:
(1) the computer diskette or magnetic tape;
(2) the Batch Control Form (Form FRA F 6180.99); and
(3) a notarized hard copy of the Railroad Injury and Illness Summary
(Form FRA F 6180.55), signed by the railroad's reporting officer.
(c) Each railroad utilizing the electronic submission option shall
submit to FRA the following:
(1) the Batch Control Form (Form FRA F 6180.99) which is submitted
to an FRA-designated computer; and
(2) a notarized hard copy of the Railroad Injury and Illness Summary
(Form FRA F 6180.55), signed by the railroad's reporting officer.
(d) Each railroad employing either the magnetic media or electronic
submission option, shall submit its monthly reporting data for the
reports identified in paragraph (a) of this section in a year-to-date
file format as described in the ``FRA Guide for Preparing Accidents/
Incidents Reports.''
(e) In addition to fulfilling the requirements stated in paragraph
(b) through (d) of this section, each railroad initially utilizing
either the magnetic media or electronic submission option, shall submit
the hard copy report(s) for each accident/incident it reports by such
means. FRA will continually review the railroad``s submitted hard copy
reports against the data it has submitted electronically, or by means of
magnetic media. Once the magnetic media or electronic submission is in
total agreement with the submitted hard copies of the reports for three
consecutive reporting months, FRA will notify the railroad, in writing,
that submission of the hard copy reports, except for the notarized
Railroad Injury and Illness Summary, is no longer required.

[61 FR 30972, June 18, 1996]

Effective Date Note: At 61 FR 30972, June 18, 1996, Sec. 225.37 was
added, effective Jan. 1, 1997.

Appendix A to Part 225--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Section (including computer code, if Willful
applicable) Violation violation
------------------------------------------------------------------------
225.9 Telephonic reports of certain accidents/
incidents.................................... $1,000 $2,000
225.11 Reports of accidents/ incidents....... 2,500 5,000
225.12(a):
Failure to file Railroad Employee Human
Factor Attachment properly...............
(1) Employee identified............... 2,500 5,000
(2) No employee identified............ 1,000 2,000
225.12(b):
(1) Failure to notify employee properly... 2,500 5,000

[[Page 246]]

(2) Notification of employee not involved
in accident.............................. 2,500 5,000
225.12(c):
Failure of employing railroad to provide
requested information properly........... 1,000 2,000
225.12(d):
(1) Failure to revise report when identity
becomes known............................ 2,500 5,000
(2) Failure to notify after late
identification........................... 2,500 5,000
225.12(f)(1):
Submission of notice if employee dies as
result of the reported accident.......... 2,500 5,000
225.12(g):
Willfully false accident statement by
employee................................. ........... 5,000
225.13 Late reports...................... 2,500 5,000
225.17(d) Alcohol or drug involvement.... 2,500 5,000
225.23 Joint operations.................. (\1\) (\1\)
225.25 Recordkeeping..................... 2,500 5,000
225.27 Retention of records.............. 1,000 2,000
225.33:
(1) Failure to adopt the Internal
Control Plan......................... 2,500 5,000
(2) Inaccurate reporting due to
failure to comply with the Internal
Control Plan......................... 2,500 5,000
(3) Failure to comply with the
intimidation/harassment policy in the
Internal Control Plan................ 2,500 5,000
225.35 Access to records and reports..... 2,500 5,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A. A failure to comply with Sec. 225.23
constitutes a violation of Sec. 225.11. For purposes of Secs. 225.25
and 225.27 of this part, each of the following constitutes a single
act of noncompliance: (1) a missing or incomplete log entry for a
particular employee's injury or illness; or (2) a missing or
incomplete log record for a particular rail equipment accident or
incident. Each day a violation continues is a separate offense.

[61 FR 30973, June 18, 1996]

Effective Date Note: At 61 FR 30973, June 18, 1996, appendix A to
part 225 was removed; appendix B to part 225 was redesignated as
appendix A; the new appendix A was revised, effective Jan. 1, 1997. For
the convenience of the user, the superseded text is set forth as
follows:

Appendix A to Part 225--Procedure for Determining Reporting Threshold

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 x .20] + [(mechanical labor index number)
1.08 x .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:

------------------------------------------------------------------------
Quantity Description 1988 1990
------------------------------------------------------------------------
8........................... 33'' CS wheels...... $1,682 $2,136
8........................... 6by 11'' roller 1,204 1,524
bearings.
4........................... Roller bearing axles 2,030 2,358
4........................... 6by 11'' roller 3,027 3,891
bearing truck sides
(750 lbs.).

[[Page 247]]

2........................... 6by 11'' truck 2,092 2,466
bolsters (1,060
lbs.).
2........................... E couplers.......... 589 648
4........................... Brake beams......... 321 633
1........................... AB cylinder......... 95 96
1........................... AB reservoir........ 342 387
1........................... ABD control valve... 1,252 1,218
500 lbs..................... Steel bar........... 610 560
1,000 lbs................... Steel sheets........ 1,220 1,120
1,000 lbs................... Steel plates........ 1,220 1,120
8........................... Brake shoes......... 46 99
8........................... Roller bearing 131 127
adapters.
24.......................... Outer coil springs.. 192 220
800......................... Board feet hardwood 392 496
lumber.
1........................... Traction motor...... 43,000 48,200
60 feet..................... 1\1/4\'' brake pipe. 72 72
1........................... Hand brake.......... 256 298

---------------------
Total mechanical .................... 59,773 67,669
material.
------------------------------------------------------------------------

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:

------------------------------------------------------------------------
Quantity Description 1988 1990
------------------------------------------------------------------------
4,500....................... Ties, wooden........ $112,500 $135,000
250 tons.................... Rail................ 145,000 152,500
90 tons..................... Tie plates.......... 52,200 52,200
27,000...................... Spikes (5.8 tons)... 4,408 4,408
800......................... Joint bars (25.4 27,000 27,000
tons).
2,000....................... Track bolts......... 3,200 3,400
1........................... Frog................ 4,500 4,500
1........................... Switch.............. 4,900 6,500

---------------------
Total track material.... .................... 353,708 385,508
------------------------------------------------------------------------

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 x .20] + [(mechanical material index
number) 1.13 x .80] = material index number of 1.12.
10. Calculation of the threshold index number is as follows: [(labor
index number) 1.08 x .40] + [(material index number) 1.12 x .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]

Appendix B to Part 225--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
225.9 Telephonic reports of certain accidents/
incidents.................................... $1,000 $2,000
225.11 Reports of accidents/incidents......... 2,500 5,000
225.12(a):
Failure to file Employee Human Factor
Attachment properly:
Employee identified......................... 2,500 5,000
No employee identified...................... 250 1,000
225.12(b):
Failure to notify employee properly......... 2,500 5,000
Notification of employee not involved in
accident................................... 2,500 5,000
225.12(c):
Failure of employing railroad to provide
requested information properly............. 1,000 2,500
225.12(d):
Failure to revise report when identity
becomes known.............................. 2,500 5,000
Failure to notify after late identification. 2,500 5,000

[[Page 248]]

225.12(f)(1):
Submission to notice if employee died as
result of the reported accident............ 2,500 5,000
225.12(g):
Willfully false accident statement by
employee................................... ........... 5,000
225.13 Late reports........................... 2,500 5,000
225.17(d) Alcohol or drug involvement......... 2,500 5,000
225.23 Joint operations....................... (\1\) (\1\)
225.25 Recordkeeping.......................... 2,500 5,000
225.27 Retention of records................... 1,000 2,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A. A failure to comply with Sec. 225.23
constitutes a violation of Sec. 225.11. For purposes of Secs. 225.25
and 225.27 of this part, each of the following constitutes a single
act of noncompliance: (1) A missing or incomplete log entry for a
particular employee's injury or illness; (2) a missing or incomplete
supplementary record of a particular employee's injury of illness; or
(3) a missing or incomplete annual summary for a particular
establishment. Each day a violation continues is a separate offense.

[53 FR 52931, Dec. 29, 1988, as amended at 55 FR 37828, Sept. 13, 1990]

Effective Date Note: At 61 FR 30973, June 18, 1996, appendix B to
part 225 was redesignated as appendix A and the new appendix A was
revised, effective Jan. 1, 1997.

PART 228--HOURS OF SERVICE OF RAILROAD EMPLOYEES--Table of Contents

Subpart A--General

Sec.
228.1 Scope.
228.3 Application.
228.5 Definitions.

Subpart B--Records and Reporting

228.7 Hours of duty.
228.9 Railroad records; general.
228.11 Hours of duty records.
228.17 Dispatcher's record of train movements.
228.19 Monthly reports of excess service.
228.21 Civil penalty.
228.23 Criminal penalty.

Subpart C--Construction of Employee Sleeping Quarters

228.101 Distance requirement; definitions.
228.103 Approval procedure; construction within one-half mile (2,640
feet) (804 meters).
228.105 Additional requirements; construction within one-third mile
(1,760 feet) (536 meters) of certain switching.
228.107 Action on petition.

Appendix A to Part 228--Requirements of the Hours of Service Act:
Statement of Agency Policy and Interpretation
Appendix B to Part 228--Schedule of civil Penalties
Appendix C to Part 228--Guidelines for Clean, Safe, and Sanitary
Railroad Provided Camp Cars

Authority: 49 U.S.C. 20102-20103, 20107-20108, 20111, 20112, 21101-
21108, 21303-21304, as amended; 49 U.S.C. App. 1655(e), as amended; 49
CFR 1.49(d), (m).

Source: 37 FR 12234, June 21, 1972, unless otherwise noted.

Subpart A--General

Sec. 228.1 Scope.

This part--
(a) Prescribes reporting and record keeping requirements with
respect to the hours of service of certain railroad employees; and
(b) Establishes standards and procedures concerning the construction
or reconstruction of employee sleeping quarters.

[43 FR 31012, July 19, 1978]

Sec. 228.3 Application.

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

[54 FR 33229, Aug. 14, 1989]

Sec. 228.5 Definitions.

As used in this part:
(a) Administrator means the Administrator of the Federal Railroad
Administrator or any person to whom he delegated authority in the matter
concerned.
(b) Carrier, common carrier, and common carrier engaged in
interstate or foreign commerce by railroad mean railroad as that term is
defined below.

[[Page 249]]

(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]

Subpart B--Records and Reporting

Sec. 228.7 Hours of duty.

(a) For purposes of this part, time on duty of an employee actually
engaged in or connected with the movement of any train, including a
hostler, begins when he reports for duty and ends when he is finally
released from duty, and includes--
(1) Time engaged in or connected with the movement of any train;
(2) Any interim period available for rest at a location that is not
a designated terminal;
(3) Any interim period of less than 4 hours available for rest at a
designated terminal;
(4) Time spent in deadhead transportation en route to a duty
assignment; and
(5) Time engaged in any other service for the carrier.

Time spent in deadhead transportation by an employee returning from duty
to his point of final release may not be counted in computing time off
duty or time on duty.
(b) For purposes of this part, time on duty of an employee who
dispatches, reports, transmits, receives, or delivers orders pertaining
to train movements by use of telegraph, telephone, radio, or any other
electrical or mechanical device includes all time on duty in other
service performed for the common carrier during the 24-hour period
involved.
(c) For purposes of this part, time on duty of an employee who is
engaged in installing, repairing or maintaining signal systems includes
all time on duty in other service performed for a common carrier during
the 24-hour period involved.

[37 FR 12234, June 21, 1972, as amended at 43 FR 3124, Jan. 23, 1978]

Sec. 228.9 Railroad records; general.

(a) Records maintained under this part shall be--
(1) Signed by the employee whose time on duty is being recorded or,
in the case of train and engine crews, signed by the ranking crew
member;
(2) Retained for 2 years; and
(3) Available for inspection and copying by the Administrator during
regular business hours.
(b) [Reserved]

Sec. 228.11 Hours of duty records.

(a) Each carrier shall keep a record of the following information
concerning the hours of duty of each employee:
(1) Identification of employee.
(2) Place, date, and beginning and ending times for hours of duty in
each occupation.
(3) Total time on duty in all occupations.
(4) Number of consecutive hours off duty prior to going on duty.
(5) Beginning and ending times of periods spent in transportation,
other than personal commuting, to or from a duty assignment and mode of
transportation (train, track car, carrier motor vehicle, personal
automobile, etc.).
(b) [Reserved]

[37 FR 12234, June 21, 1972, as amended at 43 FR 3124, Jan. 23, 1978]

[[Page 250]]

Sec. 228.17 Dispatcher's record of train movements.

(a) Each carrier shall keep, for each dispatching district, a record
of train movements made under the direction and control of a dispatcher
who uses telegraph, telephone, radio, or any other electrical or
mechanical device to dispatch, report, transmit, receive, or deliver
orders pertaining to train movements. The following information shall be
included in the record:
(1) Identification of timetable in effect.
(2) Location and date.
(3) Identification of dispatchers and their times on duty.
(4) Weather conditions at 6-hour intervals.
(5) Identification of enginemen and conductors and their times on
duty.
(6) Identification of trains and engines.
(7) Station names and office designations.
(8) Distances between stations.
(9) Direction of movement and the time each train passes all
reporting stations.
(10) Arrival and departure times of trains at all reporting
stations.
(11) Unusual events affecting movement of trains and identification
of trains affected.
(b) [Reserved]

Sec. 228.19 Monthly reports of excess service.

(a) Each carrier shall report to the Associate Administrator for
Safety, (RRS-1), Federal Railroad Administration, Washington, DC 20590,
each of the following instances within 30 days after the calendar month
in which the instance occurs:
(1) A member of a train or engine crew or other employee engaged in
or connected with the movement of any train, including a hostler, is on
duty for more than 12 consecutive hours.
(2) A member of a train or engine crew or other employee engaged in
or connected with the movement of any train, including a hostler,
returns to duty after 12 hours of continuous service without at least 10
consecutive hours off duty.
(3) A member of a train or engine crew or other employee engaged in
or connected with the movement of any train, including a hostler,
continues on duty without at least 8 consecutive hours off duty during
the preceding 24 hours.^{1
---------------------------------------------------------------------------

1 Instances involving tours of duty that are broken by four or more
consecutive hours off duty time at a designated terminal which do not
constitute more than a total of 12 hours time on duty are not required
to be reported, provided such tours of duty are immediately preceded by
8 or more consecutive hours off-duty time. Instances involving tours of
duty that are broken by less than 8 consecutive hours off duty which
constitute more than a total of 12 hours time on duty must be reported.
---------------------------------------------------------------------------

(4) A member of a train or engine crew or other employee engaged in
or connected with the movement of any train, including a hostler,
returns to duty without at least 8 consecutive hours off duty during the
preceding 24 hours.^{1
(5) An employee who transmits, receives, or delivers orders
affecting train movements is on duty for more than 9 hours in any 24-
hour period at an office where two or more shifts are employed.
(6) An employee who transmits, receives, or delivers orders
affecting train movements is on duty for more than 12 hours in any 24-
hour period at any office where one shift is employed.
(7) An employee engaged in installing, repairing or maintaining
signal systems is on duty for more than 12 hours in a twenty-four hour
period.
(8) An employee engaged in installing, repairing or maintaining
signal systems returns to duty after 12 hours of continuous service
without at least 10 consecutive hours off duty.
(9) An employee engaged in installing, repairing or maintaining
signal systems continues on duty without at least 8 consecutive hours
off duty during the preceding 24 hours.
(10) An employee engaged in installing, repairing or maintaining
signal systems returns to duty without at least 8 consecutive hours off
duty during the preceding 24 hours.
(b) Reports required by paragraph (a) of this section shall be filed
in writing on FRA Form F-6180-3 ^{2 with the Office

[[Page 251]]

of Safety, Federal Railroad Administration, Washington, DC 20590. A
separate form shall be used for each instance reported.
---------------------------------------------------------------------------

^{2 Form may be obtained from the Office of Safety, Federal
Railroad Administration, Washington, DC 20590. Reproduction is
authorized.

[37 FR 12234, June 21, 1972, as amended at 43 FR 3124, Jan. 23, 1978]

Sec. 228.21 Civil penalty.

Any person (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]

Sec. 228.23 Criminal penalty.

Any person who knowingly and willfully falsifies a report or record
required to be kept under this part or otherwise knowingly and willfully
violates any requirement of this part may be liable for criminal
penalties of a fine up to $5,000, imprisonment for up to two years, or
both, in accordance with 45 U.S.C. 438(e).

[53 FR 52931, Dec. 29, 1988]

Subpart C--Construction of Employee Sleeping Quarters

Source: 43 FR 31012, July 19, 1978, unless otherwise noted.

Sec. 228.101 Distance requirement; definitions.

(a) The Hours of Service Act, as amended (45 U.S.C. 61-64b), makes
it unlawful for any common carrier engaged in interstate or foreign
commerce by railroad to begin, on or after July 8, 1976, the
construction or reconstruction of sleeping quarters for employees who
perform duties covered by the act ``within or in the immediate vicinity
(as determined in accordance with rules prescribed by the Secretary of
Transportation) of any area where railroad switching or humping
operations are performed.'' 45 U.S.C. 62(a)(4). This subpart sets forth
(1) a general definition of ``immediate vicinity'' (Sec. 228.101(b)),
(2) procedures under which a carrier may request a determination by the
Federal Railroad Administration that a particular proposed site is not
within the ``immediate vicinity'' of railroad switching or humping
operations (Secs. 228.103 and 228.105), and (3) the basic criteria
utilized in evaluating proposed sites (Sec. 228.107).
(b) Except as determined in accordance with the provisions of this
subpart. ``The immediate vicinity'' shall mean the area within one-half
mile (2,640 feet) (804 meters) of switching or humping operations as
measured from the nearest rail of the nearest trackage where switching
or humping operations are performed to the point on the site where the
carrier proposes to construct or reconstruct the exterior wall of the
structure, or portion of such wall, which is closest to such operations.
(c) As used in this subpart--
(1) Construction shall refer to the--
(i) Creation of a new facility;
(ii) Expansion of an existing facility;
(iii) Placement of a mobile or modular facility; or
(iv) Acquisition and use of an existing building.
(2) Reconstruction shall refer to the--
(i) Replacement of an existing facility with a new facility on the
same site; or

[[Page 252]]

(ii) Rehabilitation or improvement of an existing facility (normal
periodic maintenance excepted) involving the expenditure of an amount
representing more than 50 percent of the cost of replacing such facility
on the same site at the time the work of rehabilitation or improvement
began, the replacement cost to be estimated on the basis of contemporary
construction methods and materials.
(3) Switching or humping operations includes the classification of
placarded railroad cars according to commodity or destination,
assembling of placarded cars for train movements, changing the position
of placarded cars for purposes of loading, unloading, or weighing, and
the placing of placarded cars for repair. However, the term does not
include the moving of rail equipment in connection with work service,
the moving of a train or part of a train within yard limits by a road
locomotive or placing locomotives or cars in a train or removing them
from a train by a road locomotive while en route to the train's
destination. The term does include operations within this definition
which are conducted by any railroad; it is not limited to the operations
of the carrier contemplating construction or reconstruction of railroad
employee sleeping quarters.
(4) Placarded car shall mean a railroad car required to be placarded
by the Department of Transportation hazardous materials regulations (49
CFR 172.504).
(5) The term Leq (8) shall mean the equivalent steady state
sound level which in 8 hours would contain the same acoustic energy as
the time-varying sound level during the same time period.

Sec. 228.103 Approval procedure: construction within one-half mile (2,640 feet) (804 meters).

(a) A common carrier that has developed plans for the construction
or reconstruction of sleeping quarters subject to this subpart and which
is considering a site less than one-half mile (2,640 feet) (804 meters)
from any area where switching or humping operations are performed,
measured from the nearest rail of the nearest trackage utilized on a
regular or intermittent basis for switching or humping operations to the
point on the site where the carrier proposes to construct or reconstruct
the exterior wall of the structure, or portion of such wall, which is
closest to such operations, must obtain the approval of the Federal
Railroad Administration before commencing construction or reconstruction
on that site. Approval may be requested by filing a petition conforming
to the requirements of this subpart.
(b) A carrier is deemed to have conducted switching or humping
operations on particular trackage within the meaning of this subpart if
placarded cars are subjected to the operations described in
Sec. 228.101(c)(3) within the 365-day period immediately preceding the
date construction or reconstruction is commenced or if such operations
are to be permitted on such trackage after such date. If the carrier
does not have reliable records concerning the traffic handled on the
trackage within the specified period, it shall be presumed that
switching of placarded cars is conducted at the location and
construction or reconstruction of sleeping quarters within one-half mile
shall be subject to the approval procedures of this subpart.
(c) A petition shall be filed in triplicate with the Secretary,
Railroad Safety Board, Federal Railroad Administration, Washington, DC
20590 and shall contain the following:
(1) A brief description of the type of construction planned,
including materials to be employed, means of egress from the quarters,
and actual and projected exterior noise levels and projected interior
noise levels;
(2) The number of employees expected to utilize the quarters at full
capacity;
(3) A brief description of the site, including:
(i) Distance from trackage where switching or humping operations are
performed, specifying distances from particular functions such as
classification, repair, assembling of trains from large groups of cars,
etc. cetera;
(ii) Topography within a general area consisting of the site and all
of the rail facilities close to the site;

[[Page 253]]

(iii) Location of other physical improvements situated between the
site and areas where railroad operations are conducted;
(4) A blueprint or other drawing showing the relationship of the
site to trackage and other planned and existing facilities;
(5) The proposed or estimated date for commencement of construction;
(6) A description of the average number and variety of rail
operations in the areas within one-half mile (2,640 feet) (804 meters)
of the site (e.g., number of cars classified in 24-hour period; number
of train movements);
(7) An estimate of the average daily number of placarded rail cars
transporting hazardous materials through the railroad facility (where
practicable, based on a 365-day period sample, that period not having
ended more than 120 days prior to the date of filing the petition),
specifying the--
(i) Number of such cars transporting class A explosives and poison
gases; and
(ii) Number of DOT Specification 112A and 114A tank cars
transporting flammable gas subject to FRA emergency order No. 5;
(8) A statement certified by a corporate officer of the carrier
possessing authority over the subject matter explaining any plans of
that carrier for utilization of existing trackage, or for the
construction of new trackage, which may impact on the location of
switching or humping operations within one-half mile of the proposed
site (if there are no plans, the carrier official must so certify); and
(9) Any further information which is necessary for evaluation of the
site.
(d) A petition filed under this section must contain a statement
that the petition has been served on the recognized representatives of
the railroad employees who will be utilizing the proposed sleeping
quarters, together with a list of the employee representatives served.

Sec. 228.105 Additional requirements; construction within one-third mile (1,760 feet) (536 meters) of certain switching.

(a) In addition to providing the information specified by
Sec. 228.103, a carrier seeking approval of a site located within one-
third mile (1,760 feet) (536 meters) of any area where railroad
switching or humping operations are performed involving any cars
required to be placarded ``EXPLOSIVES A'' or ``POISON GAS'' or any DOT
Specification 112A or 114A tank cars transporting flammable gas subject
to FRA emergency order No. 5 shall establish by a supplementary
statement certified by a corporate officer possessing authority over the
subject matter that--
(1) No feasible alternate site located at or beyond one-third mile
from switching or humping operations is either presently available to
the railroad or is obtainable within 3 miles (15,840 feet) (4,827
meters) of the reporting point for the employees who are to be housed in
the sleeping quarters;
(2) Natural or other barriers exist or will be created prior to
occupancy of the proposed facility between the proposed site and any
areas in which switching or humping operations are performed which will
be adequate to shield the facility from the direct and severe effects of
a hazardous materials accident/incident arising in an area of switching
or humping operations;
(3) The topography of the property is such as most likely to cause
any hazardous materials unintentionally released during switching or
humping to flow away from the proposed site; and
(4) Precautions for ensuring employee safety from toxic gases or
explosions such as employee training and evacuation plans, availability
of appropriate respiratory protection, and measures for fire protection,
have been considered.
(b) In the absence of reliable records concerning traffic handled on
trackage within the one-third mile area, it shall be presumed that the
types of cars enumerated in paragraph (a) of this section are switched
on that trackage; and the additional requirements of this section shall
be met by the petitioning carrier, unless the carrier establishes that
the switching of the enumerated cars will be effectively barred from the
trackage if the petition is approved.

[[Page 254]]

Sec. 228.107 Action on petition.

(a) Each petition for approval filed under Sec. 228.103 is referred
to the Railroad Safety Board for action in accordance with the
provisions of part 211, title 49, CFR, concerning the processing of
requests for special approvals.
(b) In considering a petition for approval filed under this subpart,
the Railroad Safety Board evaluates the material factors bearing on--
(1) The safety of employees utilizing the proposed facility in the
event of a hazardous materials accident/incident and in light of other
relevant safety factors; and
(2) Interior noise levels in the facility.
(c) The Railroad Safety Board will not approve an application
submitted under this subpart if it appears from the available
information that the proposed sleeping quarters will be so situated and
constructed as to permit interior noise levels due to noise under the
control of the railroad to exceed an Leq(8) value of 55dB(A). If
individual air conditioning and heating systems are to be utilized,
projections may relate to noise levels with such units turned off.
(d) Approval of a petition filed under this subpart may be withdrawn
or modified at any time if it is ascertained, after opportunity for a
hearing, that any representation of fact or intent made by a carrier in
materials submitted in support of a petition was not accurate or
truthful at the time such representation was made.

Appendix A to Part 228--Requirements of the Hours of Service Act:
Statement of Agency Policy and Interpretation

First enacted in 1907, the Hours of Service Act was substantially
revised in 1969 by Public Law 91-169. Further amendments were enacted as
part of the Federal Railroad Safety Authorization Act of 1976, Public
Law 94-348 and by the Rail Safety Improvement Act of 1988, Public Law
100-342. The purpose of the law is ``to promote the safety of employees
and travelers upon railroads by limiting the hours of service of
employees * * *.'' This appendix is designed to explain the effect of
the law in commonly-encountered situations.
The Act governs the maximum work hours of employees engaged in one
or more of the basic categories of covered service treated below. If an
individual performs more than one kind of covered service during a tour
of duty, then the most restrictive of the applicable limitations
control.
The act applies to any railroad, as that term is defined in 45
U.S.C. 431(e). It governs the carrier's operations over its own railroad
and all lines of road which it uses.

train and engine service

Covered Service. Train or engine service refers to the actual
assembling or operation of trains. Employees who perform this type of
service commonly include locomotive engineers, firemen, conductors,
trainmen, switchmen, switchtenders (unless their duties come under the
provisions of section 3) and hostlers. With the passage of the 1976
amendments, both inside and outside hostlers are considered to be
connected with the movement of trains. Previously, only outside hostlers
were covered. Any other employee who is actually engaged in or connected
with the movement of any train is also covered, regardless of his job
title.
Limitations on Hours. The Act establishes two limitations on hours
of service. First, no employee engaged in train or engine service may be
required or permitted to work in excess of twelve consecutive hours.
After working a full twelve consecutive hours, an employee must be given
at least ten consecutive hours off duty before being permitted to return
to work.
Second, no employee engaged in train or engine service may be
required or permitted to continue on duty or go on duty unless he has
had at least eight consecutive hours off duty within the preceding
twenty-four hours. This latter limitation, when read in conjunction with
the requirements with respect to computation of duty time (discussed
below) results in several conclusions:
(1) When an employee's work tour is broken or interrupted by a valid
period of interim release (4 hours or more at a designated terminal), he
may return to duty for the balance of the total 12-hour work tour during
a 24-hour period.
(2) After completing the 12 hours of broken duty, or at the end of
the 24-hour period, whichever occurs first, the employee may not be
required or permitted to continue on duty or to go on duty until he has
had at least 8 consecutive hours off duty.
(3) The 24-hour period referred to in paragraphs 1 and 2 above shall
begin upon the commencement of a work tour by the employee immediately
after his having received a statutory off-duty period of 8 or 10 hours
as appropriate.
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.

[[Page 255]]

(Time spent in deadhead transportation to a duty assignment is also
counted as time on duty. See discussion below.) Any period available for
rest that is of four or more hours and is at a designated terminal is
off-duty time. All other periods available for rest must be counted as
time on duty under the law, regardless of their duration.
The term ``designated terminal'' means a terminal (1) which is
designated in or under a collective bargaining agreement as the ``home''
or ``away-from-home'' terminal for a particular crew assignment and (2)
which has suitable facilities for food and lodging. Carrier and union
representatives may agree to establish additional designated terminals
having such facilities as points of effective release under the Act.
Agreements to designate additional terminals for purposes of release
under the Act should be reduced to writing and should make reference to
the particular assignments affected and to the Hours of Service Act. The
following are common situations illustrating the designated terminal
concept:
(1) A freight or passenger road crew operates a train from home
terminal ``A'' to away-from-home terminal ``B'' (or the reverse).
Terminals ``A'' and ``B'' would normally be the designated terminals for
this specific crew assignment. However, carrier and employee
representatives may agree to designate additional terminals having
suitable facilities for food and lodging as appropriate points of
release under the Hours of Service Act.
(2) A road crew operates a train in turn-around service from home
terminal ``A'' to turn-around point ``B'' and back to ``A''. Terminal
``A'' is the only designated terminal for this specific crew assignment,
unless carrier and employee representatives have agreed to designate
additional terminals having suitable facilities for food and lodging.
(3) A crew is assigned to operate a maintenance-of-way work train
from home terminal ``A'', work on line of road and tie up for rest along
the line of road at point ``B''. Home terminal ``A'' and tie-up point
``B'' both qualify as designated terminals for this specific work train
crew assignment. Of course, suitable facilities for food and lodging
must be available at tie-up point ``B''.
Deadheading. Under the Act time spent in deadhead transportation
receives special treatment. Time spent in deadhead transportation to a
duty assignment by a train or engine service employee is considered on-
duty time. Time spent in deadhead transportation from the final duty
assignment of the work tour to the point of final release is not
computed as either time on duty or time off duty. Thus, the period of
deadhead transportation to point of final release may not be included in
the required 8- or 10-hour off-duty period. Time spent in deadhead
transportation to a duty assignment is calculated from the time the
employee reports for deadhead until he reaches his duty assignment.
All time spent awaiting the arrival of a deadhead vehicle for
transportation from the final duty assignment of the work tour to the
point of final release is considered limbo time, i.e., neither time on
duty nor time off duty, provided that the employee is given no specific
responsibilities to perform during this time. However, if an employee is
required to perform service of any kind during that period (e.g.,
protecting the train against vandalism, observing passing trains for any
defects or unsafe conditions, flagging, shutting down locomotives,
checking fluid levels, or communicating train consist information via
radio), he or she will be considered as on duty until all such service
is completed. Of course, where a railroad carrier's operating rules
clearly relieve the employee of all duties during the waiting period and
no duties are specifically assigned, the waiting time is not computed as
either time on duty or time off duty.
Transit time from the employee's residence to his regular reporting
point is not considered deadhead time.
If an employee utilizes personal automobile transportation to a
point of duty assignment other than the regular reporting point in lieu
of deadhead transportation provided by the carrier, such actual travel
time is considered as deadheading time. However, if the actual travel
time from his home to the point of duty assignment exceeds a reasonable
travel time from the regular reporting point to the point of duty
assignment, then only the latter period is counted. Of course, actual
travel time must be reasonable and must not include diversions for
personal reasons.
Example: Employee A receives an assignment from an ``extra board''
located at his home terminal to protect a job one hour's drive from the
home terminal. In lieu of transporting the employee by carrier
conveyance, the railroad pays the employee a fixed amount to provide his
own transportation to and from the outlying point. The employee is
permitted to go directly from his home to the outlying point, a drive
which takes 40 minutes. The normal driving time between his regular
reporting point at his home terminal and the outlying point is 60
minutes. The actual driving time, 40 minutes is considered deadhead time
and is counted as time on duty under the Act.
Employee A performs local switching service at the outlying point.
When the employee returns from the outlying point that 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

[[Page 256]]

not counted as either time on duty or time off duty.
Wreck and relief trains. Prior to the 1976 amendments, crews of
wreck and relief trains were exempted entirely from the limitations on
hours of service. Under present law that is no longer the case. The crew
of a wreck or relief train may be permitted to be on duty for not to
exceed 4 additional hours in any period of 24 consecutive hours whenever
an actual emergency exists and the work of the crew is related to that
emergency. Thus, a crew could work up to 16 hours, rather than 12. The
Act specifies that an emergency ceases to exist for purposes of this
provision when the track is cleared and the line is open for traffic. An
``emergency'' for purposes of wreck or relief service may be a less
extraordinary or catastrophic event than an ``unavoidable accident or
Act of God'' under section 5(d) of the Act.
Example: The crew of a wreck train is dispatched to clear the site
of a derailment which has just occurred on a main line. The wreck crew
re-rails or clears the last car and the maintenance of way department
releases the track to the operating department 14 hours and 30 minutes
into the duty tour. Since the line is not clear until the wreck train is
itself out of the way, the crew may operate the wreck train to its
terminal, provided this can be accomplished within the total of 16 hours
on duty.
Emergencies. The Act contains no general exception using the term
``emergency'' with respect to train or engine service or related work.
See ``casualties,'' etc., under ``General Provisions''.

communication of train orders

Covered Service. The handling of orders governing the movement of
trains is the second type of covered service. This provision of the Act
applies to any operator, train dispatcher or other employee who by the
use of the telegraph, telephone, radio, or any other electical or
mechanical device dispatches, reports, transmits, receives, or delivers
orders pertaining to or affecting train movements.
The approach of the law is functional. Thus, though a yardmaster
normally is not covered by this provision, a yardmaster or other
employee who performs any of the specified service during a duty tour is
subject to the limitations on service for that entire tour.
Limitations on hours. No employee who performs covered service
involving communication of train orders may be required or permitted to
remain on duty for more than nine hours, whether consecutive or in the
aggregate, in any 24-hour period in any office, tower, station or place
where two or more shifts are employed. Where only one shift is employed,
the employee is restricted to 12 hours consecutively or in the aggregate
during any 24-hour period.
The provision on emergencies, discussed below, may extend the
permissible hours of employees performing this type of service.
Shifts. The term ``shift'' is not defined by the Act, but the
legislative history of the 1969 amendments indicates that it means a
tour of duty constituting a day's work for one or more employee
performing the same class of work at the same station who are scheduled
to begin and end work at the same time. The following are examples of
this principle:

------------------------------------------------------------------------
Scheduled Hours Classification
------------------------------------------------------------------------
7 a.m. to 3 p.m........................... 1 shift.
7 a.m. to 12:30 p.m. 1:30 p.m. to 8 p.m. Do.
(Schedule for one employee including one
hour lunch period).
7 a.m. to 3 p.m. 7 a.m. to 3 p.m. (Two Do.
employees scheduled).
7 a.m. to 3 p.m. 8 a.m. to 4 p.m. (Two 2 shifts.
employees scheduled).
------------------------------------------------------------------------

Duty time and effective periods of release. If, after reporting to
his place of duty, an employee is required to perform duties at other
places during this same tour of duty, the time spent traveling between
such places is considered as time on duty. Under the traditional
administrative interpretation of section 3, other periods of
transportation are viewed as personal commuting and, thus, off-duty
time.
A release period is considered off-duty time if it provides a
meaningful period of relaxation and if the employee is free of all
responsibilities to the carrier. One hour is the minimum acceptable
release period for this type of covered service.
Emergencies. The section of the Act dealing with dispatchers,
operators, and others who transmit or receive train orders contains its
own emergency provision. In case of emergency, an employee subject to
the 9 or 12-hour limitation is permitted to work an additional four
hours in any 24-hour period, but only for a maximum of three days in any
period of seven consecutive days. However, even in an emergency
situation the carrier must make reasonable efforts to relieve the
employee.

General Provisions

(applicable to all covered service)

Commingled Service. All duty time for a railroad even though not
otherwise subject to the Act must be included when computing 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

[[Page 257]]

same 24-hour period, total on-duty time is determined by adding the duty
time as trackman to that as trainman. The law does not distinguish
treatment of situations in which non-covered service follows, rather
than precedes, covered service. The limitations on total hours apply on
both cases. It should be remembered that attendance at required rules
classes is duty time subject to the provisions on ``commingling''.
Similarly, where a carrier compels attendance at a disciplinary
proceeding, time spent in attendance is subject to the provisions on
commingling.
When an employee performs service covered by more than one
restrictive provision, the most restrictive provision determines the
total lawful on-duty time. Thus, when an employee performs duty in train
or engine service and also as an operator, the provisions of the law
applicable to operators apply to all on-duty and off-duty periods during
such aggregate time. However, an employee subject to the 12 hour
provision of section 2 of the law does not become subject to the 9 or
12-hour provisions of section 3 merely because he receives, transmits or
delivers orders pertaining to or affecting the movement of his train in
the course of his duties as a trainman.
Casualties, Unavoidable Accidents, Acts of God. Section 5(d) of the
Act states the following: ``The provisions of this Act shall not apply
in any case of casualty or unavoidable accident or the Act of God; nor
where the delay was the result of a cause not known to the carrier or
its officer or agent in charge of the employee at the time said employee
left a terminal, and which could not have been foreseen.'' This passage
is commonly referred to as the ``emergency provision''. Judicial
construction of this sentence has limited the relief which it grants to
situations which are truly unusual and exceptional. The courts have
recognized that delays and operational difficulties are common in the
industry and must be regarded as entirely foreseeable; otherwise, the
Act will provide no protection whatsoever. Common operational
difficulties which do not provide relief from the Act include, but are
not limited to, broken draw bars, locomotive malfunctions, equipment
failures, brake system failures, hot boxes, unexpected switching,
doubling hills and meeting trains. Nor does the need to clear a main
line or cut a crossing justify disregard of the limitations of the Act.
Such contingencies must normally be anticipated and met within the 12
hours. Even where an extraordinary event or combination of events occurs
which, by itself, would be sufficient to permit excess service, the
carrier must still employ due diligence to avoid or limit such excess
service. The burden of proof rests with the carrier to establish that
excess service could not have been avoided.
Sleeping Quarters. Under the 1976 amendments to the Act it is
unlawful for any common carrier to provide sleeping quarters for persons
covered by the Hours of Service Act which do not afford such persons an
opportunity for rest, free from interruptions caused by noise under the
control of the railroad, in clean, safe, and sanitary quarters. Such
sleeping quarters include crew quarters, camp or bunk cars, and
trailers.
Sleeping quarters are not considered to be ``free from interruptions
caused by noise under the control of the railroad'' if noise levels
attributable to noise sources under the control of the railroad exceed
an Leq(8) value of 55dB(A).
FRA recognizes that camp cars, either because of express limitations
of local codes or by virtue of their physical mobility, cannot, for
practical purposes, be subject to state or local housing, sanitation,
health, electrical, or fire codes. Therefore, FRA is unable to rely upon
state or local authorities to ensure that persons covered by the Act who
reside in railroad-provided camp cars are afforded an opportunity for
rest in ``clean, safe, and sanitary'' conditions. Accordingly, the
guidelines in appendix C to this part 228 will be considered by FRA as
factors to be used in applying the concepts of ``clean,'' ``safe,'' and
``sanitary'' to camp cars provided by railroads for the use of employees
covered by section 2(a)(3) of the Act. Failure to adhere to these
guidelines might interfere with the ordinary person's ability to rest.
Collective Bargaining. The Hours of Service Act prescribes the
maximum permissible hours of service consistent with safety. However,
the Act does not prohibit collective bargaining for shorter hours of
service and time on duty.
Penalty. As amended by the Rail Safety Improvement Act of 1988 and
the Rail Safety Enforcement and Review Act of 1992, the penalty
provisions of the law apply to any ``person (including but not limited
to a railroad; any manager, supervisor, official, or other employee or
agent of a railroad; any owner, manufacturer, lessor, or lessee of
railroad equipment, track, or facilities; any independent contractor
providing goods or services to a railroad; and any employee of such
owner, manufacturer, lessor, lessee, or independent contractor), except
that a penalty may be assessed against an individual only for a willful
violation. See appendix A to 49 CFR part 209. For violations that
occurred on or after September 3, 1992, a person who violates the Act is
liable for a civil penalty, as the Secretary of Transportation deems
reasonable, in an amount not less than $500 nor more than $10,000,
except that where a grossly negligent violation or a pattern of repeated
violations has created an imminent hazard of death or injury to persons,
or has caused death or injury, a penalty not to exceed $20,000 may be
assessed.

[[Page 258]]

Each employee who is required or permitted to be on duty for a
longer period than prescribed by law or who does not receive a required
period of rest represents a separate and distinct violation and subjects
the railroad to a separate civil penalty. In the case of a violation of
section 2 (a)(3) or (a)(4) of the Act, each day a facility is in
noncompliance constitutes a separate offense and subjects the railroad
to a separate civil penalty.
In compromising a civil penalty assessed under the Act, FRA takes
into account the nature, circumstances, extent, and gravity of the
violation committed, and, with respect to the person found to have
committed such violation, the degree of culpability, any history of
prior or subsequent offenses, ability to pay, effect on ability to
continue to do business, and such other matters as justice may require.
Statute of limitations. No suit may be brought after the expiration
of two years from the date of violation unless administrative
notification of the violation has been provided to the person to be
charged within that two year period. In no event may a suit be brought
after expiration of the period specified in 28 U.S.C. 2462.
Exemptions. A railroad which employs not more than 15 persons
covered by the Hours of Service Act (including signalmen and hostlers)
may be exempted from the law's requirements by the FRA after hearing and
for good cause shown. The exemption must be supported by a finding that
it is in the public interest and will not adversely affect safety. The
exemption need not relate to all carrier employees. In no event may any
employee of an exempt railroad be required or permitted to work beyond
16 hours continuously or in the aggregate within any 24-hour period. Any
exemption is subject to review at least annually.

[42 FR 27596, May 31, 1977, as amended at 43 FR 30804, July 18, 1978; 53
FR 28601, July 28, 1988; 55 FR 30893, July 27, 1990; 58 FR 18165, Apr.
8, 1993; 61 FR 20495, May 7, 1996]

Appendix B to Part 228--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
Subpart B--Records and Reporting:
228.9 Railroad records.................... $500 $1,000
228.11 Hours of duty records.............. 500 1,000
228.17 Dispatcher's record................ 500 1,000
228.19 Monthly reports of excess service.. 1,000 2,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.

[53 FR 52931, Dec. 29, 1988]

Appendix C to Part 228--Guidelines for Clean, Safe, and Sanitary
Railroad Provided Camp Cars

1. Definitions applicable to these Guidelines.
(a) Camp Cars mean trailers and on-track vehicles, including outfit,
camp, or bunk cars or modular homes mounted on flat cars, used to house
or accommodate railroad employees. Wreck trains are not included.
(b) Employee means any worker whose service is covered by the Hours
of Service Act or who is defined as an employee for purposes of section
2(a)(3) of that Act.
(c) Lavatory means a basin or similar vessel used primarily for
washing of the hands, arms, face, and head.
(d) Nonwater carriage toilet facility means a toilet facility not
connected to a sewer.
(e) Number of employees means the number of employees assigned to
occupy the camp cars.
(f) Personal service room means a room used for activities not
directly connected with the production or service function performed by
the carrier establishment. Such activities include, but are not limited
to, first-aid, medical services, dressing, showering, toilet use,
washing, and eating.
(g) Potable water means water that meets the quality standards
prescribed in the U.S. Public Health Service Drinking Water Standards,
published at 42 CFR part 72, or is approved for drinking purposes by the
State or local authority having jurisdiction.
(h) Toilet facility means a fixture maintained within a toilet room
for the purpose of defecation or urination, or both.
(i) Toilet room means a room maintained within or on the premises
containing toilet facilities for use by employees.
(j) Toxic material means a material in concentration or amount of
such toxicity as to constitute a recognized hazard that is causing or is
likely to cause death or serious physical harm.
(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.

[[Page 259]]

(a) Any exterior receptacle used for putrescible solid or liquid
waste or refuse should be so constructed that it does not leak and may
be thoroughly cleaned and maintained in a sanitary condition. Such a
receptacle should be equipped with a solid tight-fitting cover, unless
it can be maintained in a sanitary condition without a cover. This
requirement does not prohibit the use of receptacles designed to permit
the maintenance of a sanitary condition without regard to the
aforementioned requirements.
(b) All sweepings, solid or liquid wastes, refuse, and garbage
should be removed in such a manner as to avoid creating a menace to
health and as often as necessary or appropriate to maintain a sanitary
condition.
4. Vermin Control.
(a) Camp cars should be so constructed, equipped, and maintained, so
far as reasonably practicable, as to prevent the entrance or harborage
of rodents, insects, or other vermin. A continuing and effective
extermination program should be instituted where their presence is
detected.
5. Water Supply.
(a) Potable water. (1) Potable water should be adequately and
conveniently provided to all employees in camp cars for drinking,
washing of the person, cooking, washing of foods, washing of cooking or
eating utensils, washing of food preparation or processing premises, and
personal service rooms where such facilities are provided.
(2) Potable drinking water dispensers should be designed,
constructed, and serviced so that sanitary conditions are maintained,
should be capable of being closed, and should be equipped with a tap.
(3) Open containers such as barrels, pails, or tanks for drinking
water from which the water must be dipped or poured, whether or not they
are fitted with a cover, should not be used.
(4) A common drinking cup and other common utensils should not be
used.
(b) The distribution lines should be capable of supplying water at
sufficient operating pressures to all taps for normal simultaneous
operation.
6. Toilet facilities.
(a) Toilet facilities. (1) Toilet facilities adequate for the number
of employees housed in the camp car should be provided in convenient and
safe location(s), and separate toilet rooms for each sex should be
provided in accordance with table l of this paragraph. The number of
facilities to be provided for each sex should be based on the number of
employees of that sex for whom the facilities are furnished. Where
toilet rooms will be occupied by no more than one person at a time, can
be locked from the inside, and contain at least one water closet or
nonwater carriage toilet facility, separate toilet rooms for each sex
need not be provided. Where such single-occupancy rooms have more than
one toilet facility, only one such facility in each toilet room should
be counted for the purpose of table 1.

Table 1
------------------------------------------------------------------------
Minimum No. of
No. of employees toilet
facilities \1\
------------------------------------------------------------------------
1 to 10................................................. 1
11 to 25................................................ 2
26 to 49................................................ 3
50 to 100............................................... 5
Over 100................................................ \2\
------------------------------------------------------------------------
\1\ Where toilet facilities will not be used by women, urinals may be
provided instead of water closets or nonwater carriage toilet
facilities, except that the number of water closets or facilities in
such cases should not be reduced to less than \2/3\ of the minimum
specified.
\2\ One additional fixture for each additional 25 employees.

(2) When toilet facilities are provided in separate cars, toilet
rooms should have a window space of not less than 6 square feet in area
opening directly to the outside area or otherwise be satisfactorily
ventilated. All outside openings should be screened with material that
is equivalent to or better than 16-mesh. No fixture, water closet,
nonwater carriage toilet facility or urinal should be located in a
compartment used for other than toilet purposes.
(3) The sewage disposal method should not endanger the health of
employees.
(b) Construction of toilet rooms. (1) Each water closet should
occupy a separate compartment with a door and walls or partitions
between fixtures sufficiently high to assure privacy.
(2) Nonwater carriage toilet facilities should be located within 50
feet, but as far as practical on the same side of the track on which
camp cars are sited.
(3) Each toilet facility should be lighted naturally, or
artificially by a safe type of lighting available at all hours of the
day and night. Flashlights can be substituted by the 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.

[[Page 260]]

(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.

[[Page 261]]

(e) Floors should be of smooth and tight construction and should be
kept in good repair.
(f) All living quarters should be provided with windows the total of
which should be not less than 10 percent of the floor area. At least
one-half of each window designed to be opened should be so constructed
that it can be opened for purposes of ventilation. Durable opaque window
coverings should be provided to reduce the entrance of light during
sleeping hours.
(g) All exterior openings should be effectively screened with 16-
mesh material. All screen doors should be equipped with self-closing
devices.
(h) In a facility where workers cook, live, and sleep, a minimum of
90 square feet per person should be provided. Sanitary facilities should
be provided for storing and preparing food.
(i) In camp cars where meals are provided, adequate facilities to
feed employees within a 60-minute period should be provided.
(j) All heating, cooking, ventilation, air conditioning and water
heating equipment should be installed in accordance with applicable
local regulations governing such installations.
(k) Every camp car should be provided with equipment capable of
maintaining a temperature of at least 68 degrees F. during normal cold
weather and no greater than 78 degrees F., or 20 degrees below ambient,
whichever is warmer, during normal hot weather.
(l) Existing camp cars may be grandfathered so as to only be subject
to subparagraphs (c), (d), (f), (h), and (k), in accordance with the
following as recommended maximums:

13 (c), (d), and (h)--by January 1, 1994.
13(f)--Indefinitely insofar as the ten percent (10%) requirement for
window spacing is concerned.
13(k)--by January 1, 1992.

14. Location. Camp cars occupied exclusively by individuals employed
for the purpose of maintaining the right-of-way of a railroad should be
located as far as practical from where ``switching or humping
operations'' of ``placarded cars'' occur, as defined in 49 CFR 228.101
(c)(3) and (c)(4), respectively. Every reasonable effort should be made
to locate these camp cars at least one-half mile (2,640 feet) from where
such switching or humping occurs. In the event employees housed in camp
cars located closer than one-half mile (2,640 feet) from where such
switching or humping of cars takes place are exposed to an unusual
hazard at such location, the employees involved should be housed in
other suitable accommodations. An unusual hazard means an unsafe
condition created by an occurrence other than normal switching or
humping.
15. General provisions. (a) Sleeping quarters are not considered to
be ``free of interruptions caused by noise under the control of the
railroad'' if noise levels attributable to noise sources under the
control of the railroad exceed an Leq (8) value of 55 dB(A), with
windows closed and exclusive of cooling, heating, and ventilating
equipment.
(b) A railroad should, within 48 hours after notice of noncompliance
with these recommendations, fix the deficient condition(s). Where
holidays or weekends intervene, the railroad should fix the condition
within 8 hours after the employees return to work. In the event such
condition(s) affects the safety or health of the employees, such as
water, cooling, heating or eating facilities, the railroad should
provide alternative arrangements for housing and eating until the
noncomplying condition is fixed.

[55 FR 30893, July 27, 1990]

PART 229--RAILROAD LOCOMOTIVE SAFETY STANDARDS--Table of Contents

Subpart A--General

Sec.
229.1 Scope.
229.3 Applicability.
229.4 Information collection.
229.5 Definitions.
229.7 Prohibited acts.
229.9 Movement of non-complying locomotives.
229.11 Locomotive identification.
229.13 Control of locomotives.
229.14 Non-MU control cab locomotives.
229.17 Accident reports.
229.19 Prior waivers.

Subpart B--Inspections and Tests

229.21 Daily inspection.
229.23 Periodic inspection: General.
229.25 Tests: Every periodic inspection.
229.27 Annual tests.
229.29 Biennial tests.
229.31 Main reservoir tests.
229.33 Out-of-use credit.

Subpart C--Safety Requirements

General Requirements

229.41 Protection against personal injury.
229.43 Exhaust and battery gases.
229.45 General condition.

Brake System

229.46 Brakes: General.
229.47 Emergency brake valve.
229.49 Main reservoir system.
229.51 Aluminum main reservoirs.
229.53 Brake gauges.
229.55 Piston travel.

[[Page 262]]

229.57 Foundation brake gear.
229.59 Leakage.

Draft System

229.61 Draft system.

Suspension System

229.63 Lateral motion.
229.64 Plain bearings.
229.65 Spring rigging.
229.67 Trucks.
229.69 Side bearings.
229.71 Clearance above top of rail.
229.73 Wheel sets.
229.75 Wheel and tire defects.

Electrical System

229.77 Current collectors.
229.79 Third rail shoes.
229.81 Emergency pole; shoe insulation.
229.83 Insulation or grounding of metal parts.
229.85 Doors and cover plates marked ``Danger''.
229.87 Hand-operated switches.
229.89 Jumpers; cable connections.
229.91 Motors and generators.

Internal Combustion Equipment

229.93 Safety cut-off device.
229.95 Venting.
229.97 Grounding fuel tanks.
229.99 Safety hangers.
229.101 Engines.

Steam Generators

229.103 Safe working pressure; factor of safety.
229.105 Steam generator number.
229.107 Pressure gauge.
229.109 Safety valves.
229.111 Water-flow indicator.
229.113 Warning notice.

Cabs and Cab Equipment

229.115 Slip/slide alarms.
229.117 Speed indicators.
229.119 Cabs, floors, and passageways.
229.121 Locomotive cab noise.
229.123 Pilots, snowplows, end plates.
229.125 Headlights and auxiliary lights.
229.127 Cab lights.
229.129 Audible warning device.
229.131 Sanders.
229.133 Interim locomotive conspicuity measures--auxiliary external
lights.
229.135 Event recorders.

Subpart D--Design Requirements

229.141 Body structure, MU locomotives.

Appendix A to Part 229--Form FRA--6180-49A [Note]
Appendix B to Part 229--Schedule of Civil Penalties
Appendix C to Part 229--FRA Locomotive Standards Defect Code [Note]

Authority: 49 U.S.C. 20102-20103, 20110-20112, 20114, 20133, 20137,
20138, 20143, 20301-20303, 20306, 20701-20703, 21301- 21302, 21304,
21306, and 21311; 49 CFR 1.49 (c), (g) and (m).

Source: 45 FR 21109, Mar. 31, 1980, unless otherwise noted.

Subpart A--General

Sec. 229.1 Scope.

This part prescribes minimum Federal safety standards for all
locomotives except those propelled by steam power.

Sec. 229.3 Applicability.

[54 FR 33229, Aug. 14, 1989]

Sec. 229.4 Information collection.

(a) The information collection requirements in this part have been
reviewed by the Office of Management and Budget pursuant to the
Paperwork Reduction Act of 1980, Public Law 96-511, and have been
assigned OMB control number 2130-0004.
(b) The information collection requirements are found in the
following sections:
(1) Section 229.9.
(2) Section 229.17.
(3) Section 229.21.
(4) Section 229.23.
(5) Section 229.25.
(6) Section 229.27.
(7) Section 229.29.
(8) Section 229.31.
(9) Section 229.33.
(10) Section 229.55.
(11) Section 229.103.
(12) Section 229.105.
(13) Section 229.113.

[[Page 263]]

(14) Section 229.135.

[50 FR 6953, Feb. 19, 1985, as amended at 58 FR 36613, July 8, 1993]

Sec. 229.5 Definitions.

As used in this part--
(a) Break means a fracture resulting in complete separation into
parts.
(b) Cab means that portion of the superstructure designed to be
occupied by the crew operating the locomotive.
(c) Carrier means railroad, as that term is defined below.
(d) Control cab locomotive means a locomotive without propelling
motors but with one or more control stands.
(e) Crack means a fracture without complete separation into parts,
except that castings with shrinkage cracks or hot tears that do not
significantly diminish the strength of the member are not considered to
be cracked.
(f) Dead locomotive means--
(1) A locomotive other than a control cab locomotive that does not
have any traction device supplying tractive power; or
(2) A control cab locomotive that has a locked and unoccupied cab.
(g) Event recorder means a device, designed to resist tampering,
that monitors and records data on train speed, direction of motion,
time, distance, throttle position, brake applications and operations
(including train brake, independent brake, and, if so equipped, dynamic
brake applications and operations) and, where the locomotive is so
equipped, cab signal aspect(s), over the most recent 48 hours of
operation of the electrical system of the locomotive on which it is
installed. A device, designed to resist tampering, that monitors and
records the specified data only when the locomotive is in motion shall
be deemed to meet this definition provided the device was installed
prior to [insert the effective date of the rule] and records the
specified data for the last eight hours the locomotive was in motion.
(h) High voltage means an electrical potential of more than 150
volts.
(i) In-service event recorder means an event recorder that was
successfully tested as prescribed in Sec. 229.25(e) and whose subsequent
failure to operate as intended, if any, is not actually known by the
railroad operating the locomotive on which it is installed.
(j) Lite locomotive means a locomotive or a consist of locomotives
not attached to any piece of equipment or attached only to a caboose.
(k) Locomotive means a piece of on-track equipment other than hi-
rail, specialized maintenance, or other similar equipment--
(1) With one or more propelling motors designed for moving other
equipment;
(2) With one or more propelling motors designed to carry freight or
passenger traffic or both; or
(3) Without propelling motors but with one or more control stands.
(l) MU locomotive means a multiple operated electric locomotive
described in paragraph (i)(2) or (3) of this section.
(m) Powered axle is an axle equipped with a traction device.
(n) Railroad means all forms of non-highway ground transportation
that run on rails or electromagnetic guideways, including (1) commuter
or other short-haul rail passenger service in a metropolitan or suburban
area, and (2) high speed ground transportation systems that connect
metropolitan areas, without regard to whether they use new technologies
not associated with traditional railroads. Such term does not include
rapid transit operations within an urban area that are not connected to
the general railroad system of transportation.
(o) Serious injury means an injury that results in the amputation of
any appendage, the loss of sight in an eye, the fracture of a bone, or
the confinement in a hospital for a period of more than 24 consecutive
hours.

[45 FR 21109, Mar. 31, 1980, as amended at 54 FR 33229, Aug. 14, 1989;
58 FR 36613, July 8, 1993; 60 FR 27905, May 26, 1995]

Sec. 229.7 Prohibited acts.

(a) The Locomotive Inspection Act (45 U.S.C. 22-34) makes it
unlawful for any carrier to use or permit to be used on its line any
locomotive unless the entire locomotive and its appurtenances--
(1) Are in proper condition and safe to operate in the service to
which they are put, without unnecessary peril to life or limb; and

[[Page 264]]

(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]

Sec. 229.9 Movement of non-complying locomotives.

(a) Except as provided in paragraphs (b), (c) and Sec. 229.125(h), a
locomotive with one or more conditions not in compliance with this part
may be moved only as a lite locomotive or a dead locomotive after the
carrier has complied with the following:
(1) A qualified person shall determine--
(i) That it is safe to move the locomotive; and
(ii) The maximum speed and other restrictions necessary for safely
conducting the movement;
(2)(i) The engineer in charge of the movement of the locomotive
shall be notified in writing and inform all other crew members in the
cab of the presence of the non-complying locomotive and the maximum
speed and other restrictions determined under paragraph (a)(1)(ii) of
this section.
(ii) A copy of the tag described in paragraph (a)(3) of this section
may be used to provide the notification required by paragraph (a)(2)(i)
of this section.
(3) A tag bearing the words ``non-complying locomotive'' and
containing the following information, shall be securely attached to the
control stand on each MU or control cab locomotive and to the isolation
switch or near the engine start switch on every other type of
locomotive--
(i) The locomotive number;
(ii) The name of the inspecting carrier;
(iii) The inspection location and date;
(iv) The nature of each defect;
(v) Movement restrictions, if any;
(vi) The destination; and
(vii) The signature of the person making the determinations required
by this paragraph.
(b) A locomotive that develops a non-complying condition enroute may
continue to utilize its propelling motors, if the requirements of
paragraph (a) are otherwise fully met, until the earlier of--
(1) The next calendar day inspection, or
(2) The nearest forward point where the repairs necessary to bring
it into compliance can be made.
(c) A non-complying locomotive may be moved lite or dead within a
yard, at speeds not in excess of 10 miles per hour, without meeting the
requirements of paragraph (a) of this section if the movement is solely
for the purpose of repair. The carrier is responsible to insure that the
movement may be safely made.
(d) A dead locomotive may not continue in use following a calendar
day inspection as a controlling locomotive or at the head of a train or
locomotive consist.
(e) A locomotive does not cease to be a locomotive because its
propelling motor or motors are inoperative or because its control jumper
cables are not connected.
(f) Nothing in this section authorizes the movement of a locomotive
subject to a Special Notice for Repair unless the movement is made in
accordance with the restrictions contained in the Special Notice.

[45 FR 21109, Mar. 31, 1980, as amended at 61 FR 8887, Mar. 6, 1996]

Sec. 229.11 Locomotive identification.

(a) The letter ``F'' shall be legibly shown on each side of every
locomotive

[[Page 265]]

near the end which for identification purposes will be known as the
front end.
(b) The locomotive number shall be displayed in clearly legible
numbers on each side of each locomotive.

Sec. 229.13 Control of locomotives.

Except when a locomotive is moved in accordance with Sec. 229.9,
whenever two or more locomotives are coupled in remote or multiple
control, the propulsion system, the sanders, and the power brake system
of each locomotive shall respond to control from the cab of the
controlling locomotive. If a dynamic brake or regenerative brake system
is in use, that portion of the system in use shall respond to control
from the cab of the controlling locomotive.

Sec. 229.14 Non-MU control cab locomotives.

On each non-MU control cab locomotive, only those components added
to the passenger car that enable it to serve as a lead locomotive,
control the locomotive actually providing tractive power, and otherwise
control the movement of the train, are subject to this part.

Sec. 229.17 Accident reports.

(a) In the case of an accident due to a failure from any cause of a
locomotive or any part or appurtenance of a locomotive, or a person
coming in contact with an electrically energized part or appurtenance,
that results in serious injury or death of one or more persons, the
carrier operating the locomotive shall immediately report the accident
by toll free telephone, Area Code 800-424-0201. The report shall state
the nature of the accident, number of persons killed or seriously
injured, the place at which it occurred, the location at which the
locomotive or the affected parts may be inspected by the FRA, and the
name, title and phone number of the person making the call. The
locomotive or the part or parts affected by the accident shall be
preserved intact by the carrier until after the FRA inspection.
(b) Written confirmation of the oral report required by paragraph
(a) of this section shall be immediately mailed to the Federal Railroad
Administration, RRS-25, Washington, DC 20590, and contain a detailed
description of the accident, including to the extent known, the causes
and the number of persons killed and injured. The written report
required by this paragraph is in addition to the reporting requirements
of 49 CFR part 225.

Sec. 229.19 Prior waivers.

All waivers of every form and type from any requirement of any order
or regulation implementing the Locomotive Inspection Act, applicable to
one or more locomotives except those propelled by steam power, shall
lapse on August 31, 1980, unless a copy of the grant of waiver is filed
prior to that date with the Office of Safety (RRS-23), Federal Railroad
Administration, Washington, DC 20590.

Subpart B--Inspections and Tests

Sec. 229.21 Daily inspection.

(a) Except for MU locomotives, each locomotive in use shall be
inspected at least once during each calendar day. A written report of
the inspection shall be made. This report shall contain the name of the
carrier; the initials and number of the locomotive; the place, date and
time of the inspection; a description of the non-complying conditions
disclosed by the inspection; and the signature of the employee making
the inspection. Except as provided in Sec. 229.9, any conditions that
constitute non-compliance with any requirement of this part shall be
repaired before the locomotive is used. A notation shall be made on the
report indicating the nature of the repairs that have been made. The
person making the repairs shall sign the report. The report shall be
filed and retained for at least 92 days in the office of the carrier at
the terminal at which the locomotive is cared for. A record shall be
maintained on each locomotive showing the place, date and time of the
previous inspection.
(b) Each MU locomotive in use shall be inspected at least once
during each calendar day and a written report of the inspection shall be
made. This report may be part of a single master report covering an
entire group of MU's.

[[Page 266]]

If any non-complying conditions are found, a separate, individual report
shall be made containing the name of the carrier; the initials and
number of the locomotive; the place, date, and time of the inspection;
the non-complying conditions found; and the signature of the inspector.
Except as provided in Sec. 229.9, any conditions that constitute non-
compliance with any requirement of this part shall be repaired before
the locomotive is used. A notation shall be made on the report
indicating the nature of the repairs that have been made. The person
making the repairs shall sign the report. The report shall be filed in
the office of the carrier at the place where the inspection is made or
at one central location and retained for at least 92 days.
(c) Each carrier shall designate qualified persons to make the
inspections required by this section.

[45 FR 21109, Mar. 31, 1980, as amended at 50 FR 6953, Feb. 19, 1985]

Sec. 229.23 Periodic inspection: General.

(a) Each locomotive and steam generator shall be inspected at each
periodic inspection to determine whether it complies with this part.
Except as provided in Sec. 229.9, all non-complying conditions shall be
repaired before the locomotive or the steam generator is used. Except as
provided in Sec. 229.33, the interval between any two periodic
inspections may not exceed 92 days. Periodic inspections shall only be
made where adequate facilities are available. At each periodic
inspection, a locomotive shall be positioned so that a person may safely
inspect the entire underneath portion of the locomotive.
(b) The periodic inspection of the steam generator may be postponed
indefinitely if the water suction pipe to the water pump and the leads
to the main switch (steam generator switch) are disconnected, and the
train line shut-off-valve is wired closed or a blind gasket applied.
However, the steam generator shall be so inspected before it is returned
to use.
(c) After April 30, 1980, each new locomotive shall receive an
initial periodic inspection before it is used. Except as provided in
Sec. 229.33, each locomotive in use on or before April 30, 1980, shall
receive an initial periodic inspection within 92 days of the last 30-day
inspection performed under the prior rules (49 CFR 230.331 and 230.451).
At the initial periodic inspection, the date and place of the last tests
performed that are the equivalent of the tests required by Secs. 229.27,
229.29, and 229.31 shall be entered on Form FRA F 6180-49A. These dates
shall determine when the tests first become due under Secs. 229.27,
229.29, and 229.31. Out of use credit may be carried over from Form FRA
F 6180-49 and entered on Form FRA F 6180-49A.
(d) Each periodic inspection shall be recorded on Form FRA F 6180-
49A. The form shall be signed by the person conducting the inspection
and certified by that person's supervisor that the work was done. The
form shall be displayed under a transparent cover in a conspicuous place
in the cab of each locomotive.
(e) At the first periodic inspection in each calendar year the
carrier shall remove from each locomotive Form FRA F 6180-49A covering
the previous calendar year. If a locomotive does not receive its first
periodic inspection in a calendar year before April 2 because it is out
of use, the form shall be promptly replaced. The Form FRA F 6180-49A
covering the preceding year for each locomotive, in or out of use, shall
be signed by the railroad official responsible for the locomotive and
filed as required in Sec. 229.23(f). The date and place of the last
periodic inspection and the date and place of the last test performed
under Secs. 229.27, 229.29, and 229.31 shall be transferred to the
replacement Form FRA F 6180-49A.
(f) The mechanical officer of each railroad who is in charge of a
locomotive shall maintain in his office a secondary record of the
information reported on Form FRA F 6180-49A under this part. The
secondary record shall be retained until Form FRA F 6180-49A has been
removed from the locomotive and filed in the railroad office of the
mechanical officer in charge of the locomotive. If the Form FRA F 6180-
49A removed from the locomotive is not clearly legible, the secondary
record shall be retained until the Form FRA F 6180-49A for the
succeeding year is filed. The Form F 6180-49A removed from a locomotive
shall be retained

[[Page 267]]

until the Form FRA F 6180-49A for the succeeding year is filed.

[45 FR 21109, Mar. 31, 1980, as amended at 45 FR 39852, June 12, 1980;
50 FR 6953, Feb. 19, 1985]

Sec. 229.25 Tests: Every periodic inspection.

Each periodic inspection shall include the following:
(a) All gauges used by the engineer for braking the train or
locomotive, except load meters used in conjunction with an auxiliary
brake system, shall be tested by comparison with a dead-weight tester or
a test gauge designed for this purpose.
(b) All electrical devices and visible insulation shall be
inspected.
(c) All cable connections between locomotives and jumpers that are
designed to carry 600 volts or more shall be thoroughly cleaned,
inspected, and tested for continuity.
(d) Each steam generator that is not isolated as prescribed in
Sec. 229.23(b) shall be inspected and tested as follows:
(1) All automatic controls, alarms and protective devices shall be
inspected and tested.
(2) Steam pressure gauges shall be tested by comparison with a dead-
weight tester or a test gauge designed for this purpose. The siphons to
the steam gauges shall be removed and their connections examined to
determine that they are open.
(3) Safety valves shall be set and tested under steam after the
steam pressure gauge is tested.
(e) The event recorder, if installed, shall be inspected,
maintained, and tested in accordance with the instructions of the
manufacturer, supplier, or owner thereof and in accordance with the
following criteria:
(1) A written copy of the instructions in use shall be kept at the
point where the work is performed.
(2) The event recorder shall be tested prior to performing any
maintenance work on it. At a minimum, the event recorder test shall
include cycling all required recording parameters and determining the
full range of each parameter by reading out recorded data. A micro-
processor based event recorder, equipped to perform self-tests, has
passed the pre-maintenance inspection requirement if it has not
indicated a failure.
(3) If this test does not reveal that the device is recording all
the specified data and that all recordings are within the designed
recording parameters, this fact shall be noted on the data verification
result required to be maintained by this section and maintenance and
testing shall be performed as necessary until a subsequent test is
successful.
(4) When a successful test is accomplished, a copy of those data
verification results shall be maintained with the locomotive's
maintenance records until the next one is filed.
(5) A railroad's event recorder periodic maintenance shall be
considered effective if ninety percent (90%) of the recorders inbound in
any given month for periodic inspection are still fully functional;
maintenance practices and test intervals shall be adjusted as necessary
to yield effective periodic maintenance.

[45 FR 21109, Mar. 31, 1980, as amended at 58 FR 36614, July 8, 1993; 60
FR 27905, May 26, 1995]

Sec. 229.27 Annual tests.

Each locomotive shall be subjected to the tests and inspections
included in paragraphs (b) and (c) of this section, and each non-MU
locomotive shall also be subjected to the tests and inspections included
in paragraph (a) of this section, at intervals that do not exceed 368
calendar days:
(a)(1) The filtering devices or dirt collectors located in the main
reservoir supply line to the air brake system shall be cleaned,
repaired, or replaced.
(2) Brake cylinder relay valve portions, main reservoir safety
valves, brake pipe vent valve portions, feed and reducing valve portions
in the air brake system (including related dirt collectors and filters)
shall be cleaned, repaired, and tested.
(3) The date and place of the cleaning, repairing, and testing shall
be recorded on Form FRA F 6180-49A and the person performing the work
and that person's supervisor shall sign the form. A record of the parts
of the air brake system that are cleaned, repaired, and tested shall be
kept in the carrier's files or in the cab of the locomotive.

[[Page 268]]

(4) At its option, a carrier may fragment the work required by this
paragraph. In that event, a separate air record shall be maintained
under a transparent cover in the cab. The air record shall include the
locomotive number, a list of the air brake components, and the date and
place of the last inspection and test of each component. The signature
of the person performing the work and the signature of that person's
supervisor shall be included for each component. A duplicate record
shall be maintained in the carrier's files.
(b) Load meters shall be tested. Errors of less than five percent do
not have to be corrected. The date and place of the test shall be
recorded on Form FRA F 6180-49A and the person conducting the test and
that person's supervisor shall sign the form.
(c) Each steam generator that is not isolated as prescribed in
Sec. 229.23(b), shall be subjected to a hydrostatic pressure at least 25
percent above the working pressure and the visual return water-flow
indicator shall be removed and inspected.

Sec. 229.29 Biennial tests.

(a) Except for the valves and valve portions on non-MU locomotives
that are cleaned, repaired, and tested as prescribed in Sec. 229.27(a),
all valves, valve portions, MU locomotive brake cylinders and electric-
pneumatic master controllers in the air brake system (including related
dirt collectors and filters) shall be cleaned, repaired, and tested at
intervals that do not exceed 736 calendar days. The date and place of
the cleaning, repairing, and testing shall be recorded on Form FRA F
6180-49A, and the person performing the work and that person's
supervisor shall sign the form. A record of the parts of the air brake
system that are cleaned, repaired, and tested shall be kept in the
carrier's files or in the cab of the locomotive.
(b) At its option, a carrier may fragment the work required by this
section. In that event, a separate air record shall be maintained under
a transparent cover in the cab. The air record shall include the
locomotive number, a list of the air brake components, and the date and
place of the inspection and test of each component. The signature of the
person performing the work and the signature of that person's supervisor
shall be included for each component. A duplicate record shall be
maintained in the carrier's files.

Sec. 229.31 Main reservoir tests.

(a) Except as provided in paragraph (c) of this section, before it
is put in 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.

[[Page 269]]

One row of holes shall be drilled lengthwise of the reservoir on a line
intersecting the drain opening. A reservoir so drilled does not have to
meet the requirements of paragraphs (a) and (b) of this section, except
the requirement for a hydrostatic test before it is placed in use.
Whenever any such telltale hole shall have penetrated the interior of
any reservoir, the reservoir shall be permanently withdrawn from
service. A reservoir now in use may be drilled in lieu of the tests
provided for by paragraphs (a) and (b) of this section, but it shall
receive a hydrostatic test before it is returned to use.
(d) Each aluminum main reservoir before being placed in use and at
intervals that do not exceed 736 calendar days thereafter, shall be--
(1) Cleaned and given a thorough visual inspection of all internal
and external surfaces for evidence of defects or deterioration; and
(2) Subjected to a hydrostatic pressure at least twice the maximum
working pressure fixed by the chief mechanical officer, but not less
than 250 p.s.i. The test date, place, and pressure shall be recorded on
Form FRA F 6180-49A, and the person conducting the test and that
person's supervisor shall sign the form.

Sec. 229.33 Out-of-use credit.

When a locomotive is out of use for 30 or more consecutive days or
is out of use when it is due for any test or inspection required by
Sec. 229.23, 229.25, 229.27, 229.29, or 229.31, an out-of-use notation
showing the number of out-of-use days shall be made on an inspection
line on Form FRA F 6180-49A. A supervisory employee of the carrier who
is responsible for the locomotive shall attest to the notation. If the
locomotive is out of use for one or more periods of at least 30
consecutive days each, the interval prescribed for any test or
inspection under this part may be extended by the number of days in each
period the locomotive is out of use since the last test or inspection in
question. A movement made in accordance with Sec. 229.9 is not a use for
purposes of determining the period of the out-of-use credit.

Subpart C--Safety Requirements

General Requirements

Sec. 229.41 Protection against personal injury.

Fan openings, exposed gears and pinions, exposed moving parts of
mechanisms, pipes carrying hot gases and high-voltage equipment,
switches, circuit breakers, contactors, relays, grid resistors, and
fuses shall be in non-hazardous locations or equipped with guards to
prevent personal injury.

Sec. 229.43 Exhaust and battery gases.

(a) Products of combustion shall be released entirely outside the
cab and other compartments. Exhaust stacks shall be of sufficient height
or other means provided to prevent entry of products of combustion into
the cab or other compartments under usual operating conditions.
(b) Battery containers shall be vented and batteries kept from
gassing excessively.

Sec. 229.45 General condition.

All systems and components on a locomotive shall be free of
conditions that endanger the safety of the crew, locomotive or train.
These conditions include: insecure attachment of components, including
third rail shoes or beams, traction motors and motor gear cases, and
fuel tanks; fuel, oil, water, steam, and other leaks and accumulations
of oil on electrical equipment that create a personal injury hazard;
improper functioning of components, including slack adjusters,
pantograph operating cylinders, circuit breakers, contactors, relays,
switches, and fuses; and cracks, breaks, excessive wear and other
structural infirmities of components, including quill drives, axles,
gears, pinions, pantograph shoes and horns, third rail beams, traction
motor gear cases, and fuel tanks.

Brake System

Sec. 229.46 Brakes: General.

The carrier shall know before each trip that the locomotive brakes
and devices for regulating all pressures, including but not limited to
the automatic and independent brake valves,

[[Page 270]]

operate as intended and that the water and oil have been drained from
the air brake system.

Sec. 229.47 Emergency brake valve.

(a) Except for locomotives with cabs designed for occupancy by only
one person, each road locomotive shall be equipped with a brake pipe
valve that is accessible to a member of the crew, other than the
engineer, from that crew member's position in the cab. On car body type
locomotives, a brake pipe valve shall be attached to the wall adjacent
to each end exit door. The words ``Emergency Brake Valve'' shall be
legibly stenciled or marked near each brake pipe valve or shall be shown
on an adjacent badge plate.
(b) MU and control cab locomotives operated in road service shall be
equipped with an emergency brake valve that is accessible to another
crew member in the passenger compartment or vestibule. The words
``Emergency Brake Valve'' shall be legibly stenciled or marked near each
valve or shall be shown on an adjacent badge plate.

Sec. 229.49 Main reservoir system.

(a)(1) The main reservoir system of each locomotive shall be
equipped with at least one safety valve that shall prevent an
accumulation of pressure of more than 15 pounds per square inch above
the maximum working air pressure fixed by the chief mechanical officer
of the carrier operating the locomotive.
(2) Except for non-equipped MU locomotives built prior to January 1,
1981, each locomotive that has a pneumatically actuated system of power
controls shall be equipped with a separate reservoir of air under
pressure to be used for operating those power controls. The reservoir
shall be provided with means to automatically prevent the loss of
pressure in the event of a failure of main air pressure, have storage
capacity for not less than three complete operating cycles of control
equipment and be located where it is not exposed to damage.
(b) A governor shall be provided that stops and starts or unloads
and loads the air compressor within 5 pounds per square inch above or
below the maximum working air pressure fixed by the carrier.
(c) Each compressor governor used in connection with the automatic
air brake system shall be adjusted so that the compressor will start
when the main reservoir pressure is not less than 15 pounds per square
inch above the maximum brake pipe pressure fixed by the carrier and will
not stop the compressor until the reservoir pressure has increased at
least 10 pounds.

Sec. 229.51 Aluminum main reservoirs.

(a) Aluminum main reservoirs used on locomotives shall be designed
and fabricated as follows:
(1) The heads and shell shall be made of Aluminum Association Alloy
No. 5083-0, produced in accordance with American Society of Mechnical
Engineers (ASME) Specification SB-209, as defined in the ``ASME Boiler
and Pressure Vessel Code'' (1971 edition), section II, Part B, page 123,
with a minimum tensile strength of 40,000 p.s.i. (40 k.s.i.).
(2) Each aluminum main reservoir shall be designed and fabricated in
accordance with the ``ASME Boiler and Pressure Vessel Code,'' section
VIII, Division I (1971 edition), except as otherwise provided in this
part.
(3) An aluminum main reservoir shall be constructed to withstand at
least five times its maximum working pressure or 800 p.s.i., whichever
is greater.
(4) Each aluminum main reservoir shall have at least two inspection
openings to permit complete circumferential visual observation of the
interior surface. On reservoirs less than 18 inches in diameter, the
size of each inspection opening shall be at least that of 1\1/2\-inch
threaded iron pipe, and on reservoirs 18 or more inches in diameter, the
size of each opening shall be at least that of 2-inch threaded iron
pipe.
(b) The following publications, which contain the industry standards
incorporated by reference in paragraph (a) of this section, may be
obtained from the publishers and are also on file in the Office of
Safety of the Federal Railroad Administration, Washington, DC 20590.
Sections II and VIII of the ``ASME Boiler and Pressure Vessel Code''
(1971 edition) are published by the American

[[Page 271]]

Society of Mechanical Engineers, United Engineering Center, 345 East
47th Street, New York, New York 10017.

Sec. 229.53 Brake gauges.

All gauges used by the engineer for braking the train or locomotive
shall be located so that they may be conveniently read from the
engineer's usual position in the cab. An air gauge may not be more than
three pounds per square inch in error.

Sec. 229.55 Piston travel.

(a) Brake cylinder piston travel shall be sufficient to provide
brake shoe clearance when the brakes are released.
(b) When the brakes are applied on a standing locomotive, the brake
cylinder piston travel may not exceed 1\1/2\ inches less than the total
possible piston travel. The total possible piston travel for each
locomotive shall be entered on Form FRA F 6180-49A.
(c) The minimum brake cylinder pressure shall be 30 pounds per
square inch.

Sec. 229.57 Foundation brake gear.

A lever, rod, brake beam, hanger, or pin may not be worn through
more than 30 percent of its cross-sectional area, cracked, broken, or
missing. All pins shall be secured in place with cotters, split keys, or
nuts. Brake shoes shall be fastened with a brake shoe key and aligned in
relation to the wheel to prevent localized thermal stress in the edge of
the rim or the flange.

Sec. 229.59 Leakage.

(a) Leakage from the main air reservoir and related piping may not
exceed an average of 3 pounds per square inch per minute for 3 minutes
after the pressure has been reduced to 60 percent of the maximum
pressure.
(b) Brake pipe leakage may not exceed 5 pounds per square inch per
minute.
(c) With a full service application at maximum brake pipe pressure
and with communication to the brake cylinders closed, the brakes shall
remain applied at least 5 minutes.
(d) Leakage from control air reservoir, related piping, and
pneumatically operated controls may not exceed an average of 3 pounds
per square inch per minute for 3 minutes.

Draft System

Sec. 229.61 Draft system.

(a) A coupler may not have any of the following conditions:
(1) A distance between the guard arm and the knuckle nose of more
than 5\1/8\ inches on standard type couplers (MCB contour 1904) or more
than 5\5/16\ inches on D&E couplers.
(2) A crack or break in the side wall or pin bearing bosses outside
of the shaded areas shown in Figure 1 or in the pulling face of the
knuckle.
[GRAPHIC] [TIFF OMITTED] TC01AP91.004

[[Page 272]]

(3) A coupler assembly without anti-creep protection.
(4) Free slack in the coupler or drawbar not absorbed by friction
devices or draft gears that exceeds one-half inches.
(5) A broken or cracked coupler carrier.
(6) A broken or cracked yoke.
(7) A broken draft gear.
(b) A device shall be provided under the lower end of all drawbar
pins and articulated connection pins to prevent the pin from falling out
of place in case of breakage.

Suspension System

Sec. 229.63 Lateral motion.

(a) Except as provided in paragraph (b), the total uncontrolled
lateral motion between the hubs of the wheels and boxes, between boxes
and pedestals or both, on any pair of wheels may not exceed 1 inch on
non-powered axles and friction bearing powered axles, or \3/4\ inch on
all other powered axles.
(b) The total uncontrolled lateral motion may not exceed 1\1/4\
inches on the center axle of three-axle trucks.

Sec. 229.64 Plain bearings.

A plain bearing box shall contain visible free oil and may not be
cracked to the extent that it will leak oil.

Sec. 229.65 Spring rigging.

(a) Protective construction or safety hangers shall be provided to
prevent spring planks, spring seats or bolsters from dropping to track
structure in event of a hanger or spring failure.
(b) An elliptical spring may not have its top (long) leaf broken or
any other three leaves broken, except when that spring is part of a nest
of three or more springs and none of the other springs in the nest has
its top leaf or any other three leaves broken. An outer coil spring or
saddle may not be broken. An equalizer, hanger, bolt, gib, or pin may
not be cracked or broken. A coil spring may not be fully compressed when
the locomotive is at rest.
(c) A shock absorber may not be broken or leaking clearly formed
droplets of oil or other fluid.

Sec. 229.67 Trucks.

(a) The male center plate shall extend into the female center plate
at least \3/4\ inch. On trucks constructed to transmit tractive effort
through the center plate or center pin, the male center plate shall
extend into the female center plate at least 1\1/2\ inches. Maximum lost
motion in a center plate assemblage may not exceed \1/2\ inch.
(b) Each locomotive shall have a device or securing arrangement to
prevent the truck and locomotive body from separating in case of
derailment.
(c) A truck may not have a loose tie bar or a cracked or broken
center casting, motor suspension lug, equalizer, hanger, gib or pin. A
truck frame may not be broken or have a crack in a stress area that may
affect its structural integrity.

Sec. 229.69 Side bearings.

(a) Friction side bearings with springs designed to carry weight may
not have more than 25 percent of the springs in any one nest broken.
(b) Friction side bearings may not be run in contact unless designed
to carry weight. Maximum clearance of side bearings may not exceed one-
fourth inch on each side or a total of one-half inch on both sides,
except where more than two side bearings are used under the same rigid
superstructure. The clearance on one pair of side bearings under the
same rigid superstructure shall not exceed one-fourth inch on each side
or a total of one-half inch on both sides; the other side bearings under
the same rigid superstructure may have one-half inch clearance on each
side or a total of 1 inch on both sides. These clearances apply where
the spread of the side bearings is 50 inches or less; where the spread
is greater, the side bearing clearance may only be increased
proportionately.

Sec. 229.71 Clearance above top of rail.

No part or appliance of a locomotive except the wheels, flexible
nonmetallic sand pipe extension tips, and trip cock arms may be less
than 2\1/2\ inches above the top of rail.

[[Page 273]]

Sec. 229.73 Wheel sets.

(a) The variation in the circumference of wheels on the same axle
may not exceed \1/4\ inch (two tape sizes) when applied or turned.
(b) The maximum variation in the diameter between any two wheel sets
in a three-powered-axle truck may not exceed \3/4\ inch, except that
when shims are used at the journal box springs to compensate for wheel
diameter variation, the maximum variation may not exceed 1\1/4\ inch.
The maximum variation in the diameter between any two wheel sets on
different trucks on a locomotive that has three-powered-axle trucks may
not exceed 1\1/4\ inch. The diameter of a wheel set is the average
diameter of the two wheels on an axle.
(c) On standard gauge locomotives, the distance between the inside
gauge of the flanges on non-wide flange wheels may not be less than 53
inches or more than 53\1/2\ inches. The distance between the inside
gauge of the flanges on wide flange wheels may not be less than 53
inches or more than 53\1/4\ inches.
(d) The distance back to back of flanges of wheels mounted on the
same axle shall not vary more than \1/4\ inch.

Sec. 229.75 Wheels and tire defects.

Wheels and tires may not have any of the following conditions:
(a) A single flat spot that is 2\1/2\ inches or more in length, or
two adjoining spots that are each two or more inches in length.
(b) A gouge or chip in the flange that is more than 1\1/2\ inches in
length and \1/2\ inch in width.
(c) A broken rim, if the tread, measured from the flange at a point
five-eighths inch above the tread, is less than 3\3/4\ inches in width.
(d) A shelled-out spot 2\1/2\ inches or more in length, or two
adjoining spots that are each two or more inches in length.
(e) A seam running lengthwise that is within 3\3/4\ inches of the
flange.
(f) A flange worn to a \7/8\ inch thickness or less, gauged at a
point \3/8\ inch above the tread.
(g) A tread worn hollow \5/16\ inch or more on a locomotive in road
service or \3/8\ inch or more on a locomotive in switching service.
(h) A flange height of 1\1/2\ inches or more measured from tread to
the top of the flange.
(i) Tires less than 1\1/2\ inches thick.
(j) Rims less than 1 inch thick on a locomotive in road service or
less than \3/4\ inch on a locomotive in yard service.
(k) A crack or break in the flange, tread, rim, plate, or hub.
(l) A loose wheel or tire.
(m) Fusion welding may not be used on tires or steel wheels of
locomotives, except for the repair of flat spots and worn flanges on
locomotives used exclusively in yard service. A wheel that has been
welded is a welded wheel for the life of the wheel.

Electrical System

Sec. 229.77 Current collectors.

(a) Pantographs shall be so arranged that they can be operated from
the engineer's normal position in the cab. Pantographs that
automatically rise when released shall have an automatic locking device
to secure them in the down position.
(b) Each pantograph operating on an overhead trolley wire shall have
a device for locking and grounding it in the lowest position, that can
be applied and released only from a position where the operator has a
clear view of the pantograph and roof without mounting the roof.

Sec. 229.79 Third rail shoes.

When locomotives are equipped with both third rail and overhead
collectors, third-rail shoes shall be deenergized while in yards and at
stations when current collection is exclusively from the overhead
conductor.

Sec. 229.81 Emergency pole; shoe insulation.

(a) Each locomotive equipped with a pantograph operating on an
overhead trolley wire shall have an emergency pole suitable for
operating the pantograph. Unless the entire pole can be safely handled,
the part of the pole which can be safely handled shall be marked to so
indicate. This pole shall be protected from moisture when not in use.
(b) Each locomotive equipped with third-rail shoes shall have a
device for

[[Page 274]]

insulating the current collecting apparatus from the third rail.

Sec. 229.83 Insulation or grounding of metal parts.

All unguarded noncurrent-carrying metal parts subject to becoming
charged shall be grounded or thoroughly insulated.

Sec. 229.85 Doors and cover plates marked ``Danger''.

All doors and cover plates guarding high voltage equipment shall be
marked ``Danger--High Voltage'' or with the word ``Danger'' and the
normal voltage carried by the parts so protected.

Sec. 229.87 Hand-operated switches.

All hand-operated switches carrying currents with a potential of
more than 150 volts that may be operated while under load shall be
covered and shall be operative from the outside of the cover. Means
shall be provided to show whether the switches are open or closed.
Switches that should not be operated while under load shall be legibly
marked with the words ``must not be operated under load'' and the
voltage carried.

Sec. 229.89 Jumpers; cable connections.

(a) Jumpers and cable connections between locomotives shall be so
located and guarded to provide sufficient vertical clearance. They may
not hang with one end free.
(b) Cable and jumper connections between locomotive may not have any
of the following conditions:
(1) Broken or badly chafed insulation.
(2) Broken plugs, receptacles or terminals.
(3) Broken or protruding strands of wire.

Sec. 229.91 Motors and generators.

A motor or a generator may not have any of the following conditions:
(a) Be shorted or grounded.
(b) Throw solder excessively.
(c) Show evidence of coming apart.
(d) Have an overheated support bearing.
(e) Have an excessive accumulation of oil.

Internal Combustion Equipment

Sec. 229.93 Safety cut-off device.

The fuel line shall have a safety cut-off device that--
(a) Is located adjacent to the fuel supply tank or in another safe
location;
(b) Closes automatically when tripped and can be reset without
hazard; and
(c) Can be hand operated from clearly marked locations, one inside
the cab and one on each exterior side of the locomotive.

Sec. 229.95 Venting.

Fuel tank vent pipes may not discharge on the roof nor on or between
the rails.

Sec. 229.97 Grounding fuel tanks.

Fuel tanks and related piping shall be electrically grounded.

Sec. 229.99 Safety hangers.

Drive shafts shall have safety hangers.

Sec. 229.101 Engines.

(a) The temperature and pressure alarms, controls and related
switches of internal combustion engines shall function properly.
(b) Whenever an engine has been shut down due to mechanical or other
problems, a distinctive warning notice giving reason for the shut-down
shall be conspicuously attached near the engine starting control until
repairs have been made.
(c) Wheel slip/slide protection shall be provided on a locomotive
with an engine displaying a warning notice whenever required by
Sec. 229.115(b).

Steam Generators

Sec. 229.103 Safe working pressure; factor of safety.

The safe working pressure for each steam generator shall be fixed by
the chief mechanical officer of the carrier. The minimum factor of
safety shall be four. The fixed safe working pressure shall be indicated
on FRA Form F 6180-49A.

[[Page 275]]

Sec. 229.105 Steam generator number.

An identification number shall be marked on the steam generator's
separator and that number entered on FRA Form F 6180-49A.

Sec. 229.107 Pressure gauge.

(a) Each steam generator shall have an illuminated steam gauge that
correctly indicates the pressure. The steam pressure gauge shall be
graduated to not less than one and one-half times the allowed working
pressure of the steam generator.
(b) Each steam pressure gauge on a steam generator shall have a
siphon that prevents steam from entering the gauge. The pipe connection
shall directly enter the separator and shall be steam tight between the
separator and the gauge.

Sec. 229.109 Safety valves.

Every steam generator shall be equipped with at least two safety
valves that have a combined capacity to prevent an accumulation of
pressure of more than five pounds per square inch above the allowed
working pressure. The safety valves shall be independently connected to
the separator and located as closely to the separator as possible
without discharging inside of the generator compartment. The ends of the
safety valve discharge lines shall be located or protected so that
discharged steam does not create a hazard.

Sec. 229.111 Water-flow indicator.

(a) Steam generators shall be equipped with an illuminated visual
return water-flow indicator.
(b) Steam generators shall be equipped with an operable test valve
or other means of determining whether the steam generator is filled with
water. The fill test valve may not discharge steam or hot water into the
steam generator compartment.

Sec. 229.113 Warning notice.

Whenever any steam generator has been shut down because of defects,
a distinctive warning notice giving reasons for the shut-down shall be
conspicuously attached near the steam generator starting controls until
the necessary repairs have been made. The locomotive in which the steam
generator displaying a warning notice is located may continue in service
until the next periodic inspection.

Cabs and Cab Equipment

Sec. 229.115 Slip/slide alarms.

(a) Except for MU locomotives, each locomotive used in road service
shall be equipped with a device that provides an audible or visual alarm
in the cab of either slipping or sliding wheels on powered axles under
power. When two or more locomotives are coupled in multiple or remote
control, the wheel slip/slide alarm of each locomotive shall be shown in
the cab of the controlling locomotive.
(b) Except as provided in Sec. 229.9, an equipped locomotive may not
be dispatched in road service, or continue in road service following a
daily inspection, unless the wheel slip/slide protective device of
whatever type--
(1) Is functioning for each powered axle under power; and
(2) Would function on each powered axle if it were under power.
(c) Effective January 1, 1981, all new locomotives capable of being
used in road service shall be equipped with a device that detects wheel
slip/slide for each powered axle when it is under power. The device
shall produce an audible or visual alarm in the cab.

Sec. 229.117 Speed indicators.

(a) After December 31, 1980, each locomotive used as a controlling
locomotive at speeds in excess of 20 miles per hour shall be equipped
with a speed indicator which is--
(1) Accurate within ^{plus-minus3 miles per hour of actual speed
at speeds of 10 to 30 miles per hour and accurate within
^{plus-minus5 miles per hour at speeds above 30 miles per hour; and
(2) Clearly readable from the engineer's normal position under all
light conditions.
(b) Each speed indicator required shall be tested as soon as
possible after departure by means of speed test sections or equivalent
procedures.

[[Page 276]]

Sec. 229.119 Cabs, floors, and passageways.

(a) Cab seats shall be securely mounted and braced. Cab doors shall
be equipped with a secure and operable latching device.
(b) Cab windows of the lead locomotive shall provide an undistorted
view of the right-of-way for the crew from their normal position in the
cab. (See also, Safety Glazing Standards, 49 CFR part 223, 44 FR 77348,
Dec. 31, 1979.)
(c) Floors of cabs, passageways, and compartments shall be kept free
from oil, water, waste or any obstruction that creates a slipping,
tripping or fire hazard. Floors shall be properly treated to provide
secure footing.
(d) The cab shall be provided with proper ventilation and with a
heating arrangement that maintains a temperature of at least 50 degrees
Fahrenheit 6 inches above the center of each seat in the cab.
(e) Similar locomotives with open end platforms coupled in multiple
control and used in road service shall have a means of safe passage
between them; no passageway is required through the nose of car body
locomotives. There shall be a continuous barrier across the full width
of the end of a locomotive or a continuous barrier between locomotives.
(f) Containers shall be provided for carrying fusees and torpedoes.
A single container may be used if it has a partition to separate fusees
from torpedoes. Torpedoes shall be kept in a closed metal container.

Sec. 229.121 Locomotive cab noise.

(a) After August 31, 1980, the permissible exposure to a continuous
noise in a locomotive cab shall not exceed an eight-hour time-weighted
average of 90dB(A), with a doubling rate of 5dB(A) as indicated in the
table. Continuous noise is any sound with a rise time of more than 35
milliseconds to peak intensity and a duration of more than 500
milliseconds to the time when the level is 20dB below the peak.

------------------------------------------------------------------------
Sound
Duration permitted (hours) level
(dB(A))
------------------------------------------------------------------------
12.......................................................... 87
8........................................................... 90
6........................................................... 92
4........................................................... 95
2........................................................... 100
1\1/2\...................................................... 102
1........................................................... 105
\1/2\....................................................... 110
\1/4\ or less............................................... 115
------------------------------------------------------------------------

(b) When the continuous noise exposure is composed of two or more
periods of noise exposure of different levels, their combined effect
shall be considered. Exposure to different levels for various periods of
time shall be computed according to the following formula:

D=T1/L1+T2/L2+. . . . Tn/Ln

Where:
D = noise dose.
T = the duration of exposure (in hours) at a given continuous noise
level.
L = the limit (in hours) for the level present during the time T (from
the table).
If the value of D exceeds 1, the exposure exceeds permissible levels.

(c) Exposure to continuous noise shall not exceed 115dB(A).
(d) Noise measurements shall be made under typical operating
conditions using a sound level meter conforming, at a minimum, to the
requirements of ANSI S1.4-1971, Type 2, and set to an A-weighted slow
response or with an audiodosimeter of equivalent accuracy and precision.
(e) In conducting sound level measurements with a sound level meter,
the microphone shall be oriented vertically and positioned approximately
15 centimeters from and on axis with the crew member's ear. Measurements
with an audiodosimeter shall be conducted in accordance with
manufacturer's procedures as to microphone placement and orientation.

Sec. 229.123 Pilots, snowplows, end plates.

After January 1, 1981, each lead locomotive shall be equipped with
an end plate that extends across both rails, a pilot, or a snowplow. The
minimum clearance above the rail of the pilot, snowplow or end plate
shall be 3 inches, and the maximum clearance 6 inches.

[[Page 277]]

Sec. 229.125 Headlights and auxiliary lights.

(a) Each lead locomotive used in road service shall have a headlight
that produces at least 200,000 candela. If a locomotive or locomotive
consist in road service is regularly required to run backward for any
portion of its trip other than to pick up a detached portion of its
train or to make terminal movements, it shall also have on its rear a
headlight that produces at least 200,000 candela. Each headlight shall
be arranged to illuminate a person at least 800 feet ahead and in front
of the headlight.
(b) Each locomotive or locomotive consist used in yard service shall
have two headlights, one located on the front of the locomotive or
locomotive consist and one on its rear. Each headlight shall produce at
least 60,000 candela and shall be arranged to illuminate a person at
least 300 feet ahead and in front of the headlight.
(c) Headlights shall be provided with a device to dim the light.
(d) Effective December 31, 1997, each lead locomotive operated at a
speed greater than 20 miles per hour over one or more public highway-
rail crossings shall be equipped with operative auxiliary lights, in
addition to the headlight required by paragraph (a) or (b) of this
section. A locomotive equipped on March 6, 1996 with auxiliary lights in
conformance with Sec. 229.133 shall be deemed to conform to this section
until March 6, 2000. All locomotives in compliance with Sec. 229.133(c)
shall be deemed to conform to this section. Auxiliary lights shall be
composed as follows:
(1) Two white auxiliary lights shall be placed at the front of the
locomotive to form a triangle with the headlight.
(i) The auxiliary lights shall be at least 36 inches above the top
of the rail, except on MU locomotives and control cab locomotives where
such placement would compromise the integrity of the car body or be
otherwise impractical. Auxiliary lights on such MU locomotives and
control cab locomotives shall be at least 24 inches above the top of the
rail.
(ii) The auxiliary lights shall be spaced at least 36 inches apart
if the vertical distance from the headlight to the horizontal axis of
the auxiliary lights is 60 inches or more.
(iii) The auxiliary lights shall be spaced at least 60 inches apart
if the vertical distance from the headlight to the horizontal axis of
the auxiliary lights is less than 60 inches.
(2) Each auxiliary light shall produce at least 200,000 candela.
(3) The auxiliary lights shall be focused horizontally within 15
degrees of the longitudinal centerline of the locomotive.
(e) Auxiliary lights required by paragraph (d) of this section may
be arranged
(1) to burn steadily or
(2) flash on approach to a crossing.
If the auxiliary lights are arranged to flash;
(i) they shall flash alternately at a rate of at least 40 flashes
per minute and at most 180 flashes per minute,
(ii) the railroad's operating rules shall set a standard procedure
for use of flashing lights at public highway-rail grade crossings, and
(iii) the flashing feature may be activated automatically, but shall
be capable of manual activation and deactivation by the locomotive
engineer.
(f) Auxiliary lights required by paragraph (d) of this section shall
be continuously illuminated immediately prior to and during movement of
the locomotive, except as provided by railroad operating rules,
timetable or special instructions, unless such exception is disapproved
by FRA. A railroad may except use of auxiliary lights at a specific
public highway-rail grade crossing by designating that exception in the
railroad's operating rules, timetable, or a special order. Any exception
from use of auxiliary lights at a specific public grade crossing can be
disapproved for a stated cause by FRA's Associate Administrator for
Safety or any one of FRA's Regional Administrators, after investigation
by FRA and opportunity for response from the railroad.
(g) Movement of locomotives with defective auxiliary lights.
(1) A lead locomotive with only one failed auxiliary light must be
repaired or switched to a trailing position before departure from the
place where an initial terminal inspection is required for that train.

[[Page 278]]

(2) A locomotive with only one auxiliary light that has failed after
departure from an initial terminal, must be repaired not later than the
next calendar inspection required by Sec. 229.21.
(3) A lead locomotive with two failed auxiliary lights may only
proceed to the next place where repairs can be made. This movement must
be consistent with Sec. 229.9.
(h) Any locomotive subject to Part 229, that was built before
December 31, 1948, and that is not used regularly in commuter or
intercity passenger service, shall be considered historic equipment and
excepted from the requirements of paragraphs (d) through (h) of this
section.

[45 FR 21109, Mar. 31, 1980, as amended at 61 FR 8887, Mar. 6, 1996]

Sec. 229.127 Cab lights.

(a) Each locomotive shall have cab lights which will provide
sufficient illumination for the control instruments, meters, and gauges
to enable the engine crew to make accurate readings from their normal
positions in the cab. These lights shall be located, constructed, and
maintained so that light shines only on those parts requiring
illumination and does not interfere with the crew's vision of the track
and signals. Each controlling locomotive shall also have a conveniently
located light that can be readily turned on and off by the persons
operating the locomotive and that provides sufficient illumination for
them to read train orders and timetables.
(b) Cab passageways and compartments shall have adequate
illumination.

Sec. 229.129 Audible warning device.

(a) After August 31, 1980, each lead locomotive shall be provided
with an audible warning device that produces a minimum sound level of
96db(A) at 100 feet forward of the locomotive in its direction of
travel. The device shall be arranged so that it can be conveniently
operated from the engineer's normal position in the cab.
(b) Measurement of the sound level shall be made using a sound level
meter conforming, at a minimum, to the requirements of ANSI S1.4-1971,
Type 2, and set to an A-weighted slow response. While the locomotive is
on level tangent track, the microphone shall be positioned 4 feet above
the ground at the center line of the track, and shall be oriented with
respect to the sound source in accordance with the manufacturer's
recommendations.
(c) A 4dB(A) measurement tolerance is allowable for a given
measurement.

Sec. 229.131 Sanders.

Except for MU locomotives, each locomotive shall be equipped with
operable sanders that deposit sand on each rail in front of the first
power operated wheel set in the direction of movement.

Sec. 229.133 Interim locomotive conspicuity measures--auxiliary external lights.

(a) A locomotive at the head of a train or other movement is
authorized to be equipped with auxiliary external lights, additional to
the headlight required by Sec. 229.125, for the purpose of improved
conspicuity. A locomotive that is equipped with auxiliary external
lights in conformance with the specifications or performance standards
set forth in paragraph (b) of this section on the date of issuance of a
final rule that requires additional or other external lights on
locomotives for improved conspicuity, as required by section 202(u) of
the Federal Railroad Safety Act of 1970, shall be deemed to conform to
the requirements of the final rule for four years following the date of
issuance of that final rule.
(b) Each qualifying arrangement of auxiliary external lights shall
conform to one of the following descriptions:
(1) Ditch lights. (i) Ditch lights shall consist of two white
lights, each producing a steady beam of at least 200,000 candela, placed
at the front of the locomotive, at least 36 inches above the top of the
rail.
(ii) Ditch lights shall be spaced at least 36 inches apart if the
vertical distance from the headlight to the horizontal axis of the ditch
lights is 60 inches or more.

[[Page 279]]

(iii) Ditch lights shall be spaced at least 60 inches apart if the
vertical distance from the headlight to the horizontal axis of the ditch
lights is less than 60 inches.
(iv) Ditch lights shall be focused horizontally within 45 degrees of
the longitudinal centerline of the locomotive.
(2) Strobe lights. (i) Strobe lights shall consist of two white
stroboscopic lights, each with ``effective intensity,'' as defined by
the Illuminating Engineering Society's Guide for Calculating the
Effective Intensity of Flashing Signal Lights (November 1964), of at
least 500 candela.
(ii) The flash rate of strobe lights shall be at least 40 flashes
per minute and at most 180 flashes per minute.
(iii) Strobe lights shall be placed at the front of the locomotive,
at least 48 inches apart, and at least 36 inches above the top of the
rail.
(3) Crossing lights. (i) Crossing lights shall consist of two white
lights, placed at the front of the locomotive, at least 36 inches above
the top of the rail.
(ii) Crossing lights shall be spaced at least 36 inches apart if the
vertical distance from the headlight to the horizontal axis of the ditch
lights is 60 inches or more.
(iii) Crossing lights shall be spaced at least 60 inches apart if
the vertical distance from the headlight to the horizontal axis of the
ditch lights is less than 60 inches.
(iv) Each crossing light shall produce at least 200,000 candela,
either steadily burning or alternately flashing.
(v) The flash rate of crossing lights shall be at least 40 flashes
per minute and at most 180 flashes per minute.
(vi) Crossing lights shall be focused horizontally within 15 degrees
of the longitudinal centerline of the locomotive.
(4) Oscillating light. (i) An oscillating light shall consist of:
(A) One steadily burning white light producing at least 200,000
candela in a moving beam that depicts a circle or a horizontal figure
``8'' to the front, about the longitudinal centerline of the locomotive;
or
(B) Two or more white lights producing at least 200,000 candela
each, at one location on the front of the locomotive, that flash
alternately with beams within five degrees horizontally to either side
of the longitudinal centerline of the locomotive.
(ii) An oscillating light may incorporate a device that
automatically extinguishes the white light if display of a light of
another color is required to protect the safety of railroad operations.
(c)(1) Any lead locomotive equipped with oscillating lights as
described in paragraph (b)(4) that were ordered for installation on that
locomotive prior to January 1, 1996, is considered in compliance with
Sec. 229.125(d) (1) through (3).
(2) Any lead locomotive equipped with strobe lights as described in
paragraph (b)(2) and operated at speeds no greater than 40 miles per
hour, is considered in compliance with Sec. 229.125(d) (1) through (3)
until the locomotive is retired or rebuilt, whichever comes first.
(3) Any lead locomotive equipped with two white auxiliary lights
spaced at least 44 inches apart on at least one axis which was equipped
with these auxiliary lights before May 30, 1994, will be considered in
compliance with Sec. 229.125(d) (1) through (3) until the locomotive is
retired or rebuilt, whichever comes first.

[58 FR 6902, Feb. 3, 1993, as amended at 59 FR 24963, May 13, 1994; 59
FR 39705, Aug. 4, 1994; 61 FR 8887, Mar. 6, 1996]

Sec. 229.135 Event recorders.

(a) Duty to equip. Effective May 5, 1995, and except as provided in
paragraph (b) of this section, any train operated faster than 30 miles
per hour shall have an in-service event recorder in the lead locomotive.
The presence of the event recorder shall be noted on Form FRA F6180-49A,
under the REMARKS section, except that an event recorder designed to
allow the locomotive to assume the lead position only if the recorder is
properly functioning is not required to have its presence noted on Form
FRA F6180-49A. For the purpose of this section, ``train'' includes a
locomotive or group of locomotives with or without cars, and ``lead
locomotive'' means the locomotive from whose cab the crew is operating
the train and, when cab control

[[Page 280]]

locomotives and/or MU locomotives are coupled together, is the first
locomotive proceeding in the direction of movement. The duty to equip
the lead locomotive may be met with an event recorder located elsewhere
than the lead locomotive provided that such event recorder monitors and
records the required data as though it were located in the lead
locomotive.
(b) Response to defective equipment. A locomotive on which the event
recorder has been taken out of service as provided in paragraph (c) of
this section may remain as the lead locomotive only until the next
calendar-day inspection. A locomotive with an inoperative event recorder
is not deemed to be in improper condition, unsafe to operate, or a non-
complying locomotive under Secs. 229.7 and 229.9, and notwithstanding
any other requirements in this chapter, inspection, maintenance, and
testing of event recorders is limited to the requirements set forth in
Sec. 229.25(e).
(c) Removal from service. A railroad may remove an event recorder
from service and, if a railroad knows that an event recorder is not
monitoring or recording the data specified in Sec. 229.5(g), shall
remove the event recorder from service. When a railroad removes an event
recorder from service, a qualified person shall cause to be recorded the
date the device was removed from service on Form FRA F6180-49A, under
the REMARKS section. An event recorder designed to allow the locomotive
to assume the lead position only if the recorder is properly functioning
is not required to have its removal from service noted on Form FRA
F6180-49A.
(d) Preserving accident data. For the purposes of this section, the
term ``event recorder'' includes all locomotive-mounted recording
devices designed to record information concerning the functioning of a
locomotive or train regardless of whether the device meets the
definition of ``event recorder'' in Sec. 229.5.
(1) Accidents required to be reported to the Federal Railroad
Administration. If any locomotive equipped with an event recorder is
involved in an accident that is required to be reported to FRA, the
railroad using the locomotive shall, to the extent possible, and to the
extent consistent with the safety of life and property, preserve the
data recorded by the device for analysis by FRA. This preservation
requirement permits the railroad to extract and analyze such data;
provided the original or a first-order accurate copy of the data shall
be retained in secure custody and shall not be utilized for analysis or
any other purpose except by direction of FRA or the National
Transportation Safety Board. This preservation requirement shall expire
30 days after the date of the accident unless FRA or the Board notifies
the railroad in writing that the data are desired for analysis.
(2) Relationship to other laws. Nothing in this section is intended
to alter the legal authority of law enforcement officials investigating
potential violation(s) of State criminal law(s) and nothing in this
chapter is intended to alter in any way the priority of National
Transportation Safety Board investigations under 49 U.S.C. 1131 and
1134, nor the authority of the Secretary of Transportation to
investigate railroad accidents under 49 U.S.C. 5121, 5122, 20107, 20111,
20112, 20505, 20702, 20703, and 20902.
(e) Disabling event recorders. Except as provided in paragraph (c)
of this section, any individual who willfully disables an event recorder
is subject to civil penalty and to disqualification from performing
safety-sensitive functions on a railroad as provided in Sec. 218.55 of
this chapter and any individual who tampers with or alters the data
recorded by such a device is subject to a civil penalty as provided in
appendix B of this part and to disqualification from performing safety-
sensitive functions on a railroad if found unfit for such duties under
the procedures in 49 CFR part 209.

[58 FR 36614, July 8, 1993, as amended at 60 FR 27905, May 26, 1995]

Subpart D--Design Requirements

Sec. 229.141 Body structure, MU locomotives.

(a) MU locomotives built new after April 1, 1956 that are operated
in trains having a total empty weight of 600,000 pounds or more shall
have a body structure designed to meet or exceed the following minimum
specifications:

[[Page 281]]

(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.

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.

[[Page 282]]

Appendix B To Part 229--Schedule of Civil Penalties\1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------

Subpart A--General
------------------------------------------------------------------------
229.7 Prohibited acts: Safety deficiencies
not governed by specific regulations: To be
assessed on relevant facts................... $1,000-5,00
0 $2,000-7,50
0
229.9 Movement of noncomplying locomotives... (\1\) (\1\)
229.11 Locomotive identification............. 1,000 2,000
229.13 Control of locomotives................ 2,500 5,000
229.17 Accident reports...................... 2,500 5,000
229.19 Prior Waivers......................... (\1\) (\1\)

------------------------------------------------------------------------
Subpart B--Inspection and tests

------------------------------------------------------------------------
229.21 Daily inspection:
(a)(b):
(1) Inspection overdue................ 2,000 4,000
(2) Inspection report not made,
improperly executed, or not retained. 1,000 2,000
(c) Inspection not performed by a
qualified person......................... 1,000 2,000
229.23 Periodic inspection General
(a)(b):
(1) Inspection overdue................ 2,500 5,000
(2) Inspection performed improperly or
at a location where the underneath
portion cannot be safely inspected... 2,500 5,000
(c)(d):
(1) Form missing...................... 1,000 2,000
(2) Form not properly displayed....... 1,000 2,000
(3) Form improperly executed.......... 1,000 2,000
(e) Replace Form FRA F 6180-49A by April 2 1,000 2,000
(f) Secondary record of the information
reported on Form FRA F 6180.49A.......... 1,000 2,000
229.25
(a) through (e)(4) Tests: Every periodic
inspection................................. 2,500 5,000
(e)(5) Ineffective maintenance.............. 8,000 16,000
229.27 Annual tests.......................... 2,500 5,000
229.29 Biennial tests........................ 2,500 5,000
229.31:
(a) Biennial hydrostatic tests of main
reservoirs............................... 2,500 5,000
(b) Biennial hammer tests of main
reservoirs............................... 2,500 5,000
(c) Drilled telltale holes in welded main
reservoirs............................... 2,500 5,000
(d) Biennial tests of aluminum main
reservoirs............................... 2,500 5,000
229.33 Out-of-use credit..................... 1,000 2,000

------------------------------------------------------------------------
Subpart C--Safety Requirements

------------------------------------------------------------------------
229.41 Protection against personal injury.... 2,500 5,000
229.43 Exhaust and battery gases............. 2,500 5,000
229.45 General condition: To be assessed
based on relevant facts...................... 1,000-5,000 2,000-7,500
229.46 Brakes: General....................... 2,500 5,000
229.47 Emergency brake valve................. 2,500 5,000
229.49 Main reservoir system:
(a)(1) Main reservoir safety valve........ 2,500 5,000
(2) Pneumatically actuated control
reservoir................................ 2,500 5,000
(b)(c) Main reservoir governors........... 2,500 5,000
229.51 Aluminum main reservoirs.............. 2,500 5,000
229.53 Brake gauges.......................... 2,500 5,000
229.55 Piston travel......................... 2,500 5,000
229.57 Foundation brake gear................. 2,500 5,000
229.59 Leakage............................... 2,500 5,000
229.61 Draft system.......................... 2,500 5,000
229.63 Lateral motion........................ 2,500 5,000
229.64 Plain bearing......................... 2,500 5,000
229.65 Spring rigging........................ 2,500 5,000
229.67 Trucks................................ 2,500 5,000
229.69 Side bearings......................... 2,500 5,000
229.71 Clearance above top of rail........... 2,500 5,000
229.73 Wheel sets............................ 2,500 5,000
229.75 Wheel and tire defects:
(a),(d) Slid flat or shelled spot(s):
(1) One spot 2\1/2\'' or more but less
than 3'' in length................... 2,500 5,000
(2) One spot 3'' or more in length.... 5,000 7,500
(3) Two adjoining spots each of which
is 2'' or more in length but less
than 2\1/2\'' in length.............. 2,500 5,000
(4) Two adjoining spots each of which
are at least 2'' in length, if either
spot is 2\1/2\'' or more in length... 5,000 7,500
(b) Gouge or chip in flange of:
(1) more than 1\1/2\'' but less than
1\5/8\'' in length; and more than \1/
2\'' but less than \5/8\'' in width.. 2,500 5,000
(2) 1\5/8\'' or more in length and \5/
8\'' or more in width................ 5,000 7,500
(c) Broken rim............................ 5,000 7,500
(e) Seam in tread......................... 2,500 5,000
(f) Flange thickness of:
(1) \7/8\'' or less but more than \13/
16\''................................ 2,500 5,000
(2) \13/16\'' or less................. 5,000 7,500
(g) Tread worn hollow..................... 2,500 5,000
(h) Flange height of:
(1) 1\1/2\" or greater but less than
1\5/8\".............................. 2,500 5,000
(2) 1\5/8\" or more................... 5,000 7,000
(i) Tire thickness........................ 2,500 5,000

[[Page 283]]

(j) Rim thickness:
(1) Less than 1" in road service and
\3/4\" in yard service............... 2,500 5,000
(2) \15/16\" or less in road service
and \11/16\" in yard service......... 5,000 7,500
(k) Crack of less than 1"................. 5,000 7,500
(1) Crack of less than 1"............. 2,500 5,000
(2) Crack of 1" or more............... 5,000 7,500
(3) Break............................. 5,000 7,500
(l) Loose wheel or tire................... 5,000 7,500
(m) Welded wheel or tire.................. 5,000 7,500
229.77 Current collectors.................... 2,500 5,000
229.79 Third rail shoes and beams............ 2,000 4,000
229.81 Emergency pole; shoe insulation....... 2,500 5,000
229.83 Insulation or grounding............... 5,000 7,500
229.85 Door and cover plates marked
``Danger''................................... 2,500 5,000
229.87 Hand operated switches................ 2,500 5,000
229.89 Jumpers; cable connections:
(a) Jumpers and cable connections; located
and guarded.............................. 2,500 5,000
(b) Condition of jumpers and cable
connections.............................. 2,500 5,000
229.91 Motors and generators................. 2,500 5,000
229.93 Safety cut-off device................. 2,500 5,000
229.95 Venting............................... 2,500 5,000
229.97 Grounding fuel tanks.................. 2,500 5,000
229.99 Safety hangers........................ 2,500 5,000
229.101 Engines:
(a) Temperature and pressure alarms,
controls, and switches................... 2,500 5,000
(b) Warning notice........................ 2,500 5,000
(c) Wheel slip/slide protection........... 2,500 5,000
229.103 Safe working pressure; factor of
safety....................................... 2,500 5,000
229.105 Steam generator number............... 500 1,000
229.107 Pressure gauge....................... 2,500 5,000
229.109 Safety valves........................ 2,500 5,000
229.111 Water-flow indicator................. 2,500 5,000
229.113 Warning notice....................... 2,500 5,000
229.115 Slip/slide alarms.................... 2,500 5,000
229.117 Speed indicators..................... 2,500 5,000
229.119 Cabs, floors, and passageways:
(a)(1) Cab set not securely mounted or
braced................................... 2,500 5,000
(2) Insecure or improper latching
device............................... 2,500 5,000
(b) Cab windows of lead locomotive........ 2,500 5,000
(c) Floors, passageways, and compartments. 2,500 5,000
(d) Ventilation and heating arrangement... 2,500 5,000
(e) Continuous barrier.................... 2,500 5,000
(f) Containers for fuses and torpedoes.... 2,500 5,000
229.121 Locomotive cab noise................. 2,500 5,000
229.123 Pilots, snowplows, end plates........ 2,500 5,000
229.125
(a) Headlights.............................. 2,500 5,000
(d) Auxiliary lights........................ 2,500 5,000
229.127 Cab lights........................... 2,500 5,000
229.129 Audible warning device............... 2,500 5,000
229.131 Sanders.............................. 1,000 2,000
229.135
(a) Lead locomotive without in-service event
recorder................................... 2,500 5,000
(b) Improper response to out of service
event recorder............................. 2,500 5,000
(c) Unauthorized removal from service....... 2,500 5,000
Failure to remove from service a recorder
known to have failed....................... 2,500 5,000
(d) Failure to preserve data or unauthorized
extraction of data......................... 2,500 5,000
(e) Tampering with device or data........... 2,500 7,500

------------------------------------------------------------------------
Subpart D--Design Requirements

------------------------------------------------------------------------
229.141 Body structure, MU locomotives....... 2,500 5,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. Generally, when two or more violations of these regulations
are discovered with respect to a single locomotive that is used by a
railroad, the appropriate penalties set forth above are aggregated up
to a maximum of $10,000 per day. However, a failure to perform, with
respect to a particular locomotive, any of the inspections and tests
required under subpart B of this part will be treated as a violation
separate and distinct from, and in addition to, any substantive
violative conditions found on that locomotive. Moreover, the
Administrator reserves the right to assess a penalty of up to $20,000
for any violation where circumstances warrant. See 49 CFR part 209,
appendix A.
Failure to observe any condition for movement set forth in Sec. 229.9
will deprive the railroad of the benefit of the movement-for-repair
provision and make the railroad and any responsible individuals liable
for penalty under the particular regulatory section(s) concerning the
substantive defect(s) present on the locomotive at the time of
movement. Failure to comply with Sec. 229.19 will result in the lapse
of any affected waiver.

[53 FR 52931, Dec. 29, 1988, as amended at 58 FR 36615, July 8, 1993; 61
FR 8888, Mar. 6, 1996]

Appendix C to Part 229--FRA Locomotive Standards--Code of Defects

Editorial Note: Appendix C, published at 45 FR 21121, Mar. 31, 1980,
as part of the original document, is not carried in the CFR.

PART 230--LOCOMOTIVE INSPECTION--Table of Contents

Authority: 45 U.S.C. 22-34, as amended; 45 U.S.C. 431, 438, as
amended; 49 app. U.S.C.

[[Page 284]]

1655(e), as amended; Pub. L. 100-342; and 49 CFR 1.49(c), (g), and (m).

Sec. 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
(Secs. 230.1 to 230.55) or subpart B (Secs. 230.101 to 230.162) as in
effect on October 1, 1978, or of the Locomotive Inspection Act, or
causes the violation of any such requirement is subject to a civil
penalty of at least $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]

PART 231--RAILROAD SAFETY APPLIANCE STANDARDS--Table of Contents

Sec.
231.0 Applicability and penalties.
231.1 Box and other house cars built or placed in service before
October 1, 1966.
231.2 Hopper cars and high-side gondolas with fixed ends.
231.3 Drop-end high-side gondola cars.
231.4 Fixed-end low-side gondola and low-side hopper cars.
231.5 Drop-end low-side gondola cars.
231.6 Flat cars.
231.7 Tank cars with side platforms.
231.8 Tank cars without side sills and tank cars with short side sills
and end platforms.
231.9 Tank cars without end sills.
231.10 Caboose cars with platforms.
231.11 Caboose cars without platforms.
231.12 Passenger-train cars with wide vestibules.
231.13 Passenger-train cars with open-end platforms.
231.14 Passenger-train cars without end platforms.
231.15 Steam locomotives used in road service.
231.16 Steam locomotives used in switching service.
231.17 Specifications common to all steam locomotives.
231.18 Cars of special construction.
231.19 Definition of ``Right'' and ``Left.''
231.20 Variation in size permitted.
231.21 Tank cars without underframes.
231.22 Operation of track motor cars.
231.23 Unidirectional passenger-train cars adaptable to van-type semi-
trailer use.
231.24 Box and other house cars with roofs, 16 feet 10 inches or more
above top of rail.
231.25 Track motorcars (self-propelled 4-wheel cars which can be
removed from the rails by men).
231.26 Pushcars.
231.27 Box and other house cars without roof hatches or placed in
service after October 1, 1966.
231.28 Box and other house cars with roof hatches built or placed in
service after October 1, 1966.
231.29 Road locomotives with corner stairways.
231.30 Locomotives used in switching service.

Appendix A to Part 231--Schedule of Civil Penalties

Authority: 45 U.S.C. 2, 4, 6, 8, 10, and 11-14, 16, as amended; 45
U.S.C. 431, 438, as amended; 49 app. U.S.C. 1655(e), as amended; Pub. L.
100-342; and 49 CFR 1.49(c), (g), and (m).

Source: 33 FR 19663, Dec. 25, 1968, unless otherwise noted.

Note: Where rivets or bolts are required in this part 231 a two-
piece steel rivet may be used consisting of:
(a) A solid shank of one-half (\1/2\) inch minimum diameter steel or
material of equal or greater strength having cold forged head on one
end, a shank length for material thickness fastened, locking grooves,
breakneck groove and pull grooves (all annular grooves) on the opposite
end.
(b) A collar of similar material which is cold swaged into the
locking grooves forming a head for the opposite end of item (a) after
the pull groove section has been removed.

Sec. 231.0 Applicability and penalties.

(a) Except as provided in paragraph (b), this part applies to all
standard gage railroads.
(b) This part does not apply to:

[[Page 285]]

(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]

Sec. 231.1 Box and other house cars built or placed in service before October 1, 1966.

Except for box and other house cars that comply with either
Sec. 231.27 or Sec. 231.28, each box and other house car shall be
equipped to meet the following specifications:
(a) Handbrake--(1) Number. One efficient handbrake which shall
operate in harmony with the power brake installed on the car. Each such
handbrake shall (i) provide the same degree of safety as the design
shown on plate A, or (ii) provide the same degree of safety as that
specified in Sec. 231.27.
(2) Dimensions. (i) The brake shaft shall be not less than 1\1/4\
inches in diameter, of wrought iron or steel without weld.
(ii) The brake wheel may be flat or dished, not less than 15,
preferably 16, inches in diameter, of malleable iron, wrought iron, or
steel.
(3) Location. (i) The hand brake shall be so located that it can be
safely operated while car is in motion.
(ii) The brake shaft shall be located on end of car, to the left of
and not less than 17 nor more than 22 inches from center.
(iii) Carriers are not required to change the brakes from right to
left side on steel or steel-underframe cars with platform end sills in
service July 1, 1911, except when such appliances are renewed, at which
time they must be made to comply with the standards prescribed.
(iv) Carriers are not required to change the location of brake
wheels and brake shafts on cars in service July 1, 1911, where the
appliances are within 3 inches of the required location, except that
when cars undergo regular repairs they must then be made to comply with
the standards prescribed.
(4) Manner of application. (i) There shall be not less than 4 inches
clearance around rim of brake wheel.
(ii) Outside edge of brake wheel shall be not less than 4 inches
from a vertical plane parallel with end of car and passing through the
inside face of knuckle when closed with coupler horn against the buffer
block or end sill.
(iii) Top brake-shaft support shall be fastened with not less than
\1/2\-inch bolts or rivets. (See plate A.)

[[Page 286]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.005

(iv) A brake-shaft step shall support the lower end of brake shaft.
A brake-shaft step which will permit the brake chain to drop under the
brake shaft shall not be used. U-shaped form of brakeshaft step is
preferred. (See plate A.)
(v) Brake shaft shall be arranged with a square fit at its upper end
to secure the hand-brake wheel; said square fit shall be not less than
seven-eighths of an inch square. Square-fit taper, nominally 2 in 12
inches. (See plate A.)
(vi) Brake chain shall be of not less than \3/8\-, preferably \7/
16\-, inch wrought iron or steel, with a link on the brakerod end of not
less than \7/16\-, preferably \1/2\-, inch wrought iron or steel, and
shall be secured to brake-shaft drum by not less than \1/2\-inch hexagon
or square-headed bolt. Nut on said bolt shall be secured by riveting end
of bolt over nut. (See plate A.)
(vii) Lower end of brake shaft shall be provided with a trunnion of
not less than \3/4\-, preferably 1, inch in diameter extending through
brake-shaft step and held in operating position by a suitable cotter or
ring. (See plate A.)
(viii) Brake-shaft drum shall be not less than 1\1/2\ inches in
diameter. (See plate A.)
(ix) Brake ratchet wheel shall be secured to brake shaft by a key or
square fit; said square fit shall be not less than 1\5/16\ inches
square. When ratchet wheel with square fit is used, provision shall be
made to prevent ratchet wheel from rising on shaft to disengage brake
pawl. (See plate A.)

[[Page 287]]

(x) Brake ratchet wheel shall be not less than 5\1/4\, preferably
5\1/2\, inches in diameter and shall have not less than 14, preferably
16, teeth. (See plate A.)
(xi) If brake ratchet wheel is more than 36 inches from brake wheel,
a brake-shaft support shall be provided to support this extended upper
portion of brake shaft; said brake-shaft support shall be fastened with
not less than \1/2\-inch bolts or rivets.
(xii) The brake pawl shall be pivoted upon a bolt or rivet not less
than five-eighths of an inch in diameter, or upon a trunnion secured by
not less than \1/2\-inch bolt or rivet, and there shall be a rigid metal
connection between brake shaft and pivot of pawl.
(xiii) Brake wheel shall be held in position on brake shaft by a nut
on a threaded extended end of brake shaft; said threaded portion shall
be not less than three-fourths of an inch in diameter; said nut shall be
secured by riveting over or by the use of a lock nut or suitable cotter.
(xiv) Brake wheel shall be arranged with a square fit for brake
shaft in hub of said wheel; taper of said fit, nominally 2 in 12 inches.
(See plate A.)
(b) Brake step. If brake step is used, it shall be not less than 28
inches in length. Outside edge shall be not less than 8 inches from face
of car and not less than 4 inches from a vertical plane parallel with
end of car and passing through the inside face of knuckle when closed
with coupler horn against the buffer block or end sill.
(1) Manner of application. Brake step shall be supported by not less
than two metal braces having a minimum cross-sectional area \3/8\ by
1\1/2\ inches or equivalent, which shall be securely fastened to body of
car with not less than \1/2\-inch bolts or rivets.
(c) Running boards--(1) Number. One longitudinal running board. On
outside-metal-roof cars two latitudinal extensions.
(2) Dimensions. Longitudinal running board shall be not less than 18
and preferably 20 inches in width. Latitudinal extensions shall be not
less than 24 inches in width. Wooden running boards or extensions
hereafter installed shall be constructed of wood not less than 1\1/8\
inches in thickness.
(3) Location. Full length of car, center of roof. On outside-metal-
roof cars there shall be two latitudinal extensions from longitudinal
running board to ladder locations, except on refrigerator cars where
such latitudinal extensions cannot be applied on account of ice hatches.
(4) Manner of application. (i) Running board shall be continuous
from end to end and not cut or hinged at any point: Provided, That the
length and width of running board may be made up of a number of pieces
securely fastened to saddle-blocks with screws, bolts, or rivets.
(ii) The ends of longitudinal running board shall be not less than 6
nor more than 10 inches from a vertical plane parallel with end of car
and passing through the inside face of knuckle when closed with coupler-
horn against the buffer-block or endsill; and if more than 4 inches from
edge of roof of car, shall be securely supported their full width by
substantial metal braces.
(iii) Running board shall be securely fastened to car and be made of
wood or of material which provides the same as or a greater degree of
safety than wood of 1\1/8\ inches thickness. When made of material other
than wood the tread surface shall be of anti-skid design and constructed
with sufficient open space to permit the elimination of snow and ice
from the tread surface.
(d) Sill steps--(1) Number. Four.
(2) Dimensions. Minimum cross-sectional area \1/2\ by 1\1/2\ inches,
or equivalent, of wrought iron or steel. Minimum length of tread, 10,
preferably 12, inches. Minimum clear depth, 8 inches.
(3) Location. (i) One near each end of each side of car, so that
there shall be not more than 18 inches from end of car to center of
tread of sill step.
(ii) Outside edge of tread of step shall be not more than 4 inches
inside of face of side of car, preferably flush with side of car.
(iii) Tread shall be not more than 24, preferably not more than 22,
inches above the top of rail.
(iv) Carriers are not required to change location of sill steps on
cars in service July 1, 1911, where the appliances are within 3 inches
of the required location, except that when cars undergo regular repairs
they must then

[[Page 288]]

be made to comply with the standards prescribed.
(4) Manner of application. (i) Sill steps exceeding 21 inches in
depth shall have an additional tread.
(ii) Sill steps shall be securely fastened with not less than \1/2\-
inch bolts with nuts outside (when possible) and riveted over, or with
not less than \1/2\-inch rivets.
(e) Ladders--(1) Number. Four.
(2) Dimensions. (i) Minimum clear length of tread: Side ladders 16
inches; end ladders 14 inches. Maximum spacing between ladder treads, 19
inches.
(ii) Top ladder tread shall be located not less than 12 nor more
than 18 inches from roof at eaves.
(iii) Spacing of side ladder treads shall be uniform within a limit
of 2 inches from top ladder tread to bottom tread of ladder.
(iv) Maximum distance from bottom tread of side ladder to top tread
of sill step, 21 inches.
(v) End ladder treads shall be spaced to coincide with treads of
side ladders, a variation of 2 inches being allowed. Where construction
of car will not permit the application of a tread of end ladder to
coincide with bottom tread of side ladder, the bottom tread of end
ladder must coincide with second tread from bottom of side ladder.
(vi) Hardwood treads, minimum dimensions 1\1/2\ by 2 inches.
(vii) Iron or steel treads, minimum diameter five-eighths of an
inch.
(viii) Minimum clearance of treads, 2, preferably 2\1/2\, inches.
(3) Location. (i) One on each side, not more than 8 inches from
right end of car; one on each end, not more than 8 inches from left side
of car; measured from inside edge of ladder stile or clearance of ladder
treads to corner of car.
(ii) Carriers are not required to change the location of ladders on
cars in service July 1, 1911, where the appliances are within 3 inches
of the required location, except that when cars undergo regular repairs
they must then be made to comply with the standards prescribed.
(iii) Carriers are not required to change the end ladders on steel
or steel underframe cars with platform end sill, in service July 1,
1911, except when such appliances are renewed, at which time they must
be made to comply with the standards prescribed.
(4) Manner of application. (i) Metal ladders without stiles near
corners of cars shall have foot guards or upward projections not less
than 2 inches in height near inside end of bottom treads.
(ii) Stiles of ladders, projecting 2 or more inches from face of
car, will serve as foot guards.
(iii) Ladders shall be securely fastened with not less than \1/2\-
inch bolts with nuts outside (when possible) and riveted over, or with
not less than \1/2\-inch rivets. Three-eighths-inch bolts may be used
for wooden treads which are gained into stiles.
(f) End ladder clearance. (1) No part of car above end sills within
30 inches from side of car, except buffer block, brake shaft, brake
wheel, brake step, running board or uncoupling lever shall extend to
within 12 inches of a vertical plane parallel with end of car and
passing through the inside face of knuckle when closed with coupler horn
against the buffer block or end sill, and no other part of end of car or
fixtures on same above end sills, other than exceptions herein noted,
shall extend beyond the outer face of buffer block.
(2) Carriers are not required to make changes to secure additional
end-ladder clearance on cars in service July 1, 1911, that have 10 or
more inches end-ladder clearance, within 30 inches of side of car, until
car is shopped for work amounting to practically rebuilding body of car,
at which time they must be made to comply with the standards prescribed.
(g) Roof handholds--(1) Number. (i) One over each ladder.
(ii) One right-angle handhold may take the place of two adjacent
specified roof handholds, provided the dimensions and locations
coincide, and that an extra leg is securely fastened to car at point of
angle.
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clear length, 16 inches. Minimum clearance, 2,
preferably 2\1/2\ inches.
(3) Location. (i) On roof of car, one parallel to treads of each
ladder, not less than 8 nor more than 15 inches

[[Page 289]]

from edge of roof, except on refrigerator cars where ice hatches
prevent, when location may be nearer edge of roof.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handhold under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Roof handholds shall be securely fastened
with not less than \1/2\-inch bolts with nuts outside (when possible)
and riveted over, or with not less than \1/2\-inch rivets.
(h) Side handholds--(1) Number. Four. (Tread of side ladder is a
side handhold.)
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clear length, 16 inches, preferably 24 inches.
Minimum clearance, 2, preferably 2\1/2\, inches.
(3) Location. (i) Horizontal, one near each end on each side of car.
Side handholds shall be not less than 24 nor more than 30 inches above
center line of coupler, except as provided above, where tread of ladder
is a handhold. Clearance of outer end of handhold shall be not more than
8 inches from end of car.
(ii) Carriers are not required to change the location of handholds,
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Side handholds shall be securely fastened
with not less than \1/2\-inch bolts with nuts outside (when possible)
and riveted over, or with not less than \1/2\-inch rivets.
(i) Horizontal end handholds--(1) Number. Eight or more, four on
each end of car. (Tread of end ladder is an end handhold.)
(2) Dimensions. (i) Minimum diameter, five-eighths of an inch,
wrought iron or steel. Minimum clear length, 16 inches, preferably 24
inches.
(ii) A handhold 14 inches in length may be used where it is
impossible to use one 16 inches in length.
(iii) Minimum clearance, 2, preferably 2\1/2\, inches.
(3) Location. (i) One near each side on each end of car, not less
than 24 nor more than 30 inches above center line of coupler, except as
provided above, when tread of end ladder is an end handhold. Clearance
of outer end of handhold shall be not more than 8 inches from side of
car.
(ii) One near each side of each end of car on face of end sill or
sheathing over end sill, projecting outward or downward. Clearance of
outer end of handhold shall be not more than 16 inches from side of car.
(iii) On each end of cars with platform end sills 6 or more inches
in width, measured from end post or siding and extending entirely across
end of car, there shall be one additional end handhold not less than 24
inches in length, located near center of car, not less than 30 nor more
than 60 inches above platform end sill.
(iv) Carriers are not required to change the location of handholds,
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Horizontal end handholds shall be
securely fastened with not less than \1/2\-inch bolts with nuts outside
(when possible) and riveted over, or with not less than \1/2\-inch
rivets.
(j) Vertical end handholds--(1) Number. Two on full-width platform
end-sill cars, as heretofore described.
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clear length, 18, preferably 24, inches. Minimum
clearance, 2, preferably 2\1/2\, inches.
(3) Location. (i) One on each end of car opposite ladder, not more
than 8 inches from side of car; clearance of bottom end of handhold
shall be not less than 24 nor more than 30 inches above center line of
coupler.
(ii) Carriers are not required to change the location of handholds,
on

[[Page 290]]

cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Vertical end handholds shall be securely
fastened with not less than \1/2\-inch bolts with nuts outside (when
possible) and riveted over, or with not less than \1/2\-inch rivets.
(k) Uncoupling levers--(1) Number. Two. Uncoupling levers may be
either single or double, and of any efficient design.
(2) Dimensions. (i) Handles of uncoupling levers, except those shown
on plate B or of similar designs, shall be not more than 6 inches from
sides of car.
(ii) Uncoupling levers of design shown on plate B and of similar
designs shall conform to the following prescribed limits:
(iii) Handles shall be not more than 12, preferably 9, inches from
sides of cars. Center lift arms shall be not less than 7 inches long.
(iv) Center of eye at end of center lift arm shall be not more than
3\1/2\ inches beyond center of eye of uncoupling pin of coupler when
horn of coupler is against the buffer block or end sill. (See plate B.)
[GRAPHIC] [TIFF OMITTED] TC01AP91.006

(v) Ends of handles shall extend not less than 4 inches below bottom
of end sill or shall be so constructed as to give a minimum clearance of
2 inches

[[Page 291]]

around handle. Minimum drop of handles shall be 12 inches; maximum, 15
inches over all. (See plate B.)
(vi) Handles of uncoupling levers of the ``rocking'' or ``push-
down'' type shall be not less than 18 inches from top of rail when lock
block has released knuckle, and a suitable stop shall be provided to
prevent inside arm from flying up in case of breakage.
(3) Location. One on each end of car. When single lever is used, it
shall be placed on left side of end of car.

(Secs. 2, 4, and 6, 27 Stat. 531, as amended; secs, 1 and 3, 32 Stat.
943, as amended; sec. 6(e) and (f), 80 Stat. 939 (45 U.S.C. 2, 4, 6, 8,
and 10, 11-16 and 49 U.S.C. 103(c)(1))

[33 FR 19663, Dec. 25, 1968, as amended at 49 FR 26745, June 29, 1984]

Sec. 231.2 Hopper cars and high-side gondolas with fixed ends.

(Cars with sides more than 36 inches above the floor are high-side
cars.)
(a) Hand brakes--(1) Number. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(a)(1)).
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(a)(2)).
(3) Location. (i) Each hand brake shall be so located that it can be
safely operated while car is in motion.
(ii) The brake shaft shall be located on end of car to the left of,
and not more than 22 inches from, center.
(iii) Carriers are not required to change the brakes from right to
left side on steel or steel-underframe cars with platform end sills, in
service July 1, 1911, except when such appliances are renewed, at which
time they must be made to comply with the standards prescribed.
(iv) Carriers are not required to change the location of brake
wheels and brake shafts on cars in service July 1, 1911, where the
appliances are within 3 inches of the required location, except that
when cars undergo regular repairs they must then be made to comply with
the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(a)(4)).
(b) Brake step. Same as specified for ``Box and other house cars''
(see Sec. 231.1 (b)).
(c) Sill steps. Same as specified for ``Box and other house cars''
(see Sec. 231.1(d)).
(d) Ladders--(1) Number. Same as specified for ``Box and other house
cars'' (see Sec. 231.1(e)(1)).
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(e)(2)), except that top ladder tread shall be located
not more than 4 inches from top of car.
(3) Location. Same as specified for ``Box and other house cars''
(see Sec. 231.1(e)(3)).
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(e)(4)).
(e) Side handholds. Same as specified for ``Box and other house
cars'' (see Sec. 231.1(h)).
(f) Horizontal end handholds. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(i)).
(g) Vertical end handholds. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(j)).
(h) Uncoupling levers. Same as specified for ``Box and other house
cars'' (see Sec. 231.1(k)).
(i) End-ladder clearance. (1) No part of car above end sills within
30 inches from side of car, except buffer block, brake shaft, brake
wheel, brake step, or uncoupling lever shall extend to within 12 inches
of a vertical plane parallel with end of car and passing through the
inside face of knuckle when closed with coupler horn against the buffer
block or end sill, and no other part of end of car or fixtures on same
above end sills, other than exceptions herein noted, shall extend beyond
the outer face of buffer block.
(2) Carriers are not required to make changes to secure additional
end-ladder clearance on cars in service July 1, 1911, that have 10 or
more inches end-ladder clearance within 30 inches of side of car, until
car is shopped for work amounting to practically rebuilding body of car,
at which time they must be made to comply with the standards prescribed.

Sec. 231.3 Drop-end high-side gondola cars.

(a) Hand brakes--(1) Number. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(a)(1)).

[[Page 292]]

(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(a)(2)).
(3) Location. (i) Each hand brake shall be so located that it can be
safely operated while car is in motion.
(ii) The brake shaft shall be located on end of car to the left of
center.
(iii) Carriers are not required to change the brakes from right to
left side on steel or steel-underframe cars with platform end sills, in
service July 1, 1911, except when such appliances are renewed, at which
time they must be made to comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(a)(4)).
(b) Sill steps. Same as specified for ``Box and other house cars''
(see Sec. 231.1(d)).
(c) Ladders--(1) Number. Two.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(e)(2)), except that top ladder tread shall be located
not more than 4 inches from top of car.
(3) Location. (i) One on each side, not more than 8 inches from
right end of car, measured from inside edge of ladder stile or clearance
of ladder treads to corner of car.
(ii) Carriers are not required to change the location of ladders on
cars in service July 1, 1911, where the appliances are within 3 inches
of the required location, except that when cars undergo regular repairs
they must then be made to comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(e)(4)).
(d) Side handholds. Same as specified for ``Box and other house
cars'' (see Sec. 231.1(h)).
(e) Horizontal end handholds--(1) Number. Four.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(i)(2)).
(3) Location. (i) One near each side of each end of car on face of
end sill. Clearance of outer end of handhold shall be not more than 16
inches from side of car.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(i)(4)).
(f) Uncoupling levers. Same as specified for ``Box and other house
cars'' (see Sec. 231.1(k)).
(g) End ladder clearance. (1) No part of car above end sills within
30 inches from side of car, except buffer block, brake shaft, brake
wheel or uncoupling lever shall extend to within 12 inches of a vertical
plane parallel with end of car and passing through the inside face of
knuckle when closed with coupler horn against the buffer block or end
sill, and no other part of end of car or fixtures on same above end
sills, other than exceptions noted in this subparagraph, shall extend
beyond the outer face or buffer block.
(2) Carriers are not required to make changes to secure additional
end-ladder clearance on cars in service July 1, 1911, that have 10 or
more inches end-ladder clearance, within 30 inches of side of car, until
car is shopped for work amounting to practically rebuilding body of car,
at which time they must be made to comply with the standards prescribed.

Sec. 231.4 Fixed-end low-side gondola and low-side hopper cars.

(Cars with sides 36 inches or less above the floor are low-side
cars.)
(a) Hand brakes--(1) Number. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(a)(1)).
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(a)(2)).
(3) Location. (i) Each hand brake shall be so located that it can be
safely operated while car is in motion.
(ii) The brake shaft shall be located on end of car, to the left of
and not more than 22 inches from center.
(iii) Carriers are not required to change the brakes from right to
left side on steel or steel-underframe cars with platform end sills, in
service July 1, 1911, except when such appliances are

[[Page 293]]

renewed, at which time they must be made to comply with the standards
prescribed.
(iv) Carriers are not required to change the location of brake
wheels and brake shafts on cars in service July 1, 1911, where the
appliances are within 3 inches of the required location, except that
when cars undergo regular repairs they must then be made to comply with
the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(a)(4)).
(b) Brake step. Same as specified for ``Box and other house cars''
(see Sec. 231.1(b)).
(c) Sill steps. Same as specified for ``Box and other house cars''
(see Sec. 231.1(d)).
(d) Side handholds--(1) Number. Same as specified for ``Box and
other house cars'' (see Sec. 231.1(h)(1)).
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(h)(2)).
(3) Location. (i) Horizontal, one near each end on each side of car,
not less than 24 nor more than 30 inches above center line of coupler,
if car construction will permit, but handhold shall not project above
top of side. Clearance of outer end of handhold shall be not more than 8
inches from end of car.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(h)(4)).
(e) Horizontal end handholds--(1) Number. Same as specified for
``Box and other house cars'' (see Sec. 231.1(i)(1)).
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(i)(2)).
(3) Location. (i) One near each side on each end of car, not less
than 24 nor more than 30 inches above center line of coupler, if car
construction will permit. Clearance of outer end of handhold shall be
not more than 8 inches from side of car.
(ii) One near each side of each end of car on face of end sill,
projecting outward or downward. Clearance of outer end of handhold shall
be not more than 16 inches from side of car.
(iii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(i)(4)).
(f) Uncoupling levers. Same as specified for ``Box and other house
cars'' (see Sec. 231.1(k)).
(g) End-ladder clearance. (1) No part of car above end sills within
30 inches from side of car, except buffer block, brake shaft, brake
step, brake wheel or uncoupling lever shall extend to within 12 inches
of a vertical plane parallel with end of car and passing through the
inside face of knuckle when closed with coupler horn against the buffer
block or end sill, and no other part of end of car or fixtures on same
above end sills, other than exceptions noted in this subparagraph, shall
extend beyond the outer face of buffer block.
(2) Carriers are not required to make changes to secure additional
end-ladder clearance on cars in service July 1, 1911, that have 10 or
more inches end-ladder clearance, within 30 inches of side of car, until
car is shopped for work amounting to practically rebuilding body of car,
at which time they must be made to comply with the standards prescribed.

Sec. 231.5 Drop-end low-side gondola cars.

[[Page 294]]

(ii) The brake shaft shall be located on end of car to the left of
center.
(iii) Carriers are not required to change the brakes from right to
left side on steel or steel-underframe cars with platform end sills, in
service July 1, 1911, except when such appliances are renewed, at which
time they must be made to comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(a)(4)), provided that top brake-shaft
support may be omitted.
(b) Sill steps. Same as specified for ``Box and other house cars''
(see Sec. 231.1(d)).
(c) Side handholds--(1) Number. Same as specified for ``Box and
other house cars'' (see Sec. 231.1(h)(1)).
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(h)(2)).
(3) Location. (i) Horizontal, one near each end on each side of car,
not less than 24 nor more than 30 inches above center line of coupler,
if car construction will permit, but handhold shall not project above
top of side. Clearance of outer end of handhold shall be no more than 8
inches from end of car.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(h)(4)).
(d) End handholds--(1) Number. Four.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(i)(2)).
(3) Location. (i) Horizontal, one near each side of each end of car
on face of end sill. Clearance of outer end of handhold shall be not
more than 16 inches from side of car.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(i)(4)).
(e) Uncoupling levers. Same as specified for ``Box and other house
cars'' (see Sec. 231.1(k)).
(f) End-ladder clearance. (1) No part of car above end sills within
30 inches from side of car, except buffer block, brake shaft, brake
wheel or uncoupling lever shall extend to within 12 inches of a vertical
plane parallel with end of car and passing through the inside face of
knuckle when closed with coupler horn against the buffer block or end
sill, and no other part of end of car or fixtures on same above end
sills, other than exceptions noted in this subparagraph shall extend
beyond the outer face of buffer block.
(2) Carriers are not required to make changes to secure additional
end-ladder clearance on cars in service July 1, 1911, that have 10 or
more inches end-ladder clearance, within 30 inches of side of car, until
car is shopped for work amounting to practically rebuilding body of car,
at which time they must be made to comply with the standards prescribed.

Sec. 231.6 Flat cars.

(Cars with sides 12 inches or less above the floor may be equipped
the same as flat cars.)
(a) Hand brakes--(1) Number. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(a)(1)).
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231(a)(2)).
(3) Location. (i) Each hand brake shall be so located that it can be
safely operated while car is in motion.
(ii) The brake shaft shall be located on the end of car to the left
of center, or on side of car not more than 36 inches from right-hand end
thereof.
(iii) Carriers are not required to change the brakes from right to
left side on steel or steel-underframe cars with platform end sills, in
service July 1, 1911, except when such appliances are renewed, at which
time they must be made to comply with the standards prescribed.

[[Page 295]]

(iv) Carriers are not required to change the location of brake
wheels and brake shafts on cars in service July 1, 1911, where the
appliances are within 3 inches of the required location, except that
when cars undergo regular repairs they must then be made to comply with
the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(a)(4)).
(b) Sill steps. Same as specified for ``Box and other house cars''
(see Sec. 231.1(d)).
(c) Side handholds--(1) Number. Same as specified for ``Box and
other house cars'' (see Sec. 231.1(h)(1)).
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(h)(2)).
(3) Location. (i) Horizontal, one on face of each side sill near
each end. Clearance of outer end of handhold shall be not more than 12
inches from end of car.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(h)(4)).
(d) End handholds--(1) Number. Four.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(i)(2)).
(3) Location. (i) Horizontal, one near each side of each end of car
on face of end sill. Clearance of outer end of handhold shall be not
more than 16 inches from side of car.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(i)(4)).
(e) Uncoupling levers. Same as specified for ``Box and other house
cars'' (see Sec. 231.1(k)).

Sec. 231.7 Tank cars with side platforms.

[[Page 296]]

(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(i)(2)).
(3) Location. (i) Horizontal, one near each side of each end of car
on face of end sill. Clearance of outer end of handhold shall be not
more than 16 inches from side of car.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(i)(4)).
(e) Tank-head handholds--(1) Number. Two. (Not required if safety
railing runs around ends of tank.)
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clearance, 2, preferably 2\1/2\, inches. Clear
length of handholds shall extend to within 6 inches of outer diameter of
tank at point of application.
(3) Location. (i) Horizontal, one across each head of tank not less
than 30 nor more than 60 inches above platform.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Tankhead handholds shall be securely
fastened.
(f) Safety railings--(1) Number. One continuous safety railing
running around sides and ends of tank, securely fastened to tank or tank
bands at ends and sides of tank; or two running full length of tank at
sides of cars supported by posts.
(2) Dimensions. Not less than three-fourths of an inch, iron.
(3) Location. Running full length of tank either at side supported
by posts or securely fastened to tank or tank bands, not less than 30
nor more than 60 inches above platform.
(4) Manner of application. Safety railings shall be securely
fastened to tank body, tank bands, or posts.
(g) Uncoupling levers. Same as specified for ``Box and other house
cars'' (see Sec. 231.1(k)).
(h) End-ladder clearance. (1) No part of car above end sills within
30 inches from side of car, except buffer block, brake shaft, brake-
shaft brackets, brake wheel or uncoupling level shall extend to within
12 inches of a vertical plane parallel with end of car and passing
through the inside face of knuckle when closed with coupler horn against
the buffer block or end sill, and no other part of end of car or
fixtures on same above end sills, other than exceptions noted in this
subparagraph, shall extend beyond the outer face of buffer block.
(2) Carriers are not required to make changes to secure additional
end-ladder clearance on cars in service July 1, 1911, that have 10 or
more inches end-ladder clearance, within 30 inches of side of car, until
car is shopped for work amounting to practically rebuilding body of car,
at which time they must be made to comply with the standards prescribed.

Sec. 231.8 Tank cars without side sills and tank cars with short side sills and end platforms.

[[Page 297]]

and ends; or two running full length of tank, one on each side.
(2) Dimensions. Minimum width on sides, 10 inches. Minimum width on
ends, 6 inches.
(3) Location. Continuous around sides and ends of cars. On tank cars
having end platforms extending to bolsters, running boards shall extend
from center to center of bolsters, one on each side.
(4) Manner of application. (i) If side running boards are applied
below center of tank, outside edge of running boards shall extend not
less than 7 inches beyond bulge of tank.
(ii) The running boards at ends of car shall be not less than 6
inches from a point vertically above the inside face of knuckle when
closed with coupler horn against the buffer block, end sill or back
stop.
(iii) Running boards shall be securely fastened to tank or tank
bands.
(c) Sill steps--(1) Number. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(d)(1)).
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(d)(2)).
(3) Location. (i) One near each end on each side under side
handhold.
(ii) Outside edge of tread of step shall be not more than 4 inches
inside of face of side of car, preferably flush with side of car.
(iii) Tread shall be not more than 24, preferably not more than 22,
inches above the top of rail.
(iv) Carriers are not required to change the location of sill steps
on cars in service July 1, 1911, where the appliances are within 3
inches of the required location, except that when cars undergo regular
repairs they must then be made to comply with the standards prescribed
in said order.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(d)(4)).
(d) Ladders. (If running boards are so located as to make ladders
necessary.)
(1) Number. Two on cars with continuous running boards. Four on cars
with side running boards.
(2) Dimensions. (i) Minimum clear length of tread, 10 inches.
Maximum spacing of treads, 19 inches. Hardwood treads, minimum
dimensions, 1\1/2\ by 2 inches.
(ii) Wrought iron or steel treads, minimum diameter five-eighths of
an inch. Minimum clearance, 2, preferably 2\1/2\, inches.
(3) Location. On cars with continuous running boards, one at right
end of each side. On cars with side running boards, one at each end of
each running board.
(4) Manner of application. Ladders shall be securely fastened with
not less than \1/2\-inch bolts or rivets.
(e) Side handholds--(1) Number. Four or more.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(h)(2)).
(3) Location. (i) Horizontal, one on face of each side sill near
each end on tank cars with short side sills, or one attached to top of
running board projecting outward above sill steps or ladders on tank
cars without side sills. Clearance of outer end of handhold shall be not
more than 12 inches from end of car.
(ii) If side safety railings are attached to tank or tank bands four
additional vertical handholds shall be applied, one as nearly as
possible over each sill step and securely fastened to tank or tank
bands.
(iii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(h)(4)).
(f) End handholds--(1) Number. Four.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(i)(2)).
(3) Location. (i) Horizontal, one near each side of each end of car
on face of end sill. Clearance of outer end of handhold shall be not
more than 16 inches from side of car.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the

[[Page 298]]

appliances are within 3 inches of the required location, except that
when cars undergo regular repairs they must then be made to comply with
the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(i)(4)).
(g) Tank-head handholds--(1) Number. Two. (Not required if safety
railing runs around ends of tank.)
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clearance, 2, preferably 2\1/2\, inches.
(3) Location. (i) Horizontal, one across each head of tank not less
than 30 nor more than 60 inches above platform on running board. Clear
length of handholds shall extend to within 6 inches of outer diameter of
tank at point of application.
(ii) Carriers are not required to change the location of handholds
on cars in service July 7, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Tankhead handholds shall be securely
fastened.
(h) Safety railings--(1) Number. One running around sides and ends
of tank or two running full length of tank.
(2) Dimensions. Minimum diameter, seven-eighths of an inch, wrought
iron or steel. Minimum clearance, 2\1/2\ inches.
(3) Location. Running full length of tank, not less than 30 nor more
than 60 inches above platform or running board.
(4) Manner of application. Safety railings shall be securely
fastened to tank or tank bands and secured against end shifting.
(i) Uncoupling levers. Same as specified for ``Box and other house
cars'' (see Sec. 231.1(k)).
(j) End-ladder clearance. (1) No part of car above end sills within
30 inches from side of car, except buffer block, brake shaft, brake-
shaft brackets, brake wheel, running boards or uncoupling lever shall
extend to within 12 inches of a vertical plane parallel with end of car
and passing through the inside face of knuckle when closed with coupler
horn against the buffer block or end sill, and no other part of end of
car or fixtures on same, above end sills, other than exceptions herein
noted, shall extend beyond the outer face of buffer block.
(2) Carriers are not required to make changes to secure additional
end-ladder clearance on cars in service July 1, 1911, that have 10 or
more inches end-ladder clearance, within 30 inches of side of car, until
car is shopped for work amounting to practically rebuilding body of car,
at which time they must be made to comply with the standards prescribed.

Sec. 231.9 Tank cars without end sills.

[[Page 299]]

(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(d)(2)).
(3) Location. (i) One near each end on each side, flush with outside
edge of running board as near end of car as practicable.
(ii) Tread not more than 24, preferably not more than 22, inches
above the top of rail.
(iii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, where the appliances are within 3
inches of the required location, except that when cars undergo regular
repairs they must then be made to comply with the standards prescribed.
(4) Manner of application. (i) Steps exceeding 18 inches in depth
shall have an additional tread and be laterally braced.
(ii) Sill steps shall be securely fastened with not less than \1/2\-
inch bolts with nuts outside (when possible) and, riveted over, or with
\1/2\-inch rivets.
(e) Side handholds--(1) Number. Four or more.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(h)(2)).
(3) Location. (i) Horizontal, one near each end on each side of car
over sill step on running board, not more than 2 inches back from
outside edge of running board, projecting downward or outward.
(ii) Where such side handholds are more than 18 inches from end of
car, an additional handhold must be placed near each end on each side
not more than 30 inches above center line of coupler.
(iii) Clearance of outer end of handhold shall be not more than 12
inches from end of car.
(iv) If safety railings are on tank, four additional vertical
handholds shall be applied, one over each sill step on tank.
(v) Carriers are not required to change the location of handholds on
cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(h)(4)).
(f) End handholds--(1) Number. Four.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(i)(2)).
(3) Location. (i) Horizontal, one near each side on each end of car
on running board, not more than 2 inches back from edge of running board
projecting downward or outward, or on end of tank not more than 30
inches above center line of coupler.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(i)(4)).
(g) Safety railings--(1) Number. One.
(2) Dimensions. Minimum diameter, seven-eighths of an inch, wrought
iron or steel. Minimum clearance, 2\1/2\ inches.
(3) Location. Safety railings shall be continuous around sides and
ends of car, not less than 30 nor more than 60 inches above running
board.
(4) Manner of application. Safety railings shall be securely
fastened to tank or tank bands, and secured against end shifting.
(h) Uncoupling levers--(1) Number. Same as specified for ``Box and
other house cars'' (see Sec. 231.1(k)(1)).
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(k)(2)), except that minimum length of uncoupling lever
shall be 42 inches, measured from center line of end of car to handle of
lever.
(3) Location. Same as specified for ``Box and other house cars''
(see Sec. 231.1(k)(3)), except that uncoupling lever shall be not more
than 30 inches above center line of coupler.
(i) End-ladder clearance. (1) No part of car above buffer block
within 30 inches from side of car, except brake shaft, brake-shaft
brackets, brake wheel or uncoupling lever shall extend to within 12
inches of a vertical plane parallel

[[Page 300]]

with end of car and passing through the inside face of knuckle when
closed with coupler horn against the buffer block or back stop, and no
other part of end of car or fixtures on same, above buffer block, other
than exceptions herein noted, shall extend beyond the face of buffer
block.
(2) Carriers are not required to make changes to secure additional
end-ladder clearance on cars in service July 1, 1911, that have 10 or
more inches end-ladder clearance, within 30 inches of side of car, until
car is shopped for work amounting to practically rebuilding body of car,
at which time they must be made to comply with the standards prescribed.

Sec. 231.10 Caboose cars with platforms.

Note: a. The term ``bottom of car'' as used in Sec. 231.10 is
construed to mean ``bottom of side-sill or sheathing over side-sill.''
b. The term ``corner of car'' as used in Sec. 231.10 is construed to
mean the ``line at inner edge of platform formed by the intersection of
the side and end of car.''

(a) Hand brakes--(1) Number. (i) Each caboose car shall be equipped
with an efficient hand brake which shall operate in harmony with the
power brake thereon.
(ii) The hand brake may be of any efficient design, but must provide
the same degree of safety as the design shown on plate A.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(a)(2)).
(3) Location. (i) Each hand brake shall be so located that it can be
safely operated while car is in motion.
(ii) The brake shaft on caboose cars with platforms shall be located
on platform to the left of center.
(iii) Carriers are not required to change the brakes from right to
left side on steel or steel-underframe cars with platform end sills, in
service July 1, 1911, except when such appliances are renewed, at which
time they must be made to comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(a)(4)).
(b) Running boards--(1) Number. One longitudinal running board.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(c)(2)).
(3) Location. (i) Full length of car, center of roof. (On caboose
cars with cupolas, longitudinal running boards shall extend from cupola
to ends of roof.)
(ii) Outside - metal - roof - cars shall have latitudinal extensions
leading to ladder locations.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(c)(4)). See note below.
(c) Ladders--(1) Number. Two.
(2) Dimensions. None specified.
(3) Location. One on each end.
(4) Manner of application. Same as (see Sec. 231.1(e)(4)). See note
below.
(d) Roof handholds--(1) Number. One over each ladder. Where stiles
of ladders extend 12 inches or more above roof, no other roof handholds
are required.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(g)(2)).
(3) Location. (i) On roof of caboose in line with and running
parallel to treads of ladder, not less than 8 nor more than 15 inches
from edge of roof.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(g)(4)). See note below.
(e) Cupola handholds--(1) Number. One or more.
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clearance, 2, preferably 2\1/2\ inches.
(3) Location. (i) One continuous handhold extending around top of
cupola not more than 3 inches from edge of cupola roof.
(ii) Four right-angle handholds, one at each corner, not less than
16 inches in clear length from point of angle, may take the place of the
one continuous handhold specified, if locations coincide.

[[Page 301]]

(iii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Cupola handholds shall be securely
fastened with not less than \1/2\-inch bolts with nuts outside and
riveted over or with not less than \1/2\-inch rivets. See note below.
(f) Side handholds--(1) Number. Four.
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clear length, 36 inches. Minimum clearance, 2,
preferably 2\1/2\, inches.
(3) Location. (i) One near each end on each side of car, curving
downward toward center of car from a point not less than 30 inches above
platform to a point not more than 8 inches from bottom of car. Top end
of handhold shall be not more than 8 inches from outside face of end
sheathing.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(h)(4)).
(g) End handholds--(1) Number. Four.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(i)(2)).
(3) Location. (i) Horizontal, one near each side on each end of car
on face of platform end sill. Clearance of outer end of handhold shall
be not more than 16 inches from end of platform end sill.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(i)(4)).
(h) End-platform handholds--(1) Number. Four.
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clearance, 2, preferably 2\1/2\ inches.
(3) Location. (i) One right-angle handhold on each side of each end
extending horizontally from door post to corner of car at approximate
height of platform rail, then downward to within 12 inches of bottom of
car.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Handholds shall be securely fastened with
bolts, screws, or rivets.
(i) Caboose-platform steps. Safe and suitable box steps leading to
caboose platforms shall be provided at each corner of caboose. Lower
tread of step shall be not more than 24 inches above top of rail.
(j) Uncoupling levers. Same as specified for ``Box and other house
cars'' (see Sec. 231.1(k)).

Note: Running boards may be omitted from Caboose Cars with platforms
built after June 1, 1970, when each of the following conditions have
been met:
(1) That ladders, roof handholds (including ladder extensions) and
cupola handholds as specified in paragraphs (c), (d), and (e) of this
Sec. 231.10 are also omitted.
(2) That an appropriate notice be posted in protective manner or
stenciled on interior of caboose stating ``operating employees are
prohibited under all conditions from occupying the roof of this
caboose.''
(3) That a safe means must be provided to assure the safety of an
operating employee when required to clean or maintain windows of a
caboose without running boards.
(4) That the following additional safety appliances as specified be
securely installed at the outer edge of each platform:
(a) Safety railing
(i) Number:
Horizontal--Four (4), two (2) upper and two (2) lower.
Vertical--Four (4).

[[Page 302]]

(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 Sec. 231.10 are removed.
(2) That an appropriate notice be posted in protective manner or
stenciled in interior of caboose stating ``operating employees are
prohibited under all conditions from occupying the roof of this
caboose.''
(3) That a safe means must be provided to assure the safety of an
operating employee when required to clean or maintain windows of a
caboose without running boards.
(4) That end platform safety railing and handhold arrangement will
be deemed to meet requirements except as to upper safety railing and
kick plates, when those appliances are not provided. When vertical
supports are not more than twenty-four (24) inches apart, such supports
may be used in lieu of kick plates.
(5) That the following additional safety appliances (when not so
provided) shall be securely installed at outer edge of each platform:
(a) Safety railing.
(i) Number:
Horizontal upper--Two (2).
(ii) Dimensions:
Minimum diameter--One (1) inch wrought iron, steel, or other material of
equivalent strength.
Minimum clearance--Four (4), preferably six (6) inches except at brace
and fastening locations.
(iii) Location:
Horizontal--Upper: Across each end of car near outer edge securely
braced with vertical supports not less than 48 nor more than 54 inches
above top of platform extending not less than full width of platform
excluding hand brake stanchion area. Ladder tread not more than two (2)
inches below level of upper safety railing may serve as a portion of
said safety railing.

(b) Kick plates or vertical supports--Same as provided for caboose
cars with platforms built after June 1, 1970, this note. See above.
(6) That stove pipe should be secured to prevent turning.
(7) Cupola or bay windows shall be laminated safety-type glass or
equivalent and all other caboose windows shall be so provided on or
before June 1, 1975.

[33 FR 19663, Dec. 25, 1968, as amended at 35 FR 10149, June 20, 1970]

Sec. 231.11 Caboose cars without platforms.

(a) Hand brakes--(1) Number. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(a)(1)).
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(a)(2)).

[[Page 303]]

(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 Sec. 231.1(a)(4)).
(b) Brake step. Same as specified for ``Box and other house cars''
(see Sec. 231.1(b)).
(c) Running boards--(1) Number. Same as specified for ``Box and
other house cars'' (see Sec. 231.1(c)(1)).
(2) Dimension. Same as specified for ``Box and other house cars''
(see Sec. 231.1(c)(2)).
(3) Location. (i) Full length of car, center of roof. (On caboose
cars with cupolas, longitudinal running boards shall extend from cupola
to ends of roof.)
(ii) Outside-metal-roof cars shall have latitudinal extensions
leading to ladder locations.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(c)(4)).
(d) Sill steps. Same as specified for ``Box and other house cars''
(see Sec. 231.1(d)).
(e) Side-door steps--(1) Number. Two. (If caboose has side doors.)
(2) Dimensions. Minimum length, 5 feet. Minimum width, 6 inches.
Minimum thickness of tread, 1\1/2\ inches. Minimum height of back stop,
3 inches. Maximum height from top of rail to top of tread, 24 inches.
(3) Location. One under each side door.
(4) Manner of application. Side-door steps shall be supported by 2
iron brackets having a minimum cross-sectional area \7/8\ by 3 inches or
equivalent, each of which shall be securely fastened to car by not less
than two \3/4\-inch bolts.
(f) Ladders--(1) Number. Four.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(e)(2)).
(3) Location. Same as specified for ``Box and other house cars''
(see Sec. 231.1(e)(3), except when caboose has side doors, then side
ladders shall be located not more than 8 inches from doors.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(e)(4)).
(g) End-ladder clearance. (1) No part of car above end sills within
30 inches from side of car, except buffer block, brake shaft, brake
wheel, brake step, running board, or uncoupling lever shall extend to
within 12 inches of a vertical plane, parallel with end of car and
passing through the inside face of knuckle when closed with coupler horn
against the buffer block or end sill, and no other part of end of car or
fixtures on same above end sills, other than exceptions noted in this
subparagraph, shall extend beyond the outer face of buffer block.
(2) Carriers are not required to make changes to secure additional
end-ladder clearance on cars in service July 1, 1911, that have 10 or
more inches end-ladder clearance, within 30 inches of side of car, until
car is shopped for work amounting to practically rebuilding body of car,
at which time they must be made to comply with the standards prescribed.
(h) Roof handholds--(1) Number. Four.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(g)(2)).
(3) Location. (i) One over each ladder, on roof in line with and
running parallel to treads of ladder, not less than 8 nor more than 15
inches from edge of roof.
(ii) Where stiles of ladders extend 12 inches or more above roof, no
other roof handholds are required.
(iii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.

[[Page 304]]

(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 Sec. 231.1(h)(2)).
(3) Location. (i) Horizontal, one near each end on each side of car,
not less than 24 nor more than 30 inches above center line of coupler.
Clearance of outer end of handhold shall be not more than 8 inches from
end of car.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.(h)(4)).
(k) Side-door handholds--(1) Number. Four: Two curved, two straight.
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clearance, 2, preferably 2\1/2\ inches.
(3) Location. (i) One curved handhold, from a point at side of each
door opposite ladder, not less than 36 inches above bottom of car,
curving away from door downward to a point not more than 6 inches above
bottom of car.
(ii) One vertical handhold at ladder side of each door from a point
not less than 36 inches above bottom of car to a point not more than 6
inches above level of bottom of door.
(iii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed.
(4) Manner of application. Side-door handholds shall be securely
fastened with not less than \1/2\-inch bolts with nuts outside (when
possible) and riveted over or with not less than \1/2\-inch rivets.
(l) Horizontal end handholds--(1) Number. Same as specified for
``Box and other house cars.'' (See Sec. 231.1(i)(1)).
(2) Dimensions. Same as specified for ``Box and other house cars.''
(see Sec. 231.1(i)(2)).
(3) Location. (i) Same as specified for ``Box and other house cars''
(see Sec. 231.1(i)(3)), except that one additional end handhold shall be
on each end of cars with platform end sills as heretofore described,
unless car has door in center of end. Said handhold shall be not less
than 24 inches in length, located near center of car, not less than 30
nor more than 60 inches above platform end sill.
(ii) Carriers are not required to change the location of handholds
on cars in service July 1, 1911, except end handholds under end sills,
where the appliances are within 3 inches of the required location,
except that when cars undergo regular repairs they must then be made to
comply with the standards prescribed in said order.

[[Page 305]]

(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(i)(4)).
(m) Vertical end handholds. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(j)).
(n) Uncoupling levers. Same as specified for ``Box and other house
cars'' (see Sec. 231.1(k)).

Sec. 231.12 Passenger-train cars with wide vestibules.

(a) Hand brakes--(1) Number. Each passenger-train car shall be
equipped with an efficient hand brake, which shall operate in harmony
with the power brake thereon.
(2) Location. Each hand brake shall be so located that it can be
safely operated while car is in motion.
(b) Side handholds--(1) Number. Eight.
(2) Dimensions. Minimum diameter, five-eighths of an inch, metal.
Minimum clear length, 16 inches. Minimum clearance, 1\1/4\, preferably
1\1/2\ inches.
(3) Location. Vertical, one on each vestibule door post.
(4) Manner of application. Side handholds shall be securely fastened
with bolts, rivets, or screws.
(c) End handholds--(1) Number. Four.
(2) Dimensions. (i) Minimum diameters, five-eighths of an inch,
wrought iron or steel. Minimum clear length, 16 inches. Minimum
clearance, 2, preferably 2\1/2\ inches.
(ii) Handholds shall be flush with or project not more than 1 inch
beyond vestibule face.
(3) Location. Horizontal, one near each side on each end projecting
downward from face of vestibule end sill. Clearance of outer end of
handhold shall be not more than 16 inches from side of car.
(4) Manner of application. End handholds shall be securely fastened
with bolts or rivets. When marker sockets or brackets are located so
that they can not be conveniently reached from platforms, suitable steps
and handholds shall be provided for men to reach such sockets or
brackets.
(d) Uncoupling levers. (1) Uncoupling attachments shall be applied
so they can be operated by a person standing on the ground.
(2) Minimum length of ground uncoupling attachment, 42 inches,
measured from center line of end of car to handle of attachment.
(3) On passenger-train cars used in freight or mixed-train service,
the uncoupling attachment shall be so applied that the coupler can be
operated from left side of car.

Sec. 231.13 Passenger-train cars with open-end platforms.

(a) Hand brakes--(1) Number. Each passenger-train car shall be
equipped with an efficient hand brake, which shall operate in harmony
with the power brake thereon.
(2) Location. Each hand brake shall be so located that it can be
safely operated while car is in motion.
(b) End handholds--(1) Number. Four.
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clear length, 16 inches. Minimum clearance, 2,
preferably 2\1/2\ inches. Handholds shall be flush with or project not
more than 1 inch beyond surface of end sill.
(3) Location. Horizontal, one near each side of each end on face of
platform end sill, projecting downward. Clearance of outer end of
handhold shall be not more than 16 inches from end of end sill.
(4) Manner of application. End-handholds shall be securely fastened
with bolts or rivets.
(c) End-platform handholds--(1) Number. Four. (Cars equipped with
safety gates do not require end-platform handholds.)
(2) Dimensions. Minimum clearance, 2, preferably 2\1/2\ inches,
metal.
(3) Location. Horizontal from or near door post to a point not more
than 12 inches from corner of car, then approximately vertical to a
point not more than 6 inches from top of platform. Horizontal portion
shall be not less than 24 inches in length nor more than 40 inches above
platform.
(4) Manner of application. End-platform handholds shall be securely
fastened with bolts, rivets, or screws.
(d) Uncoupling levers. (1) Uncoupling attachments shall be applied
so they can be operated by a person standing on the ground.
(2) Minimum length of ground uncoupling attachment, 42 inches,
measured

[[Page 306]]

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.

Sec. 231.14 Passenger-train cars without end platforms.

(a) Handbrakes--(1) Number. Each passenger-train car shall be
equipped with an efficient hand brake which shall operate in harmony
with the power brake thereon.
(2) Location. Each hand brake shall be so located that it can be
safely operated while car is in motion.
(b) Sill steps--(1) Number. Four.
(2) Dimensions. Minimum length of tread, 10, preferably 12, inches.
Minimum cross-sectional area, \1/2\ by 1\1/2\ inches or equivalent,
wrought iron or steel. Minimum clear depth, 8 inches.
(3) Location. (i) One near each end on each side not more than 24
inches from corner of car to center of tread of sill step.
(ii) Outside edge of tread of step shall be not more than 2 inches
inside of face of side of car.
(iii) Tread shall be not more than 24, preferably not more than 22,
inches above the top of rail.
(4) Manner of application. (i) Steps exceeding 18 inches in depth
shall have an additional tread and be laterally braced.
(ii) Sill steps shall be securely fastened with not less than \1/2\-
inch bolts with nuts outside (when possible) and riveted over, or with
not less than \1/2\-inch rivets.
(c) Side handholds--(1) Number. Four.
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clear length, 16, preferably 24, inches. Minimum
clearance, 2, preferably 2\1/2\, inches.
(3) Location. Horizontal or vertical, one near each end on each side
of car over sill step.
(i) If horizontal, not less than 24 nor more than 30 inches above
center line of coupler.
(ii) If vertical, lower end not less than 18 nor more than 24 inches
above center line of coupler.
(4) Manner of application. Side handholds shall be securely fastened
with bolts, rivets or screws.
(d) End handholds--(1) Number. Four.
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clear length, 16 inches. Minimum clearance, 2,
preferably 2\1/2\, inches.
(3) Location. Horizontal, one near each side on each end projecting
downward from face of end sill or sheathing. Clearance of outer end of
handholds shall be not more than 16 inches from side of car.
(4) Manner of application. (i) Handholds shall be flush with or
project not more than 1 inch beyond face of end sill.
(ii) End handholds shall be securely fastened with bolts or rivets.
(iii) When marker sockets or brackets are located so that they can
not be conveniently reached from platforms, suitable steps and handholds
shall be provided for men to reach such sockets or brackets.
(e) End handrails. (On cars with projecting end sills.)
(1) Number. Four.
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clearance, 2, preferably 2\1/2\, inches.
(3) Location. One on each side of each end, extending horizontally
from doorpost or vestibule frame to a point not more than 6 inches from
corner of car, then approximately vertical to a point not more than 6
inches from top of platform end sill; horizontal portion shall be not
less than 30 nor more than 60 inches above platform end sill.
(4) Manner of application. End handrails shall be securely fastened
with bolts, rivets or screws.
(f) Side-door steps--(1) Number. One under each door.
(2) Dimensions. Minimum length of tread, 10, preferably 12, inches.
Minimum cross-sectional area, \1/2\ by 1\1/2\ inches or equivalent,
wrought iron or steel. Minimum clear depth, 8 inches.
(3) Location. Outside edge of tread of step not more than 2 inches
inside of face of side of car. Tread not more than 24, preferably not
more than 22, inches above the top of rail.

[[Page 307]]

(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.

Sec. 231.15 Steam locomotives used in road service.

(a) Tender till-steps--(1) Number. Four on tender.
(2) Dimensions. (i) Bottom tread not less than 8 by 12 inches,
metal. (May have wooden treads.)
(ii) If stirrup steps are used, clear length of tread shall be not
less than 10, preferably 12, inches.
(3) Location. One near each corner of tender on sides.
(4) Manner of application. Tender sill-steps shall be securely
fastened with bolts or rivets.
(b) Pilot sill-steps--(1) Number. Two.
(2) Dimensions. Tread not less than 8 inches in width by 10 inches
in length, metal. (May have wooden treads.)
(3) Location. One on or near each end of buffer-beam outside of rail
and not more than 16 inches above rail.
(4) Manner of application. Pilot sill-steps shall be securely
fastened with bolts or rivets.
(c) Pilot-beam handholds--(1) Number. Two.
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clear length, 14, preferably 16, inches. Minimum
clearance, 2\1/2\ inches.
(3) Location. One on each end of buffer-beam. If uncoupling lever
extends across front end of locomotive to within 8 inches of end of
buffer-beam, and is seven-eighths of an inch or more in diameter,
securely fastened, with a clearance of 2\1/2\ inches, it is a handhold.)
(4) Manner of application. Pilot-beam handholds shall be securely
fastened with bolts or rivets.
(d) Side handholds--(1) Number. Six.
(2) Dimensions. Minimum diameter, if horizontal, five-eighths of an
inch; if vertical, seven-eighths of an inch, wrought iron or steel.
Horizontal, minimum clear length, 16 inches. Vertical, clear length
equal to approximate height of tank. Minimum clearance, 2, preferably
2\1/2\, inches.
(3) Location. (i) Horizontal or vertical. If vertical, one on each
side of tender within 6 inches of rear or on corner; if horizontal, same
as specified for ``Box and other house cars'' (see Sec. 231.1(h)(3)).
(ii) One on each side of tender near gangway; 1 on each side of
locomotive at gangway; applied vertically.
(4) Manner of application. Side handholds shall be securely fastened
with not less than \1/2\-inch bolts or rivets.
(e) Rear-end handholds--(1) Number. Two.
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought
iron or steel. Minimum clear length, 14 inches. Minimum clearance, 2,
preferably 2\1/2\, inches.
(3) Location. Horizontal, one near each side of rear end of tender
on face of end sill. Clearance of outer end of handhold shall be not
more than 16 inches from side of tender.
(4) Manner of application. Rear-end handholds shall be securely
fastened with not less than \1/2\-inch bolts or rivets.
(f) Uncoupling levers--(1) Number. Two double levers, operative from
either side.
(2) Dimensions. Rear-end levers shall extend across end of tender
with handles not more than 12, preferably 9, inches from side of tender
with a guard bent on handle to give not less than 2 inches clearance
around handle.
(3) Location. One on rear end of tender and one on front end of
locomotive.

[[Page 308]]

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.

Sec. 231.16 Steam locomotives used in switching service.

(a) Footboards--(1) Number. Two or more.
(2) Dimensions. (i) Minimum width of tread, 10 inches.
(ii) Minimum height of back stop, 4 inches above tread.
(iii) Height from top of rail to top of tread, not more than 12 nor
less than 9 inches.
(iv) If made of wood, minimum thickness of tread shall be 1\1/2\,
preferably 2 inches.
(v) Footboards may be made of material other than wood which
provides the same as or a greater degree of safety than wood of 1\1/2\
inches thickness. When made of material other than wood, the tread
surface shall be of antiskid design and constructed with sufficient open
space to permit the elimination of snow and ice from the tread surface.
(3) Location. Ends or sides. If on ends, they shall extend not less
than 18 inches outside of guage of straight track, and shall be not more
than 12 inches shorter than buffer-beam at each end.
(4) Manner of application. (i) End footboards may be constructed in
two sections, provided that practically all space on each side of
coupler is filled; each section shall be not less than 3 feet in length.
(ii) Footboards shall be securely bolted to two 1- by 4-inch metal
brackets, provided footboard is not cut or notched at any point.
(iii) If footboard is cut or notched or in two sections, not less
than four 1- by 3-inch metal brackets shall be used, two located on each
side of coupler. Each bracket shall be securely bolted to buffer-beam,
end sill or tank frame by not less than two \7/8\-inch bolts.
(iv) If side footboards are used, a substantial handhold or rail
shall be applied not less than 30 inches nor more than 60 inches above
tread or footboard.
(b) Sill steps--(1) Number. Two or more.
(2) Dimensions. (i) Lower tread of step shall be not less than 8 by
12 inches, metal. (May have wooden treads.)
(ii) If stirrup steps are used, clear length of tread shall be not
less than 10, preferably 12, inches.
(3) Location. One or more on each side at gangway secured to
locomotive or tender.
(4) Manner of application. Sill steps shall be securely fastened
with bolts or rivets.
(c) End handholds--(1) Number. Two.
(2) Dimensions. Minimum diameter, 1 inch, wrought iron or steel.
Minimum clearance, 4 inches, except at coupler casting or braces when
minimum clearance shall be 2 inches.
(3) Location. One on pilot, buffer-beam; one on rear end of tender,
extending across front end of locomotive and rear end of tender. Ends of
handholds shall be not more than 6 inches from ends of buffer-beam or
end sill, securely fastened at ends.
(4) Manner of application. End handholds shall be securely fastened
with bolts or rivets.
(d) Side handholds--(1) Number. Four.
(2) Dimensions. Minimum diameter, seven-eighths of an inch, wrought
iron or steel. Clear length equal to approximate height of tank. Minimum
clearance, 2, preferably 2\1/2\ inches.
(3) Location. Vertical. One on each side of tender near front
corner; one on each side of locomotive at gangway.
(4) Manner of application. Side handholds shall be securely fastened
with bolts or rivets.
(e) Uncoupling levers--(1) Number. Two double levers, operative from
either side.
(2) Dimensions. (i) Handles of front-end levers shall be not more
than 12, preferably 9, inches from ends of buffer-beam, and shall be so
constructed as to give a minimum clearance of 2 inches around handle.
(ii) Rear-end levers shall extend across end of tender with handles
not more than 12, preferably 9, inches from

[[Page 309]]

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.

Sec. 231.17 Specifications common to all steam locomotives.

(a) Hand brakes. (1) Hand brakes will not be required on locomotives
nor on tenders when attached to locomotives.
(2) If tenders are detached from locomotives and used in special
service, they shall be equipped with efficient hand brakes.
(b) Running boards--(1) Number. Two.
(2) Dimensions. Not less than 10 inches wide. If of wood, not less
than 1\1/2\ inches in thickness; if of metal, not less than three-
sixteenths of an inch, properly supported.
(3) Location. One on each side of boiler extending from cab to front
end near pilot-beam. (Running boards may be in sections. Flat-top
steamchests may form section of running board.)
(4) Manner of application. (i) Running boards shall be securely
fastened with bolts, rivets, or studs.
(ii) Locomotives having Wootten type boilers with cab located on top
of boiler more than 12 inches forward from boiler head shall have
suitable running boards running from cab to rear of locomotive, with
handrailings not less than 20 nor more than 48 inches above outside edge
of running boards, securely fastened with bolts, rivets, or studs.
(c) Handrails--(1) Number. Two or more.
(2) Dimensions. Not less than 1 inch in diameter, wrought iron or
steel.
(3) Location. One on each side of boiler extending from near cab to
near front end of boiler, and extending across front end of boiler, not
less than 24 nor more than 66 inches above running board.
(4) Manner of application. Handrails shall be securely fastened to
boiler.
(d) Tenders of Vanderbilt type. (1) Tenders known as the Vanderbilt
type shall be equipped with running boards; one on each side of tender
not less than 10 inches in width and one on top of tender not less than
48 inches in width, extending from coal space to rear of tender.
(2) There shall be a handrail on each side of top running board,
extending from coal space to rear of tank, not less than 1 inch in
diameter and not less than 20 inches in height above running board from
coal space to manhole.
(3) There shall be a handrail extending from coal space to within 12
inches of rear of tank, attached to each side of tank above side running
board not less than 30 nor more than 66 inches above running board.
(4) There shall be one vertical end handhold on each side of
Vanderbilt type of tender, located within 8 inches of rear of tank
extending from within 8 inches of top of end sill to within 8 inches of
side handrail. Post supporting rear end of side running board, if not
more than 2 inches in diameter and properly located, may form section of
handhold.
(5) An additional horizontal end handhold shall be applied on rear
end of all Vanderbilt type of tenders which are not equipped with
vestibules. Handhold to be located not less than 30 nor more than 66
inches above top of end sill. Clear length of handhold to be not less
than 48 inches.
(6) Ladders shall be applied at forward ends of side running boards.
(e) Handrails and steps for headlights. (1) Locomotives having
headlights which can not be safely and conveniently reached from pilot-
beam or steam chests shall be equipped with secure handrails and steps
suitable for

[[Page 310]]

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.

Sec. 231.18 Cars of special construction.

Cars of construction not covered specifically in the foregoing
sections in this part, relative to handholds, sill steps, ladders, hand
brakes and running boards may be considered as of special construction,
but shall have, as nearly as possible, the same complement of handholds,
sill steps, ladders, hand brakes, and running boards as are required for
cars of the nearest approximate type.

Sec. 231.19 Definition of ``Right'' and ``Left.''

Right or Left refers to side of person when facing end or side of
car from ground.

Sec. 231.20 Variation in size permitted.

To provide for the usual inaccuracies of manufacturing and for wear,
where sizes of metal are specified, a total variation of 5 percent below
size given is permitted.

Sec. 231.21 Tank cars without underframes.

(a) Hand brakes--(1) Number. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(a)(1)).
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(a)(2)).
(3) Location. Each hand brake shall be so located that it can be
safely operated while car is in motion. The brake shaft shall be located
on end of car to the left of center.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(a)(4)).
(b) End platforms--(1) Number. Two.
(2) Dimensions. Minimum width, ten inches. Minimum thickness, one
and three-quarters inches.
(3) Location. One on each end extending across car a distance equal
to or greater than any other portion of car. Outside edge of end
platform shall extend not less than seven inches beyond bulge of tank
head and safety railing.
(4) Manner of application. End platforms shall be securely fastened
to the draft sills and be sufficiently rigid to prevent sagging.
(c) Sill steps. Same as specified for ``Box and other house cars''
(see Sec. 231.1(d)).
(d) End platform safety railing--(1) Number. Two.
(2) Dimensions. Minimum of seven-eighths inch diameter, wrought iron
or steel, or one and one-quarter inch pipe. Minimum clearance, two and
one-half inches.
(3) Location. One safety railing at each end of car shall extend
horizontally across car not less than thirty-six inches nor more than
fifty-four inches above end platform and extend downward within three
inches of the end of the platform. The safety railing shall be located
not more than six inches from the inside edge of the platform.
(4) Manner of application. Safety railings shall be supported at
center of car and at each end by extending downward at the ends and
attaching to the platform.
(e) Side railing--(1) Number. Two.
(2) Dimensions. One and one-quarter inch pipe. Minimum clearance two
and one-half inches.
(3) Location. One on each side of car, extending from end platform
to end platform at a distance of not less than 51 inches from centerline
of car, except that where break in side railing is necessary for side
ladder or operating cabinet, the side railing shall be securely attached
to such ladder and/or cabinet.
(4) Manner of application. Safety railings shall be securely
attached to end platforms and supported from the car at intervals not
exceeding ten feet.
(f) Side handholds--(1) Number. Four.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(h)(2)).
(3) Location. Four horizontal; one on face of end platform end, over
sill step, projecting downward or outward. Clearance of outer end of
handhold shall be not more than twelve inches from end of car. Vertical
portion of end

[[Page 311]]

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 Sec. 231.1(h)(4)).
(g) End handholds--(1) Number. Four.
(2) Dimensions. Same as specified for ``Box and other house cars''
(see Sec. 231.1(i)(2)).
(3) Location. Horizontal, one near each side of each end of car on
face of end sill. Clearance of outer end of handhold shall not be more
than sixteen inches from side of car.
(4) Manner of application. Same as specified for ``Box and other
house cars'' (see Sec. 231.1(i)(4)).
(h) Uncoupling levers. Same as specified for ``Box and other house
cars'' (see Sec. 231.1(k)).
(i) End ladder clearance. No part of car above end sills within
thirty inches from side of car, except buffer block, brake shaft, brake-
shaft brackets, brake wheel, running boards or uncoupling lever shall
extend to within twelve inches of a vertical plane parallel with end of
car and passing through the inside face of knuckle when closed with
coupler horn against the buffer block or end sill, and no other part of
end of car or fixtures on same, above end sills, other than exceptions
herein noted, shall extend beyond the outer face of the buffer block.
(j) Operating platform, ladder and safety railing--(1) Number. One
operating platform, two ladders and safety railing. Not required if all
fittings used in the loading or unloading of the tank car are accessible
from ground or end platform.
(2) Dimensions. (i) Ladder: Ladder stiles, three-eighths by two
inches or equivalent, wrought iron or steel. One and one-quarter inch
extra strong pipe will be considered equivalent.
(ii) Ladder treads minimum diameter, five-eighths of an inch,
wrought iron or steel.
(iii) Minimum clear length of treads, fourteen inches.
(iv) Maximum spacing of treads, nineteen inches.
(v) Minimum clearance of treads and ladder stiles, two inches,
preferably two and one-half inches.
(vi) Operating platform, minimum width, seven inches; minimum
thickness, one and three-quarters inches.
(vii) Safety railing, one and one-quarter inch wrought iron or steel
pipe.
(3) Location. (i) Operating platform to be of sufficient length to
provide access to all operating fittings. Ladder to be located on sides
of car at center.
(ii) The safety railing shall enclose the operating platform, manway
and fittings used in the loading and unloading of the tank. Railing
shall be open only at the ladders where it shall extend in a vertical
direction down to, and be securely attached to the platform. Maximum
width of opening, twenty-four inches.
(4) Manner of application. (i) The ladders shall be securely
fastened to the operating platform. The lower portion of ladder shall be
braced in such a manner as to prevent any movement.
(ii) The operating platforms shall be supported to prevent sagging
and be securely attached to the tank.
(iii) The safety railing shall be securely attached to four
stanchions or corner posts, which shall be securely attached to the tank
or operating platform.
(k) Manner of application of safety appliances on tank cars covered
with jackets. On tanks covered with jackets, metal pads shall be
securely attached to the shell proper, to which brackets shall be
fastened for securing the safety appliances attached to the tanks; or,
the safety appliances (with the exception of the operating platform
brackets) may be secured to the jackets reinforced with metal pads at
the point of attachment, which pads shall extend at least two inches
from the center line of rivet holes. The operating platform brackets
shall be secured to the jacket reinforced with suitable bands. When the
safety appliances are attached to the jacket covering of the tank, the
jacket shall be tightened so that there will be no danger of its
slipping around.

[33 FR 19663, Dec. 25, 1968, as amended at 34 FR 11974, July 16, 1969]

Sec. 231.22 Operation of track motor cars.

On and after August 1, 1963, it shall be unlawful for any railroad
subject to the requirements of the Safety Appliance Acts to operate or
permit to be

[[Page 312]]

operated on its line track motor cars to pull or haul trailers, push
trucks, hand cars, or similar cars or equipment.

Effective Date Note: At 28 FR 7839, Aug. 1, 1963, the effective date
of Sec. 231.22 was stayed until further notice.

Sec. 231.23 Unidirectional passenger-train cars adaptable to van-type semi-trailer use.

(a) Hand brakes--(1) Number. Same as specified for ``Passenger-Train
Cars Without End-Platforms.''
(2) Location. Each hand brake shall be so located that it can be
safely operated while car is in motion. The hand brake operating device
shall be located on the end of car to the left of center.
(b) Brake step--(1) Number. One (1).
(2) Dimensions. Not less than twenty-eight (28) inches in length.
Outside edge not less than eight (8) inches from face of car, except
when ``A'' frame is used and extends beyond end of car, a platform of
anti-skid design covering the extended portion of the ``A'' frame may be
used as brake step.
(3) Manner of application. Brake step shall be securely fastened to
car and when additional support is necessary, metal braces having a
minimum cross-sectional area three-eighths (\3/8\) by one and one-half
(1\1/2\) inches or equivalent shall be securely fastened to body of car
with not less than one-half (\1/2\) inch bolts or rivets.
(c) Sill steps--(1) Number. Two (2).
(2) Dimensions. Minimum length of tread, ten (10) preferably twelve
(12) inches. Minimum cross-sectional area, one-half (\1/2\) by one and
one-half (1\1/2\) inches, or equivalent, wrought iron, steel or other
metal of equivalent strength. Minimum clear depth, eight (8) inches.
(3) Location. One (1) near the rear or trailing end of the car on
each side, not more than twenty-four (24) inches from corner of car to
center of tread of sill step.
(4) Manner of application. Same as specified for ``Passenger-Train
Cars Without End-Platforms.''
(d) End-clearance. No part of car above end sills except the brake
step shall extend to within twenty (20) inches of a vertical plane
parallel with end of car and passing through the outside edge of any
part of an adjoining car.
(e) Side handholds--(1) Number. Four (4).
(2) Dimensions. Minimum diameter, five-eighths (\5/8\) of an inch,
wrought iron, steel or metal of equivalent strength. Minimum clear
length, sixteen (16) preferably twenty-four (24) inches. Minimum
clearance, two (2) preferably two and one-half (2\1/2\) inches.
(3) Location. Horizontal, two (2) over each sill step. Lower
handhold shall be not less than twenty-four (24) nor more than thirty
(30) inches above center line of coupler. Upper handhold shall be not
less than fifteen (15) nor more than nineteen (19) inches above lower
handhold. Clearance of outer end of handhold shall be not more than
eight (8) inches from end of car.
(4) Manner of application. Side handholds shall be securely fastened
with not less than one-half (\1/2\) inch bolts with nuts outside (when
possible) and riveted over, or with not less than one-half (\1/2\) inch
rivets.
(f) Horizontal end-handholds--(1) Number. Seven (7).
(2) Dimensions. Minimum diameter, five-eighths (\5/8\) of an inch,
wrought iron, steel or other metal of equivalent strength. Minimum clear
length, sixteen (16) inches. Minimum clearance, two (2) preferably two
and one-half (2\1/2\) inches.
(3) Location. End-sill: One (1) near each side at the rear or
trailing end of car on face of end-sill or sheathing over end-sill,
projecting outward or downward. Clearance of outer end of handhold shall
be not more than sixteen (16) inches from side of car.
(i) Lower: One near each side of the rear or trailing end of car,
not less than twenty-four (24) nor more than thirty (30) inches above
center line of coupler.
(ii) Upper: One (1) near each side at the rear or trailing end of
car not less than fifteen (15) nor more than nineteen (19) inches above
lower handholds. Clearance of outer ends of lower and upper handholds
shall be not more than eight (8) inches from side of car. Lower and
upper handholds shall be spaced to coincide with corresponding side
handholds, a variation of two (2) inches

[[Page 313]]

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.

Sec. 231.24 Box and other house cars with roofs, 16 feet 10 inches or more above top of rail.^{1
---------------------------------------------------------------------------

1 (a) Each car of this type built or rebuilt after (January 1, 1976)
or under construction prior thereto and placed in service after
(effective date) shall be equipped as specified in Sec. 231.27(a)
through (h) and (j) or, if it has roof hatches, as specified in
Sec. 231.28.
(b) Each car of this type placed in service after November 23, 1964
and before (effective date) shall be equipped--
(1) As specified in Sec. 231.24; or
(2) As specified in Sec. 231.27(a) through (h) and (j); or
(3) If it has roof hatches, as specified in Sec. 231.28.
(c) Each car of this type placed in service before October 22, 1964,
or under construction on October 22, 1964 and placed in service before
November 23, 1964, shall be equipped--
(1) As specified in Sec. 231.1; or
(2) As specified in Secs. 231.1 and 231.27(i); or
(3) As specified in Sec. 231.27(a) through (h) and (j); or
(4) If it has roof hatches, as specified in Sec. 231.28.
---------------------------------------------------------------------------

(a) Hand brakes--(1) Number. Same as specified for ``Box and Other
House Cars.''
(2) Dimensions. Same as specified for ``Box and Other House Cars.''
(3) Location. Each hand brake shall be located so that it can be
safely operated from the end-platform. Each brake shaft shall be located
on end of car to left of center and not more than twenty-four (24)
inches from left side of car.
(4) Manner of application. Same as specified for ``Box and Other
House Cars.''
(b) End-platforms--(1) Number. Two (2).
(2) Dimensions. Width, not less than ten (10) inches. Length, full
width of car.
(3) Location. One (1) on each end of car not more than eight (8)
inches above center sill.
(4) Manner of application. Each end-platform shall be securely
supported by not less than four (4) metal braces having a minimum cross
sectional area three-eighths (\3/8\) by one and one-half (1\1/2\) inches
or equivalent which shall be securely fastened to body of car with not
less than one-half (\1/2\) inch bolts or rivets. The outside edge of
each end-platform shall be not less than six (6) inches from a vertical
plane parallel with end of car and passing through the inside face of
knuckle when closed with coupler-horn against the buffer-block or end
sill and cushioning device (if used) at full buff. End-platform shall be
made of running board material as specified for ``Box and Other House
Cars.''
(c) Sill steps. Same as specified for ``Box and Other House Cars.''
(d) End-ladder clearance. No part of car above end-sills within
thirty (30) inches from side of car, except buffer block brake-shaft,
brake wheel, end-platform, horizontal end handholds, or coupling lever
shall extend to within twelve (12) inches of a vertical plane parallel
with end of car and passing through the inside face of knuckle, when
closed with the coupler horn against the buffer block or end-sill and
cushioning device (if used) at full buff, and no other part of end of
car or fixtures on same above end-sill, other than exceptions herein
noted, shall extend beyond outer face of buffer block.
(e) Side handholds--(1) Number. Sixteen (16).
(2) Dimensions. Same as specified for ``Box and Other House Cars.''

[[Page 314]]

(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]

Sec. 231.25 Track motorcars (self-propelled 4-wheel cars which can be removed from the rails by men).

(a) Handbrakes (includes foot operated brake). Each track motorcar
shall be equipped with an efficient handbrake so located that it can be
safely operated while the car is in motion. Each

[[Page 315]]

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.

Sec. 231.26 Pushcars.

(a) Handbrakes. When used to transport persons, each pushcar shall
be equipped with an efficient handbrake so located that it can be safely
operated while the car is in motion.
(b) Handholds (includes handles). Each pushcar shall be provided
with one or more secure handholds. When used to transport persons, each
pushcar shall be provided with one or more safe and suitable handholds
conveniently located above the top of the bed of each pushcar.
(c) Sill steps or footboards. When used to transport persons, each
pushcar shall be equipped with safe and suitable sillsteps or footboards
conveniently located and securely fastened to car, when bed or deck of
pushcar is more than 24 inches above top of rail.
(d) Couplers. When moved together with other vehicles, each pushcar
shall be equipped with a coupler at each end where such vehicles are
coupled (1) which provides a safe and secure attachment, and (2) which
can be coupled or uncoupled without the necessity of men going between
the ends of the cars.

Note: Sections 231.25 and 231.26 are applicable only when the
vehicles governed thereby are coupled together and moved together.

Sec. 231.27 Box and other house cars without roof hatches or placed in service after October 1, 1966.

(a) Handbrakes. The handbrake may be of any efficient design, but
must provide the same degree of safety as, or a greater degree of safety
than, the following specifications:
(1) Number. (i) Each box or other house car without roof hatches
shall be equipped with an efficient vertical wheel handbrake which shall
operate in harmony with the power brake thereon.
(ii) The handbrake may be of any efficient design, but must provide
a total braking force applied to brake shoes not less than the total
force applied to the brake shoes by the brake cylinders at 50 pounds per
square inch.
(2) Dimensions. (i) The brake wheel may be deep or shallow, of
malleable iron, wrought iron, steel, or other material of equivalent
strength.
(ii) Overall diameter of brake wheel nominally twenty-two (22)
inches.
(iii) Depth of brake wheel hub shall be two and five-eighths (2\5/
8\) inches with square taper shaft fit, taper two (2) inches in twelve
(12) inches with small end of taper fit seven-eighths (\7/8\) inches.
(iv) Brake wheel and drum shall be arranged so that both will
revolve when applying and gradually releasing the handbrake. Handbrake
shall be provided with means to prevent application of the brake by
winding in a counterclockwise direction.
(v) Brake shaft shall be arranged with a square fit at its outer end
to secure the handbrake wheel; said square fit shall be not less than
seven-eighths (\7/8\) of an inch square. Square-fit taper: Nominally two
(2) in twelve (12) inches (see Plate A).
(vi) All chains shall be not less than nine-sixteenths (\9/16\) inch
BBB coil chain.
(vii) All handbrake rods shall be not less than three-fourths (\3/
4\) inch diameter.

[[Page 316]]

(3) Location. (i) The handbrake shall be so located that it can be
safely operated from horizontal end platform while car is in motion.
(ii) The brake shaft shall be located on end of car, to the left of
and not less than seventeen (17) nor more than twenty-two (22) inches
from center and not less than twenty-six (26) nor more than forty (40)
inches above top of end-platform tread.
(4) Manner of application. (i) Brake wheel shall be held in position
on brake shaft by a nut on a threaded extended end of brake shaft; said
thread portion shall be not less than three-fourths (\3/4\) of an inch
in diameter; said nut shall be secured by riveting over or by the use of
a locknut or suitable cotter.
(ii) Outside edge of brake wheel shall be not less than four (4)
inches from a vertical plane parallel with end of car and passing
through the inside face of knuckle when closed with coupler horn against
the buffer block or end sill.
(iii) Handbrake housing shall be securely fastened to car.
(b) End platforms--(1) Number. Two (2).
(2) Dimensions. Width not less than eight (8) inches; length, not
less than sixty (60) inches.
(3) Location. One (1) centered on each end of car between inner ends
of handholds not more than eight (8) inches above top of center sill.
(4) Manner of application. (i) Each end platform shall be securely
supported by not less than three (3) metal braces having a minimum cross
sectional area of three-eighths (\3/8\) by one and one-half (1\1/2\)
inches or equivalent, which shall be securely fastened to body of car
with not less than one-half (\1/2\) inch bolts or rivets.
(ii) Where conventional draft gear or cushioning device having
longitudinal travel less than six (6) inches is used the outside edge of
each end platform shall be not less than twelve (12) inches from a
vertical plane parallel with end of car and passing through the inside
face of knuckle when closed with coupler horn against buffer block.
Where cushioning device having longitudinal travel six (6) inches or
more is used the outside edge of each end platform shall be not less
than six (6) inches from a vertical plane parallel with end of car and
passing through the inside face of knuckle when closed with end sill and
cushioning device at full buff. End platform shall be made of wood or of
material which provides the same as or a greater degree of safety than
wood of 1\1/8\ inches thickness. When made of material other than wood
the tread surface shall be of anti-skid design and constructed with
sufficient open space to permit the elimination of snow and ice from the
tread surface.
(c) Sill steps--(1) Number. Four (4).
(2) Dimensions. Minimum cross-sectional area one-half (\1/2\) by one
and one-half (1\1/2\) inches, or equivalent, of wrought iron, steel, or
other material of equivalent strength. Minimum length of tread, ten
(10), preferably twelve (12) inches. Minimum clear depth, eight (8)
inches.
(3) Location. (i) One (1) near each end of each side car, so that
there shall be no more than eighteen (18) inches from end of car to
center of tread of sill step.
(ii) Outside edge of tread of step shall be not more than four (4)
inches inside of face of side of car, preferably flush with side of car.
(iii) Tread shall be not more than twenty-four (24), preferably not
more than twenty-two (22) inches above the top of rail.
(4) Manner of application. (i) Sill steps exceeding twenty-one (21)
inches in depth shall have an additional tread.
(ii) Sill steps shall be securely fastened with not less than one-
half (\1/2\) inch bolts with nuts outside (when possible) and riveted
over, or with not less than one-half (\1/2\) inch rivets.
(d) End ladder (appliances) clearance. No part of car above end
sills within thirty (30) inches from side of car, except buffer block,
brake shaft, brake wheel, end platform, horizontal end handholds, or
uncoupling lever shall extend to within twelve (12) inches of a vertical
plane parallel with end of car and passing through the inside face of
knuckle, when closed with the coupler horn against the buffer block or
end sill and cushioning device (if used) at full buff, and no other part
of end of car or fixtures on same above end sill, other than exceptions
herein noted, shall extend beyond outer face of buffer block.
(e) Side handholds--(1) Number. Sixteen (16).

[[Page 317]]

(2) Dimensions. Minimum diameter, five-eighths (\5/8\) of an inch,
wrought iron, steel, or other material of equivalent strength. Minimum
clear length, sixteen (16) inches, preferably twenty-four (24) inches.
Minimum clearance, two (2), preferably two and one-half (2\1/2\) inches.
(3) Location. Horizontal; four (4) near each end and on each side of
car spaced not more than nineteen (19) inches apart and with the bottom
handhold located not more than twenty-one (21) inches from top tread of
sill step, and top handhold shall coincide in height with top end
handhold, a variation of two (2) inches being allowed. Spacing of side
handholds shall be uniform within a limit of two (2) inches from top
handhold to bottom handhold. Clearance of outer ends of handholds shall
be not more than eight (8) inches from end of car.
(4) Manner of application. Side handholds shall be securely fastened
with not less than one-half (\1/2\) inch bolts with nuts outside (when
possible) and riveted over, or with not less than one-half (\1/2\) inch
rivets. Each bottom handhold shall have foot guard or upward projection
not less than two (2) inches in height near inside end.
(f) End handholds--(1) Number. Sixteen (16).
(2) Dimensions. (i) Minimum diameter, five-eighths (\5/8\) of an
inch, wrought iron, steel, or other material of equivalent strength.
(ii) Minimum clear length, sixteen (16) inches, preferably twenty-
four (24) inches.
(iii) Minimum clearance, two (2) preferably two and one-half (2\1/
2\) inches.
(3) Location. Horizontal: Four (4) near each side and on each end of
car spaced not more than nineteen (19) inches apart and with the bottom
handhold located not more than twenty-one (21) inches from top tread of
sill step, and top handhold shall coincide in height with end platform
handholds, a variation of two (2) inches being allowed. Clearance of
outer ends of handholds shall be not more than eight (8) inches from
side of car.
(4) Manner of application. End handholds shall be securely fastened
with not less than one-half (\1/2\) inch bolts with nuts outside (when
possible) and riveted over, or with not less than one-half (\1/2\) inch
rivets. Each bottom handhold shall have foot guard or upward projection
not less than two (2) inches in height near inside end.
(g) Horizontal end-platform handholds--(1) Number. Two (2).
(2) Dimensions. (i) Minimum diameter, five-eighths (\5/8\) of an
inch, wrought iron, steel, or other material of equivalent strength.
(ii) Minimum clearance, two (2) preferably two and one-half (2\1/2\)
inches.
(iii) Minimum clear length sixty (60) inches. When security of
attachment requires, an extra supporting leg may be applied near center
of clear length.
(3) Location. One (1) on each end of car above end platform. Outer
legs shall be not more than six (6) inches from inner legs of top end
handholds. Height above tread of end platform: Not less than forty-eight
(48) nor more than sixty (60) inches.
(4) Manner of application. End-platform handholds shall be securely
fastened with not less than one-half (\1/2\) inch bolts with nuts
outside (when possible) and riveted over, or with not less than one-half
(\1/2\) inch rivets.
(h) Uncoupling levers--(1) Number. Two (2).
(2) Dimensions. (i) Handles of uncoupling levers, except those shown
on Plate B or of similar designs, shall be not more than six (6) inches
from side of car.
(ii) Uncoupling levers of design shown on Plate B and of similar
designs shall conform to the following prescribed limits:
(a) Handles shall be not more than twelve (12), preferably nine (9)
inches from sides of car. Center lift arms shall be not less than seven
(7) inches long.
(b) Center of eye at end of center lift arm shall be not more than
three and one-half (3\1/2\) inches beyond center of eye of uncoupling
pin of coupler when horn of coupler is against the buffer block or end
sill (see Plate B).
(c) End of handles shall extend not less than four (4) inches below
bottom of end sill or shall be so constructed as to give a minimum
clearance of two (2) inches around handle. Minimum drop of handles shall
be twelve (12) inches; maximum, fifteen (15) inches overall (see Plate
B).

[[Page 318]]

(iii) Handles of uncoupling levers of the ``rocking'' or ``push-
down'' type shall be not less than eighteen (18) inches from top of rail
when lockblock has released knuckle, and a suitable stop shall be
provided to prevent inside arm from flying up in case of breakage.
(3) Location. One (1) on each end of car. When single lever is used,
it shall be placed on left side of end of car.
(i) Existing box and other house cars without roof hatches. (1) Box
and other house cars without roof hatches built on or before April 1,
1966, or under construction prior thereto and placed in service before
October 1, 1966, shall be deemed equipped as nearly as possible within
the intent of Sec. 231.1 and of this section when:
(i) The running board, roof handholds over side and end ladders at
``A'' end of car and ladder treads above the fourth tread from bottom of
side and end ladder at ``A'' end are removed;
(ii) One (1) horizontal end-platform handhold is applied on each end
of car as specified in this section except the right hand end shall be
not more than eight (8) inches from side of car, or where car end
contour makes impractical the use of a single continuous end handhold,
there is applied the equivalent consisting of two (2) handholds, the
center handhold to be a minimum of thirty (30) inches in clear length
and the handhold to the right to be a minimum of nineteen (19) inches in
clear length and to extend to within eight (8) inches of the right side
of the car, such handholds to be not more than twelve (12) inches apart;
and
(iii) With handbrake operated near roof of car: a brake step shall
be provided as specified in Sec. 231.1 and lettering one and one-half
(1\1/2\) inches high shall be painted on a yellow background on side
sill near ``B'' end of car with a three-fourths (\3/4\) inch black
border containing the words ``Keep Off Roof--No Running Board,'' or with
handbrake operated from approximate level of top of end sill: roof
handholds and side and end ladder treads above the fourth tread from the
bottom of ladders at ``B'' end of car shall be removed and a brake step
as specified by Sec. 231.1 shall be used with top of tread surface being
level with or not more than four (4) inches below adjacent end handhold.
(2) Paragraph (i)(1)(ii) of this section shall not apply to cars
equipped with end platforms and end platform handholds.
(j) Painting and marking. Box and other house cars with roofs 16
feet and 10 inches or more above top of rail shall be painted and marked
as follows:
(1) That portion of each end of the car which is more than fifteen
(15) feet above top of rail shall be painted with contrasting
reflectorized paint and bear the words ``excess height car'' in
lettering not less than three (3) inches high; and
(2) On each side sill near end corner there shall be painted or
otherwise displayed a yellow rectangular area with a three-fourths (\3/
4\) inch black border containing the words ``this car excess height'' in
lettering not less than one and one-half (1\1/2\) inches high.

(Secs. 2, 4, and 6, 27 Stat. 531, as amended; secs, 1 and 3, 32 Stat.
943, as amended; sec. 6(e) and (f), 80 Stat. 939 (45 U.S.C. 2, 4, 6, 8,
and 10, 11-16 and 49 U.S.C. 103(c)(1))

[33 FR 19663, Dec. 25, 1968, as amended at 40 FR 34347, Aug. 15, 1975;
49 FR 26745, June 29, 1984]

Sec. 231.28 Box and other house cars with roof hatches built or placed in service after October 1, 1966.

The specifications of Sec. 231.27 shall apply except as to the
following:
(a) Running boards. Same as specified in Sec. 231.1, except: the end
of longitudinal running board shall be not less than six (6) inches from
a vertical plane parallel with end of car and passing through the inside
face of knuckle when closed with coupler horn against buffer block or
end sill.
(b) Ladders--(1) Number. Two (2).
(2) Dimensions. (i) Minimum clear length of tread: Sixteen (16)
inches.
(ii) Maximum spacing between treads nineteen (19) inches.
(3) Location. One (1) on each end of car not more than eight (8)
inches from left-hand side.
(4) Manner of application. Same as specified in Sec. 231.1.
(c) Roof handholds--(1) Number. Two (2), one (1) over each ladder.
(2) Dimensions. Same as specified in Sec. 231.1.

[[Page 319]]

(3) Location. On roof of car. One (1) parallel to treads of each
ladder, not less than eight (8) nor more than fifteen (15) inches from
edge of roof, except on refrigerator cars where ice hatches prevent,
when location may be nearer edge of roof.
(4) Manner of application. Same as specified in Sec. 231.1.
(d) End handholds. (Treads of end ladders are end handholds.) Same
as specified for Sec. 231.27.
(e) Existing box and other house cars with roof hatches. Box and
other house cars with roof hatches built on or before April 1, 1966, or
under construction prior thereto and placed in service before October 1,
1966, shall be deemed equipped as nearly as possible within the intent
of Sec. 231.1 and of this section when: Equipped as specified in
Sec. 231.1, except (1) the side ladder treads above the fourth tread
from bottom of side ladder near ``A'' end of car and roof handhold over
the side ladder near ``A'' end shall be removed; (2) and (1) end
platform handhold shall be provided on each end of car as specified in
Sec. 231.27(i); and when handbrake is operated near roof of car a brake
step shall be provided as specified by Sec. 231.1 or when handbrake is
operated from approximate level of top of end sill the roof handhold
over side ladder near ``B'' end and treads above the fourth tread from
bottom of side ladder near ``B'' end shall be removed and a brake step
as specified in Sec. 231.1 shall be used with top of tread surface level
with or not more than four (4) inches below adjacent end handhold.

(Secs. 2, 4, and 6, 27 Stat. 531, as amended; secs, 1 and 3, 32 Stat.
943, as amended; sec. 6(e) and (f), 80 Stat. 939 (45 U.S.C. 2, 4, 6, 8,
and 10, 11-16 and 49 U.S.C. 103(c)(1))

[33 FR 19663, Dec. 25, 1968, as amended at 49 FR 26745, June 29, 1984]

Sec. 231.29 Road locomotives with corner stairways.

After September 30, 1979, road locomotives with corner stairway
openings must be equipped with (a) uncoupling mechanisms that can be
operated safely from the bottom stairway opening step as well as ground
level, and (b) the vertical handholds and horizontal end handholds
prescribed in Sec. 231.30(e) and (g). No part of the uncoupling
mechanism may extend into the stairway opening or end platform area when
the mechanism is in its normal position or when it is operated. Each
carrier shall so equip forty percent (40 percent) of its road
locomotives by October 1, 1977, seventy percent (70 percent) by October
1, 1978, and all its road locomotives by October 1, 1979.

[41 FR 37783, Sept. 8, 1976]

Sec. 231.30 Locomotives used in switching service.

(a) General requirements. (1) Except for steam locomotives equipped
as provided in Sec. 231.16 of this part, all locomotives used in
switching service built after March 31, 1977, must be equipped as
provided in this section.
(2) Except for steam locomotives equipped as prescribed in
Sec. 231.16 of this part, all locomotives built prior to April 1, 1977,
used in switching service after September 30, 1979, shall be equipped as
provided in this section. Each carrier shall so equip forty percent (40
percent) of such locomotives by October 1, 1977, seventy percent (70
percent) by October 1, 1978, and all such locomotives by October 1,
1979.
(3) Locomotives without corner stairway openings may not be used to
perform any switching service after September 30, 1979 except passenger
car switching service at passenger stations.
(b) Definitions. (1) Locomotive used in switching service means a
locomotive regularly assigned to perform yard switching service.
(2) Switching service means the classification of cars according to
commodity or destination; assembling of cars for train movements;
changing the position of cars for purposes of loading, unloading, or
weighing, placing of locomotives and cars for repair or storage; or
moving of rail equipment in connection with work service that does not
constitute a road movement. However, this term does not include movement
of a train or part of a train within yard limits by the road locomotive
and the placement of locomotives or cars in a train or their removal
from a train by the road locomotive while en route to the train's
destination.

[[Page 320]]

(3) Safety tread surface means that portion of anti-skid surface of
a switching step that actually is contacted by a shoe or boot.
(4) Uncoupling mechanism means the arrangement for operating the
coupler lock lift, including the uncoupling lever and all other
appurtenances that facilitate operation of the coupler.
(c) Switching step--(1) Number. Each locomotive used in switching
service must have four (4) switching steps. (See Plate A)
(2) Dimensions. Each such switching step must have--
(i) On locomotives built after March 31, 1977, a minimum width of
twenty-four (24) inches and a minimum depth of twelve (12) inches,
except when necessary to accommodate the turning arc of a six-wheel
truck and its appurtenances, the inside edge of the switching step shall
have a minimum width of seventeen (17) inches (See Plate B);
(ii) On locomotives built prior to April 1, 1977, a minimum width of
eighteen (18) inches, and a minimum depth of eight (8) inches;
(iii) A backstop, solid or perforated, with minimum height of
backstop of six (6) inches above the safety tread surface; and
(iv) A height of not more than nineteen (19) inches, preferably
fifteen (15) inches, measured from top of rail to the safety tread
surface.
(3) Location. Switching steps must be located on each side near each
end of a locomotive used in switching service. The bottom step of the
stairway at these locations may also serve as a switching step if it
meets all of the requirements of this section.
(4) Manner of application. (i) Switching steps must be supported by
a bracket at each end and fastened to the bracket by two bolts or rivets
of at least one-half (\1/2\) inch diameter or by a weldment of at least
twice the strength of a bolted attachment.
(ii) Vertical clearance must be unobstructed, except for minor
intrusions created by mechanical fasteners or a small triangular gusset
plate at the platform level walkway, and free for use for at least a
distance of eighty-four (84) inches over a portion of the switching step
that is not less than seven (7) inches deep by eighteen (18) inches wide
on locomotives built prior to April 1, 1977, and of not less than seven
(7) inches deep by twenty-four (24) inches wide on locomotives built
after March 31, 1977.
(5) Material. (i) Steel or other material of equivalent or better
strength and deflection characteristics, anti-skid, safety design,
having at least fifty percent (50%) of the tread surface as open space
must be used.
(ii) When the step material creates a second level safety tread
surface, the maximum difference in surface levels may not exceed three-
eighths (\3/8\) of an inch.
(iii) The safety tread surface must extend to within one-half (\1/
2\) inch of each edge of the step.
(6) Visibility. The outer edge of each switching step that is not
illuminated must be painted a contrasting color. On locomotives built
after March 31, 1977, switching steps shall be illuminated; on multiple-
unit locomotive consists used in switching service, only the front
switching steps of the leading unit and the rear switching steps of the
trailing unit must be illuminated.
(d) End footboards and pilot steps. (1) Except for steam locomotives
equipped as provided in Sec. 231.16, locomotives used in switching
service built after March 31, 1975, may not be equipped with end
footboards or pilot steps.
(2) Except for steam locomotives equipped as provided in
Sec. 231.16, locomotives used in switching service built before April 1,
1975, may not be equipped with end footboards or pilot steps after
September 30, 1978. Whenever end footboards or pilot steps are removed
from a locomotive, the uncoupling mechanism and horizontal end handholds
of the locomotive must be modified to comply with paragraphs (f) and (g)
of this section.
(e) Vertical handholds. Each switching step must be provided with
two (2) vertical handholds or handrails, one on each side of the
switching step stairway.
(1) On locomotives built after March 31, 1977, each vertical
handhold must--
(i) Be constructed of wrought iron, steel or other material of
equivalent strength and durability that is at least one (1) inch
diameter and be securely

[[Page 321]]

fastened to the locomotive with one-half (\1/2\) inch or larger bolts or
rivets;
(ii) Begin not less than six (6) inches nor more than thirty-two
(32) inches above the safety tread surface of the switching step; on
units with high snowplows, each must begin not more than thirty-six (36)
inches above the safety tread surface of the switching step;
(iii) Extend upward from switching step surface at least forty-eight
(48) inches;
(iv) Be painted in a contrasting color to a height of at least
forty-eight (48) inches above the safety tread surface of the switching
step; and
(v) Provide at least two and one-half (2\1/2\) inches of usable hand
clearance throughout its entire length.
(2) On locomotives built before April 1, 1977, each vertical
handhold must--
(i) Be constructed of wrought iron, steel or other material of
equivalent strength and durability that is at least seven-eighths (\7/
8\) inch in diameter and be securely fastened with one-half (\1/2\) inch
or larger bolts or rivets;
(ii) Begin not less than five (5) inches nor more than thirty-two
(32) inches above the safety tread surface; on units with high
snowplows, each must begin not more than thirty-six (36) inches above
the safety tread surface;
(iii) Extend upward from safety tread surface of the switching step
at least forty-eight (48) inches;
(iv) Be painted in a contrasting color to a height of at least
forty-eight (48) inches above the safety tread surface of the switching
step; and
(v) Provide at least two and one-half (2\1/2\) inches usable hand
clearance throughout its entire length.
(f) Uncoupling mechanisms. Each locomotive used in switching service
must have means for operating the uncoupling mechanism safely from the
switching step as well as from ground level. No part of the uncoupling
mechanism may extend into the switching step or stairway opening or end
platform area when the mechanism is in its normal position or when it is
operated. (See Plate A)
(g) Horizontal end handholds. Each locomotive used in switching
service must have four (4) horizontal end handholds.
(1) Each horizontal end handhold must--
(i) Be constructed of wrought iron, steel or other material of
equivalent strength and durability that is at least five-eighths (\5/8\)
inch in diameter and be securely fastened to the locomotive with one-
half (\1/2\) inch or larger bolts or rivets;
(ii) Be located not less than thirty (30) inches nor more than fifty
(50) inches above the top of rail with its outer end not more than 16
inches from the side of the locomotive; on units with a high snowplow
that makes normal end handhold location inaccessible, end handhold shall
be located on top of plow blade, with the center of the handhold not
more than fifty-three (53) inches above the top of rail, and be in line
with the slope of the plow blade;
(iii) Be at least fourteen (14) inches long; and
(iv) Provide at least two (2) inches, preferably two and one-half
(2\1/2\) inches, usable hand clearance throughout its entire length.
(2) An uncoupling lever may also serve as a horizontal end handhold
if it complies with the requirements of this paragraph. When an
uncoupling lever also serves as the horizontal end handhold, it is
considered to be securely fastened if its securement brackets are
attached to the locomotive by one-half (\1/2\) inch or larger bolts or
rivets and its movement between those brackets is limited to the
rotation necessary for performance of the uncoupling function.

[[Page 322]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.007

[[Page 323]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.008

[41 FR 37783, Sept. 8, 1976]

Appendix A to Part 231--Schedule of Civil Penalties\1\
------------------------------------------------------------------------
Willful
FRA safety appliance defect code section\2\ Violation violation
------------------------------------------------------------------------
110.A1 Hand Brake or Hand Brake Part Missing. $5,000 $7,500
110.A2 Hand Brake or Hand Brake Part Broken.. 5,000 7,500
110.A3 Hand Brake or Hand Brake Part Loose or
Worn......................................... 2,500 5,000
110.B1 Hand Brake Inoperative................ 5,000 7,500
110.B2 Hand Brake Inefficient................ 2,500 5,000
110.B3 Hand Brake Improperly Applied......... 2,500 5,000
110.B4 Hand Brake Incorrectly located........ 2,500 5,000
110.B5 Hand Brake Shaft Welded or Wrong
Dimension.................................... 2,500 5,000
110.B6 Hand Brake Shaft Not Retained in
Operating Position........................... 2,500 5,000
110.B8 Hand Brake or Hand Brake Parts Wrong
Design....................................... 2,500 5,000
114.B2 Hand Brake Wheel or Lever Has
Insufficient Clearance Around Rim or Handle.. 2,500 5,000
114.B3 Hand Brake Wheel/Lever Clearance
Insufficient to Vertical Plane Through Inside
Face of Knuckle.............................. 2,500 5,000
120.A1 Brake Step Missing Except by Design... 5,000 7,500
120.A2 Brake Step or Brace Broken or Decayed. 2,500 5,000
120.A3 Brake Step or Brace Loose............. 2,500 5,000
120.B1 Brake Step or Brace Bent.............. 2,500 5,000
120.B2 Brake Step or Wrong Dimensions........ 2,500 5,000
120.C1 Brake Step Improperly Applied......... 2,500 5,000
120.C2 Brake Step Improperly Located......... 2,500 5,000
120.C3 Brake Step With Less Than 4" Clearance
to Vertical Plane Through Inside Face of
Knuckle...................................... 2,500 5,000
120.C4 Brake Step Obstructed or Otherwise
Unsafe....................................... 2,500 5,000
124.A1 Running Board Missing or Part Missing
Except By Design............................. 5,000 7,500
124.A2 Running Board Broken or Decayed....... 5,000 7,500
124.A3 Running Board Loose Presents a
Tripping Hazard or Other Unsafe Condition.... 2,500 5,000
124.A4 Running Board Wrong Material.......... 2,500 5,000
124.B1 Running Board Bent to the Extent that
It is Unsafe................................. 2,500 5,000
124.B2 Running Board Wrong Dimensions........ 2,500 5,000
124.B3 Running Board Wrong Location.......... 2,500 5,000
124.C1 Running Board Improperly Applied...... 2,500 5,000
124.C2 Running Board Obstructed.............. 2,500 5,000
126.A1 End Platform Missing or Part Except By
Design....................................... 5,000 7,500

[[Page 324]]

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

[[Page 325]]

146.A Notice or Stencil not Posted on
Cabooses with Running Boards Removed......... 500 1,000
146.B Safe Means not Provided to Clean or
Maintain Windows of Caboose.................. 1,000 2,000
------------------------------------------------------------------------
\1\A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.
\2\This schedule uses section numbers from FRA's Safety Appliance Defect
Code, a restatement of the CFR text in a reorganized format. For
convenience, and as an exception to FRA's general policy, penalty
citations will cite the defect code rather than the CFR. FRA reserves
the right, should litigation become necessary, to substitute in its
complaint the CFR and/or statutory citation in place of the defect
code section cited in the penalty demand letter.

[53 FR 52933, Dec. 29, 1988]

PART 232--RAILROAD POWER BRAKES AND DRAWBARS--Table of Contents

Sec.
232.0 Applicability and penalties.
232.1 Power brakes; minimum percentage.
232.2 Drawbars; standard height.
232.3 Power brakes and appliances for operating power-brake systems.

Rules for Inspection, Testing and Maintenance of Air Brake Equipment

232.10 General rules; locomotives.
232.11 Train air brake system tests.
232.12 Initial terminal road train air brake tests.
232.13 Road train and intermediate terminal train 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; 45 U.S.C.
431, 438, as amended; 49 app. U.S.C. 1655(e), as amended; Pub. L. 100-
342; and 49 CFR 1.49(c), (g), and (m).

Source: 33 FR 19679, Dec. 25, 1968, unless otherwise noted.

Sec. 232.0 Applicability and penalties.

(a) Except as provided in paragraph (b), this part applies to all
standard gage railroads.
(b) This part does not apply to:
(1) A railroad that operates only on track inside an installation
which is not part of the general railroad system of transportation; or
(2) Rapid transit operations in an urban area that are not connected
with the general railroad system of transportation.
(c) As used in this part, carrier means ``railroad,'' as that term
is defined below.
(d) Railroad means all forms of non-highway ground transportation
that run on rails or electromagnetic guideways, including (1) commuter
or other short-haul rail passenger service in a metropolitan or suburban
area, and (2) high speed ground transportation systems that connect
metropolitan areas, without regard to whether they use new technologies
not associated with traditional railroads. Such term does not include
rapid transit operations within an urban area that are not connected to
the general railroad system of transportation.
(e) Any person (including a railroad and any manager, supervisor,
official, or other employee or agent of a railroad) who violates any
requirement of this part or causes the violation of any such requirement
is subject to a civil penalty of at least $250 and not more than $10,000
per violation, except that: Penalties may be assessed against
individuals only for willful violations, and, where a grossly negligent
violation or a pattern of repeated violations has created an imminent
hazard of death or injury to persons, or has caused death or injury, a
penalty not to exceed $20,000 per violation may be assessed. Each day a
violation continues shall constitute a separate offense.

[54 FR 33230, Aug. 14, 1989]

Sec. 232.1 Power brakes; minimum percentage.

On and after September 1, 1910, on all railroads used in interstate
commerce, whenever, as required by the Safety Appliance Act as amended
March 2,

[[Page 326]]

1903, any train is operated with power or train brakes, not less than 85
percent of the cars of such train shall have their brakes used and
operated by the engineer of the locomotive drawing such train, and all
power-brake cars in every such train which are associated together with
the 85 percent shall have their brakes so used and operated.

Sec. 232.2 Drawbars; standard height.

Except on cars specified in the proviso in section 6 of the Safety
Appliance Act of March 2, 1893 (sec. 6, 27 Stat. 532, 45 U.S.C. 6) as
the same was amended April 1, 1896 (29 Stat. 85; 45 U.S.C. 6) the
standard height of drawbars heretofore designated in compliance with law
is hereby modified and changed in the manner hereinafter prescribed, to
wit: The maximum height of drawbars for freight cars measured
perpendicularly from the level of the tops of rails to the centers of
drawbars for standard-gauge railroads in the United States subject to
said act shall be 34\1/2\ inches, and the minimum height of drawbars for
freight cars on such standard-gauge railroads measured in the same
manner shall be 31\1/2\ inches, and on narrow-gauge railroads in the
United States subject to said act the maximum height of drawbars for
freight cars measured from the level of the tops of rails to the centers
of drawbars shall be 26 inches, and the minimum height of drawbars for
freight cars on such narrow-gauge railroads measured in the same manner
shall be 23 inches, and on 2-foot-gauge railroads in the United States
subject to said act the maximum height of drawbars for freight cars
measured from the level of the tops of rails to the centers of drawbars
shall be 17\1/2\ inches, and the minimum height of drawbars for freight
cars on such 2-foot-gauge railroads measured in the same manner shall be
14\1/2\ inches.

Sec. 232.3 Power brakes and appliances for operating power-brake systems.

(a) The specifications and requirement for power brakes and
appliances for operating power-brake systems for freight service set
forth in the appendix to the report on further hearing, of May 30, 1945,
are hereby adopted and prescribed. (See appendix to this part for order
in Docket 13528.)

Rules for Inspection, Testing and Maintenance of Air Brake Equipment

Sec. 232.10 General rules; locomotives.

(a) Air brake and hand brake equipment on locomotives including
tender must be inspected and maintained in accordance with the
requirements of the Locomotive Inspection and United States Safety
Appliance Acts and related orders and regulations of the Federal
Railroad Administrator (FRA).
(b) It must be known that air brake equipment on locomotives is in a
safe and suitable condition for service.
(c) Compressor or compressors must be tested for capacity by orifice
test as often as conditions require but not less frequently than
required by law and orders of the FRA.
(d) Main reservoirs shall be subjected to tests periodically as
required by law and orders of the FRA.
(e) Air guages must be tested periodically as required by law and
orders of the FRA, and whenever any irregularity is reported. They shall
be compared with an accurate deadweight tester, or test gauge. Gauges
found inaccurate or defective must be repaired or replaced.
(f)(1) All operating portions of air brake equipment together with
dirt collectors and filters must be cleaned, 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.

[[Page 327]]

(2) Maximum brake cylinder piston travel when locomotive is standing
must not exceed the following:

------------------------------------------------------------------------
Inches
------------------------------------------------------------------------
Steam locomotives:
Cam type of driving wheel brake........................... 3\1/2\
Other types of driving wheel brakes....................... 6
Engine truck brake........................................ 8
Engine trailer truck brake................................ 8
Tender brake (truck mounted and tender bed mounted)....... 8
Tender brake (body mounted)............................... 9
Locomotives other than steam:
Driving wheel brake....................................... 6
Swivel type truck brake with brakes on more than one truck
operated by one brake cylinder........................... 7
Swivel type truck brake equipped with one brake cylinder.. 8
Swivel type truck brake equipped with two or more brake
cylinders................................................ 6
------------------------------------------------------------------------ (i)(1) Foundation brake rigging, and safety supports, where used,
must be maintained in a safe and suitable condition for service. Levers,
rods, brake beams, hangars and pins must be of ample strength and must
not bind or foul in any way that will affect proper operation of brakes.
All pins must be properly applied and secured in place with suitable
locking devices. Brake shoes must be properly applied and kept
approximately in line with treads of wheels or other braking surfaces.
(2) No part of the foundation brake rigging and safety supports
shall be closer to the rails than specified by law and orders of the
FRA.
(j)(1) Main reservoir leakage: Leakage from main air reservoir and
related piping shall not exceed an average of 3 pounds per minute in a
test of three minutes' duration, made after the pressure has been
reduced 40 percent below maximum pressure.
(2) Brake pipe leakage: Brake pipe leakage must not exceed 5 pounds
per minute after a reduction of 10 pounds has been made from brake pipe
air pressure of not less than 70 pounds.
(3) Brake cylinder leakage: With a full service application of
brakes, and with communication to the brake cylinders closed, brakes
must remain applied not less than five minutes.
(4) The main reservoir system of each unit shall be equipped with at
least one safety valve, the capacity of which shall be sufficient to
prevent an accumulation of pressure of more than 10 pounds per square
inch above the maximum setting of the compressor governor fixed by the
chief mechanical officer of the carrier operating the locomotive.
(5) A suitable governor shall be provided that will stop and start
the air compressor within 5 pounds above or below the pressures fixed.
(6) Compressor governor when used in connection with the automatic
air brake system shall be so adjusted that the compressor will start
when the main reservoir pressure is not less than 15 pounds above the
maximum brake-pipe pressure fixed by the rules of the carrier and will
not stop the compressor until the reservoir pressure has increased not
less than 10 pounds.
(k) The communicating signal system on locomotives when used in
passenger service must be tested and known to be in a safe and suitable
condition for service before each trip.
(l) Enginemen when taking charge of locomotives must know that the
brakes are in operative condition.
(m) In freezing weather drain cocks on air compressors of steam
locomotives must be left open while compressors are shut off.
(n) Air pressure regulating devices must be adjusted for the
following pressures:

------------------------------------------------------------------------
Locomotives Pounds
------------------------------------------------------------------------
(1) Minimum brake pipe air pressure:
Road Service.............................................. 70
Switch Service............................................ 60
(2) Minimum differential between brake pipe and main
reservoir air pressures, with brake valve in running
position................................................... 15
(3) Safety valve for straight air brake..................... 30-55
(4) Safety valve for LT, ET, No. 8-EL, No. 14 El, No. 6-DS,
No. 6-BL and No. 6-SL equipment............................ 30-68
(5) Safety valve for HSC and No. 24-RL equipment............ 30-75
(6) Reducing valve for independent or straight air brake.... 30-50
(7) Self-lapping portion for electro-pneumatic brake
(minimum full application pressure)........................ 50
(8) Self-lapping portion for independent air brake (full
application pressure)...................................... 30-50
(9) Reducing valve for air signal........................... 40-60
(10) Reducing valve for high-speed brake (minimum).......... 50
------------------------------------------------------------------------

------------------------------------------------------------------------
Cars Pounds
------------------------------------------------------------------------
(11) Reducing valve for high-speed brake.................... 58-62
(12) Safety valve for PS, LN, UC, AML, AMU and AB-1-B air
brakes..................................................... 58-62
(13) Safety valve for HSC air brake......................... 58-77
(14) Governor valve for water raising system................ 60

[[Page 328]]

(15) Reducing valve for water raising system................ 20-30
------------------------------------------------------------------------

Sec. 232.11 Train air brake system tests.

(a) Supervisors are jointly responsible with inspectors, enginemen
and trainmen for condition of air brake and air signal equipment on
motive power and cars to the extent that it is possible to detect
defective equipment by required air tests.
(b) Communicating signal system on passenger equipment trains must
be tested and known to be in a suitable condition for service before
leaving terminal.
(c) Each train must have the air brakes in effective operating
condition, and at no time shall the number and location of operative air
brakes be less than permitted by Federal requirements. When piston
travel is in excess of 10\1/2\ inches, the air brake cannot be
considered in effective operating condition.
(d) Condensation must be blown from the pipe from which air is taken
before connecting yard line or motive power to train.

[33 FR 19679, Dec. 25, 1968, as amended at 47 FR 36794, Aug. 23, 1982]

Sec. 232.12 Initial terminal road train airbrake tests.

(a)(1) Each train must be inspected and tested as specified in this
section by a qualified person at points--
(i) Where the train is originally made up (initial terminal);
(ii) Where train consist is changed, other than by adding or
removing a solid block of cars, and the train brake system remains
charged; and
(iii) Where the train is received in interchange if the train
consist is changed other than by--
(A) Removing a solid block of cars from the head end or rear end of
the train;
(B) Changing motive power;
(C) Removing or changing the caboose; or
(D) Any combination of the changes listed in (A), (B), and (C) of
this subparagraph.

Where a carman is to perform the inspection and test under existing or
future collective bargaining agreement, in those circumstances a carman
alone will be considered a qualified person.
(2) A qualified person participating in the test and inspection or
who has knowledge that it was made shall notify the engineer that the
initial terminal road train air brake test has been satisfactorily
performed. The qualified person shall provide the notification in
writing if the road crew will report for duty after the qualified person
goes off duty. The qualified person also shall provide the notification
in writing if the train that has been inspected is to be moved in excess
of 500 miles without being subjected to another test pursuant to either
this section or Sec. 232.13 of this part.

(Approved by the Office of Management and Budget under OMB control
number 2130-0008)

(b) Each carrier shall designate additional inspection points not
more than 1,000 miles apart where intermediate inspection will be made
to determine that--
(1) Brake pipe pressure leakage does not exceed five pounds per
minute;
(2) Brakes apply on each car in response to a 20-pound service brake
pipe pressure reduction; and
(3) Brake rigging is properly secured and does not bind or foul.
(c) Train airbrake system must be charged to required air pressure,
angle cocks and cutout cocks must be properly positioned, air hose must
be properly coupled and must be in condition for service. An examination
must be 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

[[Page 329]]

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]

[[Page 330]]

Sec. 232.13 Road train and intermediate terminal train air brake tests.

(a) Passenger trains. Before motive power is detached or angle
cocks are closed on a passenger train operated in either automatic or
electro-pneumatic brake operation, except when closing angle cocks for
cutting off one or more cars from the rear end of train, automatic air
brake must be applied. After recouping, brake system must be recharged
to required air pressure and before proceeding and upon receipt of
proper request or signal, application and release tests of brakes on
rear car must be made from locomotive in automatic brake operation. If
train is to be operated in electro-pneumatic brake operation, this test
must also be made in electro-pneumatic brake operation before
proceeding. Inspector or trainman must determine if brakes on rear car
of train properly apply and release.
(b) Freight trains. Before motive power is detached or angle cocks
are closed on a freight train, brakes must be applied with not less than
a 20-pound brake pipe reduction. After recoupling, and after angle cocks
are opened, it must be known that brake pipe air pressure is being
restored as indicated by a rear car gauge or device. In the absence of a
rear car gauge or device, an air brake test must be made to determine
that the brakes on the rear car apply and release.
(c)(1) At a point other than an initial terminal where a locomotive
or caboose is changed, or where one or more consecutive cars are cut off
from the rear end or head end of a train with the consist otherwise
remaining intact, after the train brake system is charged to within 15
pounds of the feed valve setting on the locomotive, but not less than 60
pounds as indicated at the rear of a freight train and 70 pounds on a
passenger train, a 20-pound brake pipe reduction must be made and it
must be determined that the brakes on the rear car apply and release. As
an alternative to the rear car brake application and release test, it
shall be determined that brake pipe pressure of the train is being
reduced as indicated by a rear car gauge or device and then that brake
pipe pressure of the train is being restored as indicated by a rear car
gauge or device.
(2) Before proceeding it must be known that brake pipe pressure as
indicated at rear of freight train is being restored.
(3) On trains operating with electro-pneumatic brakes, with brake
system charged to not less than 70 pounds, test must be made to
determine that rear brakes apply and release properly from a minimum 20
pounds electro-pneumatic brake application as indicated by brake
cylinder gauge.
(d)(1) At a point other than a terminal where one or more cars are
added to a train, after the train brake system is charged to not less
than 60 pounds as indicated by a gauge or device at the rear of a
freight train and 70 pounds on a passenger train, a brake test must be
made to determine that brake pipe leakage does not exceed five (5)
pounds per minute as indicated by the brake pipe gauge after a 20-pound
brake pipe reduction. After this test is completed, it must be
determined that the brakes on each of these cars and on the rear car of
the train apply and release. As an alternative to the rear car brake
application and release portion of the test, it shall be determined that
brake pipe pressure of the train is being reduced as indicated by a rear
car gauge or device and then that brake pipe pressure of the train is
being restored as indicated by a rear car gauge or device. Cars added to
a train that have not been inspected in accordance with Sec. 232.12 (c)
through (j) must be so inspected and tested at the next terminal where
facilities are available for such attention.
(2)(i) At a terminal where a solid block of cars, which has been
previously charged and tested as prescribed by Sec. 232.13 (c) through
(j), is added to a train, it must be determined that the brakes on the
rear car of the train apply and release. As an alternative to the rear
car application and release test, it shall be determined that brake pipe
pressure of the train is being reduced as indicated by a rear car gauge
or device and then that brake pipe pressure of the train is being
restored as indicated by a rear car gauge or device.
(ii) When cars which have not been previously charged and tested as
prescribed by Sec. 232.12 (c) through (j) are

[[Page 331]]

added to a train, such cars may either be given inspection and tests in
accordance with Sec. 232.12 (c) through (j), or tested as prescribed by
paragraph (d)(1) of this section prior to departure in which case these
cars must be inspected and tested in accordance with Sec. 232.12 (c)
through (j) at next terminal.
(3) Before proceeding it must be known that the brake pipe pressure
at the rear of freight train is being restored.
(e)(1) Transfer train and yard train movements not exceeding 20
miles, must have the air brake hose coupled between all cars, and after
the brake system is charged to not less than 60 pounds, a 15 pound
service brake pipe reduction must be made to determine that the brakes
are applied on each car before releasing and proceeding.
(2) Transfer train and yard train movements exceeding 20 miles must
have brake inspection in accordance with Sec. 232.12 (c)-(j).
(f) The automatic air brake must not be depended upon to hold a
locomotive, cars or train, when standing on a grade, whether locomotive
is attached or detached from cars or train. When required, a sufficient
number of hand brakes must be applied to hold train, before air brakes
are released. When ready to start, hand brakes must not be released
until it is known that the air brake system is properly charged.
(g) As used in this section, device means a system of components
designed and inspected in accordance with Sec. 232.19.
(h) When a device is used to comply with any test requirement in
this section, the phrase brake pipe pressure of the train is being
reduced means a pressure reduction of at least five pounds and the
phrase brake pipe pressure of the train is being restored means a
pressure increase of at least five pounds.

[33 FR 19679, Dec. 25, 1968, as amended at 37 FR 12237, June 21, 1972;
51 FR 17303, May 9, 1986]

Sec. 232.14 Inbound brake equipment inspection.

(a) At points where inspectors are employed to make a general
inspection of trains upon arrival at terminals, visual inspection must
be made of retaining valves and retaining valve pipes, release valves
and rods, brake rigging, safety supports, hand brakes, hose and position
of angle cocks and make necessary repairs or mark for repair tracks any
cars to which yard repairs cannot be promptly made.
(b) Freight trains arriving at terminals where facilities are
available and at which special instructions provide for immediate brake
inspection and repairs, shall be left with air brakes applied by a
service brake pipe reduction of 20 pounds so that inspectors can obtain
a proper check of the piston travel. Trainmen will not close any angle
cock or cut the locomotive off until the 20 pound service reduction has
been made. Inspection of the brakes and needed repairs should be made as
soon thereafter as practicable.

Sec. 232.15 Double heading and helper service.

(a) When more than one locomotive is attached to a train, the
engineman of the leading locomotive shall operate the brakes. On all
other motive power units in the train the brake pipe cutout cock to the
brake valve must be closed, the maximum main reservoir pressure
maintained and brake valve handles kept in the prescribed position. In
case it becomes necessary for the leading locomotive to give up control
of the train short of the destination of the train, a test of the brakes
must be made to see that the brakes are operative from the automatic
brake valve of the locomotive taking control of the train.
(b) The electro-pneumatic brake valve on all motive power units
other than that which is handling the train must be cut out, handle of
brake valve kept in the prescribed position, and air compressors kept
running if practicable.

Sec. 232.16 Running tests.

When motive power, engine crew or train crew has been changed, angle
cocks have been closed except for cutting off one or more cars from the
rear end of train or electro-pneumatic brake circuit cables between
power units and/or cars have been disconnected, running test of train
air brakes on passenger train must be made, as soon as speed of train
permits, by use

[[Page 332]]

of automatic brake if operating in automatic brake operation or by use
of electro-pneumatic brake if operating in electro-pneumatic brake
operation. Steam or power must not be shut off unless required and
running test must be made by applying train air brakes with sufficient
force to ascertain whether or not brakes are operating properly. If air
brakes do not properly operate, train must be stopped, cause of failure
ascertained and corrected and running test repeated.

Sec. 232.17 Freight and passenger train car brakes.

(a) Testing and repairing brakes on cars while on shop or repair
tracks. (1) When a freight car having brake equipment due for periodic
attention is on shop or repair tracks where facilities are available for
making air brake repairs, brake equipment must be given attention in
accordance with the requirements of the currently effective AAR Code of
Rules for cars in interchange. Brake equipment shall then be tested by
use of a single car testing device as prescribed by the currently
effective AAR Code of Tests.
(2)(i) When a freight car having an air brake defect is on a shop or
repair track, brake equipment must be tested by use of a single car
testing device as prescribed by currently effective AAR Code of Tests.
(ii) All freight cars on shop or repair tracks shall be tested to
determine that the air brakes apply and release. Piston travel on a
standard body mounted brake cylinder which is less than 7 inches or more
than 9 inches must be adjusted to nominally 7 inches. Piston travel of
brake cylinders on all freight cars equipped with other than standard
single capacity brake, must be adjusted as indicated on badge plate or
stenciling on car located in a conspicuous place near brake cylinder.
After piston travel has been adjusted and with brakes released,
sufficient brake shoe clearance must be provided.
(iii) When a car is equipped for use in passenger train service not
due for periodical air brake repairs, as indicated by stenciled or
recorded cleaning dates, is on shop or repair tracks, brake equipment
must be tested by use of single car testing device as prescribed by
currently effective AAR Code of Tests. Piston travel of brake cylinders
must be adjusted if required, to the standard travel for that type of
brake cylinder. After piston travel has been adjusted and with brakes
released, sufficient brake shoe clearance must be provided.
(iv) Before a car is released from a shop or repair track, it must
be known that brake pipe is securely clamped, angle cocks in proper
position with suitable clearance, valves, reservoirs and cylinders tight
on supports and supports securely attached to car.
(b)(1) Brake equipment on cars other than passenger cars must be
cleaned, repaired, lubricated and tested as often as required to
maintain it in a safe and suitable condition for service but not less
frequently than as required by currently effective AAR Code of Rules for
cars in interchange.
(2) Brake equipment on passenger cars must be clean, repaired,
lubricated and tested as often as necessary to maintain it in a safe and
suitable condition for service but not less frequently than as required
in Standard S-045 in the Manual of Standards and Recommended Practices
of the AAR.
(3) Copies of the materials referred to in this section can be
obtained from the Association of American Railroads, 1920 L Street, NW.,
Washington, DC 20036.

(72 Stat. 86 (45 U.S.C. 9); sec. 6 (e), (f), 80 Stat. 939 (49 U.S.C.
1655); and sec. 1.49(c) of the regulations of the Office of the
Secretary of Transportation, 49 CFR 1.49(c))

[47 FR 36795, Aug. 23, 1982, as amended at 49 FR 1988, Jan. 17, 1984]

Sec. 232.19 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;

[[Page 333]]

(2) Equipped with a ``bleeder valve'' that permits the release of
any air under pressure from the rear of train unit or the associated air
hoses prior to detaching the rear unit from the brake pipe;
(3) Designed so that an internal failure will not cause an undesired
emergency brake application;
(4) Equipped with either an air gauge or a means of visually
displaying the rear unit's brake pipe pressure measurement; and
(5) Equipped with a pressure relief safety valve to prevent
explosion from a high pressure air leak inside the rear unit.
(c) Reporting rate. Multiple data transmissions from the rear unit
shall occur immediately after a variation in the rear car brake pipe
pressure of 2 psig and at intervals of not greater than 70
seconds when the rear car brake pipe pressure variation over the 70-
second interval is less than 2 psig.
(d) Operating environment. The rear unit shall be designed to meet
the performance requirements of paragraphs (b) and (c) of this section
under the following environmental conditions:
(1) At temperatures from -40 deg.C to 60 deg.C;
(2) At a relative humidity of 95% noncondensing at 50 deg.C;
(3) At altitudes of zero to 12,000 feet mean sea level;
(4) During vertical and lateral vibrations of 1 to 15 Hz., with 0.5
g. peak to peak, and 15 to 500 Hz., with 5 g. peak to peak;
(5) During the longitudinal vibrations of 1 to 15 Hz., with 3 g.
peak to peak, and 15 to 500 Hz., with 5 g. peak to peak; and
(6) During a shock of 10 g. peak for 0.1 second in any axis.
(e) Unique code. Each rear unit shall have a unique and permanent
identification code that is transmitted along with the pressure message
to the front-of-train unit. A code obtained from the Association of
American Railroads, 50 F Street, NW., Washington, DC 20036 shall be
deemed to be a unique code for purposes of this section. A unique code
also may be obtained from the Office of Safety Enforcement (RRS-10),
Federal Railroad Administration, Washington, DC 20590.
(f) Front unit. (1) The front unit shall be designed to receive data
messages from the rear unit and shall be capable of displaying the rear
car brake pipe pressure in not more than one-pound increments.
(2) The display shall be clearly visible and legible in daylight and
darkness from the engineer's normal operating position.
(3) The front device shall have a means for entry of the unique
identification code of the rear unit being used. The front unit shall be
designed so that it will display a message only from the rear unit with
the same code as entered into the front unit.
(4) The front unit shall be designed to meet the requirements of
232.19(d) (2), (3), (4), and (5). It shall also be designed to meet the
performance requirements in this paragraph--
(i) At temperatures from 0 deg.C to 60 deg.C;
(ii) During a vertical or lateral shock of 2 g. peak for 0.1 second;
and
(iii) During a longitudinal shock of 5 g. peak for 0.1 second.
(g) Radio equipment. (1) The radio transmitter in the rear unit and
the radio receiver in the front unit shall comply with the applicable
regulatory requirements of the FCC and use of a transmission format
acceptable to the FCC.
(2) If power is supplied by one or more batteries, the operating
life shall be a minimum of 36 hours at 0 deg.C.
(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

[[Page 334]]

the name of the person doing the calibration shall be affixed to the
rear unit.

[51 FR 17303, May 9, 1986]

Appendix A to Part 232--Schedule of Civil Penalties\1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
232.1 Power brakes, minimum percentage....... $5,000 $7,000
232.2 Drawbars; standard height.............. 2,500 5,000
232.3 Power brakes and appliances for
operating power brake systems................ 2,500 5,000

Rules for Inspection, Testing and Maintenance
of Air Brake Equipment:
232.10 General rules--locomotives:
(b) Air brake equipment not inspected or
tested to assure it is in a safe and
suitable condition....................... 2,500 5,000
(c) Compressor not tested for capacity.... 2,500 5,000
(d) Main reservoir not tested............. 2,500 5,000
(e) Air gauges not tested; if inaccurate
not repaired or replaced................. 2,500 5,000
(f)(1) Operating portion of air brake
equipment, dirt collectors, and filters
not cleaned, repaired, and tested........ 2,500 5,000
(2) Hand brakes, parts and connections not
inspected or suitably stenciled.......... 1,000 2,000
(g) Date of testing or cleaning of air
brake equipment not displayed in the cab. 1,000 2,000
(h)(1) Minimum brake cylinder piston
travel insufficient...................... 2,500 5,000
(2) Maximum brake cylinder piston travel
excessive................................ 2,500 5,000
(i)(1) Foundation brake rigging, safety
supports and brake shoes................. 2,500 5,000
(2) Foundation brake rigging or safety
supports have improper clearance to the
rails.................................... 2,500 5,000
(j)(1) Main reservoir leakage............. 2,500 5,000
(2) Brake pipe leakage.................... 2,500 5,000
(3) Brake cylinder leakage................ 2,500 5,000
(4) Main reservoir safety valve........... 2,500 5,000
(5) Governor.............................. 2,500 5,000
(6) Compressor governor when used in
connection with automatic air brake
system................................... 2,500 5,000
(k) Communicating signal system on
locomotive............................... 1,000 2,000
(l) Enginemen taking charge of locomotive. 2,500 5,000
(m) Drain cocks on air compressors of
steam locomotives........................ 2,500 5,000
(n) Air pressure regulating devices....... 2,500 5,000
232.11 Train air brake system tests:
(b) Communicating signal system on
passenger train.......................... 2,500 5,000
(c) Effective and operative air brakes.... 2,500 5,000
(d) Condensation from yard line or motive
power.................................... 2,500 5,000
232.12 Initial terminal road train air brake
tests:
(a) Total failure to perform initial
terminal test............................ 10,000 (1)
(b) 1,000 mile inspection not performed... 5,000 10,000
(c)-(j) partial failure to perform initial
terminal test............................ 2,500 5,000
232.13 Road train and intermediate terminal
train air brake tests:
(a) Passenger trains: locomotive is
detached................................. 5,000 7,500
(b) Freight trains: locomotive is detached 5,000 7,500
(c)(1) Locomotive or caboose is changed,
or one or more cars are cut off from the
rear end or head end..................... 5,000 7,500
(2) Brake pipe pressure restored.......... 5,000 7,500
(3) Electropneumatic application and
release test............................. 5,000 7,500
(d)(1) Cars are added at a point other
than a terminal.......................... 5,000 7,500
(2)(i) Cars added at a terminal and have
not been charged and tested.............. 5,000 7,500
(ii) Cars added at a terminal and have not
been charged and tested.................. 5,000 7,500
(3) Brake pipe pressure restored at the
rear of freight train.................... 5,000 7,500
(e)(1) Transfer train and yard train
movements................................ 2,500 5,000
(2) Transfer train and yard train
movements exceeding 20 miles............. 5,000 7,500
(f) Locomotives, cars or train standing on
a yard................................... 5,000 7,500
(h) Device is used to comply with test
requirement.............................. 2,500 5,000
232.14 Inbound brake equipment inspection:
(a) Inspection of trains upon arrival at
terminals................................ 1,000 2,000
(b) Special instructions provide for
immediate brake inspection and repairs... 1,000 2,000

[[Page 335]]

232.15 Double heading and helper service:
(a) Engineman of the leading locomotive
shall operate the brakes................. 5,000 7,500
(b) Electropneumatic brake valve.......... 5,000 7,500
232.16 Running tests......................... 2,500 5,000
232.17 Freight and passenger train car
brakes:
(a) Testing and repairing brakes on cars
while in shop or on repair track:
(1) Periodic attention on freight car air
brake equipment while car is on repair
track.................................... 5,000 7,500
(2)(i) Single car testing of freight
cars................................. 2,500 5,000
(ii) Repair track tests of freight
cars................................. 2,500 5,000
(iii) Single car testing of freight
cars................................. 2,500 5,000
(iv) Car is released from a shop or
repair track......................... 2,500 5,000
(b)(1) Brake equipment on cars other
than passenger cars.................. 2,500 5,000
(2) Brake equipment on passenger cars. 4,000 6,000
232.19 End of train device:
(a) Location of front unit and rear unit.. 2,500 5,000
(b) Rear unit............................. 2,500 5,000
(c) Reporting rate........................ 2,500 5,000
(d) Operating environment................. 2,500 5,000
(e) Unique code........................... 2,500 5,000
(f) Front unit............................ 2,500 5,000
(g) Radio equipment....................... 2,500 5,000
(h) Inspection............................ 2,000 4,000
------------------------------------------------------------------------
\1\A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.

[53 FR 52934, Dec. 29, 1988]

Appendix B to Part 232--Specifications and Requirements for Power Brakes
and Appliances for Operating Power-Brake Systems for Freight Service

purpose

The purpose of this specification is to define and prescribe
requirements for power brakes and appliances for operating powerbrake
systems.

definitions

For purposes of this specification, terms used herein are defined as
follows:
1. Power brake. A combination of parts operated by compressed air
and controlled manually, pneumatically or electrically, by means of
which the motion of a car or locomotive is retarded or arrested.
2. Power-brake system. The power brakes on locomotives and cars of a
train so interconnected that they can be operated together and by means
of which the motion of the train is retarded or arrested.
3. Brake valve. The value of the locomotive equipment by means of
which operation of the power-brake system is controlled.
4. Equalizing reservoir. The small reservoir connected to the brake
valve only, the pressure of which is reduced by the engineer for making
service applications.
5. Brake pipe. The line of pipe and hose extending throughout the
length of the train by means of which compressed air is supplied to the
brake devices on the several cars and the pressures so controlled as to
effect the application and release of the brakes.
6. Operating valve. Device on each car, the operation of which
result in (a) admission of air to brake cylinder, (b) release of air
from brake cylinder, and (c) charging of one or more reservoirs.
7. Service reduction. A decrease in brake-pipe pressure, usually of
from 5 to 25 pounds, at a rate sufficiently rapid to move the operating
valve to service position, but at a rate not rapid enough to operate the
valve to emergency position. Quick service is that feature of the
operating valve which provides for local reduction of brake-pipe
pressure.
8. Service application. A brake application which results from one
or more service reductions.
9. Full service reduction. A service reduction sufficient in amount
to cause equalization of pressure in brake cylinder with pressure in the
reservoir from which compressed air is supplied to brake cylinder.
10. Full service application. A brake application which results from
one or more brake-pipe reductions sufficient in amount to cause a full
service reduction.
11. Emergency reduction. A depletion of brake-pipe pressure at a
rate sufficiently rapid to move the operating valve to emergency
position.
12. Emergency application. A brake application which results from an
emergency reduction.
13. Emergency brake-cylinder pressure. The force per square inch
exerted upon piston in brake cylinder by compressed air which is
admitted to brake cylinder as a result of an emergency reduction.
Effective emergency brake-cylinder pressure is a pressure not less than
15 percent nor more than 20 percent greater than the brake-cylinder
pressure obtained from a full service reduction on the game car and from
the same initial pressures.

[[Page 336]]

specifications

General Requirements

14. The design of the operating valve shall be such as will insure
efficient and reliable operation, both in its application and release
functions and when intermingled with other types of power brakes. It
shall be so constructed that the rate of brake-cylinder pressure
development may be adjusted to meet such changes in train operating
conditions as may develop in the future.
15. The design of the service and emergency valves shall be such as
to permit their removal for cleaning and repair without disturbing pipe
joints.
16. The portions of the car brake which control the brake
application and release, and also the brake cylinder, shall be
adequately protected against the entrance of foreign matter.
17. The apparatus conforming to the requirements of these
specifications shall be so constructed, installed and maintained as to
be safe and suitable for service.

Service Requirements

The apparatus shall be so designed and constructed that: (based upon
70 pounds brake-pipe pressure and train length of 150 cars)
18. With a service reduction of 5 pounds in the equalizing reservoir
at the brake valve all brakes will apply.
19. An initial 5-pound equalizing-reservoir reduction at the brake
valve will produce substantially 10 pounds brake-cylinder pressure
throughout the train, including brakes having piston travel in excess of
8 inches.
20. With an equalizing-reservoir reduction of 10 pounds, the
difference in time of obtaining substantially 10 pounds pressure in the
brake cylinder of the first and one hundred and fiftieth brakes will be
nominally 20 seconds or less.
21. A brake-pipe reduction of 10 pounds will result in pressure in
each brake cylinder of not less than 15 pounds nor more than 25 pounds.
22. A total brake-pipe reduction of 25 pounds will result in
equalization of brakecylinder pressure with pressure in the reservoir
from which compressed air is supplied to the brake cylinder, and brake-
cylinder pressure of not less than 48 pounds nor more than 52 pounds
will be obtained.
23. Quick service activity of the train brakes will cease when the
initial quick service action has been completed.
24. The quick service feature of the brake will produce
substantially uniform time of quick service transmission regardless of
the unavoidable variations in frictional resistance of the parts.
25. The brake will so function as to prevent a degree of wave action
in brake-pipe pressure sufficient to cause undesired release of any
brake while the brakes are being applied.
26. The degree of stability will be sufficient to prevent undesired
service application occurring as a result of unavoidable minor
fluctuations of brake-pipe pressure.
27. The brake-cylinder pressure increase resulting from quick
service operation will be less when the brake is reapplied with pressure
retained in the brake cylinder than with applications made when the
brake-cylinder pressure is zero.
28. Undesired quick action will not result with any rate of change
in brake-pipe pressure which may occur during service application or
release of the brake.
29. In the normal release of train brakes, individual car brake will
not start recharging from the brake pipe until brake-pipe pressure has
increased sufficiently to have accomplished the release of adjacent
valves.
30. The recharge of auxiliary reservoirs in the forward portion of
the train will be automatically retarded while full release position of
the brake valve is being used to initiate the release of train brakes.
31. After a 15-pound service reduction has been made and brake-valve
exhaust has closed, in a release operation in which brake valve is moved
to release position and after 15 seconds is moved to running position,
air operating valves will move to release position within 40 seconds
after brake valve is placed in release position.
32. After a 15-pound service reduction has been made and brake-value
exhaust has closed, in a release operation in which brake valve is moved
to release position and after 15 seconds is moved to running position,
brake-pipe pressure at car 150 will be increased 5 pounds within 1\1/2\
minutes after brake valve is placed in release position.
33. The rate of release of pressure from the brake cylinder will be
nominally 23 seconds from 50 pounds to 5 pounds.

Emergency Requirements

The apparatus shall be so designed and constructed that: (based on
70 pounds brake-pipe pressure and train length of 150 cars).
34. Emergency application operation will always be available
irrespective of the existing state or stage or brake application or
release.
35. Emergency application initiated during a release of previous
brake application will produce a material increase in brake-cylinder
pressure over that which would result from a full service application
made under the same conditions.
36. When operating valve acts in emergency it will so function as to
develop nominally 15 pounds brake-cylinder pressure in not more than
1\1/2\ seconds and maximum pressure in nominally 10 seconds.

[[Page 337]]

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

[[Page 338]]

directly to owner and is properly identified by a card attached to each
side of car, signed by shipper, stating that the movement is being made
under authority of this order.

[33 FR 19679, Dec. 25, 1968, as amended at 53 FR 28602, July 28, 1988]

PART 233--SIGNAL SYSTEMS REPORTING REQUIREMENTS--Table of Contents

Sec.
233.1 Scope.
233.3 Application.
233.5 Accidents resulting from signal failure.
233.7 Signal failure reports.
233.9 Reports.
233.11 Civil 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.

Sec. 233.1 Scope.

This part prescribed reporting requirements with respect to methods
of train operation, block signal systems, interlockings, traffic control
systems, automatic train stop, train control, and cab signal systems, or
other similar appliances, methods, and systems.

Sec. 233.3 Application.

Sec. 233.5 Accidents resulting from signal failure.

Each carrier shall report within 24 hours to the Federal Railroad
Administration by toll free telephone, number 800-424-0201, whenever it
learns of the occurrence of an accident/incident arising from the
failure of an appliance, device, method or system to function or
indicate as required by part 236 of this title that results in a more
favorable aspect than intended or other condition hazardous to the
movement of a train.

Effective Date Note: At 49 FR 3379, Jan. 26, 1984, Part 233 was
revised. This section contains information collection and recordkeeping
requirements and will not become effective until approval has been given
by the Office of Management and Budget.

Sec. 233.7 Signal failure reports.

Each carrier shall report within 15 days each failure of an
appliance, device, method, or system to function or indicate as required
by part 236 of this title that results in a more favorable aspect than
intended or other condition hazardous to the movement of a train. Form
FRA F6180-14, ``Signal Failure Report,'' shall be used for this purpose
and completed in accordance with instructions printed on the form.

(Approved by the Office of Management and Budget under control number
2130-0007)

Sec. 233.9 Reports.

Not later than April 1, 1997 and every 5 years thereafter, each
carrier shall file with FRA a signal system status report ``Signal
System Five-year Report'' on a form to be provided by FRA in accordance
with instructions and definitions provided on the report.

[61 FR 33872, July 1, 1996]

Sec. 233.11 Civil 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]

[[Page 339]]

Sec. 233.13 Criminal penalty.

Whoever knowingly and willfully--
(a) Makes, causes to be made, or participates in the making of a
false entry in reports required to be filed by this part; or
(b) Files a false report or other document required to be filed by
this part is subject to a $5,000 fine and 2 years imprisonment as
prescribed by 49 U.S.C. 522(a) and section 209(e) of the Federal
Railroad Safety Act of 1970, as amended (45 U.S.C. 438(e)).

Appendix A to Part 233--Schedule of Civil Penalties\1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
233.5 Accidents resulting from signal failure $2,500 $5,000
233.7 Signal failure reports................. 5,000 7,500
233.9 Annual reports......................... 1,000 2,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.

[53 FR 52936, Dec. 29, 1988]

PART 234--GRADE CROSSING SIGNAL SYSTEM SAFETY--Table of Contents

Subpart A--General

Sec.
234.1 Scope.
234.3 Application.
234.4 Preemptive effect.
234.5 Definitions.
234.6 Penalties.

Subpart B--Reports

234.7 Accidents involving grade crossing signal failure.
234.9 Grade crossing signal system failure reports.

Subpart C-- Response to Reports of Warning System Malfunction

234.101 Employee notification rules.
234.103 Timely response to report of malfunction.
234.105 Activation failure.
234.106 Partial activation.
234.107 False activation.
234.109 Recordkeeping.

Subpart D--Maintenance, Inspection, and Testing

Maintenance Standards

234.201 Location of plans.
234.203 Control circuits.
234.205 Operating characteristics of warning system apparatus.
234.207 Adjustment, repair, or replacement of component.
234.209 Interference with normal functioning of system.
234.211 Security of warning system apparatus.
234.213 Grounds.
234.215 Standby power system.
234.217 Flashing light units.
234.219 Gate arm lights and light cable.
234.221 Lamp voltage.
234.223 Gate arm.
234.225 Activation of warning system.
234.227 Train detection apparatus.
234.229 Shunting sensitivity.
234.231 Fouling wires.
234.233 Rail joints.
234.235 Insulated rail joints.
234.237 Reverse switch cut-out circuit.
234.239 Tagging of wires and interference of wires or tags with signal
apparatus.
234.241 Protection of insulated wire; splice in underground wire.
234.243 Wire on pole line and aerial cable.
234.245 Signs.

Inspections and Tests

234.247 Purpose of inspections and tests; removal from service of relay
or device failing to meet test requirements.
234.249 Ground tests.
234.251 Standby power.
234.253 Flashing light units and lamp voltage.
234.255 Gate arm and gate mechanism.
234.257 Warning system operation.
234.259 Warning time.
234.261 Highway traffic signal pre-emption.
234.263 Relays.
234.265 Timing relays and timing devices.
234.267 Insulation resistance tests, wires in trunking and cables.
234.269 Cut-out circuits.
234.271 Insulated rail joints, bond wires, and track connections.
234.273 Results of inspections and tests.

Appendix A to Part 234--Schedule of Civil Penalties
Appendix B to Part 234--Alternate Methods of Protection Under 49 CFR
234.105(c), 234.106, and 234.107(c).

Authority: 49 U.S.C.20103, 20107, 20108, 20111, 20112, 20114, 21301,
21302, 21304, and 21311 (formerly Secs. 202, 208, and 209 of the Federal
Railroad Safety Act of 1970, as amended (45 U.S.C. 431, 437, and 438, as
amended)); 49 U.S.C.20901 and 20102 (formerly the Accident

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Reports Act); 45 U.S.C. 38 and 42; and 49 CFR 1.49(f), (g), and (m).

Source: 61 FR 31806, June 20, 1996, unless otherwise noted.

Subpart A--General

Sec. 234.1 Scope.

This part imposes minimum maintenance, inspection, and testing
standards for highway-rail grade crossing warning systems. This part
also prescribes standards for the reporting of failures of such systems
and prescribes minimum actions railroads must take when such warning
systems malfunction. This part does not restrict a railroad from
adopting and enforcing additional or more stringent requirements not
inconsistent with this part.

Sec. 234.3 Application.

This part applies to all railroads except:
(a) A railroad that exclusively operates freight trains only on
track which is not part of the general railroad system of
transportation;
(b) Rapid transit operations within an urban area that are not
connected to the general railroad system of transportation; and
(c) A railroad that operates passenger trains only on track inside
an installation that is insular; i.e., its operations are limited to a
separate enclave in such a way that there is no reasonable expectation
that the safety of the public--except a business guest, a licensee of
the railroad or an affiliated entity, or a trespasser--would be affected
by the operation. An operation will not be considered insular if one or
more of the following exists on its line:
(1) A public highway-rail crossing that is in use;
(2) An at-grade rail crossing that is in use;
(3) A bridge over a public road or waters used for commercial
navigation; or
(4) A common corridor with a railroad, i.e., its operations are
within 30 feet of those of any railroad.

Sec. 234.4 Preemptive effect.

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

Sec. 234.5 Definitions.

As used in this part:
``Activation failure'' means the failure of an active highway-rail
grade crossing warning system to indicate the approach of a train at
least 20 seconds prior to the train's arrival at the crossing, or to
indicate the presence of a train occupying the crossing, unless the
crossing is provided with an alternative means of active warning to
highway users of approaching trains. (This failure indicates to the
motorist that it is safe to proceed across the railroad tracks when, in
fact, it is not safe to do so.) A grade crossing signal system does not
indicate the approach of a train within the meaning of this paragraph
if--more than 50% of the flashing lights (not gate arm lights) on any
approach lane to the crossing are not functioning as intended, or in the
case of an approach lane for which two or more pairs of flashing lights
are provided, there is not at least one flashing light pair operating as
intended. Back lights on the far side of the crossing are not considered
in making these determinations.
``Appropriately equipped flagger'' means a person other than a train
crewmember who is equipped with a vest, shirt, or jacket of a color
appropriate for daytime flagging such as orange, yellow, strong yellow
green or fluorescent versions of these colors or other generally
accepted high visibility colors. For nighttime flagging, similar outside
garments shall be retro reflective. Acceptable hand signal devices for
daytime flagging include `` STOP/SLOW'' paddles or red flags. For
nighttime flagging, a flashlight, lantern, or other lighted signal shall
be used. Inasmuch as Part VI of the Federal Highway Administration's
Manual on Uniform Traffic Control Devices addresses standards and guides
for flaggers and flagging equipment for highway traffic control, FRA
recommends that railroads be aware of the standards and

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follow them to the greatest extent possible. Copies of the latest MUTCD
provisions regarding flagging will be available from FRA, as well as
FHWA, as changes are made in this area.
``Credible report of system malfunction'' means specific information
regarding a malfunction at an identified highway-rail crossing, supplied
by a railroad employee, law enforcement officer, highway traffic
official, or other employee of a public agency acting in an official
capacity.
``False activation'' means the activation of a highway-rail grade
crossing warning system caused by a condition that requires correction
or repair of the grade crossing warning system. (This failure indicates
to the motorist that it is not safe to cross the railroad tracks when,
in fact, it is safe to do so.)
``Highway-rail grade crossing'' means a location where a public
highway, road, street, or private roadway, including associated
sidewalks and pathways, crosses one or more railroad tracks at grade.
``Partial activation'' means activation of a highway-rail grade
crossing warning system indicating the approach of a train, however, the
full intended warning is not provided due to one of the following
conditions:
(1) at non-gated crossings equipped with one pair of lights designed
to flash alternately, one of the two lights does not operate properly
(and approaching motorists can not clearly see flashing back lights from
the warning lights on the other side of the crossing);
(2) at gated crossings, the gate arm is not in a horizontal
position; or
(3) at gated crossings, any portion of a gate arm is missing if that
portion normally had a gate arm flashing light attached.
``Train'' means one or more locomotives, with or without cars.
``Warning system malfunction'' means an activation failure, a
partial activation, or a false activation of a highway-rail grade
crossing warning system.

Sec. 234.6 Penalties.

(a) Civil penalty. Any person (including but not limited to a
railroad; any manager, supervisor, official, or other employee or agent
of a railroad; any owner, manufacturer, lessor, or lessee of railroad
equipment, track, or facilities; any employee of such owner,
manufacturer, lessor, lessee, or independent contractor) who violates
any requirement of this part or causes the violation of any such
requirement is subject to a civil penalty of at least $500, 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 to this part contains a schedule of civil penalty amounts
used in connection with this rule. The railroad is not responsible for
compliance with respect to any condition inconsistent with the technical
standards set forth in this part where such variance arises as a result
of actions beyond the control of the railroad and the railroad could not
have prevented the variance through the exercise of due diligence. The
foregoing sentence does not excuse any instance of noncompliance
resulting from the actions of the railroad's employees, agents, or
contractors.
(b) Criminal penalty. Whoever knowingly and willfully makes, causes
to be made, or participates in the making of a false entry in reports
required to be filed by this part, or files a false report or other
document required to be filed by this part is subject to a $5,000 fine
and 2 years imprisonment as prescribed by 49 U.S.C. 522(a) and section
209(e) of the Federal Railroad Safety Act of 1970, as amended (45 U.S.C.
438(e)).

Subpart B--Reports

Sec. 234.7 Accidents involving grade crossing signal failure.

(a) Each railroad shall report to FRA every impact between on-track
railroad equipment and an automobile, bus, truck, motorcycle, bicycle,
farm vehicle, or pedestrian at a highway-rail grade crossing involving
an activation failure. Notification shall be provided to the National
Response Center within

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24 hours of occurrence at (800) 424-0201. Complete reports shall
thereafter be filed with FRA pursuant to Sec. 234.9 of this part
(activation failure report) and 49 CFR 225.11 (accident/ incident
report).
(b) Each telephone report must state the:
(1) Name of the railroad;
(2) Name, title, and telephone number of the individual making the
report;
(3) Time, date, and location of accident;
(4) U. S. DOT-AAR Grade Crossing Identification Number;
(5) Circumstances of the accident, including operating details of
the grade crossing warning device;
(6) Number of persons killed or injured, if any;
(7) Maximum authorized train speed; and
(8) Posted highway speed limit, if known.

Sec. 234.9 Grade crossing signal system failure reports.

Each railroad shall report to FRA within 15 days each activation
failure of a highway-rail grade crossing warning system. FRA Form No.
6180-83, ``Highway-Rail Grade Crossing Warning System Failure Report,''
shall be used for this purpose and completed in accordance with
instructions printed on the form.

Subpart C--Response to Reports of Warning System Malfunction

Sec. 234.101 Employee notification rules.

Each railroad shall issue rules requiring its employees to report to
persons designated by that railroad, by the quickest means available,
any warning system malfunction.

Sec. 234.103 Timely response to report of malfunction.

(a) Upon receipt of a credible report of a warning system
malfunction, a railroad having maintenance responsibility for the
warning system shall promptly investigate the report and determine the
nature of the malfunction. The railroad shall take appropriate action as
required by Sec. 234.207.
(b) Until repair or correction of the warning system is completed,
the railroad shall provide alternative means of warning highway traffic
and railroad employees in accordance with Secs. 234.105, 234.106 or
234.107 of this part.
(c) Nothing in this subpart requires repair of a warning system, if,
acting in accordance with applicable State law, the railroad proceeds to
discontinue or dismantle the warning system. However, until repair,
correction, discontinuance, or dismantling of the warning system is
completed, the railroad shall comply with this subpart to ensure the
safety of the traveling public and railroad employees.

Sec. 234.105 Activation failure.

Upon receipt of a credible report of warning system malfunction
involving an activation failure, a railroad having maintenance
responsibility for the warning system shall promptly initiate efforts to
warn highway users and railroad employees at the subject crossing by
taking the following actions:
(a) Prior to any train's arrival at the crossing, notify the train
crew of the report of activation failure and notify any other railroads
operating over the crossing;
(b) Notify the law enforcement agency having jurisdiction over the
crossing, or railroad police capable of responding and controlling
vehicular traffic; and
(c) Provide for alternative means of actively warning highway users
of approaching trains, consistent with the following requirements (see
appendix B for a summary chart of alternative means of warning):
(1)(i) If an appropriately equipped flagger provides warning for
each direction of highway traffic, trains may proceed through the
crossing at normal speed.
(ii) If at least one uniformed law enforcement officer (including a
railroad police officer) provides warning to highway traffic at the
crossing, trains may proceed through the crossing at normal speed.
(2) If an appropriately equipped flagger provides warning for
highway traffic, but there is not at least one flagger providing warning
for each direction of highway traffic, trains may

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proceed with caution through the crossing at a speed not exceeding 15
miles per hour. Normal speed may be resumed after the locomotive has
passed through the crossing.
(3) If there is not an appropriately equipped flagger or uniformed
law enforcement officer providing warning to highway traffic at the
crossing, each train must stop before entering the crossing and permit a
crewmember to dismount to flag highway traffic to a stop. The locomotive
may then proceed through the crossing, and the flagging crewmember may
reboard the locomotive before the remainder of the train proceeds
through the crossing.
(d) A locomotive's audible warning device shall be activated in
accordance with railroad rules regarding the approach to a grade
crossing.

Sec. 234.106 Partial activation.

Upon receipt of a credible report of a partial activation, a
railroad having maintenance responsibility for the warning system shall
promptly initiate efforts to warn highway users and railroad employees
at the subject crossing in the same manner as required for false
activations (Sec. 234.107).

Sec. 234.107 False activation.

Upon receipt of a credible report of a false activation, a railroad
having maintenance responsibility for the highway-rail grade crossing
warning system shall promptly initiate efforts to warn highway users and
railroad employees at the crossing by taking the following actions:
(a) Prior to a train's arrival at the crossing, notify the train
crew of the report of false activation and notify any other railroads
operating over the crossing;
(b) Notify the law enforcement agency having jurisdiction over the
crossing, or railroad police capable of responding and controlling
vehicular traffic; and
(c) Provide for alternative means of actively warning highway users
of approaching trains, consistent with the following requirements (see
Appendix B for a summary chart of alternative means of warning).
(1)(i) If an appropriately equipped flagger is providing warning for
each direction of highway traffic, trains may proceed through the
crossing at normal speed.
(ii) If at least one uniformed law enforcement officer (including a
railroad police officer) provides warning to highway traffic at the
crossing, trains may proceed through the crossing at normal speed.
(2) If there is not an appropriately equipped flagger providing
warning for each direction of highway traffic, or if there is not at
least one uniformed law enforcement officer providing warning, trains
with the locomotive or cab car leading, may proceed with caution through
the crossing at a speed not exceeding 15 miles per hour. Normal speed
may be resumed after the locomotive has passed through the crossing. In
the case of a shoving move, a crewmember shall be on the ground to flag
the train through the crossing.
(3) In lieu of complying with paragraphs (c) (1) or (2) of this
section, a railroad may temporarily take the warning system out of
service if the railroad complies with all requirements of Sec. 234.105,
``Activation failure.''
(d) A locomotive's audible warning device shall be activated in
accordance with railroad rules regarding the approach to a grade
crossing.

Sec. 234.109 Recordkeeping.

(a) Each railroad shall keep records pertaining to compliance with
this subpart. Records may be kept on forms provided by the railroad or
by electronic means. Each railroad shall keep the following information
for each credible report of warning system malfunction:
(1) Location of crossing (by highway name and DOT/AAR Crossing
Inventory Number);
(2) Time and date of receipt by railroad of report of malfunction;
(3) Actions taken by railroad prior to repair and reactivation of
repaired system; and
(4) Time and date of repair.
(b) Each railroad shall retain for at least one year (from the
latest date of railroad activity in response to a credible report of
malfunction) all records referred to in paragraph (a) of this section.
Records required to be kept shall be made available to FRA as provided

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by 49 U.S.C. 20107 (formerly 208 of the Federal Railroad Safety Act of
1970 (45 U.S.C. 437)).

Subpart D--Maintenance, Inspection, and Testing

Maintenance Standards

Sec. 234.201 Location of plans.

Plans required for proper maintenance and testing shall be kept at
each highway-rail grade crossing warning system location. Plans shall be
legible and correct.

Sec. 234.203 Control circuits.

All control circuits that affect the safe operation of a highway-
rail grade crossing warning system shall operate on the fail-safe
principle.

Sec. 234.205 Operating characteristics of warning system apparatus.

Operating characteristics of electromagnetic, electronic, or
electrical apparatus of each highway-rail crossing warning system shall
be maintained in accordance with the limits within which the system is
designed to operate.

Sec. 234.207 Adjustment, repair, or replacement of component.

(a) When any essential component of a highway-rail grade crossing
warning system fails to perform its intended function, the cause shall
be determined and the faulty component adjusted, repaired, or replaced
without undue delay.
(b) Until repair of an essential component is completed, a railroad
shall take appropriate action under Sec. 234.105, Activation failure,
Sec. 234.106, Partial activation, or Sec. 234.107, False activation, of
this part.

Sec. 234.209 Interference with normal functioning of system.

(a) The normal functioning of any system shall not be interfered
with in testing or otherwise without first taking measures to provide
for safety of highway traffic that depends on normal functioning of such
system.
(b) Interference includes, but is not limited to:
(1) Trains, locomotives or other railroad equipment standing within
the system's approach circuit, other than normal train movements or
switching operations, where the warning system is not designed to
accommodate those activities.
(2) Not providing alternative methods of maintaining safety for the
highway user while testing or performing work on the warning systems or
on track and other railroad systems or structures which may affect the
integrity of the warning system.

Sec. 234.211 Security of warning system apparatus.

Highway-rail grade crossing warning system apparatus shall be
secured against unauthorized entry.

Sec. 234.213 Grounds.

Each circuit that affects the proper functioning of a highway-rail
grade crossing warning system shall be kept free of any ground or
combination of grounds that will permit a current flow of 75 percent or
more of the release value of any relay or electromagnetic device in the
circuit. This requirement does not apply to: circuits that include track
rail; alternating current power distribution circuits that are grounded
in the interest of safety; and common return wires of grounded common
return single break circuits.

Sec. 234.215 Standby power system.

A standby source of power shall be provided with sufficient capacity
to operate the warning system for a reasonable length of time during a
period of primary power interruption. The designated capacity shall be
specified on the aplans required by Sec. 234.201 of this part.

Sec. 234.217 Flashing light units.

(a) Each flashing light unit shall be properly positioned and
aligned and shall be visible to a highway user approaching the crossing.
(b) Each flashing light unit shall be maintained to prevent dust and
moisture from entering the interior of the unit. Roundels and reflectors
shall be clean and in good condition.
(c) All light units shall flash alternately. The number of flashes
per

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minute for each light unit shall be 35 minimum and 65 maximum.

Sec. 234.219 Gate arm lights and light cable.

Each gate arm light shall be maintained in such condition to be
properly visible to approaching highway users. Lights and light wire
shall be secured to the gate arm.

Sec. 234.221 Lamp voltage.

The voltage at each lamp shall be maintained at not less than 85
percent of the prescribed rating for the lamp.

Sec. 234.223 Gate arm.

Each gate arm, when in the downward position, shall extend across
each lane of approaching highway traffic and shall be maintained in a
condition sufficient to be clearly viewed by approaching highway users.
Each gate arm shall start its downward motion not less than three
seconds after flashing lights begin to operate and shall assume the
horizontal position at least five seconds before the arrival of any
normal train movement through the crossing. At those crossings equipped
with four quadrant gates, the timing requirements of this section apply
to entrance gates only.

Sec. 234.225 Activation of warning system.

A highway-rail grade crossing warning system shall be maintained to
activate in accordance with the design of the warning system, but in no
event shall it provide less than 20 seconds warning time for the normal
operation of through trains before the grade crossing is occupied by
rail traffic.

Sec. 234.227 Train detection apparatus.

(a) Train detection apparatus shall be maintained to detect a train
or railcar in any part of a train detection circuit, in accordance with
the design of the warning system.
(b) If the presence of sand, rust, dirt, grease, or other foreign
matter is known to prevent effective shunting, a railroad shall take
appropriate action under Sec. 234.105, ``Activation failure,'' to
safeguard highway users.

Sec. 234.229 Shunting sensitivity.

Each highway-rail grade crossing train detection circuit shall
detect the application of a shunt of 0.06 ohm resistance when the shunt
is connected across the track rails of any part of the circuit.

Sec. 234.231 Fouling wires.

Each set of fouling wires in a highway-rail grade crossing train
detection circuit shall consist of at least two discrete conductors.
Each conductor shall be of sufficient conductivity and shall be
maintained in such condition to ensure proper operation of the train
detection apparatus when the train detection circuit is shunted.
Installation of a single duplex wire with single plug acting as fouling
wires is prohibited. Existing installations having single duplex wires
with a single plug for fouling wires may be continued in use until they
require repair or replacement.

Sec. 234.233 Rail joints.

Each non-insulated rail joint located within the limits of a
highway-rail grade crossing train detection circuit shall be bonded by
means other than joint bars and the bonds shall be maintained in such
condition to ensure electrical conductivity.

Sec. 234.235 Insulated rail joints.

Each insulated rail joint used to separate train detection circuits
of a highway-rail grade crossing shall be maintained to prevent current
from flowing between rails separated by the insulation in an amount
sufficient to cause a failure of the train detection circuit.

Sec. 234.237 Reverse switch cut-out circuit.

A switch, when equipped with a switch circuit controller connected
to the point and interconnected with warning system circuitry, shall be
maintained so that the warning system can only be cut out when the
switch point is within one-half inch of full reverse position.

[[Page 346]]

Sec. 234.239 Tagging of wires and interference of wires or tags with signal apparatus.

Each wire shall be tagged or otherwise so marked that it can be
identified at each terminal. Tags and other marks of identification
shall be made of insulating material and so arranged that tags and wires
do not interfere with moving parts of the apparatus. This requirement
applies to each wire at each terminal in all housings including switch
circuit controllers and terminal or junction boxes. This requirement
does not apply to flashing light units, gate arm light units and other
auxiliary light units. The local wiring on a solid state crossing
controller rack does not require tags if the wiring is an integral part
of the solid state equipment.

Sec. 234.241 Protection of insulated wire; splice in underground wire.

Insulated wire shall be protected from mechanical injury. The
insulation shall not be punctured for test purposes. A splice in
underground wire shall have insulation resistance at least equal to that
of the wire spliced.

Sec. 234.243 Wire on pole line and aerial cable.

Wire on a pole line shall be securely attached to an insulator that
is properly fastened to a cross arm or bracket supported by a pole or
other support. Wire shall not interfere with, or be interfered with by,
other wires on the pole line. Aerial cable shall be supported by
messenger wire. An open-wire transmission line operating at voltage of
750 volts or more shall be placed not less than 4 feet above the nearest
cross arm carrying active warning system circuits.

Sec. 234.245 Signs.

Each sign mounted on a highway-rail grade crossing signal post shall
be maintained in good condition and be visible to the highway user.

Inspections and Tests

Sec. 234.247 Purpose of inspections and tests; removal from service of relay or device failing to meet test requirements.

(a) The inspections and tests set forth in Secs. 234.249 through
234.271 are required at highway-rail grade crossings located on in
service railroad tracks and shall be made to determine if the warning
system and its component parts are maintained in a condition to perform
their intended function.
(b) If a railroad elects not to comply with the requirements of
these sections because all tracks over the grade crossing are out of
service or the railroad suspends operations during a portion of the
year, or the railroad suspends operations during a portion of the year,
and the grade crossing warning system is also temporarily taken out of
service a full inspection and all required tests must be successfully
completed before railroad operations over the grade crossing resume.
(c) Any electronic device, relay, or other electromagnetic device
that fails to meet the requirements of tests required by this part shall
be removed from service and shall not be restored to service until its
operating characteristics are in accordance with the limits within which
such device or relay is designed to operate.

Sec. 234.249 Ground tests.

A test for grounds on each energy bus furnishing power to circuits
that affect the safety of warning system operation shall be made when
such energy bus is placed in service and at least once each month
thereafter.

Sec. 234.251 Standby power.

Standby power shall be tested at least once each month.

Sec. 234.253 Flashing light units and lamp voltage.

(a) Each flashing light unit shall be inspected when installed and
at least once every twelve months for proper alignment and frequency of
flashes in

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accordance with installation specifications.
(b) Lamp voltage shall be tested when installed and at least once
every 12 months thereafter.
(c) Each flashing light unit shall be inspected for proper
visibility, dirt and damage to roundels and reflectors at least once
each month.

Sec. 234.255 Gate arm and gate mechanism.

(a) Each gate arm and gate mechanism shall be inspected at least
once each month.
(b) Gate arm movement shall be observed for proper operation at
least once each month.
(c) Hold-clear devices shall be tested for proper operation at least
once every 12 months.

Sec. 234.257 Warning system operation.

(a) Each highway-rail crossing warning system shall be tested to
determine that it functions as intended when it is placed in service.
Thereafter, it shall be tested at least once each month and whenever
modified or disarranged.
(b) Warning bells or other stationary audible warning devices shall
be tested when installed to determine that they function as intended.
Thereafter, they shall be tested at least once each month and whenever
modified or disarranged.

Sec. 234.259 Warning time.

Each crossing warning system shall be tested for the prescribed
warning time at least once every 12 months and when the warning system
is modified because of a change in train speeds. Electronic devices that
accurately determine actual warning time may be used in performing such
tests.

Sec. 234.261 Highway traffic signal pre-emption.

Highway traffic signal pre-emption interconnections, for which a
railroad has maintenance responsibility, shall be tested at least once
each month.

Sec. 234.263 Relays.

(a) Except as stated in paragraph (b) of this section, each relay
that affects the proper functioning of a crossing warning system shall
be tested at least once every four years.
(b)(1) Alternating current vane type relays, direct current polar
type relays, and relays with soft iron magnetic structure shall be
tested at least once every two years.
(2) Alternating current centrifugal type relays shall be tested at
least once every 12 months.
(c) Testing of relays requiring testing on four year intervals shall
be completed in accordance with the following schedule:
(1) Not less than 50% by the end of calendar year 1996;
(2) Not less than a total of 75% by the end of calendar year 1997;
and
(3) One hundred percent by the end of calendar year 1998.
(d) Testing of relays requiring testing on two year intervals shall
be completed by the end of calendar year 1996.

Sec. 234.265 Timing relays and timing devices.

Each timing relay and timing device shall be tested at least once
every twelve months. The timing shall be maintained at not less than 90
percent nor more than 110 percent of the 41 predetermined time interval.
The predetermined time interval shall be shown on the plans or marked on
the timing relay or timing device. Timing devices which perform internal
functions associated with motion detectors, motion sensors, and grade
crossing predictors are not subject to the requirements of this section.

Sec. 234.267 Insulation resistance tests, wires in trunking and cables.

(a) Insulation resistance tests shall be made when wires or cables
are installed and at least once every ten years thereafter.
(b) Insulation resistance tests shall be made between all conductors
and ground, between conductors in each multiple conductor cable, and
between conductors in trunking. Insulation resistance tests shall be
performed when wires, cables, and insulation are dry.
(c) Subject to paragraph (d) of this section, when insulation
resistance of wire or cable is found to be less than 500,000 ohms,
prompt action shall be taken to repair or replace the defective

[[Page 348]]

wire or cable. Until such defective wire or cable is replaced,
insulation resistance tests shall be made annually.
(d) A circuit with a conductor having an insulation resistance of
less than 200,000 ohms shall not be used.
(e) Required insulation resistance testing that does not conform to
the required testing schedule of this section shall be completed in
accordance with the following schedule:
(1) Not less than 50% by the end of calendar year 1996;
(2) Not less than a total of 75% by the end of calendar year 1997;
and
(3) One hundred percent by the end of calendar year 1998.

Sec. 234.269 Cut-out circuits.

Each cut-out circuit shall be tested at least once every three
months to determine that the circuit functions as intended. For purposes
of this section, a cut-out circuit is any circuit which overrides the
operation of automatic warning systems. This includes both switch cut-
out circuits and devices which enable personnel to manually override the
operation of automatic warning systems.

Sec. 234.271 Insulated rail joints, bond wires, and track connections.

Insulated rail joints, bond wires, and track connections shall be
inspected at least once every three months.

Sec. 234.273 Results of inspections and tests.

(a) Results of inspections and tests made in compliance with this
part shall be recorded on forms provided by the railroad, or by
electronic means, subject to approval by the Associate Administrator for
Safety. Each record shall show the name of the railroad, AAR/DOT
inventory number, place and date, equipment tested, results of tests,
repairs, replacements, adjustments made, and condition in which the
apparatus was left.
(b) Each record shall be signed or electronically coded by the
employee making the test and shall be filed in the office of a
supervisory official having jurisdiction. Records required to be kept
shall be made available to FRA as provided by 49 U.S.C. 20107 (formerly
Sec. 208 of the Federal Railroad Safety Act of 1970 (45 U.S.C. 437)).
(c) Each record shall be retained until the next record for that
test is filed but in no case for less than one year from the date of the
test.
Appendix A to Part 234--Schedule of Civil Penalties \1\

------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
Subpart B--Reports

234.7 Accidents involving grade crossing
signal failure............................... $5,000 $7,500
234.9 Grade crossing signal system failure
reports...................................... 2,500 5,000

Subpart C--Response to Reports of Warning
System Malfunction

Sec.
234.101 Employee notification rules.......... 2,500 5,000
234.103 Timely response to report of
malfunction.................................. 2,500 5,000
234.105 Activation failure
(a) Failure to notify--train crews.... 5,000 7,500
Other railroads................... 5,000 7,500
(b) Failure to notify law enforcement
agency............................... 2,500 5,000
(c) Failure to comply with--flagging
requirements......................... 5,000 5,000
Speed restrictions................ 5,000 7,500
(d) Failure to activate horn or
whistle.............................. 5,000 7,500
234.106 Partial activation
(a) Failure to notify--train crews.... 5,000 7,500
Other railroads................... 5,000 7,500
(b) Failure to notify law enforcement
agency............................... 2,500 5,000
(c) Failure to comply with--flagging
requirements speed restrictions...... 5,000 7,500
(d) Failure to activate horn or
whistle.............................. 5,000 7,500
234.107 False activation
(a) Failure to notify--train crews.... 5,000 7,500
Other railroads................... 5,000 7,500
(b) Failure to notify law enforcement
agency............................... 2,500 5,000

[[Page 349]]

(c) Failure to comply with--flagging
requirements......................... 5,000 7,500
Speed restrictions................ 5,000 7,500
(d) Failure to activate horn or
whistle.............................. 5,000 7,500
234.109 Recordkeeping.................... 1,000 2,000

Subpart D--Maintenance, Inspection, and
Testing

Maintenance Standards:
234.201 Location of plans................ 1,000 2,000
234.203 Control circuits................. 1,000 2,000
234.205 Operating characteristics of
warning system apparatus................. 2,500 5,000
234.207 Adjustment, repair, or
replacement of component................. 2,500 5,000
234.209 Interference with normal
functioning of system.................... 5,000 7,500
234.211 Locking of warning system
apparatus................................ 1,000 2,000
234.213 Grounds.......................... 1,000 2,000
234.215 Standby power system............. 5,000 7,500
234.217 Flashing light units............. 1,000 2,000
234.219 Gate arm lights and light cable.. 1,000 2,000
234.221 Lamp voltage..................... 1,000 2,000
234.223 Gate arm......................... 1,000 2,000
234.225 Activation of warning system..... 5,000 7,500
234.227 Train detection apparatus........ 2,500 5,000
234.229 Shunting sensitivity............. 2,500 5,000
234.231 Fouling wires.................... 1,000 2,000
234.233 Rail joints...................... 1,000 2,000
234.235 Insulated rail joints............ 1,000 2,000
234.237 Switch equipped with circuit
controller............................... 1,000 2,000
234.239 Tagging of wires and interference
of wires or tags with signal apparatus... 1,000 2,000
234.241 Protection of insulated wire;
splice in underground wire............... 1,000 2,000
234.243 Wire on pole line and aerial
cable.................................... 1,000 2,000
234.245 Signs............................ 1,000 2,000
Inspections and Tests:
234.247 Purpose of inspections and tests;
removal from service of relay or device
failing to meet test requirements........ 2,500 5,000
234.249 Ground tests..................... 2,500 5,000
234.251 Standby power.................... 5,000 7,500
234.253 Flashing light units and lamp
voltage.................................. 1,000 2,000
234.255 Gate arm and gate mechanism...... 1,000 2,000
234.257 Warning system operation......... 2,500 5,000
234.259 Warning time..................... 1,000 2,000
234.261 Highway traffic signal pre-
emption.................................. 1,000 2,000
234.263 Relays........................... 1,000 2,000
234.265 Timing relays and timing devices. 1,000 2,000
234.267 Insulation resistance tests,
wires in trunking and cables............. 2,500 5,000
234.269 Cut-out circuits................. 1,000 2,000
234.271 Insulated rail joints, bond
wires, and track connections............. 2,500 5,000
234.273 Results of tests................. 1,000 2,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR Part 209, Appendix A.

Appendix B to Part 234--Alternate Methods of Protection Under 49 CFR
234.105(c), 234.106, and 234.107(c)

[This is a summary--see body of text for complete requirements]
----------------------------------------------------------------------------------------------------------------
Flagger present,
Flagger for each Police officer but not one for No flagger/no
direction of present each direction of police
traffic traffic
----------------------------------------------------------------------------------------------------------------
False Activation................ Normal Speed...... Normal Speed...... Proceed with Proceed with
caution--maximum caution--maximum
speed of 15 mph. speed of 15 mph.
Partial Activation*............. Normal Speed...... Normal Speed...... Proceed with Proceed with
caution--maximum caution--maximum
speed of 15 mph. speed of 15 mph.
Activation Failure**............ Normal Speed...... Normal Speed...... Proceed with Stop: Crewmember
caution--maximum flag traffic and
speed of 15 mph. reboard.
----------------------------------------------------------------------------------------------------------------
*Partial activiation--full warning not given.
Non-gated crossing with one pair of lights designed to flash alternatively, one light does not work (and back-
lights from other side not visible).
Gated crossing--gate arm not horizontal; or any portion of a gate arm is missing if that portion had held a
gate arm flashing light.
**Activitation failure includes--if more than 50% of the flashing lights on any approach lane not functioning;
or if an approach lane has two or more pairs of flashing lights, there is not at least one pair operating as
intended.

[[Page 350]]

PART 235--INSTRUCTIONS GOVERNING APPLICATIONS FOR APPROVAL OF A DISCONTINUANCE OR MATERIAL MODIFICATION OF A SIGNAL SYSTEM OR RELIEF FROM THE REQUIREMENTS OF
PART

2
3
6
--Table of Contents

Sec.
235.1 Scope.
235.3 Application.
235.5 Changes requiring filing of application.
235.7 Changes not requiring filing of application.
235.8 Relief from the requirements of part 236 of this title.
235.9 Civil penalty.
235.10 Contents of application.
235.12 Additional required information-prints.
235.13 Filing procedure.
235.14 Notice.
235.20 Protests.

Appendix A to Part 235--Schedule of Civil Penalties

Authority: 49 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.

Sec. 235.1 Scope.

This part prescribes application for approval to discontinue or
materially modify block signal systems, interlockings, traffic control
systems, automatic train stop, train control, or cab signal systems, or
other similar appliances, devices, methods, or systems, and provides for
relief from part 236 of this title.

Sec. 235.3 Application.

Sec. 235.5 Changes requiring filing of application.

(a) Except as provided in Sec. 235.7, applications shall be filed to
cover the following:
(1) The discontinuance of a block signal system, interlocking,
traffic control system, automatic train stop, train control, or cab
signal system or other similar appliance or device;
(2) The decrease of the limits of a block signal system,
interlocking, traffic control system, automatic train stop, train
control, or cab signal system; or
(3) The modification of a block signal system, interlocking, traffic
control system, automatic train stop, train control, or cab signal
system.

(Approved by the Office of Management and Budget under control number
2130-0042)

Sec. 235.7 Changes not requiring filing of application.

(a) It is not necessary to file an application for approval of the
following discontinuances:
(1) Removal of block signal system, interlocking, traffic control
system, automatic train stop, train control, or cab signal system from
track approved for abandonment by formal proceeding;
(2) Removal of devices and associated signals used to provide
protection against unusual contingencies such as landslide, burned
bridge, high water, high and wide load, or tunnel protection when the
unusual contingency no longer exists;
(3) Removal of an interlocking where a drawbridge has been
permanently closed by the formal approval of another government agency;
or
(4) Removal from service not to exceed six months of block signal
system, interlocking, or traffic control system necessitated by
catastrophic occurrence such as derailment, flood, fire, or hurricane.
(b) When the resultant arrangement will comply with part 236 of this
title, it is not necessary to file for approval to decrease the limits
of a system as follows:

[[Page 351]]

(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 Sec. 236.310 of
this title;
(20) The change in location of a machine from which an interlocking
or traffic control system is controlled;
(21) The closing of a manual block station or the change in hours
during which a manual block station is attended;
(22) The change in hours during which a manual interlocking is
attended provided the interlocking operates for all routes over which
train movements are permitted;
(23) The installation of devices used to provide protection against
unusual contingencies such as landslide, burned bridges, high water,
high and wide loads, or dragging equipment;
(24) The installation, relocation, or removal of signals,
interlocked switches, derails, movable-point frogs, or electric locks in
an existing system directly associated with:
(i) The installation of new track;
(ii) The elimination of existing track other than a second main
track;
(iii) The extension or shortening of a passing siding;

[[Page 352]]

(iv) Elimination of second main track where signal system mn
retained main track is arranged to provide both opposing and following
protection for train movements provided second main track is physically
removed; or
(v) A line relocation; or
(vi) The conversion of pole line circuits to electronic (coded)
track circuits provided that the railroad gives notice and a profile
plan of the change to the FRA regional office having jurisdiction over
that territory at least 60 days in advance of the change. The railroad
must also at the same time provide a copy of the notice and profile plan
to representatives of employees responsible for maintenance, inspection
and testing of the signal system under 49 CFR Part 236. The signal
system modification will be deemed acceptable, unless within 60 days,
the Regional Adminstrator stays action by written notice to the railroad
and refers the issue to the Railroad Safety Board for decision.
(25) The temporary or permanent arrangement of existing systems
necessitated by highway rail separation construction. Temporary
arrangements shall be removed within six months following completion of
construction.

[49 FR 3380, Jan. 26, 1984, as amended at 61 FR 33873, July 1, 1996]

Sec. 235.8 Relief from the requirements of part 236 of this title.

Relief from the requirements of the rules, standards and
instructions contained in part 236 of this title will be granted upon a
adequate showing by an individual carrier. Relief heretofore granted to
any carrier shall constitute relief to the same extent as relief granted
under the requirements of this part.

(Approved by the Office of Management and Budget under control number
2130-0043)

Sec. 235.9 Civil penalty.

Any person (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]

Sec. 235.10 Contents of applications.

(a) The application may be submitted by letter and shall contain the
following information:
(1) The corporate name of each applicant;
(2) The manner in which applicant is involved;
(3) The location of the project, giving name of operating division
and nearest station;
(4) The track or tracks involved;
(5) A complete description of proposed changes as they would affect
the existing facilities or of the section from which relief is sought;
(6) The reason for proposed changes or justification for relief from
the requirements;
(7) The approximate dates of beginning and completion of project;
(8) Changes in operating practices, temporary or permanent;
(9) Whether safety of operation will be affeced, and if so, how; and
(10) Whether proposed changes will conform to the Federal Railroad
Administration's Rules, Standards and Instructions (part 236 of this
title).

(Approved by the Office of Management and Budget under control number
2130-0042)

Sec. 235.12 Additional required information-prints.

(a) A print or prints, size 8 inches by 10\1/2\ inches, or 8\1/2\
inches by 11 inches, or folded to 8 inches by 10\1/2\ inches or to 8\1/
2\ inches by 11 inches, shall be furnished with each application.
(b) The print or prints shall be to scale or by indicated
dimensions, using Association of American Railroads graphic symbols.
(c) The following information shall be shown on the print or prints:

[[Page 353]]

(1) Present and proposed arrangement of tracks and signal
facilities;
(2) Name of carrier;
(3) Operating division;
(4) Place and State; and
(5) Timetable directions of movements.
(d) If stopping distances are involved, the following information
shall also be shown:
(1) Curvature and grade;
(2) Maximum authorized speeds of trains; and
(3) Length of signal control circuits for each signal indication
displayed.
(e) The following color scheme is suggested on prints:
(1) Installations, relocations, and added signal aspects should be
colored, preferably in yellow;
(2) Removals, discontinuances, and abandonments should be colored,
preferably in red; and
(3) Existing facilities not pertinent to change proposed in
application should be shown uncolored.

(Approved by the Office of Management and Budget under control number
2130-0042)

Sec. 235.13 Filing procedure.

(a) Applications or requests for reconsideration of an application
shall be submitted by an authorized officer of the carrier.
(b) The original and two copies of each application with supporting
papers should be filed.
(c) The application and correspondence in reference thereto should
be addressed to the Associate Administrator for Safety, Federal Railroad
Administration, Washington, DC 20590.
(d) A separate application shall be filed for each project.
(e) At a joint facility where changes are proposed in the automatic
block signal system, interlocking, traffic control system, automatic
train stop, train control, or cab signal system on the tracks of more
than one carrier, or if more than one carrier will be affected by the
proposed changes or relief sought, a joint application signed by all
carriers affected shall be filed.
(f) Where only one carrier at a joint facility is affected by the
discontinuance or modification of the installation or relief sought, it
shall be responsible for filing the application. It shall also certify
that the other joint carriers have been notified of the filing of its
application.

(Approved by the Office of Management and Budget under control number
2130-0042)

Sec. 235.14 Notice.

The FRA will post public notice of the filing of an application or a
request for reconsideration of an application in the FRA Office of
Public Affairs and will mail copies to all interested parties.

Sec. 235.20 Protests.

(a) A protest against the granting of an application shall set forth
specifically the grounds upon which it is made, and contain a concise
statement of the interest of protestant in the proceeding.
(b) The original and two copies of any protest shall be filed with
the Associate Administrator for Safety, Federal Railroad Administration,
Washington, DC 20590, and one copy shall be furnished to each applicant.
(c) Protests should be filed within the time limit set forth in the
public notice.
(d) The protestant shall certify that service of a copy of its
protest was made upon each applicant.
(e) Request for hearing must be accompanied with a showing why the
protestant is unable to properly present his or her position by written
statements.

Effective Date Note: At 49 FR 3380, Jan. 26, 1984, Part 235 was
revised. This section contains information collection and recordkeeping
requirements and will not become effective until approval has been given
by the Office of Management and Budget.

Appendix A to Part 235--Schedule of Civil Penalties\1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
235.5 Changes requiring filing of application $5,000 $7,500
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.

[53 FR 52936, Dec. 29, 1988]

[[Page 354]]

PART 236--RULES, STANDARDS, AND INSTRUCTIONS GOVERNING THE INSTALLATION, INSPECTION, MAINTENANCE, AND REPAIR OF SIGNAL AND TRAIN CONTROL SYSTEMS, DEVICES, AND
APP
L
I
A
N
C
E
S
--Table of Contents

Sec.
236.0 Applicability, minimum requirements, and civil penalties.

Subpart A--Rules and Instructions: All Systems

General

236.1 Plans, where kept.
236.2 Grounds.
236.3 Locking of signal apparatus housings.
236.4 Interference with normal functioning of device.
236.5 Design of control circuits on closed circuit principle.
236.6 Hand-operated switch equipped with switch circuit controller.
236.7 Circuit controller operated by switch-and-lock movement.
236.8 Operating characteristics of electromagnetic, electronic, or
electrical apparatus.
236.9 Selection of circuits through indicating or annunciating
instruments.
236.10 Electric locks, force drop type; where required.
236.11 Adjustment, repair, or replacement of component.
236.12 Spring switch signal protection; where required.
236.13 Spring switch; selection of signal control circuits through
circuit controller.
236.14 Spring switch signal protection; requirements.
236.15 Timetable instructions.
236.16 Electric lock, main track releasing circuit.
236.17 Pipe for operating connections, requirements.

Roadway Signals and Cab Signals

236.21 Location of roadway signals.
236.22 Semaphore signal arm; clearance to other objects.
236.23 Aspects and indications.
236.24 Spacing of roadway signals.
236.25 [Reserved]
236.26 Buffing device, maintenance.

Track Circuits

236.51 Track circuit requirements.
236.52 Relayed cut-section.
236.53 Track circuit feed at grade crossing.
236.54 Minimum length of track circuit.
236.55 Dead section; maximum length.
236.56 Shunting sensitivity.
236.57 Shunt and fouling wires.
236.58 Turnout, fouling section.
236.59 Insulated rail joints.
236.60 Switch shunting circuit; use restricted.

Wires and Cables

236.71 Signal wires on pole line and aerial cable.
236.72 [Reserved]
236.73 Open-wire transmission line; clearance to other circuits.
236.74 Protection of insulated wire; splice in underground wire.
236.75 [Reserved]
236.76 Tagging of wires and interference of wires or tags with signal
apparatus.

Inspections and Tests; All Systems

236.101 Purpose of inspection and tests; removal from service of relay
or device failing to meet test requirements.
236.102 Semaphore or searchlight signal mechanism.
236.103 Switch circuit controller or point detector.
236.104 Shunt fouling circuit.
236.105 Electric lock.
236.106 Relays.
236.107 Ground tests.
236.108 Insulation resistance tests, wires in trunking and cables.
236.109 Time releases, timing relays and timing devices.
236.110 Results of tests.

Subpart B--Automatic Block Signal Systems

Standards

236.201 Track circuit control of signals.
236.202 Signal governing movements over hand-operated switch.
236.203 Hand operated crossover between main tracks; protection.
236.204 Track signaled for movements in both directions, requirements.
236.205 Signal control circuits; requirements.
236.206 Battery or power supply with respect to relay; location.
236.207 Electric lock on hand-operated switch; control.

Subpart C--Interlocking

Standards

236.301 Where signals shall be provided.
236.302 Track circuits and route locking.
236.303 Control circuits for signals, selection through circuit
controller operated by switch points or by switch locking
mechanism.
236.304 Mechanical locking or same protection effected by circuits.
236.305 Approach or time locking.

[[Page 355]]

236.306 Facing point lock or switch-and-lock movement.
236.307 Indication locking.
236.308 Mechanical or electric locking or electric circuits;
requisites.
236.309 Loss of shunt protection; where required.
236.310 Signal governing approach to home signal.
236.311 Signal control circuits, selection through track relays or
devices functioning as track relays and through signal
mechanism contacts and time releases at automatic
interlocking.
236.312 Movable bridge, interlocking of signal appliances with bridge
devices.
236.313 [Reserved]
236.314 Electric lock for hand-operated switch or derail.

Rules and Instructions

236.326 Mechanical locking removed or disarranged; requirement for
permitting train movements through interlocking.
236.327 Switch, movable-point frog or split-point derail.
236.328 Plunger of facing-point lock.
236.329 Bolt lock.
236.330 Locking dog of switch-and-lock movement.
236.331--236.333 [Reserved]
236.334 Point detector.
236.335 Dogs, stops and trunnions of mechanical locking.
236.336 Locking bed.
236.337 Locking faces of mechanical locking; fit.
236.338 Mechanical locking required in accordance with locking sheet
and dog chart.
236.339 Mechanical locking; maintenance requirements.
236.340 Electromechanical interlocking machine; locking between
electrical and mechanical levers.
236.341 Latch shoes, rocker links, and quandrants.
236.342 Switch circuit controller.

Inspection and Tests

236.376 Mechanical locking.
236.377 Approach locking.
236.378 Time locking.
236.379 Route locking.
236.380 Indication locking.
236.381 Traffic locking.
236.382 Switch obstruction test.
236.383 Valve locks, valves, and valve magnets.
236.384 Cross protection.
236.385 [Reserved]
236.386 Restoring feature on power switches.
236.387 Movable bridge locking.

Subpart D--Traffic Control Systems

Standards

236.401 Automatic block signal system and interlocking standards
applicable to traffic control systems.
236.402 Signals controlled by track circuits and control operator.
236.403 Signals at controlled point.
236.404 Signals at adjacent control points.
236.405 Track signaled for movements in both directions, change of
direction of traffic.
236.406 [Reserved]
236.407 Approach or time locking; where required.
236.408 Route locking.
236.409 [Reserved]
236.410 Locking, hand-operated switch; requirements.

Rules and Instructions

236.426 Interlocking rules and instructions applicable to traffic
control systems.

Inspection and Tests

236.476 Interlocking inspections and tests applicable to traffic
control systems.

Subpart E--Automatic Train Stop, Train Control and Cab Signal Systems

Standards

236.501 Forestalling device and speed control.
236.502 Automatic brake application, initiation by restrictive block
conditions stopping distance in advance.
236.503 Automatic brake application; initiation when predetermined rate
of speed exceeded.
236.504 Operation interconnected with automatic block-signal system.
236.505 Proper operative relation between parts along roadway and parts
on locomotive.
236.506 Release of brakes after automatic application.
236.507 Brake application; full service.
236.508 Interference with application of brakes by means of brake
valve.
236.509 Two or more locomotives coupled.
236.510 [Reserved]
236.511 Cab signals controlled in accordance with block conditions
stopping distance in advance.
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.

[[Page 356]]

Rules and Instructions; Roadway

236.526 Roadway element not functioning properly.
236.527 Roadway element insulation resistance.
236.528 Restrictive condition resulting from open hand-operated switch;
requirement.
236.529 Roadway element inductor; height and distance from rail.
236.530 [Reserved]
236.531 Trip arm; height and distance from rail.
236.532 Strap iron inductor; use restricted.
236.533 [Reserved]
236.534 Entrance to equipped territory; requirements.

Rules and Instructions; Locomotives

236.551 Power supply voltage; requirement.
236.552 Insulation resistance; requirement.
236.553 Seal, where required.
236.554 Rate of pressure reduction; equalizing reservoir or brake pipe.
236.555 Repaired or rewound receiver coil.
236.556 Adjustment of relay.
236.557 Receiver; location with respect to rail.
236.558--236.559 [Reserved]
236.560 Contact element, mechanical trip type; location with respect to
rail.
236.561 [Reserved]
236.562 Minimum rail current required.
236.563 Delay time.
236.564 Acknowledging time.
236.565 Provision made for preventing operation of pneumatic break-
applying apparatus by double-heading cock; requirement.
236.566 Locomotive of each train operating in train stop, train control
or cab signal territory; equipped.
236.567 Restrictions imposed when device fails and/or is cut out en
route.
236.568 Difference between speeds authorized by roadway signal and cab
signal; action required.

Inspection and Tests; Roadway

236.576 Roadway element.
236.577 Test, acknowledgement, and cut-in circuits.

Inspection and Tests; Locomotive

236.586 Daily or after trip test.
236.587 Departure test.
236.588 Periodic test.
236.589 Relays.
236.590 Pneumatic apparatus.

Subpart F--Dragging Equipment and Slide Detectors and Other Similar
Protective Devices

Standards

236.601 Signals controlled by devices; location.

Subpart G--Definitions

236.700 Definitions.
236.701 Application, brake: full service.
236.702 Arm, semaphore.
236.703 Aspect.
236.704 [Reserved]
236.705 Bar, locking.
236.706 Bed, locking.
236.707 Blade, semaphore.
236.708 Block.
236.709 Block, absolute.
236.710 Block, latch.
236.711 Bond, rail joint.
236.712 Brake pipe.
236.713 Bridge, movable.
236.714 Cab.
236.715--236.716 [Reserved]
236.717 Characteristics, operating.
236.718 Chart, dog.
236.719 Circuit, acknowledgment.
236.720 Circuit, common return.
236.721 Circuit, control.
236.722 Circuit, cut-in.
236.723 Circuit, double wire; line.
236.724 Circuit, shunt fouling.
236.725 Circuit, switch shunting.
236.726 Circuit, track.
236.727 Circuit, track; coded.
236.728 Circuit, trap.
236.729 Cock, double heading.
236.730 Coil, receiver.
236.731 Controller, circuit.
236.732 Controller, circuit; switch.
236.733 Current, foreign.
236.734 Current, of traffic.
236.735 Current, leakage.
236.736 Cut-section.
236.737 Cut-section, relayed.
236.738 Detector, point.
236.739 Device, acknowledging.
236.740 Device, reset.
236.741 Distance, stopping.
236.742 Dog, locking.
236.743 Dog, swing.
236.744 Element, roadway.
236.745 Face, locking.
236.746 Feature, restoring.
236.747 Forestall.
236.748 [Reserved]
236.749 Indication.
236.750 Interlocking, automatic.
236.751 Interlocking, manual.
236.752 Joint, rail, insulated.
236.753 Limits, interlocking.
236.754 Line, open wire.
236.755 Link, rocker.
236.756 Lock, bolt.

[[Page 357]]

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.

Sec. 236.0 Applicability, minimum requirements, and civil penalties.

(a) Except as provided in paragraph (b) of this section, this part
applies to railroads that operate on standard gage track which is part
of the general railroad system of transportation.
(b) This part does not apply to rail rapid transit operations
conducted over track that is used exclusively for that purpose and that
is not part of the general system of railroad transportation.
(c) Where a passenger train is operated at a speed of 60 or more
miles per hour, or a freight train is operated at a speed of 50 or more
miles per hour, a block signal system complying with the provisions of
this part shall be installed or a manual block system shall be placed
permanently in effect which shall conform to the following conditions:
(1) A passenger train shall not be admitted to a block occupied by
another train except under flag protection;
(2) No train shall be admitted to a block occupied by a passenger
train except under flag protection;
(3) No train shall be admitted to a block occupied by an opposing
train except under flag protection; and
(4) A freight train, including a work train, may be authorized to
follow a freight train, including a work train,

[[Page 358]]

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]

Subpart A--Rules and Instructions: All Systems

General

Sec. 236.1 Plans, where kept.

As required for maintenance, plans shall be kept at all
interlockings, automatic signals and controlled points. Plans shall be
legible and correct.

[49 FR 3382, Jan. 26, 1984]

Sec. 236.2 Grounds.

Each circuit, the functioning of which affects the safety of train
operations, shall be kept free of any ground or combination of grounds
which will permit a flow of current equal to or in excess of 75 percent
of the release value of any relay or other electromagnetic device in the
circuit, except circuits which include any track rail and except the
common return wires of single-wire, single-break, signal control
circuits using a grounded common, and alternating current power
distribution circuits which are grounded in the interest of safety.

Sec. 236.3 Locking of signal apparatus housings.

Signal apparatus housings shall be secured against unauthorized
entry.

[49 FR 3382, Jan. 26, 1984]

Sec. 236.4 Interference with normal functioning of device.

The normal functioning of any device shall not be interfered with in
testing or otherwise without first taking measures to provide for safety
of train operation which depends on normal functioning of such device.

[49 FR 3382, Jan. 26, 1984]

Sec. 236.5 Design of control circuits on closed circuit principle.

All control circuits the functioning of which affects safety of
train operation shall be designed on the closed circuit principle,
except circuits for roadway equipment of intermittent automatic train
stop system.

Sec. 236.6 Hand-operated switch equipped with switch circuit controller.

Hand-operated switch equipped with switch circuit controller
connected to the point, or with facing-point lock and circuit
controller, shall be so maintained that when point is open one-fourth
inch or more on facing-point switch and three-eights inch or more on
trailing-point switch, track or control circuits will be opened or
shunted or both, and if equipped with facing-point lock with circuit
controller, switch cannot be locked. On such hand-operated switch,
switch circuit controllers, facing-point locks, switch-and-lock
movements, and their connections shall be securely fastened in place,
and contacts maintained with an opening of not less than one-sixteenth
inch when open.

[[Page 359]]

Sec. 236.7 Circuit controller operated by switch-and-lock movement.

Circuit controller operated by switch-and-lock movement shall be
maintained so that normally open contacts will remain closed and
normally closed contacts will remain open until the switch is locked.

Sec. 236.8 Operating characteristics of electromagnetic, electronic, or electrical apparatus.

Signal apparatus, the functioning of which affects the safety of
train operation, shall be maintained in accordance with the limits
within which the device is designed to operate.

[49 FR 3382, Jan. 26, 1984]

Sec. 236.9 Selection of circuits through indicating or annunciating instruments.

Signal control and electric locking circuits shall not be selected
through the contacts of instruments designed primarily for indicating or
annunciating purposes in which an indicating element attached to the
armature is arranged so that it can in itself cause improper operation
of the armature.

Sec. 236.10 Electric locks, force drop type; where required.

Electric locks on new installations and new electric locks applied
to existing installations shall be of the forced drop type.

Sec. 236.11 Adjustment, repair, or replacement of component.

When any component of a signal system, the proper functioning of
which is essential to the safety of train operation, fails to perform
its intended signaling function or is not in correspondence with known
operating conditions, the cause shall be determined and the faulty
component adjusted, repaired or replaced without undue delay.

[49 FR 3382, Jan. 26, 1984]

Sec. 236.12 Spring switch signal protection; where required.

Signal protection shall be provided for facing and trailing
movements through spring switch within interlocking limits and through
spring switch installed in automatic block signal, train stop, train
control or cab signal territory where train movements over the switch
are made at a speed exceeding 20 miles per hour, except that signal
protection shall be required only with the current of traffic on track
signaled for movement in only one direction.

Note: Does not apply to spring switch installed prior to October 1,
1950 in automatic block signal, automatic train stop, or automatic train
control territory.

[49 FR 3383, Jan. 26, 1984]

Sec. 236.13 Spring switch; selection of signal control circuits through circuit controller.

The control circuits of signals governing facing movements over a
main track spring switch shall be selected through the contacts of a
switch circuit controller, or through the contacts of relay repeating
the position of such circuit controller, which, when normally closed
switch point is open one-fourth inch or more, will cause such signals to
display their most restrictive aspects, except that where a separate
aspect is displayed for facing movements over the switch in the reverse
position the signal shall display its most restrictive aspect when the
switch points are open one-fourth inch or more from either the normal or
reverse position.

Sec. 236.14 Spring switch signal protection; requirements.

(a) The indication of signal governing movements from siding to main
track with the current of traffic on track signaled for movements in
only one direction through a spring switch in automatic block signal
territory shall be not less restrictive than ``Proceed at Restricted
Speed' when the block, into which movements are governed by the signal,
is occupied, and shall be ``Stop'' when the main track is occupied by a
train approaching the switch within at least 1,500 feet in approach of
the approach signal located stopping distance from the main track signal
governing trailing movements over switch, except that the indication may
be caused to be less restrictive if approach or time locking is used.

[[Page 360]]

(b) The indication of signal governing movements against the current
of traffic from the reverse main of main tracks to a single track, or
signal governing movements from a siding to a main track signaled for
movements in either direction, through a spring switch, in automatic
block signal territory, shall be not less restrictive than ``Proceed at
Restricted Speed'' when the block, into which movements are governed by
the signal, is occupied by a preceding train, and shall be ``Stop'' when
the block on the single track into which the signal governs is occupied
by an opposing train.
(c) The indication of signal governing movements against the current
of traffic from the reverse main of main tracks to a single track or
signal governing movements from a siding to a main track signaled for
movements in either direction through a spring switch in automatic block
signal territory shall be ``Stop'' when the normal direction main track
of the double track or the single track signaled for movements in both
directions is occupied by a train approaching the switch within at least
1,500 feet in approach of the approach signal located stopping distance
from the main track signal governing trailing movements over switch,
except that indication may be caused to be less restrictive if approach
or time locking is used.

Sec. 236.15 Timetable instructions.

Automatic block, traffic control, train stop, train control and cab
signal territory shall be designated in timetable instructions.

Sec. 236.16 Electric lock, main track releasing circuit.

When an electric lock releasing circuit is provided on the main
track to permit a train or an engine to diverge from the main track
without time delay, the circuit shall be of such length to permit
occupancy of the circuit to be seen by a crew member stationed at the
switch. When the releasing circuit extends into the fouling circuit, a
train or engine on the siding shall be prevented from occupying the
releasing circuit by a derail either pipe-connected to switch point or
equipped with an independently operated electric lock.

[49 FR 3383, Jan. 26, 1984]

Sec. 236.17 Pipe for operating connections, requirements.

(a) Steel or wrought-iron pipe one inch or larger, or members of
equal strength, shall be used for operating connections for switches,
derails, movable-point frogs, facing-point locks, rail-locking devices
of movable bridge protected by interlocking, and mechanically operated
signals, except up-and-down rod which may be three-fourths inch pipe or
solid rod. Pipe shall be fully screwed into coupling and both ends of
each pipe shall be riveted to pipe plug with 2 rivets.
(b) Pipeline shall not be out of alignment sufficiently to interfere
with proper operation, shall be properly compensated for temperature
changes, and supported on carriers spaced not more than 8 feet apart on
tangent and curve of less than 2 deg. and not more than 7 feet apart on
curve of 2 deg. or more. With lever in any position, couplings in pipe
line shall not foul carriers.

[49 FR 3383, Jan. 26, 1984]

Roadway Signals and Cab Signals

Sec. 236.21 Location of roadway signals.

Each roadway signal shall be positioned and aligned so that its
aspects can be clearly associated with the track it governs.

[49 FR 3383, Jan. 26, 1984]

Sec. 236.22 Semaphore signal arm; clearance to other objects.

At least one-half inch clearance shall be provided between semaphore
signal arm, and any object that may interfere with its operation.

Sec. 236.23 Aspects and indications.

(a) Aspects shall be shown by the position of semaphore blades,
color of lights, position of lights, flashing of lights, or any
combination thereof. They may be qualified by marker plate, number
plate, letter plate, marker light, shape and color of semaphore blades
or any combination thereof, subject to the following conditions:

[[Page 361]]

(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 deg. or 90 deg. in
the lower quadrant shall be used to indicate proceed at authorized
speed.
(e) The names, indications, and aspects of roadway and cab signals
shall be defined in the carrier's Operating Rule Book or Special
Instructions. Modifications shall be filed with the FRA within thirty
days after such modifications become effective.
(f) The absence of a qualifying appurtenance, the failure of a lamp
in a light signal, or a false restrictive position of an arm of a
semaphore signal shall not cause the display of a less restrictive
aspect than intended.

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3383, Jan. 26, 1984]

Sec. 236.24 Spacing of roadway signals.

Each roadway signal shall be located with respect to the next signal
or signals in advance which govern train movements in the same direction
so that the indication of a signal displaying a restrictive aspect can
be complied with by means of a brake application, other than an
emergency application, initiated at such signal, either by stopping at
the signal where a stop is required, or by a reduction in speed to the
rate prescribed by the next signal in advance where reduced speed is
required.
Sec. 236.25 [Reserved]

Sec. 236.26 Buffing device, maintenance.

Buffing device shall be maintained so as not to cause the signal to
display a less restrictive aspect than intended.

Track Circuits

Sec. 236.51 Track circuit requirements.

Track relay controlling home signals shall be in deenergized
position, or device that functions as a track relay controlling home
signals shall be in its most restrictive state, and the track circuit of
an automatic train stop, train control, or cab signal system shall be
deenergized in the rear of the point where any of the following
conditions exist:
(a) When a rail is broken or a rail or switch-frog is removed except
when a rail is broken or removed in the shunt fouling circuit of a
turnout or crossover, provided, however, that shunt fouling circuit may
not be used in a turnout through which permissible speed is greater than
45 miles per hour. It shall not be a violation of this requirement if a
track circuit is energized:
(1) When a break occurs between the end of rail and track circuit
connector; within the limits of rail-joint bond, appliance or other
protective device, which provides a bypath for the electric current, or
(2) As result of leakage current or foreign current in the rear of a
point where a break occurs.

[[Page 362]]

(b) When a train, locomotive, or car occupies any part of a track
circuit, including fouling section of turnout except turnouts of hand-
operated main track crossover. It shall not be a violation of this
requirement where the presence of sand, rust, dirt, grease, or other
foreign matter prevents effective shunting, except that where such
conditions are known to exist adequate measures to safeguard train
operation must be taken.
(c) Where switch shunting circuit is used:
(1) Switch point is not closed in normal position.
(2) A switch is not locked where facing-point lock with circuit
controller is used.
(3) An independently operated fouling-point derail equipped with
switch circuit controller is not in derailing position.

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3383, Jan. 26, 1984]

Sec. 236.52 Relayed cut-section.

Where relayed cut-section is used in territory where noncoded
direct-current track circuits are in use the energy circuit to the
adjoining track shall be open and the track circuit shunted when the
track relay at such cut-section is in deenergized position.

Sec. 236.53 Track circuit feed at grade crossing.

At grade crossing with an electric railroad where foreign current is
present, the electric energy for noncoded direct current track circuit
shall feed away from the crossing.

Sec. 236.54 Minimum length of track circuit.

When a track circuit shorter than maximum inner wheelbase of any
locomotive or car operated over such track circuit is used for control
of signaling facilities, other means shall be used to provide the
equivalent of track circuit protection.

[49 FR 3383, Jan. 26, 1984]

Sec. 236.55 Dead section; maximum length.

Where dead section exceeds 35 feet, a special circuit shall be
installed. Where shortest outer wheelbase of a locomotive operating over
such dead section is less than 35 feet, the maximum length of the dead
section shall not exceed the length of the outer wheelbase of such
locomotive unless special circuit is used.

[49 FR 3383, Jan. 26, 1984]

Sec. 236.56 Shunting sensitivity.

Each track circuit controlling home signal or approach locking shall
be so maintained that track relay is in deenergized position, or device
that functions as a track relay shall be in its most restrictive state
if, when track circuit is dry, a shunt of 0.06 ohm resistance is
connected across the track rails of the circuit, including fouling
sections of turnouts.

[49 FR 3383, Jan. 26, 1984]

Sec. 236.57 Shunt and fouling wires.

(a) Except as provided in paragraph (b) of this section, shunt wires
and fouling wires hereafter installed or replaced shall consist of at
least two discrete conductors, and each shall be of sufficient
conductivity and maintained in such condition that the track relay will
be in deenergized position, or device that functions as a track relay
will be in its most restrictive state, when the circuit is shunted.
(b) This rule does not apply to shunt wires where track or control
circuit is opened by the switch circuit controller.

[49 FR 3383, Jan. 26, 1984]

Sec. 236.58 Turnout, fouling section.

Rail joints within the fouling section shall be bonded, and fouling
section shall extend at least to a point where sufficient tract centers
and allowance for maximum car overhang and width will prevent
interference with train, locomotive, or car movement on the adjacent
track.

[49 FR 3383, Jan. 26, 1984]

Sec. 236.59 Insulated rail joints.

Insulated rail joints shall be maintained in condition to prevent
sufficient track circuit current from flowing between the rails
separated by the insulation to cause a failure of any track circuit
involved.

[[Page 363]]

Sec. 236.60 Switch shunting circuit; use restricted.

Switch shunting circuit shall not be hereafter installed, except
where tract or control circuit is opened by the circuit controller.

[49 FR 3384, Jan. 26, 1984]

Wires and Cables

Sec. 236.71 Signal wires on pole line and aerial cable.

Signal wire on pole line shall be securely tied in on insulator
properly fastened to crossarm or bracket supported by pole or other
support. Signal wire shall not interfere with, or be interfered by,
other wires on the pole line. Aerial cable shall be supported by
messenger.

[49 FR 3384, Jan. 26, 1984]
Sec. 236.72 [Reserved]

Sec. 236.73 Open-wire transmission line; clearance to other circuits.

Open-wire transmission line operating at voltage of 750 volts or
more shall be placed not less than 4 feet above the nearest crossarm
carrying signal or communication circuits.

Sec. 236.74 Protection of insulated wire; splice in underground wire.

Insulated wire shall be protected from mechanical injury. The
insulation shall not be punctured for test purposes. Splice in
underground wire shall have insulation resistance at least equal to the
wire spliced.
Sec. 236.75 [Reserved]

Sec. 236.76 Tagging of wires and interference of wires or tags with signal apparatus.

[49 FR 3384, Jan. 26, 1984]

Inspections and Tests; All Systems

Sec. 236.101 Purpose of inspection and tests; removal from service of relay or device failing to meet test requirements.

The following inspections and tests shall be made in accordance with
specifications of the carrier, subject to approval of the FRA, to
determine if the apparatus and/or equipment is maintained in condition
to perform its intended function. Electronic device, relay, or other
electromagnetic device which fails to meet the requirements of specified
tests shall be removed from service, and shall not be restored to
service until its operating characteristics are in accordance with the
limits within which such device or relay is designed to operate.

[49 FR 3384, Jan. 26, 1984]

Sec. 236.102 Semaphore or searchlight signal mechanism.

(a) Semaphore signal mechanism shall be inspected at least once
every six months, and tests of the operating characteristics of all
parts shall be made at least once every two years.
(b) Searchlight signal mechanism shall be inspected, and the
mechanical movement shall be observed while operating the mechanism to
all positions, at least once every six months. Tests of the operating
characteristics shall be made at least once every two years.

[49 FR 3384, Jan. 26, 1984]

Sec. 236.103 Switch circuit controller or point detector.

Switch circuit controller, circuit controller, or point detector
operated by hand-operated switch or by power-operated or mechanically-
operated switch-and-lock movement shall be inspected and tested at least
once every three months.

[49 FR 3384, Jan. 26, 1984]

Sec. 236.104 Shunt fouling circuit.

Shunt fouling circuit shall be inspected and tested at least once
every three months.

[[Page 364]]

Sec. 236.105 Electric lock.

Electric lock, except forced-drop type, shall be tested at least
once every two years.

Sec. 236.106 Relays.

Each relay, the functioning of which affects the safety of train
operations, shall be tested at least once every four years except:
(a) Alternating current centrifugal type relay shall be tested at
least once every 12 months;
(b) Alternating current vane type relay and direct current polar
type relay shall be tested at least once every 2 years; and
(c) Relay with soft iron magnetic structure shall be tested at least
once every 2 years.

[49 FR 3384, Jan. 26, 1984]

Sec. 236.107 Ground tests.

(a) Except as provided in paragraph (b) of this section, a test for
grounds on each energy bus furnishing power to circuits, the functioning
of which affects the safety of train operation, shall be made when such
energy bus is placed in service, and shall be made at least once every
three months thereafter.
(b) The provisions of this rule shall not apply to track circuit
wires, common return wires of grounded common single-break circuits, or
alternating current power distribution circuits grounded in the interest
of safety.

[49 FR 3384, Jan. 26, 1984]

Sec. 236.108 Insulation resistance tests, wires in trunking and cables.

(a) Insulation resistance of wires and cables, except wires
connected directly to track rails, shall be tested when wires, cables,
and insulation are dry. Insulation resistance tests shall be made
between all conductors and ground, and between conductors in each
multiple conductor cable, and between conductors in trunking, when wires
or cables are installed and at least once every ten years thereafter.
(b) Then insulation resistance of wire or cable is found to be less
than 500,000 ohms, prompt action shall be taken to repair or replace the
defective wire or cable and until such defective wire or cable is
replaced, insulation resistance test shall be made annually.
(c) In no case shall a circuit be permitted to function on a
conductor having an insulation resistance to ground or between
conductors of less than 200,000 ohms during the period required for
repair or replacement.

[49 FR 3384, Jan. 26, 1984]

Sec. 236.109 Time releases, timing relays and timing devices.

Time releases, timing relays and timing devices shall be tested at
least once every twelve months. The timing shall be maintained at not
less than 90 percent of the predetermined time interval, which shall be
shown on the plans or marked on the time release, timing relay, or
timing device.

[49 FR 3384, Jan. 26, 1984]

Sec. 236.110 Results of tests.

Results of tests made in compliance with Secs. 236.109 to 236.102,
inclusive; 236.376 to 236.387, inclusive; 236.576; 236.577; and 236.586
to 236.589, inclusive, shall be recorded on preprinted or computerized
forms provided by the railroad. Such forms shall show the name of the
railroad, place and date, equipment tested, results of tests, repairs,
replacements, adjustments made, and condition in which the apparatus was
left. Each record shall be signed by the employee making the test and
shall be filed in the office of a supervisory official having
jurisdiction. Results of tests made in compliance with Sec. 236.587
shall be retained for 92 days. Results of all other tests listed in this
section shall be retained until the next record is filed but in no case
less than one year.

[53 FR 37313, Sept. 26, 1988]

Subpart B--Automatic Block Signal Systems

Standards

Sec. 236.201 Track-circuit control of signals.

The control circuits for home signal aspects with indications more
favorable than ``proceed at restricted speed'' shall be controlled
automatically by

[[Page 365]]

track circuits extending through the entire block.

Sec. 236.202 Signal governing movements over hand-operated switch.

Signal governing movements over hand-operated switch in the facing
direction shall display its most restrictive aspect when the points are
open one-fourth inch or more and, in the trailing direction, three-
eighths inch or more, except that where a separate aspect is displayed
for facing movements over the switch in the normal and in the reverse
position, the signal shall display its most restrictive aspect when the
switch points are open one-fourth inch or more from either the normal or
reverse position.

Sec. 236.203 Hand operated crossover between main tracks; protection.

At hand-operated crossover between main tracks, protection shall be
provided by one of the following:
(a) An arrangement of one or more track circuits and switch circuit
controllers,
(b) Facing point locks on both switches of the crossover, with both
locks operated by a single lever, or
(c) Electric locking of the switches of the crossover. Signals
governing movements over either switch shall display their most
restrictive aspect when any of the following conditions exist:
(1) Where protection is provided by one or more track circuits and
switch circuit controllers, and either switch is open or the crossover
is occupied by a train, locomotive or car in such a manner as to foul
the main track. It shall not be a violation of this requirement where
the presence of sand, rust, dirt, grease or other foreign matter on the
rail prevents effective shunting;
(2) Where facing point locks with a single lever are provided, and
either switch is unlocked;
(3) Where the switches are electrically locked, before the electric
locking releases.

Sec. 236.204 Track signaled for movements in both directions, requirements.

On track signaled for movements in both directions, a train shall
cause one or more opposing signals immediately ahead of it to display
the most restrictive aspect, the indication of which shall be not more
favorable than ``proceed at restricted speed.'' Signals shall be so
arranged and controlled that if opposing trains can simultaneously pass
signals displaying proceed aspects and the next signal in advance of
each such signal then displays an aspect requiring a stop, or its most
restrictive aspect, the distance between opposing signals displaying
such aspects shall be not less than the aggregate of the stopping
distances for movements in each direction. Where such opposing signals
are spaced stopping distance apart for movements in one direction only,
signals arranged to display restrictive aspects shall be provided in
approach to at least one of the signals. Where such opposing signals are
spaced less than stopping distance apart for movements in one direction,
signals arranged to display restrictive aspects shall be provided in
approach to both such signals. In absolute permissive block signaling,
when a train passes a head block signal, it shall cause the opposing
head block signal to display an aspect with an indication not more
favorable than ``stop.''

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3384, Jan. 26, 1984]

Sec. 236.205 Signal control circuits; requirements.

The circuits shall be so installed that each signal governing train
movements into a block will display its most restrictive aspect when any
of the following conditions obtain within the block:
(a) Occupancy by a train, locomotive, or car,
(b) When points of a switch are not closed in proper position,
(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]

[[Page 366]]

Sec. 236.206 Battery or power supply with respect to relay; location.

The battery or power supply for each signal control relay circuit,
where an open-wire circuit or a common return circuit is used, shall be
located at the end of the circuit farthest from the relay.

Sec. 236.207 Electric lock on hand-operated switch; control.

Electric lock on hand-operated switch shall be controlled so that it
cannot be unlocked until control circuits of signals governing movements
over such switch have been opened. Approach or time locking shall be
provided.

[49 FR 3385, Jan. 26, 1984]

Subpart C--Interlocking

Standards

Sec. 236.301 Where signals shall be provided.

Signals shall be provided to govern train movements into and through
interlocking limits, except that a signal shall not be required to
govern movements over a hand-operated switch into interlocking limits if
the switch is provided with an electric lock and a derail at the
clearance point, either pipe-connected to the switch or independently
locked, electrically. Electric locks installed under this rule must
conform to the time and approach locking requirements of Rule 314
(without reference to the 20-mile exceptions), and those of either Rule
760 or Rule 768, as may be appropriate.

Sec. 236.302 Track circuits and route locking.

Track circuits and route locking shall be provided and shall be
effective when the first pair of wheels of a locomotive or a car passes
a point not more than 13 feet in advance of the signal governing its
movement, measured from the center of the mast, or if there is no mast,
from the center of the signal.

[49 FR 3385, Jan. 26, 1984]

Sec. 236.303 Control circuits for signals, selection through circuit controller operated by switch points or by switch locking mechanism.

The control circuit for each aspect with indication more favorable
than ``proceed at restricted speed'' of power operated signal governing
movements over switches, movable-point frogs and derails shall be
selected through circuit controller operated directly by switch points
or by switch locking mechanism, or through relay controlled by such
circuit controller, for each switch, movable-point frog, and derail in
the routes governed by such signal. Circuits shall be arranged so that
such signal can display an aspect more favorable than ``proceed at
restricted speed,'' only when each switch, movable-point frog, and
derail in the route is in proper position.

Sec. 236.304 Mechanical locking or same protection effected by circuits.

Mechanical locking, or the same protection effected by means of
circuits, shall be provided.

Sec. 236.305 Approach or time locking.

Approach or time locking shall be provided in connection with
signals displaying aspects with indications more favorable than
``proceed at restricted speed.''

Sec. 236.306 Facing point lock or switch-and-lock movement.

Facing point lock or switch-and-lock movement shall be provided for
mechanically operated switch, movable-point frog, or split-point derail.

Sec. 236.307 Indication locking.

Indication locking shall be provided for operative approach signals
of the semaphore type, power-operated home signals, power-operated
switches, movable-point frogs and derails, and for all approach signals
except light signals, all aspects of which are controlled by polar or
coded track circuits or line circuits so arranged that a single fault
will not permit a more favorable aspect than intented to be displayed.

[49 FR 3385, Jan. 26, 1984]

[[Page 367]]

Sec. 236.308 Mechanical or electric locking or electric circuits; requisites.

Mechanical or electric locking or electric circuits shall be
installed to prevent signals from displaying aspects which permit
conflicting movements except that opposing signals may display an aspect
indicating proceed at restricted speed at the same time on a track used
for switching movements only, by one train at a time. Manual
interlocking in service as of the date of this part at which opposing
signals on the same track are permitted simultaneously to display
aspects authorizing conflicting movements when interlocking is
unattended, may be continued, provided that simultaneous train movements
in opposite directions on the same track between stations on either side
of the interlocking are not permitted.

Note: Relief from the requirement of this section will be granted
upon an adequate showing by an individual carrier to allow opposing
signals on the same track simultaneously to display aspects to proceed
through an interlocking which is unattended, provided that train
movements in opposite directions on the same track between stations on
either site of the interlocking are not permitted at the same time.

Sec. 236.309 Loss of shunt protection; where required.

(a) A loss of shunt of 5 seconds or less shall not permit an
established route to be changed at an automatic interlocking.
(b) A loss of shunt of 5 seconds or less shall not permit the
release of the route locking circuit of each power-operated switch
hereafter installed.

[49 FR 3385, Jan. 26, 1984]

Sec. 236.310 Signal governing approach to home signal.

A signal shall be provided on main track to govern the approach with
the current of traffic to any home signal except where the home signal
is the first signal encountered when leaving yards or stations and
authorized speed approaching such signal is not higher than slow speed.
When authorized speed between home signals on route governed is 20 miles
per hour or less, an inoperative signal displaying an aspect indicating
``approach next signal prepared to stop'' may be used to govern the
approach to the home signal.

Sec. 236.311 Signal control circuits, selection through track relays or devices functioning as track relays and through signal mechanism contacts and time
releases at automatic interlocking.

(a) The control circuits for aspects with indications more favorable
than ``proceed at restricted speed'' shall be selected through track
relays, or through devices that function as track relays, for all track
circuits in the route governed.
(b) At automatic interlocking, signal control circuits shall be
selected (1) through track relays, or devices that function as track
relays, for all track circuits in the route governed and in all
conflicting routes within the interlocking; (2) through signal mechanism
contacts or relay contacts closed when signals for such conflicting
routes display ``stop'' aspects; and (3) through normal contacts of time
releases, time element relays, or timing devices for such conflicting
routes, or contacts of relays repeating the normal position or normal
state of such time releases, time element relays, or timing devices.

[49 FR 3385, Jan. 26, 1984]

Sec. 236.312 Movable bridge, interlocking of signal appliances with bridge devices.

When movable bridge is protected by interlocking the signal
appliances shall be so interlocked with bridge devices that before a
signal governing movements over the bridge can display an aspect to
proceed the bridge must be locked and the track alined, with the bridge
locking members within one 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]

[[Page 368]]

Sec. 236.313 [Reserved]

Sec. 236.314 Electric lock for hand-operated switch or derail.

Electric lock shall be provided for each hand-operated switch or
derail within interlocking limits, except where train movements are made
at not exceeding 20 miles per hour. At manually operated interlocking it
shall be controlled by operator of the machine and shall be unlocked
only after signals governing movements over such switch or derail
display aspects indicating stop. Approach or time locking shall be
provided.

Rules and Instructions

Sec. 236.326 Mechanical locking removed or disarranged; requirement for permitting train movements through interlocking.

When mechanical locking of interlocking machine is being changed or
is removed from the machine, or locking becomes disarranged or broken,
unless protection equivalent to mechanical locking is provided by
electric locking or electric circuits, train movements through the
interlocking shall not be permitted until each switch, movable-point
frog or derail in the route is spiked, clamped or blocked in proper
position so that it cannot be moved by its controlling lever, and then
train movements shall not exceed restricted speed until the interlocking
is restored to normal operation. It will not be necessary to comply with
this requirement at interlockings where protection is in service in
accordance with section 303, provided that the signal controls are
arranged so that the signals cannot display an aspect the indication of
which is less restrictive than ``proceed at restricted speed.''

Sec. 236.327 Switch, movable-point frog or split-point derail.

Switch, movable-point frog, or split-point derail equipped with lock
rod shall be maintained so that it can not be locked when the point is
open three-eighths inch or more.

[49 FR 3385, Jan. 26, 1984]

Sec. 236.328 Plunger of facing-point lock.

Plunger of lever operated facing-point lock shall have at least 8-
inch stroke. When lock lever is in unlocked position the end of the
plunger shall clear the lock rod not more than one inch.

Sec. 236.329 Bolt lock.

Bolt lock shall be so maintained that signal governing movements
over switch or derail and displaying an aspect indicating stop cannot be
operated to display a less restrictive aspect while derail is in
derailing position, or when switch point is open one-half inch or more.

Sec. 236.330 Locking dog of switch-and-lock movement.

Locking dog of switch-and-lock movement shall extend through lock
rod one-half inch or more in either normal or reverse position.
Secs. 236.331--236.333 [Reserved]

Sec. 236.334 Point detector.

Point detector shall be maintained so that when switch mechanism is
locked in normal or reverse position, contacts cannot be opened by
manually applying force at the closed switch point. Point detector
circuit controller shall be maintained so that the contacts will not
assume the position corresponding to switch point closure if the switch
point is prevented by an obstruction, from closing to within one-fourth
inch where latch-out device is not used, and to within three-eighths
inch where latch-out device is used.

Sec. 236.335 Dogs, stops and trunnions of mechanical locking.

Driving pieces, dogs, stops and trunnions shall be rigidly secured
to locking bars. Swing dogs shall have full and free movement. Top
plates shall be maintained securely in place.

Sec. 236.336 Locking bed.

The various parts of the locking bed, locking bed supports, and
tappet stop rail shall be rigidly secured in place and alined to permit
free operation of locking.

[[Page 369]]

Sec. 236.337 Locking faces of mechanical locking; fit.

Locking faces shall fit squarely against each other with a minimum
engagement when locked of at least one-half the designed locking face.

Sec. 236.338 Mechanical locking required in accordance with locking sheet and dog chart.

Mechanical locking shall be in accordance with locking sheet and dog
chart currently in effect.

Sec. 236.339 Mechanical locking, maintenance requirements.

Locking and connections shall be maintained so that, when a lever or
latch is mechanically locked the following will be prevented:
(a) Mechanical machine. (1) Latch-operated locking. Raising lever
latch block so that bottom thereof is within three-eighths inch of top
of quadrant.
(2) Lever-operated locking. Moving lever latch block more than
three-eighths inch on top of quadrant.
(b) Electromechanical machine. (1) Lever moving in horizontal plant.
Moving lever more than five-sixteenths inch when in normal position or
more than nine-sixteenths inch when in reverse position.
(2) Lever moving in arc. Moving lever more than 5 degrees.
(c) Power machine. (1) Latch-operated locking. Raising lever latch
block to that bottom thereof is within seven thirty-seconds inch of top
of quadrant.
(2) Lever moving in horizontal plane. Moving lever more than five-
sixteenths inch when in normal position or more than nine-sixteenths
inch when in reverse position.
(3) Lever moving in arc. Moving lever more than 5 degrees.

Sec. 236.340 Electromechanical interlocking machine; locking between electrical and mechanical levers.

In electro-mechanical interlocking machine, locking between electric
and mechanical levers shall be maintained so that mechanical lever
cannot be operated except when released by electric lever.

Sec. 236.341 Latch shoes, rocker links, and quadrants.

Latch shoes, rocker links, and quadrants of Saxby and farmer
machines shall be maintained so that locking will not release if a
downward force not exceeding a man's weight is exerted on the rocker
while the lever is in the mid-stroke position.

Sec. 236.342 Switch circuit controller.

Switch circuit controller connected at the point to switch, derail,
or movable-point frog, shall be maintained so that its contacts will not
be in position corresponding to switch point closure when switch point
is open one-fourth inch or more.

Inspection and Tests

Sec. 236.376 Mechanical locking.

Mechanical locking in interlocking machine shall be tested when new
locking is installed; and thereafter when change in locking is made, or
locking becomes disarranged, or tested at least once every two years,
whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]

Sec. 236.377 Approach locking.

Approach locking shall be tested when placed in service and
thereafter when modified, disarranged, or at least once every two years,
whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]

Sec. 236.378 Time locking.

Time locking shall be tested when placed in service and thereafter
when modified, disarranged, or at least once every two years, whichever
shall occur first.

[49 FR 3385, Jan. 26, 1984]

Sec. 236.379 Route locking.

Route locking or other type of switch locking shall be tested when
placed in service and thereafter when modified, disarranged, or at least
once every two years, whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]

[[Page 370]]

Sec. 236.380 Indication locking.

Indication locking shall be tested when placed in service and
thereafter when modified, disarranged, or at least once every two years,
whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]

Sec. 236.381 Traffic locking.

Traffic locking shall be tested when placed in service and
thereafter when modified, disarranged, or at least once every two years,
whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]

Sec. 236.382 Switch obstruction test.

Switch obstruction test of lock rod of each power-operated switch
and lock rod of each hand-operated switch equipped with switch-and-lock-
movement shall be made when lock rod is placed in service or changed
out, but not less than once each month.

[49 FR 3385, Jan. 26, 1984]

Sec. 236.383 Valve locks, valves, and valve magnets.

Valve locks on valves of the non-cut-off type shall be tested at
least once every three months, and valves and valve magnets shall be
tested at least once every year.

[49 FR 3385, Jan. 26, 1984]

Sec. 236.384 Cross protection.

Cross protection shall be tested at least once every six months.

[49 FR 3385, Jan. 26, 1984]
Sec. 236.385 [Reserved]

Sec. 236.386 Restoring feature on power switches.

Restoring feature on power switches shall be tested at least once
every three months.

Sec. 236.387 Movable bridge locking.

Movable bridge locking shall be tested at least once a year.

Subpart D--Traffic Control Systems

Standards

Sec. 236.401 Automatic block signal system and interlocking standards applicable to traffic control systems.

The standards prescribed in Secs. 236.201, to 236.203, inclusive,
Secs. 236.205, 236.206, 236.303, 236.307 and 236.309 to 236.311,
inclusive, shall apply to traffic control systems.

[49 FR 3385, Jan. 26, 1984]

Sec. 236.402 Signals controlled by track circuits and control operator.

The control circuits for home signal aspects with indications more
favorable than ``proceed at restricted speed'' shall be controlled by
track circuits extending through entire block. Also in addition, at
controlled point they may be controlled by control operator, and, at
manually operated interlocking, they shall be controlled manually in
cooperation with control operator.

Sec. 236.403 Signals at controlled point.

Signals at controlled point shall be so interconnected that aspects
to proceed cannot be displayed simultaneously for conflicting movements,
except that opposing signals may display an aspect indicating ``proceed
at restricted speed'' at the same time on a track used for switching
movements only, by one train at a time.

[49 FR 3386, Jan. 26, 1984]

Sec. 236.404 Signals at adjacent control points.

Signals at adjacent controlled points shall be so interconnected
that aspects to proceed on tracks signaled for movements at greater than
restricted speed cannot be displayed simultaneously for conflicting
movements.

Sec. 236.405 Track signaled for movements in both directions, change of direction of traffic.

On track signaled for movements in both directions, occupancy of the
track between opposing signals at adjacent controlled points shall
prevent changing the direction of traffic from that which obtained at
the time the track became occupied, except that when a

[[Page 371]]

train having left one controlled point reaches a section of track
immediately adjacent to the next controlled point at which switching is
to be performed, an aspect permitting movement at not exceeding
restricted speed may be displayed into the occupied block.
Sec. 236.406 [Reserved]

Sec. 236.407 Approach or time locking; where required.

Approach or time locking shall be provided for all controlled
signals where route or direction of traffic can be changed.

[49 FR 3386, Jan. 26, 1984]

Sec. 236.408 Route locking.

Route locking shall be provided where switches are power-operated.
Route locking shall be effective when the first pair of wheels of a
locomotive or car passes a point not more than 13 feet in advance of the
signal governing its movement, measured from the center of the signal
mast or, if there is no mast, from the center of the signal.

[49 FR 3386, Jan. 26, 1984]
Sec. 236.409 [Reserved]

Sec. 236.410 Locking, hand-operated switch; requirements.

(a) Each hand-operated switch in main track shall be locked either
electrically or mechanically in normal position, except:
(1) Where train speeds over the switch do not exceed 20 miles per
hour;
(2) Where trains are not permitted to clear the main track;
(3) Where a signal is provided to govern train movements from the
auxiliary track to the signaled track; or
(4) On a signaled siding without intermediate signals where the
maximum authorized speed on the siding does not exceed 30 miles per
hour.
(b) Approach or time locking shall be provided and locking may be
released either automatically, or by the control operator, but only
after the control circuits of signals governing movement in either
direction over the switch and which display aspects with indications
more favorable than ``proceed at restricted speed'' have been opened
directly or by shunting of track circuit.

Note: Each carrier subject to this rule is hereby authorized to
remove electrical or mechanical locks now installed within the purview
of Sec. 236.410 when either exception (1) or (2) of the present rule is
satisfied, subject to the condition that the following procedures and
actions be accomplished:
1. Each carrier intending to remove a lock under the findings made
herein and based on the existence of one or more of the circumstances as
set forth in exception (1) or (2) as contained in the revised section,
shall:
(a) Notify the FRA by letter setting forth the location of the lock
involved and the specific exception on which removal is based.
(b) Include in the letter to the FRA an assurance that the excepting
circumstance relied upon will not be changed without either
reinstallation of the electric or mechanical lock, or approval by the
FRA of the changed circumstances.
(c) Publish in its Time Table the not-to-exceed 20 miles per hour
speed limit covering the area of the switch, when that is the exception
relied upon; or, where exception (2) is relied upon, publish either in
the Special Instructions part of its Time Table or in separate printed
Special Instructions the location of each hand-operated switch where
electric or mechanical lock is removed and, where train movements are
made in excess of twenty (20) miles per hour, concurrently issuing
specific instructions, by stating therein, that trains are not to be
permitted to clear the main track at such switch.
2. Following the foregoing, and upon acknowledgment of the letter to
the FRA, such acknowledgment to be made promptly as an administrative
action by the FRA's Bureau of Railroad Safety, and such acknowledging
letter to be retained by the carrier as authority for the removal and as
a record of the exception on which relied, the lock may then be removed.
(c) Where a signal is used in lieu of electric or mechanical lock to
govern movements from auxiliary track to signaled track, the signal
shall not display an aspect to proceed until after the control circuits
of signals governing movement on main track in either direction over the
switch have been opened, and either the approach locking circuits to the
switch are unoccupied or a predetermined time interval has expired.

Note: Railroads shall bring all hand-operated switches that are not
electrically or mechanically locked and that do not conform to the
requirements of this section on the effective date of this part into
conformity with this section in accordance with the following schedule:

[[Page 372]]

Not less than 33% during calendar year 1984.
Not less than 66% during calendar year 1985.
The remainder during calendar year 1986.

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3386, Jan. 26, 1984]

Rules and Instructions

Sec. 236.426 Interlocking rules and instructions applicable to traffic control systems.

The rules and instructions prescribed in Secs. 236.327 and 236.328,
Sec. 236.330 to Sec. 236.334, inclusive, and Sec. 236.342 shall apply to
traffic control systems.

Inspection and Tests

Sec. 236.476 Interlocking inspections and tests applicable to traffic control systems.

The inspections and tests prescribed in Secs. 236.377 to 236.380,
inclusive, and Secs. 236.382, 236.383, and 236.386 shall apply to
traffic control systems.

[49 FR 3386, Jan. 26, 1984]

Subpart E--Automatic Train Stop, Train Control and Cab Signal Systems

Standards

Sec. 236.501 Forestalling device and speed control.

(a) An automatic train stop system may include a device by means of
which the automatic application of the brakes can be forestalled.
(b) Automatic train control system shall include one or more of the
following features:
(1) Low-speed restriction, requiring the train to proceed under slow
speed after it has either been stopped by an automatic application of
the brakes, or under control of the engineman, its speed has been
reduced to slow speed, until the apparatus is automatically restored to
normal because the condition which caused the restriction no longer
affects the movement of the train.
(2) Medium-speed restriction, requiring the train to proceed under
medium speed after passing a signal displaying an approach aspect or
when approaching a signal requiring a stop, or a stop indication point,
in order to prevent an automatic application of the brakes.

Note: Relief from the requirements of paragraphs (b) (1) and (2) of
this section will be granted, insofar as speed limits fixed by
definitions of Slow and Medium speeds are concerned, upon an adequate
showing by an individual carrier where automatic train control systems
now in service enforce speed restrictions higher than those required by
definitions in Secs. 236.700 to 236.838 inclusive.

(3) Maximum-speed restriction, effecting an automatic brake
application whenever the predetermined maximum speed limit is exceeded.

Sec. 236.502 Automatic brake application, initiation by restrictive block conditions stopping distance in advance.

An automatic train-stop or train-control system shall operate to
initiate an automatic brake application at least stopping distance from
the entrance to a block, wherein any condition described in Sec. 236.205
obtains, and at each main track signal requiring a reduction in speed.

Sec. 236.503 Automatic brake application; initiation when predetermined rate of speed exceeded.

An automatic train control system shall operate to initiate an
automatic brake application when the speed of the train exceeds the
predetermined rate as required by the setting of the speed control
mechanism.

Sec. 236.504 Operation interconnected with automatic block-signal system.

(a) A continuous inductive automatic train stop or train control
system shall operate in connection with an automatic block signal system
and shall be so interconnected with the signal system as to perform its
intended function in event of failure of the engineer to acknowledge or
obey a restrictive wayside signal or a more restrictive cab signal.
(b) An intermittent inductive automatic train stop system shall
operate in connection with an automatic block signal system and shall be
so interconnected with the signal system that the failure of the
engineer to acknowledge a restrictive wayside signal will

[[Page 373]]

cause the intermittent inductive automatic train stop system to perform
its intended function.

[49 FR 3386, Jan. 26, 1984]

Sec. 236.505 Proper operative relation between parts along roadway and parts on locomotive.

Proper operative relation between the parts along the roadway and
the parts on the locomotive shall obtain under all conditions of speed,
weather, wear, oscillation, and shock.

Sec. 236.506 Release of brakes after automatic application.

The automatic train stop or train control apparatus shall prevent
release of the brakes after automatic application until a reset device
has been operated, or the speed of the train has been reduced to a
predetermined rate, or the condition that caused the brake application
no longer affects the movement of the train. If reset device is used it
shall be arranged so that the brakes cannot be released until the train
has been stopped, or it shall be located so that it cannot be operated
by engineman without leaving his accustomed position in the cab.

Sec. 236.507 Brake application; full service.

The automatic train stop or train control apparatus shall, when
operated, cause a full service application of the brakes.

Sec. 236.508 Interference with application of brakes by means of brake valve.

The automatic train stop, train control, or cab signal apparatus
shall be so arranged as not to interfere with the application of the
brakes by means of the brake valve and not to impair the efficiency of
the brake system.

[49 FR 3386, Jan. 26, 1984]

Sec. 236.509 Two or more locomotives coupled.

The automatic train stop, train control or cab signal apparatus
shall be arranged so that when two or more locomotives are coupled, or a
pushing or helping locomotive is used, it can be made operative only on
the locomotive from which the brakes are controlled.
Sec. 236.510 [Reserved]

Sec. 236.511 Cab signals controlled in accordance with block conditions stopping distance in advance.

The automatic cab signal system shall be arranged so that cab
signals will be continuously controlled in accordance with conditions
described in Sec. 236.205 that obtain at least stopping distance in
advance.

Sec. 236.512 Cab signal indication when locomotive enters block where restrictive conditions obtain.

The automatic cab signal system shall be arranged so that when a
locomotive enters or is within a block, wherein any condition described
in Sec. 236.205 obtains, the cab signals shall indicate ``Proceed at
Restricted Speed.''

Sec. 236.513 Audible indicator.

(a) The automatic cab signal system shall be so arranged that when
the cab signal changes to display a more restrictive aspect, an audible
indicator will sound continuously until silenced by manual operation of
an acknowledging device.
(b) The audible cab indicator of automatic cab signal, automatic
train stop, or automatic train control system shall have a distinctive
sound and be clearly audible throughout the cab under all operating
conditions.

[49 FR 3386, Jan. 26, 1984]

Sec. 236.514 Interconnection of cab signal system with roadway signal system.

The automatic cab signal system shall be interconnected with the
roadway-signal system so that the cab signal indication will not
authorize operation of the train at a speed higher than that authorized
by the indication of the roadway signal that governed the movement of a
train into a block except when conditions affecting movement of trains
in the block change after the train passes the signal.

[[Page 374]]

Sec. 236.515 Visibility of cab signals.

The cab signals shall be plainly visible to member or members of the
locomotive crew from their stations in the cab.

[49 FR 3386, Jan. 26, 1984]

Sec. 236.516 Power supply.

Automatic cab signal, train stop, or train control device hereafter
installed shall operate from a separate or isolated power supply.

[49 FR 3386, Jan. 26, 1984]

Rules and Instructions; Roadway

Sec. 236.526 Roadway element not functioning properly.

When a roadway element except track circuit of automatic train stop,
train control or cab signal system is not functioning as intended, the
signal associated with such roadway element shall be caused manually to
display its most restrictive aspect until such element has been restored
to normal operative condition.

Sec. 236.527 Roadway element insulation resistance.

Insulation resistance between roadway inductor and ground shall be
maintained at not less than 10,000 ohms.
[49 FR 3386, Jan. 26, 1984]

Sec. 236.528 Restrictive condition resulting from open hand-operated switch; requirement.

When a facing point hand-operated switch is open one-fourth inch or
more, a trailing point hand-operated switch three-eighths inch or more,
or hand-operated switch is not locked where facing point lock with
circuit controller is used, the resultant restrictive condition of an
automatic train stop or train control device of the continuous type or
the resultant restrictive cab signal indication of an automatic cab
signal device on an approaching locomotive shall be maintained to within
300 feet of the points of the switch.

Sec. 236.529 Roadway element inductor; height and distance from rail.

Inductor of the inert roadway element type shall be maintained with
the inductor pole faces at a height above the plane of the tops of the
rails, and with its inner edge at a hmrizontal distance from the gage
side of the nearest running rail, in accordance with specifications of
the carrier.

[49 FR 3386, Jan. 26, 1984]
Sec. 236.530 [Reserved]

Sec. 236.531 Trip arm; height and distance from rail.

Trip arm of automatic train stop device when in the stop position
shall be maintained at a height above the plane of the tops of the
rails, and at a horizontal distance from its center line to gage side of
the nearest running rail, in accordance with specifications of the
carrier.

[49 FR 3386, Jan. 26, 1984]

Sec. 236.532 Strap iron inductor; use restricted.

No railroad shall use strap iron inductor or other roadway element
with characteristics differing from its standard type on track where
speed higher than restricted speed is permitted.

[49 FR 3386, Jan. 26, 1984]
Sec. 236.533 [Reserved]

Sec. 236.534 Entrance to equipped territory; requirements.

Where trains are not required to stop at the entrance to equipped
territory, except when leaving yards and stations and speed until
entering equipped territory does not exceed restricted speed, the
automatic train stop, train control, or cab signal device shall be
operative at least stopping distance from the entrance to such territory
except where the approach thereto is governed by automatic approach
signal.

Rules and Instructions; Locomotives

Sec. 236.551 Power supply voltage; requirement.

The voltage of power supply shall be maintained within 10 percent of
rated voltage.

[[Page 375]]

Sec. 236.552 Insulation resistance; requirement.

When periodic test prescribed in Sec. 236.588 is performed,
insulation resistance between wiring and ground of continuous inductive
automatic cab signal system, automatic train control system, or
automatic train stop system shall be not less than one megohm, and that
of an intermittent inductive automatic train stop system, not less than
250,000 ohms. Insulation resistance values between periodic tests shall
be not less than 250,000 ohms for a continuous inductive automatic cab
signal system, automatic train control system, or automatic train stop
system, and 20,000 ohms for an intermittent inductive automatic train
stop system.

[49 FR 3387, Jan. 26, 1984]

Sec. 236.553 Seal, where required.

Seal shall be maintained on any device other than brake-pipe cut-out
cock (double-heading cock), by means of which the operation of the
pneumatic portion of automatic train-stop or train-control apparatus can
be cut out.

Sec. 236.554 Rate of pressure reduction; equalizing reservoir or brake pipe.

The equalizing-reservoir pressure or brake-pipe pressure reduction
during an automatic brake application shall be at a rate not less than
that which results from a manual service application.

Sec. 236.555 Repaired or rewound receiver coil.

Receiver coil which has been repaired or rewound shall have the same
operating characteristics which it possessed originally or as currently
specified for new equipment.

Sec. 236.556 Adjustment of relay.

Change in adjustment of relay shall be made only in a shop equipped
for that purpose except when receiver coils, electro-pneumatic valve, or
other essential part of the equipment is replaced. Irregularities in
power-supply voltage or other variable factors in the circuit shall not
be compensated for by adjustment of the relay.

Sec. 236.557 Receiver; location with respect to rail.

(a) Receiver of intermittent inductive automatic train stop device
of the inert roadway element type shall be maintained with bottom of the
receiver at a height above the plane of the tops of the rails, and with
its outer edge at a horizontal distance from the gage side of the
nearest rail, in accordance with specifications of the carrier.
(b) Receiver of continuous inductive automatic cab signal, train
stop, or train control device of locomotive equipped with onboard test
equipment, shall be maintained with the bottom of the receiver at a
height above the plane of the tops of the rails, and with its outer edge
at a horizontal distance from the gage side of the nearest rail, in
accordance with specifications of the carrier.

[49 FR 3387, Jan. 26, 1984]
Secs. 236.558--236.559 [Reserved]

Sec. 236.560 Contact element, mechanical trip type; location with respect to rail.

Contact element of automatic train stop device of the mechanical
trip type shall be maintained at a height above the plane of the tops of
the rails, and at a horizontal distance from the gage side of the rail,
in accordance with specifications of the carrier.

[49 FR 3387, Jan. 26, 1984]
Sec. 236.561 [Reserved]

Sec. 236.562 Minimum rail current required.

The minimum rail current required to restore the locomotive
equipment of continuous inductive automatic train stop or train control
device to normal condition or to obtain a proceed indication of
automatic cab signal device (pick-up) shall be in accordance with
specifications of the carrier.

[49 FR 3387, Jan. 26, 1984]

Sec. 236.563 Delay time.

Delay time of automatic train stop or train control system shall not
exceed 8 seconds and the spacing of signals to meet the requirements of

[[Page 376]]

Sec. 236.24 shall take into consideration the delay time.

Sec. 236.564 Acknowledging time.

Acknowledging time of intermittent automatic train-stop device shall
be not more than 30 seconds.

Sec. 236.565 Provision made for preventing operation of pneumatic brake-applying apparatus by double-heading cock; requirement.

Where provision is made for preventing the operation of the
pneumatic brake-applying appartus of an automatic train stop or train
control device when the double-heading cock is placed in double-heading
position, the automatic train stop or train control device shall not be
cut out before communication is closed between the engineman's automatic
brake valve and the brake pipe, when operating double-heading cock
toward double-heading position.

Sec. 236.566 Locomotive of each train operating in train stop, train control or cab signal territory; equipped.

The locomotive from which brakes are controlled, of each train
operating in automatic train stop, train control, or cab signal
territory shall be equipped with apparatus responsive to the roadway
equipment installed on all or any part of the route traversed, and such
apparatus shall be in operative condition.

Sec. 236.567 Restrictions imposed when device fails and/or is cut out en route.

Where an automatic train stop, train control, or cab signal device
fails and/or is cut out enroute, train may proceed at restricted speed
or if an automatic block signal system is in operation according to
signal indication but not to exceed medium speed, to the next available
point of communication where report must be made to a designated
officer. Where no automatic block signal system is in use train shall be
permitted to proceed at restricted speed or where automatic block signal
system is in operation according to signal indication but not to exceed
medium speed to a point where absolute block can be established. Where
an absolute block is established in advance of the train on which the
device is inoperative train may proceed at not to exceed 79 miles per
hour.

Sec. 236.568 Difference between speeds authorized by roadway signal and cab signal; action required.

If for any reason a cab signal authorizes a speed different from
that authorized by a roadway signal, when a train enters the block
governed by such roadway signal, the lower speed shall not be exceeded.

Inspection and Tests; Roadway

Sec. 236.576 Roadway element.

Roadway elements, except track circuits, including those for test
purposes, shall be gaged monthly for height and alinement, and shall be
tested at least every 6 months.

Sec. 236.577 Test, acknowledgement, and cut-in circuits.

Test, acknowledgement, and cut-in circuits shall be tested at least
once every twelve months.

[49 FR 3387, Jan. 26, 1984]

Inspection and Tests; Locomotive

Sec. 236.586 Daily or after trip test.

(a) Except where tests prescribed by Sec. 236.588 are performed at
intervals of not more than 2 months, each locomotive equipped with an
automatic cab signal or train stop or train control device operating in
equipped territory shall be inspected for damage to the equipment and
tested at least once each calendar day or within 24 hours before
departure upon each trip.
(b) Each equipped locomotive shall be tested to determine the
locomotive equipment is responsive to the wayside equipment and shall be
cycled to determine the device functions as intended.
(c) Each locomotive equipped with intermittent inductive automatic
train stop or non-coded continuous inductive automatic train stop or
non-coded continuous inductive automatic train control device shall be
tested to determine that the pickup of the device is within specified
limits.

[49 FR 3387, Jan. 26, 1984]

[[Page 377]]

Sec. 236.587 Departure test.

(a) The automatic train stop, train control, or cab signal apparatus
on each locomotive, except a locomotive or a multiple-unit car equipped
with mechanical trip stop, shall be tested using one of the following
methods:
(1) Operation over track elements;
(2) Operation over test circuit;
(3) Use of portable test equipment; or
(4) Use of onboard test device.
(b) The test shall be made on departure of the locomotive from its
initial terminal unless that apparatus will be cut out between the
initial terminal and the equipped territory. If the apparatus is cut out
between the initial terminal and the equipped territory the test shall
be made prior to entering equipped territory.
(c) If a locomotive makes more than one trip in any 24-hour period,
only one departure test is required in such 24-hour period.
(d)(1) Whoever performs the test shall certify in writing that such
test was properly performed. The certification and the test results
shall be posted in the cab of the locomotive and a copy of the
certification and test results left at the test location for filing in
the office of the supervisory official having jurisdiction.
(2) If it is impractical to leave a copy of the certification and
test results at the location of the test, the test results shall be
transmitted to either (i) the dispatcher or (ii) one other designated
individual at each location, who shall keep a written record of the test
results and the name of the person performing the test. These records
shall be retained for at least 92 days.

[49 FR 3387, Jan. 26, 1984, as amended at 53 FR 37313, Sept. 26, 1988]

Effective Date Note: At 49 FR 3387, Jan. 26, 1984, Sec. 236.587 was
revised. This section contains information collection and recordkeeping
requirements and will not become effective until approval has been given
by the Office of Management and Budget.

Sec. 236.588 Periodic test.

Except as provided in Sec. 236.586, periodic test of the automatic
train stop, train control, or cab signal apparatus shall be made at
least once every 92 days, and on multiple-unit cars as specified by the
carrier, subject to approval by the FRA.

[49 FR 3387, Jan. 26, 1984]

Sec. 236.589 Relays.

(a) Each relay shall be removed from service, subjected to thorough
test, necessary repairs and adjustments made, and shall not be replaced
in service unless its operating characteristics are in accordance with
the limits within which such relay is designed to operate, as follows:
(1) Master or primary relays of torque type depending on spring
tension to return contacts to deenergized position in noncoded
continuous inductive automatic train stop or train control system, at
least once every two years; and
(2) All other relays, at least once every six years.

[49 FR 3387, Jan. 26, 1984]

Sec. 236.590 Pneumatic apparatus.

Automatic train stop, train control, or cab signal pneumatic
apparatus shall be inspected, cleaned, and the results of such
inspection recorded as provided by Sec. 229.29(a). When a locomotive
with automatic train stop, train control, or cab signal pneumatic
apparatus receives out-of-use credit pursuant to Sec. 229.33, the
automatic train stop, train control, or cab signal apparatus shall be
tested in accordance with Sec. 236.588 prior to the locomotive being
placed in service.

[61 FR 33873, July 1, 1996]

Subpart F--Dragging Equipment and Slide Detectors and Other Similar
Protective Devices

Standards

Sec. 236.601 Signals controlled by devices; location.

Signals controlled by devices used to provide protection against
unusual contingencies, such as landslides, dragging equipment, burned
bridges or trestles and washouts shall be located so that stopping
distance will be provided between the signal and the point where it is
necessary to stop the train.

[[Page 378]]

Subpart G--Definitions

Sec. 236.700 Definitions.

For the purpose of these rules, standards, and instructions, the
following definitions will apply.

Sec. 236.701 Application, brake; full service.

An application of the brakes resulting from a continuous or a split
reduction in brake pipe pressure at a service rate until maximum brake
cylinder pressure is developed. As applied to an automatic or electro-
pneumatic brake with speed governor control, an application other than
emergency which develops the maximum brake cylinder pressure, as
determined by the design of the brake equipment for the speed at which
the train is operating.

Sec. 236.702 Arm, semaphore.

The part of a semaphore signal displaying an aspect. It consists of
a blade fastened to a spectacle.

Sec. 236.703 Aspect.

The appearance of a roadway signal conveying an indication as viewed
from the direction of an approaching train; the appearance of a cab
signal conveying an indication as viewed by an observer in the cab.
Sec. 236.704 [Reserved]

Sec. 236.705 Bar, locking.

A bar in an interlocking machine to which the locking dogs are
attached.

Sec. 236.706 Bed, locking.

That part of an interlocking machine that contains or holds the
tappets, locking bars, crosslocking, dogs and other apparatus used to
interlock the levers.

Sec. 236.707 Blade, semaphore.

The extended part of a semaphore arm which shows the position of the
arm.

Sec. 236.708 Block.

A length of track of defined limits, the use of which by trains is
governed by block signals, cab signals, or both.

Sec. 236.709 Block, absolute.

A block in which no train is permitted to enter while it is occupied
by another train.

Sec. 236.710 Block, latch.

The lower extremity of a latch rod which engages with a square
shoulder of the segment or quadrant to hold the lever in position.

Sec. 236.711 Bond, rail joint.

A metallic connection attached to adjoining rails to insure
electrical conductivity.

Sec. 236.712 Brake pipe.

A pipe running from the engineman's brake valve through the train,
used for the transmission of air under pressure to charge and actuate
the automatic brake equipment and charge the reservoirs of the electro-
pneumatic brake equipment on each vehicle of the train.

Sec. 236.713 Bridge, movable.

That section of a structure bridging a navigable waterway so
designed that it may be displaced to permit passage of traffic on the
waterway.

Sec. 236.714 Cab.

The compartment of a locomotive from which the propelling power and
power brakes of the train are manually controlled.
Secs. 236.715--236.716 [Reserved]

Sec. 236.717 Characteristics, operating.

The measure of electrical values at which electrical or electronic
apparatus operate (e.g., drop-away, pick-up, maximum and minimum
current, and working value).

[49 FR 3387, Jan. 26, 1984]

Sec. 236.718 Chart, dog.

A diagrammatic representation of the mechanical locking of an
interlocking machine, used as a working plan in making up, assembling
and fitting the locking.

Sec. 236.719 Circuit, acknowledgment.

A circuit consisting of wire or other conducting material installed
between

[[Page 379]]

the track rails at each signal in territory where an automatic train
stop system or cab signal system of the continuous inductive type with
2-indication cab signals is in service, to enforce acknowledgement by
the engineman at each signal displaying an aspect requiring a stop.

Sec. 236.720 Circuit, common return.

A term applied where one wire is used for the return of more than
one electric circuit.

Sec. 236.721 Circuit, control.

An electrical circuit between a source of electric energy and a
device which it operates.

Sec. 236.722 Circuit, cut-in.

A roadway circuit at the entrance to automatic train stop, train
control or cab signal territory by means of which locomotive equipment
of the continuous inductive type is actuated so as to be in operative
condition.

Sec. 236.723 Circuit, double wire; line.

An electric circuit not employing a common return wire; a circuit
formed by individual wires throughout.

Sec. 236.724 Circuit, shunt fouling.

The track circuit in the fouling section of a turnout, connected in
multiple with the track circuit in the main track.

Sec. 236.725 Circuit, switch shunting.

A shunting circuit which is closed through contacts of a switch
circuit controller.

Sec. 236.726 Circuit, track.

An electrical circuit of which the rails of the track form a part.

Sec. 236.727 Circuit, track; coded.

A track circuit in which the energy is varied or interrupted
periodically.

Sec. 236.728 Circuit, trap.

A term applied to a circuit used where it is desirable to provide a
track circuit but where it is impracticable to maintain a track circuit.

Sec. 236.729 Cock, double heading.

A manually operated valve by means of which the control of brake
operation is transferred to the leading locomotive.

Sec. 236.730 Coil, receiver.

Concentric layers of insulated wire wound around the core of a
receiver of an automatic train stop, train control or cab signal device
on a locomotive.

Sec. 236.731 Controller, circuit.

A device for opening and closing electric circuits.

Sec. 236.732 Controller, circuit; switch.

A device for opening and closing electric circuits, operated by a
rod connected to a switch, derail or movable-point frog.

Sec. 236.733 Current, foreign.

A term applied to stray electric currents which may affect a
signaling system, but which are not a part of the system.

Sec. 236.734 Current of traffic.

The movement of trains on a specified track in a designated
direction.

Sec. 236.735 Current, leakage.

A stray electric current of relatively small value which flows
through or across the surface of insulation when a voltage is impressed
across the insulation.

Sec. 236.736 Cut-section.

A location other than a signal location where two adjoining track
circuits end within a block.

Sec. 236.737 Cut-section, relayed.

A cut-section where the energy for one track circuit is supplied
through front contacts or through front and polar contacts of the track
relay for the adjoining track circuit.

Sec. 236.738 Detector, point.

A circuit controller which is part of the switch operating mechanism
and operated by a rod connected to a switch, derail or movable point
frog to indicate that the point is within a specified distance of the
stock rail.

[[Page 380]]

Sec. 236.739 Device, acknowledging.

A manually operated electric switch or pneumatic valve by means of
which, on a locomotive equipped with an automatic train stop or train
control device, an automatic brake application can be forestalled, or by
means of which, on a locomotive equipped with an automatic cab signal
device, the sounding of the cab indicator can be silenced.

Sec. 236.740 Device, reset.

A device whereby the brakes may be released after an automatic train
control brake application.

Sec. 236.741 Distance, stopping.

The maximum distance on any portion of any railroad which any train
operating on such portion of railroad at its maximum authorized speed,
will travel during a full service application of the brakes, between the
point where such application is initiated and the point where the train
comes to a stop.

Sec. 236.742 Dog, locking.

A steel block attached to a locking bar or tappet of an interlocking
machine, by means of which locking between levers is accomplished.

Sec. 236.743 Dog, swing.

A locking dog mounted in such a manner that it is free to rotate on
a trunnion which is riveted to a locking bar.

Cross Reference: Element, contact. See receiver, Sec. 236.788.

Sec. 236.744 Element, roadway.

That portion of the roadway apparatus of automatic train stop, train
control, or cab signal system, such as electric circuit, inductor, or
trip arm to which the locomotive apparatus of such system is directly
responsive.

[49 FR 3387, Jan. 26, 1984]

Sec. 236.745 Face, locking.

The locking surface of a locking dog, tappet or cross locking of an
interlocking machine.

Sec. 236.746 Feature, restoring.

An arrangement on an electro-pneumatic switch by means of which
power is applied to restore the switch movement to full normal or to
full reverse position, before the driving bar creeps sufficiently to
unlock the switch, with control level in normal or reverse position.

[49 FR 3388, Jan. 26, 1984]

Sec. 236.747 Forestall.

As applied to an automatic train stop or train control device, to
prevent an automatic brake application by operation of an acknowledging
device or by manual control of the speed of the train.
Sec. 236.748 [Reserved]

Sec. 236.749 Indication.

The information conveyed by the aspect of a signal.

Cross Reference: Inductor, see Sec. 236.744.

Sec. 236.750 Interlocking, automatic.

An arrangement of signals, with or without other signal appliances,
which functions through the exercise of inherent powers as distinguished
from those whose functions are controlled manually, and which are so
interconnected by means of electric circuits that their movements must
succeed each other in proper sequence, train movements over all routes
being governed by signal indication.

Sec. 236.751 Interlocking, manual.

An arrangement of signals and signal appliances operated from an
interlocking machine and so interconnected by means of mechanical and/or
electric locking that their movements must succeed each other in proper
sequence, train movements over all routes being governed by signal
indication.

Sec. 236.752 Joint, rail, insulated.

A joint in which electrical insulation is provided between adjoining
rails.

Sec. 236.753 Limits, interlocking.

The tracks between the opposing home signals of an interlocking.

[[Page 381]]

Sec. 236.754 Line, open wire.

An overhead wire line consisting of single conductors as opposed to
multiple-conductor cables.

Sec. 236.755 Link, rocker.

That portion of an interlocking machine which transmits motion
between the latch and the universal link.

Sec. 236.756 Lock, bolt.

A mechanical lock so arranged that if a switch, derail or movable-
point frog is not in the proper position for a train movement, the
signal governing that movement cannot display an aspect to proceed; and
that will prevent a movement of the switch, derail or movable-point frog
unless the signal displays its most restrictive aspect.

Sec. 236.757 Lock, electric.

A device to prevent or restrict the movement of a lever, a switch or
a movable bridge, unless the locking member is withdrawn by an
electrical device, such as an electromagnet, solenoid or motor.

Sec. 236.758 Lock, electric, forced drop.

An electric lock in which the locking member is mechanically forced
down to the locked position.

Sec. 236.759 Lock, facing point.

A mechanical lock for a switch, derail, or movable-point frog,
comprising a plunger stand and a plunger which engages a lock rod
attached to the switch point to lock the operated unit.

Sec. 236.760 Locking, approach.

Electric locking effective while a train is approaching, within a
specified distance, a signal displaying an aspect to proceed, and which
prevents, until after the expiration of a predetermined time interval
after such signal has been caused to display its most restrictive
aspect, the movement of any interlocked or electrically locked switch,
movable-point frog, or derail in the route governed by the signal, and
which prevents an aspect to proceed from being displayed for any
conflicting route.

Sec. 236.761 Locking, electric.

The combination of one or more electric locks and controlling
circuits by means of which levers of an interlocking machine, or
switches or other units operated in connection with signaling and
interlocking, are secured against operation under certain conditions.

Sec. 236.762 Locking, indication.

Electric locking which prevents manipulation of levers that would
result in an unsafe condition for a train movement if a signal, switch,
or other operative unit fails to make a movement corresponding to that
of its controlling lever, or which directly prevents the operation of a
signal, switch, or other operative unit, in case another unit which
should operate first fails to make the required movement.

Sec. 236.763 Locking, latch operated.

The mechanical locking of an interlocking machine which is actuated
by means of the lever latch.

Sec. 236.764 Locking, lever operated.

The mechanical locking of an interlocking machine which is actuated
by means of the lever.

Sec. 236.765 Locking, mechanical.

An arrangement of locking bars, dogs, tappets, cross locking and
other apparatus by means of which interlocking is effected between the
levers of an interlocking machine and so interconnected that their
movements must succeed each other in a predetermined order.

Sec. 236.766 Locking, movable bridge.

The rail locks, bridge locks, bolt locks, circuit controllers, and
electric locks used in providing interlocking protection at a movable
bridge.

Sec. 236.767 Locking, route.

Electric locking, effective when a train passes a signal displaying
an aspect for it to proceed, which prevents the movement of any switch,
movable-point frog, or derail in advance of the train within the route
entered. It may be so arranged that as a train clears a track section of
the route, the locking affecting that section is released.

[[Page 382]]

Sec. 236.768 Locking, time.

A method of locking, either mechanical or electrical, which, after a
signal has been caused to display an aspect to proceed, prevents, until
after the expiration of a predetermined time interval after such signal
has been caused to display its most restrictive aspect, the operation of
any interlocked or electrically locked switch, movable-point frog, or
derail in the route governed by that signal, and which prevents an
aspect to proceed from being displayed for any conflicting route.

Sec. 236.769 Locking, traffic.

Electric locking which prevents the manipulation of levers or other
devices for changing the direction of traffic on a section of track
while that section is occupied or while a signal displays an aspect for
a movement to proceed into that section.

Sec. 236.770 Locomotive.

A self-propelled unit of equipment which can be used in train
service.

Sec. 236.771 Machine, control.

An assemblage of manually operated devices for controlling the
functions of a traffic control system; it may include a track diagram
with indication lights.

Sec. 236.772 Machine, interlocking.

An assemblage of manually operated levers or other devices for the
control of signals, switches or other units.

Cross Reference: Magnet, track, see Sec. 236.744.

Sec. 236.773 Movements, conflicting.

Movements over conflicting routes.

Sec. 236.774 Movement, facing.

The movement of a train over the points of a switch which face in a
direction opposite to that in which the train is moving.

Sec. 236.775 Movement, switch-and-lock.

A device, the complete operation of which performs the three
functions of unlocking, operating and locking a switch, movable-point
frog or derail.

Sec. 236.776 Movement, trailing.

The movement of a train over the points of a switch which face in
the direction in which the train is moving.

Sec. 236.777 Operator, control.

An employee assigned to operate the control machine of a traffic
control system.

Sec. 236.778 Piece, driving.

A crank secured to a locking shaft by means of which horizontal
movement is imparted to a longitudinal locking bar.

Sec. 236.779 Plate, top.

A metal plate secured to a locking bracket to prevent the cross
locking from being forced out of the bracket.

Sec. 236.780 Plunger, facing point lock.

That part of a facing point lock which secures the lock rod to the
plunger stand when the switch is locked.
Sec. 236.781 [Reserved]

Sec. 236.782 Point, controlled.

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

Sec. 236.783 Point, stop-indication.

As applied to an automatic train stop or train control system
without the use of roadway signals, a point where a signal displaying an
aspect requiring a stop would be located.

Sec. 236.784 Position, deenergized.

The position assumed by the moving member of an electromagnetic
device when the device is deprived of its operating current.

Sec. 236.785 Position, false restrictive.

A position of a semaphore arm that is more restrictive than it
should be.

Sec. 236.786 Principle, closed circuit.

The principle of circuit design where a normally energized electric
circuit

[[Page 383]]

which, on being interrupted or deenergized, will cause the controlled
function to assume its most restrictive condition.

Sec. 236.787 Protection, cross.

An arrangement to prevent the improper operation of a signal,
switch, movable-point frog, or derail as the result of a cross in
electrical circuits.

Cross Reference: Ramp, see Sec. 236.744.

Sec. 236.788 Receiver.

A device on a locomotive, so placed that it is in position to be
influenced inductively or actuated by an automatic train stop, train
control or cab signal roadway element.

Sec. 236.789 Relay, timing.

A relay which will not close its front contacts or open its back
contacts, or both, until the expiration of a definite time intervals
after the relay has been energized.

Sec. 236.790 Release, time.

A device used to prevent the operation of an operative unit until
after the expiration of a predetermined time interval after the device
has been actuated.

Sec. 236.791 Release, value.

The electrical value at which the movable member of an
electromagnetic device will move to its deenergized portion.

Sec. 236.792 Reservoir, equalizing.

An air reservoir connected with and adding volume to the top portion
of the equalizing piston chamber of the automatic brake valve, to
provide uniform service reductions in brake pipe pressure regardless of
the length of the train.

Cross Reference: Rocker, see Sec. 236.755.

Sec. 236.793 Rod, lock.

A rod, attached to the front rod or lug of a switch, movable-point
frog or derail, through which a locking plunger may extend when the
switch points or derail are in the normal or reverse position.

Sec. 236.794 Rod, up-and-down.

A rod used for connecting the semaphore arm to the operating
mechanism of a signal.

Sec. 236.795 Route.

The course or way which is, or is to be, traveled.

Sec. 236.796 Routes, conflicting.

Two or more routes, opposing, converging or intersecting, over which
movements cannot be made simultaneously without possibility of
collision.

Sec. 236.797 Route, interlocked.

A route within interlocking limits.

Sec. 236.798 Section, dead.

A section of track, either within a track circuit or between two
track circuits, the rails of which are not part of a track circuit.

Sec. 236.799 Section, fouling.

The section of track between the switch points and the clearance
point in a turnout.

Sec. 236.800 Sheet, locking.

A description in tabular form of the locking operations in an
interlocking machine.

Sec. 236.801 Shoe, latch.

The casting by means of which the latch rod and the latch block are
held to a lever of a mechanical interlocking machine.

Sec. 236.802 Shunt.

A by-path in an electrical circuit.

Sec. 236.802a Siding.

An auxiliary track for meeting or passing trains.

Sec. 236.803 Signal, approach.

A roadway signal used to govern the approach to another signal and
if operative so controlled that its indication furnishes advance
information of the indication of the next signal.

[[Page 384]]

Sec. 236.804 Signal, block.

A roadway signal operated either automatically or manually at the
entrance to a block.

Sec. 236.805 Signal, cab.

A signal located in engineman's compartment or cab, indicating a
condition affecting the movement of a train and used in conjunction with
interlocking signals and in conjunction with or in lieu of block
signals.

Sec. 236.806 Signal, home.

A roadway signal at the entrance to a route or block to govern
trains in entering and using that route or block.

Sec. 236.807 Signal, interlocking.

A roadway signal which governs movements into or within interlocking
limits.

Sec. 236.808 Signals, opposing.

Roadway signals which govern movements in opposite directions on the
same track.

Sec. 236.809 Signal, slotted mechanical.

A mechanically operated signal with an electromagnetic device
inserted in its operating connection to provide a means of controlling
the signal electrically, as well as mechanically.

Sec. 236.810 Spectacle, semaphore arm.

That part of a semaphore arm which holds the roundels and to which
the blade is fastened.

Sec. 236.811 Speed, medium.

A speed not exceeding 40 miles per hour.

Sec. 236.812 Speed, restricted.

A speed that will permit stopping within one-half the range of
vision, but not exceeding 20 miles per hour.

[49 FR 3388, Jan. 26, 1984]

Sec. 236.813 Speed, slow.

A speed not exceeding 20 miles per hour.

Sec. 236.813a State, most restrictive.

The mode of an electric or electronic device that is equivalent to a
track relay in its deenergized position.

[49 FR 3388, Jan. 26, 1984]

Sec. 236.814 Station, control.

The place where the control machine of a traffic control system is
located.

Sec. 236.815 Stop.

As applied to mechanical locking, a device secured to a locking bar
to limit its movement.

Sec. 236.816 Superiority of trains.

The precedence conferred upon one train over other trains by train
order or by reason of its class or the direction of its movement.

Sec. 236.817 Switch, electro-pneumatic.

A switch operated by an electro-pneumatic switch-and-lock movement.

Sec. 236.818 Switch, facing point.

A switch, the points of which face traffic approaching in the
direction for which the track is signaled.

Sec. 236.819 Switch, hand operated.

A non-interlocked switch which can only be operated manually.

Sec. 236.820 Switch, interlocked.

A switch within the interlocking limits the control of which is
interlocked with other functions of the interlocking.

Sec. 236.820a Switch, power-operated.

A switch operated by an electrically, hydraulically, or
pneumatically driven switch-and-lock movement.

[49 FR 3388, Jan. 26, 1984]

Sec. 236.821 Switch, sectionalizing.

A switch for disconnecting a section of a power line from the source
of energy.

Sec. 236.822 Switch, spring.

A switch equipped with a spring device which forces the points to
their original position after being trailed through and holds them under
spring compression.

[[Page 385]]

Sec. 236.823 Switch, trailing point.

A switch, the points of which face away from traffic approaching in
the direction for which the track is signaled.

Sec. 236.824 System, automatic block signal.

A block signal system wherein the use of each block is governed by
an automatic block signal, cab signal, or both.

Sec. 236.825 System, automatic train control.

A system so arranged that its operation will automatically result in
the following:
(a) A full service application of the brakes which will continue
either until the train is brought to a stop, or, under control of the
engineman, its speed is reduced to a predetermined rate.
(b) When operating under a speed restriction, an application of the
brakes when the speed of the train exceeds the predetermined rate and
which will continue until the speed is reduced to that rate.

Sec. 236.826 System, automatic train stop.

A system so arranged that its operation will automatically result in
the application of the brakes until the train has been brought to a
stop.

Sec. 236.827 System, block signal.

A method of governing the movement of trains into or within one or
more blocks by block signals or cab signals.

Sec. 236.828 System, traffic control.

A block signal system under which train movements are authorized by
block signals whose indications supersede the superiority of trains for
both opposing and following movements on the same track.

Sec. 236.829 Terminal, initial.

The starting point of a locomotive for a trip.

Sec. 236.830 Time, acknowledging.

As applied to an intermittent automatic train stop system, a
predetermined time within which an automatic brake application may be
forestalled by means of the acknowledging device.

Sec. 236.831 Time, delay.

As applied to an automatic train stop or train control system, the
time which elapses after the onboard apparatus detects a more
restrictive indication until the brakes start to apply.
[49 FR 3388, Jan. 26, 1984]

Sec. 236.831a Track, main.

A track, other than auxiliary track, extending through yards and
between stations, upon which trains are operated by timetable or train
orders, or both, or the use of which is governed by block signals.

Sec. 236.832 Train.

A locomotive or more than one locomotive coupled, with or without
cars.

Sec. 236.833 Train, opposing.

A train, the movement of which is in a direction opposite to and
toward another train on the same track.

Sec. 236.834 Trip.

A movement of a locomotive over all or any portion of automatic
train stop, train control or cab signal territory between the terminals
for that locomotive; a movement in one direction.

Cross Reference: Trip-arm, see Sec. 236.744.

Sec. 236.835 Trunking.

A casing used to protect electrical conductors.

Sec. 236.836 Trunnion.

A cylindrical projection supporting a revolving part.

Sec. 236.837 Valve, electro-pneumatic.

A valve electrically operated which, when operated, will permit or
prevent passage of air.

Sec. 236.838 Wire, shunt.

A wire forming part of a shunt circuit.

[[Page 386]]

Appendix A to Part 236--Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
Subpart A--Rules and Instructions--All Systems

------------------------------------------------------------------------
General:
236.0 Applicability, minimum requirements.... $2,500 $5,000
236.1 Plans, where kept...................... 1,000 2,000
236.2 Grounds................................ 1,000 2,000
236.3 Locking of signal apparatus housings:
(a) Power interlocking machine cabinet not
secured against unauthorized entry....... 2,500 5,000
(b) other violations...................... 1,000 2,000
236.4 Interference with normal functioning of
device....................................... 5,000 7,500
236.5 Design of control circuits on closed
circuit principle............................ 1,000 2,000
236.6 Hand-operated switch equipped with
switch circuit controller.................... 1,000 2,000
236.7 Circuit controller operated by switch-
and-lock movement............................ 1,000 2,000
236.8 Operating characteristics of electro-
magnetic, electronic, or electrical apparatus 1,000 2,000
236.9 Selection of circuits through
indicating or annunciating instruments....... 1,000 2,000
236.10 Electric locks, force drop type; where
required..................................... 1,000 2,000
236.11 Adjustment, repair, or replacement of
component.................................... 2,500 5,000
236.12 Spring switch signal protection; where
required..................................... 1,000 2,000
236.13 Spring switch; selection of signal
control circuits through circuit controller.. 1,000 2,000
236.14 Spring switch signal protection;
requirements................................. 1,000 2,000
236.15 Timetable instructions................ 1,000 2,000
236.16 Electric lock, main track releasing
circuit:
(a) Electric lock releasing circuit on
main track extends into fouling circuit
where turnout not equipped with derail at
clearance point either pipe-connected to
switch or independently locked,
electrically............................. 2,500 5,000
(b) other violations...................... 1,000 2,000
236.17 Pipe for operating connections,
requirements 1,000 2,000

Roadway Signals and Cab Signals--

236.21 Location of roadway signals........... 1,000 2,000
236.22 Semaphore signal arm; clearance to
other objects................................ 1,000 2,000
236.23 Aspects and indications............... 1,000 2,000
236.24 Spacing of roadway signals............ 2,500 5,000
236.26 Buffing device, maintenance........... 1,000 2,000

Track Circuits--

236.51 Track circuit requirements:
(a) Shunt fouling circuit used where
permissible speed through turnout greater
than 45 m.p.h............................ 2,500 5,000
(b) Track relay not in de-energized
position or device that functions as
track relay not in its most restrictive
state when train, locomotive, or car
occupies any part of track circuit,
except fouling section of turnout of hand-
operated main-track crossover............ 2,500 5,000
(c) other violations...................... 1,000 2,000
236.52 Relayed cut-section................... 1,000 2,000
236.53 Track circuit feed at grade crossing.. 1,000 2,000
236.54 Minimum length of track circuit....... 1,000 2,000
236.55 Dead section; maximum length.......... 1,000 2,000
236.56 Shunting sensitivity.................. 2,500 5,000
236.57 Shunt and fouling wires:
(a) Shunt or fouling wires do not consist
of at least two discrete conductors...... 2,500 5,000
(b) other violations...................... 1,000 2,000
236.58 Turnout, fouling section:
(a) Rail joint in shunt fouling section
not bonded............................... 2,500 5,000
(b) other violations...................... 1,000 2,000
236.59 Insulated rail joints................. 1,000 2,000
236.60 Switch shunting circuit; use
restricted................................... 2,500 5,000

Wires and Cables--

236.71 Signal wires on pole line and aerial
cable........................................ 1,000 2,000
236.73 Open-wire transmission line; clearance
to other circuits............................ 1,000 2,000
236.74 Protection of insulated wire; splice
in underground wire.......................... 1,000 2,000
236.76 Tagging of wires and interference of
wires or tags with signal apparatus.......... 1,000 2,000

Inspections and Tests; All Systems--

236.101 Purpose of inspection and tests;
removal from service or relay or device
failing to meet test requirements............ 2,500 5,000
236.102 Semaphore or search-light signal
mechanism.................................... 1,000 2,000
236.103 Switch circuit controller or point
detector..................................... 1,000 2,000
236.104 Shunt fouling circuit................ 1,000 2,000
236.105 Electric lock........................ 1,000 2,000
236.106 Relays............................... 1,000 2,000
236.107 Ground tests......................... 1,000 2,000

[[Page 387]]

236.108 Insulation resistance tests, wires in
trunking and cables:
(a) Circuit permitted to function on a
conductor having insulation resistance
value less than 200,000 ohms............. 2,500 5,000
(b) other violations...................... 1,000 2,000
236.109 Time releases, timing relays and
timing devices............................... 1,000 2,000
236.110 Results of tests..................... 1,000 2,000

------------------------------------------------------------------------
Subpart B--Automatic Block Signal Systems

------------------------------------------------------------------------
236.201 Track circuit control of signals..... 1,000 2,000
236.202 Signal governing movements over hand-
operated switch.............................. 1,000 2,000
236.203 Hand-operated crossover between main
tracks; protection........................... 1,000 2,000
236.204 Track signaled for movements in both
directions, requirements..................... 1,000 2,000
236.205 Signal control circuits; requirements 1,000 2,000
236.206 Battery or power supply with respect
to relay; location........................... 1,000 2,000

------------------------------------------------------------------------
Subpart C--Interlocking

------------------------------------------------------------------------
236.207 Electric lock on hand-operated
switch; control:
(a) Approach or time locking of electric
lock on hand-operated switch can be
defeated by unauthorized use of emergency
device which is not kept sealed in the
non-release position..................... 2,500 5,000
(b) other violations...................... 1,000 2,000
236.301 Where signals shall be provided...... 1,000 2,000
236.302 Track circuits and route locking..... 1,000 2,000
236.303 Control circuits for signals,
selection through circuit controller operated
by switch points or by switch locking
mechanism.................................... 1,000 2,000
236.304 Mechanical locking or same protection
effected by circuits......................... 1,000 2,000
236.305 Approach or time locking............. 1,000 2,000
236.306 Facing point lock or switch-and-lock
movement..................................... 1,000 2,000
236.307 Indication locking:
236.308 Mechanical or electric locking or
electric circuits; requisites................ 1,000 2,000
236.309 Loss of shunt protection; where
required:
(a) Loss of shunt of five seconds or less
permits release of route locking of power-
operated switch, movable point frog, or
derail................................... 2,500 5,000
(b) Other violations...................... 1,000 2,000
236.310 Signal governing approach to home
signal....................................... 1,000 2,000
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................................. 1,000 2,000
236.312 Movable bridge, interlocking of
signal appliances with bridge devices:
(a) Emergency bypass switch or device not
locked or sealed......................... 2,500 5,000
(b) other violations...................... 1,000 2,000
236.314 Electric lock for hand-operated
switch or derail:
(a) Approach or time locking of electric
lock at hand-operated switch or derail
can be defeated by unauthorized use of
emergency device which is not kept sealed
in non-release position.................. 2,500 5,000
(b) other violations...................... 1,000 2,000

Rules and Instructions--

236.326 Mechanical locking removed or
disarranged; requirement for permitting train
movements through interlocking............... 1,000 2,000
236.327 Switch, movable-point frog or split-
point derail................................. 1,000 2,000
236.328 Plunger of facing-point.............. 1,000 2,000
236.329 Bolt lock............................ 1,000 2,000
236.330 Locking dog of switch and lock
movement..................................... 1,000 2,000
236.334 Point detector....................... 1,000 2,000
236.335 Dogs, stops and trunnions of
mechanical locking........................... 1,000 2,000
236.336 Locking bed.......................... 1,000 2,000
236.337 Locking faces of mechanical locking;
fit.......................................... 1,000 2,000
236.338 Mechanical locking required in
accordance with locking sheet and dog chart.. 1,000 2,000
236.339 Mechanical locking; maintenance
requirements................................. 1,000 2,000
236.340 Electromechanical interlocking
machine; locking between electrical and
mechanical levers............................ 1,000 2,000
236.341 Latch shoes, rocker links, and
quadrants.................................... 1,000 2,000
236.342 Switch circuit controller............ 1,000 2,000

[[Page 388]]

Inspection and Tests--

236.376 Mechanical locking................... 1,000 2,000
236.377 Approach locking..................... 1,000 2,000
236.378 Time locking......................... 1,000 2,000
236.379 Route locking........................ 1,000 2,000
236.380 Indication locking................... 1,000 2,000
236.381 Traffic locking...................... 1,000 2,000
236.382 Switch obstruction test.............. 1,000 2,000
236.383 Valve locks, valves, and valve
magnets...................................... 1,000 2,000
236.384 Cross protection
236.386 Restoring feature on power switches
236.387 Movable bridge locking............... 1,000 2,000

------------------------------------------------------------------------
Subpart D--Traffic Control Systems Standards

------------------------------------------------------------------------
236.401 Automatic block signal system and
interlocking standards applicable to traffic
control systems:
236.402 Signals controlled by track circuits
and control operator......................... 1,000 2,000
236.403 Signals at controlled point.......... 1,000 2,000
236.404 Signals at adjacent control points... 1,000 2,000
236.405 Track signaled for movements in both
directions, change of direction of traffic... 1,000 2,000
236.407 Approach or time locking; where
required..................................... 1,000 2,000
236.408 Route locking........................ 1,000 2,000
236.410 Locking, hand-operated switch;
requirements:
(a) Hand-operated switch on main track not
electrically or mechanically locked in
normal position where signal not provided
to govern movement to main track,
movements made at speeds in excess of 20
m.p.h., and train or engine movements may
clear main track......................... 2,500 5,000
(b) Hand-operated switch on signaled
siding not electrically or mechanically
locked in normal position where signal
not provided to govern movements to
signaled siding, train movements made at
speeds in excess of 30 m.p.h., and train
or engine movements may clear signaled
siding................................... 2,500 5,000
(c) Approach or time locking of electric
lock at hand-operated switch can be
defeated by use of emergency release
device of electric lock which is not kept
sealed in non-release position........... 2,500 5,000
(d) other violations...................... 1,000 2,000

Rules and Instructions--

236.426 Interlocking rules and instructions
applicable to traffic control systems........ 1,000 2,000
236.476 Interlocking inspections and tests
applicable to traffic control systems........ 1,000 2,000

------------------------------------------------------------------------
Subpart E--Automatic Train Stop, Train Control and Cab Signal Systems
Standards

------------------------------------------------------------------------
236.501 Forestalling device and speed control 1,000 2,000
236.502 Automatic brake application,
initiation by restrictive block conditions
stopping distance in advance................. 1,000 2,000
236.503 Automatic brake application;
initiation when predetermined rate of speed
exceeded..................................... 1,000 2,000
236.504 Operations interconnected with
automatic block-signal system................ 1,000 2,000
236.505 Proper operative relation between
parts along roadway and parts on locomotive.. 1,000 2,000
236.506 Release of brakes after automatic
application.................................. 1,000 2,000
236.507 Brake application; full service...... 1,000 2,000
236.508 Interference with application of
brakes by means of brake valve............... 1,000 2,000
236.509 Two or more locomotives coupled...... 1,000 2,000
236.511 Cab signals controlled in accordance
with block conditions stopping distance in
advance...................................... 1,000 2,000
236.512 Cab signal indication when locomotive
enters blocks................................ 1,000 2,000
236.513 Audible indicator.................... 1,000 2,000
236.514 Interconnection of cab signal system
with roadway signal system................... 1,000 2,000
236.515 Visibility of cab signals............ 1,000 2,000
236.516 Power supply......................... 1,000 2,000

Rules and Instructions; Roadway--

236.526 Roadway element not functioning
properly..................................... 2,500 5,000
236.527 Roadway element insulation resistance 1,000 2,000

[[Page 389]]

236.528 Restrictive condition resulting from
open hand-operated switch; requirement....... 1,000 2,000
236.529 Roadway element inductor; height and
distance from rail........................... 1,000 2,000
236.531 Trip arm; height and distance from
rail......................................... 1,000 2,000
236.532 Strap iron inductor; use restricted.. 1,000 2,000
236.534 Rate of pressure reduction;
equalizing reservoir or brake pipe........... 1,000 2,000
236.551 Power supply voltage................. 1,000 2,000
236.552 Insulation resistance................ 1,000 2,000
236.553 Seal, where required................. 2,500 5,000
236.554 Rate of pressure reduction;
equalizing reservoir or brake pipe........... 1,000 2,000
236.555 Repaired or rewound receiver coil.... 1,000 2,000
236.556 Adjustment of relay.................. 1,000 2,000
236.557 Receiver; location with respect to
rail......................................... 1,000 2,000
236.560 Contact element, mechanical trip
type; location with respect to rail.......... 1,000 2,000
236.562 Minimum rail current required........ 1,000 2,000
236.563 Delay time........................... 1,000 2,000
236.564 Acknowledging time................... 1,000 2,000
236.565 Provision made for preventing
operation of pneumatic brake-applying
apparatus by double-heading clock;
requirement.................................. 1,000 2,000
236.566 Locomotive of each train operating in
train stop, train control or cab signal
territory; equipped.......................... 5,000 7,500
236.567 Restrictions imposed when device
fails and/or is cut out en route:
(a) Report not made to designated officer
at next available point of communication
after automatic train stop, train
control, or cab signal device fails and/
or is cut en route....................... 5,000 7,500
(b) Train permitted to proceed at speed
exceeding 79 m.p.h. where automatic train
stop, train control, or cab signal device
fails and/or is cut out en route when
absolute block established in advance of
train on which device is inoperative..... 5,000 7,500
(c) other violations...................... 1,000 2,000
236.568 Difference between speeds authorized
by roadway signal and cab signal; action..... 1,000 2,000

Inspection and Tests; Roadway--

236.576 Roadway element...................... 1,000 2,000
236.577 Test, acknowledgement, and cut-in
circuits..................................... 1,000 2,000

Inspection and Tests; Locomotive--

236.586 Daily or after trip test............. 2,500 5,000
236.587 Departure test:
(a) Test of automatic train stop, train
control, or cab signal apparatus on
locomotive not made on departure of
locomotive from initial terminal if
equipment on locomotive not cut out
between initial terminal and equipped
territory................................ 5,000 7,500
(b) Test of automatic train stop, train
control, or cab signal apparatus on
locomotive not made immediately on
entering equipped territory, if equipment
on locomotive cut out between initial
terminal and equipped territory.......... 5,000 7,500
(c) Automatic train stop, train control,
or cab signal apparatus on locomotive
making more than one trip within 24-hour
period not given departure test within
corresponding 24-hour period............. 5,000 7,500
(d) other violations...................... 2,500 5,000
236.588 Periodic test........................ 2,500 5,000
236.589 Relays............................... 2,500 5,000
236.590 Pneumatic apparatus:
(a) Automatic train stop, train control,
or cab signal apparatus not inspected and
cleaned at least once every 736 days..... 2,500 5,000
(b) other violations...................... 1,000 2,000

------------------------------------------------------------------------
Subpart F--Dragging Equipment and Slide Detectors and Other Similar
Protective Devices; Standards

------------------------------------------------------------------------
236.601 Signals controlled by devices;
location..................................... 1,000 2,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.

[53 FR 52936, Dec. 29, 1988]

PART 240--QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS--Table of Contents

Subpart A--General

Sec.

[[Page 390]]

240.1 Purpose and scope.
240.3 Applicability.
240.5 Construction.
240.7 Definitions.
240.9 Waivers.
240.11 Consequences for noncompliance.
240.13 Information collection requirements.

Subpart B--Component Elements of the Certification Process

240.101 Certification program required.
240.103 Approval of design of individual railroad programs by FRA.
240.105 Criteria for selection of designated supervisors of locomotive
engineers.
240.107 Criteria for designation of classes of service.
240.109 General criteria for eligibility based on prior safety conduct.
240.111 Individual's duty to furnish data on prior safety conduct as
motor vehicle operator.
240.113 Individual's duty to furnish data on prior safety conduct as an
employee of a different railroad.
240.115 Criteria for consideration of prior safety conduct as a motor
vehicle operator.
240.117 Criteria for consideration of operating rules compliance data.
240.119 Criteria for consideration of data on substance abuse disorders
and alcohol/drug rules compliance.
240.121 Criteria for vision and hearing acuity data.
240.123 Criteria for initial and continuing education.
240.125 Criteria for testing knowledge.
240.127 Criteria for examining skill performance.
240.129 Criteria for monitoring operational performance of certified
engineers.

Subpart C--Implementation of the Certification Process

240.201 Schedule for implementation.
240.203 Determinations required as a prerequisite to certification.
240.205 Procedures for determining eligibility based on prior safety
conduct.
240.207 Procedures for making the determination on vision and hearing
acuity.
240.209 Procedures for making the determination on knowledge.
240.211 Procedures for making the determination on performance skills.
240.213 Procedures for making the determination on completion of
training program.
240.215 Retaining information supporting determinations.
240.217 Time limitations for making determinations.
240.219 Denial of certification.
240.221 Identification of qualified persons.
240.223 Criteria for the certificate.
240.225 Reliance on qualification determinations made by other
railroads.
240.227 Reliance on qualification requirements of other countries.
240.229 Requirements for joint operations territory.

Subpart D--Administration of the Certification Programs

240.301 Replacement of certificates.
240.303 Operational monitoring requirements.
240.305 Prohibited conduct.
240.307 Revocation of certification.
240.309 Railroad oversight responsibilities.

Subpart E--Dispute Resolution Procedures

240.401 Review board established.
240.403 Petition requirements.
240.405 Processing qualification review petitions.
240.407 Request for a hearing.
240.409 Hearings.
240.411 Appeals.

Appendix A to Part 240--Schedule of Civil Penalties
Appendix B to Part 240--Procedures for Submission and Approval of
Locomotive Engineer Qualification Programs
Appendix C to Part 240--Procedures for Obtaining and Evaluating Motor
Vehicle Driving Record Data
Appendix D to Part 240--Identification of State Agencies that Perform
National Driver Register Checks
Appendix E to Part 240--Recommended Procedures for Conducting Skill
Performance Tests

Authority: 49 U.S.C. Chs. 201-213; 49 CFR 1.49.

Source: 56 FR 28254, June 19, 1991, unless otherwise noted.

Subpart A--General

Sec. 240.1 Purpose and scope.

(a) The purpose of this part is to ensure that only qualified
persons operate a locomotive or train.
(b) This part prescribes minimum Federal safety requirements for the
eligibility, training, testing, certification, and monitoring of all
locomotive engineers. This part does not restrict a railroad from
implementing additional or more stringent requirements for its
locomotive engineers that are not inconsistent with this part.

[[Page 391]]

(c) The qualifications for locomotive engineers prescribed in this
part are pertinent to any person who operates a locomotive, unless that
person is specifically excluded by a provision of this part, regardless
of the fact that a person may have a job classification title other than
that of locomotive engineer.

Sec. 240.3 Applicability.

(a) This part applies to all railroads that operate locomotives on
standard gage track that is part of the general railroad system of
transportation.
(b) This part does not apply to:
(1) Rapid transit operations in an urban area that are not connected
with the general system of transportation; and
(2) A railroad that operates only on track inside an installation
which is not part of the general railroad system of transportation.

Sec. 240.5 Construction.

(a) By issuance of these regulations, FRA intends to preempt any
State law, rule, regulation, order, or standard covering the same
subject matter in accordance with the provisions of section 205 of the
Federal Railroad Safety Act of 1970 (45 U.S.C. 434).
(b) FRA does not intend by issuance of these regulations to preempt
any provisions of State criminal law that impose sanctions for reckless
conduct that leads to actual loss of life, injury, or damage to
property, whether such provisions apply specifically to railroad
employees or generally to the public at large.
(c) FRA does not intend, by use of the term ``locomotive engineer''
in this part, to preempt or otherwise alter the terms, conditions, or
interpretation of existing collective bargaining agreements that employ
other job classification titles when identifying persons authorized by a
railroad to operate a locomotive.
(d) FRA does not intend by issuance of these regulations to preempt
or otherwise alter the authority of a railroad to initiate disciplinary
sanctions against its employees, including managers and supervisors, in
the normal and customary manner, including those contained in its
collective bargaining agreements.
(e) Nothing in this part shall be construed to create an eligibility
or entitlement to employment in other service for the railroad as a
result of denial, suspension, or revocation of certification under this
part.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19002, Apr. 9, 1993]

Sec. 240.7 Definitions.

As used in this part--
Administrator means the Administrator of FRA, the Deputy
Administrator of FRA, or the delegate of either.
Alcohol means ethyl alcohol (ethanol) and includes use or possession
of any beverage, mixture, or preparation containing ethyl alcohol.
Controlled Substance has the meaning assigned by 21 U.S.C. 802 and
includes all substances listed on Schedules I through V as they may be
revised from time to time (21 CFR parts 1301-1316).
Current Employee is any employee with at least one year of
experience in transportation service on a railroad.
Designated Supervisor of Locomotive Engineers is a person designated
as such by a railroad in accordance with the provisions of Sec. 240.105
of this part.
Drug means any substance (other than alcohol) that has known mind or
function-altering effects on a human subject, specifically including any
psychoactive substance and including, but not limited to, controlled
substances.
EAP Counselor means a person qualified by experience, education, or
training to counsel people affected by substance abuse problems and to
evaluate their progress in recovering from or controlling such problems.
An EAP Counselor can be a qualified full-time salaried employee of a
railroad, a qualified practitioner who contracts with the railroad on a
fee-for-service or other basis, or a qualified physician designated by
the railroad to perform functions in connection with alcohol or
substance abuse evaluation or counseling. As used in this rule, the EAP
Counselor owes a duty to the railroad to make an honest and fully
informed evaluation of the condition and progress of an employee.
Filing means that a document to be filed under this Part shall be
deemed

[[Page 392]]

filed only upon receipt by the Docket Clerk.
FRA Representative means the Associate Administrator for Safety,
FRA, and the Associate Administrator's delegate, including any safety
inspector employed by the Federal Railroad Administration and any
qualified state railroad safety inspector acting under part 212 of this
chapter.
Instructor Engineer means a person who
(1) Is a qualified locomotive engineer under this part,
(2) Has been selected by the railroad to teach others proper train
handling procedures, and
(3) Has demonstrated an adequate knowledge of the subjects under
instruction.
Joint Operations means rail operations conducted by more than one
railroad on the same track regardless of whether such operations are the
result of--
(1) Contractual arrangement between the railroads,
(2) Order of a governmental agency or a court of law, or
(3) Any other legally binding directive.
Knowingly means having actual knowledge of the facts giving rise to
the violation or that a reasonable person acting in the circumstances,
exercising due care, would have had such knowledge.
Locomotive means a piece of on-track equipment, other than hi-rail
or specialized maintenance equipment
(1) With one or more propelling motors designed for moving other
equipment;
(2) With one or more propelling motors designed to carry freight or
passenger traffic or both; or
(3) Without propelling motors but with one or more control stands.
Locomotive engineer means any person who moves a locomotive or group
of locomotives regardless of whether they are coupled to other rolling
equipment except:
(1) A person who moves a locomotive or group of locomotives within
the confines of a locomotive repair or servicing area as provided for in
49 CFR 218.5(f) and 218.29(a)(1); or
(2) A person who moves a locomotive or group of locomotives for
distances of less than 100 feet and this incidental movement of a
locomotive or locomotives is for inspection or maintenance purposes.
Main track means a track upon which the operation of trains is
governed by one or more of the following methods of operation:
timetable; mandatory directive; signal indication; or any form of
absolute or manual block system.
Medical examiner means a person licensed as a doctor of medicine or
doctor of osteopathy. A medical examiner can be a qualified full-time
salaried employee of a railroad, a qualified practitioner who contracts
with the railroad on a fee-for-service or other basis, or a qualified
practitioner designated by the railroad to perform functions in
connection with medical evaluations of employees. As used in this rule,
the medical examiner owes a duty to the railroad to make an honest and
fully informed evaluation of the condition of an employee.
Newly hired employee is any person who is hired with no prior
railroad experience, or one with less than one year of experience in
transportation service on that railroad or another railroad.
Railroad means all forms of non-highway ground transportation that
run on rails or electromagnetic guideways, including
(1) Commuter or other short-haul rail passenger service in a
metropolitan or suburban area and
(2) High speed ground transportation systems that connect
metropolitan areas, without regard to whether they use new technologies
not associated with traditional railroads.

Such term does not include rapid transit operations within an urban area
that are not connected to the general railroad system of transportation.
Railroad Officer means any supervisory employee of a railroad.
Segment means any portion of a railroad assigned to the supervision
of one superintendent or equivalent transportation officer.
Substance abuse disorder refers to a psychological or physical
dependence on alcohol or a drug or another identifiable and treatable
mental or physical

[[Page 393]]

disorder involving the abuse of alcohol or drugs as a primary
manifestation. A substance abuse disorder is ``active'' within the
meaning of this part if the person (1) is currently using alcohol and
other drugs, except under medical supervision consistent with the
restrictions described in Sec. 219.103 of this chapter or (2) has failed
to successfully complete primary treatment or successfully participate
in aftercare as directed by an EAP Counselor.
Type I Simulator means a replica of the control compartment of a
locomotive with all associated control equipment that:
(1) Functions in response to a person's manipulation and causes the
gauges associated with such controls to appropriately respond to the
consequences of that manipulation;
(2) Pictorially, audibly and graphically illustrates the route to be
taken;
(3) Graphically, audibly, and physically illustrates the
consequences of control manipulations in terms of their effect on train
speed, braking capacity, and in-train force levels throughout the train;
and
(4) Is computer enhanced so that it can be programmed for specific
train consists and the known physical characteristics of the line
illustrated.
Type II Simulator means a replica of the control equipment for a
locomotive that:
(1) Functions in response to a person's manipulation and causes the
gauges associated with such controls to appropriately respond to the
consequences of that manipulation;
(2) Pictorially, audibly, and graphically illustrates the route to
be taken;
(3) Graphically and audibly illustrates the consequences of control
manipulations in terms of their effect on train speed braking capacity,
and in-train force levels throughout the train; and
(4) Is computer enhanced so that it can be programmed for specific
train consists and the known physical characteristics of the line
illustrated.
Type III Simulator means a replica of the control equipment for a
locomotive that:
(1) Functions in response to a person's manipulation and causes the
gauges associated with such controls to appropriately respond to the
consequences of that manipulation;
(2) Graphically illustrates the route to be taken;
(3) Graphically illustrates the consequences of control
manipulations in terms of their effect on train speed braking capacity,
and in-train force levels throughout the train; and
(4) Is computer enhanced so that it can be programmed for specific
train consists and the known physical characteristics of the line
illustrated.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19002, Apr. 9, 1993; 60
FR 53136, Oct. 12, 1995]

Sec. 240.9 Waivers.

(a) Any person may petition the Federal Railroad Administration for
a waiver of compliance with any requirement prescribed in this part.
(b) Each petition for a waiver under this section must be filed in
the manner and contain the information required by part 211 of this
chapter.
(c) If the Administrator finds that a waiver of compliance is in the
public interest and is consistent with railroad safety, he or she may
grant the waiver subject to any conditions he or she deems necessary.

Sec. 240.11 Consequences for Noncompliance.

(a) Any person (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,

[[Page 394]]

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.

Sec. 240.13 Information collection requirements.

(a) The information collection requirements of this part were
reviewed by the Office of Management and Budget pursuant to the
Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.) and are
assigned OMB control number 2130-0533.
(b) The information collection requirements are found in the
following sections: Secs. 240.101, 240.103, 240.105, 240.107, 240.109,
240.111, 240.113, 240.115, 240.117, 240.119, 240.121, 240.123, 240.125,
240.127, 240.129, 240.201, 240.205, 240.207, 240.209, 240.211, 240.213,
240.215, 240.219, 240.221, 240.223, 240.227, 240.229, 240.301, 240.303,
240.305, 240.307, 240.309, 240.401, 240.403, 240.405, 240.407, 240.411.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993]

Subpart B--Component Elements of the Certification Process

Sec. 240.101 Certification program required.

(a) After September 17, 1991, each railroad in operation on that
date and subject to this part shall have in effect a written program for
certifying the qualifications of locomotive engineers.
(b) A railroad commencing operations after September 17, 1991, shall
have such a program in effect prior to commencing operations.
(c) After the pertinent date specified in paragraph (e), (f), or (g)
of Sec. 240.201, each railroad shall have a certification program
approved in accordance with Sec. 240.103 that includes:
(1) A procedure for designating any person it determines to be
qualified as a supervisor of locomotive engineers that complies with the
criteria established in Sec. 240.105;
(2) A designation of the classes of service that it determines will
be used in compliance with the criteria established in Sec. 240.107;
(3) A procedure for evaluating prior safety conduct that complies
with the criteria established in Sec. 240.109;
(4) A procedure for evaluating visual and hearing acuity that
complies with the criteria established in Sec. 240.121;
(5) A procedure for training that complies with the criteria
established in Sec. 240.123;
(6) A procedure for knowledge testing that complies with the
criteria established in Sec. 240.125;
(7) A procedure for skill performance testing that complies with the
criteria established in Sec. 240.127; and
(8) A procedure for monitoring operational performance that complies
with the criteria established in Sec. 240.129.

Sec. 240.103 Approval of design of individual railroad programs by FRA.

(a) Each railroad shall submit its written program and a description
of how its program conforms to the specific requirements of this part in
accordance with the procedures contained in appendix B and the following
schedule:
(1) A Class I railroad (including National Railroad Passenger
Corporation) and a railroad providing commuter service shall submit no
later than November 15, 1991;
(2) A Class II railroad shall submit no later than May 1, 1992; and
(3) A Class III railroad (including a switching and terminal
railroad or any other railroad not otherwise classified) shall submit no
later than November 1, 1992.
(4) A railroad commencing operations after the pertinent date
previously specified in this paragraph shall submit its certification
program for approval

[[Page 395]]

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.

Sec. 240.105 Criteria for selection of designated supervisors of locomotive engineers.

(a) Each railroad's program shall include criteria and procedures
for implementing this section.
(b) The railroad shall examine any person it is considering for
qualification as a supervisor of locomotive engineers to determine that
he or she:
(1) Knows and understands the requirements of this part;
(2) Can appropriately test and evaluate the knowledge and skills of
locomotive engineers;
(3) Has the necessary supervisory experience to prescribe
appropriate remedial action for any noted deficiencies in the training,
knowledge or skills of a person seeking to obtain or retain
certification; and
(4) Is a certified engineer.

Sec. 240.107 Criteria for designation of classes of service.

(a) Each railroad's program shall state which of the three classes
of service, provided for in paragraph (b) of this section, that it will
cover.
(b) A railroad may issue certificates for any or all of the
following classes of service:
(1) Train service engineers,
(2) Locomotive servicing engineers, and
(3) Student engineers.
(c) The following operational constraints apply to each class of
service:
(1) Train service engineers may operate locomotives singly or in
multiples and may move them with or without cars coupled to them;
(2) Locomotive servicing engineers may operate locomotives singly or
in multiples but may not move them with cars coupled to them; and

[[Page 396]]

(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.

Sec. 240.109 General criteria for eligibility based on prior safety conduct.

(a) Each railroad's program shall include criteria and procedures to
implement this section.
(b) A railroad shall evaluate the prior safety conduct of any person
it is considering for qualification as a locomotive engineer and the
program shall require that a person is ineligible if the person has an
adverse record of prior safety conduct as provided for in Sec. 240.115,
Sec. 240.117, or Sec. 240.119.
(c) The program shall require evaluation of data which reflect the
person's prior safety conduct as a railroad employee and the person's
prior safety conduct as an operator of a motor vehicle, provided that
there is relevant prior conduct. The information to be evaluated shall
include:
(1) The relevant data furnished from the evaluating railroad's own
records, if the person was previously an employee of that railroad;
(2) The relevant data furnished by any other railroad formerly
employing the person; and
(3) The relevant data furnished by any governmental agency with
pertinent motor vehicle driving records.
(d) The railroad's process for evaluating information concerning
prior safety conduct shall be designed to conform wherever necessary
with the procedural requirements of Sec. 240.111, Sec. 240.113,
Sec. 240.115, Sec. 240.117, Sec. 240.119, and Sec. 240.217.
(e) When eva1uating a person's motor vehicle driving record or a
person's railroad employment record, a railroad shall not consider
information concerning motor vehicle driving incidents or prior railroad
safety conduct that
(1) Occurred prior to the effective date of this rule; or
(2) Occurred at a time other than that specifically provided for in
Sec. 240.115, Sec. 240.117 or Sec. 240.119 of this subpart.
(f) A railroad's program shall provide a candidate for certification
or recertification a reasonable opportunity to review and comment in
writing on any record which contains information concerning the person's
prior safety conduct, including information pertinent to determinations
required under Sec. 240.119 of this subpart, if the railroad believes
the record contains information that could be sufficient to render the
person ineligible for certification under this subpart.
(g) The opportunity for comment shall be afforded to the person
prior to the railroad's rendering its eligibility decision based on that
information. Any responsive comment furnished shall be retained by the
railroad in accordance with Sec. 240.215 of this part.
(h) The program shall include a method for a person to advise the
railroad that he or she has never been a railroad employee or obtained a
license to drive a motor vehicle. Nothing in this section shall be
construed as imposing a duty or requirement that a person have prior
railroad employment experience or obtain a motor vehicle driver's
license in order to become a certified locomotive engineer.
(i) Nothing in this section, Sec. 240.111, or Sec. 240.113 shall be
construed to prevent persons subject to this part from entering into an
agreement that results in a railroad's obtaining the information needed
for compliance with this subpart in a different manner than that
prescribed in Sec. 240.111 or Sec. 240.113.

Sec. 240.111 Individual's duty to furnish data on prior safety conduct as motor vehicle operator.

[[Page 397]]

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 Sec. 240.109(d).
(h) The actions required for compliance with paragraph (a) of this
section shall be undertaken within the 180 days preceding the date of
the railroad's decision concerning certification or recertification.

Sec. 240.113 Individual's duty to furnish data on prior safety conduct as an employee of a different railroad.

(a) Except for initial certifications under paragraph (b), (h), or
(i) of Sec. 240.201 or for persons covered by Sec. 240.109(h), each
person seeking certification or recertification under this part shall,
within 180 days preceding the date of the railroad's decision on
certification or recertification:
(1) Take the actions required by paragraph (b) of this section to
make information concerning his or her prior railroad service record
available to the railroad that is considering such certification or
recertification; and
(2) Take any additional actions, including providing any necessary
consent required by State or Federal law to make information concerning
his or her service record available to that railroad.
(b) Each person seeking certification or recertification under this
part shall

[[Page 398]]

request, in writing, that the chief operating officer or other
appropriate person of the former employing railroad provide a copy of
that railroad's available information concerning his or her service
record to the railroad that is considering such certification or
recertification.

Sec. 240.115 Criteria for consideration of prior safety conduct as a motor vehicle operator.

(a) Each railroad's program shall include criteria and procedures
for implementing this section.
(b) When evaluating a person's motor vehicle driving record, a
railroad shall not consider information concerning motor vehicle driving
incidents that occurred more than 36 months before the month in which
the railroad is making its certification decision and shall only
consider information concerning the following types of motor vehicle
incidents:
(1) A conviction for, or completed state action to cancel, revoke,
suspend, or deny a motor vehicle drivers license for, operating a motor
vehicle while under the influence of or impaired by alcohol or a
controlled substance;
(2) A conviction for, or completed state action to cancel, revoke,
suspend, or deny a motor vehicle driver's license for, refusal to
undergo such testing as is required by State law when a law enforcement
official seeks to determine whether a person is operating a vehicle
while under the influence of alcohol or a controlled substance.
(c) If such an incident is identified,
(1) The railroad shall provide the data to the railroad's EAP
Counselor, together with any information concerning the person's
railroad service record, and shall refer the person for evaluation to
determine if the person has an active substance abuse disorder;
(2) The person shall cooperate in the evaluation and shall provide
any requested records of prior counseling or treatment for review
exclusively by the EAP Counselor in the context of such evaluation; and
(3) If the person is evaluated as not currently affected by an
active substance abuse disorder, the subject data shall not be
considered further with respect to certification. However, the railroad
shall, on recommendation of the EAP Counselor, condition certification
upon participation in any needed aftercare and/or follow-up testing for
alcohol or drugs deemed necessary by the EAP Counselor consistent with
the technical standards specified in Sec. 240.119(d)(3) of this part.
(4) If the person is evaluated as currently affected by an active
substance abuse disorder, the person shall not be currently certified
and the provisions of Sec. 240.119(b) will apply.

Sec. 240.117 Criteria for consideration of operating rules compliance data.

(a) Each railroad's program shall include criteria and procedures
for implementing this section.
(b) A person who has demonstrated a failure to comply, as described
in paragraph (e) of this section, with railroad rules and practices for
the safe operation of trains shall not be currently certified as a
locomotive engineer.
(c) A certified engineer who has demonstrated a failure to comply,
as described in paragraph (e) of this section, with railroad rules and
practices for the safe operation of trains shall have certification
revoked.
(d) Limitations on consideration of prior operating rule compliance
data. Except as provided for in paragraph (i) of this section, in
determining whether a person may be or remain certified as a locomotive
engineer, a railroad shall consider as operating rule compliance data
only conduct described in paragraph (e) of this section that occurred
within a period of 60 consecutive months prior to the determination. A
review of an existing certification shall be initiated promptly upon the
occurrence and documentation of any conduct described in this paragraph.
(e) A railroad shall consider violations of its operating rules and
practices that involve:
(1) Failure to control a locomotive or train in accordance with a
signal indication that requires a complete stop before passing it;
(2) Failure to adhere to limitations concerning train speed when the
speed at which the train was operated exceeds the maximum authorized
limit by at least 10 miles per hour or by

[[Page 399]]

more than one half of the authorized speed, whichever is less;
(3) Failure to adhere to procedures for the safe use of train or
engine brakes when the procedures are required for compliance with the
transfer, initial, or intermediate terminal test provisions of 49 CFR
part 232 (see 49 CFR 232.12 and 232.13);
(4) Occupying main track without proper authority;
(5) Failure to comply with prohibitions against tampering with
locomotive mounted safety devices; and
(6) Incidents of noncompliance with Sec. 219.101 of this chapter;
however such incidents shall be considered as a violation only for the
purposes of paragraphs (g)(2) and (3) of this section.
(f) If in any single incident the person's conduct contravened more
than one operating rule or practice, that event shall be treated as a
single violation for the purposes of this section.
(g) A period of ineligibility described in this paragraph shall:
(1) Begin, for a person not currently certified, on the date of the
railroad's written determination that the most recent incident has
occurred; or
(2) Begin, for a person currently certified, on the date of the
railroad's notification to the person that recertification has been
denied or certification has been revoked; and
(3) Be determined according to the following standards:
(i) In the case of a single incident involving violation of one or
more of the operating rules or practices described paragraphs (e)(1)
through (e)(5) of this section, the person shall be ineligible to hold a
certificate for a period of one month.
(ii) In the case of two separate incidents involving violations of
one or more of the operating rules on practices described in paragraph
(e) of this section that occurred within 36 months of each other, the
person shall be ineligible to hold a certificate for a period of one
year.
(iii) In the case of more than two such violations in any
consecutive 60 month interval, the person shall be ineligible to hold a
certificate for a period of five years.
(iv) Where, based on the occurrence of violations described in
subparagraph (e)(6) of this section, different periods of ineligibility
may result under the provisions of this section and Sec. 240.119, the
longer period of ineligibility shall control.
(h) Future eligibility to hold certificate. Only a person whose
certification has been denied or revoked for a period of one year in
accordance with the provisions of paragraph (g)(2) of this section for
reasons other than noncompliance with Sec. 219.101 of this Chapter shall
be eligible for grant or reinstatement of the certificate prior to the
expiration of the initial period of ineligibility. Such a person shall
not be eligible for grant or reinstatement unless and until--
(1) The person has been evaluated by a designated supervisor of
locomotive engineers and determined to have received adequate remedial
training;
(2) The person has successfully completed any mandatory program of
training or retraining, if that was determined to be necessary by the
railroad prior to return to service; and
(3) At least one half the pertinent period of ineligibility
specified in paragraph (g)(2) of this section has elapsed.
(i) In no event shall incidents that meet the criteria of paragraphs
(i)(1) through (4) of this section be considered as prior incidents for
the purposes of paragraph (g)(3) of this section even though such
incidents could have been or were validly determined to be violations at
the time they occurred. Incidents that shall not be considered under
paragraph (g)(3) of this section are those that:
(1) Occurred prior to (effective date of this amendment);
(2) Involved violations of one or more of the following operating
rules or practices:
(i) Failure to control a locomotive or train in accordance with a
signal indication;
(ii) Failure to adhere to limitations concerning train speed;
(iii) Failure to adhere to procedures for the safe use of train or
engine brakes; or
(iv) Entering track segment without proper authority;
(3) Were or could have been found to be violations under this
section as it read prior to May 10, 1993; and

[[Page 400]]

(4) Would not be a violation of paragraph (e) of this section as
amended.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993]

Sec. 240.119 Criteria for consideration of data on substance abuse disorders and alcohol drug rules compliance.

(a) Each railroad's program shall include criteria and procedures
for implementing this section.
(b) Fitness requirement. (1) A person who has an active substance
abuse disorder shall not be currently certified as a locomotive
engineer.
(2) Except as provided in paragraph (e) of this section, a certified
engineer who is determined to have an active substance abuse disorder
shall be suspended from certification. Consistent with other provisions
of this part, certification may be reinstated as provided in paragraph
(d) of this section.
(3) In the case of a current employee of the railroad evaluated as
having an active substance abuse disorder (including a person identified
under the procedures of Sec. 240.115), the employee may, if otherwise
eligible, voluntarily self-refer for substance abuse counseling or
treatment under the policy required by Sec. 219.403 of this chapter; and
the railroad shall then treat the substance abuse evaluation as
confidential except with respect to current ineligibility for
certification.
(c) Prior alcohol/drug conduct; Federal rule compliance. (1) In
determining whether a person may be or remain certified as a locomotive
engineer, a railroad shall consider conduct described in paragraph
(c)(2) of this section that occurred within a period of 60 consecutive
months prior to the review. A review of certification shall be initiated
promptly upon the occurrence and documentation of any incident of
conduct described in this paragraph.
(2) A railroad shall consider any violation of Sec. 219.101 or
Sec. 219.102 of this chapter and any refusal or failure to provide a
breath or body fluid sample for testing under the requirements of part
219 of this chapter when instructed to do so by a railroad
representative.
(3) A period of ineligibility described in this paragraph shall:
(i) Begin, for a person not currently certified, on the date of the
railroad's written determination that the most recent incident has
occurred; or
(ii) Begin, for a person currently certified, on the date of the
railroad's notification to the person that recertification has been
denied or certification has been revoked; and
(4) The period of ineligibility described in this paragraph shall be
determined in accordance with the following standards:
(i) In the case of a single violation of Sec. 219.102 of this
chapter, the person shall be ineligible to hold a certificate during
evaluation and any required primary treatment as described in paragraph
(d) of this section. In the case of two violations of Sec. 219.102, the
person shall be ineligible to hold a certificate for a period of two
years. In the case of more than two such violations, the person shall be
ineligible to hold a certificate for a period of five years.
(ii) In the case of one violation of Sec. 219.102 of this chapter
and one violation of Sec. 219.101 of this chapter, the person shall be
ineligible to hold a certificate for a period of three years.
(iii) In the case of one violation of Sec. 219.101 of this chapter,
the person shall be ineligible to hold a certificate for a period of 9
months (unless identification of the violation was through a qualifying
``co-worker report'' as described in Sec. 219.405 of this chapter and
the engineer waives investigation, in which case the certificate shall
be deemed suspended during evaluation and any required primary treatment
as described in paragraph (d)). In the case of two or more violations of
Sec. 219.101, the person shall be ineligible to hold a certificate for a
period of five years.
(iv) In the case of a refusal or failure to provide a breath or body
fluid sample for testing under the requirements of part 219 of this
chapter when instructed to do so by a railroad representative, the
refusal or failure shall be treated for purposes of ineligibility under
this paragraph in the same manner as a violation of--
(A) Sec. 219.102, in the case of a refusal or failure to provide a
urine specimen for testing; or

[[Page 401]]

(B) Sec. 219.101, in the case of a refusal or failure to provide a
breath sample (subpart D), or a blood specimen for mandatory post-
accident toxicological testing (subpart C)).
(d) Future eligibility to hold certificate following alcohol/drug
violation. The following requirements apply to a person who has been
denied certification or who has had certification suspended or revoked
as a result of conduct described in paragraph (c) of this section:
(1) The person shall not be eligible for grant or reinstatement of
the certificate unless and until the person has--
(i) Been evaluated by an EAP Counselor to determine if the person
currently has an active substance abuse disorder;
(ii) Successfully completed any program of counseling or treatment
determined to be necessary by the EAP Counselor prior to return to
service; and
(iii) Presented a urine sample for testing under Subpart H of this
part that tested negative for controlled substances assayed and has
tested negative for alcohol under paragraph (d)(4) of this section.
(2) An engineer placed in service or returned to service under the
above-stated conditions shall continue in any program of counseling or
treatment deemed necessary by the EAP Counselor and shall be subject to
a reasonable program of follow-up alcohol and drug testing without prior
notice for a period of not more than 60 months following return to
service. Follow-up tests shall include not fewer than 6 alcohol tests
and 6 drug tests during the first 12 months following return to service.
(3) Return-to-service and follow-up 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 Sec. 219.303 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 Sec. 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 Sec. 219.403 of this chapter
(``Voluntary Referral Policy'') to treat voluntary referrals for
substance abuse counseling and treatment as confidential; and the
certification status of an engineer who is successfully assisted under
the procedures of that section shall not be adversely affected. However,
the railroad shall include in its voluntary referral policy required to
be issued pursuant to Sec. 219.403 of this chapter a provision that, at
least with respect to a certified locomotive engineer or a candidate for
certification, the policy of confidentiality is waived (to the extent
that the railroad shall receive from the EAP Counselor official notice
of the substance abuse disorder and shall suspend or revoke the
certification, as appropriate) if the person at any time refuses to
cooperate in a recommended course of counseling or treatment.

[56 FR 28254, June 19, 1991, as amended at 60 FR 53136, Oct. 12, 1995]

Sec. 240.121 Criteria for vision and hearing acuity data.

(a) Each railroad's program shall include criteria and procedures
implementing this section.
(b) Fitness requirement. A person who does not have visual acuity
and hearing acuity that meets or exceeds the levels prescribed in this
section shall not, except as permitted by paragraph

[[Page 402]]

(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.

Sec. 240.123 Criteria for initial and continuing education.

(a) Each railroad's program shall include criteria and procedures
for implementing this section.
(b) A railroad shall provide for the continuing education of
certified locomotive engineers to ensure that each engineer maintains
the necessary knowledge, skill and ability concerning personal safety,
operating rules and practices, mechanical condition of equipment,
methods of safe train handling (including familiarity with physical
characteristics), and relevant Federal safety rules.
(c) A railroad that elects to train a previously untrained person to
be a locomotive engineer shall provide initial training which, at a
minimum:
(1) Is composed of classroom, skill performance, and familiarization
with physical characteristics components;
(2) Includes both knowledge and performance skill testing;
(3) Is conducted under the supervision of a qualified class
instructor;
(4) Is subdivided into segments or periods of appropriate duration
to effectively cover the following subject matter areas:
(i) Personal safety,
(ii) Railroad operating rules,
(iii) Mechanical condition of equipment,
(iv) Train handling procedures (including use of locomotive and
train brake systems),
(v) Familiarization with physical characteristics including train
handling, and
(vi) Compliance with Federal regulations;
(5) Is conducted so that the performance skill component shall
(i) Be under the supervision of a qualified instructor engineer
located in the same control compartment whenever possible;
(ii) Place the student engineer at the controls of a locomotive for
a significant portion of the time; and
(iii) Permit the student to experience whatever variety of types of
trains are normally operated by the railroad.

Sec. 240.125 Criteria for testing knowledge.

(a) Each railroad's program shall include criteria and procedures
for implementing this section.
(b) A railroad shall have procedures for testing a person being
evaluated for qualification as a locomotive engineer in either train or
locomotive service to determine that the person has sufficient knowledge
of the railroad's rules and practices for the safe operation of trains.

[[Page 403]]

(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.

Sec. 240.127 Criteria for examining skill performance.

(a) Each railroad's program shall include criteria and procedures
for implementing this section.
(b) A railroad shall have procedures for examining the performance
skills of a person being evaluated for qualification as a locomotive
engineer in either train or locomotive service to determine whether the
person has the skills to safely operate locomotives and/or trains,
including the proper application of the railroad's rules and practices
for the safe operation of locomotives or trains, in the most demanding
class or type of service that the person will be permitted to perform.
(c) The testing procedures selected by the railroad shall be:
(1) Designed to examine a person's skills in safely operating
locomotives or trains including the proper application of the railroad's
rules and practices for the safe operation of locomotives or trains when
performing the most demanding class or type of service that the person
will be permitted to perform;
(2) Conducted by a designated supervisor of locomotive engineers;
(3) Cover the following subjects during the test period
(i) Operating practices;
(ii) Equipment inspection practices;
(iii) Train handling practices; and
(iv) Compliance with Federal safety rules;
(4) Be of sufficient length to effectively evaluate the person's
ability to operate trains; and
(5) Conducted when the person either
(i) Is at the controls of the type of train normally operated on
that railroad or segment of railroad and which this person might be
permitted or required by the railroad to operate in the normal course of
events after certification or
(ii) Is at the controls of a Type I or Type II simulator programmed
to replicate the responsive behavior of the type of train normally
operated on that railroad or segment of railroad and which this person
might be permitted or required by the railroad to operate in the normal
course of events after certification.
(d) The conduct of the test shall be documented in writing by the
designated supervisor and the documentation shall contain:
(1) The relevant facts concerning the train being operated;
(2) The constraints applicable to its operation; and
(3) The factors observed and relied on for evaluation purposes by
the designated supervisor.

Sec. 240.129 Criteria for monitoring operational performance of certified engineers.

(a) Each railroad's program shall include criteria and procedures
for implementing this section.
(b) A railroad shall have procedures for monitoring the operational
performance of those it has determined as qualified as a locomotive
engineer in either train or locomotive service.
(c) The procedures shall:
(1) Be designed to determine that the person possesses and routinely
employs the skills to safely operate locomotives

[[Page 404]]

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.

Subpart C--Implementation of the Certification Process--Table of Contents

Sec. 240.201 Schedule for implementation.

(a) After October 30, 1991, each railroad in operation on that date
shall designate in writing any person(s) it deems qualified as a
designated supervisor of locomotive engineers. Each person so designated
shall have demonstrated to the railroad through training, testing or
prior experience that he or she has the knowledge, skills, and ability
to be a designated supervisor of locomotive engineers.
(b) No later than November 1, 1991, each railroad shall designate in
writing all persons that it will deem to be qualified as certified
locomotive engineers for the purpose of initial compliance with
paragraph (d) of this section, except as provided for in paragraph (h)
of this section.
(1) Each person so designated shall have demonstrated to the
railroad through training, testing or prior experience that he or she
has the knowledge and skills to be a certified locomotive engineer.
(2) Each railroad shall issue, no later than December 31, 1991, a
certificate that complies with Sec. 240.223 to each person that it
designates as qualified under the provisions of paragraph (b) of this
section.
(c) No railroad shall permit or require a person, designated as
qualified for certification under the provisions of paragraph (b) of
this section, to perform service as a certified locomotive or train
service engineer for more than the 36-month period beginning on the
pertinent date for compliance with the mandatory procedures for testing
and evaluation set forth in the applicable provisions of paragraph (e),
(f) or (g) of

[[Page 405]]

this section unless that person has been determined to be qualified in
accordance with procedures that comply with subpart C.
(d) After December 31, 1991, no railroad shall permit or require any
person to operate a locomotive in any class of locomotive or train
service unless that person has been certified as a qualified locomotive
engineer and issued a certificate that complies with Sec. 240.223.
(e) After December 31, 1991, no Class I railroad (including the
National Railroad Passenger Corporation) or railroad providing commuter
service shall designate any person it deems qualified as a designated
supervisor of locomotive engineers or initially certify or recertify a
person as a locomotive engineer in either locomotive or train service
unless that person has been tested, evaluated, and determined to be
qualified in accordance with procedures that comply with subpart C.
(f) After May 31, 1992 no Class II railroad shall designate any
person it deems qualified as a designated supervisor of locomotive
engineers or initially certify or recertify a person as a locomotive
engineer in any class of locomotive or train service unless that person
has been tested, evaluated and determined to be qualified in accordance
with procedures that comply with subpart C.
(g) After November 30, 1992 no Class III railroad (including a
switching and terminal or other railroad not otherwise classified) shall
designate any person it deems qualified as a designated supervisor of
locomotive engineers or initially certify or recertify a person as a
locomotive engineer in any class of locomotive or train service unless
that person has been tested, evaluated and determined to be qualified in
accordance with procedures that comply with subpart C.
(h) A railroad may continue to designate any person it deems
qualified as a designated supervisor of locomotive engineers or as a
certified engineer, on the basis of paragraph (b) determinations, prior
to the pertinent date by which a railroad of its class must comply with
the procedures for testing and evaluating persons required under subpart
C. Each person designated as a locomotive engineer shall be issued a
certificate that complies with Sec. 240.223 prior to being required or
permitted to operate a locomotive.
(i) A railroad commencing operations prior to the pertinent date for
compliance by a railroad of its class may designate any person it deems
qualified as a designated supervisor of locomotive engineers or as a
certified locomotive engineer on the basis of paragraph (b) until the
pertinent date for compliance with the procedures for testing and
evaluating required under subpart C. Each person designated as a
locomotive engineer shall be issued a certificate that complies with
Sec. 240.223 prior to being required or permitted to operate a
locomotive.

Sec. 240.203 Determinations required as a prerequisite to certification.

(a) Except as provided in paragraph (c), after the pertinent date
specified in paragraph (e), (f), or (g) of Sec. 240.201, each railroad,
prior to initially certifying or recertifying any person as an engineer
for any class of service, shall, in accordance with its FRA-approved
program determine in writing that:
(1) The individual meets the eligibility requirements of
Secs. 240.115, 240.117 and 240.119; and
(2) The individual meets the vision and hearing acuity standards of
Sec. 240.121;
(3) The individual has the necessary knowledge, as demonstrated by
successfully completing a test that meets the requirements of
Sec. 240.125;
(4) The individual has the necessary applied knowledge and operating
performance skills, as demonstrated by successfully completing an
operational performance test that meets the requirements of
Sec. 240.127; and
(5) Where a person has not previously been certified, that the
person has completed a training program that meets the requirements of
Sec. 240.123.
(b) A railroad may certify a person as a student engineer after
determining that the person meets the vision and hearing acuity
standards of Sec. 240.121. A railroad may subsequently certify that
student engineer as either a locomotive servicing engineer or a train
service engineer without further review of his or her acuity status
provided it determines that:

[[Page 406]]

(1) The person successfully completed a training program that
complies with Sec. 240.123;
(2) The person meets the eligibility requirements of Secs. 240.109
and 240.119; and
(3) A period of not more than twenty-four months has elapsed since
the student engineer certification was issued.

[56 FR 28254, June 19, 1991, as amended at 60 FR 53136, Oct. 12, 1995]

Sec. 240.205 Procedures for determining eligibility based on prior safety conduct.

(a) After the pertinent date specified in paragraph (e), (f), or (g)
of Sec. 240.201, each railroad, prior to initially certifying or
recertifying any person as an engineer for any class of service, shall
determine that the person meets the eligibility requirements of
Sec. 240.115 involving prior conduct as a motor vehicle operator,
Sec. 240.117 involving prior conduct as a railroad worker, and
Sec. 240.119 involving substance abuse disorders and alcohol/drug rules
compliance.
(b) In order to make the determination required under paragraph (a)
of this section, a railroad shall have on file documents pertinent to
the determinations referred to in paragraph (a) of this section,
including a written document from its EAP Counselor either a document
reflecting his or her professional opinion that the person has been
evaluated as not currently affected by a substance abuse disorder or
that the person has been evaluated as affected by an active substance
abuse disorder and is ineligible for certification.

Sec. 240.207 Procedures for making the determination on vision and hearing acuity.

(a) After the pertinent date specified in paragraph (e), (f), or (g)
of Sec. 240.201, each railroad, prior to initially certifying or
recertifying any person as an engineer for any class of service, shall
determine that the person meets the standards for visual acuity and
hearing acuity prescribed in Sec. 240.121.
(b) In order to make the determination required under paragraph (a),
a railroad shall have on file either:
(1) A medical examiner's certificate that the individual has been
medically examined and meets these acuity standards; or
(2) A written document from its medical examiner documenting his or
her professional opinion that the person does not meet one or both
acuity standards and stating the basis for his or her determination that
(i) The person can nevertheless be certified under certain
conditions or
(ii) The person's acuity is such that he or she cannot safely
operate a locomotive even with conditions attached.
(c) Any examination required for compliance with this section shall
be performed by or under the supervision of a medical examiner or a
licensed physician's assistant such that:
(1) A licensed optometrist or a technician responsible to that
person may perform the portion of the examination that pertains to
visual acuity; and
(2) A licensed or certified audiologist or a technician responsible
to that person may perform the portion of the examination that pertains
to hearing acuity.
(d) If the examination required under this section discloses that
the person needs corrective lenses or a hearing aid, or both, either to
meet the threshold acuity levels established in Sec. 240.121 or to meet
a lower threshold determined by the railroad's medical examiner to be
sufficient to safely operate a locomotive or train on that railroad,
that fact shall be noted on the certificate issued in accordance with
the provisions of this part.
(e) Any person with such a certificate notation shall use the
relevant corrective device(s) while operating a locomotive in locomotive
or train service unless the railroad's medical examiner subsequently
determines in writing that the person can safely operate without using
the device.

Sec. 240.209 Procedures for making the determination on knowledge.

(a) After the pertinent date specified in paragraph (e), (f), or (g)
of Sec. 240.201, each railroad, prior to initially certifying or
recertifying any person as an engineer for any class of train or
locomotive service, shall determine that the person has, in accordance
with the requirements of Sec. 240.125 of this part, demonstrated
sufficient knowledge of

[[Page 407]]

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.

Sec. 240.211 Procedures for making the determination on performance skills.

(a) After the pertinent date specified in paragraph (e), (f), or (g)
of Sec. 240.201, each railroad, prior to initially certifying or
recertifying any person as an engineer for any class of train or
locomotive service, shall determine that the person has demonstrated, in
accordance with the requirements of Sec. 240.127 of this part, the
skills to safely operate locomotives or locomotives and trains,
including the proper application of the railroad's rules and practices
for the safe operation of locomotives or trains, in the most demanding
class or type of service that the person will be permitted to perform.
(b) In order to make this determination, a railroad shall have
written documentation showing the person either
(i) Exhibited his or her knowledge by achieving a passing grade in
testing that complies with this part or
(ii) Did not achieve a passing grade in such testing.
(c) If a person fails to achieve a passing score under the testing
and evaluation procedures required by this part, no railroad shall
permit or require that person to operate a locomotive as a locomotive or
train service engineer prior to that person's achieving a passing score
during a reexamination of his or her performance skills.
(d) No railroad shall permit a designated supervisor of locomotive
engineers to test, examine or evaluate his or her own performance skills
when complying with this section.

Sec. 240.213 Procedures for making the determination on completion of training program.

(a) After the pertinent date specified in paragraph (e), (f), or (g)
of Sec. 240.201, each railroad, prior to the initial issuance of a
certificate to any person as a train or locomotive service engineer,
shall determine that the person has, in accordance with the requirements
of Sec. 240.123 of this part, the knowledge and skills to safely operate
a locomotive or train in the most demanding class or type of service
that the person will be permitted to perform.
(b) In making this determination, a railroad shall have written
documentation showing that:
(1) The person completed a training program that complies with
Sec. 240.123 of this part;
(2) The person demonstrated his or her knowledge and skills by
achieving a passing grade under the testing and evaluation procedures of
that training program; and
(3) The person is familiar with the physical characteristics of the
railroad or its pertinent segments.

Sec. 240.215 Retaining information supporting determinations.

(a) After the pertinent date in paragraphs (e), (f) or (g) of
Sec. 240.201, a railroad that issues, denies, or revokes a certificate
after making the determinations required under Sec. 240.203 shall
maintain a record for each certified engineer or applicant for
certification that contains the information the railroad relied on in
making the determinations.
(b) The information concerning eligibility that the railroad shall
retain includes:
(1) Any relevant data from the railroad's records concerning the
person's prior safety conduct;
(2) Any relevant data furnished by another railroad;
(3) Any relevant data furnished by a governmental agency concerning
the person's motor vehicle driving record; and

[[Page 408]]

(4) Any relevant data furnished by the person seeking certification
concerning his or her eligibility.
(c) The information concerning vision and hearing acuity that the
railroad shall retain includes:
(1) The relevant test results data concerning acuity; and,
(2) If applicable, the relevant data concerning the professional
opinion of the railroad's medical examiner on the adequacy of the
person's acuity.
(d) The information concerning demonstrated knowledge that the
railroad shall retain includes:
(1) Any relevant data from the railroad's records concerning the
person's success or failure of the passage of knowledge test(s); and
(2) A sample copy of the written knowledge test or tests
administered.
(e) The information concerning demonstrated performance skills that
the railroad shall retain includes:
(1) The relevant data from the railroad's records concerning the
person's success or failure on the performance skills test(s) that
documents the relevant operating facts on which the evaluation is based
including the observations and evaluation of the designated supervisor
of locomotive engineers;
(2) If a railroad relies on the use of a locomotive operations
simulator to conduct the performance skills testing required under this
part, the relevant data from the railroad's records concerning the
person's success or failure on the performance skills test(s) that
documents the relevant operating facts on which the determination was
based including the observations and evaluation of the designated
supervisor of locomotive engineers; and;
(3) The relevant data from the railroad's records concerning the
person's success or failure on tests the railroad performed to monitor
the engineer's operating performance in accordance with Sec. 240.129.
(f) If a railroad is relying on successful completion of an approved
training program conducted by another entity, the relying railroad shall
maintain a record for each certified engineer that contains the relevant
data furnished by the training entity concerning the person's
demonstration of knowledge and performance skills and relied on by the
railroad in making its determinations.
(g) If a railroad is relying on a certification decision initially
made by another railroad, the relying railroad shall maintain a record
for each certified engineer that contains the relevant data furnished by
the other railroad which it relied on in making its determinations.
(h) All records required under this section shall be retained for a
period of six years from the date of the certification, recertification,
denial or revocation decision and shall be made available to FRA
representatives upon request during normal business hours.
(i) It shall be unlawful for any railroad to knowingly or any
individual to willfully:
(1) Make, cause to be made, or participate in the making of a false
entry on the record(s) required by this section; or
(2) Otherwise falsify such records through material misstatement,
omission, or mutilation.
(j) Nothing in this section precludes a railroad from maintaining
the information required to be retained under this section in an
electronic format provided that:
(1) The railroad adequately limits and controls those who have
access to such information;
(2) The railroad employs a system for data storage that permits
reasonable access and retrieval of the information in usable format when
requested to furnish data by FRA representatives; and
(3) Information retrieved from the system can be easily produced in
a printed format which can be readily provided to FRA representatives
and authenticated by a designated representative of the railroad as a
true and accurate copy of the railroad's records if requested to do so
by FRA representatives.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993]

Sec. 240.217 Time limitations for making determinations.

(a) After the pertinent date in paragraph (e), (f) or (g) of
Sec. 240.201, a railroad shall not certify or recertify a

[[Page 409]]

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) of this section do not
apply to a railroad that is making a certification decision in reliance
on determinations made by another railroad in accordance with paragraph
(c)(2) of this section, Sec. 240.227, or Sec. 240.229.
(c) Except as provided in Sec. 240.201 concerning implementation
dates for initial certification decisions and paragraph (b) of this
section, no railroad shall:
(1) Certify a person as a qualified locomotive engineer for an
interval of more than 36 months; or
(2) Rely on a certification issued by another railroad that is more
than 12 months old.
(d) Except as provided for in Sec. 240.201 concerning initial
implementation of the program, a railroad shall issue each person
designated as a certified locomotive engineer a certificate that
complies with Sec. 240.223 no later than 30 days from the date of its
decision to certify or recertify that person.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993; 60
FR 53137, Oct. 12, 1995]

Sec. 240.219 Denial of certification.

(a) A railroad shall notify a candidate for certification or
recertification of information known to the railroad that forms the
basis for denying the person certification and provide the person a
reasonable opportunity to explain or rebut that adverse information in
writing prior to denying certification.
(b) This section does not require further opportunity to comment if
the railroad's denial is based solely on factors addressed by
Secs. 240.115, 240.117, and 240.119 and the opportunity to comment
afforded by those sections has been provided.
(c) If it denies a person certification or recertification, a
railroad shall notify the person of the adverse decision and explain, in
writing, the basis for its denial decision. The document explaining the
basis for the denial shall be mailed or delivered to the person within
10 days after the railroad's decision and shall give the date of the
decision.

Sec. 240.221 Identification of qualified persons.

(a) After November 1, 1991, a railroad shall maintain a written
record identifying each person designated by it as a supervisor of
locomotive engineers.
(b) After November 1, 1991, a railroad shall maintain a written
record identifying each person designated as a certified locomotive
engineer. That listing of certified engineers shall indicate the class
of service the railroad determines each person is qualified to perform
and date of the railroad's certification decision.
(c) If a railroad is responsible for controlling joint operations
territory, the listing shall include person(s) certified in accordance
with Sec. 240.229.
(d) The listing required by paragraphs (a), (b), and (c) shall be
updated at least annually.
(e) The record required under this section shall be kept at the
divisional or regional headquarters of the railroad and shall be
available for inspection or copying by FRA during regular business
hours.
(f) A railroad may obtain approval from FRA to maintain this record
electronically or maintain this record at the railroad's general
offices, or both. Requests for such approval shall be

[[Page 410]]

filed in writing with the Associate Administrator for Safety and contain
sufficient information to explain how FRA will be given access to the
data that is fully equivalent to that created by compliance with
paragraph (e).

Sec. 240.223 Criteria for the certificate.

(a) As a minimum, each certificate issued in compliance with this
part shall:
(1) Identify the railroad that is issuing it;
(2) Indicate that the railroad, acting in conformity with this part,
has determined that the person to whom it is being issued has been
determined to be qualified to operate a locomotive;
(3) Identify the person to whom it is being issued (including the
person's name, date of birth and employee identification number, and
either a physical description or photograph of the person);
(4) Identify any conditions or limitations, including the class of
service or conditions to ameliorate vision or hearing acuity
deficiencies, that restrict the person's operational authority;
(5) Show the date of its issuance;
(6) Be signed by a supervisor of locomotive engineers or other
individual designated in accordance with paragraph (b) of this section;
(7) Show the date of the person's last operational monitoring event
as required by Sec. 240.129(c) and Sec. 240.303(b), unless that
information is reflected on supplementary documents which the locomotive
engineer has in his or her possession when operating a locomotive; and
(8) Be of sufficiently small size to permit being carried in an
ordinary pocket wallet.
(b) Each railroad to which this part applies shall designate in
writing any person, other than a supervisor of locomotive engineers,
that it authorizes to sign the certificates described in this section.
The designation can identify such persons by name or job title.
(c) Nothing in paragraph (a) of this section shall prohibit any
railroad from including additional information on the certificate or
supplementing the certificate through other documents.
(d) It shall be unlawful for any railroad to knowingly or any
individual to willfully:
(1) Make, cause to be made, or participate in the making of a false
entry on that certificate; or
(2) Otherwise falsify that certificate through material
misstatement, omission, or mutilation.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993]

Sec. 240.225 Reliance on qualification determinations made by other railroads.

After December 31, 1991, any railroad that is considering
certification of a person as a qualified engineer may rely on
determinations made by another railroad concerning that person's
qualifications. A railroad relying on another's certification shall
determine that:
(a) The prior certification is still valid in accordance with the
provisions of Secs. 240.201, 240.217, and 240.307;
(b) The prior certification was for the same classification of
locomotive or train service being issued under this section;
(c) The person has received training on and visually observed the
physical characteristics of the new territory in accordance with
Sec. 240.123;
(d) The person has demonstrated the necessary knowledge concerning
its operating rules in accordance with Sec. 240.125.
(e) The person has demonstrated the necessary performance skills
concerning its operating rules in accordance with Sec. 240.127.

Sec. 240.227 Reliance on qualification requirements of other countries.

(a) A railroad that conducts joint operations with a Canadian
railroad may certify, for the purposes of compliance with this part,
that a person is qualified to be a locomotive or train service engineer
provided it determines that:
(1) The person is employed by the Canadian railroad; and
(2) The person meets or exceeds the qualifications standards issued
by Transport Canada for such service.
(b) Any Canadian railroad that is required to comply with this
regulation may certify that a person is qualified

[[Page 411]]

to be a locomotive or train service engineer provided it determines
that:
(1) The person is employed by the Canadian railroad; and
(2) The person meets or exceeds the qualifications standards issued
by Transport Canada for such service.

Sec. 240.229 Requirements for joint operations territory.

(a) Except for minimal joint operations provided for in paragraph
(f) of this section, no railroad that is responsible for controlling the
conduct of joint operations with another railroad shall permit or
require any person to operate a locomotive in any class of train or
engine service unless that person has been certified as a qualified
locomotive engineer for the purposes of joint operations and issued a
certificate that complies with Sec. 240.223.
(b) Each railroad that is responsible for controlling the conduct of
joint operations with another railroad shall certify a person as a
qualified locomotive engineer for the purposes of joint operations
either by making the determinations required under subpart C of this
part or by relying on the certification issued by another railroad under
this part.
(c) If the controlling railroad relies on the certification issued
by another railroad, the controlling railroad shall determine:
(1) That the person has been certified as a qualified engineer under
the provisions of this part by the railroad which employs that
individual;
(2) That the person certified as a locomotive engineer by the other
railroad has demonstrated the necessary knowledge concerning the
controlling railroad's operating rules, if the rules are different;
(3) That the person certified as a locomotive engineer by the other
railroad has the necessary operating skills concerning the joint
operations territory; and
(4) That the person certified as a locomotive engineer by the other
railroad has the necessary familiarity with the physical characteristics
for the joint operations territory.
(d) A railroad that controls joint operations and certifies
locomotive engineers from a different railroad may comply with the
requirements of paragraph (a) of this section by noting its supplemental
certification decision on the original certificate as provided for in
Sec. 240.223(c).
(e) A railroad responsible for controlling the conduct of joint
operations with another railroad shall be deemed to be in compliance
with paragraph (a) of this section when it provides a qualified person
to accompany a locomotive engineer who lacks joint operations
certification during that engineer's operations in joint operations
territory. As used in this section qualified person means either a
designated supervisor of locomotive engineers or a certified train
service engineer determined by the controlling railroad to have the
necessary knowledge concerning the controlling railroad's operating
rules and to have the necessary operating skills including familiarity
with its physical characteristics concerning the joint operations
territory.
(f) A railroad that is responsible for controlling the conduct of
joint operations with another railroad may permit a certified locomotive
engineer to operate a locomotive in any class of train or engine service
without determining that the person has been certified as a qualified
locomotive engineer for the purposes of joint operations when a minimal
joint operation is involved. For the purposes of this section a minimal
joint operation exists when a locomotive or train belonging to one
railroad is being operated on the same track on which operations are
conducted by the railroad controlling operations, under the following
conditions:
(1) The maximum authorized speed for operations on the track does
not exceed 20 miles per hour;
(2) The track is other than a main track;
(3) Operations are conducted under operating rules that require
every locomotive and train to proceed at a speed that permits stopping
within one half the range of vision of the locomotive engineer; and
(4) The maximum distance for joint operations on the track does not
exceed one mile.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993]

[[Page 412]]

Subpart D--Administration of the Certification Programs

Sec. 240.301 Replacement of certificates.

A railroad shall have a system for the prompt replacement of lost,
stolen or mutilated certificates and that system shall be reasonably
accessible to certified locomotive engineers in need of a replacement
certificate.

Sec. 240.303 Operational monitoring requirements.

(a) After December 31, 1991, each railroad to which this part
applies shall, prior to FRA approval of its program in accordance with
Sec. 240.201, have a program to monitor the conduct of its certified
locomotive engineers by performing both operational monitoring
observations and by conducting unannounced operating rules compliance
tests.
(b) The program shall be conducted so that each locomotive engineer
shall be given at least one operational monitoring observation by a
qualified supervisor of locomotive engineers in each calendar year.
(c) The program shall be conducted so that each locomotive engineer
shall be given at least one unannounced compliance test each calendar
year.
(d) The unannounced test program shall:
(1) Test engineer compliance with one or more provisions of the
railroad's operating rules that require response to signals that display
less than a ``clear'' aspect, if the railroad operates with a signal
system that must comply with part 236 of this chapter;
(2) Test engineer compliance with one or more provisions of the
railroad's operating rules, timetable or other mandatory directives that
require affirmative response by the locomotive engineer to less
favorable conditions than that which existed prior to initiation of the
test;
(3) Test engineer compliance with provisions of the railroad's
operating rules, timetable or other mandatory directives the violations
of which by engineers were cited by the railroad as the cause of train
accidents or train incidents in accident reports filed in compliance
with part 225 of this chapter for the preceding year;
(4) Be conducted that so that the administration of these tests is
effectively distributed throughout whatever portion of a 24-hour day
that the railroad conducts its operations;
(5) Be conducted so that individual tests are administered without
prior notice to the locomotive engineer being tested; and
(6) Be conducted so that the results of the test are recorded on the
certificate and entered on the record established under Sec. 240.215
within 30 days of the day the test is administered.

Sec. 240.305 Prohibited conduct.

After December 31, 1991,
(a) It shall be unlawful to:
(1) Operate a locomotive or train at a speed that exceeds the
maximum authorized limit by at least 10 miles per hour or by more than
one half of the authorized speed, whichever is less;
(2) Operate a locomotive or train past any signal, without
completely stopping the locomotive or train, when that signal requires a
complete stop before passing it; or
(3) Fail to comply with any mandatory directive concerning the
movement of a locomotive or train by occupying a segment of main track
without authority.
(b) Each locomotive engineer who has received a certificate required
under this part shall:
(1) Have that certificate in his or her possession while on duty as
an engineer; and
(2) Display that certificate upon the receipt of a request to do so
from
(i) A representative of the Federal Railroad Administration,
(ii) An officer of the issuing railroad, or
(iii) An officer of another railroad when operating a locomotive or
train in joint operations territory.
(c) Any locomotive engineer who is notified or called to operate a
locomotive or train and such operation would cause the locomotive
engineer to exceed certificate limitations, set forth in accordance with
subpart B of this part, shall immediately notify the railroad that he or
she is not qualified to perform that anticipated service and it shall be
unlawful for the railroad to require such service.

[[Page 413]]

(d) During the duration of any certification interval, a locomotive
engineer who has a current certificate from more than one railroad shall
immediately notify the other certifying railroad(s) if he or she is
denied recertification by a railroad or has his or her certification
revoked by a railroad.
(e) Nothing in this section shall be deemed to alter a certified
locomotive engineer's duty to comply with other provisions of this
chapter concerning railroad safety.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19004, Apr. 9, 1993]

Sec. 240.307 Revocation of certification.

(a) Except as provided for in Sec. 240.119(e), a railroad that
certifies or recertifies a person as a qualified locomotive engineer
and, during the period that certification is valid, acquires information
which convinces the railroad that the person no longer meets the
qualification requirements of this Part, shall revoke the person's
certificate as a qualified locomotive engineer.
(b) Pending a revocation determination under this section, the
railroad shall:
(1) Upon receipt of reliable information indicating the person's
lack of qualification under this part, immediately suspend the person's
certificate;
(2) Prior to or upon suspending the person, provide notice of the
reason for this suspension, the pending revocation, and an opportunity
for hearing before a presiding officer other than the charging official;
(3) Convene the hearing within the deadline prescribed by either
paragraph (c)(1) of this section or the applicable collective bargaining
agreement as permitted under paragraph (d) of this section;
(4) Determine, on the record of the hearing, whether the person no
longer meets the qualification requirements of this part stating
explicitly the basis for the conclusion reached;
(5) When appropriate, impose the pertinent period of revocation
provided for in Sec. 240.117 or Sec. 240.119; and
(6) Retain the record of the hearing for 3 years after the date the
decision is rendered.
(c) Except as provided for in paragraphs (d) and (f) of this
section, a hearing required by this section shall be conducted in
accordance with the following procedures:
(1) The hearing shall be convened within 10 days of the date the
certificate is suspended unless the locomotive engineer requests or
consents to delay in the start of the hearing.
(2) The hearing shall be conducted by a presiding officer, who can
be any qualified person authorized by the railroad other than the
charging officer.
(3) The presiding officer will exercise the powers necessary to
regulate the conduct of the hearing for the purpose of achieving a
prompt and fair determination of all material issues in controversy.
(4) The presiding officer shall convene and preside over the
hearing.
(5) Testimony by witnesses at the hearing shall be recorded
verbatim.
(6) All relevant and probative evidence shall be received unless the
presiding officer determines the evidence to be unduly repetitive or so
extensive and lacking in relevancy that its admission would impair the
prompt, orderly, and fair resolution of the proceeding.
(7) The presiding officer may:
(i) Adopt any needed procedures for the submission of evidence in
written form;
(ii) Examine witnesses at the hearing;
(iii) Convene, recess, adjourn or otherwise regulate the course of
the hearing; and
(iv) Take any other action authorized by or consistent with the
provisions of this part and permitted by law that may expedite the
hearing or aid in the disposition of the proceeding.
(8) Parties may appear and be heard on their own behalf or through
designated representatives. Parties may offer relevant evidence
including testimony and may conduct such examination of witnesses as may
be required for a full disclosure of the relevant facts.
(9) The record in the proceeding shall be closed at conclusion of
the hearing unless the presiding officer allows additional time for the
submission of information. In such instances the record

[[Page 414]]

shall be left open for such time as the presiding officer grants for
that purpose.
(10) At the close of the record, the presiding officer shall prepare
a written decision in the proceeding.
(11) The decision shall:
(i) Contain the findings of fact as well as the basis therefor,
concerning all material issues of fact presented on the record; and
(ii) Be served on the employee.
(12) The railroad shall have the burden of proving that the
locomotive engineer's conduct was not in compliance with the applicable
railroad operating rule or practice or part 219 of this chapter.
(d) A hearing required by this section which is conducted in a
manner that conforms procedurally to the applicable collective
bargaining agreement shall be deemed to satisfy the procedural
requirements of this section.
(e) A hearing required under this section may be consolidated with
any disciplinary or other hearing arising from the same facts, but in
all instances the presiding officer for the hearing shall make separate
findings as to the revocation required under this section.
(f) A person may waive the right to the hearing provided under this
section. That waiver shall:
(1) Be made in writing;
(2) Reflect the fact that the person has knowledge and understanding
of these rights and voluntarily surrenders them; and
(3) Be signed by the person making the waiver.
(g) A railroad that has relied on the certification by another
railroad under the provisions of Sec. 240.227 or Sec. 240.229, shall
revoke its certification if, during the period that certification is
valid, the railroad acquires information which convinces it that another
railroad has revoked its certification after determining, in accordance
with the provisions of this section, that the person no longer meets the
qualification requirements of this part. The requirement to provide a
hearing under this section is satisfied when any single railroad holds a
hearing and no additional hearing is required prior to a revocation by
more than one railroad arising from the same facts.
(h) The period of certificate suspension prior to the commencement
of a hearing required under this section shall be credited towards
satisfying any applicable revocation period imposed in accordance with
the provisions of Sec. 240.117.

[58 FR 19004, Apr. 9, 1993, as amended at 60 FR 53137, Oct. 12, 1995]

Sec. 240.309 Railroad oversight responsibilities.

(a) No later than March 31 of each year (beginning in calendar year
1993), each Class I railroad (including the National Railroad Passenger
Corporation and a railroad providing commuter service) and Class II
railroad shall conduct a formal annual review and analysis concerning
the administration of its program for responding to detected instances
of poor safety conduct by certified locomotive engineers during the
prior calendar year.
(b) Each review and analysis shall involve:
(1) The number and nature of the instances of detected poor safety
conduct including the nature of the remedial action taken in response
thereto;
(2) The number and nature of FRA reported train accidents attributed
to poor safety performance by locomotive engineers;
(3) The number and type of operational monitoring test failures and
observations of inadequate skill performance recorded by supervisors of
locomotive engineers; and
(4) If it conducts joint operations with another railroad, the
number of locomotive engineers employed by such other railroad(s) to
which such events were ascribed which the controlling railroad certified
for joint operations purposes.
(c) Based on that review and analysis each railroad shall determine
what action(s) it will take to improve the safety of train operations to
reduce or eliminate future incidents of that nature.
(d) If requested in writing by FRA, the railroad shall provide a
report of the findings and conclusions reached during such annual review
and analysis effort.
(e) For reporting purposes, the nature of detected poor safety
conduct

[[Page 415]]

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.

Subpart E--Dispute Resolution Procedures

Sec. 240.401 Review board established.

(a) Any person who has been denied certification, denied
recertification, or has had his or her certification revoked and
believes that a railroad incorrectly

[[Page 416]]

determined that he or she failed to meet the qualification requirements
of this regulation when making the decision to deny or revoke
certification, may petition the Federal Railroad Administrator to review
the railroad's decision.
(b) The Federal Railroad Administrator has delegated initial
responsibility for adjudicating such disputes to the Locomotive Engineer
Review Board.
(c) The Locomotive Engineer Review Board shall be composed of at
least three employees of the Federal Railroad Administration selected by
the Administrator.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19005, Apr. 9, 1993]

Sec. 240.403 Petition Requirements.

(a) To obtain review of a railroad's decision to deny certification,
deny recertification, or revoke certification, a person shall file a
petition for review that complies with this section.
(b) Each petition shall:
(1) Be in writing;
(2) Be submitted in triplicate to the Docket Clerk, Federal Railroad
Administration, 400 Seventh Street SW., Washington, DC, 20590;
(3) Contain all available information that the person thinks
supports the person's belief that the railroad acted improperly,
including:
(i) The petitioner's full name;
(ii) The petitioner's current mailing address;
(iii) The petitioner's daytime telephone number;
(iv) The name and address of the railroad; and
(v) The facts that the petitioner believes constitute the improper
action by the railroad, specifying the locations, dates, and identities
of all persons who were present or involved in the railroad's actions
(to the degree known by the petitioner);
(4) Explain the nature of the remedial action sought;
(5) Be supplemented by a copy of all written documents in the
petitioner's possession that document that railroad's decision; and
(6) Be filed in a timely manner.
(c) A petition seeking review of a railroad's decision to deny
certification or recertification filed with FRA more than 180 days after
the date of the railroad's denial decision will be denied as untimely.
(d) A petition seeking review of a railroad's decision to revoke
certification in accordance with the procedures required by Sec. 240.307
filed with FRA more than 180 days after the date of the railroad's
revocation decision will be denied as untimely.

Sec. 240.405 Processing qualification review petitions.

(a) Each petition shall be acknowledged in writing by FRA and the
acknowledgement shall contain the docket number assigned to the
petition.
(b) Upon receipt of the petition, FRA will notify the railroad that
it has received the petition and provide the railroad with a copy of the
petition.
(c) The railroad will be given a period of not to exceed 30 days to
submit to FRA any information that the railroad considers pertinent to
the petition.
(d) A railroad that submits such information shall:
(1) Identify the petitioner by name and the docket number of the
review proceeding;
(2) Provide a copy of the information being submitted to FRA to the
petitioner.
(e) Each petition will then be referred to the Locomotive Engineer
Review Board for a decision.
(f) The Board will determine whether the denial or revocation of
certification or recertification was improper under this regulation
(i.e., based on an incorrect determination that the person failed to
meet the qualification requirements of this regulation) and grant or
deny the petition accordingly. The Board will not otherwise consider the
propriety of a railroad's decision, i.e., it will not consider whether
the railroad properly applied its own more stringent requirements.
(g) Notice of that decision will be provided in writing to both the
petitioner and the railroad. The decision will include findings of fact
on which it is based.

[[Page 417]]

Sec. 240.407 Request for a hearing.

(a) If adversely affected by the Locomotive Engineer Review Board
decision, either the petitioner before the Board or the railroad
involved shall have a right to an administrative proceeding as
prescribed by Sec. 240.409.
(b) To exercise that right, the adversely affected party shall file
with the Docket Clerk a written request within 20 days of service of the
Board's decision on that party.
(c) The result of a failure to request a hearing within the period
provided in paragraph (b) of this section is that the Locomotive
Engineer Review Board's decision will constitute final agency action.
(d) If a party elects to request a hearing, that person shall submit
a written request to the Docket Clerk containing the following:
(1) The name, address, and telephone number of the respondent and
the requesting party's designated representative, if any;
(2) The specific factual issues, industry rules, regulations, or
laws that the requesting party alleges need to be examined in connection
with the certification decision in question; and
(3) The signature of the requesting party or the requesting party's
representative, if any.
(e) Upon receipt of a hearing request complying with paragraph (d)
of this section, FRA shall arrange for the appointment of a presiding
officer who shall schedule the hearing for the earliest practicable
date.

[60 FR 53137, Oct. 12, 1995]

Sec. 240.409 Hearings.

(a) An administrative hearing for a locomotive engineer
qualification petition shall be conducted by a presiding officer, who
can be any person authorized by the Administrator, including an
administrative law judge.
(b) The presiding officer may exercise the powers of the
Administrator to regulate the conduct of the hearing for the purpose of
achieving a prompt and fair determination of all material issues in
controversy.
(c) The presiding officer shall convene and preside over the
hearing. The hearing shall be a de novo hearing to find the relevant
facts and determine the correct application of this part to those facts.
The presiding officer may determine that there is no genuine issue
covering some or all material facts and limit evidentiary proceedings to
any issues of material fact as to which there is a genuine dispute.
(d) The presiding officer may authorize discovery of the types and
quantities which in the presiding officer's discretion will contribute
to a fair hearing without unduly burdening the parties. The presiding
officer may impose appropriate non-monetary sanctions, including
limitations as to the presentation of evidence and issues, for any
party's willful failure or refusal to comply with approved discovery
requests.
(e) Every petition, motion, response, or other authorized or
required document shall be signed by the party filing the same, or by a
duly authorized officer or representative of record, or by any other
person. If signed by such other person, the reason therefor must be
stated and the power of attorney or other authority authorizing such
other person to subscribe the document must be filed with the document.
The signature of the person subscribing any document constitutes a
certification that he or she has read the document; that to the best of
his or her knowledge, information and belief every statement contained
in the document is true and no such statements are misleading; and that
it is not interposed for delay or to be vexatious.
(f) After the request for a hearing is filed, all documents filed or
served upon one party must be served upon all parties. Each party may
designate a person upon whom service is to be made when not specified by
law, regulation, or directive of the presiding officer. If a party does
not designate a person upon whom service is to be made, then service may
be made upon any person having subscribed to a submission of the party
being served, unless otherwise specified by law, regulation, or
directive of the presiding officer. Proof of service shall accompany all
documents when they are tendered for filing.

[[Page 418]]

(g) If any document initiating, filed, or served in, a proceeding is
not in substantial compliance with the applicable law, regulation, or
directive of the presiding officer, the presiding officer may strike or
dismiss all or part of such document, or require its amendment.
(h) Any party to a proceeding may appear and be heard in person or
by an authorized representative.
(i) Any person testifying at a hearing or deposition may be
accompanied, represented, and advised by an attorney or other
representative, and may be examined by that person.
(j) Any party may request to consolidate or separate the hearing of
two or more petitions by motion to the presiding officer, when they
arise from the same or similar facts or when the matters are for any
reason deemed more efficiently heard together.
(k) Except as provided in Sec. 240.407(c) of this part and paragraph
(u)(4) of this section, whenever a party has the right or is required to
take action within a period prescribed by this part, or by law,
regulation, or directive of the presiding officer, the presiding officer
may extend such period, with or without notice, for good cause, provided
another party is not substantially prejudiced by such extension. A
request to extend a period which has already expired may be denied as
untimely.
(l) An application to the presiding officer for an order or ruling
not otherwise specifically provided for in this part shall be by motion.
The motion shall be filed with the presiding officer and, if written,
served upon all parties. All motions, unless made during the hearing,
shall be written. Motions made during hearings may be made orally on the
record, except that the presiding officer may direct that any oral
motion be reduced to writing. Any motion shall state with particularity
the grounds therefor and the relief or order sought, and shall be
accompanied by any affidavits or other evidence desired to be relied
upon which is not already part of the record. Any matter submitted in
response to a written motion must be filed and served within fourteen
(14) days of the motion, or within such other period as directed by the
presiding officer.
(m) Testimony by witnesses at the hearing shall be given under oath
and the hearing shall be recorded verbatim. The presiding officer shall
give the parties to the proceeding adequate opportunity during the
course of the hearing for the presentation of arguments in support of or
in opposition to motions, and objections and exceptions to rulings of
the presiding officer. The presiding officer may permit oral argument on
any issues for which the presiding officer deems it appropriate and
beneficial. Any evidence or argument received or proffered orally shall
be transcribed and made a part of the record. Any physical evidence or
written argument received or proffered shall be made a part of the
record, except that the presiding officer may authorize the substitution
of copies, photographs, or descriptions, when deemed to be appropriate.
(n) The presiding officer shall employ the Federal Rules of Evidence
for United States Courts and Magistrates as general guidelines for the
introduction of evidence. Notwithstanding paragraph (m) of this section,
all relevant and probative evidence shall be received unless the
presiding officer determines the evidence to be unduly repetitive or so
extensive and lacking in relevancy that its admission would impair the
prompt, orderly, and fair resolution of the proceeding.
(o) The presiding officer may:
(1) Administer oaths and affirmations;
(2) Issue subpoenas as provided for in Sec. 209.7 of part 209 in
this chapter;
(3) Adopt any needed procedures for the submission of evidence in
written form;
(4) Examine witnesses at the hearing;
(5) Convene, recess, adjourn or otherwise regulate the course of the
hearing; and
(6) Take any other action authorized by or consistent with the
provisions of this part and permitted by law that may expedite the
hearing or aid in the disposition of the proceeding.
(p) The petitioner before the Locomotive Engineer Review Board, the
railroad involved in taking the certification action, and FRA shall be
parties at the hearing. All parties may participate in the hearing and
may appear

[[Page 419]]

and be heard on their own behalf or through designated representatives.
All parties may offer relevant evidence, including testimony, and may
conduct such cross-examination of witnesses as may be required to make a
record of the relevant facts.
(q) The party requesting the administrative hearing shall be the
``hearing petitioner.'' The hearing petitioner shall have the burden of
proving its case by a preponderance of the evidence. Hence, if the
hearing petitioner is the railroad involved in taking the certification
action, that railroad will have the burden of proving that its decision
to deny certification, deny recertification, or revoke certification was
correct. Conversely, if the petitioner before the Locomotive Engineer
Review Board is the hearing petitioner, that person will have the burden
of proving that the railroad's decision to deny certification, deny
recertification, or revoke certification was incorrect. Between the
petitioner before the Locomotive Engineer Review Board and the railroad
involved in taking the certification action, the party who is not the
hearing petitioner will be a respondent.
(r) FRA will be a mandatory party to the administrative hearing. At
the start of each proceeding, FRA will be a respondent.
(s) The record in the proceeding shall be closed at the conclusion
of the evidentiary hearing unless the presiding officer allows
additional time for the submission of additional evidence. In such
instances the record shall be left open for such time as the presiding
officer grants for that purpose.
(t) At the close of the record, the presiding officer shall prepare
a written decision in the proceeding.
(u) The decision:
(1) Shall contain the findings of fact and conclusions of law, as
well as the basis for each concerning all material issues of fact or law
presented on the record;
(2) Shall be served on the hearing petitioner and all other parties
to the proceeding;
(3) Shall not become final for 35 days after issuance;
(4) Constitutes final agency action unless an aggrieved party files
an appeal within 35 days after issuance; and
(5) Is not precedential.

[60 FR 53137, Oct. 12, 1995]

Sec. 240.411 Appeals.

(a) Any party aggrieved by the presiding officer's decision may file
an appeal. The appeal must be filed within 35 days of issuance of the
decision with the Federal Railroad Administrator, 400 Seventh Street
SW., Washington, DC 20590. A copy of the appeal shall be served on each
party. The appeal shall set forth objections to the presiding officer's
decision, supported by reference to applicable laws and regulations and
with specific reference to the record. If no appeal is timely filed, the
presiding officer's decision constitutes final agency action.
(b) A party may file a reply to the appeal within 25 days of service
of the appeal. The reply shall be supported by reference to applicable
laws and regulations and with specific reference to the record, if the
party relies on evidence contained in the record.
(c) The Administrator may extend the period for filing an appeal or
a response for good cause shown, provided that the written request for
extension is served before expiration of the applicable period provided
in this section.
(d) The Administrator has sole discretion to permit oral argument on
the appeal. On the Administrator's own initiative or written motion by
any party, the Administrator may grant the parties an opportunity for
oral argument.
(e) The Administrator may affirm, reverse, alter or modify the
decision of the presiding officer and the Administrator's decision
constitutes final agency action.

[56 FR 28254, June 19, 1991, as amended at 60 FR 53138, Oct. 12, 1995]

[[Page 420]]

Appendix A to Part 240--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
Subpart B--Component Elements
240.101--Program Failures
(a) Failure to have program................... $5,000 $10,000
(b) Program that fails to address a subject... 2,500 5,000
240.103--Failure to:
(a) follow Appendix B......................... 1,000 2,000
(d) to resubmit, when directed by FRA......... 1,000 2,000
240.105--Failure to have adequate procedure for
selection of supervisors....................... 2,500 5,000
240.107--Classes of Service
(a) Failure to designate classes of service... 2,000 4,000
240.109--Limitations on considering prior
conduct records
(a) Failure to have procedure for determining
eligibility.................................. 2,500 5,000
(e) Considering excluded data................. 2,000 4,000
(f,g) Failure to provide timely review
opportunity.................................. 2,000 4,000
240.111--Furnishing Motor Vehicle Records
(a) Failure to action required to make
information available........................ 1,000 2,000
(b) Failure to request
(1) local record............................ 1,000 2,000
(2) NDR record.............................. 1,000 2,000
(f) Failure to request additional record...... 1,000 2,000
(e) Failure to notify of absence of license... 750 1,500
(h) Failure to submit request in timely manner 750 1,500
240.113--Furnishing prior employment information
(a) Failure to take action required to make
information available........................ 1,000 2,000
(b) Failure to request record................. 1,000 2,000
240.115--Criteria for considering prior motor
vehicle conduct
(b) Considering excluded data................. 2,000 4,000
(c) Failure to
(1) consider data........................... 5,000 7,500
(3,4) properly act in response to data...... 2,500 5,000
240.117--Consideration of operational rules
compliance records
(a) Failure to have program and procedures.... 5,000 10,000
(b-d) Failure to have adequate program or
procedure.................................... 2,500 5,000
240.119--Consideration of substance abuse /rules
compliance records
(a) Failure to have program and procedures.... 5,000 10,000
(b-e) Failure to have adequate program or
procedure.................................... 2,500 5,000
240.121--Failure to have adequate procedure for
determining acuity............................. 2,500 5,000
240.123--Failure to have
(a) adequate procedures for continuing
education.................................... 2,500 5,000
(b) adequate procedures for training new
engineers.................................... 2,500 5,000
240.125--Failure to have
(a) adequate procedures for testing knowledge. 2,500 5,000
(d) adequate procedures for documenting
testing...................................... 2,500 5,000
240.127--Failure to have
(a) adequate procedures for evaluatinq skill
performance.................................. 2,500 5,000
(c) adequate procedures for documentinq skills
testing...................................... 2,500 5,000
240.129--Failure to have
(a-b) adequate procedures for monitoring
performance.................................. 2,500 5,000
Subpart C--Implementation of the Process
240.201--Schedule for implementation
(a) Failure to select supervisors by specified
date......................................... 1,000 2,000
(b) Failure to identify grandfathered
engineers.................................... 2,000 4,000
(c) Failure to issue certificate to engineer.. 1,000 2,000
(d) Allowing uncertified person to operate.... 5,000 10,000
(e-g) Certifying without complying with
subpart C.................................... 2,500 5,000
(h-i) Failure to issue certificate to engineer 1,000 2,000
240.203 (a) Designating a person as a supervisor
without determining that
(1) person knows and understands this part.. 2,500 5,000
(2) person can test and evaluate engineers.. 5,000 7,500
(3) person has experience to prescribe
remedies................................... 2,500 5,000
(b) Certifying a person without determining
that
(1) person meets the eligibility criteria... 5,000 7,500
(2) person meets the medical criteria....... 2,500 5,000
(3) person has demonstrated knowledge....... 2,500 5,000
(4) person has demonstrated skills.......... 2,500 5,000
(c) Certifying a person without determining
that
(1) person has completed training program... 2,500 5,000
(2) person meets the eligibility criteria... 2,500 5,000
(3) time has elapsed........................ 2,500 5,000
240.205--Procedures for determining eligibility
based on prior safety conduct
(a) Selecting person lacking eligibility...... 5,000 7,500

[[Page 421]]

(d) Failure to have basis for taking action... 2,500 5,000
240.207--Ineligibility based on medical
condition
(a) Selecting person lacking proper acuity.... 2,000 4,000
(b) Failure to have basis for finding of
proper acuity................................ 1,000 2,000
(c) Acuity examinations performed by
unauthorized person.......................... 1,000 2,000
(d) Failure to note need for device to achieve
acuity....................................... 1,000 2,000
(e) Failure to use device needed for proper
acuity....................................... 1,000 2,000
240.209--Demonstrating knowledge
(b) Failure to properly determine knowledge... 2,500 5,000
(c) Improper test procedure................... 2,000 4,000
(d) Failure to document test results.......... 1,000 2,000
(e) Allowing person to operate despite test
failure...................................... 2,500 5,000
240.211--Demonstrating skills
(b) Failure to properly determine knowledge... 2,500 5,000
(c) Improper test procedure................... 2,000 4,000
(d) Failure to document test results.......... 1,000 2,000
(e) Allowing person to operate despite test
failure...................................... 2,500 5,000
240.213--Completion of approved training program
(a) Failure to properly determine............. 2,500 5,000
(b) Failure to document successful program
completion................................... 2,000 4,000
240.215--Supporting information
(a, f-h) Failure to have a record............. 1,000 2,000
(b) Failure to have complete record........... 500 1,000
(i) Falsification of record................... (-) 10,000
240.217--Time limits for making determinations
(a, c) Exceeding time limit................... 2,000 4,000
240.219--Denial of certification
(a) Failure to notify or provide opportunity
for comment.................................. 2,000 4,000
(c) Failure to notify, provide data, or
untimely notification........................ 2,000 4,000
240.221--Identification of persons
(a-c) Failure to have a record................ 2,000 4,000
(d) Failure to update a record................ 2,000 4,000
(e-f) Failure to make a record available...... 1,000 2,000
240.223--Certificate criteria
(a) Improper certificate...................... 500 1,000
(b) Failure to designate those with signatory
authority.................................... 500 1,000
(d) Falsification of certificate.............. (-) 10,000
240.225--Railroad Relying on Determination of
Another
(a) Reliance on expired certification......... 2,500 5,000
(b) Reliance on wrong class of service........ 2,500 5,000
(c) Failure to familiarize person with new
operational territory........................ 2,000 4,000
(d) Failure to determine knowledge............ 2,000 4,000
240.227--Railroad Relying on Requirements of a
Different Country
(a) Joint operator reliance
(1) on person not employed.................. 1,000 2,000
(2) on person who fails to meet Canadian
requirements............................... 1,000 2,000
(b) Canadian railroad reliance
(1) on person not employed.................. 1,000 2,000
(2) on person who fails to meet Canadian
requirements............................... 1,000 2,000
240.229--Railroad Controlling Joint Operation
Territory
(a) Allowing uncertified person to operate.... 2,000 4,000
(b) Certifying without making determinations
or relying on another railroad............... 2,500 5,000
(c) Certifying without determining
(1) certification status.................... 2,500 5,000
(2) knowledge............................... 2,500 5,000
(3) skills.................................. 2,500 5,000
(4) familiarity with physical
characteristics............................ 2,000 4,000
(d) Failure to provide qualified person....... 2,000 4,000
Subpart D--Program Administration
240.301--Failure to have system for certificate
replacement 2,000 4,000
240.303--Monitoring operations
(a) Failure to have program................... 5,000 10,000
(b) Failure to observe each person annually... 1,000 2,000
(c) Failure to test each person annually...... 1,000 2,000
(d) Failure to test properly.................. 1,000 2,000
240.305--Prohibited conduct
(a) Unlawful
(1) control of speed........................ 2,500 5,000
(2) passing of stop signal.................. 2,500 5,000
(3) occupancy of main track without
authority.................................. 2,500 5,000
(b) Failure of engineer to
(1) carry certificate....................... 1,000 2,000

[[Page 422]]

(2) display certificate when requested...... 1,000 2,000
(c) Failure of engineer to notify railroad of
limitations or railroad requiring engineer to
exceed limitations........................... 4,000 8,000
(d) Failure of engineer to notify railroad of
denial or revocation......................... 4,000 8,000
240.307--Revocation of certification
(a) Failure to withdraw person from service... 2,500 5,000
(b) Failure to notify, provide hearing
opportunity; or untimely procedures.......... 2,000 4,000
240.309--Oversight responsibility report
(a) Failure to report or to report on time.... 500 1,000
(b-f) Incomplete or inaccurate report......... 2,000 4,000
------------------------------------------------------------------------
\1\A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $20,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.

[56 FR 28254, June 19, 1991, as amended at 60 FR 53138, Oct. 12, 1995]

Appendix B to Part 240--Procedures for Submission and Approval of
Locomotive Engineer Qualification Programs

This appendix establishes procedures for the submission and approval
of a railroad's program concerning the training, testing, and evaluating
of persons seeking certification or recertification as a locomotive
engineer in accordance with the requirements of this part (see
Secs. 240.101, 240.103, 240.105, 240.107, 240.123, 240.125, 240.127 and
240.129). lt also contains guidance on how FRA will exercise its review
and approval responsibilities.

Submission by a Railroad

As provided for in Sec. 240.101, each railroad must have a program
for determining the qualifications of each person it permits or requires
to operate a locomotive. In designing its program a railroad must take
into account the trackage and terrain over which it operates, the
system(s) for train control that are employed, the operational design
characteristics of the track and equipment being operated including
train length, train makeup, and train speeds. Each railroad must submit
its individual program to FRA for approval as provided for in
Sec. 240.103. Each program must be accompanied by a request for approval
organized in accordance with this appendix. Requests for approval must
contain appropriate references to the relevant portion of the program
being discussed. Requests should be submitted in writing on standard
sized paper (8-1/2 x 11) and can be in letter or narrative format. The
railroad's submission shall be sent to the Associate Administrator for
Safety, FRA. The mailing address for FRA is 400 Seventh Street, SW.,
Washington, DC 20590.

Organization of the Submission

Each request should be organized to present the required information
in the following standardized manner. Each section must begin by giving
the name, title, telephone number, and mailing address of the person to
be contacted concerning the matters addressed by that section. If a
person is identified in a prior section, it is sufficient to merely
repeat the person's name in a subsequent section.

Section 1 of the Submission: General Information and Elections

The first section of the request must contain the name of the
railroad, the person to be contacted concerning the request (including
the person's name, title, telephone number, and mailing address) and a
statement electing either to accept responsibility for educating
previously untrained persons to be qualified locomotive engineers or
recertify only engineers previously certified by other railroads (see
Sec. 240.103(b)).
If a railroad elects not to conduct the training of persons not
previously trained to be a locomotive engineer, the railroad is not
obligated to submit information on how the previously untrained will be
trained. A railroad that makes this election will be limited to
recertifying persons initially certified by another railroad. A railroad
that initially elects not to accept responsibility for training its own
locomotive engineers can rescind its initial election by obtaining FRA
approval of a modification of its program (see Sec. 240.103(e)).
If a railroad elects to accept responsibility for conducting the
education of persons not previously trained to be locomotive engineers,
the railroad is obligated to submit information on how such persons will
be trained but has no duty to actually conduct such training. A railroad
that elects to accept the responsibility for the training of such
persons may authorize another railroad or a non-railroad entity to
perform the actual training effort. The electing railroad remains
responsible for assuring that such

[[Page 423]]

other training providers adhere to the training program the railroad
submits.
This section must also state which class or classes of service the
railroad will employ. (See Sec. 240.107).

Section 2 of the Submission: Selection of Supervisors of Locomotive
Engineers

The second section of the request must contain information
concerning the railroad's procedure for selecting the person or persons
it will rely on to evaluate the knowledge, skill, and ability of persons
seeking certification or recertification. As provided for in
Sec. 240.105 each railroad must have a procedure for selecting
supervisors of locomotive engineers which assures that persons so
designated can appropriately test and evaluate the knowledge, skill, and
ability of individuals seeking certification or recertification.
Section 240.105 provides a railroad latitude to select the criteria
and evaluation methodology it will rely on to determine which person or
persons have the required capacity to perform as a supervisor of
locomotive engineers. The railroad must describe in this section how it
will use that latitude and evaluate those it designates as supervisors
of locomotive engineers so as to comply with the performance standard
set forth in Sec. 240.105(b). The railroad must identify, in sufficient
detail to permit effective review by FRA, the criteria for evaluation it
has selected. For example, if a railroad intends to rely on one or more
of the following, a minimum level of prior experience as an engineer,
successful completion of a course of study, or successful passage of a
standardized testing program, the submission must state which criteria
it will employ.

Section 3 of the Submission: Training Persons Previously Certified

The third section of the request must contain information concerning
the railroad's program for training previously certified locomotive
engineers. As provided for in Sec. 240.123(b) each railroad must have a
program for the ongoing education of its locomotive engineers to assure
that they maintain the necessary knowledge concerning personal safety,
operating rules and practices, mechanical condition of equipment,
methods of safe train handling (including familiarity with physical
characteristics), and relevant Federal safety rules.
Section 240.123(b) provides a railroad latitude to select the
specific subject matter to be covered, duration of the training, method
of presenting the information, and the frequency with which the training
will be provided. The railroad must describe in this section how it will
use that latitude to assure that its engineers remain knowledgeable
concerning the safe discharge of their train operation responsibilities
so as to comply with the performance standard set forth in
Sec. 240.123(b). This section must contain sufficient detail to permit
effective evaluation of the railroad's training program in terms of the
subject matter covered, the frequency and duration of the training
sessions, the training environment employed (for example, and use of
classroom, use of computer based training, use of simulators, use of
film or slide presentations, use of on-job-training) and which aspects
of the program are voluntary or mandatory.
Safe train handling involves both abstract knowledge about the
appropriate use of engine controls and the application of that knowledge
to trains of differing composition traversing varying terrain. Time and
circumstances have the capacity to diminish both abstract knowledge and
the proper application of that knowledge to discrete events. Time and
circumstances also have the capacity to alter the value of previously
obtained knowledge and the application of that knowledge. In formulating
how it will use the discretion being afforded, each railroad must design
its program to address both loss of retention of knowledge and changed
circumstances, and this section of the submission to FRA must address
these matters.
For example, locomotive engineers need to have their fundamental
knowledge of train operations refreshed periodically. Each railroad
needs to advise FRA how that need is satisfied in terms of the interval
between attendance at such training, the nature of the training being
provided, and methods for conducting the training. A matter of
particular concern to FRA is how each railroad acts to assure that
engineers remain knowledgeable about safe train handling procedures if
the territory over which a locomotive engineer is authorized to operate
is territory from which the engineer has been absent. The railroad must
have a plan for the familiarization training that addresses the question
of how long a person can be absent before needing more education and,
once that threshold is reached, how the person will acquire the needed
education. Similarly, the program must address how the railroad responds
to changes such as the introduction of new technology, new operating
rule books, or significant changes in operations including alteration in
the territory engineers are authorized to operate over.

Section 4 of the Submission: Testing and Evaluating Persons Previously
Certified

The fourth section of the request must contain information
concerning the railroad's program for testing and evaluating previously
certified locomotive engineers. As provided for in Sec. 240.125 and
Sec. 240.127, each railroad must have a program for the ongoing testing
and evaluating of its locomotive

[[Page 424]]

engineers to assure that they have the necessary knowledge and skills
concerning personal safety, operating rules and practices, mechanical
condition of equipment, methods of safe train handling (including
familiarity with physical characteristics), and relevant Federal safety
rules. Similarly, each railroad must have a program for ongoing testing
and evaluating to assure that its locomotive engineers have the
necessary vision and hearing acuity as provided for in Sec. 240.121.
Sections 240.125 and 240.127 require that a railroad rely on written
procedures for determining that each person can demonstrate his or her
knowledge of the railroad's rules and practices and skill at applying
those rules and practices for the safe operation of a locomotive or
train. Section 240.125 directs that, when seeking a demonstration of the
person's knowledge, a railroad must employ a written test that contains
objective questions and answers and covers the following subject
matters: (i) Personal safety practices; (ii) operating practices; (iii)
equipment inspection practices; (iv) train handling practices (including
familiarity with the physical characteristics of the territory); and (v)
compliance with relevant Federal safety rules. The test must accurately
measure the person's knowledge of all of these areas.
Section 240.125 provides a railroad latitude in selecting the design
of its own testing policies (including the number of questions each test
will contain, how each required subject matter will be covered,
weighting (if any) to be given to particular subject matter responses,
selection of passing scores, and the manner of presenting the test
information). The railroad must describe in this section how it will use
that latitude to assure that its engineers will demonstrate their
knowledge concerning the safe discharge of their train operation
responsibilities so as to comply with the performance standard set forth
in Sec. 240.125.
Section 240.127 directs that, when seeking a demonstration of the
person's skill, a railroad must employ a test and evaluation procedure
conducted by a designated supervisor of locomotive engineers that
contains an objective evaluation of the person's skills at applying the
railroad's rules and practices for the safe operation of trains. The
test and evaluation procedure must examine the person's skills in terms
of all of the following subject matters: (i) Operating practices; (ii)
equipment inspection practices; (iii) train handling practices
(including familiarity with the physical characteristics of the
territory); and (iv) compliance with relevant Federal safety rules. The
test must be sufficient to effectively examine the person's skills while
operating a train in the most demanding type of service which the person
is likely to encounter in the normal course of events once he or she is
deemed qualified.
Section 240.127 provides a railroad latitude in selecting the design
of its own testing and evaluation procedures (including the duration of
the evaluation process, how each required subject matter will be
covered, weighing (if any) to be given to particular subject matter
response, selection of passing scores, and the manner of presenting the
test information). The section should provide information concerning the
procedures which the railroad will follow that achieve the objectives
described in FRA's recommended practices (see appendix E) for conducting
skill performance testing. The section also gives a railroad the
latitude to employ either a Type 1 or a Type 2 simulator (properly
programmed) to conduct the test and evaluation procedure. A railroad
must describe in this section how it will use that latitude to assure
that its engineers will demonstrate their skills concerning the safe
discharge of their train operation responsibilities so as to comply with
the performance standard set forth in Sec. 240.127.
Section 240.121 provides a railroad latitude to rely on the
professional medical opinion of the railroad's medical examiner
concerning the ability of a person with substandard acuity to safely
operate a locomotive. The railroad must describe in this section how it
will assure that its medical examiner has sufficient information
concerning the railroad's operations to effectively form appropriate
conclusions about the ability of a particular individual to safely
operate a train.

Section 5 of the Submission: Training, Testing, and Evaluating Persons
Not Previously Certified

Unless a railroad has made an election not to accept responsibility
for conducting the initial training of persons to be locomotive
engineers, the fifth section of the request must contain information
concerning the railroad's program for educating, testing, and evaluating
persons not previously trained as locomotive engineers. As provided for
in Sec. 240.123(c), a railroad that is issuing an initial certification
to a person to be a locomotive engineer must have a program for the
training, testing, and evaluating of its locomotive engineers to assure
that they acquire the necessary knowledge and skills concerning personal
safety, operating rules and practices, mechanical condition of
equipment, methods of safe train handling (including familiarity with
physical characteristics), and relevant Federal safety rules.
Section 240.123 establishes a performance standard and gives a
railroad latitude in selecting how it will meet that standard. A
railroad must describe in this section how it will use that latitude to
assure that its engineers will acquire sufficient knowledge and skill
and demonstrate their knowledge and skills concerning the safe discharge
of their

[[Page 425]]

train operation responsibilities. This section must contain the same
level of detail concerning initial training programs as that described
for each of the components of the overall program contained in sections
2 through 4 of this appendix. A railroad that plans to accept
responsibility for the initial training of locomotive engineers may
authorize another railroad or a non-railroad entity to perform the
actual training effort. The authorizing railroad may submit a training
program developed by that authorized trainer but the authorizing
railroad remains responsible for assuring that such other training
providers adhere to the training program submitted. Railroads that elect
to rely on other entities, to conduct training away from the railroad's
own trackage, must indicate how the student will be provided with the
required familiarization with the physical characteristics for its
trackage.

Section 6 of the Submission: Monitoring Operational Performance by
Certified Engineers

The final section of the request must contain information concerning
the railroad's program for monitoring the operation of its certified
locomotive engineers. As provided for in Sec. 240.129, each railroad
must have a program for the ongoing monitoring of its locomotive
engineers to assure that they operate their locomotives in conformity
with the railroad's operating rules and practices including methods of
safe train handling and relevant Federal safety rules.
Section 240.129 requires that a railroad annually observe each
locomotive engineer demonstrating his or her knowledge of the railroad's
rules and practices and skill at applying those rules and practices for
the safe operation of a locomotive or train. Section 240.129 directs
that the observation be conducted by a designated supervisor of
locomotive engineers but provides a railroad latitude in selecting the
design of its own observation procedures (including the duration of the
observation process, reliance on tapes that record the specifics of
train operation, and the specific aspects of the engineer's performance
to be covered). The section also gives a railroad the latitude to employ
either a Type 1 or a Type 2 simulator (properly programmed) to conduct
monitoring observations. A railroad must describe in this section how it
will use that latitude to assure that the railroad is monitoring that
its engineers demonstrate their skills concerning the safe discharge of
their train operation responsibilities. A railroad that intends to
employ train operation event recorder tapes to comply with this
monitoring requirement shall indicate in this section how it anticipates
determining what person was at the controls and what signal indications
or other operational constraints, if any, were applicable to the train's
movement.

Section 7 of the Submission: Procedures for Routine Administration of
the Engineer Certification Program

The final section of the request must contain a summary of how the
railroad's program and procedures will implement the various specific
aspects of the regulatory provisions that relate to routine
administration of its certification program for locomotive engineers. At
a minimum this section needs to address the procedural aspects of the
rule's provisions identified in the following paragraph.
Section 240.109 provides that each railroad must have procedures for
review and comment on adverse prior safety conduct, but allows the
railroad to devise its own system within generalized parameters.
Sections 240.115, 240.117 and 240.119 require a railroad to have
procedures for evaluating data concerning prior safety conduct as a
motor vehicle operator and as railroad workers, yet leave selection of
many details to the railroad. Sections 240.203, 240.217, and 240.219
place a duty on the railroad to make a series of determinations but
allow the railroad to select what procedures it will employ to assure
that all of the necessary determinations have been made in a timely
fashion; who will be authorized to conclude that person is or is not
qualified; and how it will communicate adverse decisions. Documentation
of the factual basis the railroad relied on in making determinations
under Secs. 240.205, 240.207, 240.209, 240.211, and 240.213 is required,
but these sections permit the railroad to select the procedures it will
employ to accomplish compliance with these provisions. Sections 240.225
and 240.227 permit reliance on qualification determinations made by
other entities and permit a railroad latitude in selecting the
procedures it will employ to assure compliance with these provisions.
Similarly, Sec. 240.229 permits use of railroad selected procedures to
meet the requirements for certification of engineers performing service
in joint operations territory. Sections 240.301 and 240.307 allow a
railroad a certain degree of discretion in complying with the
requirements for replacing lost certificates or the conduct of
certification revocation proceedings.
This section of the request should outline in summary fashion the
manner in which the railroad will implement its program so as to comply
with the specific aspects of each of the rule's provisions described in
preceding paragraph.

FRA Review

The submissions made in conformity with this appendix will be deemed
approved within 30 days after the required filing date or the actual
filing date whichever is later. No formal approval document will be
issued by FRA. The brief interval for review reflects

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FRA's judgment that railroads generally already have existing programs
that will meet the requirements of this part. FRA has taken the
responsibility for notifying a railroad when it detects problems with
the railroad's program. FRA retains the right to disapprove a program
that has obtained approval due to the passage of time as provided for in
section Sec. 240.103.
FRA initially proposed specifying the details for most aspects of
the programs being submitted under this appendix. The proposed rule
contained a distillation of the essential elements of pre-existing
training, testing, evaluating, and monitoring programs that appear to
result in railroads having locomotive engineers who operate locomotives
and trains safely. The proposal contained very specific details for each
aspect of the program that appeared to contribute to that result. Those
details included such things as the duration of classes intended to
teach operating rules as well as the interval and methodology for
acquiring familiarization with physical characteristics of an engineer's
operational territory. Railroads commenting on the proposed rule did not
question the validity of the FRA's views concerning the essential
elements of an effective program but did convince FRA that they should
be given more discretion to formulate the design of their individual
programs.
Rather than establish rigid requirements for each element of the
program as initially proposed, FRA has given railroads discretion to
select the design of their individual programs within a specified
context for each element. The proposed rule, however, provides a good
guide to the considerations that should be addressed in designing a
program that will meet the performance standards of this final rule. In
reviewing program submissions, FRA will focus on the degree to which a
particular program deviates from the norms identified in its proposed
rule. To the degree that a particular program submission materially
deviates from the norms set out in its proposed rule which was published
in the Federal Register on December 11, 1989 (54 FR 50890), FRA's review
and approval process will be focused on determining the validity of the
reasoning relied on by a railroad for selecting its alternative approach
and the degree to which the alternative approach is likely to be
effective in producing locomotive engineers who have the knowledge,
skill, and ability to safely operate trains.

Appendix C to Part 240--Procedures for Obtaining and Evaluating Motor
Vehicle Driving Record Data

The purpose of this appendix is to outline the procedures available
to individuals and railroads for complying with the requirements of
section 4(a) of the Railroad Safety Improvement Act of 1988 and
Secs. 240.109, 240.111 and 240.205 of this part. Those provisions
require that railroads consider the motor vehicle driving record of each
person prior to issuing him or her certification or recertification as a
qualified locomotive engineer.
To fulfill that obligation, a railroad must review a certification
candidate's recent motor vehicle driving record. Generally, that will be
a single record on file with the state agency that issued the
candidate's current license. However, it can include multiple records if
the candidate has been issued a motor vehicle driving license by more
than one state agency. In addition, the railroad must determine whether
the certification candidate is listed in the National Driver Register
and, if so listed, to review the data that caused the candidate to be so
listed.

Access to State Motor Vehicle Driving Record Data

The right of railroad workers, their employers, or prospective
employers to have access to a state motor vehicle licensing agency's
data concerning an individual's driving record is controlled by state
law. Although many states have mechanisms through which employers and
prospective employers such as railroads can obtain such data, there are
some states in which privacy concerns make such access very difficult or
impossible. Since individuals generally are entitled to obtain access to
driving record data that will be relied on by a state motor vehicle
licensing agency when that agency is taking action concerning their
driving privileges, FRA places responsibility on individuals, who want
to serve as locomotive engineers to request that their current state
drivers licensing agency or agencies furnish such data directly to the
railroad considering certifying them as a locomotive operator. Depending
on the procedures adopted by a particular state agency, this will
involve the candidate's either sending the state agency a brief letter
requesting such action or executing a state agency form that
accomplishes the same effect. It will normally involve payment of a
nominal fee established by the state agency for such a records check. In
rare instances, when a certification candidate has been issued multiple
licenses, it may require more than a single request.

The National Driver Register

In addition to seeking an individual state's data, each engineer
candidate is required to request that a search and retrieval be
performed of any relevant information concerning his or her driving
record contained in the National Driver Register. The National Driver
Register (NDR) is a system of information created by Congress in 1960.
In essence it is a nationwide repository of information on

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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.

Access to NDR Data

Essentially only individuals and state licensing agencies can obtain
access to the NDR data. Since railroads have no direct access to the NDR
data, FRA requires that individuals seeking certification as a
locomotive engineer request that an NDR search be performed and direct
that the results be furnished to the railroad. FRA requires that each
person request the NDR information directly from NHTSA unless the
prospective operator has a motor vehicle driver license issued by a
state motor vehicle licensing agency that is ``participating'' under the
provisions of the National Driver Register Act of 1982. Participating
states can directly access the NDR data on behalf of the prospective
engineer. The state agencies that currently are authorized to access NDR
data in that manner are identified in appendix D of this regulation.

Requesting NHTSA to Perform the NDR Check

The procedures for requesting NHTSA performance of an NDR check are
as follows:
1. Each person shall submit a written request to National Highway
Traffic Safety Administration at the following address: Chief, National
Driver Register, National Highway Traffic Safety Administration, 400
Seventh Street, SW., Washington, DC 20590.
2. The request must contain:
(a) The full legal name;
(b) Any other names used by the person (e.g., nickname or
professional name);
(c) The date of birth;
(d) Sex;
(e) Height;
(f) Weight;
(g) Color of eyes;
(h) Driver's license number (unless that is not available).
3. The request must authorize NHTSA to perform the NDR check and to
furnish the results of the search directly to the railroad.
4. The request must identify the railroad to which the results are
to be furnished, including the proper name of the railroad, and the
proper mailing address of the railroad.
5. The person seeking to become a certified locomotive engineer
shall sign the request, and that signature must be notarized.
FRA requires that the request be in writing and contain as much
detail as is available to improve the reliability of the data search.
Any person may supply additional information to that being mandated by
FRA. Furnishing additional information, such as the person's Social
Security account number, will help to more positively identify any
records that may exist concerning the requester. Although no fee is
charged for such NDR checks, a minimal cost may be incurred in having
the request notarized. The requirement for notarization is designed to
ensure that each person's right to privacy is being respected and that
records are only being disclosed to legally authorized parties.

Requesting a State Agency to Perform the NDR Check

As discussed earlier in connection with obtaining data compiled by
the state agency itself, a person can either write a letter to that
agency asking for the NDR check or can use the agency's forms for making
such a request. If a request is made by letter the individual must
follow the same procedures required when directly seeking the data from
NHTSA. At present there are only a limited number of state licensing
agencies that have the capacity to make a direct NDR inquiry of this
nature. It is anticipated that the number of states with such capability
will increase in the near future; therefore, FRA will continue to update
the identification of such states by revising appendix D to this
regulation to identify such state agencies.

[[Page 428]]

Since it would be more efficient for a prospective locomotive engineer
to make a single request for both aspects of the information required
under this rule, FRA anticipates that state agency inquiry will
eventually become the predominant method for making these NDR checks.
Requests to state agencies may involve payment of a nominal fee
established by the state agency for such a records check.
State agencies normally will respond in approximately 30 days or
less and advise whether there is or is not a listing for a person with
that name and date of birth. If there is a potential match and the
inquiry state was not responsible for causing that entry, the agency
normally will indicate in writing the existence of a probable match and
will identify the state licensing agency that suspended, revoked or
canceled the relevant license or convicted the person of one of the
violations referenced earlier in this appendix.

Actions When a Probable NDR Match Occurs

The response provided after performance of an NDR check is limited
to either a notification that no potential record match was identified
or a notification that a potential record match was identified. If the
latter event occurs, the notification will include the identification of
the state motor vehicle licensing authority which possesses the relevant
record. If the NDR check results indicate a potential match and that the
state with the relevant data is the same state which furnished detailed
data (because it had issued the person a driving license), no further
action is required to obtain additional data. If the NDR check results
indicate a potential match and the state with the relevant data is
different from the state which furnished detailed data, it then is
necessary to contact the individual state motor vehicle licensing
authority that furnished the NDR information to obtain the relevant
record. FRA places responsibility on the railroad to notify the engineer
candidate and on the candidate to contact the state with the relevant
information. FRA requires the certification candidate to write to the
state licensing agency and request that the agency inform the railroad
concerning the person's driving record. If required by the state agency,
the person may have to pay a nominal fee for providing such data and may
have to furnish written evidence that the prospective operator consents
to the release of the data to the railroad. FRA does not require that a
railroad or a certification candidate go beyond these efforts to obtain
the information in the control of such a state agency, and a railroad
may act upon the pending certification without the data if an individual
state aqency fails or refuses to supply the records.
If the non-issuing state licensing agency does provide the railroad
with the available records, the railroad must verify that the record
pertains to the person being considered for certification. It is
necessary to perform this verification because in some instances only
limited identification information is furnished for use in the NDR and
this might result in data about a different person being supplied to the
railroad. Among the available means for verifying that the additional
state record pertains to the certification candidate are physical
description, photographs and handwriting comparisons.
Once the railroad has obtained the motor vehicle driving record
which, depending on the circumstance, may consist of more than two
documents, the railroad must afford the prospective engineer an
opportunity to review that record and respond in writing to its contents
in accordance with the provisions of Sec. 240.219. The review
opportunity must occur before the railroad evaluates that record. The
railroad's required evaluation and subsequent decision making must be
done in compliance with the provisions of this part.

Appendix D to Part 240--Identification of State Agencies That Perform
National Driver Register Checks

Under the provisions of Sec. 240.111 of this part, each person
seeking certification or recertification as a locomotive operator must
request that a check of the National Driver Register (NDR) be conducted
and that the resulting information be furnished to his or her employer
or prospective employer. Under the provisions of paragraphs (d) and (e)
of Sec. 240.111, each person seeking certification or recertification as
a locomotive engineer must request that National Highway Traffic Safety
Administration conduct the NDR check, unless he or she was issued a
motor vehicle driver license by one of the state agencies identified in
this appendix. If the certification candidate received a license from
one of the designated state agencies, he or she must request the state
agency to perform the NDR check. The state motor vehicle licensing
agencies listed in this appendix participate in a program that
authorizes these state agencies, in accordance with the National Driver
Register Act of 1982, to obtain information from the NDR on behalf of
individuals seeking data about themselves. Since these state agencies
can more efficiently supply the desired data and, in some instances, can
provide a higher quality of information, FRA requires that certification
candidates make use of this method in preference to directly contacting
NHTSA.
Although the number of state agencies that participate in this
manner is limited, FRA anticipates that an increasing number

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of states will do so in the future. This appendix will be revised
periodically to reflect current participation in the program. As of
December 31, 1989, the motor vehicle licensing agencies of the following
states participate under the provisions of the 1982 changes to the NDR
Act: North Dakota, Ohio, Virginia, and Washington.

Appendix E to Part 240--Recommended Procedures for Conducting Skill
Performance Tests

FRA requires (see Sec. 240.127 and Sec. 240.211) that locomotive
engineers be given a skill performance test prior to certification or
recertification and establishes certain criteria for the conduct of that
test. Railroads are given discretion concerning the manner in which to
administer the required testing. FRA has afforded railroads this
discretion to allow individual railroad companies latitude to tailor
their testing procedures to the specific operational realities. This
appendix contains FRA's recommendations for the administration of skill
performance testing that occurs during operation of an actual train. It
can be modified to serve in instances where a locomotive simulator is
employed for testing purposes. These recommended practices, if followed,
will ensure a more thorough and systematic assessment of locomotive
engineer performance.

The Need for a Systematic Approach

There are numerous criteria that should be monitored when a
designated supervisor of locomotive engineers is observing a person to
determine whether that individual should be certified or recertified as
a qualified locomotive engineer. The details of those criteria will vary
for the different classes of service, types of railroads, and terrain
over which trains are being operated. At a minimum, the attention of a
designated supervisor of locomotive engineers should concentrate on
several general areas during any appraisal. Compliance with the
railroad's operating rules, including its safety directives and train
handling rules, and compliance with Federal regulations should be
carefully monitored. But, in order to effectively evaluate employees, it
is necessary to have something against which to compare their
performance. In order to hold a locomotive engineer accountable for
compliance, a railroad must have adequate operating, safety and train
handling rules. Any railroad that fails to have adequate operating,
safety, or train handling rules will experience difficulty in
establishing a objective method of measuring an individual's skill
level. Any railroad that requires the evaluation of an individual's
performance relative to its train handling rules needs to have
established preferred operating ranges for throttle use, brake
application, and train speed. The absence of such criteria results in
the lack of a meaningful yardstick for the designated supervisor of
locomotive engineers to use in measuring the performance of locomotive
engineers. It also is essential to have a definite standard so that the
engineer and any reviewing body can know what the certification
candidate is being measured against.
Evaluating the performance of certain train operation skills will
tend to occur in all situations. For example, it would be rare for a
designated supervisor of locomotive engineers to observe any operator
for a reasonable period of time and not have some opportunity to review
that engineer's compliance with some basic safety rules, compliance with
basic operating rules, and performance of a brake test. As the
complexity of the operation increases, so does the number of items that
the operator must comply with. Higher speeds, mountainous terrain, and
various signal systems place increased emphasis on the need for operator
compliance with more safety, operating, and train handling rules.
Accounting for such variables in any universal monitoring scheme
immediately results in a fairly complex system.
FRA therefore recommends that designated supervisors of locomotive
engineers employ a written aid to help record events and procedures that
as a minimum should be observed for when conducting a skills performance
test. FRA is providing the following information to assist railroads in
developing such a written aid so as to ensure meaningful testing. When
conducting a skills performance test, a designated supervisor of
locomotive engineers should be alert to the following:

--Does the employee have the necessary books (Operating Rules,
Safety Rules, Timetable, etc.)?
--Are predeparture inspections properly conducted (Radio, Air Brake
Tests, Locomotive, etc.)?
--Does the employee comply with applicable safety rules?
--Does the employee read the bulletins, general orders, etc.?
--Enroute, does the employee:
--Comply with applicable Federal Rules?
--Monitor gauges?
--Properly use the horn, whistle, headlight?
--Couple to cars at a safe speed?
--Properly control in train slack and buff forces?
--Properly use the train braking systems?
--Comply with speed restrictions?
--Display familiarity with the physical characteristics?
--Comply with signal indications?
--Respond properly to unusual conditions?
--At the conclusion of the trip, does the employee:
--Apply a hand brake to the locomotives?

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--Properly report locomotive defects?

Obviously, the less sophisticated the railroad's operations are, the
fewer the number of identified practices that would be relevant. Hence,
this list should modified accordingly.

The Need for Objectivity, Use of Observation Form

It is essential that railroads conduct the performance skills
testing in the most objective manner possible, whether this testing is
the locomotive engineer's initial qualification testing or periodic
retesting. There will always be some potential for the subjective views,
held by the designated supervisor of locomotive engineers conducting the
testing, to enter into evaluations concerning the competency of a
particular individual to handle the position of locomotive engineer.
Steps can be taken, and need to be taken, to minimize the risk that
personality factors adversely influence the testing procedure.
One way to reduce the entry of subjective matters into the
qualification procedures is through the use of a document that specifies
those criteria that the designated supervisor of locomotive engineers is
to place emphasis on. The use of an observation form will reduce but not
eliminate subjectivity. Any skill performance test will contain some
amount of subjectivity. While compliance with the operating rules or the
safety rules is clear in most cases, with few opportunities for
deviation, train handling offers many options with few absolute right
answers. The fact that an engineer applies the train air brakes at one
location rather than a few yards away does not necessarily indicate a
failure but a question of judgment. The use of dynamic braking versus
air brakes at a particular location may be a question of judgment unless
the carrier has previously specified the use of a preferred braking
method. In any case the engineer's judgment, to apply or not apply a
braking system at a given location, is subject to the opinion of the
designated supervisor of locomotive engineers.
A railroad should attempt to reduce or eliminate such subjectivity
through use of some type of observation or evaluation. For railroads
developing any evaluation form, the areas of concern identified earlier
will not be relevant in all instances. Railroads that do not have
sophisticated operations would only need a short list of subjects. For
example, most smaller railroads would not require line items pertaining
to compliance with signal rule compliance or the use of dynamic brakes.
Conversely, in all instances the observation forms should include the
time and location that the observer started and ended the observation.
FRA believes that there should be a minimum duration for all performance
skills examinations. FRA allows railroads to select a duration
appropriate for their individual circumstances, requiring only that the
period be ``of sufficient length to effectively evaluate the person.''
In exercising its discretion FRA suggests that the minimums selected by
a railroad be stated in terms of a distance since the examination has to
be of a sufficient duration to adequately monitor the operator's skills
in a variety of situations. FRA also suggests that the format for the
observation form include a space for recording the observer's comments.
Provision for comments ideally would allow for the inclusion of
``constructive criticism'' without altering the import of the evaluation
and would permit subjective comments where merited.

PART 245--RAILROAD USER FEES--Table of Contents

Subpart A--General

Sec.
245.1 Purpose and scope.
245.3 Application.
245.5 Definitions.
245.7 Penalties.

Subpart B--Reporting and Recordkeeping

245.101 Reporting requirements.
245.103 Recordkeeping.
245.105 Retention of records.

Subpart C--User Fee Calculation

245.201 User fee calculation.

Subpart D--Collection Procedures and Duty to Pay

245.301 Collection procedures.
245.303 Duty to pay.

Authority: 45 U.S.C. 431, 437, 438, 446; 49 CFR 1.49(m).

Source: 57 FR 30602, July 9, 1992, unless otherwise noted.

Subpart A--General

Sec. 245.1 Purpose and scope.

(a) The purpose of this part is to implement section 216 of the
Federal Railroad Safety Act of 1970 (45 U.S.C. 446) (the ``Safety Act'')
which requires the Secretary of Transportation to establish a schedule
of fees to be assessed equitably to railroads to cover the costs
incurred by the Federal Railroad Administration (``FRA'') in
administering the Safety Act (not including activities described in
section 202(a)(2) thereof).
(b) Beginning in the fiscal year ending September 30, 1991, each
railroad

[[Page 431]]

subject to this part shall pay an annual user fee to the FRA. For fiscal
years 1992 through 1995, the user shall be calculated by FRA in
accordance with Sec. 245.101. The Secretary's authority to collect user
fees shall expire on September 30, 1995, as provided for in section
216(f) of the Safety Act.

Sec. 245.3 Application.

This part applies to all railroads except those railroads whose
entire operations are confined within an industrial installation.

Sec. 245.5 Definitions.

As used in this part--
(a) Employee hours means the number of hours worked by all employees
of the railroad during the previous calendar year.
(b) FRA means the Federal Railroad Administration.
(c) Industrial track means a switching track serving industries,
such as mines, mills smelters, and factories.
(d) Light density railroad means railroads with 1200 or less train-
miles per road mile.
(e) Main track means a track, other than an auxiliary track,
extending through yards or between stations, upon which trains are
operated by timetable or train order or both, or the use of which is
governed by a signal system.
(f) Passenger service means both intercity rail passenger service
and commuter rail passenger service.
(g) Railroad means all forms of non-highway ground transportation
that run on rails or electro-magnetic guideways, including (1) commuter
or other short-haul rail passenger service in a metropolitan or suburban
area, as well as any commuter rail service which was operated by the
Consolidated Rail Corporation as of January 1, 1979, and (2) high speed
ground transportation systems that connect metropolitan areas, without
regard to whether they use new technologies not associated with
traditional railroads. Such term does not include rapid transit
operations within an urban area that are not connected to the general
railroad system of transportation (See, 45 U.S.C. 431(e)).
(h) Responsible entity means the railroad subject to this part as of
December 31 of the applicable fiscal year (October 1 to September 30),
i.e December 31, 1991, for fiscal year 1992, December 31, 1992, for
fiscal year 1993, etc.
(i) Road miles means the length in miles of the single or first main
track, measured by the distance between terminals or stations, or both.
Road miles does not include industrial and yard tracks, sidings, and all
other tracks not regularly used by road trains operated in such specific
service, and lines operated under a trackage rights agreement.
(j) Safety Act means the Federal Railroad Safety Act of 1970 (45
U.S.C. 421 et seq.)
(k) Sliding Scale means the adjustment made to the mile of road of
light density railroads. The sliding scale is as follows:

------------------------------------------------------------------------
Scaling
Train miles per road mile factor
------------------------------------------------------------------------
Up to 500.................................................... .0
501 to 750................................................... .25
751 to 1000.................................................. .50
1001 to 1200................................................. .75
1201 and above............................................... 1.00
------------------------------------------------------------------------

The scaling factor is multiplied by the preliminary rate per road
mile for each railroad for the year.
(l) Trackage rights agreement means an agreement through which a
railroad obtains access and provides service over tracks owned by
another railroad where the owning railroad retains the responsibility
for operating and maintaining the tracks.
(m) Train means a unit of equipment, or a combination of units of
equipment (including light locomotives) in condition for movement over
tracks by self-contained motor equipment.
(n) Train mile means the movement of a train a distance of one mile
measured by the distance between terminals and/or stations and includes
yard switching miles, train switching miles, and work train miles. Yard
switching miles may be computed on any reasonable, supportable, and
verifiable basis. In the event actual mileage is not computable by other
means, yard switching miles may be computed at the rate of 6 mph for the
time actually engaged in yard switching service.

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(o) Yard track means a system of tracks within defined limits used
for the making up or breaking up of trains, for the storing of cars, and
for other related purposes, over which movements not authorized by
timetable, or by train order may be made subject to prescribed signals,
rules or other special instructions. Sidings used exclusively as passing
track and main line track within yard limits are not included in the
term yard track.

Sec. 245.7 Penalties.

Any person (including a railroad and any manager, supervisor,
official, or other employee or agent of a railroad) who violates any
requirement of this part or causes the violation of any such requirement
is subject to a civil penalty of at least $250 and not more than $10,000
per violation. Civil penalties may be assessed against individuals only
for willful violations. Each day a violation continues shall constitute
a separate offense. A person may also be subject to the criminal
penalties provided for in 45 U.S.C. 438(e) for knowingly and willfully
falsifying records or reports required by this part.

Subpart B--Reporting and Recordkeeping

Sec. 245.101 Reporting requirements.

(a) Each railroad subject to this part shall submit to FRA, not
later than March 1st of each year (August 1st, for the fiscal year
ending September 30, 1992) a report identifying the railroad's total
train miles for the prior calendar year, the total road miles owned,
operated under lease, or controlled (but not including trackage rights)
by the railroad as of December 31 of the previous calendar year, and the
railroad's total number of employee hours for the prior calendar year.
An entity shall be considered a railroad subject to this part if it
conforms to the definitions found in Sec. 245.5(g) and (h) above. Each
railroad shall report all of the data for the entire relevant calendar
year whether or not its present operations generated all of the
reportable data. This report shall be made on FRA Form 6180.91--Annual
Report of Railroads Subject to User Fees and shall be filed by the
Responsible Entity (see Sec. 245.5(h)). The report shall include an
explanation for an entry of zero for train miles, road miles, or
employee hours. Each railroad shall also identify all subsidiary
railroads for which it is reporting and provide a breakdown of train
miles, road miles, and employee hours for each subsidiary. Finally, each
railroad shall enter its corporate billing address for the user fees,
and the name, title, telephone number, date, and a signature of the
person submitting the form to FRA.
(b) FRA anticipates mailing blank copies of FRA Form 6180.91--Annual
Report of Railroads Subject to User Fees to each railroad during the
month of January (the month of July for the fiscal year ending September
30, 1992) for the railroad's use in preparing the report. This action by
FRA is for the convenience of the railroads only and in no way affects
the obligation of railroads subject to this part to obtain and submit
FRA Form 6180.91 to FRA in a timely fashion in the event a blank form is
not received from FRA. Blank copies of FRA Form 6180.91 may be obtained
from the Office of Safety, FRA, 400 Seventh Street, SW., Washington, DC
20590.
(c) Train miles, as defined in Sec. 245.5(n), shall be calculated by
the railroad in accordance with the following considerations:
(1) Each railroad subject to this part is to report the train miles
for the freight and passenger service it operates without regard to
track or facility ownership.
(2) Train miles are to be reported by both freight and passenger
railroads and shall include miles run between terminals or stations, or
both, miles run by trains consisting of empty freight cars or without
cars, locomotive train miles run, miles run by trains consisting of
deadhead passenger equipment, motor train miles run, yard-switching
miles run, work train miles, and train switching miles.
(d) Road miles, as defined in Sec. 245.5(i), shall be calculated by
the railroad in accordance with the following considerations:
(1) Road miles to be reported shall include all track owned,
operated under lease, or controlled by the railroad but shall not
include track used under

[[Page 433]]

trackage rights agreements. (Note: road miles consisting of leased track
are to be reported by the lessee railroad). Road miles consisting of
jointly-owned track or track jointly operated under lease shall be
reported by the railroad controlling operations over the track. Road
miles for a given section of railroad should be reported by only one
railroad.
(2) Road miles to be reported shall not include industrial track,
yard tracks, sidings, and other tracks not regularly used by road trains
operated in such specific service. The determination that a particular
track segment qualifies as industrial track or yard track must be made
on a reasonable and supportable basis. Road miles do not include track
which was out of service for the entire calendar year that is the
subject of the user fee report.
(e) Employee hours, as defined in Sec. 245.5(a), shall be calculated
by the railroad in accordance with the following considerations:
Employees hours to be reported include the number of hours worked by all
railroad employees, regardless of occupation, during the previous
calendar year. Include all employees in the occupational categories
shown in appendix D of the FRA Guide for Preparing Accident/Incident
Reports. Employee hours do not include time paid but not actually
worked, such as holidays, vacations, etc. Employee hours do not include
hours worked by volunteers. Employee hours do not include hours worked
by individuals not employed directly by the reporting railroad (i.e.
contractor employees).
(f) In computing both train miles and road miles, fractions
representing less than one-half mile shall be disregarded and other
fractions considered as one mile.
(g) Each railroad subject to this part has a continuing obligation
to assure that the information provided to FRA on Form 6180.91--Annual
Report of Railroads Subject to User Fees is accurate. Should a railroad
learn at a later date that the information provided was not correct, it
shall submit a revised Form 6180.91 along with a letter explaining in
detail the discrepancy.
(h) Each railroad subject to this part has an obligation to assure
that the information provided to FRA under this part is consistent with
information provided to FRA under other reporting requirements, in
particular reports submitted under 49 CFR part 225--Railroad Accidents/
Incidents: Reports Classification, and Investigations. The railroad
shall fully explain and resolve any discrepancies.
(i) The FRA has prepared a questionnaire entitled ``Written
Questionnaire on Whether Your Company Is A `Railroad' Subject To FRA
User Fee Regulations'' (FRA Form 6180.90) in order to assist in
determining whether certain entities meet the definition of ``railroad''
included in Sec. 245.5 or constitute railroads whose entire operations
are confined within an industrial installation (``plant railroads'')
excluded from this part under Sec. 245.3. Copies of FRA Form 6180.90 are
available from the Office of Safety, FRA, 400 Seventh Street, SW.,
Washington, DC 20590.

Sec. 245.103 Recordkeeping.

Each railroad subject to this part shall maintain adequate records
supporting its calculation of the railroad's total train miles for the
prior calendar year, total road miles as of December 31 of the previous
calendar year, and the total employee hours for the previous calendar
year. Such records shall be sufficient to enable the FRA to verify the
information provided by the railroad on FRA Form 6180.91--Annual Report
of Railroads Subject to User Fees. Such records shall also be available
for inspection and copying by the Administrator or the Administrator's
designee during normal business hours.

Sec. 245.105 Retention of records.

Each railroad subject to this part shall retain records required by
Sec. 245.103 for at least three years after the end of the calendar year
to which they relate.

Subpart C--User Fee Calculation

Sec. 245.201 User fee calculation.

(a) The fee to be paid by each railroad shall be determined as
follows:
(1) After March 15th of each year (August 1st for the fiscal year
ending September 30, 1992), FRA will tabulate the

[[Page 434]]

total train miles, total employee hours, and total road miles for
railroads subject to this part for the preceding calendar year. FRA's
calculations will be based on the information supplied by railroads
under Sec. 245.101 hereof, and other reports and submissions which
railroads are required to make to FRA under applicable regulations (i.e.
49 CFR parts 225 and 228). At the same time, FRA will calculate the
total cost of administering the Safety Act for the current fiscal year
(other than activities described in section 202(a)(2) thereof) which
will represent the total amount of user fees to be collected.
(2) Using tabulations of total train miles, total employee hours,
total road miles, and the total cost of administering the Safety Act,
FRA will calculate a railroad's user fee assessment as follows:
(i) The assessment rate per train mile will be calculated by
multiplying the total costs of administering the Safety Act by 0.55 and
then dividing this amount (i.e., fifty-five percent of the total amount
to be collected) by the total number of train miles reported to the FRA
for the previous calendar year. The result will be the railroad user fee
assessment rate per train mile for the current fiscal year.
(ii) The assessment rate per employee hour will be calculated by
multiplying the total costs of administering the Safety Act by 0.1 and
then dividing this amount (i.e., 10 percent of the total amount to be
collected) by the total number of employee hours reported to the FRA for
the previous calendar year. The result will be the railroad user fee
rate per employee hour for the fiscal year.
(iii) The assessment rate per road mile will be calculated in three
steps. First, FRA will determine a preliminary assessment rate per road
mile by multiplying the total costs of administering the Safety Act by
0.35 and dividing this amount (i.e., thirty-five percent of the total
amount to be collected) by the total road miles reported to FRA for the
previous calendar year. Second, FRA will adjust this preliminary rate
per road mile for each light density railroad by multiplying the
preliminary rate by the appropriate scaling factor identified in
Sec. 245.5(h). The result will be a reduced assessment rate per road
mile for light density railroads. Third, FRA will adjust the preliminary
assessment rate per road mile for all railroads except light density
railroads by adding to their preliminary rate an incremental amount
reflecting the reallocation of the relief provided to light density
railroads under step 2 using the sliding scale. The incremental amount
is calculated by subtracting (A) the total amount to be collected from
light density railroads after application of the sliding scale from (B)
the total amount that would have been collected from light density
railroads using the preliminary assessment rate and developed under step
1 and (C) dividing the resulting amount by the total road miles reported
to FRA by all railroads except light density railroads. The incremental
amount is then added to the preliminary assessment rate for all
railroads except light density railroads to derive the assessment rate
per road mile for all railroads except light density railroads. The
results will be a modified assessment rate per road mile for light
density railroads qualifying under step 2 and a general assessment rate
applicable to all other railroads. In those cases where the computed fee
is less than the defined minimum, the net increase attributable to the
application of the minimum standard is not included in the reallocation
process under step 3 and is instead added to total collections.
(b) The user fee to be paid by each covered railroad is the greater
of $500.00 or the sum of the railroad's train miles times the assessment
rate per train mile, the railroad's employee hours times the assessment
rate per employee hour, and the railroad's road miles times the
applicable assessment rate per road mile.

Subpart D--Collection Procedures and Duty to Pay

Sec. 245.301 Collection procedures.

(a) After March 15th of each year (August 15th for the fiscal year
ending September 30, 1992), FRA will publish in the Federal Register a
notice containing FRA's preliminary estimates of

[[Page 435]]

the total user fee to be collected, the assessment rate per train mile,
the assessment rate per employee hour, and the assessment rate per road
mile (as adjusted by the sliding scale). The information published by
FRA will be sufficient to enable each railroad to calculate its
estimated user fee bill for the fiscal year on the basis of the train
mile, employee hour, and road mile information provided by the railroad
to FRA.
(b) After June 1st of each year, (August 15th for the fiscal year
ending September 30, 1992), FRA will provide to each covered railroad a
notice (the ``Assessment Notice'') containing FRA's final calculations
of the total user fee to be collected, the assessment rate per train
mile, the assessment rate per employee hour, the assessment rate per
road mile (as adjusted by the sliding scale), the train miles, employee
hours, and road miles for the railroad for the prior calendar year, the
user fee to be paid by the railroad, and a statement and payment record
form. FRA will mail the Assessment Notice sufficiently in advance of the
end of the fiscal year in order to allow all collections to be completed
prior to the end of the fiscal year. FRA will mail the Assessment Notice
to the billing address designated by the railroad on FRA Form 6180.91--
Annual Report of Railroads Subject to User Fees.

Sec. 245.303 Duty to pay.

(a) Beginning in the fiscal year ending September 30, 1991, each
railroad subject to this part shall pay an annual railroad user fee to
the FRA. Payment in full shall be received by FRA no later than thirty
days after the Assessment Notice is mailed. Payment is made only when
received by FRA. Payments in excess of ten thousand dollars ($10,000.00)
shall be made by wire transfer through the Federal Reserve
communications, commonly known as Fedwire, to the account of the U.S.
Treasury in accordance with the instructions provided in the Assessment
Notice. Payments of ten thousand dollars or less shall be by check or
money order payable to the Federal Railroad Administration. The payment
shall be identified as the railroad's user fee by noting it with the
User Fee Bill Number as assigned by FRA and by returning the payment
record received with the Assessment Notice. Payment shall be sent to the
address stated in the assessment notice. Any railroad making an
aggregate payment for one or more subsidiaries or affiliates should
return the payment records for each and list all applicable Bill Numbers
with the payment.
(b) The responsibility for paying the user fee rests with the
responsible entity (see Sec. 245.5(h)). Parties involved in purchase and
sale transactions of railroad(s) or portions of a railroad shall be
responsible for allocating the user fee amongst the interested entities
in an appropriate fashion. FRA will not prorate user fee bills.
(c) No user fee will be collected from railroads that properly
report zero train miles and zero road miles on FRA Form 6180.91--Annual
Report of Railroads Subject to User Fees.
(d) Payments not received by the due date will be subject to
allowable interest charges, penalties, and administrative charges (31
U.S.C. 3717). Follow-up demands for payment and other actions intended
to assure timely collection, including referral to local collection
agencies or court action, will be conducted in accordance with Federal
Claims Collection Standards (4 CFR chapter II) and Departmental
procedures (49 CFR 89).

PART 250--GUARANTEE OF CERTIFICATES OF TRUSTEES OF RAILROADS IN REORGANIZATION--Table of Contents

Sec.
250.1 Form and content of application.
250.2 Required exhibits.
250.3 Fees.
250.4 Execution and filing of application.
250.5 General instructions.

Authority: Sec. 3(f) of the Emergency Rail Services Act of 1970,
Pub. L. 91-663; sec. 1.49(m), regulations of the Office of the Secretary
of Transportation, 49 CFR 1.49(m).

Source: 36 FR 770, Jan. 16, 1971, unless otherwise noted.

Sec. 250.1 Form and content of application.

The application shall include, in the order indicated and by section
numbers

[[Page 436]]

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 Sec. 250.2(b)(1) as to exhibits on this
subject.)
(7) Full and complete statement, together with independent
supporting evidence, where feasible, concerning the effect that
cessation of essential transportation services of carrier would have on
the public welfare.
(8) Full and complete statement, together with supporting evidence,
where possible, demonstrating that cessation of essential transportation
services by applicant carrier is imminent.
(9) Full and complete statement, together with supporting evidence,
if possible, that there is no other practicable means of obtaining funds
to meet payroll and other expenses necessary to provide essential
transportation services other than the issuance of Trustee certificates.
Such statements shall include in detail a complete listing of all
nontransportation assets of the carrier and corporate affiliates, or
subsidiaries having a fair market value of not less than $50,000,
together with the amount of encumbrances thereon, if any, and a
statement or plan for the disposition or sale of such assets as a means
of obtaining funds necessary for essential transportation services.
(10) Full and complete statement, together with supporting evidence,
if possible, demonstrating, with particularity, that the carrier can
reasonably be expected to become self sustaining within a reasonable
period of time.
(11) Full and complete statement, together with supporting evidence,
that the probable value of the assets of the carrier in the event of
liquidation provides reasonable protection to the United States.
(b) As to the holder or holders:
(1) Full and correct name and principal business address.
(2) Names and addresses of principal executive officers and
directors, or partners.
(3) Reference to applicable provisions of law and the charter or
other governing instruments conferring authority to the lender to make
the loan and to accept the proposed obligation.
(4) Brief statement of the circumstances and negotiations leading to
the agreement by the lender to make the proposed loan, including the
name and address of any person or persons, or employees of the carrier,
representing or purporting to represent the Trustee in connection with
such negotiations.

[[Page 437]]

(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]

Sec. 250.2 Required exhibits.

There shall be filed with and made a part of each application and
copy thereof the following exhibits, except that exhibits filed with the
Administrator pursuant to some other statutory provision or regulation
which are in the same format as the following exhibits may be
incorporated in and made part of the application filed under this part
by reference. While the application is pending, when actual data become
available in place of the estimated or forecasted data required in the
exhibits under this part, such actual data must be reported promptly to
the Administrator in the form required in the appropriate exhibit.
(a) The following exhibits are required concerning the Trustee and
the carrier:
(1) As Exhibit 1, copy of duly certified order of the court, or
instrument of appointment, appointing trustees of the carrier.
(2) As Exhibit 2, a certified copy of the order(s) of the
reorganization court having jurisdiction of applicant authorizing (i)
the filing of the application with the Administrator for a guarantee of
the Trustee's certificate; (ii) filing of the application with the
Interstate Commerce Commission for authority to issue a Trustee's
certificate; (iii) such pledge of security for the loan and the
guarantee as the applicant proposes in connection with Exhibit 3; and
(iv) compliance by the Trustee with conditions to the guarantee imposed
by law and the Administrator.
(3) As Exhibit 3, full and complete statement, together with
supporting evidence, that the probable value of the assets of the
railroad in the event of liquidation provides reasonable protection to
the United States.
(4) As Exhibit 4, a map of the carrier's existing railroad.
(5) As Exhibit 5, statement showing miles of line owned; miles
operated; number of units of locomotives, freight cars, and passenger
cars owned and leased; principal commodities carried; and identification
of the ten most important industries served.
(6) As Exhibit 6, statement as to whether any railroad affiliated
with the carrier has applied for or received any Federal assistance
since 1970.
(7) As Exhibit 7, statement showing total dividends, if any,
declared and total dividends paid for each of the last 5 calendar years
and for each month of the current year to latest available date.
(8) As Exhibit 8, a copy of applicant's most recent year-end general
balance sheet certified by applicant's independent public accountants,
if available, and a copy of applicant's most recent unaudited general
balance sheet as of a

[[Page 438]]

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

[[Page 439]]

(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]

Sec. 250.3 Fees.

On date of final payment of the loan guaranteed by the Secretary
pursuant to application filed under this part, the applicant carrier or
the trustee, if still in existence, shall pay, or cause to be paid, to
the Administrator as a guarantee fee such amount as the Administrator
hereafter may determine and prescribe as necessary to cover the
administrative costs of carrying out the provisions of the Emergency
Rail Services Act of 1970.

Sec. 250.4 Execution and filing of application.

The following procedure shall govern the execution and filing of the
application:
(a) The original application shall bear the date of execution and be
signed with ink by or on behalf of the trustee and the lender. Execution
on behalf of the trustee shall be by the trustee or trustees having
knowledge of the matters therein set forth. Persons signing the
application on behalf of the trustee and lender, respectively, shall
also sign a certificate in form as follows:

(Name of official) ________________________ certifies that he is the
________________________ (title of official) of the
________________________ (name of carrier or lender); that he is
authorized on the part of said applicant to sign and file with the
Administrator this application and exhibits attached thereto; that he
has carefully examined all of the statements contained in such
application and the exhibits attached thereto and made a part thereof
relating to the aforesaid ________________ (name of carrier or

[[Page 440]]

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 Sec. 250.2, the carrier applicant or the lender,
upon appropriate showing and with the consent of the Administrator, may
file a lesser number.
(d) In the event the furnishing of exhibits in the detail required
by Sec. 250.2 is shown by the applicant or applicants to be unduly
burdensome in relation to the nature and amount of the loan, the
Administrator may modify the requirements of said section. In addition,
the Administrator may waive or modify any requirement of this part upon
good cause shown, or make any additional requirements he deems
necessary.

Sec. 250.5 General instructions.

(a) If the application is approved by the Administrator and the
Secretary of Transportation and the latter agrees to make the guarantee,
the following documents will be required for deposit with the
Administrator before the transaction is closed:
(1) Final opinion by counsel for the Trustee to the effect that he
is familiar with the corporate powers of the carrier applicant and the
orders of the reorganization court; that the Trustees of the carrier
applicant are authorized to execute and deliver the certificate or other
obligations evidencing the same, and to pledge and hypothecate any
securities pledged as collateral; that the certificate or other
obligations so executed and so delivered constitute the valid and
binding obligations of the Trustees of the carrier that the certificate
or other obligations of the Trustee will be treated as an expense of
administration and receive the highest lien on the railroads property
and priority in payment under the Bankruptcy Act, and that the lender
and the Secretary will obtain a lien on any security involved of the
rank and priority represented by the Trustee. Such opinion shall also
cover the priority and lien of each item of the collateral offered.
(2) Certified copies of the reorganization court orders and decrees
authorizing the Trustee to execute and deliver the certificates or other
obligations and to give the security under and according to the terms of
the loan and guarantee as prescribed by the Administrator. Such order or
orders of the reorganization court shall specify that trustee
certificates, guaranteed by the Secretary as to payment of principal

[[Page 441]]

and interest, shall be treated as an expense of administration and
receive the highest lien on the railroad's property and priority in
payment under the Bankruptcy Act.
(3) Unexecuted copies of the foregoing documents will be delivered
to the Administrator 3 business days prior to closing.
(b) The guarantee by the Secretary of a loan pursuant to an
application filed as provided in this part should not be construed as
relieving a carrier from complying with applicable provisions of section
20a of the Interstate Commerce Act (49 U.S.C. 20a) in relation to the
issuance of Trustee certificates.

PART 256--FINANCIAL ASSISTANCE FOR RAILROAD PASSENGER TERMINALS--Table of Contents

Regulations Governing Applications for and Disbursement of Financial
Assistance

Sec.
256.1 Purpose.
256.3 Definitions.
256.5 Eligibility.
256.7 Financial assistance.
256.9 [Reserved]
256.11 Applications.
256.13 Review and approval of applications.
256.15 Disbursement of financial assistance.

Appendix A to Part 256--Certificate

Authority: Sec. 4(i) of the Department of Transportation Act, 49
U.S.C. 1653(i), as amended by (1) sec. 15 of the Amtrak Improvement Act
of 1974, Pub. L. 93-496, 88 Stat. 1528; (2) sec. 13 of the Amtrak
Improvement Act of 1975, Pub. L. 94-25, 89 Stat. 93; (3) sec. 706 of the
Railroad Revitalization and Regulatory Reform Act of 1976, Pub. L. 94-
210, 90 Stat. 125; and (4) sec. 219(a) of the Rail Transportation
Improvement Act, Pub. L. 94-555, 90 Stat. 2629; and regulations of the
Office of the Secretary of Transportation, 49 CFR 1.49(r).

Regulations Governing Applications for and Disbursement of Financial
Assistance

Sec. 256.1 Purpose.

The purpose of this part is to establish procedures for implementing
subsection 4(i) of the Department of Transportation Act as amended (49
U.S.C. 1653(i)) with respect to all financial assistance provided under
that subsection.

[40 FR 29080, July 10, 1975]

Sec. 256.3 Definitions.

As used in this part--
(a) Act means the Department of Transportation Act, as amended.
(b) Administrator means the Federal Railroad Administrator, or his
delegate.
(c) Allowable project costs means those project costs for which
Federal financial assistance may be expended under Sec. 256.7.
(d) Applicant means a governmental entity, a non-profit public-
purpose organization, or any responsible person having the legal,
financial, and technical capacity to implement an intermodal passenger
terminal project under this part. The applicant must have legal
authority to receive and expend Federal funds.
(e) Chairman means the Chairman of the National Endowment for the
Arts.
(f) Civic and cultural activities includes, but is not limited to,
museums, libraries, musical and dramatic presentations, art exhibitions,
adult education programs, public meetings of community groups,
convention visitors and others, and other public activities supported in
whole or in part under Federal law.
(g) Council means the Advisory Council on Historic Preservation.
(h) Demonstration funds means funds authorized for the purpose set
forth in paragraph (1)(A) of subsection 4(i) of the Act.
(i) Intermodal passenger terminal means an existing railroad
passenger terminal which has been or may be modified as necessary to
accommodate several modes of transportation, including intercity rail
service and some or all of the following: Intercity bus, commuter rail,
intra-city rail transit and bus transportation, airport limousine
service and airline ticket offices, rent-a-car facilities, taxis,
private parking, and other transportation services.
(j) National Register means the National Register of Historic Places
maintained by the Secretary of the Interior.

[[Page 442]]

(k) Planning funds means funds authorized for the purpose set forth
in paragraph (1)(D) of subsection 4(i) of the Act.
(l) Preservation funds means funds authorized for the purpose set
forth in paragraph (1)(B) of subsection 4(i) of the Act.
(m) Project means a locally sponsored, coordinated, and administered
program, or any part thereof, to plan, finance, construct, maintain, or
improve an intermodal passenger terminal, which may incorporate civic or
cultural activities where feasible in an architecturally or historically
distinctive railroad passenger terminal.
(n) 4R Act means the Railroad Revitalization and Regulatory Reform
Act of 1976, as amended, Public Law 94-210, 90 Stat. 125, 49 U.S.C.
1653.
(o) Sufficient commitments means commitments of a binding nature
adequate to ensure the successful operation of a project. Such
commitments may be conditional, requiring, for example, the
participation of other entities in the project, or action by a date
certain.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21887, May 22, 1978; 44
FR 21647, Apr. 11, 1979]

Sec. 256.5 Eligibility.

(a) General. A project is eligible for financial assistance under
subsection 4(i) of the Act if:
(1) The applicant provides satisfactory assurance that such fiscal
control and fund accounting procedures will be adopted as may be
necessary to assure proper disbursement of and accounting for Federal
financial assistance granted to the applicant under the Act;
(2) The applicant complies with the regulations of the Administrator
prescribed in this part, and with such other terms and conditions as may
be included in the grant of assistance; and
(3) The Council is given a reasonable opportunity to review and
comment upon the project as it affects property listed or eligible for
listing on the National Register.
(b) Demonstration funds. A project is eligible for financial
assistance in accordance with subsection 4(i) of the Act if the
Administrator determines that:
(1) The railroad passenger terminal can be converted to an
intermodal passenger terminal;
(2) There exist sufficient commitments by Amtrak or other rail
passenger carriers, and by intercity bus carriers, the local public
transportation authority, or other public or private transportation
operators, to provide co-ordinated service for convenient intermodal
interchange to meet the goals enumerated in paragraph (b) of
Sec. 256.13;
(3) The railroad passenger terminal is listed on the National
Register;
(4) The architectural integrity of the railroad passenger terminal
will be preserved, and this determination is concurred in by the
consultants recommended by the Chairman and Council and retained by the
Administrator for this purpose;
(5) To the extent practicable, the use of station facilities for
transportation purposes may be combined with use for other civic and
cultural activities, especially when such use is recommended by the
Council or the Chairman, or the consultants retained by the
Administrator upon their recommendation;
(6) The applicant has provided the information and documentation
required under Sec. 256.11(c).
(7) The railroad passenger terminal and the conversion project meet
such other criteria as the Administrator may develop and promulgate in
consultation with the Chairman and the Council.
(c) Preservation funds. A project is eligible for financial
assistance in accordance with subsection 4(i) of the Act if the
Administrator determines that:
(1) The applicant is empowered by applicable law, and is qualified,
prepared, and committed, on an interim basis pending the formulation of
plans for reuse, to maintain and prevent the demolition, dismantling, or
further deterioration of, a railroad passenger terminal;
(2) The railroad passenger terminal is threatened with demolition,
dismantling, or further deterioration;
(3) There is a reasonable likelihood that the railroad passenger
terminal will be converted to or conditioned for reuse as an intermodal
passenger terminal. The primary use of the terminal

[[Page 443]]

shall be for intermodal purposes, but facilities for the provision of
civic and cultural activities may be incorporated to the extent
feasible. Such dual use of the terminal is particularly encouraged when
it is recommended by the Council or the Chairman.
(4) Planning activity aimed at conversion or reuse has commenced and
is proceeding in a competent manner;
(5) The expenditure of funds on such project would be in the manner
most likely to maximize the preservation of railroad passenger terminals
which are:
(i) Reasonably capable of conversion to intermodal passenger
terminals;
(ii) Listed in the National Register; or
(iii) Recommended on the basis of architectural integrity and
quality by the Chairman or the Council; and
(6) The applicant has provided the information and documentation
required by Sec. 256.11(d).
(d) Planning funds. A project is eligible for financial assistance
in accordance with subsection 4(i)(5) of the Act if the Administrator
determines that:
(1) The applicant is prepared to develop practicable plans meeting
the zoning, land use, and other requirements of the applicable State and
local jurisdictions in which the rail passenger terminal is located;
(2) The applicant incorporates into its plans for the conversion of
an historic terminal into an intermodal passenger terminal, features
which appear reasonably likely to attract private investors willing to
finance the planned conversion and/or its subsequent maintenance and
operation. The primary use of the terminal shall be for intermodal
purposes, but facilities for the provision of civic or cultural
activities may be incorporated to the extent feasible.
(3) The applicant will be able to complete the designs and plans for
such conversion within two years following the approval of the
application for Federal financial assistance;
(4) The expenditure of funds on such project would be in the manner
most likely to maximize the preservation of railroad passenger terminals
which are listed in the National Register or recommended on the basis of
architectural integrity and quality by the Chairman or the Council; and
(5) The applicant has provided the information and documentation
required under Sec. 256.11(e).

[40 FR 29080, July 10, 1975, as amended at 43 FR 21887, May 22, 1978; 44
FR 21647, Apr. 11, 1979]

Sec. 256.7 Financial assistance.

(a) Demonstration funds. Federal financial assistance for the
conversion of a railroad passenger terminal into an intermodal passenger
terminal, under subsection 4(i)(2) of the Act, may be expended for the
following project costs incurred after the date of final project
approval:
(1) Acquisition or long-term lease of real property or other
property interests, including air rights, subterranean rights, or
easements, where necessary for project implementation;
(2) Final architectural and engineering construction documentation,
including all necessary plans, specifications, detailed cost estimates,
and implementation schedules; and
(3) Construction, which may include, but is not limited to:
(i) Complete rehabilitation and refurbishment of the interior and
exterior of the structure;
(ii) Provision of necessary public service facilities;
(iii) Structural modifications and minor additions necessary to
permit the development of (A) improved rail passenger facilities, (B)
intercity bus terminal and docking facilities, (C) adequate facilities
for local mass transit, and (D) parking and access for automobiles and
bicycles; and
(iv) Provisions for accommodating major tenants and concessionaires
such as airline ticket offices, rent-a-car offices, and other
transportation service facilities.
(b) Preservation funds. Federal financial assistance under
subsection 4(i)(3) of the Act, for the preservation of a railroad
passenger terminal which has a reasonable likelihood of being converted
or otherwise maintained, may be expended for costs incurred after the
date of project approval which are necessary to maintain (and prevent
the

[[Page 444]]

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]
Sec. 256.9 [Reserved]

Sec. 256.11 Applications.

(a) Incorporation by reference in application of previously
submitted information or material. Any information or material of any
kind which has been submitted by an applicant need not be resubmitted if
the prior submission is identified and incorporated by reference in the
application. Where the prior submission is in need of any changes of any
kind, the changes may be submitted provided the prior submission is
identified and incorporated by reference with the changes. Any
assurance, certification, or affirmation previously made by the
applicant, in connection with a prior submission, must be reaffirmed by
the applicant when any identification and incorporation by reference of
previously submitted materials is made.
(b) Pre-applications for demonstration funds. In accordance with
appendix M of Office of Management and Budget Circular A-102, applicants
shall use the pre-application form directed for use for construction,
land acquisition, and land development projects when applying for
demonstration funds under this program. Applicants shall include under
Part IV (Program Narrative) of the pre-application form:
(1) A statement of whether the railroad passenger terminal is listed
in the National Register;
(2) A statement as to the interest and anticipated cooperation of
the terminal owner and the relevant transportation companies;
(3) Where the applicant contemplates using funds it has received or
will receive from other Federal programs for the planning or
preservation stage of the projects, a brief description of the sources,
and total anticipated amount of such funds; and
(4) A breakdown of the total allowable project costs.

[[Page 445]]

(c) Applications for demonstration funds. Upon notification of the
approval of the pre-application, applicants shall submit a final
application for demonstration funds using the Federal Assistance
Application for Construction Programs in accordance with appendix M of
Office of Management and Budget Circular A-102. Applicants shall include
under Part IV (Program Narrative) of the form:
(1) A list of all organizations which will participate in the
planning, implementation, or operation of each project, along with a
discussion of the role of each organization;
(2) A full discussion of the desirability and feasibility of the
project and a summary of the benefits to be derived;
(3) A summary of each proposed use of the intermodal passenger
terminal for a civic or cultural activity;
(4) A description and documentation of existing or potential markets
for interline intermodal service making use of the project facility, and
of any changes in existing services which must be provided to achieve
this potential;
(5) The proposed period during which the project will be evaluated
to determine whether it has achieved the goals set forth in
Sec. 256.13(b);
(6) A detailed description of the rail passenger terminal (including
where applicable the description on file with the National Register),
the available transportation facilities, and the proposed intermodal
passenger transportation improvements;
(7) Evidence that the architectural integrity of the railroad
passenger terminal will be preserved;
(8) A detailed estimate of the total allowable project costs,
listing and identifying each cost to the maximum possible extent;
(9) Evidence of the applicant's ability and intent to furnish its
share of the total allowable costs;
(10) Evidence that the applicant has established, in accordance with
Attachment G of Office of Management and Budget Circular A-102, adequate
procedures for financial control, accounting, and performance
evaluation, in order 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;

[[Page 446]]

(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;

[[Page 447]]

(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.

[[Page 448]]

(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

[[Page 449]]

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]

Sec. 256.13 Review and approval of applications.

(a) Pre-applications. Pre-applications for demonstration funds shall
be reviewed by the Administrator in consultation with the Chairman and
the Council.
(b) Applications. The Administrator shall review applications in
consultation with the Chairman and the Council and select and monitor
projects most likely to accomplish the following goals:
(1) Demonstrate the capabilities of intermodal terminals to provide
a more effective means of passenger interchange between various modes of
transportation;
(2) Demonstrate the advantages of joint use terminal facilities to
carriers;

[[Page 450]]

(3) Demonstrate a more comprehensive and effective network of energy
efficient surface common carrier transportation services through
improving coordinated interline intermodal exchange at selected
intermodal passenger terminals distinguished by coordinated information
systems, schedules, and through ticketing and baggage handling;
(4) Evaluate user response to such coordinated interline intermodal
transportation services, and to joint carrier use of terminal
facilities;
(5) Demonstrate the potential of underutilized railroad passenger
terminals of historical and architectural distinction for improving
intermodal passenger transportation services and for providing an
appropriate focal point for civic and cultural activities;
(6) Stimulate local public and private investment, by transportation
carriers and others, in improved intercity and local public
transportation facilities and services;
(7) Encourage the preservation of railroad passenger terminals
pending the formulation of plans for reuse; and
(8) Encourage the development of plans for the conversion of
railroad passenger terminals into intermodal passenger terminals, which
may incorporate civic and cultural activities where feasible.
(c) Preferential consideration. In reviewing applications for
planning funds, the Administrator shall give preferential consideration
to applicants whose completed designs and plans will be implemented and
effectuated within three years after the date of completion.
(d) Approval within 90 days. The Administrator will approve or deny
each application within 90 days of the submission dates set forth in
Sec. 256.11(f)(3) and the Administrator will promptly notify in writing
each applicant whose application has been approved.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21890, May 22, 1978; 44
FR 21647, Apr. 11, 1979]

Sec. 256.15 Disbursement of financial assistance.

(a) Grant agreement. After receipt, review, and approval of an
application, the Administrator will enter into a grant agreement with an
applicant for the Federal share of the total allowable project costs.
The terms and conditions of payment of the Federal share shall be set
forth in the grant agreement.
(b) Record retention. Each recipient of financial assistance under
this part shall keep such records as the Administrator shall prescribe,
including records which fully disclose the amount and disposition by
such recipient of the proceeds of such assistance, the total cost of the
project or undertaking in connection with which such assistance was
given or used, the amount of that portion of the cost of the project or
undertaking supplied by other sources, and such other records as will
facilitate an effective audit.
(c) Audit and examination. Until the expiration of three years after
the completion of the project or undertaking referred to in paragraph
(b) of this section, the Administrator and the Comptroller General of
the United States, or any of their duly authorized representatives,
shall have access for the purpose of aduit and examination to any books,
documents, papers, and records of such receipts which, in the opinion of
the Administrator or the Comptroller General, may be related or
pertinent to such financial assistance.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21890, May 22, 1978]

Appendix A to Part 256--Certificate

The following is the form of the certificate to be executed by each
person signing a pre-application or application:

______________ (Name of Person) certifies that he is the Chief
Executive Officer of ______________ (Name of Agency or Organization);
that he is authorized to sign and file with the Federal Railroad
Administrator this (pre-application or application); that he has
carefully examined all of the statements contained in the (pre-
application or application) relating to ______________; that he has
knowledge of the matters set forth therein and that all statements made
and matters set forth therein are true and correct to the best of his
knowledge, information and belief.

[43 FR 21890, May 22, 1978]

[[Page 451]]

PART 260--REGULATIONS GOVERNING SECTION 511 OF THE RAILROAD REVITALIZATION AND REGULATORY REFORM ACT OF 1976, AS AMENDED--Table of Contents

Subpart A--Procedures for Application for Commitment to Guarantee or
Guarantee of Obligations

Sec.
260.1 Applicability.
260.3 Definitions.
260.5 Eligibility.
260.7 Form and content of application.
260.9 Required exhibits.
260.11 Preapplication and application procedure.
260.13 Information requests.
260.15 Waivers and modifications.

Appendix to Subpart A--Environmental Assessments

Subpart B--Standards for Maintenance of Facilities by Recipients of
Obligation Guarantees

260.17 Applicability.
260.19 Definitions.
260.21 Standards.
260.23 Inspection and reporting.
260.25 Waiver.
260.27 Impact on other laws.
260.29 Penalties.

Subpart C--Procedures for Computing the Internal Rate of Return on
Projects

260.31 Applicability.
260.33 Definitions.
260.35 Procedures to be followed and format to be utilized.

Appendix A to Part 260--Selected Cash Flow Impacts
Appendix B to Part 260--Forms to be Used in Computing IRR

form I--analysis of capitalized investment
form II--analysis of sale or retirement of assets
form III--analysis of expenses and contribution to profit
form IV--consolidation of cash flows
form V--computation of irr

Authority: Railroad Revitalization and Regulatory Reform Act of
1976, Pub. L. 94-210, 90 Stat. 76, as amended by the Rail Transportation
Improvement Act, Pub. L. 94-555, 90 Stat. 2625; the Department of
Transportation Act, 49 U.S.C. 1651 et seq., regulations of the Office of
the Secretary of Transportation, 49 CFR 1.49(u).

Source: 43 FR 14870, Apr. 7, 1978, unless otherwise noted.

Subpart A--Procedures for Application for Commitment to Guarantee or
Guarantee of Obligations

Sec. 260.1 Applicability.

This subpart prescribes the procedures governing applications for a
commitment to guarantee or a guarantee of the payment of the principal
balance of, and any interest on, an obligation of an applicant under
section 511 of the Railroad Revitalization and Regulatory Reform Act of
1976, as amended (``Act''). Applications for a commitment to guarantee
or a guarantee of obligations of the Consolidated Rail Corporation for
electrification of high-density mainline routes must be filed in
accordance with these procedures, as provided in section 211(i) of the
Regional Rail Reorganization Act of 1973, as amended (45 U.S.C. 721(i)).
These procedures also govern applications for a commitment to guarantee
or guarantee of obligations incurred for the purpose set forth in
section 517 of the Act, improvement of intercity rail passenger service
on lines of the applicant located outside the Northeast Corridor, being
the properties acquired by the National Railroad Passenger Corporation
pursuant to title VII of the Act and described in section 701(a)(4) of
the Act.

Sec. 260.3 Definitions.

As used in this part--
(a) Act means the Railroad Revitalization and Regulatory Reform Act
of 1976 (Pub. L. 94-210, February 5, 1976), as amended.
(b) Administrator means the Federal Railroad Administrator, or his
delegate.
(c) Applicant means any railroad, or other person (including a
governmental entity) that submits an application to the Administrator
for the guarantee of an obligation under which it is an obligor or for a
commitment to guarantee such an obligation.
(d) Commission means the Interstate Commerce Commission.
(e) Equipment means any type of new or rebuilt standard gauge
locomotive, caboose, or general service railroad

[[Page 452]]

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.

Sec. 260.5 Eligibility.

Under section 511 the Administrator may guarantee and make
commitments to guarantee the payment of the principal balance of, and
any interest on, an obligation of any applicant prior to, on, or after
the date of execution or the date of disbursement of such obligation, if
the proceeds of such obligation shall be or have been used to acquire or
to rehabilitate and improve facilities or equipment, or to develop or
establish new railroad facilities.

Sec. 260.7 Form and content of application.

(a) Each application shall include, in the order indicated and
identified by applicable section numbers and letters corresponding to
those used in this part, the following information:
(1) Full and correct name and principal business address of the
applicant;
(2) Date of applicant's incorporation, or organization if not a
corporation, and name of the government, state or

[[Page 453]]

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

[[Page 454]]

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 Sec. 260.6) by the applicant and
other parties (as applicable) with particular emphasis on increases and
decreases in national use of petroleum, natural gas, and coal.
(8) Statement, together with supporting evidence, that the
transaction will improve the ability of any affected railroad to
transport passengers or freight;
(9) Statement of applicant's maintenance program for its entire rail
system and planned maintenance program for the equipment or facilities
financed by the proceeds of the obligation;
(10) Certified statement that applicant will pay to the
Administrator in accordance with Sec. 260.11(b)(4) an initial
investigation charge and any additional investigation charges the
Administrator assesses with respect to analysis and evaluation of the
application, appraisal of any security offered by an applicant, and all
studies and investigations that the Administrator deems necessary in
order to make determinations or findings prescribed in the Act, up to a
maximum of one-half of one percent of the obligation for which a
guarantee is sought.
(11) With respect to each existing holder or proposed prospective
holder, a statement as to:
(i) Full and correct name and principal business address;
(ii) Reference to applicable provisions of law and the charter or
other governing instruments conferring authority on the holder to accept
the obligation;
(iii) Brief statement of the circumstances and negotiations leading
to the agreement by the holder to take the proposed obligation;
(iv) Brief statement of the nature and extent of any affiliation or
business relationship between the existing or prospective holder and any
of its directors, partners, or principal executive officers, on the one
hand, and, on the other, the applicant and any of its directors,
partners, or principal executive officers, or any person or persons
whose name is required to be furnished under paragraph (a)(11)(v) of
this section; and
(v) Full and complete statement of all sums to be given by the
holder in connection with the proposed obligation including:
(A) Name and address of each person to whom the payment has been
made or will be made and nature of any affiliation, association, or
prior business relationship between any person named in this paragraph
and the holder or any of its directors, partners, or officers;
(B) Amount of the cash payment, or the nature and value of other
consideration; and

[[Page 455]]

(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]

Sec. 260.9 Required exhibits.

There shall be filed with and made a part of each application and
copy thereof the following exhibits, except that exhibits filed with the
Administrator pursuant to some other statutory provision or regulation
which are in the same format as the following exhibits may be
incorporated in and made part of the application filed under this part
by reference. While the application is pending, when actual data become
available in place of the estimated or forecasted data required in the
exhibits under this part, such actual data must be reported promptly to
the Administrator in the form required in the appropriate exhibit. All
forecasted data required in the exhibits under this part must be based
on the assumption that the project will be funded on the January 1 next
following the date of the application.
(a) Exhibit A. Map of applicant's existing railroad with location of
project indicated, if appropriate.
(b) Exhibit B. Statement showing to the latest available date but in
any event to a date no less recent than the end of the 3d month
preceding the date of filing of the application:
(1) Maximum number of locomotive units out of service during each
quarter due to business conditions; maximum number of such units out of
service during each quarter due to mechanical defects; and ratio of each
to total ownership quarterly for each of the last 3 calendar years but
not earlier than the quarter ending June 1974, and the current calendar
year; and
(2) Maximum number of general service freight cars out of service
during each quarter due to business conditions; maximum number of such
cars out of service during each quarter due to mechanical defects; and
ratio of each to total number of general service freight cars owned by
applicant quarterly for each of the last 3 calendar years but not
earlier than the quarter ending June 1974, and the current calendar
year.
(c) Exhibit C. A copy of applicant's most recent year-end general
balance sheet certified by applicant's independent public accountants,
if available, and a copy of applicant's most recent unaudited general
balance sheet as of a date no less recent than the end of the third
month preceding the date of filing of the application. The unaudited
balance sheet shall be presented in account form and detail as required
in Schedule 200 of the Commission's Annual Report R-1 or R-2, as
appropriate, together with the following schedules (where changes in
accounts from the end of the prior year to date of the application have
not been significant, copies of the appropriate schedules in the prior
year's R-1 or R-2 with marginal notations listing the changes may be
submitted:

[[Page 456]]

(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.

[[Page 457]]

(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

[[Page 458]]

state whether the commenter supports or opposes the application and the
reasons therefor.
The comments will be taken into consideration by the Federal
Railroad Administration in evaluating the application. However, formal
acknowledgment of the comments will not be provided.

Note: The account forms referred to in the exhibits are those of the
Commission's Uniform System of Accounts for Railroad Companies in use on
October 1, 1976. However, the information required in any of the
exhibits shall give effect to any modification of the Commission's
Uniform System of Accounts for Railroad Companies in effect on the date
of filing the application.

Sec. 260.11 Preapplication and application procedure.

(a) When a railroad or any other person has developed plans for a
project for which it may wish to seek assistance under this part, a
responsible official of the railroad or other person may request a
meeting with the Associate Administrator for Federal Assistance of the
FRA to discuss those plans. Upon receipt of such request, the Associate
Administrator will promptly schedule a meeting at which the railroad or
other person will present to representatives of the FRA the proposed
project and discuss with them information which must be submitted in the
application and the type of terms 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)

[[Page 459]]

(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, DC.

Dear Sir: Being duly authorized by ____________ (jointly and
severally/if more than one) (the ``Applicant'') to convey the
understandings hereinafter set forth, I respectfully submit this
application and remit its filing fee. By this filing, Applicant requests
the Administrator to investigate the application and make the necessary
findings upon which Applicant's eligibility for a Commitment to
Guarantee [Guarantee] may be determined.
Applicant understands that neither the acceptance of this filing,
the deposit of the filing fee, nor the commencement of an investigation
acknowledges the sufficiency of the application's form, content or
merit. Furthermore, Applicant understands that the Administrator will
incur numerous expenses by this filing, and promises to pay, when
charged, such amounts as the Administrator may assess with respect to
the investigation of the application, the appraisal of security being
offered, and the making of the necessary determinations and findings, up
to one-half of one percent (including the filing fee) of the principal
amount of the obligation for which Applicant seeks a Commitment to
Guarantee [Guarantee].
Finally, Applicant understands that (1) payment of all such charges
is required prior to the Administrator's final determination, (2) no
charge will be cancelled nor refund made upon any termination of this
application, (3) notice of this application will be published in the
Federal Register to invite comment by interested parties, and (4) the

[[Page 460]]

Administrator will assess an annual premium charge, pursuant to the Act,
on any obligation guaranteed under section 511.
Respectfully submitted,
________________________________________________________________________
Applicant(s)
________________________________________________________________________
Seal(s)
by ________________
Its (Their)

Sec. 260.13 Information requests.

If an applicant desires that any information submitted in an
application or supplement thereto not be released by the Administrator
upon request from a member of the public, the applicant must so state
and must set forth any reasons why such information should not be
released, including particulars as to any competitive harm which would
probably result from release of such information. The Administrator will
keep such information confidential as permitted by law.

Sec. 260.15 Waivers and modifications.

The Administrator may, upon good cause shown, waive or modify any
requirement of this part not required by law or make any additional
requirements he deems necessary.

Appendix to Subpart A--Environmental Assessments

Part I. Description of the environment in the area of the project
before commencement of such project, together with statement of other
Federal activities in the area which are known, or should be known, to
the applicant. This description shall include, without limitation, the
following information:
(A) Demographic data. Statement of population and growth
characteristics of area and of any population and growth assumptions
made by applicant in planning the project. Such statement should use the
rates of growth in the projection compiled for the Water Resources
Council by the Bureau of Economic Analysis of the Department of Commerce
and the Economic Research Service of the Department of Agriculture,
commonly referred to as the OBERS projection of regional economic
activity in the United States. Applicants should refer to 1972 OBERS
projections for economic areas, and provide 1969 data and 1980
projections for the following: Population; manufacturing earnings;
transportation, communications and public utilities earnings;
agriculture, forestry and fisheries earnings; and mining earnings.
Information should be provided for economic areas which the applicant's
proposal would affect.
(B) Current land use patterns. Statement of the project's
relationship to proposed land use plans, policies, and controls of
affected communities, including, where appropriate, maps or diagrams.
Where the project is inconsistent with any such plans, policies, or
controls, the statement should describe and explain in detail the
reasons for such inconsistency.
(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

[[Page 461]]

for the National Register. Officials designated by their Governors to
act as State Historic Preservation Officers responsible for state
activities under the National Historic Preservation Act may also be
consulted. A listing of these state officials may be found at 36 CFR
60.5(d), or may be obtained from the Director, National Parks Service,
U.S. Department of the Interior, Washington, DC 20240.
(G) Publicly-owned parklands, recreational areas, and waterfowl
refuges, and historic sites (45 U.S.C. 1653(f)). (i) Protected land
proposed to be used. Describe any publicly-owned land from a public
park, recreation area or wildlife and waterfowl refuge or any land from
an historic site or wildlife and waterfowl refuge or any land from an
historic site which would be affected or taken by the proposed program
or project, including the size of the land proposed to be affected or
taken, available activites on the land, use, patronage, unique or
irreplaceable qualities, relationship to other similarly used land in
the vicinity of the proposed project, and maps, plans, slides,
photographs, and drawings in sufficient scale and detail to clearly show
proposed project. Include a description of impacts of the proposed
project on the land and changes in vehicular or pedestrian access.
(ii) Significant area. Include a statement of the national, State,
or local significance of the entire park, recreation area, wildlife or
waterfowl refuge, or historic site as determined by the Federal, State
or local officials having jurisdiction thereof. In the absence of such a
statement, protected land is presumed to be located in an area of
national, State or local significance.
Part II. The probable impact of the project on the environment and
measures which can be taken to mitigate adverse impacts. The applicant
shall (1) assess the positive and negative environmental effects,
including primary, secondary, and other foreseeable effects, on each of
the areas specified in Part I of this appendix, including long-term
impacts associated with the increased intensity, if any, of rail
operations, and (2) list measures which can be taken to mitigate adverse
impacts. Mitigation measures include control of hours of operation,
coordination of street blockages with adjacent communities, dust and
erosion control measures, and proposed methods of tie disposal. In
addition, the applicant shall provide the following.
(A) Statement of the extent to which any of the impacts of the
project represent irreversible or irretrievable commitments of
resources. This requires identification of the extent to which
implementation of the project irreversibly curtails the range of
potential uses of the environment. ``Resources'' include the natural
cultural resources lost or destroyed as a result of the project.
(B) Statement of the relationship between local short-term uses of
man's environment and the maintenance and enhancement of long-term
productivity. This shall include a brief discussion of the extent to
which the proposed action involves trade-off between short-term
environmental gains at the expense of long-term losses, or vice versa,
and a discussion of the extent to which the proposed action forecloses
future options.
(C) Statement of any probable adverse environmental effect which
cannot be avoided, 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

[[Page 462]]

stated. Underlying studies, reports, and other information obtained and
considered in preparing each section of the statement should be
identified. For energy comparisons, a possible source is Oak Ridge
National Laboratory Report, ``Energy Intensiveness of Passenger and
Freight Transport Modes'' by Dr. Eric Hirst, April, 1973. For analyzing
community impacts, the following report may be useful: ``The Impacts on
Communities of Abandonment of Railroad Service,'' July, 1975, prepared
for the U.S. Railway Association by the Public Interest Economics
Center, Washington, D.C. In examining the environmental effects of
highway transport as an alternative to rail service, applicants may wish
to use the following publication: ``A Study of the Environmental Impact
of Projected Increases in Intercity Freight Traffic, August, 1971,
prepared for the Association of American Railroads by Battelle,
Columbus, Ohio.''

Subpart B--Standards for Maintenance of Facilities by Recipients of
Obligation Guarantees

Sec. 260.17 Applicability.

This subpart prescribes standards governing the maintenance of
facilities, as defined in subpart A of this part, that are being
acquired, rehabilitated, improved, or constructed with the proceeds of a
guaranteed obligation, by the recipient of such guarantee for the period
during which any portion of the principal or interest of such obligation
remains unpaid.

Sec. 260.19 Definitions.

The terms defined in subpart A of this part shall have the same
meaning for the purposes of this subpart that such terms are given in
Sec. 260.3 of this part.

Sec. 260.21 Standards.

(a) When the proceeds of an obligation guaranteed by the
Administrator are used to acquire, rehabilitate, improve or construct
track, roadbed, and related structures, the guarantee recipient shall,
as long as any portion of the principal or interest of such obligation
remains unpaid, maintain such facilities in at least the highest track
Class, as defined by FRA Track Safety Standards in part 213 of this
chapter, as that Class in which the rehabilitated, improved, acquired,
or constructed track is to be operated upon completion of the project
for which the obligation was guaranteed unless a waiver is granted in
accordance with Sec. 260.25.
(b) When the proceeds of an obligation guaranteed by the
Administrator are used in facilities, including those mentioned in
paragraph (a) of this section, the recipient shall, during the period in
which any portion of the principal or interest in such obligation
remains unpaid, maintain such facilities in a manner consistent with
sound engineering and maintenance practices and in a condition that will
permit the level of use that existed upon completion of the acquisition,
rehabilitation, improvement or construction of such facilities unless a
waiver is granted in accordance with Sec. 260.25.

Sec. 260.23 Inspection and reporting.

(a) The facilities subject to the provisions of this subpart shall
be inspected at such regular intervals as the Administrator deems
necessary to assure compliance with the standards set forth in
Sec. 260.21. Each recipient shall permit representatives of the FRA to
enter upon its property to inspect and examine such facilities at
reasonable times and in a reasonable manner. Such representatives shall
be permitted to use such testing devices as the Administrator deems
necessary to insure that the maintenance standards imposed by this
subpart are being followed.
(b) Each recipient shall submit to the Administrator annually
financial records and other documents detailing the maintenance
performed and the inspections conducted which demonstrate that the
recipient has complied with the standards in Sec. 260.21.

Sec. 260.25 Waiver.

Any recipient of a guarantee may petition the Administrator in
writing for relief from any or all requirements imposed by this subpart.
The Administrator may, for good cause shown, waive or modify any
requirements of this part. Good cause may include, but is not limited
to, insufficient capital resources of the recipient to comply with these
maintenance standards or changes in the level of service required for
any facility subject to this subpart.

[[Page 463]]

Sec. 260.27 Impact on other laws.

Standards issued under this subpart shall not be construed to
relieve the recipient of any obligation to comply with any other
Federal, State, or local law or regulation.

Sec. 260.29 Penalties.

If the Administrator finds that a guarantee recipient has violated
the requirements of this subpart, such recipient will be subject to
civil action for injunction to cease activities which violate this
subpart and for any other appropriate civil or criminal relief,
including termination, suspension, and punitive damages.

Subpart C--Procedures for Computing the Internal Rate of Return on
Projects

Sec. 260.31 Applicability.

This subpart prescribes the procedures to be followed and the format
to be utilized in computing the IRR under paragraph (a)(7)(i) of
Sec. 260.7 of subpart A of this part.

Sec. 260.33 Definitions.

As used in this subpart--
(a) Investment means any substantial non-recurring expenditure even
if expensed for accounting purposes.
(b) IRR means the estimated internal rate of return on a project for
which an application for financial assistance is filed pursuant to this
part.
(c) IRS means the Internal Revenue Service.

Sec. 260.35 Procedures to be followed and format to be utilized.

(a) A narrative discussion of the IRR computation for the project
consisting of the following five parts shall be prepared and provided:
(1) A detailed description of the project. This description must
present the following: The objectives of the project; what assets will
be improved, rehabilitated, acquired or constructed; where they will be
located; and how they will be used. It must also describe any other work
to be done as a part of the project, and any operating changes,
including retirement of assets, which will accompany the investment. For
these purposes, the project shall be deemed to include all expenditures
(including those for which no Federal assistance is requested) necessary
to carry out its objectives.
(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

[[Page 464]]

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

[[Page 465]]

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

[[Page 466]]

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

r
c i
<3-ln t --------
-
i=1
(1+r) ^{i

[[Page 467]]

equal to zero. In the above expression, r is the discount rate applied
to future cash flows; i is an index denoting a particular year of a
project's life; n is the number of years in the project's life; and
ci!is the differential cash flow in year i. Computer programs for
calculating the rate of return are widely available. If a program is
utilized, copies of the printout showing input and output data, and a
brief explanation of the program function must be included in the
application. If the applicant chooses not to use such a computer program
to find the IRR, the applicant may use Form V. If the IRR lies off the
graph, it is sufficient to report that the IRR is negative or above 50%.
If the nature of the cash flow stream is such that a unique IRR cannot
be found, the work done to develop the cash flow stream must be
submitted with a note that no IRR could be computed.
(c) Copies of all financial analyses which the applicant did on
rejected alternatives to the project, including changes in scale or
scope. The applicant need not do any such analyses beyond those already
done, nor need the format, assumptions, or procedures used in those
analyses be changed to conform to the requirements of these regulations.
(d) A reconcilation between the cash flows used in the IRR
computations and all forecasted data presented in the application, both
before (for the base case) and after (for the project) giving effect to
Federal assistance. This reconciliation must indicate what inflation
factor or factors were used in developing the forecasted financial
statements as compared to the constant dollar figures used in the IRR
computations. The reconciliation must also show how each of the
individual parts and subparts of the project relates to the applicant's
forecasted financial statements.

Appendix A to Part 260--Selected Cash Flow Impacts

Railroad investments usually affect the investor's cash flow by
changing some of the following things:
Use of assets.
Contribution from traffic.
Labor requirements.
Locomotive requirements.
Requirements for cars, trailers, and containers.
Maintenance material consumption.
Energy consumption.
Accident rates and severity.
Expenditures needed to meet legal requirements.
Salvage value.
Installation and start up expenses.

While this list is not exhaustive it does identify the most common cash
flow impacts.
Some of the items listed, such as start up expenses, are almost
always costs of projects or base cases, rather than benefits. Others,
such as salvage value, are usually benefits. Most of the items, however,
may be either project or base case benefits or costs, depending on the
particular situation.
This appendix briefly discusses each of the eleven factors listed
above. The discussions include four parts: a list of the kinds of
actions which often involve the particular cash flow impact in question;
the physical units in which the impact is generally measured;
suggestions for converting the physical units to their monetary
equivalent; and notes on special characteristics or problems associated
with the particular cash flow impact.

use of assets

Characteristic Actions: Assets are often released for sale or
altenative uses when they are replaced or made unnecessary by new
assets. Examples are pole line materials released when microwave is
installed; shop equipment released when similar new equipment is
acquired; rail replaced by rail in better condition; and land and track
materials released when yards, shops, and terminals are made unnecessary
by new facilities elsewhere. Some other types of actions, such as line
changes and the installation of centralized traffic control, often
permit some track segments to be abandoned, thereby releasing track
material for sale or other uses.
On the other hand, some actions involve the use of assets already
owned, thereby prohibiting their sale or use for other purposes.
Examples are car modifications and projects involving land and buildings
already owned.
Physical Units: Feet (or miles) of rail, number of ties, acres of
land, etc.
Monetary Value: The value of an asset released by an action depends
on what will be done with it. The value of an asset occupied by an
action, on the other hand, depends on what would have been done with it
in the absence of the action. Regardless of whether it is the action or
its alternative which makes the material available, one must first
carefully specify what is assumed to happen to the asset both with and
without the action, and identify the factors which change the cash flow
stream. Depending on the particular circumstances, any of the following
might be involved: Payment received from

[[Page 468]]

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.

contribution from traffic

Characteristic Actions: Actions which affect the availability and
attractiveness of the railroad to shippers. The action may involve
giving the shipper better access to the railroad (track extensions and
terminal improvements) or better service. Line consolidations, on the
other hand, may involve abandonments which deprive some shippers of
service, or may result in such degradations in service quality that some
shippers switch to other carriers. Faster service can result from more
power or improvements in track, yards, terminals, signals, and
communication. Another component of service quality, reduced loss and
damage to lading can be occasionally improved by eliminating accidents
(wayside warning devices), using specialized cars, and making
improvements to yard and terminal facilities. Service quality can also
be enhanced by purchases of additional freight cars and trailers, so as
to reduce the likelihood of car shortages. Another aspect of service
quality is reliability, which may be affected by improvements in yards,
terminals, and communications, as well as the elimination of accidents.
Still another component of service quality is the cost to the shipper of
packing and loading, which may be affected by investments in specialized
cars and terminal facilities.
Physical Units: Car-loads.
Monetary Value: The contribution to profit is found by subtracting
the variable cost of moving the traffic from the associated revenue. The
variable cost is best estimated by a careful study of the operations and
costs of the particular movements involved.
Such a study is not practical for certain traffic. In these cases
the best alternative may be to estimate the variable cost using system
averges, as is done in the Interstate Commerce Commission's Rail Form A,
Carload Cost Scales, and Rail Revenue Contribution studies. Where
appropriate, such system average costs should be adjusted to exclude
costs not involved in the particular movement, and to reflect the
current, not the historical, costs of assets to be purchased in the
future.
Special Features: The contribution from new traffic resulting from
an improvement is extremely important, but it is also one of the most
difficult of all project benefits to estimate. One major problem is
estimating the volume of traffic likely to result from a particular
improvement, especially if the improvement affects service quality. A
second serious problem is estimating the variable cost of particular
movements. (These estimates may be facilitated by a six-part FRA cost
study currently in progress.)

labor requirements

Characteristic Actions: Labor requirements are often reduced by
automation, facility consolidation, faster train running times,
reductions in switch engine requirements, better communications for
operations, and reductions in maintenance needs. On the other hand,
actions involving new or expanded yards, terminals, or shop facilities
may increase manpower requirements.
Physical Units: Man-hours, number of employees.
Monetary Value: The value of labor depends on the particular
situation. If the action results in a change in the number of employees
or in overtime hours, the wages and fringe benefits associated with that
change directly affect the railroad's cash flow. If an action changes or
eliminates work for employees without changing jobs or overtime, the

[[Page 469]]

change will affect the railroad's cash flow if either:
The man-hours released or occupied by the change can be used on
other profitable tasks which would otherwise not be done, or which would
be accomplished by paying overtime or hiring more people; or
The action can be combined with one or more other actions, each of
which saves or requires a fraction of an employee, so that the set of
actions results in a change in the size of the work force.
In either case, the value of the man-hours released or consumed is
the cost of the associated wages and fringe benefits. On the other hand,
if the result of the action is simply to give existing employees more
(or less) free time on the job, no cash impacts can be attributed to the
change in the amount of work.
Special Features: There are several different kinds of labor which a
project might affect: road crews, yard crews, maintenance-of-way, shop,
inspection, clerical, and other.
Determining the wages and fringe benefits associated with a
particular man-hour is often not straightforward because of rules
governing employee compensation. The payment of some train crews on a
mileage rather than a time basis is an example.
Wage and fringe benefit savings resulting from the elimination of
jobs may be at least partially offset by costs incurred as a result of
labor protection agreements. Depending on the situation, these costs may
be lump-sum or recurring. Determination of employee protection costs is
complicated by the fact that the individual who holds a position which
is to be eliminated may not be the person who is actually laid off as a
result of the elimination. Rather, the person whose job is actually
eliminated may displace a person with less seniority holding a similar
job. That person may, in turn, displace another employee and so on.

locomotive requirements

Characteristic Actions: Actions reducing train running time (track
upgrading, line changes, signal system improvements, etc.), or which
permit moving the same traffic with fewer trains (yard consolidations)
or with fewer terminal delays (yard and terminal improvements) can all
reduce the number of road engines needed. The number of switch engines
needed can be reduced by some types of yard and terminal improvements,
such as yard consolidations, track changes, and the installation of
weigh-in-motion scales. Actions which lead to increased traffic, such as
track extensions, may increase the need for both types of locomotives.
Physical Units: Locomotive-years (or locomotive-hours or locomotive-
days). Note that one does not have to save 365 locomotive-days to save a
locomotive-year, since locomotives are not available for service 365
days per year because of maintenance work. If a railroad's locomotives
were available for service 78% of the time, applicant would only have to
save 285 locomotive-days to save a locomotive-year.
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

r(1+r)^{a
-------------------------------
(1+r)^{a-1

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

[[Page 470]]

covered (by consolidating yards, for example) may decrease switch engine
requirements. As in the case of increased labor productivity, increased
locomotive productivity affects a railroad's cash flow only if a
locomotive can be sold (or a purchase avoided) or if the locomotive is
able to do other profitable work which would not be done otherwise.
Special Features: The locomotive values computed using the procedure
above include maintenance and overhaul expense, but not fuel or other
labor expense. Therefore any concomitant change in fuel or labor (except
maintenance) should be estimated separately. Care should be taken to
exclude changes in locomotive maintenance costs from any other estimates
of charges in maintenance costs resulting from the investment project.

requirements for cars, trailers, and containers

Characteristic Actions: Actions which change train running time
(such as track upgrading, purchase of additional power, line changes and
signal improvements); actions which change the time cars spend in yards,
or permit bypassing yards altogether (yard improvements and improved
communication systems); actions which change the time cars are out of
service for maintenance (shop facilities, car modifications, track
upgrading); and actions which affect the turn-around time for cars in
terminals.
Physical Units: Car-days.
Monetary Value: The procedure for finding the value of a locomotive-
year or day is equally applicable to cars. (See Locomotive
Requirements).
Another acceptable approach is to use per diem costs (including
incentive per diem) since those charges approximate the cost of
ownership. Although incentive per diem is in addition to car ownership
costs, its inclusion in the car-day value is justified because it
reflects, to some degree, the fact that a railroad sometimes loses
business during short peaks in demand, because it is not immediately
able to buy or hire the cars necessary to take advantage of a particular
business opportunity.
Over the long run, however, a railroad need not continually lose
traffic, so long as it is willing to incur the cost of owning a
sufficient number of cars. Therefore, it is not appropriate to use the
investing railroad's average contribution per car-day to value improved
car utilization in IRR calculations. Given that per diem is a
satisfactory approximation to the cost of car ownership, there is no
need to distinguish between foreign car-days saved and investor car-days
saved by an action.
Special features: The valuation of improved car utilization is
complicated by the fact that some projects, such as improvements in
classification yards, may affect the entire car fleet, while other
projects may affect only certain kinds of cars. For example, it may be
that all the cars affected by a particular terminal improvement are
refrigerator cars. The car-day value to be used is therefore not
necessarily the same in all projects. Rather, it depends on the type of
cars involved.

maintenance material consumption

Characteristic Actions: Since nearly all assets require maintenance,
almost any action involving the acquisition of new assets will lead to
expenditures for maintenance materials. On the other hand, actions which
involve taking assets out of service, such as replacements, eliminate
the need to maintain the retired assets. Improving track conditions may
decrease equipment maintenance, while decreasing traffic volumes may
decrease track maintenance needs.
Primary Units: List of materials involved (and quantities).
Monetary Value: The value of maintenance materials is the price of
those materials (plus freight in and labor added, if any). Where a
direct relationship exists between maintenance labor and materials, it
may be more convenient to first estimate man-hours and then compute
material costs in proportion to the man hours.
Special Features: The material costs (or savings) associated with
changes in maintenance may include work equipment, as well as the
materials consumed during maintenance.
Usually the best basis for predicting maintenance costs is the
maintenance history of similar assests in similar service. Manufacturers
can also sometimes provide projections of maintenance expense. To the
extent practical, care should be taken to specifically reflect cyclical
maintenance (overhauls) by assigning the maintenance cost (or savings)
to the years in which they will actually occur, rather than normalizing,
or smoothing out, the cash flow stream.
Assets which permit maintenance savings often involve maintenance
costs which partially offset those savings.

energy consumption

Characteristic Actions: Actions changing locomotive activity or
locomotive efficiency. Line changes and locomotive replacements may
reduce fuel consumption by road engines. Improvements in yards and
terminals, as well as locomotive replacements, may reduce the fuel
consumed by switch engines. Improvements in buildings and structures can
cut heating costs.
Physical Units: Gallons, kilowatt-hours, etc.

[[Page 471]]

Monetary Value: Found by multiplying the fuel or electricity by the
current price per unit.
Special Features: Road engine energy consumption generally varies
with gross tonmiles and speed. Yard engines are frequently idling,
consuming energy, even when not in use. Thus, energy consumption may
vary with the number of switch engine crew shifts rather than the amount
of work done. Care should be taken not to count changes in locomotive
energy consumption twice, once as a change in locomotive requirements
and once as a change in energy consumption.

accident rates and severity

Characteristic Actions: Accidents may be reduced by wayside warning
detectors (hot box detectors, grade crossing protection, dragging
equipment detectors, etc.), lading protection devices, some specially
equipped cars, some yard and terminal improvements, and track upgrading.
Physical Units: Accidents (of several different types) per year.
Monetary Value: Only the monetary cost likely to be borne by the
railroad would be relevant to the IRR computation. This would include
damage to equipment, roadway and lading, and the cost of wreckage
removal as well as injury to people. The expected cost of an accident
varies drastically, depending on the particular situation.
Special Features: Accidents delay trains and yard and terminal
operations. Thus, actions which reduce accidents may also improve car
and locomotive productivity. Care should be exercised that such benefits
are counted only once.

expenditures needed to meet legal requirements

Characteristic Actions: Actions permitting abandonment of old
facilities or equipment may reduce the need for such expenditures. New
facilities may make some such expenditures necessary.
Physical Units: List of actions, such as grade crossing protection,
water treatment facilities, or the installation of retention toilets,
which would be required to bring the facilities or equipment in question
up to legal standards.
Monetary Value: The total cost of the improvements including
engineering (except engineering work already done), capital expenditure,
maintenance, and operation. These expenditures should be offset by the
appropriate tax reductions (resulting from depreciation and investment
tax credit) which would result from those improvements.

salvage value

Characteristic Actions: Acquisition of new assets or disposal of
existing assets.
Physical Units: List of the particular assets involved (such as
tamping machine, 500' of 112 rail, etc.)
Monetary Value: The cash flow resulting from disposing of the assets
or using them elsewhere. (See Use of Assets).
Special Features: The salvage value of most assets declines as the
asset ages. The value of land often remains roughly constant, as does
the value of materials in well maintained track. The salvage value of
assets which cannot be used for other purposes, such as a culvert, is
zero.
When salvage values are small relative to other benefits and costs,
and when they are heavily discounted (because they occur far in the
future), their impact on the IRR is likely to be negligible. In such
cases, the salvage value can be safely ignored.

installation and start-up expenses

Characteristic Actions: Most fixed facilities.
Physical Units: Man-hours, list of materials required.
Monetary Value: As noted in the discussion of labor requirements the
value of the labor depends on the particular situation. The value of the
materials would normally be their market price.
Special Features: Often all or part of the expenditures needed to
get a new asset in place and operating is capitalized. In such a case,
the capitalized portion of the expenditure should be included as part of
the investment cost, but not counted again as a start-up expense.

Appendix B to Part 260--Forms to be Used in Computing IRR
Form I.--Analysis of capitalized investment (constant dollars)
Applicant................ ..........
Project.................. ..........
Date..................... ..........
Sheet No................. of........
.......
Portion of investment covered by ......................... ..........
this sheet.
Depreciation method used......... Depreciation period...... ..........
This investment would occur in the {time} Project {time} Base case
(check one)

[[Page 472]]

----------------------------------------------------------------------------------------------------------------
(4)--Tax
(3)--Tax reduction (5)--Net
Year (1)--Amount (2)--Depreciation reduction from cash flow in
capitalized from investment (out)
depreciation tax credit
----------------------------------------------------------------------------------------------------------------
1....................................
2....................................
3....................................
4....................................
5....................................
6....................................
7....................................
8....................................
9....................................
10...................................
11...................................
12...................................
13...................................
14...................................
15...................................
--------------------------------------------------------------------------
Totals.........................
----------------------------------------------------------------------------------------------------------------
Instructions

Use separate forms for portions of the investment which would receive different tax treatment or which would
enter service in different years.
Estimate amounts in cols. 1-4 as would be done in reporting to IRS.
Col. 5 equals col. 3 plus col. 4 minus col. 1.

Form II.--Analysis of sale or retirement of assets (constant dollars)
Applicant................ ..........
Project.................. ..........
Date..................... ..........
Sheet No................. of........
.......
Assets covered by this sheet..... ......................... ..........
Depreciation method used......... Depreciation period...... ..........
Book value of assets at time of ......................... ..........
sale.
This sale would occur in the {time} Project {time} Base case (check
one)

----------------------------------------------------------------------------------------------------------------
(2)--Tax on
gain (or tax (3)--Tax
Year (1)--Sale saving on credit (4)--Net cash
price loss) from recapture flow in (out)
disposal
----------------------------------------------------------------------------------------------------------------
1...............................................
2...............................................
3...............................................
4...............................................
5...............................................
6...............................................
7...............................................
8...............................................
9...............................................
10..............................................
11..............................................
12..............................................
13..............................................
14..............................................
15..............................................
---------------------------------------------------------------
Totals....................................
----------------------------------------------------------------------------------------------------------------
Instructions

Use a separate form for each portion of the assets which would receive different tax treatment or be disposed
of at different times.
Estimate amounts in cols. 1-3 as would be done in reporting to the IRS.
Col. 4 equals col. 1 minus col. 2 (plus col. 2 if a tax saving occurs) minus col. 3.

Form III.--Analysis of expenses and contribution to profit (constant
dollars)
Applicant................ ..........
Project.................. ..........
Date..................... ..........
Sheet No................. of........
.......
Expense or contribution.......... ......................... ..........
Physical units used.............. Monetary value per ..........
physical unit.

[[Page 473]]

----------------------------------------------------------------------------------------------------------------
Physical units (4)--Cash
------------------------------------------- difference (in
Year before-tax
(1)--Project (2)--Base (3)--Difference constant
case dollars)
----------------------------------------------------------------------------------------------------------------
1....................................................
2....................................................
3....................................................
4....................................................
5....................................................
6....................................................
7....................................................
8....................................................
9....................................................
10...................................................
11...................................................
12...................................................
13...................................................
14...................................................
15...................................................
----------------------------------------------------------
Totals.........................................
----------------------------------------------------------------------------------------------------------------
Instructions

This form applies to all cashflow impacts except capitalized investments and sales or retirements of assets.
Use a separate form for each type of expense or contribution to profit.
Col. 3 equals col. 1 minus col. 2.
Col. 4 equals col. 3 times monetary value per physical unit.

[[Page 474]]

Form IV.--Consolidation of cash flows (constant dollars)
Applicant................ ..........
Project.................. ..........
Date..................... ..........
Sheet No................. of........
.......

--------------------------------------------------------------------------------------------------------------------------------------------------------
Form I totals Form II totals Form III
----------------------------------------------------------------------------- (7)--Net
Year (2)--Base (4)--Base (5)--Before (6)--After cash flow
(1)--Project case (3)--Project case tax totals tax in (out)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1..............................................................
2..............................................................
3..............................................................
4..............................................................
5..............................................................
6..............................................................
7..............................................................
8..............................................................
9..............................................................
10.............................................................
11.............................................................
12.............................................................
13.............................................................
14.............................................................
15.............................................................
----------------------------------------------------------------------------------------
Totals...................................................
--------------------------------------------------------------------------------------------------------------------------------------------------------
Instructions

Cols. 1 through 5 are found by summing the right most columns on the indicated forms I-III.
Col. 6 equals col. 5 times (1 minus marginal tax rate) unless taxes will be paid in some years but not others.
Col. 7 equals col. 1 plus col. 3 plus col. 6 minus col. 2 minus col. 4. The subtracting of a (net cash flow out) results in the addition of a positive
number.

[[Page 475]]

Form V.--Computation of IRR (constant dollars)
Applicant................ ..........
Project.................. ..........
Date..................... ..........
Sheet No................. of........
.......

----------------------------------------------------------------------------------------------------------------
Present value
(1)--Cash -----------------------------------------------------------------------
Year flow (2)--Value (3)--Value (4)--Value
Factor at 10 pct Factor at 25 pct Factor at 40 pct
----------------------------------------------------------------------------------------------------------------
1........................... 0.909 0.800 0.714
2........................... .826 .640 .510
3........................... .751 .512 .364
4........................... .683 .410 .260
5........................... .621 .328 .186
6........................... .564 .262 .133
7........................... .513 .210 .095
8........................... .467 .168 .068
9........................... .424 .134 .048
10.......................... .386 .107 .035
11.......................... .350 .086 .025
12.......................... .319 .069 .018
13.......................... .290 .055 .013
14.......................... .263 .044 .009
15.......................... .239 .035 .006
-----------------------------------------------------------------------------------
Total.................
----------------------------------------------------------------------------------------------------------------

present value of cash flow stream

IRR = ...............---------------------------------------------------
Instructions
1. Col. 1 is brought from form IV col. 7
2. Cols. 2, 3, and 4 are found by multiplying col. 1 each time by
the indicated factor.
3. Plot totals of cols. 1, 2, 3, and 4 against discount rate used
(0, 10, 25, and 40 pct respectively). Applicant must indicate scale on
horizontal axis of chart and connect the points in a column (1-4)
sequence.
4. IRR is the discount rate corresponding to the point at which the
graphical presentation intersects the zero present value ordinate.''

interpolation chart
[GRAPHIC] [TIFF OMITTED] TC01AP91.009

[[Page 476]]

PART 265--NONDISCRIMINATION IN FEDERALLY ASSISTED RAILROAD PROGRAMS--Table of Contents

Subpart A--General

Sec.
265.1 Purpose.
265.3 Applicability.
265.5 Definitions.

Subpart B--Requirements

265.7 Nondiscrimination clauses.
265.9 Affirmative action program--General.
265.11 Submission of affirmative action program.
265.13 Contents of affirmative action program.
265.14 Determining the MBE status of a business.
265.14-1 Appeals of determinations of MBE status.
265.15 Implementation and maintenance of affirmative action program.
265.17 Review of affirmative action program.

Subpart C--Compliance

265.19 Compliance information.
265.21 Conduct of investigations.
265.23 Procedures for effecting compliance.
265.25 Other information.

Appendix A to Part 265

Authority: Sec. 905 of the Railroad Revitalization and Regulatory
Reform Act of 1976, Pub. L. 94-210, 90 Stat. 31; regulations of the
Office of the Secretary of Transportation, 49 CFR 1.49(u).

Source: 42 FR 4286, Jan. 24, 1977, unless otherwise noted.

Subpart A--General

Sec. 265.1 Purpose.

The purpose of this part is to effectuate the provisions of section
905 of the Railroad Revitalization and Regulatory Reform Act of 1976
(hereinafter referred to as the ``Act'') to ensure that no person in the
United States shall on 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 U.S.C. 2000e (note)).
Subsection (d) of section 905 of the Act authorizes the Secretary to
prescribe such regulations and take such actions as are necessary to
monitor, enforce, and affirmatively carry out the purposes of that
section. This authority coupled with the provisions of section 906 of
the Act, which requires the establishment of a Minority Resource Center
which is authorized to encourage, promote and assist in the
participation by MBE enterprises in the restructuring, improvement,
revitalization and maintenance of our Nation's railroads, provides the
basis for requirements for the development of affirmative action
programs by recipients of Federal financial assistance and certain of
their contractors to insure that minorities and MBEs are afforded ample
consideration with respect to employment and contractual opportunities
produced as a result of the implementation of the Act and other
provisions of law amended by the Act.

Sec. 265.3 Applicability.

This part applies to any project, program, or activity funded in
whole or in part through financial assistance provided under the Act,
and to any activity funded under any provision of the Regional Rail
Reorganization Act of 1973, as amended (45 U.S.C. 701 et seq.) or the
Rail Passenger Service Act, as amended (45 U.S.C. 501 et seq.) amended
by the Act including the financial assistance programs listed in
appendix A. It applies to contracts awarded to implement the Northeast
Corridor Project and to financial assistance programs administered by
the United States Railway Association.

Sec. 265.5 Definitions.

As used in this part, unless the context indicates otherwise:
(a) Act means the Railroad Revitalization and Regulatory Reform Act
of 1976 (Pub. L. No. 94-210).
(b) Administrator means the Federal Railroad Administrator or his
delegate.
(c) Affirmative action program means the program described in
Sec. 265.9 through Sec. 265.15 of this part.

[[Page 477]]

(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]

Subpart B--Requirements

Sec. 265.7 Nondiscrimination clauses.

(a) Each agreement for financial assistance made under any provision
of the Rail Acts shall include, or in the case of agreements made prior
to the effective date of this part, shall be amended to include, the
following clauses:
(1) As a condition to receiving Federal financial assistance under
the Railroad Revitalization and Regulatory Reform Act of 1976 (``Act''),
or the provisions of the Regional Rail Reorganization Act of 1973, as
amended (45 U.S.C. 701 et seq.), or the Rail Passenger Service Act of
1970, as amended (45 U.S.C. 501 et seq.) amended by the Act
(collectively called, together with the Act, the ``Rail Acts''), the
recipient hereby agrees to observe and comply with the following:
(i) No person in the United States shall on the ground of race,
color, national origin or sex be excluded from participation in, or
denied the benefits of, or be subjected to discrimination under, any
project, program, or activity funded in whole or in part through such
assistance.
(2) The following specific discriminatory actions are prohibited:
(i) A recipient under any project, program or activity to which
these clauses apply shall not, directly or through contractual or other
arrangements, on the ground of race, color, national origin, or sex:
(A) Deny a person any service, financial aid, or other benefit
provided under such project, program or activity;
(B) Provide any service, financial aid, or other benefit to a person
which is different, or is provided in a different manner, from that
provided to others under such project, program or activity;
(C) Subject a person to segregation or separate treatment in any
matter related to his receipt of any service, financial aid or other
benefit under such project, program or activity;
(D) Restrict a person in any way in the enjoyment of any advantage
or privilege enjoyed by others receiving

[[Page 478]]

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.

[[Page 479]]

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

[[Page 480]]

activity which receives financial assistance under the Rail Acts with a
contractor debarred from or who has not demonstrated eligibility for
Federal or federally assisted contracts, and will carry out such
sanctions and penalties for violation of this part as may be imposed
upon contractors and subcontractors by the Administrator or any other
authorized Federal official. The recipient shall insure that the clauses
required by 41 CFR 60-1.46 implementing Executive Order 11246 will be
placed in each non-exempt federally assisted construction contract.
(14) The recipient agrees to comply with and implement the written
affirmative action program as approved by the Administrator pursuant to
Sec. 265.17 of title 49 CFR.
(15) The recipient agrees to notify the Administrator promptly of
any law suit or complaint filed against the recipient alleging
discrimination on the basis of race, color, national origin or sex.
(16) The recipient shall include the preceding provisions of
paragraphs (a) (1) through (15) of this section in every contract or
purchase order, whether for the furnishing of supplies or services or
for the use of real or personal property, including lease arrangements,
or for construction relating to projects, programs or activities
financed in whole or in part under the Rail Acts. The recipient shall
cause each such contractor or vendor to include the provisions of
paragraphs (a) (1) through (15) of this section in every subcontract.
The recipient will take such action with respect to any such contract or
purchase order as the Administrator may direct as a means of enforcing
such provisions including sanctions for noncompliance; provided,
however, that in the event the recipient becomes involved in, or is
threatened with, litigation with a contractor or vendor as a result of
such direction by the Administrator, the recipient may request the
United States to enter into such litigation.

Sec. 265.9 Affirmative action program--General.

Recipients of financial assistance under the Rail Acts and their
contractors, as specified herein, shall develop and maintain an
affirmative action program to insure that persons and businesses are not
discriminated against because of race, color, national origin or sex in
programs, projects and activities financed in whole or in part through
financial assistance provided under the Rail Acts, and that minorities
and MBEs receive a fair proportion of employment and contractual
opportunities which will result from such programs, projects and
activities.

Sec. 265.11 Submission of affirmative action program.

(a) Each application for financial assistance under any of the Rail
Acts shall, as a condition to its approval and the extension of any
financial assistance pursuant to the application, contain or be
accompanied by two copies of a written affirmative action program for
review by and approval of the Administrator. Recipients that have
already entered into an agreement or other arrangement providing for
such assistance shall, within 60 days after the effective date of this
part, develop and submit to the Administrator two copies of a written
affirmative action program for review by and approval of the
Administrator and thereafter maintain such program.
(b)(1) Beginning 30 days after the effective date of this part, and
until 120 days after such date, each recipient shall require any
contractor, as a condition to an award of a contract, for $50,000 or
more for services or products on a project receiving federal financial
assistance under a program covered by section 905 of the Act:
(i) To furnish to the recipient a written assurance that it will,
within 90 days after the date of the award, develop and maintain a
written affirmative action program meeting the requirements of this part
for the project, program or activity covered by the contract,
(ii) To require each of its subcontractors receiving an award of a
subcontract for $50,000 or more within 120 days after the effective date
of this part, to furnish to the contractor as a condition to such an
award the written assurance described in paragraph (b)(1)(i) of this
section.
(2) Beginning 120 days after the effective date of this part, each
recipient

[[Page 481]]

shall require as a condition to the award of a contract or subcontract
of $50,000 or more that the contractor or subcontractor furnish a
certificate to the recipient or contractor as appropriate that a written
affirmative action program meeting the requirements of this part has
been developed and is being maintained.
(3) Notwithstanding paragraphs (b) (1) and (2) of this section, each
contractor or subcontractor having a contract or $50,000 or more but
less than 50 employees shall be required to develop and maintain a
written affirmative action program only for contracts in accordance with
Sec. 265.13(c) of this part.
(4) A recipient or contractor shall not procure supplies or services
in less than usual quantities or in a manner which is intended to have
the effect of avoiding the applicability of this paragraph.

Sec. 265.13 Contents of affirmative action program.

(a) General. A prerequisite to the development of a satisfactory
affirmative action program is the identification and analysis of problem
areas inherent in minority employment and utilization of MBEs, and an
evaluation of opportunities for utilization of minority group personnel
and MBEs. Therefore, an affirmative action program to guarantee
employment and contractual opportunities shall provide for specific
actions keyed to the problems and needs of minority persons and MBEs
including, where there are deficiencies based on past practices, and
with respect to future plans for hiring and promoting employees or
awarding contracts, the development of specific goals and timetables for
the prompt achievement and maintenance of full 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

[[Page 482]]

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.

Sec. 265.14 Determining the MBE status of a business.

FRA or a recipient may, on the basis of available information,
determine that a business is not an MBE within the meaning of this part.
This determination shall be final, except as provided in Sec. 265.14-1,
for that contract and other contracts being let by that contracting
agency at the time of the determination. Businesses may correct
deficiencies in their ownership and control and apply as MBEs only for
future contracts.

[44 FR 36339, June 21, 1979]

Sec. 265.14-1 Appeals of determination of MBE status.

(a) Filing. Any firm who believes that it has been wrongly
determined not to be an MBE under Sec. 265.14 by the FRA or a recipient
may file an appeal in writing with the Administrator. The appeal shall
be filed no later than 30 days after the date of the determination. The
Administrator may extend the time for filing or waive the time limit in
the interest of justice, specifying in writing the reasons for so doing.
Third

[[Page 483]]

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]

Sec. 265.15 Implementation and maintenance of affirmative action program.

The affirmative action program with respect to employment and
procurement practices shall set forth in detail applicant's recipient's
or contractor's program to implement and maintain its recommended action
program to insure that persons and businesses are not discriminated
against because of race, color, national origin or sex, and that
minorities and MBEs have equal employment and contractual opportunities
with applicant, recipient or contractor. In developing its maintenance
program for employment, applicants, recipients and contractors shall
follow the applicable regulations of the Department of Labor
implementing Executive Order 11246 at 41 CFR 60-2, subpart C, which
provisions may also be helpful in implementing and maintaining
applicant's recipient's or contractor's procurement program.

Sec. 265.17 Review of affirmative action program.

(a) Except as provided for contractors and subcontractors in
Sec. 265.11(b), each affirmative action program to be acceptable must
have the written approval of the Administrator.
(b) The Administrator recognizes that there may be some exceptional
situations where the requirements of Sec. 265.13 through Sec. 265.15 may
not fulfill the affirmative action objectives sought or that those
objectives may be better achieved through modified or different
requirements. Accordingly, the applicant, recipient or contractor may
request approval for modified or different requirements that embody the
objectives of Secs. 265.13 through 265.15. Such a request must include
detailed showings that the particular situation is exceptional and that
the modified or different proposals substantially comply with the
objectives of this part. If the Administrator determines that the
requirements for a detailed justification have been met, he may waive or
modify these requirements or impose different requirements as he deems
necessary to further the objectives sought herein.

Subpart C--Compliance

Sec. 265.19 Compliance information.

(a) Each recipient and contractor shall keep such records and submit
to the Administrator complete and accurate reports, at such times, and
in such form, and containing such information as the Administrator may
determine to be necessary to enable him to ascertain whether the
recipient or contractor has complied or is complying with this

[[Page 484]]

part. These records shall show in connection with the project, program
or activity funded in whole or in part through financial assistance
under the Rail Acts:
(1) Procedures which have been adopted to comply with the policies
set forth in this part, including the establishment of a source list of
MBEs;
(2) Specific efforts to identify and award contracts to MBEs; and
(3) Awards to MBEs on the source list required in paragraph (a)(1)
of this section.
(b) Each recipient and contractor shall permit access by the
Administrator during normal business hours to such of its books,
records, accounts and other sources of information and its facilities as
may in the opinion of the Administrator be necessary to ascertain
compliance with this part.
(c) Each recipient and contractor shall make available to
participants, beneficiaries and other interested persons, such
information regarding the provisions of this part and the applicability
to the program, project or activity under which the recipient received
financial assistance from the Rail Acts or under which the contractor is
awarded a contract and make such information available to them in such
manner as the Administrator finds necessary to apprise such persons of
the protections against discrimination assured them by the Act and this
part.

Sec. 265.21 Conduct of investigations.

(a) The Administrator shall from time to time review the practices
of recipients and contractors to determine whether they are complying
with this part. The Administrator shall to the fullest extent
practicable seek the cooperation of recipients and contractors in
obtaining compliance with this part and shall provide assistance and
guidance to recipients and contractors to help them comply voluntarily
with this part. As required by Sec. 265.7(a)(6) of this part recipients
and contractors shall from time to time review the practices of their
contractors and subcontractors to determine whether they are complying
with this part.
(b) Any person who believes himself or herself or any other person
to be subjected to discrimination prohibited by this part, may file with
the Administrator a written complaint. A complaint must be filed not
later than sixty (60) days after the date complainant discovers the
alleged discrimination, unless the time for filing is extended by the
Administrator.
(c) The Administrator will make a prompt investigation in cases
where a compliance review, report, complaint or other information
indicates a possible failure to comply with this part.
(d)(1) If an investigation pursuant to paragraph (c) of this section
indicates a failure to comply with this part, the Administrator shall
within ten (10) days after such determination so inform the recipient or
contractor in writing of the specific grounds for alleging noncompliance
and the matter shall be resolved by informal means whenever possible.
The notice shall provide that, if it has been determined that the matter
is not resolved by informal means within thirty (30) days after the
delivery of the notice, action will be taken as provided for in
Sec. 265.23.
(2) If an investigation does not warrant action pursuant to
paragraph (d)(1) of this section, the Administrator shall within ten
(10) days after such determination so inform the recipient, or
contractor and the complainant, if any, in writing.
(e) No recipient, contractor or other person shall intimidate,
threaten, coerce or discriminate against any individual for the purpose
of interfering with any right or privilege secured by section 905 of the
Act or this part, or because he or she made a complaint, testified,
assisted or participated in any manner in an investigation, proceeding
or hearing under this part. The identity of complainants shall be kept
confidential at their election during the conduct of any investigation,
proceeding or hearing under this part. But when such confidentiality is
likely to hinder the investigation the complainant will be advised for
the purpose of waiving the privilege.

Sec. 265.23 Procedures for effecting compliance.

(a) Whenever the Administrator determines that any recipient, or
contractor has failed to comply with the provisions of this part, or
with any

[[Page 485]]

Federal civil rights statute, or with any order or regulation issued
under such a statute, and such failure has not been resolved by informal
means pursuant to Sec. 265.21 of this part, the Administrator shall
within ten (10) days after such determination notify such recipient or
contractor, and the appropriate labor organization if the matter may
appear to affect a person who is covered by a collective bargaining
agreement, in writing of the specific grounds for alleging
noncompliance, and the right of such persons to respond to such
determination in writing or to request an informal hearing. Where the
Administrator determines that substantial noncompliance exists and it is
unlikely that compliance will be obtained, or that lack of good 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

[[Page 486]]

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.

Sec. 265.25 Other information.

(a) Each person required to submit a written affirmative action
program pursuant to this part shall include as an appendix thereto, the
following information except to the extent such information is already
provided as part of the application for financial assistance;
(1) A brief description of other pending applications to other
federal agencies for financial assistance, and of federal assistance
being provided at the time of submission of the affirmative action
program;
(2) A statement of any civil rights compliance reviews regarding
applicant or recipient conducted in the two year period before the
application, or affirmative action program; the name of the agency or
organization performing the review, and the findings of the review;
(3) Where the project, program or activity receiving financial
assistance will require the relocation of persons and businesses, a
description of the requirements and steps used or proposed to guard
against unnecessary impact on persons on the basis of race, color, or
national origin;
(4) Where the project, program or activity receiving financial
assistance will result in the construction of new facilities or
expansion of existing facilities, a description of the requirements and
steps used or proposed to guard against unnecessary impact on persons on
the basis of race, color or national origin;
(5) Where paragraphs (a) (3) and (4) of this section are applicable,
additional data such as demographic maps, racial composition of affected
neighborhoods, or census data should be provided

[[Page 487]]

where necessary or appropriate to evaluate the impact of projects,
programs and activities referred to in paragraphs (a) (3) and (4) of
this section.

Appendix A to Part 265

The following are the financial assistance programs to which this
part applies:
(a) Railroad Revitalization and Regulatory Reform Act of 1976, (1)
purchase of redeemable preference shares or trustee certificates
pursuant to section 505;
(2) Guarantee of obligations, the proceeds of which will be used to
acquire, or rehabilitate or improve rail facilities, or equipment,
pursuant to section 511; and
(3) Grants and contracts made to implement the Northeast Corridor
project under section 704.
(b) Regional Rail Reorganization Act of 1973, as amended, (1) loans
made by the United States Railway Association (USRA) pursuant to section
211;
(2) Purchase of securities of the Consolidated Rail Corporation
pursuant to section 216; and
(3) Grants to States, or local or regional authorities for rail
continuation assistance under section 402.
(c) Department of Transportation Act, (1) grants to States for rail
freight assistance programs under section 5 (sec. 803 of the Railroad
Revitalization and Regulatory Reform Act of 1976); and
(2) Grants under section 4(i) for the planning, preservation and
conversion of rail passenger terminals of historical or architectural
significance.
(d) Rail Passenger Service Act, (1) grants to Amtrak under section
601.

PART 266--ASSISTANCE TO STATES FOR LOCAL RAIL SERVICE UNDER SECTION 5 OF THE DEPARTMENT OF TRANSPORTATION ACT--Table of Contents

Sec.
266.1 Definitions.
266.3 Rail Service Assistance Program.
266.5 State eligibility.
266.7 Project eligibility.
266.9 Federal/State share.
266.11 Allowable costs.
266.13 Distribution of funds.
266.15 Requirements for State Rail Plan.
266.17 Applications.
266.19 Environmental impact.
266.21 Grant agreement and disbursement.
266.23 Record, audit, and examination.
266.25 Waivers and modifications.

Authority: Sec. 5 of the Department of Transportation Act (49 U.S.C.
1654), as amended by the Local Rail Service Assistance Act of 1978, Pub.
L. 95-607, 92 Stat. 3059.

Source: 44 FR 51129, Aug. 30, 1979, unless otherwise noted.

Sec. 266.1 Definitions.

As used in this part:
Acquisition assistance means funds granted to a State under section
5(f)(2) of the Department of Transportation Act (49 U.S.C. 1654(f)(2))
to cover the cost of acquiring by purchase, lease, or in such other
manner as the State considers appropriate, a line of railroad or other
rail properties, or any interest therein for existing or future rail
freight service.
Act means the Department of Transportation Act (49 U.S.C. 1650 et
seq.).
Administrator means the Administrator of the Federal Railroad
Administration or the Administrator's delegate.
Cash means an outlay of funds.
Commission means the Interstate Commerce Commission or any successor
Federal agency to the relevant activity.
Common carrier means a person providing railroad transportation for
compensation who is subject to the jurisdiction of the Commission under
subchapter I of chapter 105 of title 49 of the U.S.C.
Designated State Agency means the State agency designated under
section 5(j)(2) of the Act (49 U.S.C. 1654(j)(2)).
Entitlement means the amount of assistance which a State is eligible
to receive annually under section 5(h) of the Act (49 U.S.C. 1654(h)).
Equipment means rolling stock of the kind generally used by American
railroads in revenue freight service.
Facilities means track, ties, roadbed and related structures
including terminals, team tracks and appurtenances, bridges and tunnels,
and other structures used or usable for rail service operations.
FRA means the Federal Railroad Administration.
Federal Share means the contribution by the Administrator under
section 5(g) of the Act (49 U.S.C. 1654(g)) to a State's rail service
assistance program.
Final System Plan means the plan approved by the Congress under
section

[[Page 488]]

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.

Sec. 266.3 Rail Service Assistance Program.

(a) Scope of the program. The Rail Service Assistance Program
includes:
(1) Rail service continuation assistance;
(2) Acquisition assistance;
(3) Rehabilitation or improvement assistance;

[[Page 489]]

(4) Substitute service assistance;
(5) Rail facility construction assistance;
(6) Planning assistance; and
(7) Program operations assistance.
(b) Special limitations on planning assistance and program operation
assistance. (1) A State is eligible to receive up to $100,000, or 5
percent of its entitlement, whichever is greater, as planning
assistance; and
(2) A State is eligible to receive up to 5 percent of the total
amount of funds granted to it each fiscal year under paragraphs (a)(1)
to (5) of this section as program operation assistance.

Sec. 266.5 State eligibility.

(a) General eligibility requirements under the rail service
assistance program. A State is eligible for assistance if:
(1) The State has certified pursuant to section 5(j)(4) of the Act
that it has or will adopt and maintain adequate procedures for financial
control, accounting and performance evaluation in order to assure proper
use of Federal funds;
(2) For purpose of establishing a State Rail Plan, the State has
submitted, in accordance with Sec. 266.17(e) of this part, a planning
application; and
(3) For any other assistance,
(i) The State has established an adequate plan for rail services in
the State which (A) meets the requirements of Sec. 266.15 of this part;
(B) is part of an overall planning process for all transportation
services in the State; (C) includes a suitable procedure for updating,
revising, and amending such plan; and (D) as updated, revised, or
amended has been approved by the Administrator;
(ii) Such State Rail Plan (A) is administered or coordinated by a
designated State agency; (B) provides for the equitable distribution of
resources; and (C) includes a methodology for determining the ratio of
benefits to costs of projects for which acquisition assistance,
rehabilitation or improvement assistance, substitute service assistance,
and rail facility construction assistance is sought;
(iii) The State agency:
(A) Has authority and administrative jurisdiction to develop,
promote, supervise, and support safe, adequate, and efficient rail
transportation services;
(B) Employs or will employ, directly or indirectly, sufficient
trained and qualified personnel;
(C) Maintains or will maintain adequate programs of investigation,
research, promotion, and development with provision for public
participation; and
(D) Is designated and directed solely or in cooperation with other
State agencies to take all practicable steps to improve transportation
safety and to reduce transportation-related energy utilization and
pollution; and
(iv) The State undertakes to immediately notify the Administrator of
any changes in conditions which might affect its compliance with this
section.

Sec. 266.7 Project eligibility.

(a) Rail service continuation assistance, acquisition assistance and
substitute service assistance. A project is eligible for assistance
under Sec. 266.3(a) (1), (2), and (4) of this part, respectively, if:
(1) The Commission pursuant to 49 U.S.C. 10903 has found since
February 5, 1976, that the public convenience and necessity permit the
abandonment and discontinuance of rail service on the line related to
the project, except that any such line or related project eligible prior
to October 1, 1978, is eligible only until September 30, 1981 and any
such line eligible for rail service continuation assistance shall
receive such assistance for no more than 36 months after October 1,
1978;
(2) The line related to the project was eligible for assistance
under section 402 of the Rail Act (45 U.S.C. 762), except that any such
line or related project is eligible only until September 30, 1981; or
(3) For purposes of acquisition assistance, the line related to the
project is listed for possible inclusion in a rail bank in Part III,
Section C of the Final System Plan.
(b) Rehabilitation and improvement assistance and rail facility
construction assistance. A project is eligible for assistance under
Sec. 266.3(a) (3) and (5) of this part, respectively, if:
(1)(i) The Commission has not made a finding that the public
convenience and necessity would require or permit

[[Page 490]]

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.

Sec. 266.9 Federal/State share.

(a) Federal share. The Federal share of allowable costs under the
Rail Service Assistance Program is 80 percent, with the exception that
the Federal share of payments to be covered by rail service continuation
assistance shall be 70 percent for any third twelve month period which
begins on or after October 1, 1980 that such assistance is provided.
(b) State share-general. The State share of allowable costs under
the Rail Service Assistance Program shall be provided either in cash or
through eligible in-kind benefits which would not otherwise have been
provided. When more than the required State share is provided during the
Federal fiscal year beginning October 1, 1978, or thereafter, the amount
in excess of the required State share may be carried forward to
subsequent fiscal years. The State share of allowable costs under the
Rail Service Assistance Program may not be satisfied directly or
indirectly by any Federal funds unless the funds are provided through a
Federal program which specifically authorizes the use of such funds to
satisfy the non-Federal share of a Federally subsidized program.
(c) In-kind benefits--(1) Eligible types of benefits and their
valuation. The following types of in-kind benefits are eligible when
they are provided for projects eligible under Sec. 266.7 of this part
(whether or not Federal assistance is requested for the projects) or
they are activities which would be eligible for planning and program
operation assistance. Eligible in-kind benefits are valued as follows:
(i) The value of forgiven taxes, such as those portions of gross
receipts or revenue taxes which are applicable to an approved project or
property taxes on project related property, shall be the amount which
would otherwise have been levied by the taxing authority. Forgiveness
may be through exemption or remission;

[[Page 491]]

(ii) The value of trackage rights secured by a State for a common
carrier shall be the amount paid by railroads for comparable rights on
comparable rail freight properties;
(iii) The value of State salaries for State public employees working
in the State Rail Service Assistance Program, shall be consistent with
rates paid for similar work by state public employees working in
comparable state programs but shall not include overhead or general
administrative costs;
(iv) The value of donations by the State or by a third party on
behalf of the State of real property or tangible personal property of
the kind necessary for safe and efficient operation of rail freight
service, such as State or locally owned or leased buildings used in rail
freight operations or equipment or materials, shall be determined as
follows:
(A) The value of State tangible personal property shall be
established at the State's actual cost in accordance with Federal
Management Circular 74-4;
(B) The value of donated tangible personal property shall be
determined in accordance with Attachment F of Office of Management and
Budget Circular (OMB) A-102;
(C) The value of State real property shall be established at the
State's actual cost in accordance with Federal Management Circular 74-4,
if at least one independent appraisal based on the results of a title
search was performed when the property was purchased by the State,
otherwise it shall be valued at the fair market value as established by
at least one independent appraisal based on the results of a title
search at the time the state proposes to make the property available as
in-kind benefit; and
(D) The value of donated real property shall be its fair market
value, at the time of donation to the State, as established by at least
one independent appraisal based on the results of a title search;
(2) Eligibility criteria. To be applied toward the State share, in-
kind benefits must:
(i) Be verifiable from the State's records;
(ii) Be necessary and reasonable for proper and efficient
accomplishment of the objectives of the Rail Service Assistance Program;
(iii) Be provided for in the approved grant budget; and
(iv) Be approved under paragraph (3) of this paragraph (c).
(v) The State shall submit such information as the Administrator may
request to verify the value of in-kind benefits.
(3) Request for approval. A request for approval of the in-kind
benefits are to be applied and shall include the following:
(i) Full name and principal business address of the contributor if
other than grantee;
(ii) Detailed documentation of the in-kind benefits including
identification of the kind of in-kind benefits to be provided as well as
their estimated value. When in-kind benefits are to be provided by a
third party, a copy of the executed agreement between the State and the
third party; and
(iii) Certification by the State that the contribution will be used
solely for the purposes documented.

Sec. 266.11 Allowable costs.

Allowable costs include only the following costs which are properly
allocable to the work performed: Planning and program operation costs
which are allowed under Federal Management Circular 74-4; and costs of
projects eligible under Sec. 266.7 of this part. All allowable costs
shall be authorized by a fully executed grant agreement. A State may
incur costs prior to the execution of a grant agreement only if the
Administrator, based on the State's demonstration of a compelling need
to incur costs prior to the execution of a grant agreement, has
authorized the costs in writing prior to their incurrence by the State.

Sec. 266.13 Distribution of funds.

(a) Formula. Funds appropriated for or reallocated in any fiscal
year (in this section 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

[[Page 492]]

subject to abandonment or is to become the subject of an application for
a certificate of abandonment or discontinuance which a carrier plans to
submit, but has not yet submitted, bears to the total such rail mileage
in all the States;
(2) One-third of the funds will be allocated in the ratio which a
State's rail mileage for which the Commission has found within three
years prior to the first day of the fiscal year for which the funds are
being allocated that the public convenience and necessity permits the
abandonment, or the discontinuance, of rail service on such rail
mileage, bears to the total such rail mileage in all the States. Until
September 30, 1981, such rail mileage includes the rail mileage which
was eligible under the Rail Service Assistance Program pursuant to
section 402 of the Rail Act, and all rail mileage which, prior to
October 1, 1978, had been included for formula allocation purposes. The
Administrator will calculate rail mileage under this paragraph as of
October 1 of each year; and
(3) The above calculations will be adjusted if necessary so that no
State receives less than 1 percent of the funds appropriated for a
fiscal year.
(b) Reallocation. The Administrator will reallocate among the States
funds which have not been granted under an executed grant agreement by
the end of the fiscal year for which the funds were appropriated and
funds determined by a Federal audit to be in excess of allowable costs
when they have not been granted under an executed grant agreement by the
end of the fiscal year in which the Federal audit is made. Reallocated
funds are distributed in accordance with the allocation formula
described in paragraph (a) of this section.
(c) Interstate sharing of allocated funds. Where not in violation of
State law, two or more States, which are eligible to receive assistance
under the Rail Service Assistance Program pursuant to Sec. 266.5 of this
part may combine any portion of their entitlements for purposes of
conducting any eligible project of mutual benefit provided that they
enter into an agreement for this purpose.

Sec. 266.15 Requirements for State Rail Plan.

(a) State planning process. The State Rail Plan shall be based on a
comprehensive, coordinated and continuing planning process for all
transportation services within the State and shall be developed with an
opportunity for participation by persons interested in rail activity in
the State and adjacent States where appropriate. At a minimum, the State
shall hold a public hearing if, on the basis of reasonable public notice
appearing in the press, there is sufficient public interest to justify a
hearing. Public notice shall be given, in accordance with applicable
State law and practice concerning comparable matters, that a draft of
the State Rail Plan is available for public inspection at a reasonable
time in advance of the hearing. The State shall enable local and
regional governmental bodies to review and comment on appropriate
elements of the State Rail Plan. Provisions shall also be made for
updating, revising, and amending the State Rail Plan.
(b) Format of the State Rail Plan. Each item submitted in response
to a requirement of this section shall reference that requirement by
subsection, paragraph, and subparagraph.
(c) Contents of the State Rail Plan. Each State Rail Plan shall:
(1) Specify the objectives of the State's Rail Service Assistance
Program and explain how the implementation of the State Rail Plan will
accomplish these objectives and explain relevant data sources,
assumptions, analytical methodology, other legal constraints and special
problems or conditions which will aid the public in understanding the
State Rail Plan;
(2) Contain an illustration of the State's entire rail system on
suitable scale maps of the State highway system (such as a reduction of
the County Highway Planning Series of maps), designating with respect to
each line listed under subparagraph (3) of this subsection, including
all lines connecting to them:
(i) The operating carrier or carriers;
(ii) Freight traffic density, and
(iii) Location of passenger service.

[[Page 493]]

These maps shall be accompanied by a written description of the service
provided on each line;
(3) Identify the following classes of rail service within the State:
(i) Lines in the State which are eligible for assistance under
Sec. 266.7 of this part other than those included in paragraph
(c)(3)(ii) of this section;
(ii) Lines in the State which a common carrier has identified on its
system diagram map submitted under 49 CFR 1121.20(b) (1) and (2) as
potentially subject to abandonment and lines which are anticipated to be
the subject of an abandonment or discontinuance application within three
years following the date of submission;
(iii) [Reserved]
(iv) Lines in the State for which abandonment or discontinuance
applications are pending;
(v) Lines in the State which are involved in the following kinds of
proposals that have been submitted to the Commission for approval or are
in the process of negotiation, to the extent that this information is
publicly available:
(A) Mergers;
(B) Consolidations;
(C) Reorganizations;
(D) Purchases by other common carriers; or
(E) Other unification and coordination projects.
(vi) Rail projects for which the State plans to request Federal
assistance or approval as in-kind benefits; and
(vii) Rail projects for which a State provides or plans to provide
assistance from sources other than the Rail Service Assistance Program,
including the estimated cost of the projects;
(4) Establish and describe screening criteria to be used in
selecting the eligible lines which the State analyzes in detail,
identify these lines, and explain how the application of the screening
criteria resulted in their selection;
(5) Describe the State's methodology for determining the ratio of
benefits to the costs of proposed projects eligible under Sec. 266.7 of
this part (except projects to be funded with rail service continuation
assistance);
(6) Include, to the extent that the information is available to the
State, the following data for each line the State has selected to
analyze in detail:
(i) Annual freight tonnage and carloads segregated by commodity type
and indicating any seasonal traffic fluctuations and the number of
shippers and receivers on the line aggregated by type (e.g., grain
elevator, power plant, heavy manufacturing), including identification of
information which a shipper wishes the Administrator to consider
confidential to the extent permitted by law;
(ii) Revenues and costs of providing rail freight service on the
line;
(iii) Condition of the related rail facilities and equipment, and
for a line eligible under Sec. 266.7(b) of this part, a description of
the particular rail facilities involved in any project a State may be
considering on the line;
(iv) When the State is considering a line for rail service
continuation assistance, projections of freight traffic needs on the
line for at least the three succeeding calendar years and estimates of
the amount and type of equipment, the condition of the rail facilities,
and the level of service necessary to satisfy the projected traffic
needs as well as estimates of the revenue and costs of providing this
service; and
(v) When the State is considering a project eligible under
Sec. 266.7(b) of this part, the amount of funds expended for the
maintenance of the line and the kinds of work performed during the five
year period preceding its eligibility.
(vi) When the State is considering a line for rail banking, a
description of the line's future economic potential, such as the
existence of fossil fuel reserves or agricultural production likely to
be served;
(7) Describe the alternatives which the State will analyze in
applying the methodology described in paragraph (c)(5) of this section,
such as: Rail service continuation payments, rehabilitation or
improvement, acquisition, rail facility construction, potential for
moving freight by alternate modes, or abandonment or discontinuance of
rail freight service;
(8) Apply the methodology described in paragraph (c)(5) of this
section to each line the State has selected to analyze in detail;

[[Page 494]]

(9) Specify the State's decision regarding the alternative selected
for each line the State has analyzed in detail and include the
following:
(i) An indication of whether Federal assistance will be requested or
other funds will be used to implement the alternative selected;
(ii) An identification of lines which may be affected by the
alternative selected;
(iii) An explanation of how the alternative selected contributes to
the accomplishment of the State's objectives as stated in paragraph
(c)(1) of this section; and
(iv) A statement of the projected future of the line after the
alternative selected is implemented and the line is no longer eligible
for rail service continuation assistance under Sec. 266.7(a) of this
part or after the payback period used in the State's benefit-cost
analysis, whichever is appropriate;
(10) Describe the planning process participation of local and
regional governmental bodies, the railroads, railroad labor, rail
service users, and the public in general;
(11) Describe the overall planning process for all transportation
services in the State; and
(11A) Indicate how the overall planning process in the State
addresses the need to improve national energy efficiency, reduce the
national use of petroleum and natural gas, and increase the national use
of coal.
(12) Include a program of projects which identifies the projects for
which the State expects to submit applications and the anticipated
submission date. The program shall group the proposed projects in the
order they comply with the State's criteria and goals for assistance,
and shall:
(i) Identify the type of project (i.e., rail service continuation
payments, acquisition, rehabilitation or improvement, rail facility
construction, or substitute service), its location, and duration; and
(ii) Include the anticipated amount of funds to be requested for
each project:
(d) Updates, revisions, and amendments of the State Rail Plan--(1)
General. As provided for in paragraph (e) of this section, State Rail
Plans shall be updated at least on an annual basis but may be revised
more frequently at the discretion of the State in accordance with its
program needs. Such updates shall be subject to the same review, public
participation and approval procedures by the State and FRA as the
original State Rail Plan.
(2) Contents. Annual updates shall include the following:
(i) A response to unanswered FRA comments on previously submitted
updates, revisions, amendments, or the original State Rail Plan;
(ii) An update of information in previous submittals which is no
longer accurate as a result of plan implementation, action by a
governmental entity or railroad, or changed conditions;
(iii) For lines receiving rail service continuation assistance,
inclusion of revenue and cost information from the past year's operating
experience and a reevaluation of service based on these new data;
(iv) Updating of the maps and descriptions required under paragraph
(c)(2) of this section;
(v) Analysis of any new projects developed by the State in
accordance with paragraphs (c)(4), (5) and (6) of this section;
(vi) Changes in agency responsibilities and authority including
ability to provide the non-Federal share; and
(vii) Revisions in the State's policies, objectives or long-range
expectations.
(e) Adoption and submission of State Rail Plan and annual updates.
An original and five copies of the State Rail Plan, and any amendments,
revisions, or updates shall be submitted to FRA for review and approval
with a certification by the Governor, or by the Governor's delegate,
that the submission constitutes the State Rail Plan established by the
State as provided in section 5(j) of the Act. The State Rail plan, and
all amendments, revisions, and updates shall be submitted to the FRA
through the appropriate Federal Highway Division Office. A current list
of mailing addresses of the above offices will be provided by FRA to
each State.
(f) Review of the State Rail Plan and Updates. The State Rail Plan
and all amendments, revisions, and updates shall analyze in accordance
with this

[[Page 495]]

section all projects for which the State anticipates requesting rail
service assistance, other than planning assistance, during the fiscal
year. In accordance with Sec. 266.17(b) of this part, a project for
which funds are requested must have been addressed in a previously
approved State Rail Plan or update. If the Administrator determines that
the State Rail Plan or update is not in accordance with this part, the
Administrator will notify the State in writing setting forth the
Administrator's reasons for such a determination.

[44 FR 51129, Aug. 30, 1979, as amended at 45 FR 58038, Aug. 29, 1980;
48 FR 29274, June 24, 1983]

Sec. 266.17 Applications.

(a) General. (1) Applications for planning assistance shall comply
with paragraphs (b), (c) and (e) of this section.
(2) Applications for rail service continuation assistance shall
comply with paragraphs (b), (c), (d) and (f) of this section.
(3) Applications for acquisition assistance shall comply with
paragraphs (b), (c), (d) and (g) of this section.
(4) Applications for rehabilitation or improvement assistance and
rail facility construction assistance shall comply with paragraphs (b),
(c), (d) and (h) of this section.
(5) Applications for substitute service assistance shall comply with
paragraphs (b), (c), (d) and (i) of this section.
(b) Submission. (1) Applications shall be submitted by the
designated State agency using the standard forms contained in Attachment
M of Office of Management and Budget Circular No. A-102 (``OMB Circular
A-102''). Each item submitted in response to a requirement of this
section shall reference that requirement by subsection, paragraph, and
subparagraph. Each application shall be consistent with the current
State Rail Plan and analyzed in it.
(2) A State may apply for planning assistance to cover prospective
costs at any time during the planning process.
(3) Exhibits previously filed with the Administrator need not be
refiled unless the prior filing has been rendered obsolete by changed
circumstances. Such prior filing shall be appropriately referenced by
source, location of data and date of submittal.
(c) Contents. Each application shall include:
(1) Full name and principal business address of the applicant;
(2) Name, title, address and phone number of the person to whom
correspondence regarding the application should be addressed;
(3) Budget estimates for the total amount of assistance required for
projects or planning;
(4) Applicant's proposed means of furnishing its share of the total
costs of the projects, as well as copies of executed agreements between
the agency and any third party which may be providing the non-Federal
share or a portion thereof;
(5) Assurance by the chief executive officer of the applicant that
the Federal funds provided under the Act will be used solely for the
purpose for which the assistance will be provided and in conformity with
limitations on expenditures under the Act and applicable regulations;
(6) Evidence that the applicant has established in accordance with
Attachment G of OMB Circular A-102, adequate procedures for financial
control, accounting and performance evaluation in order to assure proper
use of the Federal funds;
(7) Assurance by applicant's chief executive officer that the timing
of all advances by the applicant will comply with the Department of
Treasury advance financing regulations (31 CFR part 205);
(8) Statement as to whether the applicant prefers to receive
disbursement of Federal funds by advance payment or reimbursement;
(9) Opinion of applicant's legal counsel showing that counsel is
familiar with the corporate or other organizational powers of the
applicant, that the applicant is authorized to make the application,
that the applicant is eligible to participate in the Rail Service
Assistance Program in accordance with the provisions of the Act and this
part, and that the applicant has the requisite authority to carry out
actions proposed in the application and to assume the responsibilities
and obligations created thereby;

[[Page 496]]

(10) Assurances that the applicant will comply with and that the
program will be conducted in accordance with the following Federal laws,
policies, regulations and pertinent directives:
(i) Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d et
seq., and 49 CFR part 21;
(ii) Section 905 of the Railroad Revitalization and Regulatory
Reform Act of 1976, 45 U.S.C. 803, and 49 CFR part 265;
(iii) The Rehabilitation Act of 1973, 29 U.S.C. 794 and 49 CFR part
27 (44 FR 31442, May 31, 1979) relating to non-discrimination on the
basis of handicap; and
(iv) The State and Local Fiscal Assistance Act of 1972, 31 U.S.C.
1221 et seq. and 31 CFR part 51; and
(11) When two or more States desire to combine their entitlements or
any portion of them for the purpose of funding a project, certification
of the Governor or the Governor's delegate of each State involved that
it is a party to an interstate agreement as required under section
5(h)(4) of the Act (49 U.S.C. 1654(h)(4)). Such certification shall
include the amount of money to be used from each State's entitlement and
which State is to enter into a grant for the project.
(d) Additional contents. In addition to meeting the requirements of
paragraphs (b) and (c) of this section each application except when
planning assistance is requested, shall include evidence that the agency
submitting the application has the statutory authority and
administrative jurisdiction to develop, promote, supervise and support
safe, adequate, and efficient rail services; that it employs or will
employ, directly or indirectly, sufficient trained and qualified
personnel; that it maintains or will maintain adequate programs of
investigation, research, promotion, and development with provision for
public participation; and that it is designated and directed solely, or
in cooperation with other State agencies, to take all practicable steps
to improve transportation safety and to reduce transportation related
energy utilization and pollution.
(e) Planning assistance. In addition to meeting the requirements of
paragraphs (b) and (c) of this section, each application for planning
assistance shall include a Planning Work Program which, together with
such other information the State may choose to submit, demonstrates to
the satisfaction of the Administrator that the State's proposed use of
planning assistance will produce a State Rail Plan, or an update,
amendment or revision which meets the requirements of Sec. 266.15 of
this part. The Planning Work Program shall include the following
information:
(1) An explanation of how the State Rail Plan will be related to the
overall planning process for transportation within the State. This
explanation shall concentrate on the expectations of the State for the
future of local rail freight services and consider such factors as
likelihood of profitability of existing rail lines, necessity of rail
service continuation payments, State acquisition of rail lines, use of
alternate modes of transportaion in lieu of rail freight service, and
other long-term alternatives;
(2) A description of the methods by which the State will involve
local and regional governmental bodies and the public generally in its
rail planning process, including its methods of providing for equitable
distribution of resources;
(3) An identification of the data to be obtained on the rail network
and rail services in the State, the sources of this data, and the
methodology to be employed in the collection of the data;
(4) A description of the method by which the State will develop the
State Rail Plan, including a brief description of discrete tasks or
activities to be accomplished; and
(5) A list of the individuals responsible for the planning, a work
schedule and a budget.
(f) Rail service continuation assistance. In addition to meeting the
requirements of paragraphs (b), (c), and (d) of this section, each
application for rail service continuation assistance shall include the
following:
(1) The amount of the estimated rail service continuation payment
for each line; and

[[Page 497]]

(2) A description of the arrangements which the applicant has made
for operation of the rail services to be subsidized including copies of
the proposed operating agreements, leases, or other compensation
agreements under which service is to be provided, and the results of the
application's preaward audit of proposed operators and equipment leasing
companies if the equipment to be used in providing the rail service is
to be leased by the proposed operator.
(g) Acquisition assistance. In addition to meeting the requirements
of paragraphs (b), (c), and (d) of this section, each application for
acquisition assistance shall include the following:
(1) Copies of the results of a title search, and the basis for the
proposed acquisition price including two independent valuation
appraisals by qualified appraisers. Such appraisals shall be performed
in accordance with the ``Uniform Appraisal Standards for Federal Land
Acquisition'' proposed by the Interagency Land Acquisition Conference
and shall be based on the results of a title search and comparable sales
and shall take cognizance of all easements, encumbrances and
restrictions that may affect the value of the property. Such appraisals
shall be reviewed by a State Review appraiser to establish just
compensation;
(2) Written assurance that the acquisition is being undertaken in
accordance with 49 CFR 25.253, 25.255, 25.257, and 25.259 to the
greatest extent practicable under State law and fully in compliance with
49 CFR 25.261(a) and 25.263;
(3) Written assurance that the owner of the property to be acquired
has been advised of the requirements of 49 CFR 25.259 or will be advised
of such requirements prior to the consummation of the acquisition;
(4) A description of the necessary steps, and timing for completion
of the acquisition;
(5) When rail service is to be immediately provided over the line, a
description of the arrangements which the applicant has made for
operation of the rail service, including copies of the proposed
operating agreements, leases, and other compensation agreements under
which the service is to be provided, and a description of the means by
which the State will continue rail service on the property to be
acquired once assistance under the Act is terminated;
(6) For applications regarding rail banking, evidence that the
properties for which assistance is requested have potential for rail
freight service such as plans for agricultural development or existence
of fossil fuel reserves, the State's anticipated timetable for returning
the line to service, and its proposed use of the property while it is
out of service including its maintenance plans; and
(7) Evidence that the anticipated benefits and costs of the proposed
acquisition have been analyzed in accordance with the methodology
established by the State under Sec. 266.15(c)(5) of this part.
(h) Rehabilitation or improvement assistance and rail facility
construction assistance. (1) In addition to meeting the requirements of
paragraphs (b), (c), and (d) of this section, each application for
rehabilitation or improvement assistance and rail facility construction
assistance shall include the following:
(i) A detailed estimate of the materials and labor required to
complete the work, the total estimated costs of the work, the estimated
numbers and kinds of ties and other material, the milepost termini
involved, and a schedule for completion of the work;
(ii) Evidence that the anticipated benefits and costs of the
proposed acquisition have been analyzed in accordance with the
methodology established by the State under Sec. 266.15(c)(5) of this
part;
(iii) When rehabilitation assistance is requested--
(A) A copy of the document by which funds will be granted or loaned
(at an interest rate determined by the State) to the owner of the rail
properties or the operator of the rail service related to the project;
and
(B) An assurance by the chief executive officer of the applicant
that:
(1) Repaid loan funds and interest accumulated with respect to such
funds will not be loaned or granted without the prior written approval
of the Administrator;

[[Page 498]]

(2) The Federal share of repaid loan funds will be placed in an
interest-bearing account or with the prior written approval of the
Administrator will be deposited by the borrower, for the benefit and use
of the State, in a bank which has been designated by the Secretary of
Treasury in accordance with 12 U.S.C. 265; and
(3) If the rehabilitated or improved facilities are not used for
rail freight service during the useful life of the improvement the
Federal share of the fair market value of the improvement or facility
will be placed in an interest-bearing account or with the prior written
approval of the Administrator will be deposited by the owner of the rail
properties, for the benefit and use of the State, in a bank which has
been designated by the Secretary of the Treasury in accordance with 12
U.S.C. 265;
(iv) An assurance by chief executive officer of the applicant that
rehabilitated or improved facilities or newly constructed facilities
will be maintained to prevent deterioration below the speed at which the
line could be operated upon completion of the project during the period
of time established as the payback period in the benefit-cost analysis
of the project;
(2) In addition to meeting the requirements of paragraphs (b), (c),
and (d) and (h)(1) of this section, each application for a project
eligible under Sec. 266.7(b)(2)(i) (if the Commission has made a finding
granting the application for abandonment and discontinuance) (ii), (3)
or (4) shall also include the following:
(i) An indication of which of the following methods will be used to
complete the work, including proposed contracts unless the work will be
performed under method (A):
(A) On an actual cost basis by the operator or the applicant;
(B) By contracting for the work in accordance with Attachment O to
OMB Circular A-102; or
(C) Under an existing continuing contract between the operator and
another firm provided that the applicant can demonstrate the the costs
are comparable to those under paragraph (h)(2)(i) (A) or (B) of this
section; and
(ii) A description of the plans for inspection of the work including
identification and qualifications of the staff to be responsible for the
inspection and a proposed schedule of inspections; and
(iii) A description of the arrangements made for the operation of
rail service over the property including copies of the proposed
operating agreements, leases or other compensation agreements under
which service is to be provided, and the proposed method of financing
the operation of such rail service;
(3) In addition to meeting the requirements of paragraphs (b), (c),
(d), and (h)(1) of this section, each application for a project eligible
under Sec. 266.7 (b)(1) or (2)(i) (if the Commission has not made a
finding granting the application for abandonment discontinuance) shall
include an assurance by the common carrier which operates service on or
owns the line related to the project that if an application for a
certificate of abandonment or discontinuance has been filed with the
Commission the application will be withdrawn within a reasonable period
following execution of a grant agreement and before Federal funds are
disbursed for the project; and
(4) When rail facility construction assistance is requested an
assurance by the chief executive officer of the applicant that if the
facility is abandoned, sold, or converted to non-rail freight use during
its useful life, FRA will be compensated an amount computed by applying
FRA's participation in the cost of constructing the facility to the fair
market value of the facility at the time it is abandoned, sold, or
converted to non-rail use.
(i) Substitute service assistance. In addition to meeting the
requirements of paragraphs (b), (c), and (d) of this section, each
application for substitute service assistance shall include:
(1) A detailed description of the substitute service project,
including evidence that the cost and scope of the project are limited to
that necessary to replace the rail service being discontinued;
(2) Evidence that the anticipated benefits and costs of the proposed

[[Page 499]]

acquistion have been analyzed in accordance with the methodology
established by the State under Sec. 266.15(c)(5) of this part;
(3) For construction or improvement of fixed facilities, a
description of the proposed work, including:
(i) The cost and timing of the work; and
(ii) An assurance by the chief executive officer of the applicant
that the Federal share of the project will be repaid in accordance with
Attachment N of OMB Circular A-102, if the properties are not used for
rail freight service during the useful life of the project properties;
(4) For relocation costs, the following assurances by the chief
executive officer of the applicant:
(i) When the rail line related to the project is eligible under
section 5(k)(4)(A) of the Act (49 U.S.C. 1654(k)(4)(A)), an assurance
that the applicant is requesting only such assistance as is needed to
relocate the shippers which were receiving rail service on the line at
the time the Commission found that the public convenience and necessity
would permit discontinuance or abandonment of the rail service;
(ii) When the rail line related to the project is eligible under
section 5(k)(4)(B) of the Act (49 U.S.C. 1654(k)(4)(B)), an assurance
that assistance is being requested to relocate only the shippers who
received rail service on the line as of April 1, 1976; and
(iii) An assurance, and the basis therefor, that the shippers will
not be relocated to a line with respect to which an application for a
certificate of abandonment or discontinuance has been filed with the
Commission or that if an application has been filed it will be withdrawn
within a reasonable period following execution of a grant agreement and
before Federal funds are disbursed for the project;
(5) An assurance by the chief executive officer of the applicant
that after completion of the substitute service project, additional
Federal assistance will not be requested for the continuation of the
rail freight service that the substitute service is designed to replace,
unless the Administrator determines that circumstances have changed so
that continuation of rail freight service is more cost-effective than
continued use of the substitute service project;
(6) A description of the arrangements made for operation of service
where rail service is to be provided in conjunction with a substitute
service project, including copies of proposed operating agreements,
leases, or other compensation agreements under which service is to be
provided; and
(7) An assurance by the chief executive officer of the applicant
that assistance provided will not be used to pay the non-Federal share
under any Federal program.
(j) Execution and filing of applications. (1) Each original
application shall bear the date of execution and be signed by the chief
executive officer of the agency submitting the application;
(2) Each application for planning assistance, and two (2) copies
thereof, shall be filed with the Administrator through the appropriate
Federal Highway Administration Division Office;
(3) Each application (excluding requests for planning assistance),
and two (2) copies thereof, shall be filed with the Administrator
through the appropriate Regional Director of Federal Assistance. A
current list of the appropriate mailing addresses of the above officials
will be provided by FRA to each State.

Sec. 266.19 Environmental impact.

(a) General. The Administrator has determined that providing
assistance to cover the following costs is not a major action
significantly affecting the quality of the human environment:
Rehabilitation or improvement consisting of work normally performed on a
periodic basis which does not change the existing character of the
facility (including work to overcome normal periodic maintenance that
had been deferred) rail service continuation, acquisition, and planning.
(b) Substitute service assistance, rail facility construction
assistance, and non-exempt rehabilitation or improvement assistance--(1)
Environmental assessment. (i) When an applicant requests substitute
service assistance, rail facility construction assistance, or
rehabilitation or improvement assistance (except for

[[Page 500]]

rehabilitation or improvement assistance which is exempt under paragraph
(a) of this section), the applicant shall:
(A) Prepare an environmental assessment to determine whether the
future use of the property will significantly affect the quality of the
human environment; or
(B) Provide sufficient documentation to enable the Administrator to
determine that the project satisfies the following criteria:
(1) The action is not likely to be environmentally controversial
from the point of view of people living within the environment affected
by the action or controversial with respect to the availability of
adequate relocation housing;
(2) The action is not inconsistent with any Federal, State, or local
law, regulation, ordinance, or judicial or administrative determination
relating to environmental protection;
(3) The action will not have any significant adverse impact in any
natural, cultural, recreational, or scenic environment(s) in which the
action takes place, or on the air or water quality or ambient noise
levels of such environment(s);
(4) The action will not: use 4(f)-protected properties; adversely
affect properties under section 106 of the National Historic
Preservation Act; involve new construction location in a wetlands area;
or affect a base floodplain;
(5) The action will not cause a significant short- or long-term
increase in traffic congestion, or other significant adverse
environmental impact on any mode of transportation;
(6) The action is not an integral part of a program of actions
which, when considered separately, would not be classified as major FRA
actions, but when considered together would be so classified; and
(7) Environmental assessment or documentation is not required by any
Federal law, regulation, guideline, order, or judicial or administrative
determination other than this part.
(ii) Prior to submitting an application, FRA recommends that the
applicant seek the Administrator's advice as to form and substance of
the assessment for the project under consideration. The environmental
assessment shall utilize an interdisciplinary approach in identifying
the type, degree of effect, and probability of occurrence of primary,
secondary and cumulative potential environmental impacts (positive and
negative) of the proposed action and of alternative courses of action.
The depth of coverage shall be consistent with the magnitude of the
project and its expected environmental effects. The environmental
assessment and all documents used as a basis for the assessment shall be
submitted together with the application for assistance.
(2) Environmental impact statement. A draft environmental impact
statement (EIS) shall be submitted with each application when the
environmental assessment concludes that the future use significantly
affects the quality of human environment. FRA recommends that prior to
submitting the application, the applicant seek the Administrator's
advice as to form and substance of the EIS for the project under
consideration.
(3) Finding of no significant impact. A draft finding of no
significant impact declaration shall be submitted with each application
when the applicant's environmental assessment concludes that the figure
use does not significantly affect the quality of the human environment.
The finding of no significant impact shall include a description of the
project, and sufficient data and environmental findings to support the
conclusions as to the impact upon the quality of the human environment.
FRA recommends that prior to submitting the application, the applicant
seek the Administrator's advice as to the form and substance of this
finding for the project under consideration.
(4) Section 4(f) determination. For projects involving the use of
any land from a public park, recreation area, wildlife and waterfowl
refuge, or historic site of national, State or local significance as
determined by the Federal, State, or local officials having jurisdiction
thereon, information to support a determination pursuant to section 4(f)
of the Act shall be submitted together with the application. The section
4(f) determination shall document that:

[[Page 501]]

(i) There is no feasible and prudent alternative to the use of such
land; and
(ii) The project includes all planning to minimize harm resulting
from such use.
(5) Historic preservation. For projects involving the use of
historic, cultural or archeological resources listed or eligible for
listing in the National Register of Historic Places, information which
documents that the Advisory Council on Historic Preservation has been
afforded an opportunity for review and comment on the proposed project
in accordance with 16 U.S.C. 470 and 36 CFR part 800 shall be submitted
with the application.
(c) Highway or highway-related facilities. Substitute service
projects involving highway or highway-related facilities are subject to
the applicable substantive Federal Highway Administration regulations on
environmental considerations (23 CFR part 771).

Sec. 266.21 Grant agreement and disbursement.

(a) Grant agreement. (1) Upon the approval of an application
meeting the requirements of Sec. 266.17 of this part, a grant agreement
for the Federal share of the approved amount of estimated program costs
will be executed by the Administrator and the grantee.
(2) The grant agreement will identify the amount of the grantee's
share of program costs to be furnished in cash and through approved in-
kind benefits. The grantee shall expend a pro-rata share of its cash
contribution at the same time payments of the Federal share are made
available to the grantee.
(b) Disbursement. (1) Federal funds are provided either in advance
by a letter-of-credit or a Treasury check or by reimbursement in
accordance with Attachment J of OMB Circular A-102.
(2) Prior to receipt of advance payments, the grantee must have
demonstrated to the satisfaction of the Administrator that it has
established procedures to comply with OMB Circular A-102, Attachment J,
including procedures that will minimize the time elapsing between the
receipt of funds by the grantee and their disbursement. Evidence of such
compliance shall be provided to the Administrator at least 30 days prior
to the anticipated date of receipt of advance payments. An advance by
letter-of-credit is used when the rail service assistance is expected to
be provided for a minimum of one (1) year, and is expected to involve
annual payments aggregating at least $120,000. Otherwise, advance
payments are made by Treasury check.
(3) If the grantee is not eligible for advance payments or does not
desire them, the grantee will be reimbursed for eligible expenditures at
the end of each fiscal quarter upon submission of a request for
reimbursement.
(4) Before disbursement of Federal funds can be made to a grantee
for payment to third parties under this subsection, the grantee must
have executed an agreement with the third party.
(5) Acquisition assistance will be disbursed only after the
following have been approved by the Administrator:
(i) A title opinion of the chief legal officer of the grantee that
describe the type of title being acquired, and if a general warranty
deed is not being given, it must explain why it could not be given. The
opinion shall also advise of any need for use of the State's eminent
domain powers to assure adequate title. In addition, the opinion shall
explain how the defects disclosed by the title search might affect the
marketability of the property;
(ii) A written determination that the property acquired is limited
to the land and facilities that are needed for the rail freight services
which would have been curtailed or abandoned but for the acquistion has
been accepted by the Administrator; and
(iii) A written determination that the purchase price is consistent
with the value of the property interest being acquired, and the evidence
upon which the determination is based.
(c) Settlement. (1) Settlement under the grant agreement is made on
the basis of a Federal audit which has determined the allowable costs
over the entire term of the grant agreement. If the Federal audit
determines that the allowable costs under the grant agreement are less
than the amount of the grant, the difference shall be refunded to FRA at
the end of the fiscal year in which the audit was made unless it has

[[Page 502]]

become the subject of another executed grant agreement. Upon termination
of a State's participation in the Rail Service Assistance Program, the
State shall repay FRA the Federal share of any unused rehabilitation and
improvement assistance and any accumulated interest.

Sec. 266.23 Record, audit, and examination.

(a) Retention and custodial requirements for financial records,
supporting documents, statistical records, and all other records
pertinent to a grant provided under this part shall be governed by
Attachment C of OMB Circular A-102.
(b) The Administrator and the Comptroller General of the United
States or any of their duly authorized representatives shall, until the
expiration of three years after submission to the Administrator of the
grantee's final accounting of all program funds, and for any longer
period necessary to resolve audit findings, have access for the purpose
of audit and examination to any books, documents, papers, and records
which in the opinion of the Administrator or the Comptroller General of
the United States may be related or pertinent to the grants, contracts,
or other arrangements arising out of, or in any way connected with, the
rail service assistance program.

Sec. 266.25 Waivers and modifications.

The Administrator may, with respect to individual requests, upon
good cause shown, waive or modify any requirement of this part not
required by law or make any additional requirements the Administrator
deems necessary. Procedures for submission and consideration of
petitions for waiver or modification are governed by 49 CFR part 211.

[[Page 503]]

CHAPTER III--FEDERAL HIGHWAY ADMINISTRATION,

DEPARTMENT OF TRANSPORTATION

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

Editorial Note: For nomenclature changes to chapter III see 59 FR
60323, Nov. 23, 1994, and 60 FR 38742, July 28, 1995.

SUBCHAPTER A--GENERAL REGULATIONS
Part Page
301 Organization and delegation of powers and
duties of the Federal Highway
Administration.......................... 505
325 Compliance with interstate motor carrier
noise emission standards................ 505
SUBCHAPTER B--FEDERAL MOTOR CARRIER SAFETY REGULATIONS

350 Commercial motor carrier safety assistance
program................................. 517
355 Compatibility of state laws and regulations
affecting interstate motor carrier
operations.............................. 528
382 Controlled substances and alcohol use and
testing................................. 531
383 Commercial driver's license standards;
requirements and penalties.............. 550
384 State compliance with commercial driver's
license program......................... 574
385 Safety fitness procedures................... 580
386 Rules of practice for motor carrier safety
and hazardous materials proceedings..... 587
387 Minimum levels of financial responsibility
for motor carriers...................... 605
388 Cooperative agreements with states.......... 618
389 Rulemaking procedures--Federal motor carrier
safety regulations...................... 620
390 Federal motor carrier safety regulations;
General................................. 623
391 Qualifications of drivers................... 638
392 Driving of commercial motor vehicles........ 666
393 Parts and accessories necessary for safe
operation............................... 675
394 [Reserved]
395 Hours of service of drivers................. 743

[[Page 504]]

396 Inspection, repair, and maintenance......... 755
397 Transportation of hazardous materials;
driving and parking rules............... 761
398 Transportation of migrant workers........... 778
399 Employee safety and health standards........ 785

Appendix A
to
Subchapter
B--
[Reserved]

Appendix B
to
Subchapter
B--Special
Agents

Appendix C
to
Subchapter
B--
[Reserved]

Appendix D
to
Subchapter
B--Table
of
Disqualifyi
ng Drugs
and Other
Substances,
Schedule
I

Appendix E
to
Subchapter
B--Tables
of
Disqualifyi
ng Drugs
and Other
Substances,
Schedules
II Through
V
Appendix F
to
Subchapter
B--
Commercial
Zones

Appendix G
to
Subchapter
B--Minimum
Periodic
Inspection
Standards

Appendix H
to
Subchapter
B--State
Enforcement
and Liens

[[Page 505]]

SUBCHAPTER A--GENERAL REGULATIONS

PART 301--ORGANIZATION AND DELEGATION OF POWERS AND DUTIES OF THE FEDERAL HIGHWAY ADMINISTRATION--Table of Contents

Sec.
301.50 Regional offices; general description.
301.52 Jurisdiction of regional offices.

Authority: 49 U.S.C. 104, 307, 501 et seq., 1801 et seq., 3101 et
seq., 10925, 10927 note; 42 U.S.C. 4917; 49 CFR 1.48.

Sec. 301.50 Regional offices; general description.

The Federal Highway Administration has regional offices, commonly
referred to as Regional Administrations, which are numerically
identified as Regions 1 and 3 through 10. Each regional office has
jurisdiction over a geographical area consisting of a designated group
of States. Each regional office is headed by a Regional Federal Highway
Administrator (commonly called the Regional Administrator for ease of
reference), who is assisted by a regional headquarters staff of legal,
administrative, and program specialists, and who is responsible for
directing at local levels the Federal Highway Administration
responsibilities for administration of the direct Federal, Federal-aid,
and other highway and traffic safety programs.

[51 FR 12620, Apr. 14, 1986]

Sec. 301.52 Jurisdiction of regional offices.

The specific composition of each Federal Highway Administration
region is as follows:

------------------------------------------------------------------------
Location of
Region No. Territory included regional office
------------------------------------------------------------------------
1\1\............................ Connecticut, 4 Normanskill
Maine, Blvd., Delmar, NY
Massachusetts, 12054.
New Hampshire,
New Jersey, New
York, Puerto
Rico, Rhode
Island, and
Vermont.
3............................... Delaware, District 31 Hopkins Plaza,
of Columbia, Baltimore, MD
Maryland, 21201.
Pennsylvania,
Virginia, and
West Virginia.
4............................... Alabama, Florida, 1720 Peachtree Rd.
Georgia, NW., Atlanta, GA
Kentucky, 30309.
Mississippi,
North Carolina,
South Carolina,
and Tennessee.
5............................... Illinois, Indiana, 18209 Dixie
Michigan, Highway,
Minnesota, Ohio, Homewood, IL
and Wisconsin. 60430.
6............................... Arkansas, 819 Taylor St.,
Louisiana, New Fort Worth, TX
Mexico, Oklahoma, 76102.
and Texas.
7............................... Iowa, Kansas, Post Office Box
Missouri, and 7186, Country
Nebraska. Club Station,
Kansas City, MO
64113.
8............................... Colorado, Montana, Room 242, Bldg.
North Dakota, 40, Denver
South Dakota, Federal Center,
Utah, and Wyoming. Denver, CO 80225.
9............................... Arizona, 450 Golden Gate
California, Ave., San
Hawaii, and Francisco, CA
Nevada. 94102.
10.............................. Alaska, Idaho, 222 Southwest
Oregon, and Morrison St.,
Washington. Portland, OR
97204.
------------------------------------------------------------------------
\1\Conforms to Standard Federal Regions 1 and 2.

[38 FR 215, Jan. 7, 1972]

PART 325--COMPLIANCE WITH INTERSTATE MOTOR CARRIER NOISE EMISSION STANDARDS--Table of Contents

Subpart A--General Provisions

Sec.
325.1 Scope of the rules in this part.
325.3 Effective date.
325.5 Definitions.
325.7 Allowable noise levels.
325.9 Measurement tolerances.

Subpart B--Administrative Provisions

325.11 Issuance, amendment, and revocation of the rules in this part.
325.13 Inspection and examination of motor vehicles.

Subpart C--Instrumentation

325.21 Scope of the rules in this subpart.
325.23 Types of measurement systems which may be used.
325.25 Calibration of measurement systems.
325.27 Use of a windscreen.

Subpart D--Measurement of Noise Emissions; Highway Operations

325.31 Scope of the rules in this subpart.
325.33 Site characteristics; highway operations.

[[Page 506]]

325.35 Ambient conditions; highway operations.
325.37 Location and operation of sound level measurement system;
highway operations.
325.39 Measurement procedure; highway operations.

Subpart E--Measurement of Noise Emissions; Stationary Test

325.51 Scope of the rules in this subpart.
325.53 Site characteristics; stationary test.
325.55 Ambient conditions; stationary test.
325.57 Location and operation of sound level measurement systems;
stationary test.
325.59 Measurement procedure; stationary test.

Subpart F--Correction Factors

325.71 Scope of the rules in this subpart.
325.73 Microphone distance correction factors.
325.75 Ground surface correction factors.
325.77 Computation of open site requirements--nonstandard sites.
325.79 Application of correction factors.

Subpart G--Exhaust Systems and Tires

325.91 Exhaust systems.
325.93 Tires.

Authority: Sec. 18, 86 Stat. 1234, 1249-1250 (42 U.S.C. 4917).

Source: 40 FR 42437, Sept. 12, 1975, unless otherwise noted.

Subpart A--General Provisions

Sec. 325.1 Scope of the rules in this part.

(a) The rules in this part prescribe procedures for inspection,
surveillance, and measurement of motor vehicles and motor vehicle
equipment operated by motor carriers to determine whether those vehicles
and that equipment conform to the Interstate Motor Carrier Noise
Emission Standards of the Environmental Protection Agency, 40 CFR part
202.
(b) Except as provided in paragraph (c) of this section, the rules
in this part apply to motor carriers engaged in interstate commerce. The
rules apply at any time or under any condition of highway grade, load,
acceleration or deceleration.
(c) The rules in this part do not apply to--
(1) A motor vehicle that has a Gross Vehicle Weight Rating (GVWR) of
10,000 pounds (4,536 kg.) or less;
(2) A combination of motor vehicles that has a Gross Combination
Weight Rating (GCWR) of 10,000 pounds (4,536 kg.) or less;
(3) The sound generated by a warning device, such as a horn or
siren, installed in a motor vehicle, unless such device is intentionally
sounded in order to preclude an otherwise valid noise emission
measurement;
(4) An emergency motor vehicle, such as a fire engine, an ambulance,
a police van, or a rescue van, when it is responding to an emergency
call;
(5) A snow plow in operation; or
(6) The sound generated by auxiliary equipment which is normally
operated only when the motor vehicle on which it is installed is stopped
or is operating at a speed of 5 miles per hour (8 kph) or less, unless
such device is intentionally operated at speeds greater than 5 mph (8
kph) in order to preclude an otherwise valid noise measurement. Examples
of that type of auxiliary equipment include, but are not limited to,
cranes, asphalt, spreaders, ditch diggers, liquid or slurry pumps,
auxiliary air compressors, welders, and trash compactors.

Sec. 325.3 Effective date.

The rules in this part are effective on October 15, 1975.

Sec. 325.5 Definitions.

(a) Statutory definitions. All terms defined in the Noise Control
Act of 1972 (Pub. L. 92-574, 86 Stat. 1234) are used as they are defined
in that Act.
(b) Definitions in standards. All terms defined in Sec. 202.10 of
the Interstate Motor Carrier Noise Emission Standards, 40 CFR 202.10,
are used as they are defined in that section.
(c) Additional definitions. (1) Hard test site means any test site
having the ground surface covered with concrete, asphalt, packed dirt,
gravel, or similar reflective material for more than \1/2\ the distance
between the microphone target point and the microphone location point.
(2) Soft test site means any test site having the ground surface
covered with grass, other ground cover, or similar absorptive material
for \1/2\ or more of the distance between the microphone

[[Page 507]]

target point and the microphone location point.
(3) Ground cover means any of various low, dense-growing plants,
such as ivy, myrtle, low weeds, or brush.
(4) Traffic railing means any longitudinal highway traffic barrier
system installed along the side or median of a highway. For the purpose
of this part, a traffic railing must have at least 35 percent of its
vertical height, from the ground surface to the top of the railing, open
to free space in order to qualify as an acceptable object within a noise
measurement test site. Further, for the purposes of this part, posts or
other discrete supports shall be ignored when ascertaining open free
space.
(5) Relatively flat when used to describe a noise measurement site
means a site which does not contain significant concave curvatures or
slope reversals that may result in the focusing of sound waves toward
the microphone location point.

Sec. 325.7 Allowable noise levels.

Motor vehicle noise emissions, when measured according to the rules
of this part, shall not exceed the values specified in Table 1.

Table 1.--Maximum Permissible Sound Level Readings (Decibel (A)) ^{1, ^{2
----------------------------------------------------------------------------------------------------------------
Highway operation test Stationary tests
-------------------------------------------------------------------
Soft site Hard Site
--------------------------------------------
35 mi/h Above 35 35 mi/h Above 35 Soft site Hard site
or less mi/h or less mi/h
----------------------------------------------------------------------------------------------------------------
If the distance between the microphone
location point and the microphone target
point is--
31 ft ( 9.5m) or more but less than 35
ft (10.7m)............................. 87 91 89 93 89 91
35 ft (10.7m) or more but less than 39
ft (11.9m)............................. 86 90 88 92 88 90
39 ft (11.9m) or more but less than 43
ft (13.1m)............................. 85 89 87 91 87 89
43 ft (13.1m) or more but less than 48
ft (14.6m)............................. 84 88 86 90 86 88
48 ft (14.6m) or more but less than 58
ft (17.1m)............................. 83 87 85 89 85 87
58 ft (17.1m) or more but less than 70
ft (21.3m)............................. 82 86 84 88 84 86
70 ft (21.3m) or more but less than 83
ft (25.3m)............................. 81 85 83 87 83 85
----------------------------------------------------------------------------------------------------------------
\1\ The speeds shown refer to measurements taken at sites having speed limits as indicated. These speed limits
do not necessarily have to be posted.
\2\ This table is based on motor carrier noise emission requirements specified in 40 CFR 202.20 and 40 CFR
202.21.

[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]

Sec. 325.9 Measurement tolerances.

(a) Measurement tolerances will be allowed to take into account the
effects of the following factors:
(1) The consensus standard practice of reporting filed sound level
measurements to the nearest whole decibel.
(2) Variations resulting from commercial instrument tolerances.
(3) Variations resulting from the topography of the noise
measurement site.
(4) Variations resulting from atmospheric conditions such as wind,
ambient temperature, and atmospheric pressure.
(5) Variations resulting from reflected sound from small objects
allowed within the test site.
(6) The interpretation of the effects of the above cited factors by
enforcement personnel.
(b) Measurement tolerances shall not exceed 2 decibels for a given
measurement.

Subpart B--Administrative Provisions

Sec. 325.11 Issuance, amendment, and revocation of the rules in this part.

The procedures specified in part 389 of this chapter for the
issuance, amendment, or revocation of the Federal

[[Page 508]]

Motor Carrier Safety Regulations apply to rulemaking proceedings for the
issuance, amendment, or revocation of the rules in this part.

Sec. 325.13 Inspection and examination of motor vehicles.

(a) Any special agent of the Federal Highway Administration
(designated in appendix B to subchapter B of this chapter) is authorized
to inspect, examine, and test a motor vehicle operated by a motor
carrier in accordance with the procedures specified in this part for the
purpose of ascertaining whether the motor vehicle and equipment
installed on the motor vehicle conforms to the Interstate Motor Carrier
Noise Emission Standards of the Environmental Protection Agency, 40 CFR
part 202.
(b) A motor carrier, its officers, drivers, agents, and employees
must, at any time, submit a motor vehicle used in its operations for
inspection, examination, and testing for the purpose of ascertaining
whether the motor vehicle and equipment installed on it conforms to the
Interstate Motor Carrier Noise Emission Standards of the Environmental
Protection Agency, 40 CFR part 202.
(c) Prescribed inspection report. Form MCS-141, Noise Level
Compliance Check shall be used to record findings from motor vehicles
selected for noise emission inspection by authorized employees.
(d) Motor carrier's disposition of form MCS-141. (1) The driver of
any motor vehicle receiving a Form MCS-141 shall deliver such MCS-141 to
the motor carrier operating the vehicle upon his/her arrival at the next
terminal or facility of the motor carrier, if such arrival occurs within
twenty-four (24) hours. If the driver does not arrive at a terminal or
facility of the motor carrier operating the vehicle within twenty-four
(24) hours he/she shall immediately mail the Form MCS-141 to the motor
carrier. For operating convenience, motor carriers may designate any
shop, terminal, facility, or person to which it may instruct its drivers
to deliver or forward Form MCS-141. It shall be the sole responsibility
of the motor carrier that Form MCS-141 is returned to the Federal
Highway Administration, in accordance with the terms prescribed thereon
and in paragraphs (d) (2) and (3) of this section. A driver, if himself/
herself a motor carrier, shall return Form MCS-141 to the Federal
Highway Administration, in accordance with the terms prescribed thereon
and in paragraphs (d) (2) and (3) of this section.
(2) Motor carriers shall carefully examine Forms MCS-141.
Appropriate corrective action shall be taken on vehicles found to be not
in compliance with the requirements of this part.
(3) Motor carriers shall complete the ``Motor Carrier Certification
of Action Taken'' on Form MCS-141 in accordance with the terms
prescribed thereon. Motor carriers shall return Forms MCS-141 to the
Regional Director of Motor Carriers of the Office of Motor Carriers,
Federal Highway Administration, at the address indicated upon Form MCS-
141 within fifteen (15) days following the date of the vehicle
inspection.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976;
54 FR 50385, Dec. 6, 1989; 60 FR 38743, July 28, 1995]

Subpart C--Instrumentation

Sec. 325.21 Scope of the rules in this subpart.

The rules in this subpart specify criteria for sound level
measurement systems which are used to make the sound level measurements
specified in subpart D and subpart E of this part.

Sec. 325.23 Type of measurement systems which may be used.

The sound level measurement system must meet or exceed the
requirements of American National Standard Specification for Sound Level
Meters (ANSI S1.4-1971), approved April 27, 1971, issued by the American
National Standards Institute,^{1 throughout the applicable frequency
range for either:
---------------------------------------------------------------------------

^{1 Copies of the specification may be secured from the American
National Standards Institute, 1430 Broadway, New York, New York, 10018.
---------------------------------------------------------------------------

(a) A Type 1 sound level meter;
(b) A Type 2 sound level meter; or
(c) A Type S sound level meter which has--
(1) A weighing frequency response;

[[Page 509]]

(2) Fast dynamic characteristics of its indicating instrument; and
(3) A relative response level tolerance consistent with those of
either a Type 1 or Type 2 sound level meter, as specified in section 3.2
of ANSI S1.4-1971.

Sec. 325.25 Calibration of measurement systems.

(a)(1) The sound level measurement system must be calibrated and
appropriately adjusted at one or more frequencies in the range from 250
to 1,000 Hz at the beginning of each series of measurements and at
intervals of 5-15 minutes thereafter, until it has been determined that
the sound level measurement system has not significantly drifted from
its calibrated level. Once this fact has been established, calibrations
may be made at intervals once every hour. A significant drift shall be
considered to have occurred if a 0.3 dB or more excursion is noted from
the system's predetermined reference calibration level. In the case of
systems using displays with whole decibel increments, the operator may
visually judge when the 0.3 dB drift has been met or exceeded.
(2) The sound level measurement system must be checked periodically
by its manufacturer, a representative of its manufacturer, or a person
of equivalent special competence to verify that its accuracy meets the
manufacturer's design criteria.
(b) An acoustical calibrator of the microphone coupler type designed
for the sound level measurement system in use shall be used to calibrate
the sound level measurement system in accordance with paragraph (a) of
this section. The calibration must meet or exceed the accuracy
requirements specified in section 5.4.1 of the American National
Standard Institute Standard Methods for Measurements of Sound Pressure
Levels (ANSI S1.13-1971) for field method measurements.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]

Sec. 325.27 Use of a windscreen.

A properly installed windscreen, of the type recommended by the
manufacturer of the Sound Level Measurement System, shall be used during
the time that noise emission measurements are being taken.

Subpart D--Measurement of Noise Emissions; Highway Operations

Sec. 325.31 Scope of the rules in this subpart.

The rules in this subpart specify conditions and procedures for
measurement of the sound level generated by a motor vehicle engaged in a
highway operation for the purpose of ascertaining whether the motor
vehicle conforms to the Standards for Highway Operations set forth in 40
CFR 202.20.

Sec. 325.33 Site characteristics; highway operations.

(a) Measurement shall be made at a test site which is adjacent to,
and includes a portion of, a traveled lane of a public highway. A
microphone target point shall be established on the centerline of the
traveled lane of the highway, and a microphone location point shall be
established on the ground surface not less than 31 feet (9.5 m) or more
than 83 feet (25.3 m) from the microphone target point and on a line
that is perpendicular to the centerline of the traveled lane of the
highway and that passes through the microphone target point. In the case
of a standard test site, the microphone location point is 50 feet (15.2
m) from the microphone target point. Within the test site is a
triangular measurement area. A plan view diagram of a standard test
site, having an open site within a 50-foot (15.2 m) radius of both the
microphone target point and the microphone location point, is shown in
Figure 1. Measurements may be made at a test site having smaller or
greater dimensions in accordance with the rules in subpart F of this
part.

[[Page 510]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.010

(b) The test site must be an open site, essentially free of large
sound-reflecting objects. However, the following objects may be within
the test site, including the triangular measurement area:
(1) Small cylindrical objects such as fire hydrants or telephone or
utility poles.
(2) Rural mailboxes.
(3) Traffic railings of any type of construction except solid
concrete barriers (see Sec. 325.5(c)(4)).
(4) One or more curbs having a vertical height of 1 foot (.3 m) or
less.
(c) The following objects may be within the test site if they are
outside of the triangular measurement area of the site:
(1) Any vertical surface (such as billboard), regardless of size,
having a lower edge more than 15 feet (4.6 m) higher than the surface of
the traveled lane of the highway.
(2) Any uniformly smooth sloping surface slanting away from the
highway (such as a rise in grade alongside the highway) with a slope
that is less than 45 degrees above the horizontal.
(3) Any surface slanting away from the highway that is 45 degrees or
more and not more than 90 degrees above the horizontal, if all points on
the surface are more than 15 feet (4.6 m) above the surface of the
traveled lane of the highway.
(d) The surface of the ground within the measurement area must be
relatively flat (see Sec. 325.5(c)(5)). The site shall be a ``soft''
test site. However, if the site is determined to be ``hard,'' the
correction factor specified in Sec. 325.75(a) of this part shall be
applied to the measurement.
(e) The traveled lane of the highway within the test site must be
dry, paved with relatively smooth concrete or asphalt, and substantially
free of--
(1) Holes or other defects which would cause a motor vehicle to emit
irregular tire, body, or chassis impact noise; and
(2) Loose material, such as gravel or sand.
(f) The traveled lane of the highway on which the microphone target
point is situated must not pass through a tunnel or underpass located
within 200 feet (61 m) of that point.

[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]

Sec. 325.35 Ambient conditions; highway operations.

(a)(1) Sound. The ambient A-weighted sound level at the microphone
location point shall be measured, in the absence of motor vehicle noise
emanating from within the clear zone, with fast meter response using a
sound level measurement system that conforms to the rules of
Sec. 325.23.
(2) The measured ambient level must be 10 dB(A) or more below that
level specified in Sec. 325.7, Table 1, which corresponds to the maximum
permissible sound level reading which is applicable at the test site at
the time of testing.
(b) Wind. The wind velocity at the test shall be measured at the
beginning of each series of noise measurements and at intervals of 5-15
minutes thereafter until it has been established that the wind velocity
is essentially constant. Once this fact has been established, wind
velocity measurements may be made at intervals of once every hour. Noise
measurements may only be made if the measured wind velocity is 12 mph
(19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2 kph)
are allowed.
(c) Precipitation. Measurements are prohibited under any condition
of precipitation, however, measurements may be made with snow on the
ground.

[[Page 511]]

The ground surface within the measurement area must be free of standing
water.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976;
41 FR 28267, July 9, 1976]

Sec. 325.37 Location and operation of sound level measurement system; highway operations.

(a) The microphone of a sound level measurement system that conforms
to the rules in Sec. 325.23 of this part shall be located at a height of
not less than 2 feet (.6 m) nor more than 6 feet (1.8 M) above the plane
of the roadway surface and not less than 3\1/2\ feet (1.1 m) above the
surface on which the microphone stands. The preferred microphone height
on flat terrain is 4 feet (1.2 m).
(b)(1) When the sound level measurement system is hand-held or is
otherwise monitored by a person located near its microphone, the holder
must orient himself/herself relative to the highway in a manner
consistent with the recommendation of the manufacturer of the sound
level measurement system.
(2) In no case shall the holder or observer be closer than 2 feet
(.6 m) from the system's microphone, nor shall he/she locate himself/
herself between the microphone and the vehicle being measured.
(c) The microphone of the sound level measurement system shall be
oriented toward the traveled lane of the highway at the microphone
target point at an angle that is consistent with the recommendation of
the system's manufacturer. If the manufacturer of the system does not
recommend an angle of orientation for its microphone, the microphone
shall be oriented toward the highway at an angle of not less than 70
degrees and not more than perpendicular to the horizontal plane of the
traveled lane of the highway at the microphone target point.
(d) The sound level measurement system shall be set to the A-
weighting network and ``fast'' meter response mode.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]

Sec. 325.39 Measurement procedure; highway operations.

(a) In accordance with the rules in this subpart, a measurement
shall be made of the sound level generated by a motor vehicle operating
through the measurement area on the traveled lane of the highway within
the test site, regardless of the highway grade, load, acceleration or
deceleration.
(b) The sound level generated by the motor vehicle is the highest
reading observed on the sound level measurement system as the vehicle
passes through the measurement area, corrected, when appropriate, in
accordance with the rules in subpart F of this part. (Table 1 in
Sec. 325.7 lists the range of maximum permissible sound level readings
for various test conditions.) The sound level of the vehicle being
measured must be observed to rise at least 6 dB(A) before the maximum
sound level occurs and to fall at least 6 dB(A) after the maximum sound
level occurs in order to be considered a valid sound level reading.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]

Subpart E--Measurement of Noise Emissions; Stationary Test

Sec. 325.51 Scope of the rules in this subpart.

(a) The rules in this subpart specify conditions and procedures for
measuring the sound level generated by a vehicle when the vehicle's
engine is rapidly accelerated from idle to governed speed at wide open
throttle with the vehicle stationary, its transmission in neutral, and
its clutch engaged, for the purpose of ascertaining whether the motor
vehicle conforms to the Standard for Operation Under Stationary Test, 40
CFR 202.21.
(b) The rules in this subpart apply only to a motor vehicle that is
equipped with an engine speed governor.
(c) Tests conducted in accordance with the rules of this subpart may
be made on either side of the vehicle.

[[Page 512]]

Sec. 325.53 Site characteristics; stationary test.

(a)(1) The motor vehicle to be tested shall be parked on the test
site. A microphone target point shall be established on the ground
surface of the site on the centerline of the lane in which the motor
vehicle is parked at a point that is within 3 feet (.9 m) of the
longitudinal position of the vehicle's exhaust system outlet(s). A
microphone location point shall be established on the ground surface not
less than 31 feet (9.5 m) and not more than 83 feet (25.3 m) from the
microphone target point. Within the test site is a triangular
measurement area. A plan view diagram of a standard test site, having an
open site within a 50-foot (15.2 m) radius of both the microphone target
point and the microphone location point, is shown in Figure 2.
[GRAPHIC] [TIFF OMITTED] TC01AP91.011

(2) Measurements may be made at a test site having smaller or
greater dimensions in accordance with the rules in subpart F of this
part.
(b) The test site must be an open site, essentially free of large
sound-reflecting objects. However, the following objects may be within
the test site, including the triangular measurement area:
(1) Small cylindrical objects such as fire hydrants or telephone or
utility poles.
(2) Rural mailboxes.
(3) Traffic railings of any type of construction except solid
concrete barriers (see Sec. 325.5(c)(4)).
(4) One or more curbs having a height of 1 foot (.3 m) or less.
(c) The following objects may be within the test site if they are
outside of the triangular measurement area of the site:
(1) Any vertical surface, regardless of size (such as a billboard),
having a lower edge more than 15 feet (4.6 m) above the ground.
(2) Any uniformly smooth surface slanting away from the vehicle with
a slope that is less than 45 degrees above the horizontal.
(3) Any surface slanting away from the vehicle that is 45 degrees or
more and not more than 90 degrees above the horizontal, if all points on
the surface are more than 15 feet (4.6 m) above the surface of the
ground in the test site.
(d) The surface of the ground within the measurement area must be
relatively flat. (See Sec. 325.5(c)(5)). The site shall be a ``hard''
site. However, if the site is determined to be ``soft,'' the correction
factor specified in Sec. 325.75(b) of this part shall be applied to the
measurement.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976;
54 FR 50385, Dec. 6, 1989]

Sec. 325.55 Ambient conditions; stationary test.

(a)(1) Sound. The ambient A-weighted sound level at the microphone
location point shall be measured, in the absence of motor vehicle noise
emanating from within the clear zone, with fast meter response using a
sound level measurement system that conforms to the rules of
Sec. 325.23.
(2) The measured ambient level must be 10 dB(A) or more below that
level specified in Sec. 325.7, Table 1, which corresponds to the maximum
permissible sound level reading which is applicable at the test site at
the time of testing.
(b) Wind. The wind velocity at the test site shall be measured at
the beginning of each series of noise measurements and at intervals of
5-15 minutes thereafter until it has been established that the wind
velocity is essentially constant. Once this fact has been established,
wind velocity measurements may be made at intervals of once every hour.
Noise measurements may only be made if the measured wind velocity is 12
mph (19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2
kph) are allowed.

[[Page 513]]

(c) Precipitation. Measurements are prohibited under any conditions
of precipitation, however, measurements may be made with snow on the
ground. The ground within the measurement area must be free of standing
water.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 28267, July 9, 1976]

Sec. 325.57 Location and operation of sound level measurement systems; stationary test.

(a) The microphone of a sound level measurement system that conforms
to the rules in Sec. 325.23 shall be located at a height of not less
than 2 feet (.6 m) nor more than 6 feet (1.8 m) above the plane of the
roadway surface and not less than 3\1/2\ feet (1.1 m) above the surface
on which the microphone stands. The preferred microphone height on flat
terrain is 4 feet (1.2 m).
(b) When the sound level measurement system is hand-held or
otherwise monitored by a person located near its microphone, the holder
must orient himself/herself relative to the highway in a manner
consistent with the recommendation of the manufacturer of the sound
level measurement system. In no case shall the holder or observer be
closer than 2 feet (.6 m) from the system's microphone, nor shall he/she
locate himself/herself between the microphone and the vehicle being
measured.
(c) The microphone of the sound level measurement system shall be
oriented toward the vehicle at an angle that is consistent with the
recommendation of the system's manufacturer. If the manufacturer of the
system does not recommend an angle of orientation for its microphone,
the microphone shall be oriented at an angle of not less than 70 degrees
and not more than perpendicular to the horizontal plane of the test site
at the microphone target point.
(d) The sound level measurement system shall be set to the A-
weighting network and ``fast'' meter response mode.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]

Sec. 325.59 Measurement procedure; stationary test.

In accordance with the rules in this subpart, a measurement shall be
made of the sound level generated by a stationary motor vehicle as
follows:
(a) Park the motor vehicle on the test site as specified in
Sec. 325.53 of this subpart. If the motor vehicle is a combination
(articulated) vehicle, park the combination so that the longitudinal
centerlines of the towing vehicle and the towed vehicle or vehicles are
in substantial alinement.
(b) Turn off all auxiliary equipment which is installed on the motor
vehicle and which is designed to operate under normal conditions only
when the vehicle is operating at a speed of 5 mph (8 kph) or less.
Examples of such equipment include cranes, asphalt spreaders, liquid or
slurry pumps, auxiliary air compressors, welders, and trash compactors.
(c) If the motor vehicle's engine radiator fan drive is equipped
with a clutch or similar device that automatically either reduces the
rotational speed of the fan or completely disengages the fan from its
power source in response to reduced engine cooling loads, park the
vehicle before testing with its engine running at high idle or any other
speed the operator may choose, for sufficient time but not more than 10
minutes, to permit the engine radiator fan to automatically disengage
when the vehicle's noise emissions are measured under stationary test.
(d) With the motor vehicle's transmission in neutral and its clutch
engaged, rapidly accelerate the vehicle's engine from idle to its
maximum governed speed with wide open throttle. Return the engine's
speed to idle.
(e) Observe the maximum reading on the sound level measurement
system during the time the procedures specified in paragraph (d) of this
section are followed. Record that reading, if the reading has not been
influenced by extraneous noise sources such as motor vehicles operating
on adjacent roadways.
(f) Repeat the procedures specified in paragraphs (d) and (e) of
this section until the first two maximum sound level readings that are
within 2 dB(A) of each other are recorded. Numerically average those two
maximum

[[Page 514]]

sound level readings. When appropriate, correct the average figure in
accordance with the rules in subpart F of this part.
(g) The average figure, corrected as appropriate, contained in
accordance with paragraph (f) of this section, is the sound level
generated by the motor vehicle for the purpose of determining whether it
conforms to the Standard for Operation Under Stationary Test, 40 CFR
202.21. (Table 1 in Sec. 325.7 lists the range of maximum permissible
sound level readings for various test conditions.)

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976]

Subpart F--Correction Factors

Sec. 325.71 Scope of the rules in this subpart.

(a) The rules in this subpart specify correction factors which are
added to, or subtracted from, the reading of the sound level generated
by a motor vehicle, as displayed on a sound level measurement system,
during the measurement of the motor vehicle's sound level emissions at a
test site which is not a standard site.
(b) The purpose of adding or subtracting a correction factor is to
equate the sound level reading actually generated by the motor vehicle
to the sound level reading it would have generated if the measurement
had been made at a standard test site.

Sec. 325.73 Microphone distance correction factors.^{1
---------------------------------------------------------------------------

1 Table 1, in Sec. 325.7 is a tabulation of the maximum allowable
sound level readings taking into account both the distance correction
factors contained in Sec. 325.73 and the ground surface correction
factors contained in Sec. 325.75.
---------------------------------------------------------------------------

If the distance between the microphone location point and the
microphone target point is other than 50 feet (15.2 m), the maximum
observed sound level reading generated by the motor vehicle in
accordance with Sec. 325.39 of this part or the numerical average of the
recorded maximum observed sound level readings generated by the motor
vehicle in accordance with Sec. 325.59 of this part shall be corrected
as specified in the following table:

Table 2--Distance Correction Factors
------------------------------------------------------------------------
The value
dB(A) to
be applied
to the
If the distance between the microphone location point and observed
the microphone target point is sound
level
reading
is--
------------------------------------------------------------------------
31 feet (9.5 m) or more but less than 35 feet (10.7 m)...... -4
35 feet (10.7 m) or more but less than 39 feet (11.9 m)..... -3
39 feet (11.9 m) or more but less than 43 feet (13.1 m)..... -2
43 feet (13.1 m) or more but less than 48 feet (14.6 m)..... -1
48 feet (14.6 m) or more but less than 58 feet (17.7 m)..... 0
58 feet (17.7 m) or more but less than 70 feet (21.3 m)..... +1
70 feet (21.3 m) or more but less than 83 feet (25.3 m)..... +2
------------------------------------------------------------------------

[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]

Sec. 325.75 Ground surface correction factors.^{1
---------------------------------------------------------------------------

(a) Highway operations. When measurements are made in accordance
with the rules in subpart D of this part upon a test site which is
``hard,'' a correction factor of 2 dB(A) shall be subtracted from the
maximum observed sound level reading generated by the motor vehicle to
determine whether the motor vehicle conforms to the Standards for
Highway Operations, 40 CFR 202.20.
(b) Stationary Test. When measurements are made in accordance with
the rules in subpart E of this part upon a test site which is ``soft,''
a correction factor of 2 dB(A) shall be added to the numerical average
of the recorded maximum observed sound level readings generated by the
motor vehicle to determine whether the motor vehicle conforms to the
Standard for Operation Under Stationary Test, 40 CFR 202.21.

[[Page 515]]

Sec. 325.77 Computation of open site requirements--nonstandard sites.

(a) If the distance between the microphone location point and the
microphone target point is other than 50 feet (15.2 m), the test site
must be an open site within a radius from both points which is equal to
the distance between the microphone location point and the microphone
target point.
(b) Plan view diagrams of nonstandard test sites are shown in
Figures 3 and 4. Figure 3 illustrates a test site which is larger than a
standard test site and is based upon a 60-foot (18.3 m) distance between
the microphone location point and the microphone target point. (See
Sec. 325.79(b)(1) for an example of the application of the correction
factor to a sound level reading obtained at such a site.) Figure 4
illustrates a test site which is smaller than a standard test site and
is based upon a 35-foot (10.7 m) distance between the microphone
location point and the microphone target point. (See Sec. 325.79(b)(2)
for an example of the application of the correction factor to a sound
level reading obtained at such a site.)
[GRAPHIC] [TIFF OMITTED] TC01AP91.012

[GRAPHIC] [TIFF OMITTED] TC01AP91.013

Sec. 325.79 Application of correction factors.

(a) If two correction factors apply to a measurement they are
applied cumulatively.
(b) The following examples illustrate the application of correction
factors to sound level measurement readings:
(1) Example 1--Highway operations. Assume that a motor vehicle
generates a maximum observed sound level reading of 86 dB(A) during a
measurement in accordance with the rules in subpart D of this part.
Assume also that the distance between the microphone location point and
the microphone target point is 60 feet (18.3 m) and that the measurement
area of the test site is acoustically ``hard.'' The corrected sound
level generated by the motor vehicle would be 85 dB(A), calculated as
follows:

86 dB(A) Uncorrected reading
+1 dB(A) Distance correction factor
-2 dB(A) Ground surface correction factor
----------
85 dB(A) Corrected reading

(2) Example 2--Stationary test. Assume that a motor vehicle
generates maximum sound level readings which average 88 dB(A) during a
measurement in accordance with the rules in subpart E of this part.
Assume also that the distance between the microphone location point and
the microphone target point is 35 feet (10.7 m), and that the
measurement area of the test site is acoustically ``soft.'' The
corrected sound level generated by the motor vehicle

[[Page 516]]

would be 87 dB(A), calculated as follows:

88 dB(A) Uncorrected average of readings
-3 dB(A) Distance correction factor
+2 dB(A) Ground surface correction factor
----------

87 dB(A) Corrected reading

Subpart G--Exhaust Systems and Tires

Sec. 325.91 Exhaust systems.

A motor vehicle does not conform to the visual exhaust system
inspection requirements, 40 CFR 202.22, of the Interstate Motor Carrier
Noise Emission Standards, if inspection of the exhaust system of the
motor vehicle discloses that the system--
(a) Has a defect which adversely affects sound reduction, such as
exhaust gas leaks or alteration or deterioration of muffler elements,
(small traces of soot on flexible exhaust pipe sections shall not
constitute a violation of this subpart);
(b) Is not equipped with either a muffler or other noise dissipative
device, such as a turbocharger (supercharger driven by exhaust gases);
or
(c) Is equipped with a cut-out, by-pass, or similar device, unless
such device is designed as an exhaust gas driven cargo unloading system.

Sec. 325.93 Tires.

(a) Except as provided in paragraph (b) of this section, a motor
vehicle does not conform to the visual tire inspection requirements, 40
CFR 202.23, of the Interstate Motor Carrier Noise Emissions Standards,
if inspection of any tire on which the vehicle is operating discloses
that the tire has a tread pattern composed primarily of cavities in the
tread (excluding sipes and local chunking) which are not vented by
grooves to the tire shoulder or circumferentially to each other around
the tire.
(b) Paragraph (a) of this section does not apply to a motor vehicle
operated on a tire having a tread pattern of the type specified in that
paragraph, if the motor carrier who operates the motor vehicle
demonstrates to the satisfaction of the Associate Administrator for
Motor Carriers or his/her designee that either--
(1) The tire did not have that type of tread pattern when it was
originally manufactured or newly remanufactured; or
(2) The motor vehicle generates a maximum sound level reading of 90
dB(A) or less when measured at a standard test site for highway
operations at a distance of 15.3 meters (50 feet) and under the
following conditions:
(i) The measurement must be made at a time and place and under
conditions specified by the Associate Administrator or his/her designee.
(ii) The motor vehicle must be operated on the same tires that were
installed on it when the inspection specified in paragraph (a) of this
section occurred.
(iii) The motor vehicle must be operated on a highway having a
posted speed limit of more than 56.3 kph (35 mph).
(iv) The sound level measurement must be made while the motor
vehicle is operating at the posted speed limit.

[40 FR 42437, Sept. 12, 1975, as amended at 60 FR 38743, July 28, 1995]

[[Page 517]]

SUBCHAPTER B--FEDERAL MOTOR CARRIER SAFETY REGULATIONS

PART 350--COMMERCIAL MOTOR CARRIER SAFETY ASSISTANCE PROGRAM--Table of Contents

Sec.
350.1 Purpose.
350.3 Definitions.
350.5 Policy.
350.7 Objective.
350.9 Conditions for basic grant approval.
350.11 Adopting and enforcing compatible laws and regulations.
350.13 State Enforcement Plan (SEP) for a basic grant.
350.15 Certification of compliance by State.
350.17 Maintenance of effort.
350.19 Grant application submission.
350.21 Distribution of funds.
350.23 Acceptance of State plan.
350.25 Effect of failure to submit a satisfactory State plan.
350.27 Procedure for withdrawal of approval.
350.29 Eligible costs.

Appendix A to Part 350--Guidelines To Be Used in Preparing State
Enforcement Plan
Appendix B to Part 350--Form of State Certification
Appendix C to Part 350--Tolerance Guidelines for Adopting Compatible
State Rules and Regulations

Authority: 49 U.S.C. 31101-31104, 31108, 31136, 31140-31141, 31161,
31310-31311, 31502; and 49 CFR 1.48.

Source: 57 FR 40956, Sept. 8, 1992, unless otherwise noted.

Sec. 350.1 Purpose.

The purpose of this part is to prescribe requirements for Federal
assistance to States for programs to adopt and enforce Federal rules,
regulations, standards and orders applicable to commercial motor vehicle
safety or compatible State rules, regulations, standards and orders.

Sec. 350.3 Definitions.

As used in this part:
Administrator means the Federal Highway Administrator.
Basic allocation means only those Federal funds distributed by the
allocation formula, or the minimum funding level specified in this part.
Basic grant means the funds available to a State for carrying out an
approved State Enforcement Plan (SEP), which include, but are not
limited to:
(1) Recruiting and training of personnel, payment of salaries and
fringe benefits, the acquisition and maintenance of equipment except
those at fixed weigh scales for the purposes of weight enforcement, and
reasonable overhead costs needed to operate the program;
(2) Commencement and conduct of expanded systems of enforcement;
(3) Establishment of an effective out-of-service and compliance
enforcement system; and
(4) Retraining and replacing staff and equipment.
Commercial motor vehicle means any self-propelled or towed vehicle
used on the public highways in commerce to transport passengers or
property when:
(1) The vehicle has a gross vehicle weight rating or gross
combination weight rating of 10,001 or more pounds; or
(2) The vehicle is designed to transport more than 15 passengers,
including the driver; or
(3) The vehicle is used in the transportation of hazardous materials
in quantities requiring placarding under regulations issued by the
Secretary of Transportation pursuant to the authority of the Hazardous
Material Transportation Act, as amended (49 U.S.C. app. 1801 et seq.).
Compatible or compatibility means, in relation to State laws and
regulations pertaining to commercial motor vehicle safety, having the
same effect as the Federal Motor Carrier Safety Regulations (FMCSR) or
Federal Hazardous Materials Regulations (FHMR) in that those State rules
are either identical or fall within the tolerance guidelines in appendix
C to this part.
Motor carrier has the same meaning such term has in Sec. 390.5.
State means a State of the United States, the District of Columbia,
the Commonwealth of Puerto Rico, the Virgin Islands, American Samoa,

[[Page 518]]

Guam, or the Commonwealth of the Northern Marianas.

[57 FR 40956, Sept. 8, 1992, as amended at 60 FR 38743, July 28, 1995]

Sec. 350.5 Policy.

The Federal Highway Administration (FHWA) policy is to encourage
each State to enforce uniform motor carrier safety and hazardous
materials regulations for both interstate and intrastate motor carriers
and drivers. The requirements for compliance with safety standards in
one State should be compatible with the requirements in another State. A
coordinated program of inspection and enforcement activities is needed
to avoid duplication of effort, to promote compliance with uniform
safety requirements by all types of motor carriers, and to provide a
basis for sanctioning carriers for poor safety performance.

Sec. 350.7 Objective.

The objective of the Motor Carrier Safety Assistance Program (MCSAP)
is to reduce the number and severity of accidents and hazardous
materials incidents involving commercial motor vehicles by substantially
increasing the level and effectiveness of enforcement activity and the
likelihood that safety defects, driver deficiencies and unsafe carrier
practices will be detected and corrected.

Sec. 350.9 Conditions for basic grant approval.

(a) The State shall agree to adopt, and to assume responsibility for
enforcing the Federal Motor Carrier Safety Regulations (FMCSR) (49 CFR
parts 390 through 399, except as may be determined by the Administrator
to be inapplicable to a State enforcement program) including highway
related portions of the Federal Hazardous Materials Regulations (FHMR)
(49 CFR parts 107, 171-173, 177, 178 and 180), or compatible State
rules, regulations, standards, and orders applicable to motor carrier
safety, including highway transportation of hazardous materials.
(b) The State shall submit a State Enforcement Plan (SEP) for the
conduct of an effective safety program. Such plan, upon acceptance by
the FHWA, will serve as the basis for monitoring and evaluating
performance of the State under the grant, and will be resubmitted, with
revisions as necessary, in applications for reapproval in following
years.
(c) The SEP shall designate the lead State agency responsible for
administering the plan for the State.
(d) The agencies named to perform functions under the plan shall
have the legal authority, resources, and qualified personnel necessary
to enforce the FMCSR and FHMR or compatible State rules at the time the
State implements the approved SEP.
(e) The State shall allocate adequate funds for the administration
of the SEP and the enforcement of the FMCSR and FHMR or compatible State
rules.
(f) State laws shall provide for right of entry and inspection
adequate to carry out the SEP and provide that the State will grant
maximum reciprocity for inspections conducted pursuant to the North
American Uniform Driver/Vehicle Inspection standard, through the use of
a nationally accepted system allowing ready identification of previously
inspected commercial motor vehicles.
(g) The State shall certify that it will maintain its aggregate
expenditure of funds by the State and political subdivisions thereof,
exclusive of Federal funds, for commercial motor vehicle safety programs
and related programs eligible for funding under this part, as required
by Sec. 350.17 of this part.
(h) The State shall agree to prepare and submit all reports required
in connection with the SEP or other conditions of the grant to the FHWA
upon request.
(i) The lead State agency shall agree to adopt such uniform
reporting requirements and use such uniform forms to record work
activities performed under the SEP as may be established and required by
the FHWA.
(j) The State shall require registrants of commercial motor vehicles
to declare, at the time of registration, knowledge of the FMCSR and FHMR
or compatible State rules, as applicable.
(k) The statutory authority of the State to regulate motor carriers
shall extend to private motor carriers of

[[Page 519]]

property as well as for-hire motor carriers.
(l) The State shall ensure that commercial motor vehicle size and
weight enforcement, drug interdiction, and traffic enforcement
activities funded under this program will not diminish the effectiveness
of other commercial motor vehicle safety enforcement programs.
(m) The State shall take appropriate steps to ensure that fines
imposed and collected by the State for violations will be reasonable and
appropriate and, to the maximum extent practicable, will seek to
implement into law and practice the recommended fine schedule published
by the Commercial Vehicle Safety Alliance.
(n) The State will participate in the SAFETYNET no later than
January 1, 1994.
(o) The State will undertake efforts to emphasize and improve
enforcement of State and local traffic laws as they pertain to
commercial motor vehicle safety.
(p) The State will ensure comprehensive enforcement and reinspection
of vehicles and drivers placed out of service to verify compliance with
lawful orders and the correction of all violations cited on roadside
inspection reports.

Sec. 350.11 Adopting and enforcing compatible laws and regulations.

(a) No funds shall be awarded under this part to States that do not
adopt and enforce laws and regulations that are compatible with the
FMCSR (except as may be determined by the Administrator to be
inapplicable) and the FHMR, unless otherwise provided in the Tolerance
Guidelines (appendix C to this part).
(b) The State shall conduct an annual review of all its laws and
regulations pertaining to commercial motor vehicle safety to determine
their compatibility with the FMCSR and FHMR. The review shall be carried
out in accordance with part 355 of this subchapter. To support a State's
contention of compatibility, the State may submit opinions from the
State's Attorney General or other chief legal officer with respect to
the effect and enforceability of State laws, rules, regulations,
standards, or orders in relation to the FMCSR and FHMR.
(c) State laws and regulations pertaining to commercial motor
vehicle safety in interstate commerce are also subject to preemption
under the provisions of Sec. 355.25 of this chapter.
(d) State laws and regulations that are not identical to the FMCSR
or FHMR will be deemed compatible for purposes of this part only if they
are within the variances permitted under the tolerance guidelines in
appendix C of this part.
(e) No State shall implement any changes to a State law or
regulation which makes that or any other law or regulation incompatible
under this section.
(f) As soon as practical after the effective date of any amendment
to the FMCSR or FHMR, but no longer than three years, the applicable
State law or regulation must be adopted or amended in such manner as
makes it compatible with the amended Federal provision.
(g) Any State may apply for a variance related to State laws,
regulations or enforcement practices pertaining to commercial motor
vehicle safety in intrastate commerce, which shall be granted if the
State can satisfactorily demonstrate that the State law, regulation or
enforcement practice achieves substantially the same purpose as the
similar Federal rule, does not apply to interstate commerce, and has no
adverse impact on safety.
(h) Upon a determination by the FHWA, on its own initiative or after
determination initiated at the request of any person, including a State,
that a State has failed to comply with the requirements of this part, or
that a State law, regulation or enforcement practice pertaining to
commercial motor vehicle safety in either interstate or intrastate
commerce is incompatible with the FMCSR or HMTR, a proceeding under
Sec. 350.27 for withdrawal of approval of a State plan may be initiated.
This proceeding shall be in addition to or in conjunction with any
action initiated under Sec. 355.25 of this chapter.
(i) Any decision regarding the compatibility of a State law or
regulation

[[Page 520]]

with the FHMR that requires an interpretation will be referred to the
Research and Special Programs Administration for such interpretation
before proceeding under Sec. 350.27.

[57 FR 40956, Sept. 8, 1992, as amended at 59 FR 5264, Feb. 3, 1994]

Sec. 350.13 State Enforcement Plan (SEP) for a basic grant.

(a) As a condition of the basic grant the State shall submit its
proposed SEP or update thereof to the FHWA division office.
(b) The SEP shall:
(1) Provide an assessment of the commercial motor carrier and
highway hazardous materials safety problems within the State;
(2) Identify State penalty structures applicable to enforcement
activities covered in the SEP, evaluate their reasonableness and
appropriateness, and indicate the steps being taken to approximate the
published Commercial Vehicle Safety Alliance (CVSA) fine schedule, if
necessary.
(3) Demonstrate that the State has authority to regulate and to
enforce its regulations with respect to private carriers of property as
well as for-hire motor carriers; and
(4) Describe in detail the objectives sought to be achieved, the
resources to be employed, the work items to be performed, the unit costs
where feasible and the methods to be used to measure effectiveness.
Specifically, the SEP shall:
(i) Identify other agencies participating in the plan and describe
the roles of each;
(ii) Identify the number and category of personnel employed and the
specialized training provided;
(iii) Include roadside inspection activity at such times and
locations as will assure comprehensive enforcement;
(iv) Describe the proposed reinspection activities that would ensure
motor carriers had made timely corrections of the out-of-service defects
and other safety violations cited on the roadside inspection reports and
that out-of-service drivers came into compliance with the regulations.
These reinspection activities shall include covert operations to
determine the extent of compliance with the State's out-of-service
orders. State enforcement activities to remedy out-of-service violations
shall depend on the extent of the verification problem and may include,
but are not limited to: on-site reinspection activities; covert
surveillance activities; safety and compliance review programs; and
other State proposed activities approved by the FHWA; and
(v) Describe the tracking system to be used by the State to ensure
that the motor carrier has certified to the correction of the safety
violations and returned the inspection report to the issuing agency.
(5) Be coordinated with the State highway safety plan under 23
U.S.C. 402.
(6) Describe the methods the State will use to promote:
(i) Removing impaired drivers from the highways through enforcement
of regulations on the use of alcohol and controlled substances and by
ensuring ready roadside access to alcohol detection and measuring
equipment;
(ii) Appropriate training to its personnel on the recognition of
drivers impaired by alcohol or controlled substances;
(iii) Enforcement of requirements relating to the licensing of
commercial motor vehicle drivers, including checking the status of
commercial driver's licenses;
(iv) Improved enforcement of hazardous materials transportation
regulation by encouraging more inspections of shipper facilities and
comprehensive inspections of hazardous materials loads;
(v) Effective controlled substance interdiction activities and
training on strategies for carrying out such activities; and
(vi) Effective use of trained and qualified officers and employees
of political subdivisions and local governments, under the direction and
supervision of the lead agency, in enforcement of commercial motor
vehicle safety and hazardous materials transportation safety.
(7) Document, if funds are used for vehicle size and weight,
alcohol/controlled substance checks, drug interdiction and/or traffic
law enforcement, that such activities are carried out in

[[Page 521]]

conjunction with an appropriate type of vehicle or driver inspection.
(c) Guidelines for the preparation of the SEP are provided in
appendix A to this part.

(Approved by the Office of Management and Budget under control number
2125-0536)

Sec. 350.15 Certification of compliance by State.

The FHWA will accept a certification, executed by the Governor, the
State's Attorney General or other State official specifically designated
by the Governor, in the form provided in appendix B to this part, that
the State is in compliance with the conditions of Sec. 350.9 of this
part. The certification shall accompany the SEP and be made part
thereof. The certification shall be supplemented by a copy of any State
law, regulation or forms pertaining to commercial motor carrier safety
adopted since the State's last certification, if any, which bear on the
items listed in the certification. The certificate should acknowledge
that activities described in Sec. 350.9 will be performed.

Sec. 350.17 Maintenance of effort.

(a) No SEP shall be approved or grant awarded in the absence of a
commitment by the State to maintain the aggregate expenditure of funds
by the State for commercial motor vehicle and highway hazardous
materials safety programs as provided in this section.
(b) The State shall certify each year that the level of State
funding for the 12-month period covered in the SEP for motor carrier and
highway hazardous materials safety, size and weight, traffic safety and
drug interdiction enforcement purposes shall not fall below the average
aggregate expenditure of funds, exclusive of Federal funds and any State
matching funds used to receive Federal funding, for those purposes in
the base period of three full fiscal years prior to December 18, 1991.
The State may elect to use either Federal fiscal years or State fiscal
years at its option.
(c) In determining whether a State has complied with this
maintenance of effort commitment, expenditures of State funds for
federally sponsored demonstration or pilot programs need not be included
in aggregating expenditures in the base period.
(d) For the purpose of determining the State's expenditures in the
base period, only costs associated with activities performed by State or
local agencies currently receiving or projected to receive funds under
this part must be counted, and only those activities which meet the most
current requirements for funding eligibility under the grant program
must be included.
(e) If it is determined that a State has not maintained its level of
expenditures as certified, the State shall be notified of the
deficiency. Upon receipt of such notification, the State shall have the
opportunity to submit information to substantiate the certification.
(f) If, after consideration of all information, it is finally
determined that a State has failed to meet its maintenance of effort
requirement, an amount equal to the deficiency shall be deducted from
the State's current allocation. That amount will then be available for
reallocation under Sec. 350.21 of this part.

Sec. 350.19 Grant application submission.

A State shall submit its application to the FHWA division office on
or before August 1 of each year. The time for submitting a plan may be
extended for a period not to exceed 30 calendar days for good cause
shown. Grants are approved for the fiscal year for which application is
made. Failure of a State to submit a plan for any given fiscal year will
preclude consideration of grant approval for that State for that year.

Sec. 350.21 Distribution of funds.

(a) The Federal share payable to reimburse States for eligible costs
incurred in the administration of a commercial motor carrier safety
program shall not exceed 80 percent.
(b) The FHWA will, upon request, waive the requirement for matching
funds to be provided by the Virgin Islands, American Samoa, Guam, or the
Commonwealth of the Northern Marianas.
(c) The funds available to any State for a basic grant in any one
year shall

[[Page 522]]

be distributed according to an allocation formula based on the most
recent reliable data concerning the following factors in equal
proportion:
(1) Road mileage (all highways);
(2) Vehicle miles travelled (all vehicles);
(3) Number of commercial vehicles over 10,000 pounds (gross vehicle
weight rating);
(4) Population (most current census); and
(5) Special fuel consumption (net after reciprocity adjustment).
(d) Subject to the availability of funds, the individual allocations
shall be adjusted so that no State qualifying for an award shall be
allocated more than a ceiling amount, which shall be no less than the
ceiling amount used in the previous year's distribution process. The
ceiling shall be increased each fiscal year in proportion to the amount
of increase in the funds available for distribution in that fiscal year.
The allocation formula shall also be adjusted so that no State
qualifying for an award shall be allocated:
(1) Less than the basic allocation of funds received in the 1991
fiscal year, provided the SEP continues to support that level of
funding; or
(2) Less than 0.5 percent of the total amount allocated to all
States (or $250,000, whichever is greater).
(3) Beginning on October 1, 1994, and each October 1 thereafter,
more than 50 percent of the basic formula allocation provided for in
this section if any such State has adopted and is enforcing compatible
regulations applicable to interstate transportation, but has not adopted
or is not enforcing compatible regulations applicable to intrastate
transportation.
(e) Funds will be allocated to States in recognition of innovative,
successful, cost efficient or cost effective programs to promote
commercial motor vehicle safety and hazardous materials transportation
safety and provide incentives to States that conduct traffic safety
enforcement activities done in conjunction with motor carrier safety
inspections. The allocations will be done in three separate grants:
(1) Basic grants--funds used to perform commercial vehicle safety
activities such as driver/vehicle inspections, safety reviews and
compliance reviews. Allocation for basic grants will be made pursuant to
paragraphs (c) and (d) of this section. Unused basic allocations will be
periodically redistributed. Any eligible MCSAP activity can be included
under the State's basic grant activities.
(2) Supplemental grants--funds used to conduct additional activities
or innovative programs demonstrated to be effective and cost-efficient,
and may include emphasis areas established by policy in consultation
with the States. To be eligible for a supplemental grant, a State must
qualify for a basic grant. Unused supplemental grant funds will be
periodically redistributed among those States that are able to
demonstrate innovative, cost-effective purposes consistent with the
objectives of this part.
(3) Special grants--funds used by States to meet the conditions in
Sec. 350.9 regarding eligibility requirements for basic grants; or for
States already participating in the basic program, to develop the
prerequisites for expanded activities not presently part of their basic
programs. Special grants are also available for research or data
collection activities, or for projects specifically identified by
statute, as, for example, commercial driver's license enforcement. To be
eligible for a special grant, a State need not qualify for a basic
grant.
(f) Notwithstanding any other provisions of this section, funds
which have not been awarded to States under application of the
allocation formula and the provisions for additional allocations
contained in this section may be redistributed at the discretion of the
Administrator. Subject to the availability of funds, the primary purpose
of any such redistribution is to prevent a decrease in the amount of
Federal funds used by particular States in previous years to support
effective and innovative programs. Preference will be given to those
States which have maintained effective federally assisted programs at
levels beyond that possible if limited to formula allocations.
(g) The funds obligated by a State will remain available to the
State for a period of the fiscal year in which obligated and the next
full fiscal year. Any

[[Page 523]]

unexpended obligations which are to be carried over to the next fiscal
year must be accounted for in the new SEP for that fiscal year. Funds
must be expended in the order in which they are obligated.

[57 FR 40956, Sept. 8, 1992, as amended at 59 FR 5264, Feb. 3, 1994]

Sec. 350.23 Acceptance of State plan.

(a) Each plan will be reviewed for content, after which the State
will be notified of its acceptance or rejection.
(b) The time for submitting a plan may be extended for a period not
to exceed 30 calendar days for good cause shown.
(c) Each State plan shall include an analysis of the effectiveness
of its prior year's plan in reaching the stated objectives. The State
will be advised whether any changes are needed in the plan or in its
intended objectives.

Sec. 350.25 Effect of failure to submit a satisfactory State plan.

(a) A State will be notified in writing that approval of the plan is
being withheld along with the reasons for such action, if:
(1) It is determined that a plan does not meet the requirements
described in Secs. 350.9 and 350.13; or
(2) It is determined that an SEP is not adequate to ensure effective
enforcement of the FMCSR and FHMR; or compatible State rules.
(b) The State shall have 30 calendar days from the date of the
notice to modify the plan and resubmit it for approval.

Sec. 350.27 Procedure for withdrawal of approval.

(a) If a State is not performing according to an approved plan or a
State is not adequately enforcing the FMCSR and FHMR, or compatible
State rules, the Administrator shall issue a written notice of proposed
determination of nonconformity to the Governor of the State or the
official designated in the plan. The notice shall state the reasons for
the proposed determination and inform the State that it may reply in
writing within 30 calendar days from the date of the notice. The reply
should address the deficiencies cited in the notice and provide
documentation as necessary.
(b) The Administrator's decision, after notice and opportunity for
comment, will constitute the final decision of the FHWA. An adverse
decision will result in immediate cessation of Federal participation in
the plan.
(c) If the State does not respond to a notice of proposed
determination of nonconformity as provided in paragraph (a) of this
section, the proposed determination shall become the Administrator's
final decision with the same effect as paragraph (b) of this section.
(d) Any State aggrieved by an adverse decision issued under this
part may seek judicial review pursuant to 5 U.S.C. ch. 7.

Sec. 350.29 Eligible costs.

(a) Work must be performed pursuant to an acceptable State plan in
order for the cost of that work to be eligible for reimbursement. The
eligible costs under the grant program are comprised of the allowable
direct costs incident to the State's performance and its allocable
portion of allowable indirect costs, less applicable credits.
(b) The primary functions to be performed under a basic grant are
uniform roadside inspections and safety and compliance reviews with
follow-up enforcement actions or compliance measures. Consequently, the
major cost will be compensation and expenses of the personnel required
to perform these functions.
(c) Subject to paragraph (c)(5) of this section, funds may also be
used for:
(1) Enforcement of size and weight limitations;
(2) Detecting the unlawful presence of controlled substances in a
commercial motor vehicle or on the person of any occupant (including the
operator) of such a vehicle;
(3) Enforcement of State traffic laws and regulations designed to
promote safe operation of commercial motor vehicles; and
(4) Sanitary food transportation inspections pursuant to 49 U.S.C.
2808.
(5) Provided: these activities are carried out in conjunction with
an appropriate type of inspection for enforcement of safety regulations.
Size and

[[Page 524]]

weight enforcement must be conducted at locations other than fixed
weight facilities, at specific geographical locations where the weight
of the vehicle can significantly affect the safe operation of the
vehicle, or at seaports where intermodal shipping containers enter and
exit the United States.
(d) Eligible personnel costs include, but are not limited to:
(1) Recruitment and screening;
(2) Training;
(3) Salaries and fringe benefits; and
(4) Supervision.
(e) Equipment and travel costs directly related to the primary
functions are also eligible for proportionate reimbursement. These costs
include, but are not limited to:
(1) Vehicles;
(2) Uniforms;
(3) Communications equipment;
(4) Special inspection equipment;
(5) Vehicle maintenance;
(6) Motor fuel and oil; and
(7) Travel and per diem expenses.
(f) Indirect expenses related to facilities used to conduct
inspections or to house enforcement personnel, support staff, and
equipment, except those related to fixed weighing facilities, may also
be eligible to the extent they are measurable and recurring, such as
rent and overhead.
(g) A secondary function of the MCSAP is to develop a data base on
which to coordinate resources and improve efficiency. Therefore, costs
related to data acquisition, storage, and analysis that are specifically
identifiable as program expenses may be eligible for reimbursement.
(h) Clerical and administrative expenses, to the extent they are
necessary and directly attributable to the MCSAP, are eligible for
reimbursement.
(i) The cost of acquisition of real property, land and buildings, is
not eligible as a participating cost in the MCSAP. Expenditures related
to the improvement of real property, for example, the installation of
lights for the inspection of vehicles at night or minor modifications to
existing structures, are not considered acquisition costs.
(j) The eligibility of specific costs is subject to review, and such
costs must be necessary, reasonable, allocable to the approved SEP, and
allowable under this part and 49 CFR part 18, Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local
Governments.
(k) In-kind contributions are acceptable if they represent eligible
costs as established by 49 CFR part 18, OMB Circulars, agency rule or
policy.

Appendix A to Part 350--Guidelines To Be Used in Preparing State
Enforcement Plan

1. Designate the lead State agency: The plan should indicate the
agency responsible for administering the plan.
2. Program Summary: This section includes objectives, activities,
resources, costs and an analysis of the effectiveness of the program.
(a) Define the problem: In assessing the level of commitment to be
made to the enforcement of commercial motor carrier and highway
hazardous materials safety regulations, the following factors should be
considered:
(1) Volume of commercial motor vehicle traffic;
(2) Type of commercial motor vehicle traffic;
(3) Volume of commercial motor vehicle traffic transporting
hazardous materials;
(4) Number and frequency (rate) of commercial motor carrier
accidents;
(5) Severity of accidents involving commercial motor carriers:
(i) Fatalities;
(ii) Injuries; and
(iii) Property damage.
(6) Seasonal commercial motor carrier operational patterns within
the State;
(7) Type and frequency of violations of traffic safety laws and
regulations pertaining to commercial motor vehicles and accidents;
(8) Use of alcohol and controlled substances by commercial motor
vehicle drivers; and
(9) Problems related to overweight vehicles and safety. (The
information in paragraphs 2(a) (6), (7), (8), and (9) of this appendix
may or may not be available to the States at present. To be able to
measure program effectiveness, however, States will need to compile this
type of data.)
(b) Determine current enforcement efforts: The plan should identify
the activities currently engaged in by the State to address the
commercial motor carrier and hazardous materials safety problems. This
should include a description of existing laws, regulations and
compliance activities, as well as the agencies within the State with
enforcement responsibilities.

[[Page 525]]

(c) Establish the objectives: A key element in each plan is the
establishment of the objectives sought to be achieved through the use of
Federal funds. The objectives should be stated in terms of quantifiable
measurements of results, where possible, or at least of effort. Ideally,
the objectives should include a measurable reduction in highway
accidents or hazardous materials incidents involving commercial motor
vehicles, but may also refer to quantifiable improvements in legislative
or regulatory authorities, problem identification, enforcement
strategies and resource allocations.
(1) Goals should be identified as:
(i) Short term--the year beginning October 1 following submission of
a MCSAP enforcement plan.
(ii) Medium term--two to four years after submission of the
enforcement plan.
(iii) Long term--five years beyond the submission of the enforcement
plan.
(2) Describe the practices: The plan should describe how the
resources are to be employed to achieve the objectives included under
350.13 and should discuss:
(i) Schedules of operation of inspection sites and units;
(ii) Tactics for placing vehicles out of service and verifying
compliance;
(iii) Projected number of annual:
(A) Roadside vehicle inspections including Commercial Driver's
Licenses checks; and
(B) Safety and Compliance Reviews;
(iv) Methods to inspect all types of carriage;
(v) Strategy for preventing circumvention or avoidance of
inspections;
(vi) Procedures for handling hazardous materials carriers and
passenger carriers;
(vii) Supervision and recordkeeping; and
(viii) Methods used to coordinate activities with the State highway
safety plan under 23 U.S.C. 402, including providing information to the
appropriate State agency, describing the information provided, and
discussing the comments that were received.
(3) Identify the resources: The plan should detail the resources to
be used in accomplishing the objectives, and should include:
(i) State agencies involved:
(A) Lead agency; and
(B) Local and other cooperating political subdivisions.
(ii) Personnel (from each agency involved):
(A) Line functions;
(B) Staff and supervision; and
(C) Administrative, technical and clerical.
(iii) Facilities:
(A) Inspection sites regularly maintained; and
(B) Building space required.
(iv) Equipment:
(A) Vehicles;
(B) Communication and ADP; and
(C) Other specialized tools.
(v) Itemization of Costs:
(A) Personnel (salaries, benefits, etc.);
(B) Equipment (purchase, rental, fuel, maintenance, depreciation,
salvage, etc.); and
(C) Facilities (rent and overhead).
(d) Program evaluation: Each plan should include a provision for
program evaluation of the effectiveness of previous activities. This
should include the economic and operational impact of increased
enforcement and provisions for review and update of the plan. It is not
practicable to establish objective minimums, as each State has unique
characteristics and varying levels of existing enforcement activity. The
FHWA will cooperate with State regulatory and enforcement agencies by
gathering useful information and experience on elements of enforcement
practices that produce positive results.
The bottom line objective in any safety program is a decrease in the
number and severity of accidents. Motor carrier safety regulations
should be designed to prescribe methods to eliminate the risks of
accidents. Compliance with such regulations should, therefore, reduce
accidents. The States are encouraged to design their programs to link
their enforcement efforts to causes of accidents, whenever possible, and
to develop the data necessary to demonstrate the results. The States are
encouraged to use the safety and program performance data collected over
several years to show trends and effects of program activities. In
assessing State Enforcement Plans, the FHWA will be particularly
attentive to the methods by which effectiveness is to be evaluated, and
will provide whatever assistance is feasible in developing measurement
factors.

Appendix B to Part 350--Form of State Certification

I (name), (title), on behalf of the State of __________, as
requested by the Federal Highway Administrator as a condition of
approval of a grant under the authority of Sec. 402 of the Surface
Transportation Assistance Act of 1982 (Pub. L. 97-424), do hereby
certify as follows:
1. The State (has adopted) (will adopt) commercial motor carrier and
highway hazardous materials safety rules and regulations, which (are)
(will be) substantially similar to and consistent with the Federal Motor
Carrier Safety Regulations and the Federal Hazardous Materials
Regulations (a copy of the existing or proposed State rules and
regulations to be attached in the first year of the program).
2. The State has designated (name of State commercial motor carrier
safety agency) as the lead agency to administer the enforcement plan for
which the grant is being awarded, and (name of agencies) to perform
functions under the plan. These agencies

[[Page 526]]

(have) (will have) the legal authority, resources and qualified
personnel necessary for the enforcement of the State's commercial motor
carrier and highway hazardous materials safety rules and regulations.
3. The State will devote such of its own funds as may be necessary
to provide its matching share to the Federal assistance provided in the
grant to administer the plan it is herewith submitting, and to enforce
the State's commercial motor carrier safety rules and regulations in a
manner to be consistent with the approved plan.
4. The laws of the State provide the State's enforcement officers
right of entry and inspection sufficient to carry out the purposes of
the enforcement plan as approved and provides that the State will grant
maximum reciprocity for inspections conducted pursuant to the North
American Inspection Standard, through the use of a nationally accepted
system allowing ready identification of previously inspected commercial
motor vehicles.
5. The State shall require that all reports relating to the program
be submitted to the appropriate State agency or agencies; and such
reports will be made available to the Federal Highway Administration
upon request.
6. The State will adopt such uniform reporting requirements and use
such uniform forms for recordkeeping, inspection, and other enforcement
activities as may be established by the Federal Highway Administration.
7. The State (has) (will have) in effect a requirement that
registrants of commercial motor vehicles declare knowledge of the
applicable Federal or State commercial motor carrier safety rules and
regulations.
8. The State will maintain the level of its expenditures for motor
carrier safety programs and, if applicable, size and weight, traffic
safety, and drug interdiction enforcement programs, exclusive of Federal
assistance, at least at the level of the average of the aggregate
expenditures of the State and political subdivisions for these purposes
during the last three full fiscal years immediately prior to December
18, 1991 (fiscal years 1989, 1990, and 1991).
9. The State will ensure that commercial motor vehicle size and
weight enforcement, drug interdiction, and traffic enforcement
activities funded under this program will not diminish the effectiveness
of other commercial motor vehicle safety enforcement programs.
10. The State will ensure that fines imposed and collected by the
State for violations will be reasonable and appropriate and provides
that, to the maximum extent practicable, it will seek to implement into
law and practice the recommended fine schedule published by the
Commercial Vehicle Safety Alliance.
11. The State will ensure that the SEP is coordinated with the State
highway safety plan under 23 U.S.C. 402 and the name of the Governor's
highway safety representative (or other authorized State official)
through whom coordination was accomplished is __________.
12. The State will participate in the SAFETYNET no later than
January 1, 1994.
13. The State will undertake efforts to emphasize and improve
enforcement of State and local traffic laws as they pertain to
commercial motor vehicle safety.

Date____________________________________________________________________

Location________________________________________________________________

(Signature)_____________________________________________________________

Appendix C to Part 350--Tolerance Guidelines for Adopting Compatible
State Rules and Regulations

1. Introduction, Purpose and Rules of Construction

The goal of the Federal Highway Administration (FHWA) is to
encourage all States to ultimately adopt motor carrier safety and
hazardous materials transportation rules and regulations identical in
all respects to those requirements set forth in Federal laws and
regulations, applicable to both interstate and intrastate commerce.
Recognizing that there are circumstances unique to each State which may
require special attention in that particular State, FHWA has concluded
that certain circumstances may warrant limited deviations from the
Federal standards where the Federal regulations do not apply.
The purpose of this appendix is to set forth the limits within which
a State's deviations to variances in adopting motor carrier safety and
hazardous materials rules may extend and still be considered compatible
for funding purposes under 49 CFR 350. These limits or tolerances are
applicable for this purpose to those State rules and regulations
applicable where the U.S. Department of Transportation does not have
jurisdiction.

2. Tolerance Guidelines for State Rules and Regulations Where the U.S.
Department of Transportation Also Holds Jurisdiction

(a) States shall not be required to adopt 49 CFR parts 398, 399,
107, 171.15, 171.16 and 177.807 as applicable to either interstate or
intrastate commerce. A State is not required to adopt 49 CFR part 178
only if the State can still enforce the standards contained therein.
(b) State rules must be applicable to the same extent as the Federal
Motor Carrier Safety and Hazardous Materials Regulations

[[Page 527]]

except where deviation may be allowed by part 355 of this subchapter and
this appendix.

3. Tolerance Guidelines for State Rules and Regulations Where the U.S.
Department of Transportation Regulations Do Not Apply

(a) State rules must be applicable to the same extent as the Federal
Motor Carrier Safety and Hazardous Materials Regulations except where
deviation may be allowed by parts 350 and 355 of this subchapter and
this appendix.
(b) States may exempt from all or part of their regulations
commercial motor vehicles with a GVWR of 26,000 pounds or less. However,
vehicles with a GVWR of 26,000 pounds or less may not be exempted from
either the motor carrier safety regulations or hazardous materials
regulations if the vehicle is used to transport hazardous materials
requiring a placard or if the vehicle is designed to transport more than
15 passengers, including the driver.
(c) States may not exempt from regulation motor carriers based on
the type of carriage being performed (i.e., for-hire, private, etc.).
(d) Exemptions granted to certain industries by a State prior to
April 1988 and accepted by FHWA may remain valid. Although industry
exemptions are strongly discouraged, a State may request and FHWA may
approve such an exemption after the State has submitted to the FHWA
documentation which will allow evaluation of the following or similar
information:
(1) Type and scope of the industry exemption requested;
(2) Type and scope of regulatory exemption requested;
(3) Accident information related to that specific industry--ratio,
frequency, comparative figures, etc.;
(4) Percentage of industry affected--number of vehicles, mileage
traveled, number of companies involved, etc.;
(5) Inspection information--number of violations per inspection,
out-of-service information, etc.;
(6) Other regulations enforced by other State agencies not
participating in the MCSAP;
(7) Commodity transported--i.e., hazardous materials, livestock,
grain, etc.;
(8) Similar exemptions granted;
(9) Reason exemption is needed;
(10) Projected effect on safety;
(11) The State's economic environment and its ability to compete in
foreign and domestic markets.
(e) Regulatory exemptions based on the distance a motor carrier or
driver operates from their home terminal are not deemed to be
compatible. This prohibition does not apply to those exemptions already
contained in the Federal Motor Carrier Safety Regulations nor to the
extension of the mileage radius exemption contained in 49 CFR 395.1(e)
from 100 to 150 miles.
(f) States are strongly encouraged to apply the identical regulatory
and enforcement schemes to both interstate and intrastate carriers as
set forth in the Federal Motor Carrier Safety Regulations when
regulating drivers' hours of service. However, certain limited
tolerances where the U.S. Department of Transportation's hours of
service regulations do not apply are allowed. Specifically, an expansion
of the 10-hour driving rule to a 12-hour driving limit, provided that
the total period of time spent driving and on duty not driving is not
extended to more than 16 hours and an increase in the 70 hour rule to 70
hours in 7 consecutive days or 80 hours in 8 consecutive days will be
considered compatible.
(g) Drivers operating not subject to the jurisdiction of the U.S.
Department of Transportation may drive if they are at least 18 years
old.
(h) States may provide grandfather clauses in their rules and
regulations if such exemptions are uniform or in substantial harmony
with the Federal standards and provide an orderly transition to full
regulatory adoption at a later date.
(i) The States may qualify any driver engaged wholly in intrastate
commerce who is adversely affected by current State medical standards,
upgraded to be consistent with part 391, even if the States adopted
those medical standards in the past. Drivers identified through July 29,
1996, as not meeting the upgraded State standards may also be qualified.
Such a driver may remain qualified after July 29, 1996, as long as an
examining physician determines during the biennial medical examination
that existing medical or physical conditions that would otherwise render
the driver not qualified under Federal standards have not significantly
worsened or another non-qualifying medical or physical condition has not
developed.
(j) States whose rules and regulations do not meet these guidelines
may still be considered qualified for participation under Sec. 350.21.
However, their formula allocations for basic grant funds will be subject
to the limitations of Sec. 350.21 (d).
It should be noted that the FHWA still considers the physical
qualification requirements in part 391 to be the minimum requirements
that contribute significantly to commercial motor vehicle operational
safety. The FHWA continues to encourage States to adopt these minimum
standards as their own and to use this grandfathering option judiciously
to respond to legitimate hardships. This policy should in no way be
interpreted as discrediting the medical standards adopted in part 391.
This guideline will not preclude a State's adoption of or
continuation of a waiver program which can be demonstrated to be based

[[Page 528]]

on sound medical judgment combined with appropriate performance
standards causing no adverse affect on safety.

[57 FR 40956, Sept. 8, 1992, as amended at 58 FR 33776, June 21, 1993;
58 FR 40600, July 29, 1993; 59 FR 5264, Feb. 3, 1994; 60 FR 38743, July
28, 1995]

PART 355--COMPATIBILITY OF STATE LAWS AND REGULATIONS AFFECTING INTERSTATE MOTOR CARRIER OPERATIONS--Table of Contents

Subpart A--General Applicability and Definitions

Sec.
355.1 Purpose.
355.3 Applicability.
355.5 Definitions.

Subpart B--Requirements

355.21 Regulatory review.
355.23 Submission of results.
355.25 Adopting and enforcing compatible laws and regulations.

Appendix A to Part 355--Guidelines for the Regulatory Review

Authority: 49 U.S.C. app. 2505--2508; 49 U.S.C. 504 and 3102; 49 CFR
1.48.

Source: 57 FR 40962, Sept. 8, 1992, unless otherwise noted.

Subpart A--General Applicability and Definitions

Sec. 355.1 Purpose.

(a) To promote adoption and enforcement of State laws and
regulations pertaining to commercial motor vehicle safety that are
compatible with appropriate parts of the Federal Motor Carrier Safety
Regulations.
(b) To provide guidelines for a continuous regulatory review of
State laws and regulations.
(c) To establish deadlines for States to achieve compatibility with
appropriate parts of the Federal Motor Carrier Safety Regulations with
respect to interstate commerce.

Sec. 355.3 Applicability.

These provisions apply to any State that adopts or enforces laws or
regulations pertaining to commercial motor vehicle safety in interstate
commerce.

Sec. 355.5 Definitions.

Unless specifically defined in this section, terms used in this part
are subject to the definitions in 49 CFR 390.5.
Compatible or compatibility means, in relation to State laws and
regulations pertaining to commercial motor vehicle safety, having the
same effect as the Federal Motor Carrier Safety Regulations in that
those State laws and regulations are either identical or fall within the
guidelines in appendix C of part 350.
Federal Motor Carrier Safety Regulations means those safety
regulations which are contained in parts 390, 391, 392, 393, 395, 396,
and 397 of this subchapter.
State means a State of the United States and the District of
Columbia.

Subpart B--Requirements

Sec. 355.21 Regulatory review.

(a) General. Each State shall annually analyze its laws and
regulations, including those of its political subdivisions, which
pertain to commercial motor vehicle safety to determine whether its laws
and regulations are compatible with the Federal Motor Carrier Safety
Regulations. Guidelines for the regulatory review are provided in the
appendix to this part.
(b) Responsibility. The State agency designated as lead agency for
the administration of grants made pursuant to part 350 of this
subchapter is responsible for reviewing and analyzing State laws and
regulations for compliance with this part. In the absence of an
officially designated Motor Carrier Safety Assistance Program (MCSAP)
lead agency or in its discretion, the State shall designate another
agency responsible to review and determine compliance with these
regulations.
(c) State review. (1) The State shall determine which of its laws
and regulations pretaining to commercial motor vehicle safety are the
same as the Federal Motor Carrier Safety or Federal Hazadous Materials
Regulations. With respect to any State law or regulation which is not
the same, the State shall identify such law or regulation and determine
whether:

[[Page 529]]

(i) It has the same effect as a corresponding section of the Federal
Motor Carrier Safety or Federal Hazardous Materials Regulations;
(ii) It applies to interstate commerce;
(iii) It is more stringent than the FMCSR or FHMR in that it is more
restrictive or places a greater burden on any entity subject to its
provisions;
(2) If the inconsistent State law or regulation applies to
interstate commerce and is more stringent than the FMCSR or FHMR, the
State shall determine:
(i) The safety benefits associated with such State law or
regulation; and
(ii) The effect of the enforcement of such State law or regulation
on interstate commerce.
(3) If the inconsistent State law or regulation does not apply to
interstate commerce or is less stringent than the FMCSR or FHMR, the
tolerance guidelines for participation in the Motor Carrier Safety
Assistance Program in part 350 of this subchapter shall apply.

Sec. 355.23 Submission of results.

Each State shall submit the results of its regulatory review
annually with its certification of compliance under 49 CFR 350.15. It
shall submit the results of the regulatory review with the certification
no later than August 1 of each year with the SEP. The State shall
include copies of pertinent laws and regulations.

Sec. 355.25 Adopting and enforcing compatible laws and regulations.

(a) General. No State shall have in effect or enforce any State law
or regulation pertaining to commercial motor vehicle safety in
interstate commerce which the Administrator finds to be incompatible
with the provisions of the Federal Motor Carrier Safety Regulations.
(b) New state requirements. No State shall implement any changes to
a law or regulation which makes that or any other law or regulation
incompatible with a provision of the Federal Motor Carrier Safety
Regulations.
(c) Enforcement. To enforce compliance with this section, the
Administrator will initiate a rulemaking proceeding under part 389 of
this subchapter to declare the incompatible State law or regulation
pertaining to commercial motor vehicle safety unenforceable in
interstate commerce.
(d) Waiver of determination. Any person (including any State) may
petition for a waiver of a determination made under paragraph (c) of
this section. Such petition will also be considered in a rulemaking
proceeding under part 389. Waivers shall be granted only upon a
satisfactory showing that continued enforcement of the incompatible
State law or regulation is not contrary to the public interest and is
consistent with the safe operation of commercial motor vehicles.
(e) Consolidation of proceedings. The Administrator may consolidate
any action to enforce this section with other proceedings required under
this section if the Administrator determines that such consolidation
will not adversely affect any party to any such proceeding.

Appendix A to Part 355--Guidelines for the Regulatory Review

Each State shall review its laws and regulations to achieve
compatibility with the Federal Motor Carrier Safety Regulations
(FMCSRs). Each State shall consider all related requirements on
enforcement of the State's motor carrier safety regulations. The
documentation shall be simple and brief.

Scope

The State review required by Sec. 355.21 may be limited to those
laws and regulations previously determined to be incompatible in the
report of the Commercial Motor Vehicle Safety Regulatory Review Panel
issued in August 1990, or by subsequent determination by the
Administrator under this part, and any State laws or regulations enacted
or issued after August 1990.

Applicability

The requirements must apply to all segments of the motor carrier
industry common, contract, and private carriers of property and for-hire
carriers of passengers.

Definitions

Definitions of terms must be consistent with those in the FMCSR. For
example, a commercial motor vehicle is a vehicle operating in interstate
commerce on a public highway, that (1) has a gross vehicle weight rating
(GVWR) of 10,001 pounds or more, (2) is designed to transport more that
15 passengers (including the driver), or (3) is used

[[Page 530]]

to transport hazardous materials in a quantity requiring placarding
under regulations issued by the Secretary under the Hazardous Materials
Transportation Act, as amended (49 U.S.C. app. 1801 et seq).

Driver Qualifications

Require a driver to be properly licensed to drive a motor vehicle;
require a driver to be in good physical health, at least 21 years of
age, able to operate a vehicle safely, and maintain a good driving
record; prohibit drug and alcohol abuse; require a motor carrier to
maintain a driver qualification file for each driver; require a motor
carrier to ensure that a driver is medically qualified; and require a
motor carrier to establish an anti-drug program with testing of drivers
prior to employment, periodically, based on reasonable cause, after
accidents, and by random selection.

Note: The requirements for testing apply only to drivers of
commercial motor vehicles as defined in 49 CFR part 383.

Driving of Motor Vehicles

Prohibit possession, use, or driving under the influence of alcohol
or other controlled substances (while on duty); and establish 0.04
percent as the level of alcohol in the blood at which a driver is
considered under the influence of alcohol.

Parts and Accessories Necessary for Safe Operation

Require operational lights and reflectors; require systematically
arranged and installed wiring; and require brakes working at the
required performance level, and other key components included in 49 CFR
part 393.

Hours of Service

Prohibit a motor carrier from allowing or requiring any driver to
drive: More than 10 hours following 8 consecutive hours off duty; after
being on duty 15 hours, after being on duty more than 60 hours in any 7
consecutive days; or after being on duty more than 70 hours in any 8
consecutive days.
Require a driver to prepare a record-of-duty status for each 24-hour
period. The driver and motor carrier must retain the records.

Inspection and Maintenance

Prohibit a commercial motor vehicle from being operated when it is
likely to cause an accident or a breakdown; require the driver to
conduct a walk-around inspection of the vehicle before driving it to
ensure that it can be safely operated; require the driver to prepare a
driver vehicle inspection report; and require commercial motor vehicles
to be inspected at least annually.

Hazardous Materials

Require a motor carrier or a person operating a commercial motor
vehicle transporting hazardous materials to follow the safety and
hazardous materials requirements.

State Determinations

1. Each State must determine whether its requirements affecting
interstate motor carriers are ``less stringent'' than the Federal
requirements. ``Less stringent'' requirements represent either gaps in
the State requirements in relation to the Federal requirements as
summarized under item number one in this appendix or State requirements
which are less restrictive than the Federal requirements.
a. An example of a gap is when a State does not have the authority
to regulate the safety of for-hire carriers of passengers or has the
authority but chooses to exempt the carrier.
b. An example of a less restrictive State requirement is when a
State allows a person under 21 years of age to operate a commercial
motor vehicle in interstate commerce.
2. Each State must determine whether its requirements affecting
interstate motor carriers are ``more stringent'' than the Federal
requirements: ``More stringent'' requirements are more restrictive or
inclusive in relation to the Federal requirements as summarized under
item number one in this appendix. For example, a requirement that a
driver must have 2 days off after working 5 consecutive days. The State
would demonstrate that its more stringent requirements:
a. Have a ``safety benefit;'' for example, result in fewer accidents
or reduce the risk of accidents;
b. do not create ``an undue burden on interstate commerce,'' e.g.,
do not delay, interfere with, or increase that cost or the
administrative burden for a motor carrier transporting property or
passengers in interstate commerce; and
c. Are otherwise compatible with Federal safety requirements.
3. A State must adopt and enforce in a consistent manner the
requirements referenced in the above guidelines in order for the FHWA to
accept the State's determination that it has compatible safety
requirements affecting interstate motor carrier operations. Generally,
the States would have up to 3 years from the effective date of the new
Federal requirement to adopt and enforce compatible requirements. The
FHWA would specify the deadline when promulgating future Federal safety
requirements. The requirements are considered of equal importance.

[57 FR 40962, Sept. 8, 1992, as amended by 58 FR 33776, June 21, 1993]

[[Page 531]]

PART 382--CONTROLLED SUBSTANCES AND ALCOHOL USE AND TESTING--Table of Contents

Subpart A--General

Sec.
382.101 Purpose.
382.103 Applicability.
382.105 Testing procedures.
382.107 Definitions.
382.109 Preemption of State and local laws.
382.111 Other requirements imposed by employers.
382.113 Requirement for notice.
382.115 Starting date for testing programs.

Subpart B--Prohibitions

382.201 Alcohol concentration.
382.205 On-duty use.
382.207 Pre-duty use.
382.209 Use following an accident.
382.211 Refusal to submit to a required alcohol or controlled
substances test.
382.213 Controlled substances use.
382.215 Controlled substances testing.

Subpart C--Tests Required

382.301 Pre-employment testing.
382.303 Post-accident testing.
382.305 Random testing.
382.307 Reasonable suspicion testing.
382.309 Return-to-duty testing.
382.311 Follow-up testing.

Subpart D--Handling of Test Results, Record Retention, and
Confidentiality

382.401 Retention of records.
382.403 Reporting of results in a management information system.
382.405 Access to facilities and records.
382.407 Medical review officer notifications to the employer.
382.409 Medical review officer record retention for controlled
substances.
382.411 Employer notifications.
382.413 Inquiries for alcohol and controlled substances information
from previous employers.

Subpart E--Consequences for Drivers Engaging in Substance Use-Related
Conduct

382.501 Removal from safety-sensitive function.
382.503 Required evaluation and testing.
382.505 Other alcohol-related conduct.
382.507 Penalties.

Subpart F--Alcohol Misuse and Controlled Substances Use Information,
Training, and Referral

382.601 Employer obligation to promulgate a policy on the misuse of
alcohol and use of controlled substances.
382.603 Training for supervisors.
382.605 Referral, evaluation, and treatment.

Authority: 49 U.S.C. 31133, 31136, 31301 et seq., 31502; and 49 CFR
1.48.

Source: 61 FR 9553, Mar. 8, 1996, unless otherwise noted.

Subpart A--General

Sec. 382.101 Purpose.

The purpose of this part is to establish programs designed to help
prevent accidents and injuries resulting from the misuse of alcohol or
use of controlled substances by drivers of commercial motor vehicles.

Sec. 382.103 Applicability.

(a) This part applies to every person and to all employers of such
persons who operate a commercial motor vehicle in commerce in any State,
and is subject to:
(1) The commercial driver's license requirements of part 383 of this
subchapter;
(2) The Licencia Federal de Conductor (Mexico) requirements; or
(3) The commercial driver's license requirements of the Canadian
National Safety Code.
(b) An employer who employs himself/herself as a driver must comply
with both the requirements in this part that apply to employers and the
requirements in this part that apply to drivers. An employer who employs
only himself/herself as a driver shall implement a random alcohol and
controlled substances testing program of two or more covered employees
in the random testing selection pool.
(c) The exceptions contained in Sec. 390.3(g) of this subchapter do
not apply to this part. The employers and drivers identified in
Sec. 390.3(g) must comply with the requirements of this part, unless
otherwise specifically provided in paragraph (d) of this section.
(d) Exceptions. This part shall not apply to employers and their
drivers:

[[Page 532]]

(1) Required to comply with the alcohol and/or controlled substances
testing requirements of parts 653 and 654 of this title (Federal Transit
Administration alcohol and controlled substances testing regulations);
or
(2) Who a State must waive from the requirements of part 383 of this
subchapter. These individuals include active duty military personnel;
members of the reserves; and members of the national guard on active
duty, including personnel on full-time national guard duty, personnel on
part-time national guard training and national guard military
technicians (civilians who are required to wear military uniforms), and
active duty U.S. Coast Guard personnel;
(3) Who a State has, at its discretion, exempted from the
requirements of part 383 of this subchapter. These individuals may be:
(i) Operators of a farm vehicle which is:
(A) Controlled and operated by a farmer;
(B) Used to transport either agricultural products, farm machinery,
farm supplies, or both to or from a farm;
(C) Not used in the operations of a common or contract motor
carrier; and
(D) Used within 241 kilometers (150 miles) of the farmer's farm.
(ii) Firefighters or other persons who operate commercial motor
vehicles which are necessary for the preservation of life or property or
the execution of emergency governmental functions, are equipped with
audible and visual signals, and are not subject to normal traffic
regulation.

Sec. 382.105 Testing procedures.

Each employer shall ensure that all alcohol or controlled substances
testing conducted under this part complies with the procedures set forth
in part 40 of this title. The provisions of part 40 of this title that
address alcohol or controlled substances testing are made applicable to
employers by this part.

Sec. 382.107 Definitions.

Words or phrases used in this part are defined in Secs. 386.2 and
390.5 of this subchapter, and Sec. 40.3 of this title, except as
provided herein--
Alcohol means the intoxicating agent in beverage alcohol, ethyl
alcohol, or other low molecular weight alcohols including methyl and
isopropyl alcohol.
Alcohol concentration (or content) means the alcohol in a volume of
breath expressed in terms of grams of alcohol per 210 liters of breath
as indicated by an evidential breath test under this part.
Alcohol use means the consumption of any beverage, mixture, or
preparation, including any medication, containing alcohol.
Commerce means:
(1) Any trade, traffic or transportation within the jurisdiction of
the United States between a place in a State and a place outside of such
State, including a place outside of the United States and
(2) Trade, traffic, and transportation in the United States which
affects any trade, traffic, and transportation described in paragraph
(1) of this definition.
Commercial motor vehicle means a motor vehicle or combination of
motor vehicles used in commerce to transport passengers or property if
the motor vehicle--
(1) Has a gross combination weight rating of 11,794 or more
kilograms (26,001 or more pounds) inclusive of a towed unit with a gross
vehicle weight rating of more than 4,536 kilograms (10,000 pounds); or
(2) Has a gross vehicle weight rating of 11,794 or more kilograms
(26,001 or more pounds); or
(3) Is designed to transport 16 or more passengers, including the
driver; or
(4) Is of any size and is used in the transportation of materials
found to be hazardous for the purposes of the Hazardous Materials
Transportation Act and which require the motor vehicle to be placarded
under the Hazardous Materials Regulations (49 CFR part 172, subpart F).
Confirmation test for alcohol testing means a second test, following
a screening test with a result of 0.02 or greater, that provides
quantitative data of alcohol concentration. For controlled substances
testing means a second analytical procedure to identify

[[Page 533]]

the presence of a specific drug or metabolite which is independent of
the screen test and which uses a different technique and chemical
principle from that of the screen test in order to ensure reliability
and accuracy. (Gas chromatography/mass spectrometry (GC/MS) is the only
authorized confirmation method for cocaine, marijuana, opiates,
amphetamines, and phencyclidine.)
Consortium means an entity, including a group or association of
employers or contractors, that provides alcohol or controlled substances
testing as required by this part, or other DOT alcohol or controlled
substances testing rules, and that acts on behalf of the employers.
Controlled substances mean those substances identified in
Sec. 40.21(a) of this title.
Disabling damage means damage which precludes departure of a motor
vehicle from the scene of the accident in its usual manner in daylight
after simple repairs.
(1) Inclusions. Damage to motor vehicles that could have been
driven, but would have been further damaged if so driven.
(2) Exclusions.
(i) Damage which can be remedied temporarily at the scene of the
accident without special tools or parts.
(ii) Tire disablement without other damage even if no spare tire is
available.
(iii) Headlight or taillight damage.
(iv) Damage to turn signals, horn, or windshield wipers which make
them inoperative.
DOT Agency means an agency (or ``operating administration'') of the
United States Department of Transportation administering regulations
requiring alcohol and/or drug testing (14 CFR parts 61, 63, 65, 121, and
135; 49 CFR parts 199, 219, 382, 653 and 654), in accordance with part
40 of this title.
Driver means any person who operates a commercial motor vehicle.
This includes, but is not limited to: Full time, regularly employed
drivers; casual, intermittent or occasional drivers; leased drivers and
independent, owner-operator contractors who are either directly employed
by or under lease to an employer or who operate a commercial motor
vehicle at the direction of or with the consent of an employer.
Employer means any person (including the United States, a State,
District of Columbia, tribal government, or a political subdivision of a
State) who owns or leases a commercial motor vehicle or assigns persons
to operate such a vehicle. The term employer includes an employer's
agents, officers and representatives.
Licensed medical practitioner means a person who is licensed,
certified, and/or registered, in accordance with applicable Federal,
State, local, or foreign laws and regulations, to prescribe controlled
substances and other drugs.
Performing (a safety-sensitive function) means a driver is
considered to be performing a safety-sensitive function during any
period in which he or she is actually performing, ready to perform, or
immediately available to perform any safety-sensitive functions.
Positive rate means the number of positive results for random
controlled substances tests conducted under this part plus the number of
refusals of random controlled substances tests required by this part,
divided by the total of random controlled substances tests conducted
under this part plus the number of refusals of random tests required by
this part.
Refuse to submit (to an alcohol or controlled substances test) means
that a driver:
(1) Fails to provide adequate breath for alcohol testing as required
by part 40 of this title, without a valid medical explanation, after he
or she has received notice of the requirement for breath testing in
accordance with the provisions of this part,
(2) Fails to provide an adequate urine sample for controlled
substances testing as required by part 40 of this title, without a
genuine inability to provide a specimen (as determined by a medical
evaluation), after he or she has received notice of the requirement for
urine testing in accordance with the provisions of this part, or
(3) Engages in conduct that clearly obstructs the testing process.
Safety-sensitive function means all time from the time a driver
begins to work or is required to be in readiness

[[Page 534]]

to work until the time he/she is relieved from work and all
responsibility for performing work. Safety-sensitive functions shall
include:
(1) All time at an employer or shipper plant, terminal, facility, or
other property, or on any public property, waiting to be dispatched,
unless the driver has been relieved from duty by the employer;
(2) All time inspecting equipment as required by Secs. 392.7 and
392.8 of this subchapter or otherwise inspecting, servicing, or
conditioning any commercial motor vehicle at any time;
(3) All time spent at the driving controls of a commercial motor
vehicle in operation;
(4) All time, other than driving time, in or upon any commercial
motor vehicle except time spent resting in a sleeper berth (a berth
conforming to the requirements of Sec. 393.76 of this subchapter);
(5) All time loading or unloading a vehicle, supervising, or
assisting in the loading or unloading, attending a vehicle being loaded
or unloaded, remaining in readiness to operate the vehicle, or in giving
or receiving receipts for shipments loaded or unloaded; and
(6) All time repairing, obtaining assistance, or remaining in
attendance upon a disabled vehicle.
Screening test (also known as initial test) In alcohol testing, it
means an analytical procedure to determine whether a driver may have a
prohibited concentration of alcohol in his or her system. In controlled
substance testing, it means an immunoassay screen to eliminate
``negative'' urine specimens from further consideration.
Violation rate means the number of drivers (as reported under
Sec. 382.305 of this part) found during random tests given under this
part to have an alcohol concentration of 0.04 or greater, plus the
number of drivers who refuse a random test required by this part,
divided by the total reported number of drivers in the industry given
random alcohol tests under this part plus the total reported number of
drivers in the industry who refuse a random test required by this part.

[61 FR 9553, Mar. 8, 1996, as amended at 61 FR 37224, July 17, 1996]

Sec. 382.109 Preemption of State and local laws.

(a) Except as provided in paragraph (b) of this section, this part
preempts any State or local law, rule, regulation, or order to the
extent that:
(1) Compliance with both the State or local requirement and this
part is not possible; or
(2) Compliance with the State or local requirement is an obstacle to
the accomplishment and execution of any requirement in this part.
(b) This part shall not be construed to preempt provisions of State
criminal law that impose sanctions for reckless conduct leading to
actual loss of life, injury, or damage to property, whether the
provisions apply specifically to transportation employees, employers, or
the general public.

Sec. 382.111 Other requirements imposed by employers.

Except as expressly provided in this part, nothing in this part
shall be construed to affect the authority of employers, or the rights
of drivers, with respect to the use of alcohol, or the use of controlled
substances, including authority and rights with respect to testing and
rehabilitation.

Sec. 382.113 Requirement for notice.

Before performing an alcohol or controlled substances test under
this part, each employer shall notify a driver that the alcohol or
controlled substances test is required by this part. No employer shall
falsely represent that a test is administered under this part.

Sec. 382.115 Starting date for testing programs.

(a) Large domestic employers. Each employer with fifty or more
drivers on March 17, 1994, will implement the requirements of this part
beginning on January 1, 1995.
(b) Small domestic employers. Each employer with less than fifty
drivers on March 17, 1994, will implement the requirements of this part
beginning on January 1, 1996.
(c) All domestic employers. Each domestic employer that begins
commercial motor vehicle operations after March 17, 1994, but before
January 1, 1996, will implement the requirements

[[Page 535]]

of this part beginning on January 1, 1996. However, such an employer may
be subject to the requirements of part 391, subpart H on the date they
begin operations, if operating commercial motor vehicles in interstate
commerce. A domestic employer that begins commercial motor vehicle
operations on or after January 1, 1996, will implement the requirements
of this part on the date the employer begins such operations.
(d) Large foreign employers. Each foreign-domiciled employer with
fifty or more drivers assigned to operate commercial motor vehicles in
North America on December 17, 1995, must implement the requirements of
this part beginning on July 1, 1996.
(e) Small foreign employers. Each foreign-domiciled employer with
less than fifty drivers assigned to operate commercial motor vehicles in
North America on December 17, 1995, must implement the requirements of
this part beginning on July 1, 1997.
(f) All foreign employers. Each foreign-domiciled employer that
begins commercial motor vehicle operations in the United States after
December 17, 1995, but before July 1, 1997, must implement the
requirements of this part beginning on July 1, 1997. A foreign employer
that begins commercial motor vehicle operations in the United States on
or after July 1, 1997, must implement the requirements of this part on
the date the foreign employer begins such operations.

Subpart B--Prohibitions

Sec. 382.201 Alcohol concentration.

No driver shall report for duty or remain on duty requiring the
performance of safety-sensitive functions while having an alcohol
concentration of 0.04 or greater. No employer having actual knowledge
that a driver has an alcohol concentration of 0.04 or greater shall
permit the driver to perform or continue to perform safety-sensitive
functions.

Sec. 382.205 On-duty use.

No driver shall use alcohol while performing safety-sensitive
functions. No employer having actual knowledge that a driver is using
alcohol while performing safety-sensitive functions shall permit the
driver to perform or continue to perform safety- sensitive functions.

Sec. 382.207 Pre-duty use.

No driver shall perform safety-sensitive functions within four hours
after using alcohol. No employer having actual knowledge that a driver
has used alcohol within four hours shall permit a driver to perform or
continue to perform safety-sensitive functions.

Sec. 382.209 Use following an accident.

No driver required to take a post-accident alcohol test under
Sec. 382.303 of this part shall use alcohol for eight hours following
the accident, or until he/she undergoes a post- accident alcohol test,
whichever occurs first.

Sec. 382.211 Refusal to submit to a required alcohol or controlled substances test.

No driver shall refuse to submit to a post-accident alcohol or
controlled substances test required under Sec. 382.303, a random alcohol
or controlled substances test required under Sec. 382.305, a reasonable
suspicion alcohol or controlled substances test required under
Sec. 382.307, or a follow-up alcohol or controlled substances test
required under Sec. 382.311. No employer shall permit a driver who
refuses to submit to such tests to perform or continue to perform
safety-sensitive functions.

Sec. 382.213 Controlled substances use.

(a) No driver shall report for duty or remain on duty requiring the
performance of safety-sensitive functions when the driver uses any
controlled substance, except when the use is pursuant to the
instructions of a licensed medical practitioner, as defined in
Sec. 382.107 of this part, who has advised the driver that the substance
will not adversely affect the driver's ability to safely operate a
commercial motor vehicle.
(b) No employer having actual knowledge that a driver has used a
controlled substance shall permit the driver to perform or continue to
perform a safety-sensitive function.
(c) An employer may require a driver to inform the employer of any
therapeutic drug use.

[[Page 536]]

Sec. 382.215 Controlled substances testing.

No driver shall report for duty, remain on duty or perform a safety-
sensitive function, if the driver tests positive for controlled
substances. No employer having actual knowledge that a driver has tested
positive for controlled substances shall permit the driver to perform or
continue to perform safety-sensitive functions.

Subpart C--Tests Required

Sec. 382.301 Pre-employment testing.

(a) Prior to the first time a driver performs safety-sensitive
functions for an employer, the driver shall undergo testing for alcohol
and controlled substances as a condition prior to being used, unless the
employer uses the exception in paragraphs (c) and (d) of this section.
No employer shall allow a driver, who the employer intends to hire or
use, to perform safety-sensitive functions unless the driver has been
administered an alcohol test with a result indicating an alcohol
concentration less than 0.04, and has received a controlled substances
test result from the MRO indicating a verified negative test result. If
a pre-employment alcohol test result under this section indicates an
alcohol content of 0.02 or greater but less than 0.04, the provision of
Sec. 382.505 shall apply.
(b) Exception for pre-employment alcohol testing. An employer is not
required to administer an alcohol test required by paragraph (a) of this
section if:
(1) The driver has undergone an alcohol test required by this
section or the alcohol misuse rule of another DOT agency under part 40
of this title within the previous six months, with a result indicating
an alcohol concentration less than 0.04; and
(2) The employer ensures that no prior employer of the driver of
whom the employer has knowledge has records of a violation of this part
or the alcohol misuse rule of another DOT agency within the previous six
months.
(c) Exception for pre-employment controlled substances testing. An
employer is not required to administer a controlled substances test
required by paragraph (a) of this section if:
(1) The driver has participated in a controlled substances testing
program that meets the requirements of this part within the previous 30
days; and
(2) While participating in that program, either
(i) Was tested for controlled substances within the past 6 months
(from the date of application with the employer) or
(ii) Participated in the random controlled substances testing
program for the previous 12 months (from the date of application with
the employer); and
(3) The employer ensures that no prior employer of the driver of
whom the employer has knowledge has records of a violation of this part
or the controlled substances use rule of another DOT agency within the
previous six months.
(d)(1) An employer who exercises the exception in either paragraph
(b) or (c) of this section shall contact the alcohol and/or controlled
substances testing program(s) in which the driver participates or
participated and shall obtain and retain from the testing program(s) the
following information:
(i) Name(s) and address(es) of the program(s).
(ii) Verification that the driver participates or participated in
the program(s).
(iii) Verification that the program(s) conforms to part 40 of this
title.
(iv) Verification that the driver is qualified under the rules of
this part, including that the driver has not refused to be tested for
controlled substances.
(v) The date the driver was last tested for alcohol or controlled
substances.
(vi) The results of any tests taken within the previous six months
and any other violations of subpart B of this part.
(2) An employer who uses, but does not employ, a driver more than
once a year to operate commercial motor vehicles must obtain the
information in paragraph (d)(1) of this section at least once every six
months. The records prepared under this paragraph shall be maintained in
accordance with Sec. 382.401. If the employer cannot verify that the
driver is participating in a controlled

[[Page 537]]

substances testing program in accordance with this part and part 40, the
employer shall conduct a pre-employment alcohol and/or controlled
substances test.
(e) Nothwithstanding any other provisions of this subpart, all
provisions and requirements in this section pertaining to pre-employment
testing for alcohol are vacated as of May 1, 1995.

Sec. 382.303 Post-accident testing.

(a) As soon as practicable following an occurrence involving a
commercial motor vehicle operating on a public road in commerce, each
employer shall test for alcohol and controlled substances each surviving
driver:
(1) Who was performing safety-sensitive functions with respect to
the vehicle, if the accident involved the loss of human life; or
(2) Who receives a citation under State or local law for a moving
traffic violation arising from the accident, if the accident involved:
(i) Bodily injury to any person who, as a result of the injury,
immediately receives medical treatment away from the scene of the
accident; or
(ii) One or more motor vehicles incurring disabling damage as a
result of the accident, requiring the motor vehicle to be transported
away from the scene by a tow truck or other motor vehicle.
(3) This table notes when a post-accident test is required to be
conducted by paragraphs (a)(1) and (a)(2) of this section.

Table for Sec. 382.303(a)(3)
------------------------------------------------------------------------
Test must be
Type of accident involved Citation issued to performed by
the CMV driver employer
------------------------------------------------------------------------
Human fatality.................. YES............... YES.
NO................ YES.
Bodily injury with immediate YES............... YES.
medical treatment away from the
scene.
NO................ NO.
Disabling damage to any motor YES............... YES.
vehicle requiring tow away.
NO................ NO.
------------------------------------------------------------------------

(b)(1) Alcohol tests. If a test required by this section is not
administered within two hours following the accident, the employer shall
prepare and maintain on file a record stating the reasons the test was
not promptly administered. If a test required by this section is not
administered within eight hours following the accident, the employer
shall cease attempts to administer an alcohol test and shall prepare and
maintain the same record. Records shall be submitted to the FHWA upon
request of the Associate Administrator.
(2) For the years stated in this paragraph, employers who submit MIS
reports shall submit to the FHWA each record of a test required by this
section that is not completed within eight hours. The employer's records
of tests that are not completed within eight hours shall be submitted to
the FHWA by March 15, 1996; March 15, 1997, and March 15, 1998, for
calendar years 1995, 1996, and 1997, respectively. Employers shall
append these records to their MIS submissions. Each record shall include
the following information:
(i) Type of test (reasonable suspicion/post-accident);
(ii) Triggering event (including date, time, and location);
(iii) Reason(s) test could not be completed within eight hours;
(iv) If blood alcohol testing could have been completed within eight
hours, the name, address, and telephone number of the testing site where
blood testing could have occurred; and
(3) Records of alcohol tests that could not be completed in eight
hours shall be submitted to the FHWA at the following address: Attn:
Alcohol Testing Program, Office of Motor Carrier Research and Standards
(HCS-1), Federal Highway Administration, 400 Seventh Street, SW.,
Washington, DC 20590.
(4) Controlled substance tests. If a test required by this section
is not administered within 32 hours following the accident, the employer
shall cease attempts to administer a controlled substances test, and
prepare and maintain on file a record stating the reasons the test was
not promptly administered. Records shall be submitted to the FHWA upon
request of the Associate Administrator.
(c) A driver who is subject to post-accident testing shall remain
readily available for such testing or may be

[[Page 538]]

deemed by the employer to have refused to submit to testing. Nothing in
this section shall be construed to require the delay of necessary
medical attention for injured people following an accident or to
prohibit a driver from leaving the scene of an accident for the period
necessary to obtain assistance in responding to the accident, or to
obtain necessary emergency medical care.
(d) An employer shall provide drivers with necessary post-accident
information, procedures and instructions, prior to the driver operating
a commercial motor vehicle, so that drivers will be able to comply with
the requirements of this section.
(e)(1) The results of a breath or blood test for the use of alcohol,
conducted by Federal, State, or local officials having independent
authority for the test, shall be considered to meet the requirements of
this section, provided such tests conform to the applicable Federal,
State or local alcohol testing requirements, and that the results of the
tests are obtained by the employer.
(2) The results of a urine test for the use of controlled
substances, conducted by Federal, State, or local officials having
independent authority for the test, shall be considered to meet the
requirements of this section, provided such tests conform to the
applicable Federal, State or local controlled substances testing
requirements, and that the results of the tests are obtained by the
employer.
(f) Exception. This section does not apply to:
(1) An occurrence involving only boarding or alighting from a
stationary motor vehicle; or
(2) An occurrence involving only the loading or unloading of cargo;
or
(3) An occurrence in the course of the operation of a passenger car
or a multipurpose passenger vehicle (as defined in Sec. 571.3 of this
title) by an employer unless the motor vehicle is transporting
passengers for hire or hazardous materials of a type and quantity that
require the motor vehicle to be marked or placarded in accordance with
Sec. 177.823 of this title.

Sec. 382.305 Random testing.

(a) Every employer shall comply with the requirements of this
section. Every driver shall submit to random alcohol and controlled
substance testing as required in this section.
(b)(1) Except as provided in paragraphs (c) through (e) of this
section, the minimum annual percentage rate for random alcohol testing
shall be 25 percent of the average number of driver positions.
(2) Except as provided in paragraphs (f) through (h) of this
section, the minimum annual percentage rate for random controlled
substances testing shall be 50 percent of the average number of driver
positions.
(c) The FHWA Administrator's decision to increase or decrease the
minimum annual percentage rate for alcohol testing is based on the
reported violation rate for the entire industry. All information used
for this determination is drawn from the alcohol management information
system reports required by Sec. 382.403 of this part. In order to ensure
reliability of the data, the FHWA Administrator considers the quality
and completeness of the reported data, may obtain additional information
or reports from employers, and may make appropriate modifications in
calculating the industry violation rate. Each year, the FHWA
Administrator will publish in the Federal Register the minimum annual
percentage rate for random alcohol testing of drivers. The new minimum
annual percentage rate for random alcohol testing will be applicable
starting January 1 of the calendar year following publication.
(d)(1) When the minimum annual percentage rate for random alcohol
testing is 25 percent or more, the FHWA Administrator may lower this
rate to 10 percent of all driver positions if the FHWA Administrator
determines that the data received under the reporting requirements of
Sec. 382.403 for two consecutive calendar years indicate that the
violation rate is less than 0.5 percent.
(2) When the minimum annual percentage rate for random alcohol
testing is 50 percent, the FHWA Administrator may lower this rate to 25
percent of all driver positions if the FHWA

[[Page 539]]

Administrator determines that the data received under the reporting
requirements of Sec. 382.403 for two consecutive calendar years indicate
that the violation rate is less than 1.0 percent but equal to or greater
than 0.5 percent.
(e)(1) When the minimum annual percentage rate for random alcohol
testing is 10 percent, and the data received under the reporting
requirements of Sec. 382.403 for that calendar year indicate that the
violation rate is equal to or greater than 0.5 percent, but less than
1.0 percent, the FHWA Administrator will increase the minimum annual
percentage rate for random alcohol testing to 25 percent for all driver
positions.
(2) When the minimum annual percentage rate for random alcohol
testing is 25 percent or less, and the data received under the reporting
requirements of Sec. 382.403 for that calendar year indicate that the
violation rate is equal to or greater than 1.0 percent, the FHWA
Administrator will increase the minimum annual percentage rate for
random alcohol testing to 50 percent for all driver positions.
(f) The FHWA Administrator's decision to increase or decrease the
minimum annual percentage rate for controlled substances testing is
based on the reported positive rate for the entire industry. All
information used for this determination is drawn from the controlled
substances management information system reports required by
Sec. 382.403 of this part. In order to ensure reliability of the data,
the FHWA Administrator considers the quality and completeness of the
reported data, may obtain additional information or reports from
employers, and may make appropriate modifications in calculating the
industry positive rate. Each year, the FHWA Administrator will publish
in the Federal Register the minimum annual percentage rate for random
controlled substances testing of drivers. The new minimum annual
percentage rate for random controlled substances testing will be
applicable starting January 1 of the calendar year following
publication.
(g) When the minimum annual percentage rate for random controlled
substances testing is 50 percent, the FHWA Administrator may lower this
rate to 25 percent of all driver positions if the FHWA Administrator
determines that the data received under the reporting requirements of
Sec. 382.403 for two consecutive calendar years indicate that the
positive rate is less than 1.0 percent. However, after the initial two
years of random testing by large employers and the initial first year of
testing by small employers under this section, the FHWA Administrator
may lower the rate the following calendar year, if the combined positive
testing rate is less than 1.0 percent, and if it would be in the
interest of safety.
(h) When the minimum annual percentage rate for random controlled
substances testing is 25 percent, and the data received under the
reporting requirements of Sec. 382.403 for any calendar year indicate
that the reported positive rate is equal to or greater than 1.0 percent,
the FHWA Administrator will increase the minimum annual percentage rate
for random controlled substances testing to 50 percent of all driver
positions.
(i) The selection of drivers for random alcohol and controlled
substances testing shall be made by a scientifically valid method, such
as a random number table or a computer-based random number generator
that is matched with drivers' Social Security numbers, payroll
identification numbers, or other comparable identifying numbers. Under
the selection process used, each driver shall have an equal chance of
being tested each time selections are made.
(j) The employer shall randomly select a sufficient number of
drivers for testing during each calendar year to equal an annual rate
not less than the minimum annual percentage rate for random alcohol and
controlled substances testing determined by the FHWA Administrator. If
the employer conducts random testing for alcohol and/or controlled
substances through a consortium, the number of drivers to be tested may
be calculated for each individual employer or may be based on the total
number of drivers covered by the consortium who are subject to random
alcohol and/or controlled substances testing at the same minimum annual
percentage rate under this part

[[Page 540]]

or any DOT alcohol or controlled substances random testing rule.
(k) Each employer shall ensure that random alcohol and controlled
substances tests conducted under this part are unannounced and that the
dates for administering random alcohol and controlled substances tests
are spread reasonably throughout the calendar year.
(l) Each employer shall require that each driver who is notified of
selection for random alcohol and/or controlled substances testing
proceeds to the test site immediately; provided, however, that if the
driver is performing a safety-sensitive function, other than driving a
commercial motor vehicle, at the time of notification, the employer
shall instead ensure that the driver ceases to perform the safety-
sensitive function and proceeds to the testing site as soon as possible.
(m) A driver shall only be tested for alcohol while the driver is
performing safety-sensitive functions, just before the driver is to
perform safety-sensitive functions, or just after the driver has ceased
performing such functions.
(n) If a given driver is subject to random alcohol or controlled
substances testing under the random alcohol or controlled substances
testing rules of more than one DOT agency for the same employer, the
driver shall be subject to random alcohol and/or controlled substances
testing at the annual percentage rate established for the calendar year
by the DOT agency regulating more than 50 percent of the driver's
function.
(o) If an employer is required to conduct random alcohol or
controlled substances testing under the alcohol or controlled substances
testing rules of more than one DOT agency, the employer may--
(1) Establish separate pools for random selection, with each pool
containing the DOT-covered employees who are subject to testing at the
same required minimum annual percentage rate; or
(2) Randomly select such employees for testing at the highest
minimum annual percentage rate established for the calendar year by any
DOT agency to which the employer is subject.

Sec. 382.307 Reasonable suspicion testing.

(a) An employer shall require a driver to submit to an alcohol test
when the employer has reasonable suspicion to believe that the driver
has violated the prohibitions of subpart B of this part concerning
alcohol. The employer's determination that reasonable suspicion exists
to require the driver to undergo an alcohol test must be based on
specific, contemporaneous, articulable observations concerning the
appearance, behavior, speech or body odors of the driver.
(b) An employer shall require a driver to submit to a controlled
substances test when the employer has reasonable suspicion to believe
that the driver has violated the prohibitions of subpart B of this part
concerning controlled substances. The employer's determination that
reasonable suspicion exists to require the driver to undergo a
controlled substances test must be based on specific, contemporaneous,
articulable observations concerning the appearance, behavior, speech or
body odors of the driver. The observations may include indications of
the chronic and withdrawal effects of controlled substances.
(c) The required observations for alcohol and/or controlled
substances reasonable suspicion testing shall be made by a supervisor or
company official who is trained in accordance with Sec. 382.603 of this
part. The person who makes the determination that reasonable suspicion
exists to conduct an alcohol test shall not conduct the alcohol test of
the driver.
(d) Alcohol testing is authorized by this section only if the
observations required by paragraph (a) of this section are made during,
just preceding, or just after the period of the work day that the driver
is required to be in compliance with this part. A driver may be directed
by the employer to only undergo reasonable suspicion testing while the
driver is performing safety-sensitive functions, just before the driver
is to perform safety-sensitive functions, or just after the driver has
ceased performing such functions.
(e)(1) If an alcohol test required by this section is not
administered within two hours following the determination under
paragraph (a) of this section, the

[[Page 541]]

employer shall prepare and maintain on file a record stating the reasons
the alcohol test was not promptly administered. If an alcohol test
required by this section is not administered within eight hours
following the determination under paragraph (a) of this section, the
employer shall cease attempts to administer an alcohol test and shall
state in the record the reasons for not administering the test.
(2) For the years stated in this paragraph, employers who submit MIS
reports shall submit to the FHWA each record of a test required by this
section that is not completed within 8 hours. The employer's records of
tests that could not be completed within 8 hours shall be submitted to
the FHWA by March 15, 1996; March 15, 1997; and March 15, 1998; for
calendar years 1995, 1996, and 1997, respectively. Employers shall
append these records to their MIS submissions. Each record shall include
the following information:
(i) Type of test (reasonable suspicion/post-accident);
(ii) Triggering event (including date, time, and location);
(iii) Reason(s) test could not be completed within 8 hours; and
(iv) If blood alcohol testing could have been completed within eight
hours, the name, address, and telephone number of the testing site where
blood testing could have occurred.
(3) Records of tests that could not be completed in eight hours
shall be submitted to the FHWA at the following address: Attn.: Alcohol
Testing program, Office of Motor Carrier Research and Standards (HCS-1),
Federal Highway Administration, 400 Seventh Street, SW., Washington, DC
20590.
(4) Notwithstanding the absence of a reasonable suspicion alcohol
test under this section, no driver shall report for duty or remain on
duty requiring the performance of safety-sensitive functions while the
driver is under the influence of or impaired by alcohol, as shown by the
behavioral, speech, and performance indicators of alcohol misuse, nor
shall an employer permit the driver to perform or continue to perform
safety-sensitive functions, until:
(i) An alcohol test is administered and the driver's alcohol
concentration measures less than 0.02; or
(ii) Twenty four hours have elapsed following the determination
under paragraph (a) of this section that there is reasonable suspicion
to believe that the driver has violated the prohibitions in this part
concerning the use of alcohol.
(5) Except as provided in paragraph (e)(2) of this section, no
employer shall take any action under this part against a driver based
solely on the driver's behavior and appearance, with respect to alcohol
use, in the absence of an alcohol test. This does not prohibit an
employer with independent authority of this part from taking any action
otherwise consistent with law.
(f) A written record shall be made of the observations leading to a
controlled substance reasonable suspicion test, and signed by the
supervisor or company official who made the observations, within 24
hours of the observed behavior or before the results of the controlled
substances test are released, whichever is earlier.

Sec. 382.309 Return-to-duty testing.

(a) Each employer shall ensure that before a driver returns to duty
requiring the performance of a safety-sensitive function after engaging
in conduct prohibited by subpart B of this part concerning alcohol, the
driver shall undergo a return-to-duty alcohol test with a result
indicating an alcohol concentration of less than 0.02.
(b) Each employer shall ensure that before a driver returns to duty
requiring the performance of a safety-sensitive function after engaging
in conduct prohibited by subpart B of this part concerning controlled
substances, the driver shall undergo a return-to-duty controlled
substances test with a result indicating a verified negative result for
controlled substances use.

Sec. 382.311 Follow-up testing.

(a) Following a determination under Sec. 382.605(b) that a driver is
in need of assistance in resolving problems associated with alcohol
misuse and/or use of controlled substances, each employer shall ensure
that the driver is subject to unannounced follow-up alcohol and/

[[Page 542]]

or controlled substances testing as directed by a substance abuse
professional in accordance with the provisions of
Sec. 382.605(c)(2)(ii).
(b) Follow-up alcohol testing shall be conducted only when the
driver is performing safety-sensitive functions, just before the driver
is to perform safety-sensitive functions, or just after the driver has
ceased performing safety-sensitive functions.

Subpart D--Handling Of Test Results, Record Retention, and
Confidentiality

Sec. 382.401 Retention of records.

(a) General requirement. Each employer shall maintain records of its
alcohol misuse and controlled substances use prevention programs as
provided in this section. The records shall be maintained in a secure
location with controlled access.
(b) Period of retention. Each employer shall maintain the records in
accordance with the following schedule:
(1) Five years. The following records shall be maintained for a
minimum of five years:
(i) Records of driver alcohol test results indicating an alcohol
concentration of 0.02 or greater,
(ii) Records of driver verified positive controlled substances test
results,
(iii) Documentation of refusals to take required alcohol and/or
controlled substances tests,
(iv) Driver evaluation and referrals,
(v) Calibration documentation,
(vi) Records related to the administration of the alcohol and
controlled substances testing programs, and
(vii) A copy of each annual calendar year summary required by
Sec. 382.403.
(2) Two years. Records related to the alcohol and controlled
substances collection process (except calibration of evidential breath
testing devices).
(3) One year. Records of negative and canceled controlled substances
test results (as defined in part 40 of this title) and alcohol test
results with a concentration of less than 0.02 shall be maintained for a
minimum of one year.
(4) Indefinite period. Records related to the education and training
of breath alcohol technicians, screening test technicians, supervisors,
and drivers shall be maintained by the employer while the individual
performs the functions which require the training and for two years
after ceasing to perform those functions.
(c) Types of records. The following specific types of records shall
be maintained. ``Documents generated'' are documents that may have to be
prepared under a requirement of this part. If the record is required to
be prepared, it must be maintained.
(1) Records related to the collection process:
(i) Collection logbooks, if used;
(ii) Documents relating to the random selection process;
(iii) Calibration documentation for evidential breath testing
devices;
(iv) Documentation of breath alcohol technician training;
(v) Documents generated in connection with decisions to administer
reasonable suspicion alcohol or controlled substances tests;
(vi) Documents generated in connection with decisions on post-
accident tests;
(vii) Documents verifying existence of a medical explanation of the
inability of a driver to provide adequate breath or to provide a urine
specimen for testing; and
(viii) Consolidated annual calendar year summaries as required by
Sec. 382.403.
(2) Records related to a driver's test results:
(i) The employer's copy of the alcohol test form, including the
results of the test;
(ii) The employer's copy of the controlled substances test chain of
custody and control form;
(iii) Documents sent by the MRO to the employer, including those
required by Sec. 382.407(a).
(iv) Documents related to the refusal of any driver to submit to an
alcohol or controlled substances test required by this part; and
(v) Documents presented by a driver to dispute the result of an
alcohol or controlled substances test administered under this part.
(vi) Documents generated in connection with verifications of prior
employers' alcohol or controlled substances test results that the
employer:

[[Page 543]]

(A) Must obtain in connection with the exception contained in
Sec. 382.301 of this part, and
(B) Must obtain as required by Sec. 382.413 of this subpart.
(3) Records related to other violations of this part.
(4) Records related to evaluations:
(i) Records pertaining to a determination by a substance abuse
professional concerning a driver's need for assistance; and
(ii) Records concerning a driver's compliance with recommendations
of the substance abuse professional.
(5) Records related to education and training:
(i) Materials on alcohol misuse and controlled substance use
awareness, including a copy of the employer's policy on alcohol misuse
and controlled substance use;
(ii) Documentation of compliance with the requirements of
Sec. 382.601, including the driver's signed receipt of education
materials;
(iii) Documentation of training provided to supervisors for the
purpose of qualifying the supervisors to make a determination concerning
the need for alcohol and/or controlled substances testing based on
reasonable suspicion;
(iv) Documentation of training for breath alcohol technicians as
required by Sec. 40.51(a) of this title, and
(v) Certification that any training conducted under this part
complies with the requirements for such training.
(6) Administrative records related to alcohol and controlled
substances testing:
(i) Agreements with collection site facilities, laboratories, breath
alcohol technicians, screening test technicians, medical review
officers, consortia, and third party service providers;
(ii) Names and positions of officials and their role in the
employer's alcohol and controlled substances testing program(s);
(iii) Quarterly laboratory statistical summaries of urinalysis
required by Sec. 40.29(g)(6) of this title;
(iv) The employer's alcohol and controlled substances testing policy
and procedures; and
(v) Records generated in connection with part 391, subpart H of this
subchapter.
(d) Location of records. All records required by this part shall be
maintained as required by Sec. 390.31 of this subchapter and shall be
made available for inspection at the employer's principal place of
business within two business days after a request has been made by an
authorized representative of the Federal Highway Administration.
(e)(1) OMB control number. The information collection requirements
of this part have been reviewed by the Office of Management and Budget
pursuant to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.)
and have been assigned OMB control number 2125-0543, approved through
March 31, 1997.
(2) The information collection requirements of this part are found
in the following sections: Section 382.105, 382.113, 382.301, 382.303,
382.305, 382.307, 382.309, 382.311, 382.401, 382.403, 382.405, 382.407,
382.409, 382.411, 382.413, 382.601, 382.603, 382.605.

Sec. 382.403 Reporting of results in a management information system.

(a) An employer shall prepare and maintain a summary of the results
of its alcohol and controlled substances testing programs performed
under this part during the previous calendar year, when requested by the
Secretary of Transportation, any DOT agency, or any State or local
officials with regulatory authority over the employer or any of its
drivers.
(b) If an employer is notified, during the month of January, of a
request by the Federal Highway Administration to report the employer's
annual calendar year summary information, the employer shall prepare and
submit the report to the Federal Highway Administration by March 15 of
that year. The employer shall ensure that the annual summary report is
accurate and received by March 15 at the location that the Federal
Highway Administration specifies in its request. The report shall be in
the form and manner prescribed by the Federal Highway Administration in
its request. When the report is submitted to the Federal Highway
Administration by mail or electronic transmission, the information

[[Page 544]]

requested shall be typed, except for the signature of the certifying
official. Each employer shall ensure the accuracy and timeliness of each
report submitted by the employer or a consortium.
(c) Detailed summary. Each annual calendar year summary that
contains information on a verified positive controlled substances test
result, an alcohol screening test result of 0.02 or greater, or any
other violation of the alcohol misuse provisions of subpart B of this
part shall include the following informational elements:
(1) Number of drivers subject to Part 382;
(2) Number of drivers subject to testing under the alcohol misuse or
controlled substances use rules of more than one DOT agency, identified
by each agency;
(3) Number of urine specimens collected by type of test (e.g., pre-
employment, random, reasonable suspicion, post-accident);
(4) Number of positives verified by a MRO by type of test, and type
of controlled substance;
(5) Number of negative controlled substance tests verified by a MRO
by type of test;
(6) Number of persons denied a position as a driver following a pre-
employment verified positive controlled substances test and/or a pre-
employment alcohol test that indicates an alcohol concentration of 0.04
or greater;
(7) Number of drivers with tests verified positive by a medical
review officer for multiple controlled substances;
(8) Number of drivers who refused to submit to an alcohol or
controlled substances test required under this subpart;
(9)(i) Number of supervisors who have received required alcohol
training during the reporting period; and
(ii) Number of supervisors who have received required controlled
substances training during the reporting period;
(10)(i) Number of screening alcohol tests by type of test; and
(ii) Number of confirmation alcohol tests, by type of test;
(11) Number of confirmation alcohol tests indicating an alcohol
concentration of 0.02 or greater but less than 0.04, by type of test;
(12) Number of confirmation alcohol tests indicating an alcohol
concentration of 0.04 or greater, by type of test;
(13) Number of drivers who were returned to duty (having complied
with the recommendations of a substance abuse professional as described
in Secs. 382.503 and 382.605), in this reporting period, who previously:
(i) Had a verified positive controlled substance test result, or
(ii) Engaged in prohibited alcohol misuse under the provisions of
this part;
(14) Number of drivers who were administered alcohol and drug tests
at the same time, with both a verified positive drug test result and an
alcohol test result indicating an alcohol concentration of 0.04 or
greater; and
(15) Number of drivers who were found to have violated any non-
testing prohibitions of subpart B of this part, and any action taken in
response to the violation.
(d) Short summary. Each employer's annual calendar year summary that
contains only negative controlled substance test results, alcohol
screening test results of less than 0.02, and does not contain any other
violations of subpart B of this part, may prepare and submit, as
required by paragraph (b) of this section, either a standard report form
containing all the information elements specified in paragraph (c) of
this section, or an ``EZ'' report form. The ``EZ'' report shall include
the following information elements:
(1) Number of drivers subject to this Part 382;
(2) Number of drivers subject to testing under the alcohol misuse or
controlled substance use rules of more than one DOT agency, identified
by each agency;
(3) Number of urine specimens collected by type of test (e.g., pre-
employment, random, reasonable suspicion, post-accident);
(4) Number of negatives verified by a medical review officer by type
of test;
(5) Number of drivers who refused to submit to an alcohol or
controlled substances test required under this subpart;
(6)(i) Number of supervisors who have received required alcohol
training during the reporting period; and

[[Page 545]]

(ii) Number of supervisors who have received required controlled
substances training during the reporting period;
(7) Number of screen alcohol tests by type of test; and
(8) Number of drivers who were returned to duty (having complied
with the recommendations of a substance abuse professional as described
in Secs. 382.503 and 382.605), in this reporting period, who previously:
(i) Had a verified positive controlled substance test result, or
(ii) Engaged in prohibited alcohol misuse under the provisions of
this part.
(e) Each employer that is subject to more than one DOT agency
alcohol or controlled substances rule shall identify each driver covered
by the regulations of more than one DOT agency. The identification will
be by the total number of covered functions. Prior to conducting any
alcohol or controlled substances test on a driver subject to the rules
of more than one DOT agency, the employer shall determine which DOT
agency rule or rules authorizes or requires the test. The test result
information shall be directed to the appropriate DOT agency or agencies.
(f) A consortium may prepare annual calendar year summaries and
reports on behalf of individual employers for purposes of compliance
with this section. However, each employer shall sign and submit such a
report and shall remain responsible for ensuring the accuracy and
timeliness of each report prepared on its behalf by a consortium.

Sec. 382.405 Access to facilities and records.

(a) Except as required by law or expressly authorized or required in
this section, no employer shall release driver information that is
contained in records required to be maintained under Sec. 382.401.
(b) A driver is entitled, upon written request, to obtain copies of
any records pertaining to the driver's use of alcohol or controlled
substances, including any records pertaining to his or her alcohol or
controlled substances tests. The employer shall promptly provide the
records requested by the driver. Access to a driver's records shall not
be contingent upon payment for records other than those specifically
requested.
(c) Each employer shall permit access to all facilities utilized in
complying with the requirements of this part to the Secretary of
Transportation, any DOT agency, or any State or local officials with
regulatory authority over the employer or any of its drivers.
(d) Each employer shall make available copies of all results for
employer alcohol and/or controlled substances testing conducted under
this part and any other information pertaining to the employer's alcohol
misuse and/or controlled substances use prevention program, when
requested by the Secretary of Transportation, any DOT agency, or any
State or local officials with regulatory authority over the employer or
any of its drivers.
(e) When requested by the National Transportation Safety Board as
part of an accident investigation, employers shall disclose information
related to the employer's administration of a post-accident alcohol and/
or controlled substance test administered following the accident under
investigation.
(f) Records shall be made available to a subsequent employer upon
receipt of a written request from a driver. Disclosure by the subsequent
employer is permitted only as expressly authorized by the terms of the
driver's request.
(g) An employer may disclose information required to be maintained
under this part pertaining to a driver, the decisionmaker in a lawsuit,
grievance, or other proceeding initiated by or on behalf of the
individual, and arising from the results of an alcohol and/or controlled
substance test administered under this part, or from the employer's
determination that the driver engaged in conduct prohibited by subpart B
of this part (including, but not limited to, a worker's compensation,
unemployment compensation, or other proceeding relating to a benefit
sought by the driver.)
(h) An employer shall release information regarding a driver's
records as directed by the specific, written consent of the driver
authorizing release of the information to an identified person. Release
of such information by the person receiving the information is

[[Page 546]]

permitted only in accordance with the terms of the employee's consent.

Sec. 382.407 Medical review officer notifications to the employer.

(a) The medical review officer may report to the employer using any
communications device, but in all instances a signed, written
notification must be forwarded within three business days of completion
of the medical review officer's review, pursuant to part 40 of this
title. A legible photocopy of the fourth copy of Part 40 Appendix A
subtitled COPY 4--SEND DIRECTLY TO MEDICAL REVIEW OFFICER--DO NOT SEND
TO LABORATORY of the Federal Custody and Control Form OMB Number 9999-
0023 may be used to make the signed, written notification to the
employer for all test results (positive, negative, canceled, etc.),
provided that the controlled substance(s) verified as positive, and the
MRO's signature, shall be legibly noted in the remarks section of step 8
of the form completed by the medical review officer. The MRO must sign
all verified positive test results. An MRO may sign or rubber stamp
negative test results. An MRO's staff may rubber stamp negative test
results under written authorization of the MRO. In no event shall an
MRO, or his/her staff, use electronic signature technology to comply
with this section. All reports, both oral and in writing, from the
medical review officer to an employer shall clearly include:
(1) A statement that the controlled substances test being reported
was in accordance with part 40 of this title and this part, except for
legible photocopies of Copy 4 of the Federal Custody and Control Form;
(2) The full name of the driver for whom the test results are being
reported;
(3) The type of test indicated on the custody and control form (i.e.
random, post-accident, follow-up);
(4) The date and location of the test collection;
(5) The identities of the persons or entities performing the
collection, analyzing the specimens, and serving as the medical review
officer for the specific test;
(6) The results of the controlled substances test, positive,
negative, test canceled, or test not performed, and if positive, the
identity of the controlled substance(s) for which the test was verified
positive.
(b) A medical review officer shall report to the employer that the
medical review officer has made all reasonable efforts to contact the
driver as provided in Sec. 40.33(c) of this title. The employer shall,
as soon as practicable, request that the driver contact the medical
review officer prior to dispatching the driver or within 24 hours,
whichever is earlier.

Sec. 382.409 Medical review officer record retention for controlled substances.

(a) A medical review officer shall maintain all dated records and
notifications, identified by individual, for a minimum of five years for
verified positive controlled substances test results.
(b) A medical review officer shall maintain all dated records and
notifications, identified by individual, for a minimum of one year for
negative and canceled controlled substances test results.
(c) No person may obtain the individual controlled substances test
results retained by a medical review officer, and no medical review
officer shall release the individual controlled substances test results
of any driver to any person, without first obtaining a specific, written
authorization from the tested driver. Nothing in this paragraph shall
prohibit a medical review officer from releasing, to the employer or to
officials of the Secretary of Transportation, any DOT agency, or any
State or local officials with regulatory authority over the controlled
substances testing program under this part, the information delineated
in Sec. 382.407(a) of this subpart.

Sec. 382.411 Employer notifications.

(a) An employer shall notify a driver of the results of a pre-
employment controlled substance test conducted under this part, if the
driver requests such results within 60 calendar days of being notified
of the disposition of the employment application. An employer shall
notify a driver of the results of

[[Page 547]]

random, reasonable suspicion and post-accident tests for controlled
substances conducted under this part if the test results are verified
positive. The employer shall also inform the driver which controlled
substance or substances were verified as positive.
(b) The designated management official shall make reasonable efforts
to contact and request each driver who submitted a specimen under the
employer's program, regardless of the driver's employment status, to
contact and discuss the results of the controlled substances test with a
medical review officer who has been unable to contact the driver.
(c) The designated management official shall immediately notify the
medical review officer that the driver has been notified to contact the
medical review officer within 24 hours.

Sec. 382.413 Inquiries for alcohol and controlled substances information from previous employers.

(a)(1) An employer shall, pursuant to the driver's written
authorization, inquire about the following information on a driver from
the driver's previous employers, during the preceding two years from the
date of application, which are maintained by the driver's previous
employers under Sec. 382.401(b)(1) (i) through (iii) of this subpart:
(i) Alcohol tests with a result of 0.04 alcohol concentration or
greater;
(ii) Verified positive controlled substances test results; and
(iii) Refusals to be tested.
(2) The information obtained from a previous employer may contain
any alcohol and drug information the previous employer obtained from
other previous employers under paragraph (a)(1) of this section.
(b) If feasible, the information in paragraph (a) of this section
must be obtained and reviewed by the employer prior to the first time a
driver performs safety-sensitive functions for the employer. If not
feasible, the information must be obtained and reviewed as soon as
possible, but no later than 14-calendar days after the first time a
driver performs safety-sensitive functions for the employer. An employer
may not permit a driver to perform safety-sensitive functions after 14
days without having made a good faith effort to obtain the information
as soon as possible. If a driver hired or used by the employer ceases
performing safety-sensitive functions for the employer before expiration
of the 14-day period or before the employer has obtained the information
in paragraph (a) of this section, the employer must still make a good
faith effort to obtain the information.
(c) An employer must maintain a written, confidential record of the
information obtained under paragraph (a) or (f) of this section. If,
after making a good faith effort, an employer is unable to obtain the
information from a previous employer, a record must be made of the
efforts to obtain the information and retained in the driver's
qualification file.
(d) The prospective employer must provide to each of the driver's
previous employers the driver's specific, written authorization for
release of the information in paragraph (a) of this section.
(e) The release of any information under this section may take the
form of personal interviews, telephone interviews, letters, or any other
method of transmitting information that ensures confidentiality.
(f) The information in paragraph (a) of this section may be provided
directly to the prospective employer by the driver, provided the
employer assures itself that the information is true and accurate.
(g) An employer may not use a driver to perform safety-sensitive
functions if the employer obtains information on a violation of the
prohibitions in subpart B of this part by the driver, without obtaining
information on subsequent compliance with the referral and
rehabilitation requirements of Sec. 382.605 of this part.
(h) Employers need not obtain information under paragraph (a) of
this section generated by previous employers prior to the starting dates
in Sec. 382.115 of this part.

[[Page 548]]

Subpart E--Consequences for Drivers Engaging in Substance Use-Related
Conduct

Sec. 382.501 Removal from safety-sensitive function.

(a) Except as provided in subpart F of this part, no driver shall
perform safety-sensitive functions, including driving a commercial motor
vehicle, if the driver has engaged in conduct prohibited by subpart B of
this part or an alcohol or controlled substances rule of another DOT
agency.
(b) No employer shall permit any driver to perform safety-sensitive
functions, including driving a commercial motor vehicle, if the employer
has determined that the driver has violated this section.
(c) For purposes of this subpart, commercial motor vehicle means a
commercial motor vehicle in commerce as defined in Sec. 382.107, and a
commercial motor vehicle in interstate commerce as defined in Part 390
of this subchapter.

Sec. 382.503 Required evaluation and testing.

No driver who has engaged in conduct prohibited by subpart B of this
part shall perform safety-sensitive functions, including driving a
commercial motor vehicle, unless the driver has met the requirements of
Sec. 382.605. No employer shall permit a driver who has engaged in
conduct prohibited by subpart B of this part to perform safety-sensitive
functions, including driving a commercial motor vehicle, unless the
driver has met the requirements of Sec. 382.605.

Sec. 382.505 Other alcohol-related conduct.

(a) No driver tested under the provisions of subpart C of this part
who is found to have an alcohol concentration of 0.02 or greater but
less than 0.04 shall perform or continue to perform safety-sensitive
functions for an employer, including driving a commercial motor vehicle,
nor shall an employer permit the driver to perform or continue to
perform safety-sensitive functions, until the start of the driver's next
regularly scheduled duty period, but not less than 24 hours following
administration of the test.
(b) Except as provided in paragraph (a) of this section, no employer
shall take any action under this part against a driver based solely on
test results showing an alcohol concentration less than 0.04. This does
not prohibit an employer with authority independent of this part from
taking any action otherwise consistent with law.

Sec. 382.507 Penalties.

Any employer or driver who violates the requirements of this part
shall be subject to the penalty provisions of 49 U.S.C. section 521(b).

Subpart F--Alcohol Misuse and Controlled Substances Use Information,
Training, and Referral

Sec. 382.601 Employer obligation to promulgate a policy on the misuse of alcohol and use of controlled substances.

(a) General requirements. Each employer shall provide educational
materials that explain the requirements of this part and the employer's
policies and procedures with respect to meeting these requirements.
(1) The employer shall ensure that a copy of these materials is
distributed to each driver prior to the start of alcohol and controlled
substances testing under this part and to each driver subsequently hired
or transferred into a position requiring driving a commercial motor
vehicle.
(2) Each employer shall provide written notice to representatives of
employee organizations of the availability of this information.
(b) Required content. The materials to be made available to drivers
shall include detailed discussion of at least the following:
(1) The identity of the person designated by the employer to answer
driver questions about the materials;
(2) The categories of drivers who are subject to the provisions of
this part;
(3) Sufficient information about the safety-sensitive functions
performed by

[[Page 549]]

those drivers to make clear what period of the work day the driver is
required to be in compliance with this part;
(4) Specific information concerning driver conduct that is
prohibited by this part;
(5) The circumstances under which a driver will be tested for
alcohol and/or controlled substances under this part, including post-
accident testing under Sec. 382.303(d);
(6) The procedures that will be used to test for the presence of
alcohol and controlled substances, protect the driver and the integrity
of the testing processes, safeguard the validity of the test results,
and ensure that those results are attributed to the correct driver,
including post-accident information, procedures and instructions
required by Sec. 382.303(d) of this part;
(7) The requirement that a driver submit to alcohol and controlled
substances tests administered in accordance with this part;
(8) An explanation of what constitutes a refusal to submit to an
alcohol or controlled substances test and the attendant consequences;
(9) The consequences for drivers found to have violated subpart B of
this part, including the requirement that the driver be removed
immediately from safety-sensitive functions, and the procedures under
Sec. 382.605;
(10) The consequences for drivers found to have an alcohol
concentration of 0.02 or greater but less than 0.04;
(11) Information concerning the effects of alcohol and controlled
substances use on an individual's health, work, and personal life; signs
and symptoms of an alcohol or a controlled substances problem (the
driver's or a coworker's); and available methods of intervening when an
alcohol or a controlled substances problem is suspected, including
confrontation, referral to any employee assistance program and or
referral to management.
(c) Optional provision. The materials supplied to drivers may also
include information on additional employer policies with respect to the
use of alcohol or controlled substances, including any consequences for
a driver found to have a specified alcohol or controlled substances
level, that are based on the employer's authority independent of this
part. Any such additional policies or consequences must be clearly and
obviously described as being based on independent authority.
(d) Certificate of receipt. Each employer shall ensure that each
driver is required to sign a statement certifying that he or she has
received a copy of these materials described in this section. Each
employer shall maintain the original of the signed certificate and may
provide a copy of the certificate to the driver.

Sec. 382.603 Training for supervisors.

Each employer shall ensure that all persons designated to supervise
drivers receive at least 60 minutes of training on alcohol misuse and
receive at least an additional 60 minutes of training on controlled
substances use. The training will be used by the supervisors to
determine whether reasonable suspicion exists to require a driver to
undergo testing under Sec. 382.307. The training shall include the
physical, behavioral, speech, and performance indicators of probable
alcohol misuse and use of controlled substances.

Sec. 382.605 Referral, evaluation, and treatment.

(a) Each driver who has engaged in conduct prohibited by subpart B
of this part shall be advised by the employer of the resources available
to the driver in evaluating and resolving problems associated with the
misuse of alcohol and use of controlled substances, including the names,
addresses, and telephone numbers of substance abuse professionals and
counseling and treatment programs.
(b) Each driver who engages in conduct prohibited by subpart B of
this part shall be evaluated by a substance abuse professional who shall
determine what assistance, if any, the employee needs in resolving
problems associated with alcohol misuse and controlled substances use.
(c)(1) Before a driver returns to duty requiring the performance of
a safety- sensitive function after engaging in conduct prohibited by
subpart B of this part, the driver shall undergo a return-to-duty
alcohol test with a result indicating an alcohol concentration of less

[[Page 550]]

than 0.02 if the conduct involved alcohol, or a controlled substances
test with a verified negative result if the conduct involved a
controlled substance.
(2) In addition, each driver identified as needing assistance in
resolving problems associated with alcohol misuse or controlled
substances use,
(i) Shall be evaluated by a substance abuse professional to
determine that the driver has properly followed any rehabilitation
program prescribed under paragraph (b) of this section, and
(ii) Shall be subject to unannounced follow-up alcohol and
controlled substances tests administered by the employer following the
driver's return to duty. The number and frequency of such follow-up
testing shall be as directed by the substance abuse professional, and
consist of at least six tests in the first 12 months following the
driver's return to duty. The employer may direct the driver to undergo
return-to-duty and follow-up testing for both alcohol and controlled
substances, if the substance abuse professional determines that return-
to-duty and follow-up testing for both alcohol and controlled substances
is necessary for that particular driver. Any such testing shall be
performed in accordance with the requirements of 49 CFR part 40. Follow-
up testing shall not exceed 60 months from the date of the driver's
return to duty. The substance abuse professional may terminate the
requirement for follow-up testing at any time after the first six tests
have been administered, if the substance abuse professional determines
that such testing is no longer necessary.
(d) Evaluation and rehabilitation may be provided by the employer,
by a substance abuse professional under contract with the employer, or
by a substance abuse professional not affiliated with the employer. The
choice of substance abuse professional and assignment of costs shall be
made in accordance with employer/driver agreements and employer
policies.
(e) The employer shall ensure that a substance abuse professional
who determines that a driver requires assistance in resolving problems
with alcohol misuse or controlled substances use does not refer the
driver to the substance abuse professional's private practice or to a
person or organization from which the substance abuse professional
receives remuneration or in which the substance abuse professional has a
financial interest. This paragraph does not prohibit a substance abuse
professional from referring a driver for assistance provided through--
(1) A public agency, such as a State, county, or municipality;
(2) The employer or a person under contract to provide treatment for
alcohol or controlled substance problems on behalf of the employer;
(3) The sole source of therapeutically appropriate treatment under
the driver's health insurance program; or
(4) The sole source of therapeutically appropriate treatment
reasonably accessible to the driver.
(f) The requirements of this section with respect to referral,
evaluation and rehabilitation do not apply to applicants who refuse to
submit to a pre-employment alcohol or controlled substances test or who
have a pre-employment alcohol test with a result indicating an alcohol
concentration of 0.04 or greater or a controlled substances test with a
verified positive test result.

PART 383--COMMERCIAL DRIVER'S LICENSE STANDARDS; REQUIREMENTS AND PENALTIES--Table of Contents

Subpart A--General

Sec.
383.1 Purpose and scope.
383.3 Applicability.
383.5 Definitions.
383.7 Waiver provisions.

Subpart B--Single License Requirement

383.21 Number of drivers' licenses.
383.23 Commercial driver's license.

Subpart C--Notification Requirements and Employer Responsibilities

383.31 Notification of convictions for driver violations.
383.33 Notification of driver's license suspensions.
383.35 Notification of previous employment.
383.37 Employer responsibilities.

[[Page 551]]

Subpart D--Driver Disqualifications and Penalties

383.51 Disqualification of drivers.
383.53 Penalties.

Subpart E--Testing and Licensing Procedures

383.71 Driver application procedures.
383.72 Implied consent to alcohol testing.
383.73 State procedures.
383.75 Third party testing.
383.77 Substitute for driving skills tests.

Subpart F--Vehicle Groups and Endorsements

383.91 Commercial motor vehicle groups.
383.93 Endorsements.
383.95 Air brake restrictions.

Subpart G--Required Knowledge and Skills

383.110 General requirement.
383.111 Required knowledge.
383.113 Required skills.
383.115 Requirements for double/triple trailers endorsement.
383.117 Requirements for passenger endorsement.
383.119 Requirements for tank vehicle endorsement.
383.121 Requirements for hazardous materials endorsement.

Appendix to Subpart G--Required Knowledge and Skills--Sample Guidelines

Subpart H--Tests

383.131 Test procedures.
383.133 Testing methods.
383.135 Minimum passing scores.

Subpart I--[Reserved]

Subpart J--Commercial Driver's License Document

383.151 General.
383.153 Information on the document and application.
383.155 Tamperproofing requirements.

Authority: 49 U.S.C. 31101 et seq., 31136, and 31502; sec. 345, Pub.
L. 104-59, 109 Stat. 568, 613; and 49 CFR 1.48.

Source: 52 FR 20587, June 1, 1987, unless otherwise noted.

Subpart A--General

Sec. 383.1 Purpose and scope.

(a) The purpose of this part is to help reduce or prevent truck and
bus accidents, fatalities, and injuries by requiring drivers to have a
single commercial motor vehicle driver's license and by disqualifying
drivers who operate commercial motor vehicles in an unsafe manner.
(b) This part:
(1) Prohibits a commercial motor vehicle driver from having more
than one commercial motor vehicle driver's license;
(2) Requires a driver to notify the driver's current employer and
the driver's State of domicile of certain convictions;
(3) Requires that a driver provide previous employment information
when applying for employment as an operator of a commercial motor
vehicle;
(4) Prohibits an employer from allowing a person with a suspended
license to operate a commercial motor vehicle;
(5) Establishes periods of disqualification and penalties for those
persons convicted of certain criminal and other offenses and serious
traffic violations, or subject to any suspensions, revocations, or
cancellations of certain driving privileges;
(6) Establishes testing and licensing requirements for commercial
motor vehicle operators;
(7) Requires States to give knowledge and skills tests to all
qualified applicants for commercial drivers' licenses which meet the
Federal standard;
(8) Sets forth commercial motor vehicle groups and endorsements;
(9) Sets forth the knowledge and skills test requirements for the
motor vehicle groups and endorsements;
(10) Sets forth the Federal standards for procedures, methods, and
minimum passing scores for States and others to use in testing and
licensing commercial motor vehicle operators; and
(11) Establishes requirements for the State issued commercial
license documentation.

[52 FR 20587, June 1, 1987, as amended at 53 FR 27648, July 21, 1988; 54
FR 40787, Oct. 3, 1989]

Sec. 383.3 Applicability.

(a) The rules in this part apply to every person who operates a
commercial motor vehicle (CMV) in interstate, foreign, or intrastate
commerce, to all employers of such persons, and to all States.

[[Page 552]]

(b) The exceptions contained in Sec. 390.3(g) of this subchapter do
not apply to this part. The employers and drivers identified in
Sec. 390.3(g) must comply with the requirements of this part, unless
otherwise provided in this section.
(c) Exception for certain military drivers. Each State must exempt
from the requirements of this part individuals who operate CMVs for
military purposes. This exception is applicable to active duty military
personnel; members of the military reserves; member of the national
guard on active duty, including personnel on full-time national guard
duty, personnel on part-time national guard training, and national guard
military technicians (civilians who are required to wear military
uniforms); and active duty U.S. Coast Guard personnel. This exception is
not applicable to U.S. Reserve technicians.
(d) Exception for farmers, firefighters, emergency response vehicle
drivers, and drivers removing snow and ice. A State may, at its
discretion, exempt individuals identified in paragraphs (d)(1), (d)(2),
and (d)(3) of this section from the requirements of this part. The use
of this waiver is limited to the driver's home State unless there is a
reciprocity agreement with adjoining States.
(1) Operators of a farm vehicle which is:
(i) Controlled and operated by a farmer, including operation by
employees or family members;
(ii) Used to transport either agricultural products, farm machinery,
farm supplies, or both to or from a farm;
(iii) Not used in the operations of a common or contract motor
carrier; and
(iv) Used within 241 kilometers (150 miles) of the farmer's farm.
(2) Firefighters and other persons who operate CMVs which are
necessary to the preservation of life or property or the execution of
emergency governmental functions, are equipped with audible and visual
signals and are not subject to normal traffic regulation. These vehicles
include fire trucks, hook and ladder trucks, foam or water transport
trucks, police SWAT team vehicles, ambulances, or other vehicles that
are used in response to emergencies.
(3)(i) A driver, employed by an eligible unit of local government,
operating a commercial motor vehicle within the boundaries of that unit
for the purpose of removing snow or ice from a roadway by plowing,
sanding, or salting, if
(A) The properly licensed employee who ordinarily operates a
commercial motor vehicle for these purposes is unable to operate the
vehicle; or
(B) The employing governmental entity determines that a snow or ice
emergency exists that requires additional assistance.
(ii) This exemption shall not preempt State laws and regulations
concerning the safe operation of commercial motor vehicles.
(e) Restricted commercial drivers license (CDL) for certain drivers
in the State of Alaska. (1) The State of Alaska may, at its discretion,
waive only the following requirements of this part and issue a CDL to
each driver that meets the conditions set forth in paragraphs (e) (2)
and (3) of this section:
(i) The knowledge tests standards for testing procedures and methods
of subpart H, but must continue to administer knowledge tests that
fulfill the content requirements of subpart G for all applicants;
(ii) All the skills test requirements; and
(iii) The requirement under Sec. 383.153(a)(4) to have a photograph
on the license document.
(2) Drivers of CMVs in the State of Alaska must operate exclusively
over roads that meet both of the following criteria to be eligible for
the exception in paragraph (e)(1) of this section:
(i) Such roads are not connected by land highway or vehicular way to
the land-connected State highway system; and
(ii) Such roads are not connected to any highway or vehicular way
with an average daily traffic volume greater than 499.
(3) Any CDL issued under the terms of this paragraph must carry two
restrictions:
(i) Holders may not operate CMVs over roads other than those
specified in paragraph (e)(2) of this section; and
(ii) The license is not valid for CMV operation outside the State of
Alaska.

[[Page 553]]

(f) Restricted CDL for certain drivers in farm-related service
industries. (1) A State may, at its discretion, waive the required
knowledge and skills tests of subpart H of this part and issue
restricted CDLs to employees of these designated farm-related service
industries:
(i) Agri-chemical businesses;
(ii) Custom harvesters;
(iii) Farm retail outlets and suppliers;
(iv) Livestock feeders.
(2) A restricted CDL issued pursuant to this paragraph shall meet
all the requirements of this part, except subpart H of this part. A
restricted CDL issued pursuant to this paragraph shall be accorded the
same reciprocity as a CDL meeting all of the requirements of this part.
The restrictions imposed upon the issuance of this restricted CDL shall
not limit a person's use of the CDL in a non-CMV during either validated
or non-validated periods, nor shall the CDL affect a State's power to
administer its driver licensing program for operators of vehicles other
than CMVs.
(3) A State issuing a CDL under the terms of this paragraph must
restrict issuance as follows:
(i) Applicants must have a good driving record as defined in this
paragraph. Drivers who have not held any motor vehicle operator's
license for at least one year shall not be eligible for this CDL.
Drivers who have between one and two years of driving experience must
demonstrate a good driving record for their entire driving history.
Drivers with more than two years of driving experience must have a good
driving record for the two most recent years. For the purposes of this
paragraph, the term good driving record means that an applicant:
(A) Has not had more than one license (except in the instances
specified in Sec. 383.21(b));
(B) Has not had any license suspended, revoked, or canceled;
(C) Has not had any conviction for any type of motor vehicle for the
disqualifying offenses contained in Sec. 383.51(b)(2);
(D) Has not had any conviction for any type of motor vehicle for
serious traffic violations; and
(E) Has not had any conviction for a violation of State or local law
relating to motor vehicle traffic control (other than a parking
violation) arising in connection with any traffic accident, and has no
record of an accident in which he/she was at fault.
(ii) Restricted CDLs shall have the same renewal cycle as
unrestricted CDLs, but shall be limited to the seasonal period or
periods as defined by the State of licensure, provided that the total
number of calendar days in any 12-month period for which the restricted
CDL is valid does not exceed 180. If a State elects to provide for more
than one seasonal period, the restricted CDL is valid for commercial
motor vehicle operation only during the currently approved season, and
must be revalidated for each successive season. Only one seasonal period
of validity may appear on the license document at a time. The good
driving record must be confirmed prior to any renewal or revalidation.
(iii) Restricted CDL holders are limited to operating Group B and C
vehicles, as described in subpart F of this part.
(iv) Restricted CDLs shall not be issued with any endorsements on
the license document. Only the limited tank vehicle and hazardous
materials endorsement privileges that the restricted CDL automatically
confers and are described in paragraph (f)(3)(v) of this section are
permitted.
(v) Restricted CDL holders may not drive vehicles carrying any
placardable quantities of hazardous materials, except for diesel fuel in
quantities of 3,785 liters (1,000 gallons) or less; liquid fertilizers
(i.e., plant nutrients) in vehicles or implements of husbandry in total
quantities of 11,355 liters (3,000 gallons) or less; and solid
fertilizers (i.e., solid plant nutrients) that are not transported with
any organic substance.
(vi) Restricted CDL holders may not hold an unrestricted CDL at the
same time.
(vii) Restricted CDL holders may not operate a commercial motor
vehicle beyond 241 kilometers (150 miles) from the place of business or
the farm currently being served.

[[Page 554]]

(g) Restricted CDL for certain drivers in the pyrotechnic industry.
(1) A State may, at its discretion, waive the required hazardous
materials knowledge tests of subpart H of this part and issue restricted
CDLs to part-time drivers operating commercial motor vehicles
transporting less than 227 kilograms (500 pounds) of fireworks
classified as DOT Class 1.3G explosives.
(2) A State issuing a CDL under the terms of this paragraph must
restrict issuance as follows:
(i) The GVWR of the vehicle to be operated must be less than 4,537
kilograms (10,001 pounds);
(ii) If a State believes, at its discretion, that the training
required by Sec. 172.704 of this title adequately prepares part-time
drivers meeting the other requirements of this paragraph to deal with
fireworks and the other potential dangers posed by fireworks
transportation and use, the State may waive the hazardous materials
knowledge tests of subpart H of this part. The State may impose any
requirements it believes is necessary to ensure itself that a driver is
properly trained pursuant to Sec. 172.704 of this title.
(iii) A restricted CDL document issued pursuant to this paragraph
shall have a statement clearly imprinted on the face of the document
that is substantially similar as follows: ``For use as a CDL only during
the period from June 30 through July 6 for purposes of transporting less
than 227 kilograms (500 pounds) of fireworks classified as DOT Class
1.3G explosives in a vehicle with a GVWR of less than 4,537 kilograms
(10,001 pounds).
(3) A restricted CDL issued pursuant to this paragraph shall meet
all the requirements of this part, except those specifically identified.
A restricted CDL issued pursuant to this paragraph shall be accorded the
same reciprocity as a CDL meeting all of the requirements of this part.
The restrictions imposed upon the issuance of this restricted CDL shall
not limit a person's use of the CDL in a non-CMV during either validated
or non-validated periods, nor shall the CDL affect a State's power to
administer its driver licensing program for operators of vehicles other
than CMVs.
(4) Restricted CDLs shall have the same renewal cycle as
unrestricted CDLs, but shall be limited to the seasonal period of June
30 through July 6 of each year or a lesser period as defined by the
State of licensure.
(5) Persons who operate commercial motor vehicles during the period
from July 7 through June 29 for purposes of transporting less than 227
kilograms (500 pounds) of fireworks classified as DOT Class 1.3G
explosives in a vehicle with a GVWR of less than 4,537 kilograms (10,001
pounds) and who also operate such vehicles for the same purposes during
the period June 30 through July 6 shall not be issued a restricted CDL
pursuant to this paragraph.

[61 FR 9564, Mar. 8, 1996, as amended at 61 FR 14679, Apr. 3, 1996]

Sec. 383.5 Definitions.

As used in this part:
Administrator means the Federal Highway Administrator, the chief
executive of the Federal Highway Administration, an agency within the
Department of Transportation.
Alcohol or alcoholic beverage means: (a) Beer as defined in 26
U.S.C. 5052(a), of the Internal Revenue Code of 1954, (b) wine of not
less than one-half of one per centum of alcohol by volume, or (c)
distilled spirits as defined in section 5002(a)(8), of such Code.
Alcohol concentration (AC) means the concentration of alcohol in a
person's blood or breath. When expressed as a percentage it means grams
of alcohol per 100 milliliters of blood or grams of alcohol per 210
liters of breath.
Commerce means (a) any trade, traffic or transportation within the
jurisdiction of the United States between a place in a State and a place
outside of such State, including a place outside of the United States
and (b) trade, traffic, and transportation in the United States which
affects any trade, traffic, and transportation described in paragraph
(a) of this definition.
Commercial driver's license (CDL) means a license issued by a State
or other jurisdiction, in accordance with the standards contained in 49
CFR part 383, to an individual which authorizes the individual to
operate a class of a commercial motor vehicle.

[[Page 555]]

Commercial driver's license information system (CDLIS) means the
CDLIS established by FHWA pursuant to section 12007 of the Commercial
Motor Vehicle Safety Act of 1986.
Commercial motor vehicle (CMV) means a motor vehicle or combination
of motor vehicles used in commerce to transport passengers or property
if the motor vehicle--
(a) Has a gross combination weight rating of 11,794 kilograms or
more (26,001 pounds or more) inclusive of a towed unit with a gross
vehicle weight rating of more than 4,536 kilograms (10,000 pounds); or
(b) Has a gross vehicle weight rating of 11,794 or more kilograms
(26,001 pounds or more); or
(c) Is designed to transport 16 or more passengers, including the
driver; or
(d) Is of any size and is used in the transportation of materials
found to be hazardous for the purposes of the Hazardous Materials
Transportation Act and which require the motor vehicle to be placarded
under the Hazardous Materials Regulations (49 CFR part 172, subpart F).
Controlled substance has the meaning such term has under section
102(6), of the Controlled Substances Act (21 U.S.C. 802(6)) and includes
all substances listed on schedules I through V of 21 CFR part 1308, as
they may be revised from time to time. Schedule I substances are
identified in appendix D of this subchapter and schedules II through V
are identified in appendix E of this subchapter.
Conviction means an unvacated adjudication of guilt, or a
determination that a person has violated or failed to comply with the
law in a court of original jurisdiction or by an authorized
administrative tribunal, an unvacated forfeiture of bail or collateral
deposited to secure the person's appearance in court, a plea of guilty
or nolo contendere accepted by the court, the payment of a fine or court
cost, or violation of a condition of release without bail, regardless of
whether or not the penalty is rebated, suspended, or probated.''
Disqualification means either:
(a) The suspension, revocation, cancellation, or any other
withdrawal by a State of a person's privileges to drive a commercial
motor vehicle; or
(b) A determination by the FHWA, under the rules of practice for
motor carrier safety contained in part 386 of this title, that a person
is no longer qualified to operate a commercial motor vehicle under part
391; or
(c) The loss of qualification which automatically follows conviction
of an offense listed in Sec. 383.51.
Driver applicant means an individual who applies to a State to
obtain, transfer, upgrade, or renew a CDL.
Driver's license means a license issued by a State or other
jurisdiction, to an individual which authorizes the individual to
operate a motor vehicle on the highways.
Driving a commercial motor vehicle while under the influence of
alcohol means committing any one or more of the following acts in a CMV:
driving a CMV while the person's alcohol concentration is 0.04 percent
or more; driving under the influence of alcohol, as prescribed by State
law; or refusal to undergo such testing as is required by any State or
jurisdiction in the enforcement of Sec. 383.51(b)(2)(i)(A) or (B), or
Sec. 392.5(a)(2).
Eligible unit of local government means a city, town, borough,
county, parish, district, or other public body created by or pursuant to
State law which has a total population of 3,000 individuals or less.
Employee means any operator of a commercial motor vehicle, including
full time, regularly employed drivers; casual, intermittent or
occasional drivers; leased drivers and independent, owner-operator
contractors (while in the course of operating a commercial motor
vehicle) who are either directly employed by or under lease to an
employer.
Employer means any person (including the United States, a State,
District of Columbia or a political subdivision of a State) who owns or
leases a commercial motor vehicle or assigns employees to operate such a
vehicle.
Endorsement means an authorization to an individual's CDL required
to permit the individual to operate certain types of commercial motor
vehicles.
Felony means an offense under State or Federal law that is
punishable by

[[Page 556]]

death or imprisonment for a term exceeding 1 year.
Foreign means outside the fifty United States and the District of
Columbia.
Gross combination weight rating (GCWR) means the value specified by
the manufacturer as the loaded weight of a combination (articulated)
vehicle. In the absence of a value specified by the manufacturer, GCWR
will be determined by adding the GVWR of the power unit and the total
weight of the towed unit and any load thereon.
Gross vehicle weight rating (GVWR) means the value specified by the
manufacturer as the loaded weight of a single vehicle.
Hazardous materials has the meaning such term has under section 103
of the Hazardous Materials Transportation Act.
Motor vehicle means a vehicle, machine, tractor, trailer, or
semitrailer propelled or drawn by mechanical power used on highways,
except that such term does not include a vehicle, machine, tractor,
trailer, semitrailer operated exclusively on a rail.
Nonresident CDL means a CDL issued by a State to an individual
domiciled in a foreign country.
Out-of-service order means a declaration by an authorized
enforcement officer of a Federal, State, Canadian, Mexican, or local
jurisdiction that a driver, a commercial motor vehicle, or a motor
carrier operation, is out-of-service pursuant to Secs. 386.72, 392.5,
395.13, 396.9, or compatible laws, or the North American Uniform Out-of-
Service Criteria.
Representative vehicle means a motor vehicle which represents the
type of motor vehicle that a driver applicant operates or expects to
operate.
Serious traffic violation means conviction, when operating a
commercial motor vehicle, of:
(a) Excessive speeding, involving any single offense for any speed
of 15 miles per hour or more above the posted speed limit;
(b) Reckless driving, as defined by State or local law or
regulation, including but not limited to offenses of driving a
commercial motor vehicle in willful or wanton disregard for the safety
of persons or property;
(c) Improper or erratic traffic lane changes;
(d) Following the vehicle ahead too closely; or
(e) A violation, arising in connection with a fatal accident, of
State or local law relating to motor vehicle traffic control (other than
a parking violation). (Serious traffic violations exclude vehicle weight
and defect violations.)
State means a State of the United States and the District of
Columbia.
State of domicile means that State where a person has his/her true,
fixed, and permanent home and principal residence and to which he/she
has the intention of returning whenever he/she is absent.
Tank vehicle means any commercial motor vehicle that is designed to
transport any liquid or gaseous materials within a tank that is either
permanently or temporarily attached to the vehicle or the chassis. Such
vehicles include, but are not limited to, cargo tanks and portable
tanks, as defined in part 171 of this title. However, this definition
does not include portable tanks having a rated capacity under 1,000
gallons.
United States the term United States means the 50 States and the
District of Columbia.
Vehicle means a motor vehicle unless otherwise specified.
Vehicle group means a class or type of vehicle with certain
operating characteristics.

[52 FR 20587, June 1, 1987, as amended at 53 FR 27648, July 21, 1988; 53
FR 39050, Oct. 4, 1988; 54 FR 40787, Oct. 3, 1989; 59 FR 26028, May 18,
1994; 61 FR 9566, Mar. 8, 1996; 61 FR 14679, Apr. 3, 1996]

Sec. 383.7 Waiver provisions.

(a) Any person subject to a requirement of this part may petition
the Administrator for a waiver of compliance by a class of persons or a
class of commercial motor vehicles with such requirement.
(b) Each petition for a waiver under this section shall be made in
writing, preferably in triplicate, and shall:
(1) Include the name and complete address of petitioner;

[[Page 557]]

(2) Identify the requirement the petitioner wants waived and any
information in support of the request;
(3) Identify the class of persons or class of commercial motor
vehicle for which the waiver is sought.
(4) Identify the type of operation addressed in the petition.
(5) Indicate what benefit would be derived from the issuance of a
waiver.
(6) Indicate why the petition, if granted, would not diminish the
safe operation of commercial motor vehicles.
(7) Include any other pertinent material the Administrator may
require.
(c) If the Administrator determines that the petition is without
merit, the Administrator may deny the petition. Notice of the denial,
with the reasons therefor, will be provided to the petitioner in
writing.
(d) If the Administrator determines that the petition may have
merit, notice of the petition will be published in the Federal Register,
and interested persons will be afforded an opportunity to comment
thereon. After such notice and opportunity for comment, the
Administrator may grant or deny the petition. Notice of the disposition
of the petition, with the reasons therefor, will be published in the
Federal Register.

Subpart B--Single License Requirement

Sec. 383.21 Number of drivers' licenses.

(a) No person who operates a commercial motor vehicle shall at any
time have more than one driver's license.
(b) Exception:
(1) During the 10-day period beginning on the date such person is
issued a driver's license, a person may hold more than one driver's
license.
(2) A person may have more than one driver's license if a State law
enacted before June 1, 1986, required the person to have more than one
driver's license. After December 31, 1989, this exception shall not
apply.

Sec. 383.23 Commercial driver's license.

(a) General rule. (1) Effective April 1, 1992, no person shall
operate a commercial motor vehicle unless such person has taken and
passed written and driving tests which meet the Federal standards
contained in subparts F, G, and H of this part for the commercial motor
vehicle that person operates or expects to operate.
(2) Effective April 1, 1992, except as provided in paragraph (b) of
this section, no person shall operate a commercial motor vehicle unless
such person possesses a CDL which meets the standards contained in
subpart J of this part, issued by his/her State or jurisdiction of
domicile.
(b) Exception. If a commercial motor vehicle operator is domiciled
in a foreign jurisdiction which, as determined by the Administrator,
does not test drivers and issue a CDL in accordance with, or similar to,
the standards contained in subparts F, G, and H of this part, the person
shall obtain a Nonresident CDL from a State which does comply with the
testing and licensing standards contained in such subparts F, G, and H.
\1\
---------------------------------------------------------------------------

\1\ Effective December 29, 1988, the Administrator determined that
commercial drivers' licensees issued by Canadian Provinces and
Territories in conformity with the Canadian National Safety Code are in
accordance with the standards of this part. Effective November 21, 1991,
the Administrator determined that the new Licencias Federales de
Conductor issued by the United Mexican States are in accordance with the
standards of this part. Therefore, under the single license provision of
Sec. 383.21, a driver holding a commercial driver's license issued under
the Canadian National Safety Code or a new Licencia Federal de Conductor
issued by Mexico is prohibited from obtaining nonresident CDL, or any
other type of driver's license, from a State or other jurisdiction in
the United States.
---------------------------------------------------------------------------

(c) Learner's permit. State learner's permits, issued for limited
time periods according to State requirements, shall be considered valid
commercial drivers' licenses for purposes of behind-the-wheel training
on public roads or highways, if the following minimum conditions are
met:
(1) The learner's permit holder is at all time accompanied by the
holder of a valid CDL; and
(2) He/she either holds a valid automobile driver's license, or has
passed such vision, sign/symbol, and knowledge tests as the State
issuing the learner's permit ordinarily administers

[[Page 558]]

to applicants for automobile drivers' licenses.

[53 FR 27649, July 21, 1988, as amended at 54 FR 22285, May 23, 1989; 57
FR 31457, July 16, 1992]

Subpart C--Notification Requirements and Employer Responsibilities

Sec. 383.31 Notification of convictions for driver violations.

(a) Each person who operates a commercial motor vehicle, who has a
commercial driver's license issued by a State or jurisdiction, and who
is convicted of violating, in any type of motor vehicle, a State or
local law relating to motor vehicle traffic control (other than a
parking violation) in a State or jurisdiction other than the one which
issued his/her license, shall notify an official designated by the State
or jurisdiction which issued such license, of such conviction. The
notification must be made within 30 days after the date that the person
has been convicted.
(b) Each person who operates a commercial motor vehicle, who has a
commercial driver's license issued by a State or jurisdiction, and who
is convicted of violating, in any type of motor vehicle, a State or
local law relating to motor vehicle traffic control (other than a
parking violation), shall notify his/her current employer of such
conviction. The notification must be made within 30 days after the date
that the person has been convicted. If the driver is not currently
employed, he/she must notify the State or jurisdiction which issued the
license according to Sec. 383.31(a).
(c) Notification. The notification to the State official and
employer must be made in writing and contain the following information:
(1) Driver's full name;
(2) Driver's license number;
(3) Date of conviction;
(4) The specific criminal or other offense(s), serious traffic
violation(s), and other violation(s) of State or local law relating to
motor vehicle traffic control, for which the person was convicted and
any suspension, revocation, or cancellation of certain driving
privileges which resulted from such conviction(s);
(5) Indication whether the violation was in a commercial motor
vehicle;
(6) Location of offense; and
(7) Driver's signature.

[52 FR 20587, June 1, 1987, as amended at 54 FR 40787, Oct. 3, 1989]

Sec. 383.33 Notification of driver's license suspensions.

Each employee who has a driver's license suspended, revoked, or
canceled by a State or jurisdiction, who loses the right to operate a
commercial motor vehicle in a State or jurisdiction for any period, or
who is disqualified from operating a commercial motor vehicle for any
period, shall notify his/her current employer of such suspension,
revocation, cancellation, lost privilege, or disqualification. The
notification must be made before the end of the business day following
the day the employee received notice of the suspension, revocation,
cancellation, lost privilege, or disqualification.

[54 FR 40788, Oct. 3, 1989]

Sec. 383.35 Notification of previous employment.

(a) Any person applying for employment as an operator of a
commercial motor vehicle shall provide at the time of application for
employment, the information specified in paragraph (c) of this section.
(b) All employers shall request the information specified in
paragraph (c) of this section from all persons applying for employment
as a commercial motor vehicle operator. The request shall be made at the
time of application for employment.
(c) The following employment history information for the 10 years
preceding the date the application is submitted shall be presented to
the prospective employer by the applicant:
(1) A list of the names and addresses of the applicant's previous
employers for which the applicant was an operator of a commercial motor
vehicle;
(2) The dates the applicant was employed by these employers; and
(3) The reason for leaving such employment.

[[Page 559]]

(d) The applicant shall certify that all information furnished is
true and complete.
(e) An employer may require an applicant to provide additional
information.
(f) Before an application is submitted, the employer shall inform
the applicant that the information he/she provides in accordance with
paragraph (c) of this section may be used, and the applicant's previous
employers may be contacted for the purpose of investigating the
applicant's work history.

Sec. 383.37 Employer responsibilities.

No employer shall knowingly allow, require, permit, or authorize an
employee to operate a commercial motor vehicle in the United States
during any period--
(a) In which the employee has a commercial motor vehicle driver's
license suspended, revoked, or canceled by a State, has lost the right
to operate a commercial motor vehicle in a State, or has been
disqualified from operating a commercial motor vehicle;
(b) In which the employee has more than one commercial motor vehicle
driver's license, except during the 10-day period beginning on the date
such employee is issued a driver's license and except, whenever a State
law enacted on or before June 1, 1986, requires such employee to have
more than one driver's license. The second exception shall not be
effective after December 31, 1989; or
(c) In which the employee, or the motor vehicle he/she is driving,
or the motor carrier operation, is subject to an out-of-service order.

[52 FR 20587, June 1, 1987; 52 FR 32926, Sept. 1, 1987, as amended at 59
FR 26028, May 18, 1994]

Subpart D--Driver Disqualifications and Penalties

Sec. 383.51 Disqualification of drivers.

(a) General. A driver who is disqualified shall not drive a
commercial motor vehicle. An employer shall not knowingly allow,
require, permit, or authorize a driver who is disqualified to drive a
commercial motor vehicle.
(b) Disqualification for driving while under the influence, leaving
the scene of an accident, or commission of a felony.
(1) General rule. A driver who is convicted of a disqualifying
offense specified in paragraph (b)(2) of this section, is disqualified
for the period of time specified in paragraph (b)(3) of this section, if
the offense was committed while operating a commercial motor vehicle.
(2) Disqualifying offenses. The following offenses are disqualifying
offenses:
(i) Driving a commercial motor vehicle while under the influence of
alcohol. This shall include:
(A) Driving a commercial motor vehicle while the person's alcohol
concentration is 0.04 percent or more; or
(B) Driving under the influence of alcohol, as prescribed by State
law; or
(C) Refusal to undergo such testing as is required by any State or
jurisdiction in the enforcement of Sec. 383.51(b)(2)(i)(A) or (B), or
Sec. 392.5(a)(2).
(ii) Driving a commercial motor vehicle while under the influence of
a controlled substance as defined under Section 102(6) of the Controlled
Substances Act (21 U.S.C. 802(6)), including all substances listed in
Schedules I through V of 21 CFR part 1308, as they may be amended from
time to time. Schedule I substances are identified in appendix D of this
subchapter and Schedules II through V are identified in appendix E of
this subchapter.
(iii) Leaving the scene of an accident involving a commercial motor
vehicle;
(iv) A felony involving the use of a commercial motor vehicle, other
than a felony described in paragraph (b)(2)(v) of this section; or
(v) The use of a commercial motor vehicle in the commission of a
felony involving manufacturing, distributing, or dispensing a controlled
substance when defined as any substance under Section 102(6) of the
Controlled Substances Act (21 U.S.C. 802(6)) including all substances
listed in Schedules I through V of 21 CFR part 1308, as they may be
amended from time to time. Schedule I substances are identified in
appendix D of this subchapter and Schedules II through V are identified
in appendix E of this subchapter.

[[Page 560]]

(3) Duration of disqualification for driving while under the
influence, leaving the scene of an accident, or commission of a felony--
(i) First offenders. A driver who is convicted of an offense described
in paragraphs (b)(2)(i) through (b)(2)(iv) of this section, is
disqualified for a period of one year provided the vehicle was not
transporting hazardous materials required to be placarded under the
Hazardous Materials Transportation Act (49 U.S.C. App. 1801-1813).
(ii) First offenders transporting hazardous materials. A driver who
is convicted of an offense described in paragraphs (b)(2)(i) through
(b)(2)(iv) of this section, is disqualified for a period of three years
if the vehicle was transporting hazardous materials required to be
placarded under the Hazardous Materials Transportation Act (49 U.S.C.
App. 1801-1813).
(iii) First offenders of controlled substance felonies. A driver who
is convicted of an offense described in paragraph (b)(2)(v) of this
section, is disqualified for life.
(iv) Subsequent offenders. A driver who is convicted of an offense
described in paragraphs (b)(2)(i) through (b)(2)(iv) of this section, is
disqualified for life if the driver had been convicted once before in a
separate incident of any offense described in paragraphs (b)(2)(i)
through (b)(2)(iv) of this section.
(v) Any driver disqualified for life under Sec. 383.51(b)(3)(iv) of
this paragraph, who has both voluntarily enrolled in and successfully
completed, an appropriate rehabilitation program which meets the
standards of his/her State's driver licensing agency, may apply to the
licensing agency for reinstatement of his/her commercial driver's
license. Such applicants shall not be eligible for reinstatement from
the State unless and until such time as he/she has first served a
minimum disqualification period of 10 years and has fully met the
licensing State's standards for reinstatement of commercial motor
vehicle driving privileges. Should a reinstated driver be subsequently
convicted of another disqualifying offense, as specified in paragraphs
(b)(2)(i) through (b)(2)(iv) of this section, he/she shall be
permanently disqualified for life, and shall be ineligible to again
apply for a reduction of the lifetime disqualification.
(c) Disqualification for serious traffic violations--(1) General
rule. A driver who is convicted of serious traffic violations is
disqualified for the period of time specified in paragraph (c)(2) of
this section, if the offenses were committed while operating a
commercial motor vehicle.
(2) Duration of disqualification for serious traffic violations--(i)
Second violation. A driver who, during any 3-year period, is convicted
of two serious traffic violations in separate incidents, is disqualified
for a period of 60 days.
(ii) Third violation. A driver who, during any 3-year period, is
convicted of three serious traffic violations in separate incidents, is
disqualified for a period of 120 days.
(d) Disqualification for violation of out-of-service orders--(1)
General rule. A driver who is convicted of violating an out-of-service
order while driving a commercial motor vehicle is disqualified for the
period of time specified in paragraph (d)(2) of this section. In
addition, such driver is subject to special penalties as contained in
Sec. 383.53(b).
(2) Duration of disqualification for violation of out-of-service
orders--(i) First violation. A driver is disqualified for not less than
90 days nor more than one year if the driver is convicted of a first
violation of an out-of-service order.
(ii) Second violation. A driver is disqualified for not less than
one year nor more than five years if, during any 10-year period, the
driver is convicted of two violations of out-of-service orders in
separate incidents.
(iii) Third or subsequent violation. A driver is disqualified for
not less than three years nor more than five years if, during any 10-
year period, the driver is convicted of three or more violations of out-
of-service orders in separate incidents.
(iv) Special rule for hazardous materials and passenger offenses. A
driver is disqualified for a period of not less than 180 days nor more
than two years if the driver is convicted of a first violation of an
out-of-service order while transporting hazardous materials required to
be placarded under the Hazardous Materials Transportation Act (49

[[Page 561]]

U.S.C. app. 1801-1813), or while operating motor vehicles designed to
transport more than 15 passengers, including the driver. A driver is
disqualified for a period of not less than three years nor more than
five years if, during any 10-year period, the driver is convicted of any
subsequent violations of out-of-service orders, in separate incidents,
while transporting hazardous materials required to be placarded under
the Hazardous Materials Transportation Act, or while operating motor
vehicles designed to transport more than 15 passengers, including the
driver.
(e) Substantial compliance by States. (1) Nothing in this rule shall
be construed to require a State to apply its criminal or other sanctions
for driving under the influence to a person found to have operated a
commercial motor vehicle with an alcohol concentration of 0.04 percent,
except licensing sanctions including suspension, revocation, or
cancellation.
(2) A State that enacts and enforces through licensing sanctions the
disqualifications prescribed in Sec. 383.51(b) at the 0.04 alcohol
concentration level and gives full faith and credit to the
disqualification of commercial motor vehicle drivers by other States
shall be deemed in substantial compliance with section 12009(a)(3) of
the Commercial Motor Vehicle Safety Act of 1986.

[52 FR 20587, June 1, 1987, as amended at 53 FR 39050, Oct. 4, 1988; 54
FR 40788, Oct. 3, 1989; 55 FR 6727, Feb. 26, 1990; 57 FR 53295, Nov. 9,
1992; 59 FR 26028, May 18, 1994]

Sec. 383.53 Penalties.

(a) General rule. Any person who violates the rules set forth in
subparts B and C of this part may be subject to civil or criminal
penalties as provided for in 49 U.S.C. 521(b).
(b) Special penalties pertaining to violation of out-of-service
orders--(1) Driver violations. A driver who is convicted of violating an
out-of-service order shall be subject to a civil penalty of not less
than $1,000 nor more than $2,500, in addition to disqualification under
Sec. 383.51(d).
(2) Employer violations. An employer who is convicted of a violation
of Sec. 383.37(c) shall be subject to a civil penalty of not less than
$2,500 nor more than $10,000.

[59 FR 26028, May 18, 1994]

Subpart E--Testing and Licensing Procedures

Source: 53 FR 27649, July 21, 1988, unless otherwise noted.

Sec. 383.71 Driver application procedures.

(a) Initial Commercial Driver's License. Prior to obtaining a CDL, a
person must meet the following requirements:
(1) A person who operates or expects to operate in interstate or
foreign commerce, or is otherwise subject to part 391 of this title,
shall certify that he/she meets the qualification requirements contained
in part 391 of this title. A person who operates or expects to operate
entirely in intrastate commerce and is not subject to part 391, is
subject to State driver qualification requirements and must certify that
he/she is not subject to part 391;
(2) Pass a knowledge test in accordance with the standards contained
in subparts G and H of this part for the type of motor vehicle the
person operates or expects to operate;
(3) Pass a driving or skills test in accordance with the standards
contained in subparts G and H of this part taken in a motor vehicle
which is representative of the type of motor vehicle the person operates
or expects to operate; or provide evidence that he/she has successfully
passed a driving test administered by an authorized third party;
(4) Certify that the motor vehicle in which the person takes the
driving skills test is representative of the type of motor vehicle that
person operates or expects to operate;
(5) Provide to the State of issuance the information required to be
included on the CDL as specified in subpart J of this part;
(6) Certify that he/she is not subject to any disqualification,
suspension, revocation, or cancellation as contained in Sec. 383.51 and
that he/she does not have a driver's license from more than one State or
jurisdiction.
(7) The applicant shall surrender his/her non-CDL driver's licenses
to the State.

[[Page 562]]

(b) License transfer. When applying to transfer a CDL from one State
of domicile to a new State domicile, an applicant shall apply for a CDL
from the new State of domicile within no more than 30 days after
establishing his/her new domicile. The applicant shall:
(1) Provide to the new State of domicile the certifications
contained in Sec. 383.71(a) (1) and (6):
(2) Provide to the new State of domicile updated information as
specified in subpart J of this part;
(3) If the applicant wishes to retain a hazardous materials
endorsement, comply with State requirements as specified in
Sec. 383.73(b)(4); and
(4) Surrender the CDL from the old State of domicile to the new
State of domicile.
(c) License renewal. When applying for a renewal of a CDL, all
applicants shall:
(1) Provide certification contained in Sec. 383.71(a)(1);
(2) Provide update information as specified in subpart J of this
part; and
(3) If a person wishes to retain a hazardous materials endorsement,
pass the test for such endorsement as specified in Sec. 383.121.
(d) License upgrades. When applying to operate a commercial motor
vehicle in a different group or endorsement from the group or
endorsement in which the applicant already has a CDL, all persons shall:
(1) Provide the necessary certifications as specified in
Sec. 383.71(a) (1) and (4); and
(2) Pass all tests specified in Sec. 383.71(a) (2) and (3) for the
new vehicle group and/or different endorsements.
(e) Nonresident CDL. When an applicant is domiciled in a foreign
jurisdiction, as defined in Sec. 383.5, where the commercial motor
vehicle operator testing and licensing standards do not meet the
standards contained in subparts G and H of this part, as determined by
the Administrator, such applicant shall obtain a Nonresident CDL from a
State which meets such standards. Such applicant shall:
(1) Complete the requirements to obtain a CDL contained in
Sec. 383.71(a); and
(2) After receipt of the CDL, and for as long as it is valid, notify
the State which issued the CDL of any adverse action taken by any
jurisdiction or governmental agency, foreign or domestic, against his/
her driving privileges. Such adverse actions would include but not be
limited to license suspension or revocation, or disqualification from
operating a commercial motor vehicle for the convictions described in
Sec. 383.51. Notifications shall be made within the time periods
specified in Sec. 383.33.
(f) If a State uses the alternative method described in
Sec. 383.73(i) to achieve the objectives of the certifications in
Sec. 383.71(a), then the driver applicant shall satisfy such alternative
methods as are applicable to him/her with respect to initial licensing,
license transfer, license renewal, and license upgrades.

Sec. 383.72 Implied consent to alcohol testing.

Any person who holds a CDL shall be deemed to have consented to such
testing as is required of him/her by any State or jurisdiction in the
enforcement of Sec. 383.51(b)(2)(i) and Sec. 392.5(a)(2). Consent is
implied by driving a commercial motor vehicle.

[53 FR 39051, Oct. 4, 1988]

Sec. 383.73 State procedures.

(a) Initial licensure. Prior to issuing a CDL to a person, a State
shall:
(1) Require the driver applicant to certify, pass tests, and provide
information as described in Secs. 383.71(a) (1) through (6);
(2) Check that the vehicle in which the applicant takes his/her test
is representative of the vehicle group the applicant has certified that
he/she operates or expects to operate;
(3) Initiate and complete a check of the applicant's driving record
to ensure that the person is not subject to any disqualification,
suspensions, revocations, or cancellations as contained in Sec. 383.51
and that the person does not have a driver's license from more than one
State. The record check shall include but not be limited to the
following:
(i) A check of the applicant's driving record as maintained by his/
her current State of licensure, if any;

[[Page 563]]

(ii) A check with the CDLIS to determine whether the driver
applicant already has a CDL, whether the applicant's license has been
suspended, revoked, or canceled, or if the applicant has been
disqualified from operating a commercial motor vehicle; and
(iii) A check with the National Driver Register (NDR), when it is
determined to be operational by the National Highway Traffic Safety
Administrator, to determine whether the driver applicant has:
(A) Been disqualified from operating a motor vehicle (other than a
commercial motor vehicle);
(B) Had a license (other than CDL) suspended, revoked, or canceled
for cause in the 3-year period ending on the date of application; or
(C) Been convicted of any offenses contained in section 205(a)(3) of
the National Drivers Register Act of 1982 (23 U.S.C. 401 note); and
(4) Require the driver applicant, if he/she has moved from another
State, to surrender his/her driver's license issued by another State.
(b) License transfers. Prior to issuing a CDL to a person who has a
CDL from another State, a State shall:
(1) Require the driver applicant to make the certifications
contained in Sec. 383.71(a);
(2) Complete a check of the driver applicant's record as contained
in Sec. 383.73(a)(3);
(3) Request and receive updates of information specified in subpart
J of this part;
(4) If such applicant wishes to retain a hazardous materials
endorsement, ensure that the driver has, within the 2 years preceding
the transfer, either:
(i) Passed the test for such endorsement specified in Sec. 383.121;
or
(ii) Successfully completed a hazardous materials test or training
that is given by a third party and that is deemed by the State to
substantially cover the same knowledge base as that described in
Sec. 383.121; and
(5) Obtain the CDL issued by the applicant's previous State of
domicile.
(c) License Renewals. Prior to renewing any CDL a State shall:
(1) Require the driver applicant to make the certifications
contained in Sec. 383.71(a);
(2) Complete a check of the driver applicant's record as contained
in Sec. 383.73(a)(3);
(3) Request and receive updates of information specified in subpart
J of this part; and
(4) If such applicant wishes to retain a hazardous materials
endorsement, require the driver to pass the test for such endorsement
specified in Sec. 383.121.
(d) License upgrades. Prior to issuing an upgrade of a CDL, a State
shall:
(1) Require such driver applicant to provide certifications and pass
tests as described in Sec. 383.71(d); and
(2) Complete a check of the driver applicant's record as described
in Sec. 383.73(a)(3).
(e) Nonresident CDL. A State may issue a Nonresident CDL to a person
domiciled in a foreign country if the Administrator has determined that
the commercial motor vehicle testing and licensing standards in the
foreign jurisdiction of domicile do not meet the standards contained in
this part. State procedures for the issuance of a nonresident CDL, for
any modifications thereto, and for notifications to the CDLIS shall at a
minimum be identical to those pertaining to any other CDL, with the
following exceptions:
(1) If the applicant is requesting a transfer of his/her Nonresident
CDL, the State shall obtain the Nonresident CDL currently held by the
applicant and issued by another State;
(2) The State shall add the word ``Nonresident'' to the face of the
CDL, in accordance with Sec. 383.153(b); and
(3) The State shall have established, prior to issuing any
Nonresident CDL, the practical capability of disqualifying the holder of
any Nonresident CDL, by withdrawing, suspending, canceling, and revoking
his/her Nonresident CDL as if the Nonresident CDL were a CDL issued to a
resident of the State.
(f) License issuance. After the State has completed the procedures
described in Sec. 383.73 (a), (b), (c), (d) or (e), it may issue a CDL
to the driver applicant. The State shall notify the operator of the
CDLIS of such issuance, transfer, renewal, or upgrade within the 10-day
period beginning on the date of license issuance.

[[Page 564]]

(g) Penalties for false information. If a State determines, in its
check of an applicant's license status and record prior to issuing a
CDL, or at any time after the CDL is issued, that the applicant has
falsified information contained in subpart J of this part or any of the
certifications required in Sec. 383.71(a), the State shall at a minimum
suspend, cancel, or revoke the person's CDL or his/her pending
application, or disqualify the person from operating a commercial motor
vehicle for a period of at least 60 consecutive days.
(h) Reciprocity. A State shall allow any person who has a valid CDL
which is not suspended, revoked, or canceled, and who is not
disqualified from operating a commercial motor vehicle, to operate a
commercial motor vehicle in the State.
(i) Alternative procedures. A State may implement alternative
procedures to the certification requirements of Sec. 383.71(a) (1), (4),
and (6), provided those procedures ensure that the driver meets the
requirements of those paragraphs.

[53 FR 27649, July 21, 1988, as amended at 54 FR 40788, Oct. 3, 1989]

Sec. 383.75 Third party testing.

(a) Third party tests. A State may authorize a person (including
another State, an employer, a private driver training facility or other
private institution, or a department, agency or instrumentality of a
local government) to administer the skills tests as specified in
subparts G and H of this part, if the following conditions are met:
(1) The tests given by the third party are the same as those which
would otherwise be given by the State; and
(2) The third party as an agreement with the State containing, at a
minimum, provisions that:
(i) Allow the FHWA, or its representative, and the State to conduct
random examinations, inspections and audits without prior notice;
(ii) Require the State to conduct on-site inspections at least
annually;
(iii) Require that all third party examiners meet the same
qualification and training standards as State examiners, to the extent
necessary to conduct skills tests in compliance with subparts G and H;
(iv) Require that, at least on an annual basis, State employees take
the tests actually administered by the third party as if the State
employee were a test applicant, or that States test a sample of drivers
who were examined by the third party to compare pass/fail results; and
(v) Reserve unto the State the right to take prompt and appropriate
remedial action against the third-party testers in the event that the
third-party fails to comply with State or Federal standards for the CDL
testing program, or with any other terms of the third-party contract.
(b) Proof of testing by a third party. A driver applicant who takes
and passes driving tests administered by an authorized third party shall
provide evidence to the State licensing agency that he/she has
successfully passed the driving tests administered by the third party.

Sec. 383.77 Substitute for driving skills tests.

At the discretion of a State, the driving skill test as specified in
Sec. 383.113 may be waived for a CMV operator who is currently licensed
at the time of his/her application for a CDL, and substituted with
either an applicant's driving record and previous passage of an
acceptable skills test, or an applicant's driving record in combination
with certain driving experience. The State shall impose conditions and
limitations to restrict the applicants from whom a State may accept
alternative requirements for the skills test described in Sec. 383.113.
Such conditions must require at least the following:
(a) An applicant must certify that, during the two-year period
immediately prior to applying for a CDL, he/she:
(1) Has not had more than one license (except in the instances
specified in Sec. 383.21(b));
(2) Has not had any license suspended, revoked, or canceled;
(3) Has not had any convictions for any type of motor vehicle for
the disqualifying offenses contained in Sec. 383.51(b)(2);

[[Page 565]]

(4) Has not had more than one conviction for any type of motor
vehicle for serious traffic violations; and
(5) Has not had any conviction for a violation of State or local law
relating to motor vehicle traffic control (other than a parking
violation) arising in connection with any traffic accident, and has no
record of an accident in which he/she was at fault; and
(b) An applicant must provide evidence and certify that:
(1) He/she is regularly employed in a job requiring operation of a
CMV, and that either:
(2) He/she has previously taken and passed a skills test given by a
State with a classified licensing and testing system, and that the test
was behind-the-wheel in a representative vehicle for that applicant's
driver's license classification; or
(3) He/she has operated, for at least 2 years immediately preceding
application for a CDL, a vehicle representative of the commercial motor
vehicle the driver applicant operates or expects to operate.

[53 FR 27649, July 21, 1988, as amended at 55 FR 25606, June 22, 1990]

Subpart F--Vehicle Groups and Endorsements

Source: 53 FR 27651, July 21, 1988, unless otherwise noted.

Sec. 383.91 Commercial motor vehicle groups.

(a) Vehicle group descriptions. Each driver applicant must possess
and be tested on his/her knowledge and skills, described in subpart G of
this part, for the commercial motor vehicle group(s) for which he/she
desires a CDL. The commercial motor vehicle groups are as follows:
(1) Combination vehicle (Group A)--Any combination of vehicles with
a gross combination weight rating (GCWR) of 11,794 kilograms or more
(26,001 pounds or more) provided the GVWR of the vehicle(s) being towed
is in excess of 4,536 kilograms (10,000 pounds).
(2) Heavy Straight Vehicle (Group B)--Any single vehicle with a GVWR
of 11,794 kilograms or more (26,001 pounds or more), or any such vehicle
towing a vehicle not in excess of 4,536 kilograms (10,000 pounds) GVWR.
(3) Small Vehicle (Group C)--Any single vehicle, or combination of
vehicles, that meets neither the definition of Group A nor that of Group
B as contained in this section, but that either is designed to transport
16 or more passengers including the driver, or is used in the
transportation of materials found to be hazardous for the purposes of
the Hazardous Materials Transportation Act and which require the motor
vehicle to be placarded under the Hazardous Materials Regulations (49
CFR part 172, subpart F).
(b) Representative vehicle. For purposes of taking the driving test
in accordance with Sec. 383.113, a representative vehicle for a given
vehicle group contained in Sec. 383.91(a), is any commercial motor
vehicle which meets the definition of that vehicle group.
(c) Relation between vehicle groups. Each driver applicant who
desires to operate in a different commercial motor vehicle group from
the one which his/her CDL authorizes shall be required to retake and
pass all related tests, except the following:
(1) A driver who has passed the knowledge and skills tests for a
combination vehicle (Group A) may operate a heavy straight vehicle
(Group B) or a small vehicle (Group C), provided that he/she possesses
the requisite endorsement(s); and
(2) A driver who has passed the knowledge and skills tests for a
heavy straight vehicle (Group B) may operate any small vehicle (Group
C), provided that he/she possesses the requisite endorsement(s).
(d) Vehicle group illustration. Figure 1 illustrates typical
vehicles within each of the vehicle groups defined in this section.

[[Page 566]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.039

[53 FR 27651, July 21, 1988, as amended at 54 FR 47989, Nov. 20, 1989;
61 FR 9566, Mar. 8, 1996]

[[Page 567]]

Sec. 383.93 Endorsements.

(a) General. In addition to taking and passing the knowledge and
skills tests described in subpart G of this part, all persons who
operate or expect to operate the type(s) of motor vehicles described in
paragraph (b) of this section shall take and pass specialized tests to
obtain each endorsement. The State shall issue CDL endorsements only to
drivers who successfully complete the tests.
(b) Endorsement descriptions. An operator must obtain State-issued
endorsements to his/her CDL to operate commercial motor vehicles which
are:
(1) Double/triple trailers;
(2) Passenger vehicles;
(3) Tank vehicles; or
(4) Required to be placarded for hazardous materials.
(c) Endorsement testing requirements. The following tests are
required for the endorsements contained in paragraph (b) of this
section:
(1) Double/Triple Trailers--a knowledge test;
(2) Passenger--a knowledge and a skills test;
(3) Tank vehicle--a knowledge test; and
(4) Hazardous Materials--a knowledge test.

Sec. 383.95 Air brake restrictions.

(a) If an applicant either fails the air brake component of the
knowledge test, or performs the skills test in a vehicle not equipped
with air brakes, the State shall indicate on the CDL, if issued, that
the person is restricted from operating a CMV equipped with air brakes.
(b) For the purposes of the skills test and the restriction, air
brakes shall include any braking system operating fully or partially on
the air brake principle.

Subpart G--Required Knowledge and Skills

Source: 53 FR 27654, July 21, 1988, unless otherwise noted.

Sec. 383.110 General requirement.

All drivers of commercial motor vehicles shall have knowledge and
skills necessary to operate a commercial motor vehicle safely as
contained in this subpart. A sample of the specific types of items which
a State may wish to include in the knowledge and skills tests that it
administers to CDL applicants is included in the appendix to this
subpart G.

Sec. 383.111 Required knowledge.

All commercial motor vehicle operators must have knowledge of the
following general areas:
(a) Safe operations regulations. Driver-related elements of the
regulations contained in 49 CFR parts 391, 392, 393, 395, 396, and 397,
such as: Motor vehicle inspection, repair, and maintenance requirements;
procedures for safe vehicle operations; the effects of fatigue, poor
vision, hearing, and general health upon safe commercial motor vehicle
operation; the types of motor vehicles and cargoes subject to the
requirements; and the effects of alcohol and drug use upon safe
commercial motor vehicle operations.
(b) Commercial motor vehicle safety control systems. Proper use of
the motor vehicle's safety system, including lights, horns, side and
rear-view mirrors, proper mirror adjustments, fire extinguishers,
symptoms of improper operation revealed through instruments, motor
vehicle operation characteristics, and diagnosing malfunctions.
Commercial motor vehicle drivers shall have knowledge on the correct
procedures needed to use these safety systems in an emergency situation,
e.g., skids and loss of brakes.
(c) Safe vehicle control--(1) Control systems The purpose and
function of the controls and instruments commonly found on commercial
motor vehicles.
(2) Basic control. The proper procedures for performing various
basic maneuvers.
(3) Shifting. The basic shifting rules and terms, as well as shift
patterns and procedures for common transmissions.
(4) Backing. The procedures and rules for various backing maneuvers.
(5) Visual search. The importance of proper visual search, and
proper visual search methods.
(6) Communication. The principles and procedures for proper
communications and the hazards of failure to signal properly.

[[Page 568]]

(7) Speed management. The importance of understanding the effects of
speed.
(8) Space management. The procedures and techniques for controlling
the space around the vehicle.
(9) Night operation. Preparations and procedures for night driving.
(10) Extreme driving conditions. The basic information on operating
in extreme driving conditions and the hazards that are encountered in
extreme conditions.
(11) Hazard perceptions. The basic information on hazard perception
and clues for recognition of hazards.
(12) Emergency maneuvers. The basic information concerning when and
how to make emergency maneuvers.
(13) Skid control and recovery. The information on the causes and
major types of skids, as well as the procedures for recovering from
skids.
(d) Relationship of cargo to vehicle control. The principles and
procedures for the proper handling of cargo.
(e) Vehicle inspections: The objectives and proper procedures for
performing vehicle safety inspections, as follows:
(1) The importance of periodic inspection and repair to vehicle
safety.
(2) The effect of undiscovered malfunctions upon safety.
(3) What safety-related parts to look for when inspecting vehicles.
(4) Pre-trip/enroute/post-trip inspection procedures.
(5) Reporting findings.
(f) Hazardous materials knowledge, such as: What constitutes
hazardous material requiring an endorsement to transport; classes of
hazardous materials; labeling/placarding requirements; and the need for
specialized training as a prerequisite to receiving the endorsement and
transporting hazardous cargoes.
(g) Air brake knowledge as follows:
(1) Air brake system nomenclature;
(2) The dangers of contaminated air supply;
(3) Implications of severed or disconnected air lines between the
power unit and the trailer(s);
(4) Implications of low air pressure readings;
(5) Procedures to conduct safe and accurate pre-trip inspections.
(6) Procedures for conducting enroute and post-trip inspections of
air actuated brake systems, including ability to detect defects which
may cause the system to fail.
(h) Operators for the combination vehicle group shall also have
knowledge of:
(1) Coupling and uncoupling--The procedures for proper coupling and
uncoupling a tractor to semi-trailer.
(2) Vehicle inspection--The objectives and proper procedures that
are unique for performing vehicle safety inspections on combination
vehicles.

Sec. 383.113 Required skills.

(a) Basic vehicle control skills. All applicants for a CDL must
possess and demonstrate basic motor vehicle control skills for each
vehicle group which the driver operates or expects to operate. These
skills should include the ability to start, to stop, and to move the
vehicle forward and backward in a safe manner.
(b) Safe driving skills. All applicants for a CDL must possess and
demonstrate the safe driving skills for their vehicle group. These
skills should include proper visual search methods, appropriate use of
signals, speed control for weather and traffic conditions, and ability
to position the motor vehicle correctly when changing lanes or turning.
(c) Air brake skills. Except as provided in Sec. 393.95, all
applicants shall demonstrate the following skills with respect to
inspection and operation of air brakes:
(1) Pre-trip inspection skills. Applicants shall demonstrate the
skills necessary to conduct a pre-trip inspection which includes the
ability to:
(i) Locate and verbally identify air brake operating controls and
monitoring devices;
(ii) Determine the motor vehicle's brake system condition for proper
adjustments and that air system connections between motor vehicles have
been properly made and secured;
(iii) Inspect the low pressure warning device(s) to ensure that they
will activate in emergency situations;
(iv) Ascertain, with the engine running, that the system maintains
an adequate supply of compressed air;

[[Page 569]]

(v) Determine that required minimum air pressure build up time is
within acceptable limits and that required alarms and emergency devices
automatically deactivate at the proper pressure level; and
(vi) Operationally check the brake system for proper performance.
(2) Driving skills. Applicants shall successfully complete the
skills tests contained in Sec. 383.113 in a representative vehicle
equipped with air brakes.
(d) Test area. Skills tests shall be conducted in on-street
conditions or under a combination of on-street and off-street
conditions.
(e) Simulation technology. A State may utilize simulators to perform
skills testing, but under no circumstances as a substitute for the
required testing in on-street conditions.

Sec. 383.115 Requirements for double/triple trailers endorsement.

In order to obtain a Double/Triple Trailers endorsement each
applicant must have knowledge covering:
(a) Procedures for assembly and hookup of the units;
(b) Proper placement of heaviest trailer;
(c) Handling and stability characteristics including off-tracking,
response to steering, sensory feedback, braking, oscillatory sway,
rollover in steady turns, yaw stability in steady turns; and
(d) Potential problems in traffic operations, including problems the
motor vehicle creates for other motorists due to slower speeds on steep
grades, longer passing times, possibility for blocking entry of other
motor vehicles on freeways, splash and spray impacts, aerodynamic
buffeting, view blockages, and lateral placement.

Sec. 383.117 Requirements for passenger endorsement.

An applicant for the passenger endorsement must satisfy both of the
following additional knowledge and skills test requirements.
(a) Knowledge test. All applicants for the passenger endorsement
must have knowledge covering at least the following topics:
(1) Proper procedures for loading/unloading passengers;
(2) Proper use of emergency exits, including push-out windows;
(3) Proper responses to such emergency situations as fires and
unruly passengers;
(4) Proper procedures at railroad crossings and drawbridges; and
(5) Proper braking procedures.
(b) Skills test. To obtain a passenger endorsement applicable to a
specific vehicle group, an applicant must take his/her skills test in a
passenger vehicle satisfying the requirements of that group as defined
in Sec. 383.91.

Sec. 383.119 Requirements for tank vehicle endorsement.

In order to obtain a Tank Vehicle Endorsement, each applicant must
have knowledge covering the following:
(a) Causes, prevention, and effects of cargo surge on motor vehicle
handling;
(b) Proper braking procedures for the motor vehicle when it is
empty, full and partially full;
(c) Differences in handling of baffled/compartmental tank interiors
versus non-baffled motor vehicles;
(d) Differences in tank vehicle type and construction;
(e) Differences in cargo surge for liquids of varying product
densities;
(f) Effects of road grade and curvature on motor vehicle handling
with filled, half-filled and empty tanks;
(g) Proper use of emergency systems; and
(h) For drivers of DOT specification tank vehicles, retest and
marking requirements.

Sec. 383.121 Requirements for hazardous materials endorsement.

In order to obtain a Hazardous Material Endorsement each applicant
must have such knowledge as is required of a driver of a hazardous
materials laden vehicle, from information contained in 49 CFR parts 171,
172, 173, 177, 178, and 397 on the following:
(a) Hazardous materials regulations including:
(1) Hazardous materials table;
(2) Shipping paper requirements;
(3) Marking;
(4) Labeling;
(5) Placarding requirements;
(6) Hazardous materials packaging;

[[Page 570]]

(7) Hazardous materials definitions and preparation;
(8) Other regulated material (e.g., ORM-D);
(9) Reporting hazardous materials accidents; and
(10) Tunnels and railroad crossings.
(b) Hazardous materials handling including:
(1) Forbidden Materials and Packages;
(2) Loading and Unloading Materials;
(3) Cargo Segregation;
(4) Passenger Carrying Buses and Hazardous Materials;
(5) Attendance of Motor Vehicles;
(6) Parking;
(7) Routes;
(8) Cargo Tanks; and
(9) ``Safe Havens.''
(c) Operation of emergency equipment including:
(1) Use of equipment to protect the public;
(2) Special precautions for equipment to be used in fires;
(3) Special precautions for use of emergency equipment when loading
or unloading a hazardous materials laden motor vehicle; and
(4) Use of emergency equipment for tank vehicles.
(d) Emergency response procedures including:
(1) Special care and precautions for different types of accidents;
(2) Special precautions for driving near a fire and carrying
hazardous materials, and smoking and carrying hazardous materials;
(3) Emergency procedures; and
(4) Existence of special requirements for transporting Class A and B
explosives.

Appendix to Subpart G--Required Knowledge and Skills--Sample Guidelines

The following is a sample of the specific types of items which a
State may wish to include in the knowledge and skills tests that it
administers to CDL applicants. This appendix closely follows the
framework of Secs. 383.111 and 383.113. It is intended to provide more
specific guidance and suggestion to States. Additional detail in this
appendix is not binding and States may depart from it at their
discretion provided their CDL program tests for the general areas of
knowledge and skill specified in Secs. 383.111 and 383.113.

Examples of specific knowledge elements

(a) Safe operations regulations. Driver-related elements of the
following regulations:
(1) Motor vehicle inspection, repair, and maintenance requirements
as contained in parts 393 and 396 of this title;
(2) Procedures for safe vehicle operations as contained in part 392
of this title;
(3) The effects of fatigue, poor vision, hearing, and general health
upon safe commercial motor vehicle operation as contained in parts 391,
392, and 395 of this title;
(4) The types of motor vehicles and cargoes subject to the
requirements contained in part 397 of this title; and
(5) The effects of alcohol and drug use upon safe commercial motor
vehicle operations as contained in parts 391 and 395 of this title.
(b) Commercial motor vehicle safety control systems. Proper use of
the motor vehicle's safety system, including lights, horns, side and
rear-view mirrors, proper mirror adjustments, fire extinguishers,
symptoms of improper operation revealed through instruments, motor
vehicle operation characteristics, and diagnosing malfunctions.
Commercial motor vehicle drivers shall have knowledge on the correct
procedures needed to use these safety systems in an emergency situation,
e.g., skids and loss of brakes.
(c) Safe vehicle control--(1) Control systems. The purpose and
function of the controls and instruments commonly found on commercial
motor vehicles.
(2) Basic control. The proper procedures for performing various
basic maneuvers, including:
(i) Starting, warming up, and shutting down the engine;
(ii) Putting the vehicle in motion and stopping;
(iii) Backing in a straight line; and
(iv) Turning the vehicle, e.g., basic rules, off-tracking, right/
left turns and right curves.
(3) Shifting. The basic shifting rules and terms, as well as shift
patterns and procedures for common transmissions, including:
(i) Key elements of shifting, e.g., controls, when to shift and
double clutching;
(ii) Shift patterns and procedures; and
(iii) Consequences of improper shifting.
(4) Backing. The procedures and rules for various backing maneuvers,
including:
(i) Backing principles and rules; and
(ii) Basic backing maneuvers, e.g., straight-line backing, and
backing on a curved path.
(5) Visual search. The importance of proper visual search, and
proper visual search methods, including:
(i) Seeing ahead and to the sides;
(ii) Use of mirrors; and
(iii) Seeing to the rear.
(6) Communication. The principles and procedures for proper
communications and the

[[Page 571]]

hazards of failure to signal properly, including:
(i) Signaling intent, e.g., signaling when changing speed or
direction in traffic;
(ii) Communicating presence, e.g., using horn or lights to signal
presence; and
(iii) Misuse of communications.
(7) Speed management. The importance of understanding the effects of
speed, including:
(i) Speed and stopping distance;
(ii) Speed and surface conditions;
(iii) Speed and the shape of the road;
(iv) Speed and visibility; and
(v) Speed and traffic flow.
(8) Space management. The procedures and techniques for controlling
the space around the vehicle, including:
(i) The importance of space management;
(ii) Space cushions, e.g., controlling space ahead/to the rear;
(iii) Space to the sides; and
(iv) Space for traffic gaps.
(9) Night operation. Preparations and procedures for night driving,
including:
(i) Night driving factors, e.g., driver factors, (vision, glare,
fatigue, inexperience), roadway factors, (low illumination, variation in
illumination, familiarity with roads, other road users, especially
drivers exhibiting erratic or improper driving), vehicle factors
(headlights, auxiliary lights, turn signals, windshields and mirrors);
and
(ii) Night driving procedures, e.g., preparing to drive at night and
driving at night.
(10) Extreme driving conditions. The basic information on operating
in extreme driving conditions and the hazards that are encountered in
extreme conditions, including:
(i) Adverse weather;
(ii) Hot weather; and
(iii) Mountain driving.
(11) Hazard perceptions. The basic information on hazard perception
and clues for recognition of hazards, including:
(i) Importance of hazards recognition;
(ii) Road characteristics; and
(iii) Road user activities.
(12) Emergency maneuvers. The basic information concerning when and
how to make emergency maneuvers, including:
(i) Evasive steering;
(ii) Emergency stop;
(iii) Off-road recovery;
(iv) Brake failure; and
(v) Blowouts.
(13) Skid control and recovery. The information on the causes and
major types of skids, as well as the procedures for recovering from
skids.
(d) Relationship of cargo to vehicle control. The principles and
procedures for the proper handling of cargo, including:
(1) The importance of proper cargo handling, e.g., consequences of
improperly secured cargo, drivers' responsibilities, Federal/State and
local regulations.
(2) Principles of weight distribution.
(3) Principles and methods of cargo securement.
(e) Vehicle inspections: The objectives and proper procedures for
performing vehicle safety inspections, as follows:
(1) The importance of periodic inspection and repair to vehicle
safety and to prevention of enroute breakdowns.
(2) The effect of undiscovered malfunctions upon safety.
(3) What safety-related parts to look for when inspecting vehicles,
e.g., fluid leaks, interference with visibility, bad tires, wheel and
rim defects, braking system defects, steering system defects, suspension
system defects, exhaust system defects, coupling system defects, and
cargo problems.
(4) Pre-trip/enroute/post-trip inspection procedures.
(5) Reporting findings.
(f) Hazardous materials knowledge, as follows:
(1) What constitutes hazardous material requiring an endorsement to
transport; and
(2) Classes of hazardous materials, labeling/placarding
requirements, and the need for specialized training as a prerequisite to
receiving the endorsement and transporting hazardous cargoes.
(g) Air brake knowledge as follows:
(1) General air brake system nomenclature;
(2) The dangers of contaminated air (dirt, moisture and oil) supply;
(3) Implications of severed or disconnected air lines between the
power unit and the trailer(s);
(4) Implications of low air pressure readings;
(5) Procedures to conduct safe and accurate pre-trip inspections,
including knowledge about:
(i) Automatic fail-safe devices;
(ii) System monitoring devices; and
(iii) Low pressure warning alarms.
(6) Procedures for conducting enroute and post-trip inspections of
air actuated brake systems, including ability to detect defects which
may cause the system to fail, including:
(i) Tests which indicate the amount of air loss from the braking
system within a specified period, with and without the engine running;
and
(ii) Tests which indicate the pressure levels at which the low air
pressure warning devices and the tractor protection valve should
activate.
(h) Operators for the combination vehicle group shall also have
knowledge of:
(1) Coupling and uncoupling. The procedures for proper coupling and
uncoupling a tractor to semi-trailer.
(2) Vehicle inspection--The objectives and proper procedures that
are unique for performing vehicle safety inspections on combination
vehicles.

[[Page 572]]

Examples of Specific Skills Elements

These examples relate to paragraphs (a) and (b) of Sec. 383.113
only.
(a) Basic vehicle control skills. All applicants for a CDL must
possess and demonstrate the following basic motor vehicle control skills
for each vehicle group which the driver operates or expects to operate.
These skills shall include:
(1) Ability to start, warm-up, and shut down the engine;
(2) Ability to put the motor vehicle in motion and accelerate
smoothly, forward and backward;
(3) Ability to bring the motor vehicle to a smooth stop;
(4) Ability to back the motor vehicle in a straight line, and check
path and clearance while backing;
(5) Ability to position the motor vehicle to negotiate and then make
left and right turns;
(6) Ability to shift as required and select appropriate gear for
speed and highway conditions;
(7) Ability to back along a curved path; and
(8) Ability to observe the road and the behavior of other motor
vehicles, particularly before changing speed and direction.
(b) Safe driving skills. All applicants for a CDL must possess and
demonstrate the following safe driving skills for any vehicle group.
These skills shall include:
(1) Ability to use proper visual search methods.
(2) Ability to signal appropriately when changing speed or direction
in traffic.
(3) Ability to adjust speed to the configuration and condition of
the roadway, weather and visibility conditions, traffic conditions, and
motor vehicle, cargo and driver conditions;
(4) Ability to choose a safe gap for changing lanes, passing other
vehicles, as well as for crossing or entering traffic;
(5) Ability to position the motor vehicle correctly before and
during a turn to prevent other vehicles from passing on the wrong side
as well as to prevent problems caused by off-tracking;
(6) Ability to maintain a safe following distance depending on the
condition of the road, on visibility, and on vehicle weight; and
(7) Ability to adjust operation of the motor vehicle to prevailing
weather conditions including speed selection, braking, direction changes
and following distance to maintain control.

Subpart H--Tests

Source: 53 FR 27657, July 21, 1988, unless otherwise noted.

Sec. 383.131 Test procedures.

(a) Driver information manuals. Information on how to obtain a CDL
and endorsements shall be included in manuals and made available by
States to CDL applicants. All information provided to the applicant
shall include the following:
(1) Information on the requirements described in Sec. 383.71, the
implied consent to alcohol testing described in Sec. 383.72, the
procedures and penalties, contained in Sec. 383.51(b) to which a CDL
holder is exposed for refusal to comply with such alcohol testing, State
procedures described in Sec. 383.73, and other appropriate driver
information contained in subpart E of this part;
(2) Information on vehicle groups and endorsements as specified in
subpart F of this part;
(3) The substance of the knowledge and skills which drivers shall
have as outlined in subpart G of this part for the different vehicle
groups and endorsements;
(4) Details of testing procedures, including the purpose of the
tests, how to respond, any time limits for taking the test, and any
other special procedures determined by the State of issuance; and
(5) Directions for taking the tests.
(b) Examiner procedures. A State shall provide to test examiners
details on testing and any other State-imposed requirements in the
examiner's manual, and shall ensure that examiners are qualified to
administer tests on the basis of training and/or other experience.
States shall provide standardized scoring sheets for the skills tests,
as well as standardized driving instructions for the applicants. Such
examiners' manuals shall contain the following:
(1) Information on driver application procedures contained in
Sec. 383.71, State procedures described in Sec. 383.73, and other
appropriate driver information contained in subpart E of this part;
(2) Details on information which must be given to the applicant;
(3) Details on how to conduct the tests;
(4) Scoring procedures and minimum passing scores;
(5) Information for selecting driving test routes;

[[Page 573]]

(6) List of the skills to be tested;
(7) Instructions on where and how the skills will be tested;
(8) How performance of the skills will be scored; and
(9) Causes for automatic failure of skills tests.

[53 FR 27657, July 21, 1988, as amended at 53 FR 39051, Oct. 4, 1988]

Sec. 383.133 Testing methods.

(a) All tests shall be constructed in such a way as to determine if
the applicant possesses the required knowledge and skills contained in
subpart G of this part for the type of motor vehicle or endorsement the
applicant wishes to obtain.
(b) States shall develop their own specifications for the tests for
each vehicle group and endorsement which must be at least as stringent
as the Federal standards.
(c) States shall determine specific methods for scoring the
knowledge and skills tests.
(d) Passing scores must meet those standards contained in
Sec. 383.135.
(e) Knowledge and skills tests shall be based solely on the
information contained in the driver manuals referred to in
Sec. 383.131(a).
(f) Each knowledge test shall be valid and reliable so as to assure
that driver applicants possess the knowledge required under
Sec. 383.111.
(g) Each basic knowledge test, i.e., the test covering the areas
referred to in Sec. 383.111 for the applicable vehicle group, shall
contain at least 30 items, exclusive of the number of items testing air
brake knowledge. Each endorsement knowledge test, and the air brake
component of the basic knowledge test as described in Sec. 383.111(g),
shall contain a number of questions that is sufficient to test the
driver applicant's knowledge of the required subject matter with
validity and reliability.
(h) The skills tests shall have administrative procedures, designed
to achieve interexaminer reliability, that are sufficient to ensure
fairness of pass/fail rates.

Sec. 383.135 Minimum passing scores.

(a) The driver applicant must correctly answer at least 80 percent
of the questions on each knowledge test in order to achieve a passing
score on such knowledge test.
(b) To achieve a passing score on the skills test, the driver
applicant must demonstrate that he/she can successfully perform all of
the skills listed in Sec. 383.113.
(c) If the driver applicant does not obey traffic laws, or causes an
accident during the test, he/she shall automatically fail the test.
(d) The scoring of the basic knowledge and skills tests shall be
adjusted as follows to allow for the air brake restriction
(Sec. 383.95):
(1) If the applicant scores less than 80 percent on the air brake
component of the basic knowledge test as described in Sec. 383.111(g),
the driver will have failed the air brake component and, if the driver
is issued a CDL, an air brake restriction shall be indicated on the
license; and
(2) If the applicant performs the skills test in a vehicle not
equipped with air brakes, the driver will have omitted the air brake
component as described in Sec. 383.113(c) and, if the driver is issued a
CDL, the air brake restriction shall be indicated on the license.

Subpart I--[Reserved]

Subpart J--Commercial Driver's License Document

Source: 53 FR 27657, July 21, 1988, unless otherwise noted.

Sec. 383.151 General.

The CDL shall be a document that is easy to recognize as a CDL. At a
minimum, the document shall contain information specified in
Sec. 383.153.

Sec. 383.153 Information on the document and application.

(a) All CDLs shall contain the following information:
(1) The prominent statement that the license is a ``Commercial
Driver's License'' or ``CDL,'' except as specified in Sec. 383.153(b).
(2) The full name, signature, and mailing address of the person to
whom such license is issued;

[[Page 574]]

(3) Physical and other information to identify and describe such
person including date of birth (month, day, and year), sex, and height;
(4) Color photograph of the driver;
(5) The driver's State license number;
(6) The name of the State which issued the license;
(7) The date of issuance and the date of expiration of the license;
(8) The group or groups of commercial motor vehicle(s) that the
driver is authorized to operate, indicated as follows:
(i) A for Combination Vehicle;
(ii) B for Heavy Straight Vehicle; and
(iii) C for Small Vehicle.
(9) The endorsement(s) for which the driver has qualified, if any,
indicated as follows:
(i) T for double/triple trailers;
(ii) P for passenger;
(iii) N for tank vehicle;
(iv) H for hazardous materials;
(v) X for a combination of the tank vehicle and hazardous materials
endorsements; and
(vi) At the discretion of the State, additional codes for additional
groupings of endorsements, as long as each such discretionary code is
fully explained on the front or back of the CDL document.
(b) If the CDL is a Nonresident CDL, it shall contain the prominent
statement that the license is a ``Nonresident Commercial Driver's
License'' or ``Nonresident CDL.'' The word ``Nonresident'' must be
conspicuously and unmistakably displayed, but may be noncontiguous with
the words ``Commercial Driver's License'' or ``CDL.''
(c) If the State has issued the applicant an air brake restriction
as specified in Sec. 383.95, that restriction must be indicated on the
license.
(d) Except in the case of a Nonresident CDL:
(1) A driver applicant must provide his/her Social Security Number
on the application of a CDL; and
(2) The State must provide the Social Security Number to the CDLIS.

Sec. 383.155 Tamperproofing requirements.

States shall make the CDL tamperproof to the maximum extent
practicable. At a minimum, a State shall use the same tamperproof method
used for noncommercial drivers' licenses.

PART 384--STATE COMPLIANCE WITH COMMERCIAL DRIVER'S LICENSE PROGRAM--Table of Contents

Subpart A--General

Sec.
384.101 Purpose and scope.
384.103 Applicability.
384.105 Definitions.

Subpart B--Minimum Standards for Substantial Compliance by States

384.201 Testing program.
384.202 Test standards.
384.203 Driving while under the influence.
384.204 CDL issuance and information.
384.205 CDLIS information.
384.206 State record checks.
384.207 Notification of licensing.
384.208 [Reserved]
384.209 Notification of traffic violations.
384.210 Limitation on licensing.
384.211 Return of old licenses.
384.212 Domicile requirement.
384.213 Penalties for driving without a proper CDL.
384.214 Reciprocity.
384.215 First offenses.
384.216 Second offenses.
384.217 Drug offenses.
384.218 Second serious traffic violation.
384.219 Third serious traffic violation.
384.220 National Driver Register information.
384.221 Out-of-service regulations (intoxicating beverage).
384.222--384.230 [Reserved]
384.231 Satisfaction of State disqualification requirement.
384.232 Required timing of record checks.

Subpart C--Procedures for Determining State Compliance

384.301 Substantial compliance-general requirement.
384.303 State certification for Federal fiscal year (FY) 1994.
384.305 State certifications for Federal fiscal years after FY 1994.
384.307 FHWA program reviews of State compliance.
384.309 Results of compliance determination.

Subpart D--Consequences of State Noncompliance

384.401 Withholding of funds based on noncompliance.

[[Page 575]]

384.403 Period of availability; effect of compliance and noncompliance.

Authority: 49 U.S.C. 31136, 49 U.S.C. 31301 et seq., 31502; 49 CFR
1.48.

Source: 59 FR 26039, May 18, 1994, unless otherwise noted.

Subpart A--General

Sec. 384.101 Purpose and scope.

(a) Purpose. The purpose of this part is to ensure that the States
comply with the provisions of section 12009(a) of the Commercial Motor
Vehicle Safety Act of 1986 (49 U.S.C. app. 2708(a)).
(b) Scope. This part:
(1) Includes the minimum standards for the actions States must take
to be in substantial compliance with each of the 22 requirements of 49
U.S.C. app. 2708(a);
(2) Establishes procedures for determinations to be made of such
compliance by States; and
(3) Specifies the consequences of State noncompliance.

Sec. 384.103 Applicability.

The rules in this part apply to all States.

Sec. 384.105 Definitions.

(a) The definitions in part 383 of this title apply to this part,
except where otherwise specifically noted.
(b) As used in this part:
Issue and issuance mean initial licensure, license transfers,
license renewals, license upgrades, and nonresident commercial driver's
licenses (CDLs), as described in Sec. 383.73 of this title.
Licensing entity means the agency of State government that is
authorized to issue drivers' licenses.
Year of noncompliance means any Federal fiscal year during which--
(1) A State fails to submit timely certification as prescribed in
subpart C of this part; or
(2) The State does not meet one or more of the standards of subpart
B of this part, based on a final determination by the FHWA under
Sec. 384.307(c) of this part.

Subpart B--Minimum Standards for Substantial Compliance by States

Sec. 384.201 Testing program.

The State shall adopt and administer a program for testing and
ensuring the fitness of persons to operate commercial motor vehicles
(CMVs) in accordance with the minimum Federal standards contained in
part 383 of this title.

Sec. 384.202 Test standards.

No State shall authorize a person to operate a CMV unless such
person passes a knowledge and driving skills test for the operation of a
CMV in accordance with part 383 of this title.

Sec. 384.203 Driving while under the influence.

The State shall have in effect and enforce through licensing
sanctions the disqualifications prescribed in Sec. 383.51(b) at the 0.04
percent blood alcohol concentration level.

Sec. 384.204 CDL issuance and information.

(a) General rule. The State shall authorize a person to operate a
CMV only by issuance of a CDL, unless a waiver under the provisions of
Sec. 383.7 applies, which contains, at a minimum, the information
specified in part 383, subpart J, of this title.
(b) Exceptions--(1)Training. The State may authorize a person, who
does not hold a CDL valid in the type of vehicle in which training
occurs, to undergo behind-the-wheel training in a CMV only by means of a
learner's permit issued and used in accordance with Sec. 383.23(c) of
this title.
(2) Confiscation of CDL pending enforcement. A State may allow a CDL
holder whose CDL is held in trust by that State or any other State in
the course of enforcement of the motor vehicle traffic code, but who has
not been convicted of a disqualifying offense under Sec. 383.51 based on
such enforcement, to drive a CMV while holding a dated receipt for such
CDL.

[[Page 576]]

Sec. 384.205 CDLIS information.

Before issuing a CDL to any person, the State shall, within the
period of time specified in Sec. 384.232, perform the check of the
Commercial Driver's License Information System (CDLIS) in accordance
with Sec. 383.73(a)(3)(ii) of this title, and, based on that
information, shall issue the license, or, in the case of adverse
information, promptly implement the disqualifications, licensing
limitations, denials, and/or penalties that are called for in any
applicable section(s) of this subpart.

Sec. 384.206 State record checks.

(a) Required checks--(1) Issuing State's records. Before issuing a
CDL to any person, the State shall, within the period of time specified
in Sec. 384.232, check its own driving record for such person in
accordance with Sec. 383.73(a)(3) of this title.
(2) Other States' records. Before initial or transfer issuance of a
CDL to a person, the issuing State shall, within the period of time
specified in Sec. 384.232, obtain from any other State or jurisdiction
which has issued a CDL to such person, and such other State(s) shall
provide, all information pertaining to the driving record of such person
in accordance with Sec. 383.73(a)(3) of this title.
(b) Required action. Based on the findings of the State record
checks prescribed in this section, the State shall issue the license,
or, in the case of adverse information, promptly implement the
disqualifications, licensing limitations, denials, and/or penalties that
are called for in any applicable section(s) of this subpart.

Sec. 384.207 Notification of licensing.

Within the period defined in Sec. 383.73(f) of this title, the State
shall:
(a) Notify the operator of the CDLIS of each CDL issuance;
(b) Notify the operator of the CDLIS of any changes in driver
identification information; and
(c) In the case of transfer issuances, implement the Change State of
Record transaction, as specified by the operator of the CDLIS, in
conjunction with the previous State of record and the operator of the
CDLIS.

Sec. 384.208 [Reserved]

Sec. 384.209 Notification of traffic violations.

(a) Required notification with respect to CDL holders. Whenever a
person who holds a CDL from another State is convicted of a violation,
in any type of vehicle, of any State or local law relating to motor
vehicle traffic control (other than a parking violation), the licensing
entity of the State in which the conviction occurs shall notify the
licensing entity of the person's State of licensure of the conviction as
expeditiously as possible.
(b) Required notification with respect to non-CDL holders. Whenever
a person who does not hold a CDL, but who is licensed to drive by
another State, is convicted of a violation, in a CMV, of any State or
local law relating to motor vehicle traffic control (other than a
parking violation), the licensing entity of the State in which the
conviction occurs shall notify the licensing entity of the person's
State of licensure of such conviction.

Sec. 384.210 Limitation on licensing.

The State shall not knowingly issue a CDL to a person during a
period in which:
(a) Such person is disqualified from operating a CMV, as
disqualification is defined in Sec. 383.5 of this title, or under the
provisions of Sec. 384.231(b)(2).
(b) Any type of driver's license held by such person is suspended,
revoked, or canceled by the State or jurisdiction of licensure for
driving related offenses which in the judgment of the licensing State
are based on valid information; or
(c) Such person is subject to the penalties for false information
contained in Sec. 383.73(g) of this title.

Sec. 384.211 Return of old licenses.

The State shall not issue a CDL to a person who possesses a driver's
license issued by another State or jurisdiction unless such person first
surrenders the driver's license issued by such other State or
jurisdiction in accordance with Secs. 383.71(a)(7) and (b)(4) of this
title.

[[Page 577]]

Sec. 384.212 Domicile requirement.

(a) The State shall issue CDLs only to those persons for whom such
State is the State of domicile as defined in Sec. 383.5 of this title;
except that the State may issue a nonresident CDL under the conditions
specified in Secs. 383.23(b), 383.71(e), and 383.73(e) of this title.
(b) The State shall require any person holding a CDL issued by
another State to apply for a transfer CDL from the State within 30 days
after establishing domicile in the State, as specified in Sec. 383.71(b)
of this title.

Sec. 384.213 Penalties for driving without a proper CDL.

The State shall impose civil and criminal penalties for operating a
CMV while not possessing a CDL that is valid for the type of CMV being
driven; while having a driver's license suspended, revoked, or canceled;
or while being disqualified from operating a CMV. In determining the
appropriateness of such penalties, the State shall consider their
effectiveness in deterring this type of violation. The State shall
impose penalties on CMV drivers that are at least as stringent as those
imposed on noncommercial drivers for the same or analogous offenses.

Sec. 384.214 Reciprocity.

The State shall allow any person to operate a CMV in the State who
is not disqualified from operating a CMV and who holds a CDL which is--
(a) Issued to him or her by any other State or jurisdiction in
accordance with part 383 of this title;
(b) Not suspended, revoked, or canceled; and
(c) Valid, under the terms of part 383, subpart F, of this title,
for the type of vehicle being driven.

Sec. 384.215 First offenses.

(a) General rule. The State shall disqualify from operating a CMV
each person who is convicted, as defined in Sec. 383.5 of this title, in
any State or jurisdiction, of a disqualifying offense specified in
Sec. 383.51(b)(2) (i) through (iv) of this title, for no less than one
year.
(b) Special rule for hazardous materials offenses. If the offense
under paragraph (a) of this section occurred while the driver was
operating a vehicle transporting hazardous materials required to be
placarded under the Hazardous Materials Transportation Act (implementing
regulations at 49 CFR 177.823), the State shall disqualify the person
for no less than three years.

Sec. 384.216 Second offenses.

(a) General rule. The State shall disqualify for life from operating
a CMV each person who is convicted, as defined in Sec. 383.5 of this
title, in any State or jurisdiction, of a subsequent offense as
described in Sec. 383.51(b)(3)(iv) of this title.
(b) Special rule for certain lifetime disqualifications. The State
where the disqualified driver resides after 10 years of disqualification
have elapsed may reduce the lifetime disqualification of a person
disqualified for life under Sec. 383.51(b)(3)(iv) of this title, to a
minimum of ten years in accordance with Sec. 383.51(b)(3)(v) of this
title.

Sec. 384.217 Drug offenses.

The State shall disqualify from operating a CMV for life each person
who is convicted, as defined in Sec. 383.5 of this title, in any State
or jurisdiction, of using a CMV in the commission of a felony described
in Secs. 383.51(b)(2)(v) and 383.51(b)(3)(iii) of this title. The State
shall not apply the special rule in Sec. 384.216(b) to lifetime
disqualifications imposed for controlled substance felonies as detailed
in Secs. 383.51(b)(2)(v) and 383.51(b)(3)(iii) of this title.

Sec. 384.218 Second serious traffic violation.

The State shall disqualify from operating a CMV for a period of not
less than 60 days each person who, in a three-year period, is convicted,
as defined in Sec. 383.5 of this title, in any State(s) or
jurisdiction(s), of two serious traffic violations involving a CMV
operated by such person, as specified in Secs. 383.51(c)(1) and
383.51(c)(2)(i) of this title.

Sec. 384.219 Third serious traffic violation.

The State shall disqualify from operating a CMV for a period of not
less than 120 days each person who, in a

[[Page 578]]

three-year period, is convicted, as defined in Sec. 383.5 of this title,
in any State(s) or jurisdiction(s), of three serious traffic violations
involving a CMV operated by such person, as specified in Secs. 383.51
(c)(1) and (c)(2)(ii) of this title. This disqualification period shall
be in addition to any other previous period of disqualification.

Sec. 384.220 National Driver Register information.

Before issuing a CDL to any person, the State shall, within the
period of time specified in Sec. 384.232, perform the check of the
National Driver Register in accordance with Sec. 383.73(a)(3)(iii) of
this title, and, based on that information, promptly implement the
disqualifications, licensing limitations, and/or penalties that are
called for in any applicable section(s) of this subpart.

Sec. 384.221 Out-of-service regulations (intoxicating beverage).

The State shall adopt, and enforce on operators of CMVs as defined
in Secs. 383.5 and 390.5 of this title, the provisions of Sec. 392.5 (a)
and (c) of this title in accordance with the Motor Carrier Safety
Assistance Program as contained in 49 CFR part 350 and applicable policy
and guidelines.

Secs. 384.222--384.230 [Reserved]

Sec. 384.231 Satisfaction of State disqualification requirement.

(a) Applicability. The provisions of Secs. 384.203, 384.206(b),
384.210, 384.213, 384.215 through 384.219, 384.221, and 384.231 apply to
the State of licensure of the person affected by the provision. The
provisions of Sec. 384.210 also apply to any State to which a person
makes application for a transfer CDL.
(b) Required action--(1) CDL holders. A State shall satisfy the
requirement of this part that the State disqualify a person who holds a
CDL by, at a minimum, suspending, revoking, or canceling the person's
CDL for the applicable period of disqualification.
(2) Non-CDL holders applies on and after May 18, 1997. A State shall
satisfy the requirement of this subpart that the State disqualify a non-
CDL holder who is convicted of an offense or offenses necessitating
disqualification under Sec. 383.51 by, at a minimum, implementing the
limitation on licensing provisions of Sec. 384.210 and the timing and
recordkeeping requirements of paragraphs (c) and (d) of this section so
as to prevent such non-CDL holder from legally obtaining a CDL from any
State during the applicable disqualification period(s) specified in this
subpart.
(c) Required timing. The State shall disqualify a driver as
expeditiously as possible.
(d) Recordkeeping requirements. The State shall maintain such driver
records and cause such driver identification data to be retained on the
CDLIS as the operator of the CDLIS specifies are necessary to the
implementation and enforcement of the disqualifications called for in
Secs. 384.215 through 384.219.

[59 FR 26039, May 18, 1994, as amended at 60 FR 57545, Nov. 16, 1995]

Sec. 384.232 Required timing of record checks.

The State shall perform the record checks prescribed in
Secs. 384.205, 384.206, and 384.220, no earlier than 10 days prior to
issuance for licenses issued before October 1, 1995. For licenses issued
after September 30, 1995, the State shall perform the record checks no
earlier than 24 hours prior to issuance if the license is issued to a
driver who does not currently possess a valid CDL from the same State
and no earlier than 10 days prior to issuance for all other drivers.

Subpart C--Procedures for Determining State Compliance

Sec. 384.301 Substantial compliance--general requirement.

To be in substantial compliance with 49 U.S.C. app. 2708(a), a State
must meet each and every standard of subpart B of this part by means of
the demonstrable combined effect of its statutes, regulations,
administrative procedures and practices, organizational structures,
internal control mechanisms, resource assignments (facilities,
equipment, and personnel), and enforcement practices.

[[Page 579]]

Sec. 384.303 State certification for Federal fiscal year (FY 1994) 1994.

(a) FY 1994 certification requirement. Prior to July 18, 1994, each
State shall review its compliance with this part and certify to the
Federal Highway Administrator as prescribed in paragraph (b) of this
section. The certification shall be submitted as a signed original and
four copies to the State Director or Officer-in-Charge, Office of Motor
Carriers, Federal Highway Administration, located in that State.
(b) FY 1994 certification content. The certification shall consist
of a statement signed by the Governor of the State, or by an official
designated by the Governor, and reading as follows:

I (name of certifying official), (position title), of the State
(Commonwealth) of __________, do hereby certify that the State
(Commonwealth) is in substantial compliance with all requirements of 49
U.S.C. app. 2708(a), as defined in 49 CFR 384.301, and contemplates no
changes in statutes, regulations, or administrative procedures, or in
the enforcement thereof, which would affect such substantial compliance
through [the last date of the current Federal fiscal year].

(Approved by the Office of Management and Budget under control number
2125-0542)

Sec. 384.305 State certifications for Federal fiscal years after FY 1994.

(a) Certification requirement. Prior to January 1 of each Federal
fiscal year after FY 1994, each State shall review its compliance with
this part and certify to the Federal Highway Administrator as prescribed
in paragraph (b) of this section. The certification shall be submitted
as a signed original and four copies to the State Director or Officer-
in-Charge, Office of Motor Carriers, Federal Highway Administration,
located in that State.
(b) Certification content. The certification shall consist of a
statement signed by the Governor of the State, or by an official
designated by the Governor, and reading as follows:

I (name of certifying official), (position title), of the State
(Commonwealth) of __________, do hereby certify that the State
(Commonwealth) has continuously been in substantial compliance with all
requirements of 49 U.S.C. app. 2708(a), as defined in 49 CFR 384.301,
since [the first day of the current Federal fiscal year], and
contemplates no changes in statutes, regulations, or administrative
procedures, or in the enforcement thereof, which would affect such
substantial compliance through [the last date of the current Federal
fiscal year].

(Approved by the Office of Management and Budget under control number
2125-0542)

Sec. 384.307 FHWA program reviews of State compliance.

(a) FHWA program reviews. Each State's CDL program shall be subject
to review to determine whether or not the State meets the general
requirement for substantial compliance in Sec. 384.301. The State shall
cooperate with and provide information in conjunction with any program
reviews under this section.
(b) Preliminary FHWA determination and State response. If, after
review, a preliminary determination is made that a State does not meet
one or more of the standards of subpart B of this part, the State will
be informed accordingly prior to July 1 of the fiscal year in which the
preliminary determination is made. The State will have up to thirty
calendar days to respond to the preliminary determination. Upon request
by the State, an informal conference will be provided during this time.
(c) Final FHWA determination. If, after reviewing any timely
response by the State to the preliminary determination, a final
determination is made that the State is not in compliance with the
affected standard, the State will be notified of the final
determination.

Sec. 384.309 Results of compliance determination.

(a) A State shall be determined not substantially in compliance with
49 U.S.C. app. 2708(a) for any fiscal year in which it:
(1) Fails to submit the certification as prescribed in this subpart;
or
(2) Does not meet one or more of the standards of subpart B of this
part, as established in a final determination by the FHWA under
Sec. 384.307(c).
(b) A State shall be in substantial compliance with 49 U.S.C. app.
2708(a) for any fiscal year in which neither of the eventualities in
paragraph (a) of this section occurs.

[[Page 580]]

Subpart D--Consequences of State Noncompliance

Sec. 384.401 Withholding of funds based on noncompliance.

(a) Following first year of noncompliance. An amount equal to five
percent of the funds required to be apportioned to any State under each
of sections 104(b)(1), 104(b)(3), and 104(b)(5) of title 23, U.S.C.,
shall be withheld on the first day of the fiscal year following such
State's first year of noncompliance under this part.
(b) Following second and subsequent year(s) of noncompliance. An
amount equal to ten percent of the funds required to be apportioned to
any State under each of sections 104(b)(1), 104(b)(3), and 104(b)(5) of
title 23, U.S.C., shall be withheld on the first day of the fiscal year
following such State's second or subsequent year of noncompliance under
this part.

Sec. 384.403 Period of availability; effect of compliance and noncompliance.

(a) Period of availability--(1) Funds withheld on or before
September 30, 1995. Any funds withheld under this subpart from
apportionment to any State on or before September 30, 1995, shall remain
available for apportionment to such State as follows:
(i) If such funds would have been apportioned under 23 U.S.C.
104(b)(5)(B) but for the provisions of this subpart, such funds shall
remain available until the end of the second fiscal year following the
fiscal year for which such funds are authorized to be appropriated.
(ii) If such funds would have been apportioned under 23 U.S.C.
104(b)(1) or 104(b)(3) but for the provisions of this subpart, such
funds shall remain available until the end of the third fiscal year
following the fiscal year for which such funds are authorized to be
appropriated.
(2) Funds withheld after September 30, 1995. No funds withheld under
this subpart from apportionment to any State after September 30, 1995,
shall be available for apportionment to such State.
(b) Apportionment of withheld funds after compliance. If, before
September 10 of the last fiscal year for which funds withheld under this
subpart from apportionment are to remain available for apportionment to
a State under paragraph (a) of this section, the State makes the
certification called for in Sec. 384.305 and a determination is made
that the State has met the standards of subpart B of this part for a
period of 365 days and continues to meet such standards, the withheld
funds remaining available for apportionment to such State shall be
apportioned to the State on the day following the last day of such
fiscal year.
(c) Period of availability of subsequently apportioned funds. Any
funds apportioned pursuant to paragraph (b) of this section shall remain
available for expenditure until the end of the third fiscal year
succeeding the fiscal year in which such funds are apportioned. Sums not
obligated at the end of such period shall lapse or, in the case of funds
apportioned under 23 U.S.C. 104(b)(5), shall lapse and be made available
by the Secretary for projects in accordance with 23 U.S.C. 118(b).
(d) Effect of noncompliance. If, at the end of the period for which
funds withheld under this subpart from apportionment are available for
apportionment under paragraph (a) of this section, the State has not met
the standards of subpart B of this part for a 365-day period, such funds
shall lapse or, in the case of funds apportioned under 23 U.S.C.
104(b)(5), shall lapse and be made available by the Secretary for
projects in accordance with 23 U.S.C. 118(b).

PART 385--SAFETY FITNESS PROCEDURES--Table of Contents

Sec.
385.1 Purpose and scope.
385.3 Definitions.
385.5 Safety fitness standard.
385.7 Factors to be considered in determining a safety rating.
385.9 Determination of a safety rating.
385.11 Notification of a safety rating.
385.13 Unsatisfactory safety rating--Prohibition on transportation of
hazardous materials and passengers.
385.15 Request for a change in a safety rating; facts and procedure.
385.17 Request for a change in a safety rating; corrective action
taken.
385.19 Safety fitness information.
385.21 Motor carrier identification report.
385.23 Failure to report.

[[Page 581]]

Appendix to Part 385--Form MCS-150, Motor Carrier Identification Report

Authority: 49 U.S.C. 104, 504, 521(b)(5)(A), 5113, 31136, 31144,
31502; and 49 CFR 1.48.

Source: 53 FR 50968, Dec. 19, 1988, unless ohterwise noted.

Sec. 385.1 Purpose and scope.

(a) This part establishes procedures to determine the safety fitness
of motor carriers, to assign safety ratings, to take remedial action
when required, and to prohibit motor carriers receiving a safety rating
of ``unsatisfactory'' from operating a commercial motor vehicle:
(1) To provide transportation of hazardous materials for which
vehicle placarding is required in accordance with part 172, subpart F of
this title; or
(2) To transport more than 15 passengers, including the driver.
(b) The provisions of this part apply to all motor carriers subject
to the requirements of this subchapter.

[56 FR 40805, Aug. 16, 1991]

Sec. 385.3 Definitions.

Applicable safety regulations or requirements means 49 CFR subtitle
B, chapter III, Subchapter B--Federal Motor Carrier Safety Regulations;
and 49 CFR subtitle B, chapter I, Subchapter C--Hazardous Materials
Regulations.
Commercial motor vehicle shall have the same meaning as described in
Sec. 390.5 of this subchapter.
Preventable accident on the part of a motor carrier means an
accident (1) that involved a commercial motor vehicle, and (2) that
could have been averted but for an act, or failure to act, by the motor
carrier or the driver.
Reviews. For the purposes of this part:
(1) Compliance review means an on-site examination of motor carrier
operations, such as drivers' hours of service, maintenance and
inspection, driver qualification, commercial drivers license
requirements, financial responsibility, accidents, hazardous materials,
and other safety and transportation records to determine whether a motor
carrier meets the safety fitness standard. A compliance review may be
conducted in response to a request to change a safety rating, to
investigate potential violations of safety regulations by motor
carriers, or to investigate complaints or other evidence of safety
violations. The compliance review may result in the initiation of an
enforcement action.
(2) Safety review means an on-site assessment to determine if a
motor carrier has adequate safety management controls in place and
functioning to meet the safety fitness standard. The safety review
includes an inspection of selected motor carrier records and operations.
It is used to gather information for assigning ratings to unrated
carriers. The safety review is not ordinarily employed to gather
evidence in support of enforcement actions, but will if certain serious
violations are discovered (e.g., absence of proof of financial
responsibility; document falsification).
(3) Safety management controls means the systems, policies programs,
practices, and procedures used by a motor carrier to ensure compliance
with applicable safety and hazardous materials regulations which ensure
the safe movement of products and passengers through the transportation
system, and to reduce the risk of highway accidents and hazardous
materials incidents resulting in fatalities, injuries, and property
damage.
Safety ratings: (1) Satisfactory safety rating means that a motor
carrier has in place and functioning adequate safety management controls
to meet the safety fitness standard prescribed in Sec. 385.5. Safety
management controls are adequate if they are appropriate for the size
and type of operation of the particular motor carrier.
(2) Conditional safety rating means a motor carrier does not have
adequate safety management controls in place to ensure compliance with
the safety fitness standard that could result in the occurrences listed
in Sec. 385.5 (a) through (h).
(3) Unsatisfactory safety rating means a motor carrier does not have
adequate safety management controls in place to ensure compliance with
the safety fitness standard which has resulted in occurrences listed in
Sec. 385.5 (a) through (h). Motor carriers receiving an ``unsatisfactory
safety rating'' may be subject to the provisions of Sec. 385.13.

[[Page 582]]

(4) Unrated carrier means that a safety rating has not been assigned
to the motor carrier by the FHWA.

[53 FR 50968, Dec. 19, 1988, as amended at 56 FR 40805, Aug. 16, 1991]

Sec. 385.5 Safety fitness standard.

The satisfactory safety rating is based on the degree of compliance
with the safety fitness standard for motor carriers. To meet the safety
fitness standard, the motor carrier shall demonstrate that it has
adequate safety management controls in place, which function effectively
to ensure acceptable compliance with applicable safety requirements to
reduce the risk associated with:
(a) Commercial driver's license standard violations (part 383),
(b) Inadequate levels of financial responsibility (part 387),
(c) The use of unqualified drivers (part 391),
(d) Improper use and driving of motor vehicles (part 392),
(e) Unsafe vehicles operating on the highways (part 393),
(f) Failure to maintain accident registers and copies of accident
reports (part 390),
(g) The use of fatigued drivers (part 395),
(h) Inadequate inspection, repair, and maintenance of vehicles (part
396),
(i) Transportation of hazardous materials, driving and parking rule
violations (part 397),
(j) Violation of hazardous materials regulations (parts 170 through
177), and
(k) Motor vehicle accidents and hazardous materials incidents.

[53 FR 50968, Dec. 19, 1988, as amended at 58 FR 33776, June 21, 1993]

Sec. 385.7 Factors to be considered in determining a safety rating.

The factors to be considered in determining the safety fitness and
assigning a safety rating include information from safety reviews,
compliance reviews and any other data. The factors may include all or
some of the following:
(a) Adequacy of safety management controls. The adequacy of controls
may be questioned if their degree of formalization, automation, etc., is
found to be substantially below the norm for similar carriers.
Violations, accidents or incidents substantially above the norm for
similar carriers will be strong evidence that management controls are
either inadequate or not functioning properly.
(b) Frequency and severity of regulatory violations.
(c) Frequency and severity of driver/vehicle regulatory violations
identified in roadside inspections.
(d) Number and frequency of out-of-service driver/vehicle
violations.
(e) Increase or decrease in similar types of regulatory violations
discovered during safety or compliance reviews.
(f) Frequency of accidents; hazardous materials incidents; accident
rate per million miles; preventable accident rate per million miles; and
other accident indicators; and whether these accident and incident
indicators have improved or deteriorated over time.
(g) The number and severity of violations of state safety rules,
regulations, standards, and orders applicable to commercial motor
vehicles and motor carrier safety that are compatible with Federal
rules, regulations, standards, and orders.

[53 FR 50968, Dec. 19, 1988, as amended at 58 FR 33776, June 21, 1993]

Sec. 385.9 Determination of a safety rating.

Following a safety or compliance review of a motor carrier
operation, the FHWA, using the factors prescribed in Sec. 385.7, shall
determine whether the present operations of the motor carrier are
consistent with the safety fitness standard set forth in Sec. 385.5, and
assign a safety rating accordingly.

Sec. 385.11 Notification of a safety rating.

(a) The FHWA shall provide written notification to the motor carrier
of the assigned safety rating.
(b) Notification of a ``conditional'' or ``unsatisfactory'' rating
will include a list of those items for which immediate corrective action
must be taken.
(c) A notification of an ``unsatisfactory'' safety rating will also
include a notice that the motor carrier will be subject to the
provisions of Sec. 385.13, which prohibit motor carriers rated
``unsatisfactory'' from transporting:

[[Page 583]]

(1) Hazardous materials requiring placarding under part 172, subpart
F, of this title; or
(2) 15 or more passengers, including the driver.

[56 FR 40806, Aug. 16, 1991]

Sec. 385.13 Unsatisfactory safety rating--Prohibition on transportation of hazardous materials and passengers.

(a)(1) A motor carrier that receives a safety rating from the
Federal Highway Administration which is ``unsatisfactory'' shall have 45
calendar days from the effective date of that rating or from the date of
notice of that rating, whichever is later, to take such action as may be
necessary to improve such safety rating to ``conditional'' or
``satisfactory.''
(2) Prohibition on transportation. After the last day of the 45-day
period established pursuant to paragraph (a)(1) of this section and
until notification is issued pursuant to this part of either a
``conditional'' or ``satisfactory'' safety rating, a motor carrier rated
``unsatisfactory'' shall be prohibited from operating a commercial motor
vehicle to transport--
(i) Hazardous materials for which vehicle placarding is required
pursuant to this title; or
(ii) More than 15 passengers, including the driver.
(3) Ineligibility for Federal Government transportation. Any motor
carrier that receives a safety rating of ``unsatisfactory'' shall be
ineligible to contract or subcontract with any Federal agency for the
transportation of--
(i) Hazardous materials for which vehicle placarding is required
pursuant to this title; or
(ii) More than 15 passengers, including the driver.
(b) Penalties. Any motor carrier that operates commercial motor
vehicles in violation of this section will be subject to the penalty
provisions of 49 U.S.C. App. 1809 and 49 U.S.C. 521.

[56 FR 40806, Aug. 16, 1991]

Sec. 385.15 Request for a change in a safety rating; facts and procedure.

(a) A petition for review of a safety rating, where there are
factual or procedural disputes, must list all issues in dispute and be
accompanied by any information or documents the motor carrier is relying
upon as the basis for its petition.
(b)(1) The petition must be submitted to the Director, Office of
Motor Carrier Field Operations, within 90 days of the date of
notification of the assignment, or change, of a safety rating.
(2) Motor carriers affected by the provisions of Sec. 385.13 should
submit their petitions and supporting documentation to the Director,
Office of Motor Carrier Field Operations, within 15 days from the date
of notification of the assignment of a safety rating.
(c) As part of the consideration of a petition, the Director, Office
of Motor Carrier Field Operations, may request the motor carrier to
submit additional data and attend a conference to discuss the safety
rating. Failure to provide such data or to attend the conference may
result in dismissal of the petition.
(d) The Director, Office of Motor Carrier Field Operations, shall
notify the motor carrier in writing of a decision on a petition for
review of a safety rating, which will constitute the final agency
action. The decision may:
(1) Confirm the rating; or
(2) Revise the rating.

[56 FR 40806, Aug. 16, 1991]

Sec. 385.17 Request for a change in a safety rating; corrective action taken.

(a) A request for a change in a safety rating may be made when the
basis for the change is evidence that corrective actions have been taken
and that operations currently meet the safety fitness standard specified
in Sec. 385.5. The request shall be directed in writing, via certified
mail, to the Regional Director of Motor Carriers for the FHWA Region in
which the motor carrier maintains its principal place of business for
safety. The Regional Office addresses are listed in Sec. 390.27 of this
subchapter. Such a request shall include a written description of
corrective actions taken and other documentation that may be relied upon
as a basis for improving the assigned rating.
(b) The FHWA will make its determination based upon documentation
submitted or any additional investigation deemed necessary.

[[Page 584]]

(c) In cases where the FHWA is unable to make a determination within
the 45-day period established in Sec. 385.13 and the motor carrier has
submitted evidence that corrective actions have been taken pursuant to
paragraph (a) of this section, and has cooperated in any investigation,
the FHWA may conditionally suspend the effective date of the
``unsatisfactory'' safety rating for an additional period of up to 10
days.

[56 FR 40806, Aug. 16, 1991, as amended at 61 FR 1843, Jan. 24, 1996]

Sec. 385.19 Safety fitness information.

(a) Safety rating information on motor carriers will be made
available to all Federal agencies telephonically or by remote computer
terminals.
(b) The safety rating assigned to a motor carrier will be made
available to the public upon request. Any person requesting the assigned
rating of a motor carrier should provide the FHWA with the motor carrier
name, principal office address, and the ICC assigned docket number, or
the U.S. DOT identification number.
(c) Requests should be addressed to: OMC--Safety Rating, P.O. Box
13028, Arlington, Virginia 22219.
(d) Oral requests by telephone will be accepted and may be made by
calling (703) 276-6876. Oral requests made by telephone will be sent a
written response if so requested.

[56 FR 51344, Oct. 11, 1991]

Sec. 385.21 Motor carrier identification report.

(a) All motor carriers currently conducting operations in interstate
or foreign commerce shall file a Motor Carrier Identification Report,
Form MCS-150, within 90 days after the effective date of this rule.
Exception: The provisions of this section do not apply to a motor
carrier that has received written notification of a safety rating from
the FHWA.
(b) All motor carriers beginning operation after the effective date
of this rule shall file the Motor Carrier Identification Report, Form
MCS-150, within 90 days after beginning operations.
(c) The Motor Carrier Identification Report, Form MCS-150, is
available from all FHWA region and division motor carrier safety offices
nationwide and from FHWA Office of Motor Carrier Information Management
and Analysis, 400 Seventh Street, SW., Washington, DC 20590.
(d) The completed Motor Carrier Identification Report, Form MCS-150,
shall be filed with the FHWA, Office of Motor Carrier Information
Management and Analysis, 400 Seventh Street, SW., Washington, DC 20590.

Sec. 385.23 Failure to report.

Failure by a motor carrier to file a Motor Carrier Identification
Report, Form MCS-150, pursuant to the provisions of Sec. 385.21, or
furnishing misleading information or making false statements upon the
MCS-150 shall subject the offender to the penalties prescribed in title
49, United States Code, 522(b).

[53 FR 50968, Dec. 19, 1988, as amended at 60 FR 38743, July 28, 1995]

[[Page 585]]

Appendix to Part 385--Form MCS-150, Motor Carrier Identification Report
(Approved by OMB under control number 2125-0544)
[GRAPHIC] [TIFF OMITTED] TC01AP91.014

[[Page 586]]

Notice

The Form MCS-150, Motor Carrier Identification Report, must be filed
by all motor carriers operating in interstate or foreign commerce. A new
motor carrier must file Form MCS-150 within 90 days after beginning
operations. Exception: A motor carrier that has received written
notification of a safety rating from the Federal Highway Administration
(FHWA) need not file the report. To mail, fold the completed report so
that the self-addressed postage paid panel is on the outside. This
report is required by 49 CFR Part 385 and authorized by 49 U.S.C. 504
(1982 & Supp. III 1985).
The public reporting burden for this collection of information on
the Form MCS-150 is estimated by the FHWA to average 20 minutes. If you
wish to comment on the accuracy of the estimate or make suggestions for
reducing this burden, please direct your comments to Office of
Management and Budget and the FHWA at the following addresses:

Office of Management and Budget, Paperwork Reduction Project,
Washington, DC 20503
and
Federal Highway Administration, Office of Motor Carrier Field
Operations, HFO-10, 400 7th Street, SW, Washington, DC 20590

Instructions for Completing the Motor Carrier Identification Report
(MCS-150)

(Please Print or Type All Information)

1. Enter the name of the business entity (i.e. corporation, partnership,
or individual) that owns and controls the motor carrier
operation.
2. If the business entity is operating under a name other than that in
Block 1, i.e. ``trade name'', enter that name. Otherwise,
leave blank.
3. Enter the principal place of business (where all safety records are
maintained) street address.
4. Enter the city where the principal place of business is located.
5. Enter the name of the county in which the principal place of business
is located.
6. Enter the two-letter postal abbreviation for the State, or the name
of the Canadian Province or Mexican State, in which the
principal place of business is located.
7. Enter the zip code number corresponding with the street address.
8. Enter the telephone number including area code of the principal place
of business.
9. Enter the motor carrier `MC' number under which the Interstate
Commerce Commission (ICC) issued your operating authority, if
appropriate. Otherwise, enter ``N/A.''
10. Enter the identification number assigned to your motor carrier
operation by the U.S. Department of Transportation, if known.
Otherwise, enter ``unknown.''
11. Circle appropriate classification. Circle all that apply. If F
``other'' is circled, enter the type of operation in the space
provided.
A. Authorized For Hire
B. Exempt For Hire
C. Private
D. Migrant
E. U.S. Mail
F. Other ____________________

Authorized For Hire--transportation for compensation as a common or
contract carrier of property, owned by others, or passengers under the
provisions of the ICC.
Exempt For Hire--transportation for compensation of property exempt
from the economic regulation by the ICC.
Private--transportation of property, owned or leased by the motor
carrier, in furtherance of a commercial enterprise other than for-hire
transportation.
Migrant--interstate transportation, including a contract carrier,
but not a common carrier of 3 or more migrant workers to or from their
employment by any motor vehicle other than a passenger automobile or
station wagon.
U.S. Mail--transportation of U.S. Mail under contract with the U.S.
Postal Service.
12. Circle the letter of the types of cargo you usually transport. If Z
``other,'' is circled enter the name of the commodity in the
space provided.
13. Circle the appropriate type of operation.
A. Interstate
B. Intrastate, transporting hazardous materials (49 CFR 100-178)
C. Intrastate, NOT transporting hazardous materials.
Interstate--transportation of persons or property across State
lines, including international boundaries, or wholly within one State as
part of a through movement that originates or terminates in another
State or country.
Intrastate--transportation of persons or property wholly within one
State.
14. Circle the letter of all of the types of hazardous materials (HM)
you transport. In the columns following the HM types, either
circle T if the HM is transported in cargo tanks or P if the
HM is transported in other packages.
15. Enter the total number of vehicles owned, term leased and trip
leased, that are, or can be, operational the day this form is
completed.

[[Page 587]]

16. Enter the number of drivers used on an average work day. Part-time,
casual, term leased, trip leased and company drivers are to be
included.
100 mile radius driver--a driver that operates within a 100 air-mile
radius of the normal work reporting location.
17. Print or type the name, in the space provided, of the individual
authorized to sign documents on behalf of the entity listed in
Block 1. That individual must sign, date, and show his or her
title in the spaces provided. (Certification Statement, see 49
CFR 385.21 and 385.23)

[56 FR 5365, Feb. 11, 1991]

PART 386--RULES OF PRACTICE FOR MOTOR CARRIER SAFETY AND HAZARDOUS MATERIALS PROCEEDINGS--Table of Contents

Subpart A--Scope of Rules; Definitions

Sec.
386.1 Scope of rules in this part.
386.2 Definitions.

Subpart B--Commencement of Proceedings, Pleadings

386.11 Commencement of proceedings.
386.12 Complaint.
386.13 Petitions to review and request for hearing: Driver
qualification proceedings.
386.14 Replies and request for hearing: Civil forfeiture proceedings.
386.15 [Reserved]
386.16 Action on petitions or replies.
386.17 Intervention.

Subpart C--Compliance and Consent Orders

386.21 Compliance order.
386.22 Consent order.
386.23 Content of consent order.

Subpart D--General Rules and Hearings

386.31 Service.
386.32 Computation of time.
386.33 Extension of time.
386.34 Official notice.
386.35 Motions.
386.36 Motions to dismiss and motions for a more definite statement.
386.37 Discovery methods.
386.38 Scope of discovery.
386.39 Protective orders.
386.40 Supplementation of responses.
386.41 Stipulations regarding discovery.
386.42 Written interrogatories to parties.
386.43 Production of documents and other evidence; entry upon land for
inspection and other purposes; and physical and mental
examination.
386.44 Request for admissions.
386.45 Motion to compel discovery.
386.46 Depositions.
386.47 Use of deposition at hearings.
386.48 Medical records and physicians' reports.
386.49 Form of written evidence.
386.50 Appearances and rights of witnesses.
386.51 Amendment and withdrawal of pleadings.
386.52 Appeals from interlocutory rulings.
386.53 Subpoenas, witness fees.
386.54 Administrative law judge.
386.55 Prehearing conferences.
386.56 Hearings.
386.57 Proposed findings of fact, conclusions of law.
386.58 Burden of proof.

Subpart E--Decision

386.61 Decision.
386.62 Review of administrative law judge's decision.
386.63 Decision on review.
386.64 Reconsideration.
386.65 Failure to comply with final order.
386.66 Motions for rehearing or for modification.
386.67 Appeal.

Subpart F--Injunctions and Imminent Hazards

386.71 Injunctions.
386.72 Imminent hazard.

Subpart G--Penalties

386.81 General.
386.82 Civil penalties for violations of notices and orders.

Appendix A to Part 386--Penalty Schedule; Violations of Notices and
Orders

Authority: Title XII of Public Law 99-570, 100 Stat. 3207-170 (49
U.S.C. App. 2701 et seq.); Title II of Public Law 98-554, 98 Stat. 2829
(49 U.S.C. App. 2501 et seq.); Public Law 97-449; 96 Stat. 2413 (49
U.S.C. 104(c)(2), 501 et seq., 3101 et seq.); Public Law 93-633, 88
Stat. 2156 (49 U.S.C. App. 1801 et seq.); Public Law 97-261, 96 Stat.
1121 (49 U.S.C. 10927, note); Public Law 96-296, 94 Stat. 820 (49 U.S.C.
10927, note); 49 CFR 1.45, 1.48.

Source: 50 FR 40306, Oct. 2, 1985, unless otherwise noted.

[[Page 588]]

Subpart A--Scope of Rules; Definitions

Sec. 386.1 Scope of rules in this part.

The rules in this part govern procedures in proceedings before the
Associate Administrator authorized by the Commercial Motor Vehicle
Safety Act of 1986, title XII of Public Law 99-570, 100 Stat. 3207-170
(49 U.S.C. 2701 et. seq.); the Motor Carrier Safety Act of 1984, Public
Law 98-554, 98 Stat. 2829 (49 U.S.C. 2501 et. seq); the recodification
of title 49, United States Code, Transportation, Public Law 97-449, 96
Stat. 2413 (49 U.S.C. 104(c)(2), 501 set seq., 3101 et seq.); the
Hazardous Materials Transportation Act, Public Law 93-633, 88 STat. 2156
(49 U.S.C. 1801 et seq.); the Bus Regulatory Reform Act of 1982, Public
Law 97-261, 96 Stat. 1121 (49 U.S.C. 10927, note) and the Motor Carrier
Act of 1980, Public Law 96-296, 94 Stat. 820, as amended by Public Law
97-424, 96 Stat. 2158 (49 U.S.C. 10927, note). The purpose of the
proceedings is to enable the Associate Administrator to determine
whether any motor carrier, its agent, employee or other person subject
to the jurisdiction of the FHWA under any of the above-mentioned Acts
has failed to comply with any provision or requirement of those statutes
or regulations issued under them and, if such a violation is found, to
issue an appropriate order to compel compliance with the statute or
regulation, assess a civil penalty, or both.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988]

Sec. 386.2 Definitions.

Abate or abatement means to discontinue regulatory violations by
refraining from or taking actions identified in a notice to correct
noncompliance.
Administration means the Federal Highway Administration.
Administrative law judge means an administrative law judge appointed
pursuant to the provisions of 5 U.S.C. 3105.
Associate Administrator means the Associate Administrator for Motor
Carriers of the Federal Highway Administration or his/her authorized
delegate.
Civil forfeiture proceedings means proceedings to collect civil
penalties for violations under the Commercial Motor Vehicle Safety Act
of 1986, title XII of Public Law 99-570, 100 Stat. 3207-170 (49 U.S.C.
2701 et seq.); the Hazardous Materials Transportation Act, 49 U.S.C.
1809; 49 U.S.C. 3102; the Motor Carrier Safety Act of 1984, 49 U.S.C.
2501 et seq.; section 30 of the Motor Carrier Act of 1980, 49 U.S.C.
10927, note; or section 18 of the Bus Regulatory Reform Act of 1982, 49
U.S.C. 10927, note.
Claimant means the representative of the Federal Highway
Administration authorized to make claims.
Compliance Order means a written direction to a respondent under
this part requiring the performance of certain acts which, based upon
the findings in the proceeding, are considered necessary to bring
respondent into compliance with the regulations found to have been
violated.
Consent Order means a compliance order which has been agreed to by
respondent in the settlement of a civil forfeiture proceeding.
Driver qualification proceeding means a proceeding commenced under
49 CFR 391.47 or by issuance of a letter of disqualification.
Motor carrier means a motor carrier, motor contract carrier, motor
private carrier, or motor carrier of migrant workers as defined in 49
U.S.C. 3101 and 10102.
Petitioner means a party petitioning to overturn a determination in
a driver qualification proceeding.
Respondent means a party against whom relief is sought or claim is
made.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 56
FR 10182, Mar. 11, 1991]

Subpart B--Commencement of Proceedings, Pleadings

Sec. 386.11 Commencement of proceedings.

(a) Driver qualification proceedings. These proceedings are
commenced by the issuance of a determination by the Director, Office of
Motor Carrier Standards, in a case arising under Sec. 391.47 of this
chapter or by the issuance of a letter of disqualification.
(1) Such determination and letters must be accompanied by the
following:
(i) A citation of the regulation under which the action is being
taken;

[[Page 589]]

(ii) A copy of all documentary evidence relied on or considered in
taking such action, or in the case of voluminous evidence a summary of
such evidence;
(iii) Notice to the driver and motor carrier involved in the case
that they may petition for review of the action;
(iv) Notice that a hearing will be granted if the Associate
Administrator determines there are material factual issues in dispute;
(v) Notice that failure to petition for review will constitute a
waiver of the right to contest the action; and
(vi) Notice that the burden or proof will be on the petitioner in
cases arising under Sec. 391.47 of this chapter.
(2) At any time before the close of hearing, upon application of a
party, the letter or determination may be amended at the discretion of
the administrative law judge upon such terms as he/she approves.
(b) Civil forfeitures. These proceedings are commenced by the
issuance of a Claim Letter or a Notice of Investigation.
(1) Each claim letter must contain the following:
(i) A statement of the provisions of law alleged to have been
violated;
(ii) A brief statement of the facts constituting each violation;
(iii) Notice of the amount being claimed, and notice of the maximum
amount authorized to be claimed under the statute;
(iv) The form in which and the place where the respondent may pay
the claim; and
(v) Notice that the respondent may, within 15 days of service,
notify the claimant that the respondent intends to contest the notice,
and that if the notice is contested the respondent will be afforded an
opportunity for a hearing.
(2) In addition to the information required by paragraph (b)(1) of
this section, the letter may contain such other matters as the FHWA
deems appropriate, including a notice to abate.
(3) In proceedings for collection of civil penalties for violations
of the motor carrier safety regulations under the Motor Carrier Safety
Act of 1984, the claimant may require the respondent to post a copy of
the claim letter in such place or places and for such duration as the
claimant may determine appropriate to aid in the enforcement of the law
and regulations.
(c) Notice of investigation. This is a notice to respondent that
FHWA has discovered violations of the Federal Motor Carrier Safety
regulations or Hazardous Materials Regulations under circumstances which
may require a compliance order and/or monetary penalty. The proposed
form of the compliance order will be included in the notice. The
Associate Administrator may issue a Notice of Investigation in his or
her own discretion or upon a complaint filed pursuant to Sec. 386.12.
(1) Each notice of investigation must include the following:
(i) A statement of the legal authority and jurisdiction for the
institution of the proceedings;
(ii) The name and address of each motor carrier against whom relief
is sought;
(iii) One or more clear, concise, and separately numbered paragraphs
stating the facts alleged to constitute a violation of the law;
(iv) The relief demanded which, where practical, should be in the
form of an order for the Associate Administrator's signature, and which
shall fix a reasonable time for abatement of the violations and may
specify actions to be taken in order to abate the violations;
(v) A statement that the rules in this part require a reply to be
filed within 30 days of service of the notice of investigation, and
(vi) A certificate that the notice of investigation was served in
accordance with Sec. 386.31.
(2) At any time before the close of hearing or upon application of a
party, the notice of investigation may be amended at the discretion of
the administrative law judge upon such terms as he/she deems
appropriate.
(3) A Claim Letter may be combined with a Notice of Investigation in
a single proceeding. In such proceeding, the 30-day reply period in
paragraph (c)(1) of this section shall apply.
(4) A notice to abate contained in a Claim Letter or Notice of
Investigation shall specify what must be done by the respondent, a
reasonable time within

[[Page 590]]

which abatement must be achieved, and that failure to abate subjects the
respondent to additional penalties as prescribed in subpart G of this
part.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 56
FR 10182, Mar. 11, 1991]

Sec. 386.12 Complaint.

(a) Filing of a complaint. Except as otherwise provided in paragraph
(c) of this section, any person, State board, organization, or body
politic may file a written complaint with the Associate Administrator,
requesting the issuance of a notice of investigation under
Sec. 386.11(c). Each complaint must contain:
(1) The name and address of the party who files it, and a statement
specifying the authority for a party (other than a natural person) to
file the complaint;
(2) A statement of the interest of the party in the proceedings;
(3) The name and address of each motor carrier against who relief is
sought;
(4) The reasons why the party believes that a notice of
investigation should be issued;
(5) A statement of any prior action which the party has taken to
redress the violations of law alleged in the complaint and the results
of that action; and
(6) The relief which the party believes the Administration should
seek.
(b) Action on paragraph (a) complaint. Upon the filing of a
complaint under paragraph (a) of this section, the Associate
Administrator shall determine whether it states reasonable grounds for
investigation and action by the Administration. If he/she determines
that the complaint states such grounds, the Associate Administrator
shall issue, or authorize the issuance of, a notice of investigation
under Sec. 386.11(c). If he/she determines that the complaint does not
state reasonable grounds for investigation and action by the
Administration, the Associate Administrator shall dismiss it.
(c) Complaint of substantial violation. Any person may file a
written complaint with the Associate Administrator alleging that a
substantial violation of any regulation issued under the Motor Carrier
Safety Act of 1984 is occurring or has occurred within the preceding 60
days. A substantial violation is one which could reasonably lead to, or
has resulted in, serious personal injury or death. Each complaint must
be signed by the complainant and must contain:
(1) The name, address, and telephone number of the person who files
it;
(2) The name and address of the alleged violator and, with respect
to each alleged violator, the specific provisions of the regulations
that the complainant believes were violated; and
(3) A concise but complete statement of the facts relied upon to
substantiate each allegation, including the date of each alleged
violation.
(d) Action on complaint of substantial violation. Upon the filing of
a complaint of a substantial violation under paragraph (c) of this
section, the Associate Administrator shall determine whether it is
nonfrivolous and meets the requirements of paragraph (c) of this
section. If the Associate Administrator determines that the complaint is
nonfrivolous and meets the requirements of paragraph (c), he/she shall
investigate the complaint. The complainant shall be timely notified of
findings resulting from such investigation. The Associate Administrator
shall not be required to conduct separate investigations of duplicative
complaints. If the Associate Administrator determines that the complaint
is frivalous or does not meet the requirements of paragraph (c), he/she
shall dismiss the complaint and notify the complainant in writing of the
reasons for such dismissal.
(e) Notwithstanding the provisions of section 552 of title 5, United
States Code, the Associate Administrator shall not disclose the identity
of complainants unless it is determined that such disclosure is
necessary to prosecute a violation. If disclosure becomes necessary, the
Associate Administrator shall take every practical means within the
Associate Administrator's authority to assure that the complainant is
not subject to harassment, intimidation, disciplinary action,
discrimination, or financial loss as a result of such disclosure.

[[Page 591]]

Sec. 386.13 Petitions to review and request for hearing: Driver qualification proceedings.

(a) Within 60 days after service of the determination under
Sec. 391.47 of this chapter or the letter of disqualification, the
driver or carrier may petition to review such action. Such petitions
must be submitted to the Associate Administrator and must contain the
following:
(1) Identification of what action the petitioner wants overturned;
(2) Copies of all evidence upon which petitioner relies in the form
set out in Sec. 386.49;
(3) All legal and other arguments which the petitioner wishes to
make in support of his/her position;
(4) A request for oral hearing, if one is desired, which must set
forth material factual issues believed to be in dispute;
(5) Certification that the reply has been filed in accordance with
Sec. 386.31; and
(6) Any other pertinent material.
(b) Failure to submit a petition as specified in paragraph (a) of
this section shall constitute a waiver of the right to petition for
review of the determination or letter of disqualification. In these
cases, the determination or disqualification issued automatically
becomes the final decision of the Associate Administrator 30 days after
the time to submit the reply or petition to review has expired, unless
the Associate Administrator orders otherwise.
(c) If the petition does not request a hearing, the Associate
Administrator may issue a final decision and order based on the evidence
and arguments submitted.

Sec. 386.14 Replies and request for hearing: Civil forfeiture proceedings.

(a) Time for reply. The respondent must reply within 15 days after a
Claim Letter is served, or 30 days after a Notice of Investigation is
received.
(b) Contents of reply. The reply must contain the following:
(1) An admission or denial of each allegation of the claim or notice
and a concise statement of facts constituting each defense;
(2) If the respondent contests the claim or notice, a request for an
oral hearing or notice of intent to submit evidence without an oral
hearing must be contained in the reply. A request for a hearing must
list all material facts believed to be in dispute. Failure to request a
hearing within 15 days after the Claim Letter is served, or 30 days in
the case of a Notice of Investigation, shall constitute a waiver of any
right to a hearing;
(3) A statement of whether the respondent wishes to negotiate the
terms of payment or settlement of the amount claimed, or the terms and
conditions of the order; and
(4) Certification that the reply has been served in accordance with
Sec. 386.31.
(c) Submission of evidence. If a notice of intent to submit evidence
without oral hearing is filed, or if no hearing is requested under
paragraph (b)(2) of this section, and the respondent contests the claim
or the contents of the notice, all evidence must be served in written
form no later than the 40th day following service of the Claim Letter or
Notice of Investigation. Evidence must be served in the form specified
in Sec. 386.49.
(d) Complainant's request for a hearing. If the respondent files a
notice of intent to submit evidence without formal hearing, the
complainant may, within 15 days after that reply is filed, submit a
request for a formal hearing. The request must include a listing of all
factual issues believed to be in dispute.
(e) Failure to reply or request a hearing. If the respondent does
not reply to a Claim Letter within the time prescribed in this section,
the Claim Letter becomes the final agency order in the proceeding 25
days after it is served. When no reply to the Notice of Investigation is
received, the Associate Administrator may, on motion of any party, issue
a final order in the proceeding.
(f) Non-compliance with final order. Failure to pay the civil
penalty as directed in a final order constitutes a violation of that
order subjecting the respondent to an additional penalty as prescribed
in subpart G of this part.

[50 FR 40306, Oct. 2, 1985, as amended at 56 FR 10183, Mar. 11, 1991]

[[Page 592]]

Sec. 386.15 [Reserved]

Sec. 386.16 Action on petitions or replies.

(a) Replies not requesting an oral hearing. If the reply submitted
does not request an oral hearing, the Associate Administrator may issue
a final decision and order based on the evidence and arguments
submitted.
(b) Request for oral hearing. If a request for an oral hearing has
been filed, the Associate Administrator shall determine whether there
are any material factual issues in dispute. If there are, he/she shall
call the matter for a hearing. If there are none, he/she shall issue an
order to that effect and set a time for submission of argument by the
parties. Upon the submission of argument he/she shall decide the case.
(c) Settlement of civil forfeitures. (1) When negotiations produce
an agreement as to the amount or terms of payment of a civil penalty or
the terms and conditions of an order, a settlement agreement shall be
drawn and signed by the respondent and the Associate Administrator. Such
settlement agreement must contain the following:
(i) The statutory basis of the claim;
(ii) A brief statement of the violations;
(iii) The amount claimed and the amount paid;
(iv) The date, time, and place and form of payment;
(v) A statement that the agreement is not binding on the agency
until executed by the Associate Administrator; and
(vi) A statement that failure to pay in accordance with the terms of
the agreement which has been adopted as a Final Order will result in the
loss of any reductions in penalties for claims found to be valid, and
the original amount claimed will be due immediately.
(2) Any settlement agreement may contain a consent order.
(3) An executed settlement agreement is binding on the respondent
and the claimant according to its terms. The respondent's consent to a
settlement agreement that has not been executed by the Associate
Administrator may not be withdrawn for a period of 30 days after it is
executed by the respondent.
[50 FR 40306, Oct. 2, 1985, as amended at 56 FR 10183, Mar. 11, 1991]

Sec. 386.17 Intervention.

After the matter is called for hearing and before the date set for
the hearing to begin, any person may petition for leave to intervene.
The petition is to be served on the administrative law judge. The
petition must set forth the reasons why the petitioner alleges he/she is
entitled to intervene. The petition must be served on all parties in
accordance with Sec. 386.31. Any party may file a response within 10
days of service of the petition. The administrative law judge shall then
determine whether to permit or deny the petition. The petition will be
allowed if the administrative law judge determines that the final
decision could directly and adversely affect the petitioner or the class
he/she represents, and if the petitioner may contribute materially to
the disposition of the proceedings and his/her interest is not
adequately represented by existing parties. Once admitted, a petitioner
is a party for the purpose of all subsequent proceedings.

Subpart C--Compliance and Consent Orders

Sec. 386.21 Compliance order.

(a) When a respondent contests a Notice of Investigation or fails to
reply to such notice, the final order disposing of the proceeding may
contain a compliance order.
(b) A compliance order shall be executed by the Associate
Administrator and shall contain the following:
(1) A statement of jurisdictional facts;
(2) Findings of facts, or reference thereto in an accompanying
decision, as determined by a hearing officer or by the Associate
Administrator upon respondent's failure to reply to the notice, which
establish the violations charged;
(3) A specific direction to the respondent to comply with the
regulations violated within time limits provided;
(4) Other directions to the respondent to take reasonable measures,
in the

[[Page 593]]

time and manner specified, to assure future compliance;
(5) A statement of the consequences for failure to meet the terms of
the order;
(6) Provision that the Notice of Investigation and the final
decision of the hearing officer or Associate Administrator may be used
to construe the terms of the order; and
(7) A statement that the order constitutes final agency action,
subject to review as provided in 49 U.S.C. 521(b)(8) for violations of
regulations issued under the authority of 49 U.S.C. 3102, the Motor
Carrier Safety Act of 1984 or 12002, 12003, 12004, 12005(b), or
12008(d)(2) of the Commercial Motor Vehicle Safety Act of 1986; or as
provided in 5 U.S.C. 701 et seq., for violations of regulations issued
under the authority of 49 U.S.C. App. 1804 (hazardous materials
proceedings) or 49 U.S.C. 10947 note (financial responsibility
proceedings).
(c) Notice of imminent hazard. A compliance order may also contain
notice that further violations of the same regulations may constitute an
imminent hazard subjecting respondent to an order under subpart F of
this part.

[56 FR 10183, Mar. 11, 1991]

Sec. 386.22 Consent order.

When a respondent has filed an election not to contest under
Sec. 386.15(a), or has agreed to settlement of a civil forfeiture, and
at any time before the hearing is concluded, the parties may execute an
appropriate agreement for disposing of the case by consent for the
consideration of the Associate Administrator. The agreement is filed
with the Associate Administrator who may (a) accept it, (b) reject it
and direct that proceedings in the case continue, or (c) take such other
action as he/she deems appropriate. If the Associate Administrator
accepts the agreement, he/she shall enter an order in accordance with
its terms.

[50 FR 40306, Oct. 2, 1985. Redesignated at 56 FR 10183, Mar. 11, 1991]

Sec. 386.23 Content of consent order.

(a) Every agreement filed with the Associate Administrator under
Sec. 386.22 must contain:
(1) An order for the disposition of the case in a form suitable for
the Associate Administrator's signature that has been signed by the
respondent;
(2) An admission of all jurisdictional facts;
(3) A waiver of further procedural steps, of the requirement that
the decision or order must contain findings of fact and conclusions of
law, and of all right to seek judicial review or otherwise challenge or
contest the validity of the order;
(4) Provisions that the notice of investigation or settlement
agreement may be used to construe the terms of the order;
(5) Provisions that the order has the same force and effect, becomes
final, and may be modified, altered, or set aside in the same manner as
other orders issued under 49 U.S.C. 501 et seq., 2501 et seq., 3101 et
seq., and 10927, note; and
(6) Provisions that the agreement will not be part of the record in
the proceeding unless and until the Associate Administrator executes it.
(b) A consent order may also contain any of the provisions
enumerated in Sec. 386.21--Compliance Order.

[50 FR 40306, Oct. 2, 1985. Redesignated and amended at 56 FR 10183,
Mar. 11, 1991]

Subpart D--General Rules and Hearings

Sec. 386.31 Service.

(a) All service required by these rules shall be by mail or by
personal delivery. Service by mail is complete upon mailing.
(b) A certificate of service shall accompany all pleadings, motions,
and documents when they are tendered for filing, and shall consist of a
certificate of personal delivery or a certificate of mailing, executed
by the person making the personal delivery or mailing the document. The
first pleading of the Government in a proceeding initiated under this
part shall have attached to it a service list of persons to be served.
This list shall be updated as necessary.
(c) Copies of all pleadings, motions, and documents must be served
on the docket clerk and upon all parties to the proceedings by the
person filing

[[Page 594]]

them, in the number of copies indicated on the Government's initial
service list.

Sec. 386.32 Computation of time.

(a) Generally, in computing any time period set out in these rules
or in an order issued hereunder, the time computation begins with the
day following the act, event, or default. The last day of the period is
included unless it is a Saturday, Sunday, or legal Federal holiday in
which case the time period shall run to the end of the next day that is
not a Saturday, Sunday, or legal Federal holiday. All Saturdays,
Sundays, and legal Federal holidays except those falling on the last day
of the period shall be computed.
(b) Date of entry of orders. In computing any period of time
involving the date of the entry of an order, the date of entry shall be
the date the order is served.
(c) Computation of time for delivery by mail. (1) Documents are not
deemed filed until received by the docket clerk. However, when documents
are filed by mail, 5 days shall be added to the prescribed period.
(2) Service of all documents is deemed effected at the time of
mailing.
(3) Whenever a party has the right or is required to take some
action within a prescribed period after the service of a pleading,
notice, or other document upon said party, and the pleading, notice, or
document is served upon said party by mail, 5 days shall be added to the
prescribed period.

Sec. 386.33 Extension of time.

All requests for extensions of time shall be filed with the
Associate Administrator or, if the matter has been called for a hearing,
with the administrative law judge. All requests must state the reasons
for the request. Only those requests showing good cause will be granted.
No motion for continuance or postponement of a hearing date filed within
7 days of the date set for a hearing will be granted unless it is
accompanied by an affidavit showing that extraordinary circumstances
warrant a continuance.

Sec. 386.34 Official notice.

The Associate Administrator or administrative law judge may take
official notice of any fact not appearing in evidence if he/she notifies
all parties he/she intends to do so. Any party objecting to the official
notice shall file an objection within 10 days after service of the
notice.

Sec. 386.35 Motions.

(a) General. An application for an order or ruling not otherwise
covered by these rules shall be by motion. All motions filed prior to
the calling of the matter for a hearing shall be to the Associate
Administrator. All motions filed after the matter is called for hearing
shall be to the administrative law judge.
(b) Form. Unless made during hearing, motions shall be made in
writing, shall state with particularity the grounds for relief sought,
and shall be accompanied by affidavits or other evidence relied upon.
(c) Answers. Except when a motion is filed during a hearing, any
party may file an answer in support or opposition to a motion,
accompanied by affidavits or other evidence relied upon. Such answers
shall be served within 7 days after the motion is served or within such
other time as the Associate Administrator or administrative law judge
may set.
(d) Argument. Oral argument or briefs on a motion may be ordered by
the Associate Administrator or the administrative law judge.
(e) Disposition. Motions may be ruled on immediately or at any other
time specified by the administrative law judge or the Associate
Administrator.
(f) Suspension of time. The pendency of a motion shall not affect
any time limits set in these rules unless expressly ordered by the
Associate Administrator or administrative law judge.

Sec. 386.36 Motions to dismiss and motions for a more definite statement.

(a) Motions to dismiss must be made within the time set for reply or
petition to review, except motions to dismiss for lack of jurisdiction,
which may be made at any time.
(b) Motions for a more definite statement may be made in lieu of a
reply.

[[Page 595]]

The motion must point out the defects complained of and the details
desired. If the motion is granted, the pleading complained of must be
remedied within 15 days of the granting of the motion or it will be
stricken. If the motion is denied, the party who requested the more
definite statement must file his/her pleading within 10 days after the
denial.

Sec. 386.37 Discovery methods.

Parties may obtain discovery by one or more of the following
methods: Depositions upon oral examination or written questions; written
interrogatories; production of documents or other evidence for
inspection and other purposes; physical and mental examinations; and
requests for admission. Unless the Associate Administrator or, in cases
that have been called for a hearing, the administrative law judge orders
otherwise, the fequency or sequence of these methods is not limited.

Sec. 386.38 Scope of discovery.

(a) Unless otherwise limited by order of the Associate Administrator
or, in cases that have been called for a hearing, the administrative law
judge, in accordance with these rules, the parties may obtain discovery
regarding any matter, not privileged, which is relevant to the subject
matter involved in the proceeding, including the existence, description,
nature, custody, condition, and location of any books, documents, or
other tangible things and the identity and location of persons having
knowledge of any discoverable matter.
(b) It is not ground for objection that information sought will not
be admissible at the hearing if the information sought appears
reasonably calculated to lead to the discovery of admissible evidence.
(c) A party may obtain discovery of documents and tangible things
otherwise discoverable under paragraph (a) of this section and prepared
in anticipation of or for the hearing by or for another party's
representative (including his or her attorney, consultant, surety,
indemnitor, insurer, or agent) only upon a showing that the party
seeking discovery has substantial need of the materials in the
preparation of his or her case and that he or she is unable without
undue hardship to obtain the substantial equivalent of the materials by
other means. In ordering discovery of such materials when the required
showing has been made, the Associate Administrator or the administrative
law judge shall protect against disclosure of the mental impressions,
conclusions, opinions, or legal theories of an attorney or other
representative of a party concerning the proceeding.

Sec. 386.39 Protective orders.

Upon motion by a party or other person from whom discovery is
sought, and for good cause shown, the Associate Administrator or the
administrative law judge, if one has been appointed, may make any order
which justice requires to protect a party or person from annoyance,
embarrassment, oppression, or undue burden or expense, including one or
more of the following:
(a) The discovery not be had;
(b) The discovery may be had only on specified terms and conditions,
including a designation of the time or place;
(c) The discovery may be had only by a method of discovery other
than that selected by the party seeking discovery;
(d) Certain matters not relevant may not be inquired into, or that
the scope of discovery be limited to certain matters;
(e) Discovery be conducted with no one present except persons
designated by the Associate Administrator or the administrative law
judge; or
(f) A trade secret or other confidential research, development, or
commercial information may not be disclosed or be disclosed only in a
designated way.

Sec. 386.40 Supplementation of responses.

A party who has responded to a request for discovery with a response
that was complete when made is under no duty to supplement his/her
response to include information thereafter acquired, except as follows:
(a) A party is under a duty to supplement timely his/her response
with respect to any question directly addressed to:

[[Page 596]]

(1) The identity and location of persons having knowledge of
discoverable matters; and
(2) The identity of each person expected to be called as an expert
witness at the hearing, the subject matter on which he or she is
expected to testify and the substance of his or her testimony.
(b) A party is under a duty to amend timely a prior response if he
or she later obtains information upon the basis of which:
(1) he or she knows the response was incorrect when made; or
(2) he or she knows that the response though correct when made is no
longer true and the circumstances are such that a failure to amend the
response is in substance a knowing concealment.
(c) A duty to supplement responses may be imposed by order of the
Associate Administrator or the administrative law judge or agreement of
the parties.

Sec. 386.41 Stipulations regarding discovery.

Unless otherwise ordered, a written stipulation entered into by all
the parties and filed with the Associate Administrator or the
administrative law judge, if one has been appointed, may:
(a) Provide that depositions be taken before any person, at any time
or place, upon sufficient notice, and in any manner, and when so taken
may be used like other depositions, and
(b) Modify the procedures provided by these rules for other methods
of discovery.

Sec. 386.42 Written interrogatories to parties.

(a) Any party may serve upon any other party written interrogatories
to be answered in writing by the party served, or if the party served is
a public or private corporation or a partnership or association or
governmental agency, by any authorized officer or agent, who shall
furnish such information as is available to the party. A copy of the
interrogatories, answers, and all related pleadings shall be served on
the Associate Administrator or, in cases that have been called to a
hearing, on the administrative law judge, and upon all parties to the
proceeding.
(b) Each interrogatory shall be answered separately and fully in
writing under oath or affirmation, unless it is objected to, in which
event the reasons for objection shall be stated in lieu of an answer.
The answers and objections shall be signed by the person making them.
The party upon whom the interrogatories were served shall serve a copy
of the answer and objections upon all parties to the proceeding within
30 days after service of the interrogatories, or within such shortened
or longer period as the Associate Administrator or the administrative
law judge may allow.
(c) An interrogatory otherwise proper is not necessarily
objectionable merely because an answer to the interrogatory involves an
opinion or contention that relates to fact or the application of law to
fact, but the Associate Administrator or administrative law judge may
order that such an interrogatory need not be answered until after
designated discovery has been completed or until a prehearing conference
or other later time.

Sec. 386.43 Production of documents and other evidence; entry upon land for inspection and other purposes; and physical and mental examination.

(a) Any party may serve on any other party a request to:
(1) Produce and permit the party making the request, or a person
acting on his or her behalf, to inspect and copy any designated
documents, or to inspect and copy, test, or sample any tangible things
which are in the possession, custody, or control of the party upon whom
the request is served; or
(2) Permit entry upon designated land or other property in the
possession or control of the party upon whom the request is served for
the purpose of inspection and measuring, photographing, testing, or for
other purposes as stated in paragraph (a)(1) of this section.
(3) Submit to a physical or mental examination by a physician.
(b) The request may be served on any party without leave of the
Associate Administrator or administrative law judge.
(c) The request shall:

[[Page 597]]

(1) Set forth the items to be inspected either by individual item or
category;
(2) Describe each item or category with reasonable particularity;
(3) Specify a reasonable time, place, and manner of making the
inspection and performing the related acts;
(4) Specify the time, place, manner, conditions, and scope of the
physical or mental examination and the person or persons by whom it is
to be made. A report of examining physician shall be made in accordance
with Rule 35(b) of the Federal Rules of Civil Procedure, title 28, U.S.
Code, as amended.
(d) The party upon whom the request is served shall serve on the
party submitting the request a written response within 30 days after
service of the request.
(e) The response shall state, with respect to each item or category:
(1) That inspection and related activities will be permitted as
requested; or
(2) That objection is made in whole or in part, in which case the
reasons for objection shall be stated.
(f) A copy of each request for production and each written response
shall be served on all parties and filed with the Associate
Administrator or the administrative law judge, if one has been
appointed.

Sec. 386.44 Request for admissions.

(a) Request for admission. (1) Any party may serve upon any other
party a request for admission of any relevant matter or the authenticity
of any relevant document. Copies of any document about which an
admission is requested must accompany the request.
(2) Each matter for which an admission is requested shall be
separately set forth and numbered. The matter is admitted unless within
15 days after service of the request, the party to whom the request is
directed serves upon the party requesting the admission a written answer
signed by the party or his/her attorney.
(3) Each answer must specify whether the party admits or denies the
matter. If the matter cannot be admitted or denied, the party shall set
out in detail the reasons.
(4) A party may not issue a denial or fail to answer on the ground
that he/she lacks knowledge unless he/she has made reasonable inquiry to
ascertain information sufficient to allow him/her to admit or deny.
(5) A party may file an objection to a request for admission within
10 days after service. Such motion shall be filed with the
administrative law judge if one has been appointed, otherwise it shall
be filed with the Associate Administrator. An objection must explain in
detail the reasons the party should not answer. A reply to the objection
may be served by the party requesting the admission within 10 days after
service of the objection. It is not sufficient ground for objection to
claim that the matter about which an admission is requested presents an
issue of fact for hearing.
(b) Effect of admission. Any matter admitted is conclusively
established unless the Associate Administrator or administrative law
judge permits withdrawal or amendment. Any admission under this rule is
for the purpose of the pending action only and may not be used in any
other proceeding.
(c) If a party refuses to admit a matter or the authenticity of a
document which is later proved, the party requesting the admission may
move for an award of expenses incurred in making the proof. Such a
motion shall be granted unless there was a good reason for failure to
admit.

Sec. 386.45 Motion to compel discovery.

(a) If a deponent fails to answer a question propounded or a party
upon whom a request is made pursuant to Secs. 386.42 through 386.44, or
a party upon whom interrogatories are served fails to respond adequately
or objects to the request, or any part thereof, or fails to permit
inspection as requested, the discovering party may move the Associate
Administrator or the administrative law judge, if one has been
appointed, for an order compelling a response or inspection in
accordance with the request.
(b) The motion shall set forth:
(1) The nature of the questions or request;

[[Page 598]]

(2) The response or objections of the party upon whom the request
was served; and
(3) Arguments in support of the motion.
(c) For purposes of this section, an evasive answer or incomplete
answer or response shall be treated as a failure to answer or respond.
(d) In ruling on a motion made pursuant to this section, the
Associate Administrator or the administrative law judge, if one has been
appointed, may make and enter a protective order such as he or she is
authorized to enter on a motion made pursuant to Sec. 386.39(a).

Sec. 386.46 Depositions.

(a) When, how, and by whom taken. The deposition of any witness may
be taken at any stage of the proceeding at reasonable times. Depositions
may be taken by oral examination or upon written interrogatories before
any person having power to administer oaths.
(b) Application. Any party desiring to take the deposition of a
witness shall indicate to the witness and all other parties the time
when, the place where, and the name and post office address of the
person before whom the deposition is to be taken; the name and address
of each witness; and the subject matter concerning which each such
witness is expected to testify.
(c) Notice. Notice shall be given for the taking of a deposition,
which shall be not less than 5 days written notice when the deposition
is to be taken within the continental United States and not less than 20
days written notice when the deposition is to be taken elsewhere.
(d) Taking and receiving in evidence. Each witness testifying upon
deposition shall be sworn, and any other party shall have the right to
cross-examine. The questions propounded and the answers thereto,
together with all objections made, shall be reduced to writing; read by
or to, and subscribed by the witness; and certified by the person
administering the oath. Thereafter, such officer shall seal the
deposition in an envelope and mail the same by certified mail to the
Associate Administrator or the administrative law judge, if one has been
appointed. Subject to such objections to the questions and answers as
were noted at the time of taking the deposition and which would have
been valid if the witness were personally present and testifying, such
deposition may be read and offered in evidence by the party taking it as
against any party who was present or represented at the taking of the
deposition or who had due notice thereof.
(e) Motion to terminate or limit examination. During the taking of a
deposition, a party or deponent may request suspension of the deposition
on grounds of bad faith in the conduct of the examination, oppression of
a deponent or party or improper questions propounded. The deposition
will then be adjourned. However, the objecting party or deponent must
immediately move the Associate Administrator or administrative law judge
for a ruling on his or her objections to the deposition conduct or
proceedings. The Associate Administrator or administrative law judge may
then limit the scope or manner of the taking of the deposition.

Sec. 386.47 Use of deposition at hearings.

(a) Generally. At the hearing, any part or all of a deposition, so
far as admissible under the rules of evidence, may be used against any
party who was present or represented at the taking of the deposition or
who had due notice thereof in accordance with any one of the following
provisions:
(1) Any deposition may be used by any party for the purpose of
contradicting or impeaching the testimony of the deponent as a witness.
(2) The deposition of expert witnesses, particularly the deposition
of physicians, may be used by any party for any purpose, unless the
Associate Administrator or administrative law judge rules that such use
would be unfair or a violation of due process.
(3) The deposition of a party or of anyone who at the time of taking
the deposition was an officer, director, or duly authorized agent of a
public or private organization, partnership, or association which is a
party, may be used by any other party for any purpose.
(4) The deposition of a witness, whether or not a party, may be used
by any party for any purpose if the presiding officer finds:

[[Page 599]]

(i) That the witness is dead; or
(ii) That the witness is out of the United States or more than 100
miles from the place of hearing unless it appears that the absence of
the witness was procured by the party offering the deposition; or
(iii) That the witness is unable to attend to testify because of
age, sickness, infirmity, or imprisonment; or
(iv) That the party offering the deposition has been unable to
procure the attendance of the witness by subpoena; or
(v) Upon application and notice, that such exceptional circumstances
exist as to make it desirable, in the interest of justice and with due
regard to the importance of presenting the testimony of witnesses orally
in open hearing, to allow the deposition to be used.
(5) If only part of a deposition is offered in evidence by a party,
any other party may require him or her to introduce all of it which is
relevant to the part introduced, and any party may introduce any other
parts.
(b) Objections to admissibility. Except as provided in this
paragraph, objection may be made at the hearing to receiving in evidence
any deposition or part thereof for any reason which would require the
exclusion of the evidence if the witness were then present and
testifying.
(1) Objections to the competency of a witness or to the competency,
relevancy or materiality of testimony are not waived by failure to make
them before or during the taking of the deposition, unless the ground of
the objection is one which might have been obviated or removed if
presented at that time.
(2) Errors and irregularities occurring at the oral examination in
the manner of taking the deposition, in the form of the questions or
answers, in the oath or affirmation, or in the conduct of parties and
errors of any kind which might be obviated, removed, or cured if
promptly presented, are waived unless reasonable objection thereto is
made at the taking of the deposition.
(3) Objections to the form or written interrogatories are waived
unless served in writing upon the party propounding them.
(c) Effect of taking using depositions. A party shall not be deemed
to make a person his or her own witness for any purpose by taking his or
her deposition. The introduction in evidence of the deposition or any
part thereof for any purpose other than that of contradicting or
impeaching the deponent makes the deponent the witness of the party
introducing the deposition, but this shall not apply to the use by any
other party of a deposition as described in paragraph (a)(2) of this
section. At the hearing, any party may rebut any relevant evidence
contained in a deposition whether introduced by him or her or by any
other party.

Sec. 386.48 Medical records and physicians' reports.

In cases involving the physical qualifications of drivers, copies of
all physicians' reports, test results, and other medical records that a
party intends to rely upon shall be served on all other parties at least
30 days prior to the date set for a hearing. Except as waived by the
Director, Office of Motor Carrier Standards, reports, test results and
medical records not served under this rule shall be excluded from
evidence at any hearing.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988]

Sec. 386.49 Form of written evidence.

All written evidence shall be submitted in the following forms:
(a) An affidavit of a person having personal knowledge of the facts
alleged, or
(b) Documentary evidence in the form of exhibits attached to an
affidavit identifying the exhibit and giving its source.

Sec. 386.50 Appearances and rights of witnesses.

(a) Any party to a proceeding may appear and be heard in person or
by attorney. A regular employee of a party who appears on behalf of the
party may be required by the administrative law judge to show his or her
authority to so appear.
(b) Any person submits data or evidence in a proceeding governed by
this part may, upon timely request and payment of costs, procure a copy
of any document submitted by him/her or of any transcript. Original
documents,

[[Page 600]]

data or evidence may be retained upon permission of the administrative
law judge or Associate Administrator upon substitution of copy therefor.

Sec. 386.51 Amendment and withdrawal of pleadings.

(a) Except in instances covered by other rules, anytime more than 15
days prior to the hearing, a party may amend his/her pleadings by
serving the amended pleading on the Associate Administrator or the
administrative law judge, if one has been appointed, and on all parties.
Within 15 days prior to the hearing, an amendment shall be allowed only
at the discretion of the Administrative law judge. When an amended
pleading is filed, other parties may file a response and objection
within 10 days.
(b) A party may withdraw his/her pleading only on approval of the
administrative law judge or Associate Administrator.

Sec. 386.52 Appeals from interlocutory rulings.

Rulings of the administrative law judge may not be appealed to the
Associate Administrator prior to his/her consideration of the entire
proceeding except under exceptional circumstances and with the consent
of the administrative law judge. In deciding whether to allow appeals,
the administrative law judge shall determine whether the appeal is
necessary to prevent undue prejudice to a party or to prevent
substantial detriment to the public interest.

Sec. 386.53 Subpoenas, witness fees.

(a) Applications for the issuance of subpoenas must be submitted to
the Associate Administrator, or in cases that have been called for a
hearing, to the administrative law judge. The application must show the
general relevance and reasonable scope of the evidence sought. Any
person served with a subpoena may, within 7 days after service, file a
motion to quash or modify. The motion must be filed with the official
who approved the subpoena. The filing of a motion shall stay the effect
of the subpoena until a decision is reached.
(b) Witnesses shall be entitled to the same fees and mileage as are
paid witnesses in the courts of the United States. The fees shall be
paid by the party at whose instance the witness is subpoenaed or
appears.
(c) Paragraph (a) of this section shall not apply to the
Administrator or employees of the FHWA or to the production of documents
in their custody. Applications for the attendance of such persons or the
production of such documents at a hearing shall be made to the Associate
Administrator or administrative law judge, if one is appointed, and
shall set forth the need for such evidence and its relevancy.

Sec. 386.54 Administrative law judge.

(a) Appointment. After the matter is called for hearing, the
Associate Administrator shall appoint an administrative law judge.
(b) Power and duties. Except as provided in paragraph (c) of this
section, the administrative law judge has power to take any action and
to make all needful rules and regulations to govern the conduct of the
proceedings to ensure a fair and impartial hearing, and to avoid delay
in the disposition of the proceedings. his/her powers include the
following:
(1) To administer oaths and affirmations;
(2) To issue orders permitting inspection and examination of lands,
buildings, equipment, and any other physical thing and the copying of
any document;
(3) To issue subpoenas for the attendance of witnesses and the
production of evidence as authorized by law;
(4) To rule on offers of proof and receive evidence;
(5) To regulate the course of the hearing and the conduct of
participants in it;
(6) To consider and rule upon all procedural and other motions,
including motions to dismiss, except motions which, under this part, are
made directly to the Associate Administrator;
(7) To hold conferences for settlement, simplification of issues, or
any other proper purpose;
(8) To make and file decisions; and

[[Page 601]]

(9) To take any other action authorized by these rules and permitted
by law.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988]

Sec. 386.55 Prehearing conferences.

(a) Convening. At any time before the hearing begins, the
administrative law judge, on his/her own motion or on motion by a party,
may direct the parties or their counsel to participate with him/her in a
prehearing conference to consider the following:
(1) Simplification and clarification of the issues;
(2) Necessity or desirability of amending pleadings;
(3) Stipulations as to the facts and the contents and authenticity
of documents;
(4) Issuance of and responses to subpoenas;
(5) Taking of depositions and the use of depositions in the
proceedings;
(6) Orders for discovery, inspection and examination of premises,
production of documents and other physical objects, and responses to
such orders;
(7) Disclosure of the names and addresses of witnesses and the
exchange of documents intended to be offered in evidence; and
(8) Any other matter that will tend to simplify the issues or
expedite the proceedings.
(b) Order. The administrative law judge shall issue an order which
recites the matters discussed, the agreements reached, and the rulings
made at the prehearing conference. The order shall be served on the
parties and filed in the record of the proceedings.

Sec. 386.56 Hearings.

(a) As soon as practicable after his/her appointment, the
administrative law judge shall issue an order setting the date, time,
and place for the hearing. The order shall be served on the parties and
become a part of the record of the proceedings. The order may be amended
for good cause shown.
(b) Conduct of hearing. The administrative law judge presides over
the hearing. Hearings are open to the public unless the administrative
law judge orders otherwise.
(c) Evidence. Except as otherwise provided in these rules and the
Administrative Procedure Act, 5 U.S.C. 551 et seq., the Federal Rules of
Evidence shall be followed.
(d) Information obtained by investigation. Any document, physical
exhibit, or other material obtained by the Administration in an
investigation under its statutory authority may be disclosed by the
Administration during the proceeding and may be offered in evidence by
counsel for the Administration.
(e) Record. The hearing shall be stenographically transcribed and
reported. The transcript, exhibits, and other documents filed in the
proceedings shall constitute the official record of the proceedings. A
copy of the transcript and exhibits will be made available to any person
upon payment of prescribed costs.

Sec. 386.57 Proposed findings of fact, conclusions of law.

The administrative law judge shall afford the parties reasonable
opportunity to submit proposed findings of fact, conclusions of law, and
supportng reasons therefor. If the administrative law judge orders
written proposals and arguments, each proposed finding must include a
citation to the specific portion of the record relied on to support it.
Written submissions, if any, must be served within the time period set
by the administrative law judge.

Sec. 386.58 Burden of proof.

(a) Enforcement cases. The burden of proof shall be on the
Administration in enforcement cases.
(b) Conflict of medical opinion. The burden of proof in cases
arising under Sec. 391.47 of this chapter shall be on the party
petitioning for review under Sec. 386.13(a).

Subpart E--Decision

Sec. 386.61 Decision.

After receiving the proposed findings of fact, conclusions of law,
and arguments of the parties, the administrative law judge shall issue a
decision. If the proposed findings of fact, conclusions of law, and
arguments were oral, he/she may issue an oral decision. The

[[Page 602]]

decision of the administrative law judge becomes the final decision of
the Associate Administrator 45 days after it is served unless a petition
or motion for review is filed under Sec. 386.62. The decision shall be
served on all parties and on the Associate Administrator.

Sec. 386.62 Review of administrative law judge's decision.

(a) All petitions to review must be accompanied by exceptions and
briefs. Each petition must set out in detail objections to the initial
decision and shall state whether such objections are related to alleged
errors of law or fact. It shall also state the relief requested. Failure
to object to any error in the initial decision shall waive the right to
allege such error in subsequent proceedings.
(b) Reply briefs may be filed within 30 days after service of the
appeal brief.
(c) No other briefs shall be permitted except upon request of the
Associate Administrator.
(d) Copies of all briefs must be served on all parties.
(e) No oral argument will be permitted except on order of the
Associate Administrator.

Sec. 386.63 Decision on review.

Upon review of a decision, the Associate Administrator may adopt,
modify, or set aside the administrative law judge's findings of fact and
conclusions of law. He/she may also remand proceedings to the
administrative law judge with instructions for such further proceedings
as he/she deems appropriate. If not remanded, the Associate
Administrator shall issue a final order disposing of the proceedings,
and serve it on all parties.

Sec. 386.64 Reconsideration.

Within 20 days after the Associate Administrator's final order is
issued, any party may petition the Associate Administrator for
reconsideration of his/her findings of fact, conclusions of law, or
final order. The filing of a petition for reconsideration does not stay
the effectiveness of the final order unless the Associate Administrator
so orders.

Sec. 386.65 Failure to comply with final order.

If, within 30 days of receipt of a final agency order issued under
this part, the respondent does not submit in writing his/her acceptance
of the terms of an order directing compliance, or, where appropriate,
pay a civil penalty, or file an appeal under Sec. 386.67, the case may
be referred to the Attorney General with a request that an action be
brought in the appropriate United States District Court to enforce the
terms of a compliance order or collect the civil penalty.

Sec. 386.66 Motions for rehearing or for modification.

(a) No motion for rehearing or for modification of an order shall be
entertained for 1 year following the date the Associate Administrator's
order goes into effect. After 1 year, any party may file a motion with
the Associate Administrator requesting a rehearing or modification of
the order. The motion must contain the following:
(1) A copy of the order about which the change is requested;
(2) A statement of the changed circumstances justifying the request;
and
(3) Copies of all evidence intended to be relied on by the party
submitting the motion.
(b) Upon receipt of the motion, the Associate Administrator may make
a decision denying the motion or modifying the order in whole or in
part. He/she may also, prior to making his/her decision, order such
other proceedings under these rules as he/she deems necessary and may
request additional information from the party making the motion.

Sec. 386.67 Appeal.

Any aggrieved person, who, after a hearing, is adversely affected by
a final order issued under 49 U.S.C. 521 may, within 30 days, petition
for review of the order in the United States Court of Appeals in the
circuit wherein the violation is alleged to have occurred or where the
violator has his/her principal place of business or residence, or in the
United States Court of Appeals for the District of Columbia Circuit.
Review of

[[Page 603]]

the order shall be based on a determination of whether the Associate
Administrator's findings and conclusions were supported by substantial
evidence, or were otherwise not in accordance with law. No objection
that has not been urged before the Associate Administrator shall be
considered by the court, unless reasonable grounds existed for failure
or neglect to do so. The commencement of proceedings under this section
shall not, unless ordered by the court, operate as a stay of the order
of the Associate Administrator.

Subpart F--Injunctions and Imminent Hazards

Sec. 386.71 Injunctions.

Whenever it is determined that a person has engaged, or is about to
engage, in any act or practice constituting a violation of section 3102
of title 49, United States Code, or the Motor Carrier Safety Act of
1984, or the Hazardous Materials Transportation Act, or any regulation
or order issued under that section or those Acts for which the Federal
Highway Administrator exercises enforcement responsibility, the Chief
Counsel or the Assistant Chief Counsel for Motor Carrier and Highway
Safety Law may request the United States Attorney General to bring an
action in the appropriate United States District Court for such relief
as is necessary or appropriate, including mandatory or prohibitive
injunctive relief, interim equitable relief, and punitive damages, as
provided by section 213(c) of the Motor Carrier Safety Act of 1984 and
section 111(a) of the Hazardous Materials Transportation Act (49 U.S.C.
507(c), 1810).

Sec. 386.72 Imminent hazard.

(a) Whenever it is determined that there is substantial likelihood
that death, serious illness, or severe personal injury, will result from
the transportation by motor vehicle of a particular hazardous material
before a notice of investigation proceeding, or other administrative
hearing or formal proceeding to abate the risk of harm can be completed,
the Chief Counsel or the Assistant Chief Counsel for Motor Carrier and
Highway Safety Law may bring, or request the United States Attorney
General to bring, an action in the appropriate United States District
Court for an order suspending or restricting the transportation by motor
vehicle of the hazardous material or for such other order as is
necessary to eliminate or ameliorate the imminent hazard, as provided by
section 111(b) of the Hazardous Materials Transportation Act (49 U.S.C.
1810).
(b)(1) Whenever it is determined that a violation of 49 U.S.C. 3102
or the Motor Carrier Safety Act of 1984 or the Commercial Motor Vehicle
Safety Act of 1986 or a regulation issued under such section or Acts, or
combination of such violations, poses an imminent hazard to safety, the
Director, Motor Carrier Safety Field Operations or the Regional Director
of Motor Carriers, or his or her delegate, shall order a vehicle or
employee operating such vehicle out of service, or order an employer to
cease all or part of the employer's commercial motor vehicle operations
as provided by section 213(b) of the Motor Carrier Safety Act of 1984
and section 12012(d) of the Commercial Motor Vehicle Safety Act of 1986.
(49 U.S.C. 521(b)(5)). In making any such order, no restrictions shall
be imposed on any employee or employer beyond that required to abate the
hazard. In this paragraph, ``imminent hazard'' means any condition of
vehicle, employee, or commercial motor vehicle operations which is
likely to result in serious injury or death if not discontinued
immediately.
(2) Upon the issuance of an order under paragraph (b)(1) of this
section, the motor carrier employer or driver employee shall comply
immediately with such order. Opportunity for review shall be provided in
accordance with 5 U.S.C. 554, except that such review shall occur not
later than 10 days after issuance of such order, as provided by section
213(b) of the Motor Carrier Safety Act of 1984 (49 U.S.C. 521(b)(5)). An
order to an employer to cease all or part of its operations shall not
prevent vehicles in transit at the time the order is served from
proceeding to their immediate destinations, unless any such vehicle or
its driver is specifically ordered out of service

[[Page 604]]

forthwith. However, vehicles and drivers proceeding to their immediate
destination shall be subject to compliance upon arrival.
(3) For purposes of this section the term ``immediate destination''
is the next scheduled stop of the vehicle already in motion where the
cargo on board can be safely secured.
(4) Failure to comply immediately with an order issued under this
section shall subject the motor carrier employer or driver to penalties
prescribed in subpart G of this part.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 53
FR 50970, Dec. 19, 1988; 56 FR 10184, Mar. 11, 1991]

Subpart G--Penalties

Source: 56 FR 10184, Mar. 11, 1991, unless otherwise noted.

Sec. 386.81 General.

(a) The maximum amounts of civil penalties that can be imposed for
regulatory violations subject to the civil forfeiture proceedings in
this part are set in the statutes authorizing the regulations. The
determination of the actual civil penalties assessed in each proceeding
is based on those defined limits and consideration of information
available at the time the claim is made concerning the nature,
circumstances, extent, and gravity of the violation and, with respect to
the violator, the degree of culpability, history of prior offenses,
ability to pay, effect on ability to continue to do business, and such
other matters as justice and public safety may require. In adjudicating
the claims and notices under the administrative procedures herein,
additional information may be developed regarding those factors that may
affect the final amount of the claim.
(b) When assessing penalties for violations of notices and orders or
settling claims based on these assessments, consideration will be given
to good faith efforts to achieve compliance with the terms of the
notices and orders.

Sec. 386.82 Civil penalties for violations of notices and orders.

(a) Additional civil penalties are chargeable for violations of
notices and orders which are issued under civil forfeiture proceedings
pursuant to 49 U.S.C. 521(b). These notices and orders are as follows:
(1) Notice to abate--Sec. 386.11 (b)(2) and (c)(1)(iv);
(2) Notice to post--Sec. 386.11(b)(3);
(3) Final order--Sec. 386.14(f); and
(4) Out-of-service order--Sec. 386.72(b)(3).
(b) A schedule of these additional penalties is provided in the
appendix A to this part. All the penalties are maximums, and discretion
will be retained to meet special circumstances by setting penalties for
violations of notices and orders, in some cases, at less than the
maximum.
(c) Claims for penalties provided in this section and in the
appendix A to this part shall be made through the civil forfeiture
proceedings contained in this part. The issues to be decided in such
proceedings will be limited to whether violations of notices and orders
occurred as claimed and the appropriate penalty for such violations.
Nothing contained herein shall be construed to authorize the reopening
of a matter already finally adjudicated under this part.

Appendix A to Part 386--Penalty Schedule; Violations of Notices and
Orders

I. Notice to Abate

a. Violation--failure to cease violations of the regulations in the
time prescribed in the notice.

(The time within which to comply with a notice to abate shall not begin
to run with respect to contested violations, i.e., where there are
material issues in dispute under Sec. 386.14, until such time as the
violation has been established.)

Penalty--reinstatement of any deferred assessment or payment of a
penalty or portion thereof.
b. Violation--failure to comply with specific actions prescribed in
a notice of investigation, compliance order or consent order, other than
cessation of violations of the regulations, which were determined to be
essential to abatement of future violations.
Penalty--$1,000 per violation per day.
Maximum--$10,000.

II. Notice to Post

Violation--Failure to post notice of violation (i.e., notice of
investigation) as prescribed.

[[Page 605]]

Penalty--$500 (A separate violation may be charged each time a
failure to post as ordered is discovered.)

III. Final Order

Violation--Failure to comply with final agency order, i.e., failure
to pay the penalty assessed therein after notice and opportunity for
hearing within time prescribed in the order.
Penalty--Automatic waiver of any reduction in the original claim
found to be valid, and immediate restoration to the full amount assessed
in the Claim Letter or Notice of Investigation.

IV. Out-of-Service Order

a. Violation--Operation of a commercial vehicle by a driver during
the period the driver was placed out of service.
Penalty--Up to $1,000 per violation.

(For purposes of this violation, the term ``driver'' means an operator
of a commercial motor vehicle, including an independent contractor who,
while in the course of operating a commercial motor vehicle, is employed
or used by another person.)

b. Violation--Requiring or permitting a driver to operate a
commercial vehicle during the period the driver was placed out of
service.
Penalty--Up to $10,000 per violation.

(This violation applies to motor carriers, including an independent
contractor who is not a ``driver,'' as defined under paragraph IVa
above.)
c. Violation--Operation of a commercial motor vehicle by a driver
after the vehicle was placed out of service and before the required
repairs are made.
Penalty--$1,000 each time the vehicle is so operated.

(This violation applies to drivers as defined in IVa above.)

d. Violation--Requiring or permitting the operation of a commercial
motor vehicle placed out of service before the required repairs are
made.
Penalty--Up to $10,000 each time the vehicle is so operated after
notice of the defect is received.

(This violation applies to motor carriers, including an independent
owner-operator who is not a ``driver,'' as defined in IVa above.)

e. Violation--Failure to return written certification of correction
as required by the out-of-service order.
Penalty--Up to $500 per violation.
f. Violation--Knowingly falsifies written certification of
correction required by the out-of-service order.
Penalty--Considered the same as the violations described in
paragraphs IVc and IVd above, and subject to the same penalties.
Note: Falsification of certification may also result in criminal
prosecution under 18 U.S.C. 1001.

g. Violation--Operating in violation of an order issued under
Sec. 386.72(b) to cease all or part of the employer's commercial motor
vehicle operations, i.e., failure to cease operations as ordered.
Penalty--Up to $10,000 per day the operation continues after the
effective date and time of the order to cease.

[56 FR 10184, Mar. 11, 1991]

PART 387--MINIMUM LEVELS OF FINANCIAL RESPONSIBILITY FOR MOTOR CARRIERS--Table of Contents

Subpart A--Motor Carriers of Property

Sec.
387.1 Purpose and scope.
387.3 Applicability.
387.5 Definitions.
387.7 Financial responsibility required.
387.9 Financial responsibility, minimum levels.
387.11 State authority and designation of agent.
387.13 Fiduciaries.
387.15 Forms.
387.17 Violation and penalty.

Subpart B--Motor Carriers of Passengers

387.25 Purpose and scope.
387.27 Applicability.
387.29 Definitions.
387.31 Financial responsibility required.
387.33 Financial responsibility, minimum levels.
387.35 State authority and designation of agent.
387.37 Fiduciaries.
387.39 Forms.
387.41 Violation and penalty.

Authority: 49 U.S.C. 31138 and 31139; and 49 CFR 1.48.

Subpart A--Motor Carriers of Property

Sec. 387.1 Purpose and scope.

This subpart prescribes the minimum levels of financial
responsibility required to be maintained by motor carriers of property
operating motor vehicles in interstate, foreign, or intrastate commerce.
The purpose of these regulations is to create additional incentives to
motor carriers to maintain and operate their vehicles in a safe manner
and to assure that motor carriers

[[Page 606]]

maintain an appropriate level of financial responsibility for motor
vehicles operated on public highways.

[46 FR 30982, June 11, 1981, as amended at 48 FR 52683, Nov. 21, 1983]

Sec. 387.3 Applicability.

(a) This subpart applies to for-hire motor carriers operating motor
vehicles transporting property in interstate or foreign commerce.
(b) This subpart applies to motor carriers operating motor vehicles
transporting hazardous materials, hazardous substances, or hazardous
wastes in interstate, foreign, or intrastate commerce.
(c) Exception. (1) The rules in this part do not apply to a motor
vehicle that has a gross vehicle weight rating (GVWR) of less than
10,000 pounds. This exception does not apply if the vehicle is used to
transport any quantity of a Division 1.1, 1.2, or 1.3 material, any
quantity of a Division 2.3, Hazard Zone A, or Division 6.1, Packing
Group I, Hazard Zone A, or to a highway route controlled quantity of a
Class 7 material as it is defined in 49 CFR 173.403, in interstate or
foreign commerce.
(2) The rules in this part do not apply to the transportation of
non-bulk oil, non-bulk hazardous materials, substances, or wastes in
intrastate commerce, except that the rules in this part do apply to the
transportation of a highway route controlled quantity of a Class 7
material as defined in 49 CFR 173.403, in intrastate commerce.

[46 FR 30982, June 11, 1981; 46 FR 45612, Sept. 14, 1981, as amended at
48 FR 5559, Feb. 7, 1983; 48 FR 52683, Nov. 21, 1983; 49 FR 38290, Sept.
28, 1984; 59 FR 63923, Dec. 12, 1994]

Sec. 387.5 Definitions.

As used in this subpart--
Accident includes continuous or repeated exposure to the same
conditions resulting in public liability which the insured neither
expected nor intended.
Bodily injury means injury to the body, sickness, or disease
including death resulting from any of these.
Cancellation of insurance the withdrawal of insurance coverage by
either the insurer or the insured.
Endorsement an amendment to an insurance policy.
Environmental restoration restitution for the loss, damage, or
destruction of natural resources arising out of the accidental
discharge, dispersal, release or escape into or upon the land,
atmosphere, watercourse, or body of water of any commodity transported
by a motor carrier. This shall include the cost of removal and the cost
of necessary measure taken to minimize or mitigate damage to human
health, the natural environment, fish, shellfish, and wildlife.
Evidence of security a surety bond or a policy of insurance with the
appropriate endorsement attached.
Financial responsibility the financial reserves (e.g., insurance
policies or surety bonds) sufficient to satisfy liability amounts set
forth in this subpart covering public liability.
For-hire carriage transportation of property by motor vehicle except
when--
(1) The property is transported by a person engaged in a business
other than transportation; and
(2) The transportation is within the scope of, and furthers a
primary business (other than transportation) of, the person.
In bulk--the transportation, as cargo, of property, except Division
1.1, 1.2, or 1.3 materials, and Division 2.3, Hazard Zone A gases, in
containment systems with capacities in excess of 3500 water gallons.
In bulk (Division 1.1, 1.2, and 1.3 explosives)--the transportation,
as cargo, of any Division 1.1, 1.2, or 1.3 materials in any quantity.
In bulk (Division 2.3, Hazard Zone A or Division 6.1, Packing Group
I, Hazard Zone A materials)--the transportation, as cargo, of any
Division 2.3, Hazard Zone A, or Division 6.1, packing Group I, Hazard
Zone A material, in any quantity.
Insured and principal--the motor carrier named in the policy of
insurance, surety bond, endorsement, or notice of cancellation, and also
the fiduciary of such motor carrier.
Insurance premium the monetary sum an insured pays an insurer for
acceptance of liability for public liability claims made against the
insured.

[[Page 607]]

Motor carrier a common, contract, or private carrier of property by
motor vehicle.
Property damage means damage to or loss of use of tangible property.
Public liability liability for bodily injury or property damage and
includes liability for environmental restoration.

[46 FR 30982, June 11, 1981; 46 FR 45612, Sept. 14, 1981; 47 FR 12801,
Mar. 25, 1982, as amended at 48 FR 52683, Nov. 21, 1983; 51 FR 33856,
Sept. 23, 1986; 53 FR 12160, Apr. 13, 1988; 59 FR 63923, Dec. 12, 1994]

Sec. 387.7 Financial responsibility required.

(a) No motor carrier shall operate a motor vehicle until the motor
carrier has obtained and has in effect the minimum levels of financial
responsibility as set forth in Sec. 387.9 of this subpart.
(b)(1) Policies of insurance, surety bonds, and endorsements
required under this section shall remain in effect continuously until
terminated. Cancellation may be effected by the insurer or the insured
motor carrier giving 35 days' notice in writing to the other. The 35
days' notice shall commence to run from the date the notice is mailed.
Proof of mailing shall be sufficient proof of notice.
(2) Exception. Policies of insurance and surety bonds may be
obtained for a finite period of time to cover any lapse in continuous
compliance.
(3) Exception. Mexican motor carriers may meet the minimum financial
responsibility requirements of this subpart by obtaining insurance
coverage, in the required amounts, for periods of 24 hours or longer,
from insurers that meet the requirements of Sec. 387.11 of this subpart.
A Mexican motor carrier so insured must have available for inspection in
each of its vehicles copies of the following documents:
(i) The Certificate of Registration;
(ii) The required insurance endorsement (Form MCS-90); and
(iii) An insurance identification card, binder, or other document
issued by an authorized insurer which specifies both the effective date
and the expiration date of the temporary insurance coverage authorized
by this exception.

Mexician motor carriers insured under this exception are also exempt
from the notice of cancellation requirements stated on Form MCS-90.
(c) Policies of insurance and surety bonds required under this
section may be replaced by other policies of insurance or surety bonds.
The liability of the retiring insurer or surety, as to events after the
termination date, shall be considered as having terminated on the
effective date of the replacement policy of insurance or surety bond or
at the end of the 35 day cancellation period required in paragraph (b)
of this section, whichever is sooner.
(d) Proof of the required financial responsibility shall be
maintained at the motor carrier's principal place of business. The proof
shall consist of--
(1) ``Endorsement(s) for Motor Carrier Policies of Insurance for
Public Liability Under Sections 29 and 30 of the Motor Carrier Act of
1980'' (Form MCS-90) issued by an insurer(s);
(2) A ``Motor Carrier Surety Bond for Public Liability Under Section
30 of the Motor Carrier Act of 1980'' (Form MCS-82) issued by a surety;
or
(3) A written decision, order, or authorization of the Interstate
Commerce Commission authorizing a motor carrier to self-insure under
Sec. 1043.5 of this title, provided the motor carrier maintains a
satisfactory safety rating as determined by the Federal Highway
Administration under part 385 of this title.
(e) The proof of minimum levels of financial responsibility required
by this section shall be considered public information and be produced
for review upon reasonable request by a member of the public.
(f) All vehicles operated within the United States by motor carriers
domiciled in a contiguous foreign country, shall have on board the
vehicle a legible copy, in English, of the proof of the required
financial responsibility (Form MCS-90 or MCS-82) used by the motor
carrier to comply with paragraph (d) of this section.
(g) Any motor vehicle in which there is no evidence of financial
responsibility required by paragraph (f) of this

[[Page 608]]

section shall be denied entry into the United States.

[46 FR 30982, June 11, 1981; 46 FR 45612, Sept. 14, 1981, as amended at
48 FR 5559, Feb. 7, 1983; 48 FR 52683, Nov. 21, 1983; 51 FR 22083, June
18, 1986; 54 FR 49092, Nov. 29, 1989; 59 FR 63923, Dec. 12, 1994]

Sec. 387.9 Financial responsibility, minimum levels.

The minimum levels of financial responsibility referred to in
Sec. 387.7 of this subpart are hereby prescribed as follows:

[[Page 609]]

Schedule of Limits--Public Liability
----------------------------------------------------------------------------------------------------------------
Type of carriage Commodity transported Jan. 1, 1985
----------------------------------------------------------------------------------------------------------------
(1) For-hire (In interstate or foreign Property (nonhazardous).............................. $750,000
commerce, with a gross vehicle weight
rating of 10,000 or more pounds).
(2) For-hire and Private (In interstate, Hazardous substances, as defined in 49 CFR 171.8, 5,000,000
foreign, or intrastate commerce, with a transported in cargo tanks, portable tanks, or
gross vehicle weight rating of 10,000 or hopper-type vehicles with capacities in excess of
more pounds). 3,500 water gallons; or in bulk Division 1.1, 1.2,
and 1.3 materials, Division 2.3, Hazard Zone A, or
Division 6.1, Packing Group I, Hazard Zone A
material; in bulk Division 2.1 or 2.2; or highway
route controlled quantities of a Class 7 material,
as defined in 49 CFR 173.403.
(3) For-hire and Private (In interstate Oil listed in 49 CFR 172.101; hazardous waste, 1,000,000
or foreign commerce, in any quantity; or hazardous materials, and hazardous substances
in intrastate commerce, in bulk only; defined in 49 CFR 171.8 and listed in 49 CFR
with a gross vehicle weight rating of 172.101, but not mentioned in (2) above or (4) below.
10,000 or more pounds).
(4) For-hire and Private (In interstate Any quantity of Division 1.1, 1.2, or 1.3 material; 5,000,000
or foreign commerce, with a gross any quantity of a Division 2.3, Hazard Zone A, or
vehicle weight rating of less than Division 6.1, Packing Group I, Hazard Zone A
10,000 pounds). material; or highway route controlled quantities of
a Class 7 material as defined in 49 CFR 173.403.
----------------------------------------------------------------------------------------------------------------

[[Page 610]]

[59 FR 63923, Dec. 12, 1994]

Sec. 387.11 State authority and designation of agent.

A policy of insurance or surety bond does not satisfy the financial
responsibility requirements of this subpart unless the insurer or surety
furnishing the policy or bond is--
(a) Legally authorized to issue such policies or bonds in each State
in which the motor carrier operates; or
(b) Legally authorized to issue such policies or bonds in the State
in which the motor carrier has its principal place of business or
domicile, and is willing to designate a person upon whom process, issued
by or under the authority of any court having jurisdiction of the
subject matter, may be served in any proceeding at law or equity brought
in any State in which the motor carrier operates; or
(c) Legally authorized to issue such policies or bonds in any State
of the United States and eligible as an excess or surplus lines insurer
in any State in which business is written, and is willing to designate a
person upon whom process, issued by or under the authority of any court
having jurisdiction of the subject matter, may be served in any
proceeding at law or equity brought in any State in which the motor
carrier operates.

[46 FR 30982, June 11, 1981, as amended at 48 FR 52683, Nov. 21, 1983]

Sec. 387.13 Fiduciaries.

The coverage of fiduciaries shall attach at the moment of succession
of such fiduciaries.

[46 FR 30982, June 11, 1981]

Sec. 387.15 Forms.

Endorsements for policies of insurance (Illustration I) and surety
bonds (Illustration II) must be in the form prescribed by the FHWA and
approved by the OMB. Endorsements to policies of insurance and surety
bonds shall specify that coverage thereunder will remain in effect
continuously until terminated, as required in Sec. 387.7 of this
subpart. The continuous coverage requirement does not apply to Mexican
motor carriers insured under Sec. 387.7(b)(3) of this subpart. The
endorsement and surety bond shall be issued in the exact name of the
motor carrier.

Illustration I

Form MCS-90 (3/82)
Form Approved
OMB No. 2125-0074

Endorsement for Motor Carrier Policies of Insurance for Public Liability
Under Sections 29 and 30 of the Motor Carrier Act of 1980

Issued to_______________________________________________________________
of______________________________________________________________________
Dated at________________________________________________________________
this ____ day of ____________________, 19____
Amending Policy No._____________________________________________________
Effective Date__________________________________________________________
Name of Insurance Company_______________________________________________
Countersigned by____________________________________________________
Authorized Company Representative

The policy to which this endorsement is attached provides primary or
excess insurance, as indicated by ``X'', for the limits shown:
{time} This insurance is primary and the company shall not be liable
for amounts in excess of $__________ for each accident.
{time} This insurance is excess and the company shall not be liable for
amounts in excess of $__________ for each accident in excess of the
underlying limit of $__________ for each accident.

Whenever required by the FHWA or the ICC the company agrees to
furnish the FHWA or the ICC a duplicate of said policy and all its
endorsements. The company also agrees, upon telephone request by an
authorized representative of the FHWA or the ICC, to verify that the
policy is in force as of a particular date. The telephone number to call
is: ____________

Cancellation of this endorsement may be effected by the company or the
insured by giving (1) thirty-five (35) days notice in writing to the
other party (said 35 days notice to commence from the date the notice is
mailed, proof of mailing shall be sufficient proof of notice), and (2)
if the insured is subject to the ICC's jurisdiction, by providing thirty
(30) days notice to the ICC (said 30 days notice to commence from the
date the notice is received by the ICC at its office in Washington, DC).

definitions as used in this endorsement

Accident includes continuous or repeated exposure to conditions which
results in bodily injury, property damage, or environmental damage which
the insured neither expected or intended.
Motor Vehicle means a land vehicle, machine, truck, tractor, trailer, or
semitrailer propelled or drawn by mechanical power and

[[Page 611]]

used on a highway for transporting property, or any combination thereof.
Bodily Injury means injury to the body, sickness, or disease to any
person, including death resulting from any of these.
Environmental Restoration means restitution for the loss, damage, or
destruction of natural resources arising out of the accidental
discharge, dispersal, release or escape into or upon the land,
atmosphere, watercourse, or body of water, of any commodity transported
by a motor carrier. This shall include the cost of removal and the cost
of necessary measures taken to minimize or mitigate damage to human
health, the natural environment, fish, shellfish, and wildlife.
Property Damage means damage to or loss of use of tangible property.
Public Liability means liability for bodily injury, property damage, and
environmental restoration.

The insurance policy to which this endorsement is attached provides
automobile liability insurance and is amended to assure compliance by
the insured, within the limits stated herein, as a motor carrier of
property, with sections 29 and 30 of the Motor Carrier Act of 1980 and
the rules and regulations of the Federal Highway Administration and the
Interstate Commerce Commission (ICC).
In consideration of the premium stated in the policy to which this
endorsement is attached, the insurer (the company) agrees to pay, within
the limits of liability described herein, any final judgment recovered
against the insured for public liability resulting from negligence in
the operation, maintenance or use of motor vehicles subject to the
financial responsibility requirements of sections 29 and 30 of the Motor
Carrier Act of 1980 regardless of whether or not each motor vehicle is
specifically described in the policy and whether or not such negligence
occurs on any route or in any territory authorized to be served by the
insured or elsewhere. Such insurance as is afforded, for public
liability, does not apply to injury to or death of the insured's
employees while engaged in the course of their employment, or property
transported by the insured, designated as cargo. It is understood and
agreed that no condition, provision, stipulation, or limitation
contained in the policy, this endorsement, or any other endorsement
thereon, or violation thereof, shall relieve the company from liability
or from the payment of any final judgment, within the limits of
liability herein described, irrespective of the financial condition,
insolvency or bankruptcy of the insured. However, all terms, conditions,
and limitations in the policy to which the endorsement is attached shall
remain in full force and effect as binding between the insured and the
company. The insured agrees to reimburse the company for any payment
made by the company on account of any accident, claim, or suit involving
a breach of the terms of the policy, and for any payment that the
company would not have been obligated to make under the provisions of
the policy except for the agreement contained in this endorsement.
It is further understood and agreed that, upon failure of the
company to pay any final judgment recovered against the insured as
provided herein, the judgment creditor may maintain an action in any
court of competent jurisdiction against the company to compel such
payment.
The limits of the company's liability for the amounts prescribed in
this endorsement apply separately to each accident and any payment under
the policy because of any one accident shall not operate to reduce the
liability of the company for the payment of final judgments resulting
from any other accident.

Illustration II

Form MCS-82 (4/83)

(Form approved by Office of Management and Budget under control no.
2125-0075)

Motor Carrier Public Liability Surety Bond Under Sections 29 and 30 of the Motor Carrier Act of 1980

Motor carrier
Surety company and principal, ICC Docket
Parties principal place of No. and principal place
business address of business

....................... ....................... .......................
....................... ....................... .......................
....................... ....................... .......................
....................... ....................... .......................

Purpose--This is an agreement between the Surety and the Principal
under which the Surety, its successors and assigness, agree to be
responsible for the payment of any final judgment or judgments against
the Principal for public liability, property damage, and environmental
restoration liability claims in the sums prescribed herein; subject to
the governing provisions and the following conditions.
Governing provisions--(1) Sections 29 and 30 of the Motor Carrier
Act of 1980 (49 U.S.C. 10927 note).
(2) Rules and regulations of the Federal Highway Administration.
(3) Rules and regulations of the Interstate Commerce Commission
(ICC).
Conditions--The Principal is or intends to become a motor carrier of
property subject to the applicable governing provisions relating to
financial responsibility for the protection of the public.
This bond assures compliance by the Principal with the applicable
governing provisions, and shall inure to the benefit of any person or
persons who shall recover a final

[[Page 612]]

judgment or judgments against the Principal for public liability,
property damage, or environmental restoration liability claims
(excluding injury to or death of the Principal's employees while engaged
in the course of their employment, and loss of or damange to property of
the principal, and the cargo transported by the Principal). If every
final judgment shall be paid for such claims resulting from the
negligent operation, maintenance, or use of motor vehicles in
transportation subject to the applicable governing provisions, then this
obligation shall be void, otherwise it will remain in full effect.
Within the limits described herein, the Surety extends to such
losses regardless of whether such motor vehicles are specifically
described herein and whether occurring on the route or in the territory
authorized to be served by the Principal or elsewhere.
The liability of the Surety on each motor vehicle subject to the
financial responsibility requirements of Section's 29 and 30 of the
Motor Carrier Act of 1980 for each accident shall not exceed
$__________, and shall be a continuing one notwithstanding any recovery
hereunder.
The surety agrees, upon telephone request by an authorized
representative of the FHWA or the ICC, to verify that the surety bond is
in force as of a particular date. The telephone number is: ____________
This bond is effective from ______ (12:01 a.m., standard time, at
the address of the Principal as stated herein) and shall countine in
force until terminated as described herein. The principal or the Surety
may at any time terminate this bond by giving (1) thirty five (35) days
notice in writing to the other party (said 35 day notice to commence
from the date the notice is mailed, proof of mailing shall be sufficient
proof of notice), and (2) if the Principal is subject to the ICC's
jurisdiction, by providing thirty (30) days notice to the ICC (said 30
days notice to commence from the date notice is received by the ICC at
its office in Washington, DC). The Surety shall not be liable for the
payment of any judgment or judgments against the Principal for public
liability, property damage, or environmental restoration claims
resulting from accidents which occur after the termination of this bond
as described herein, but such termination shall not affect the liability
of the Surety for the payment of any such judgment or judgments
resulting from accidents which occur during the time the bond is in
effect.
(AFFIX CORPORATE SEAL)
Date____________________________________________________________________
Surety__________________________________________________________________
City____________________________________________________________________
State___________________________________________________________________
By______________________________________________________________________

Acknowledgement of Surety

State of________________________________________________________________
County of_______________________________________________________________
On this ______ day of ______, 19____, before me personally came
__________, who, being by me duly sworn, did depose and say that he/she
resides in __________; that he/she is the __________ of the __________,
the corporation described in and which executed the foregoing
instrument; that he/she knows the seal of said corporation, that the
seal affixed to said instrument is such corporate seal, that it was so
affixed by order of the board of directors of said corporation, that he/
she signed his/her name thereto by like order, and he/she duly
acknowledged to me that he/she executed the same for and on behalf of
said corporation.
(OFFICIAL SEAL)
_______________________________________________________________________
Title of official administering oath____________________________________
Surety Company File No._________________________________________________

[46 FR 30982, June 11, 1981, as amended at 48 FR 52683, Nov. 21, 1983;
49 FR 27292, July 2, 1984; 49 FR 38290, Sept. 28, 1984; 51 FR 33856,
Sept. 23, 1986; 53 FR 12160, Apr. 13, 1988; 54 FR 49092, Nov. 29, 1989;
59 FR 63924, Dec. 12, 1994]

Sec. 387.17 Violation and penalty.

Any person (except an employee who acts without knowledge) who
knowingly violates the rules of this subpart shall be liable to the
United States for civil penalty of no more than $10,000 for each
violation, and if any such violation is a continuing one, each day of
violation will constitute a separate offense. The amount of any such
penalty shall be assessed by the FHWA's Associate Administrator for the
Office of Motor Carriers, by written notice. In determining the amount
of such penalty, the Associate Administrator, or his/her authorized
delegate shall take into account the nature, circumstances, extent, the
gravity of the violation committed and, with respect to the person found
to have committed such violation, the degree of culpability, any history
of prior offenses, ability to pay, effect on ability to continue to do
business, and such other matters as justice may require.

[59 FR 63924, Dec. 12, 1994]

Subpart B--Motor Carriers of Passengers

Source: 48 FR 52683, Nov. 21, 1983, unless otherwise noted.

[[Page 613]]

Sec. 387.25 Purpose and scope.

This subpart prescribes the minimum levels of financial
responsibility required to be maintained by for-hire motor carriers of
passengers operating motor vehicles in interstate or foreign commerce.
The purpose of these regulations is to create additional incentives to
carriers to operate their vehicles in a safe manner and to assure that
they maintain adequate levels of financial responsibility.

Sec. 387.27 Applicability.

(a) This subpart applies to for-hire motor carriers transporting
passengers in interstate or foreign commerce.
(b) Exception. The rules in this subpart do not apply to--
(1) A motor vehicle transporting only school children and teachers
to or from school;
(2) A motor vehicle providing taxicab service and having a seating
capacity of less than 7 passengers and not operated on a regular route
or between specified points; and
(3) A motor vehicle carrying less than 16 individuals in a single
daily round trip to commute to and from work.

Sec. 387.29 Definitions.

As used in this subpart--
Accident includes continuous or repeated exposure to the same
conditions resulting in public liability which the insured neither
expected nor intended.
Bodily injury means injury to the body, sickness, or disease
including death resulting from any of these.
Endorsement an amendment to an insurance policy.
Financial responsibility the financial reserves (e.g., insurance
policies or surety bonds) sufficient to satisfy liability amounts set
forth in this subpart covering public liability.
For hire carriage transportation performed by a motor carrier.
Insured and principal the motor carrier named in the policy of
insurance, surety bond, endorsement, or notice of cancellation, and also
the fiduciary of such motor carrier.
Insurance premium the monetary sum an insured pays an insurer for
acceptance of liability for public liability claims made against the
insured.
Motor carrier means a motor common carrier and a motor contract
carrier.
Motor common carrier Means a person holding itself out to the
general public to provide motor vehicle transportation of passengers for
compensation over regular or irregular routes.
Motor contract carrier means a person, other than a motor common
carrier, providing motor vehicle transportation of passengers for
compensation under continuing agreement with a person or limited number
of persons.
Property damage means damage to or loss of use of tangible property.
Public liability liability for bodily injury or property damage.
Seating capacity any plan view location capable of accommodating a
person at least as large as a 5th percentile adult female, if the
overall seat configuration and design and vehicle design is such that
the position is likely to be used as a seating position while the
vehicle is in motion, except for auxiliary seating accommodations such
as temporary or folding jump seats. Any bench or split bench seat in a
passenger car, truck or multi-purpose passenger vehicle with a gross
vehicle weight rating less than 10,000 pounds, having greater than 50
inches of hip room (measured in accordance with SEA Standards J1100(a))
shall have not less than three designated seating positions, unless the
seat design or vehicle design is such that the center position cannot be
used for seating.

Sec. 387.31 Financial responsibility required.

(a) No motor carrier shall operate a motor vehicle transporting
passengers until the motor carrier has obtained and has in effect the
minimum levels of financial responsibility as set forth in Sec. 387.33
of this subpart.
(b) Policies of insurance, surety bonds, and endorsements required
under this section shall remain in effect continuously until terminated.
(1) Cancellation may be effected by the insurer or the insured motor
carrier giving 35 days notice in writing to the other. The 35 days
notice shall commence to run from the date the notice is mailed. Proof
of mailing shall be sufficient proof of notice.

[[Page 614]]

(2) Exception. Policies of insurance and surety bonds may be
obtained for a finite period of time to cover any lapse in continuous
compliance.
(3) Exception. Mexican motor carriers may meet the minimum financial
responsibility requirements of this subpart by obtaining insurance
coverage, in the required amounts, for periods of 24 hours or longer,
from insurers that meet the requirements of Sec. 387.35 of this subpart.
A Mexican motor carrier so insured must have available for inspection in
each of its vehicles copies of the following documents:
(i) The required insurance endorsement (Form MCS-90B); and
(ii) An insurance identification card, binder, or other document
issued by an authorized insurer which specifies both the effective date
and the expiration date of the temporary insurance coverage authorized
by this exception.

Mexican motor carriers insured under this exception are also exempt from
the notice of cancellation requirements stated on Form MCS-90B.
(c) Policies of insurance and surety bonds required under this
section may be replaced by other policies of insurance or surety bonds.
The liability of retiring insurer or surety, as to events after the
termination date, shall be considered as having terminated on the
effective date of the replacement policy of insurance or surety bond or
at the end or the 35 day cancellation period required in paragraph (b)
of this section, whichever is sooner.
(d) Proof of the required financial responsibility shall be
maintained at the motor carrier's principal place of business. The proof
shall consist of--
(1) ``Endorsement(s) for Motor Carriers of Passengers Policies of
Insurance for Public Liability Under Section 18 of the Bus Regulatory
Reform Act of 1982'' (Form MCS-90B) issued by an insurer(s); or
(2) A ``Motor Carrier of Passengers Surety Bond for Public Liability
Under Section 18 of the Bus Regulatory Reform Act of 1982'' (Form MCS-
82B) issued by a surety.
(e) The proof of minimum levels of financial responsibility required
by this section shall be considered public information and be produced
for review upon reasonable request by a member of the public.
(f) All passenger carrying vehicles operated within the United
States by motor carriers domiciled in a contiguous foreign country,
shall have on board the vehicle a legible copy, in English, of the proof
of the required financial responsibility (Forms MCS-90B or MCS-82B) used
by the motor carrier to comply with paragraph (d) of this section.
(g) Any motor vehicle in which there is no evidence of financial
responsibility required by paragraph (f) of this section shall be denied
entry into the United States.

[48 FR 52683, Nov. 21, 1983, as amended at 50 FR 7062, Feb. 20, 1985; 54
FR 49092, Nov. 29, 1989; 60 FR 38743, July 28, 1995]

Sec. 387.33 Financial responsibility, minimum levels.

The minimum levels of financial responsibility referred to in
Sec. 387.31 of this subpart are hereby prescribed as follows:

Schedule of Limits

Public Liability

For-hire motor carriers of passengers operating in interstate or foreign
commerce.

------------------------------------------------------------------------
Effective dates
-----------------------
Vehicle seating capacity Nov. 19, Nov. 19,
1983 1985
------------------------------------------------------------------------
(1) Any vehicle with a seating capacity of 16
passengers or more............................. $2,500,000 $5,000,000
(2) Any vehicle with a seating capacity of 15
passengers or less \1\......................... 750,000 1,500,000
------------------------------------------------------------------------
\1\ Except as provided in Sec. 387.27(b).

Sec. 387.35 State authority and designation of agent.

[[Page 615]]

authority of any court having jurisdiction of the subject matter, may be
served in any proceeding at law or equity brought in any State in which
the motor carrier operates; or
(c) Legally authorized to issue such policies or bonds in any State
of the United States and eligible as an excess or surplus lines insurer
in any State in which business is written, and is willing to designate a
person upon whom process, issued by or under the authority of any court
having jurisdiction of the subject matter, may be served in any
proceeding at law or equity brought in any State in which the motor
carrier operates..

Sec. 387.37 Fiduciaries.

The coverage of fiduciaries shall attach at the moment of succession
of such fiduciaries.

Sec. 387.39 Forms.

Endorsements for policies of insurance (Illustration I) and surety
bonds (Illustration II) must be in the form prescribed by the FHWA and
approved by the OMB. Endorsements to policies of insurance and surety
bonds shall specify that coverage thereunder will remain in effect
continuously until terminated, as required in Sec. 387.31 of this
subpart. The continuous coverage requirement does not apply to Mexican
motor carriers insured under Sec. 387.31(b)(3) of this subpart. The
endorsement and surety bond shall be issued in the exact name of the
motor carrier.

[[Page 616]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.015

[[Page 617]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.016

[[Page 618]]

(Approved by the Office of Management and Budget under control number
2125-0518)

[48 FR 52683, Nov. 21, 1983, as amended at 49 FR 22326, May 29, 1984; 54
FR 49093, Nov. 29, 1989]

Sec. 387.41 Violation and penalty.

Any person (except an employee who acts without knowledge) who
knowingly violates the rules of this subpart shall be liable to the
United States for civil penalty of no more than $10,000 for each
violation, and if any such violation is a continuing one, each day of
violation will constitute a separate offense. The amount of any such
penalty shall be assessed by the Associate Administrator for Motor
Carriers or his/her designee, by written notice. In determining the
amount of such penalty, the Associate Administrator or his/her designee
shall take into account the nature, circumstances, extent, the gravity
of the violation committed and, with respect to the person found to have
committed such violation, the degree of culpability, any history of
prior offenses, ability to pay, effect on ability to continue to do
business, and such other matters as justice may require.

[53 FR 47543, Nov. 23, 1988]

PART 388--COOPERATIVE AGREEMENTS WITH STATES--Table of Contents

Sec.
388.1 Eligibility.
388.2 Extent of acceptance.
388.3 Cancellation.
388.4 Exchange of information.
388.5 Requests for assistance.
388.6 Joint investigation, inspection, or examination.
388.7 Joint administrative activities related to enforcement of safety
and hazardous materials laws and regulations.
388.8 Supplemental agreements.

Authority: 49 U.S.C. 104 and 502; 49 CFR 1.48.

Source: 33 FR 19725, Dec. 25, 1968, unless otherwise noted.

Sec. 388.1 Eligibility.

Any State may agree with the Federal Highway Administration to
enforce the safety laws and regulations of said State and the United
States concerning motor carrier transportation by filing with the
Administrator at Washington, DC 20591, a written acceptance of the terms
herein.

Sec. 388.2 Extent of acceptance.

The written acceptance may be in letter form, signed by competent
authority of said State charged with regulations of motor carrier saftey
and hazardous materials transportation and shall specify the terms
herein pertaining to the obligations of a State in which said State will
participate. To the extent that a State agrees to participate in the
terms herein, officials of the Federal Highway Administration will
reciprocate.

Sec. 388.3 Cancellation.

Cancellation or withdrawal, in whole or in part, from any agreement
made under this chapter may be effected by written notice from either
party indicating the effective date of said cancellation or withdrawal.

Sec. 388.4 Exchange of information.

(a) Federal Highway Administration furnishing information to State.
Information that comes to the attention of an employee of the Federal
Highway Administration in the course of his/her official duties of
investigation, inspection, or examination of the property, equipment,
and records of a motor carrier or others, pursuant to 49 U.S.C. 504(c),
and that is believed to be a violation of any law or regulation of the
State pertaining to unsafe motor carrier operations and practices, shall
be communicated to the appropriate State authority by an official of the
Federal Highway Administration.
(b) State furnishing information to Federal Highway Administration.
Information that comes to the attention of a duly authorized agent of
the State in the course of his/her official duties of investigation,
inspection, or examination of the property, equipment, and records of a
motor carrier or others, and that is believed to be a violation of

[[Page 619]]

any provision of the safety or hazardous materials laws of the United
States concerning highway transportation or the regulations of the
Federal Highway Administration thereunder, shall be communicated to the
Regional Director of Motor Carriers.

[51 FR 12621, Apr. 14, 1986]

Sec. 388.5 Requests for assistance.

(a) State request for Federal Highway Administration assistance.
Upon written request of the appropriate State authority, the Office of
Motor Carriers officials of the Federal Highway Administration for that
State shall, as time, personnel, and funds permit, obtain evidence for
use by said State in the enforcement of its laws and regulations
concerning unsafe motor carrier operations. Evidence obtained in this
manner shall be transmitted to the appropriate State authority together
with the name and address of an agent or employee, if any, having
knowledge of the facts, who shall be made available when necessary to
testify as a witness in an enforcement proceeding or other action.
(b) Federal Highway Administration request for State assistance.
Upon written request from a Regional Director of Motor Carriers, the
appropriate State authority, shall, as time, personnel, and funds
permit, obtain evidence in the State for use by the Federal Highway
Administration in its enforcement of the safety and hazardous materials
laws and regulations of the United States concerning highway
transportation. Evidence obtained in this manner shall be transmitted to
the Regional Director of Motor Carriers, together with the name and
address of an agent or employee, if any, having knowledge of the facts,
who shall be made available when necessary to testify as a witness in an
enforcement proceeding or other action.

[33 FR 19725, Dec. 25, 1968, as amended at 51 FR 12621, Apr. 14, 1986;
60 FR 38743, July 28, 1995]

Sec. 388.6 Joint investigation, inspection, or examination.

Upon agreement by the Regional Director of Motor Carriers and the
appropriate State authority, there will be conducted a joint
investigation, inspection, or examination of the property, equipment, or
records of motor carriers or others, for the enforcement of the safety
and hazardous materials laws and regulations of the United States and
the State concerning highway transportation. The said Regional Director
of Motor Carriers and the appropriate State authority shall decide as to
the location and time, the objectives sought, and the identity of the
person who will supervise the joint effort and make the necessary
decisions. Any agent or employee of either agency who has personal
knowledge of pertinent facts shall be made available when necessary to
testify as a witness in an enforcement proceeding or other action.

[33 FR 19725, Dec. 25, 1968, as amended at 51 FR 12621, Apr. 14, 1986]

Sec. 388.7 Joint administrative activities related to enforcement of safety and hazardous materials laws and regulations.

To facilitate the interchange of information and evidence, and the
conduct of joint investigation and administrative action, the Regional
Director of Motor Carriers and the appropriate State authority shall,
when warranted, schedule joint conferences of staff members of both
agencies. Information shall be exchanged as to the nature and extent of
the authority and capabilities of the respective agencies to enforce the
safety and hazardous materials laws and regulations of the State or of
the United States concerning motor carrier transportation. The Federal
Highway Administration and the State (or appropriate State authority)
shall use their best efforts to inform each other of changes in their
rules and regulations and cooperate with and assist each other in
conducting training schools for Federal and State enforcement officials
engaged in such duties.

[33 FR 19725, Dec. 25, 1968, as amended at 51 FR 12621, Apr. 14, 1986]

Sec. 388.8 Supplemental agreements.

The terms specified in this part may be supplemented from time to
time by specific agreement between the Federal Highway Administration
and the appropriate State authority in order to

[[Page 620]]

further implement the provisions of 49 U.S.C. 502.

[51 FR 12621, Apr. 14, 1986]

PART 389--RULEMAKING PROCEDURES--FEDERAL MOTOR CARRIER SAFETY REGULATIONS--Table of Contents

Subpart A--General

Sec.
389.1 Applicability.
389.3 Definitions.
389.5 Regulatory docket.
389.7 Records.

Subpart B--Procedures for Adoption of Rules

389.11 General.
389.13 Initiation of rule making.
389.15 Contents of notices of proposed rule making.
389.17 Participation by interested persons.
389.19 Petitions for extension of time to comment.
389.21 Contents of written comments.
389.23 Consideration of comments received.
389.25 Additional rule making proceedings.
389.27 Hearings.
389.29 Adoption of final rules.
389.31 Petitions for rule making.
389.33 Processing of petition.
389.35 Petitions for reconsideration.
389.37 Proceedings on petitions for reconsideration.

Authority: Commercial Motor Vehicle Safety Act of 1986, Title XII of
Pub. L. 99-570, 100 Stat. 3207-170 (49 U.S.C. 2701 et seq.); 49 U.S.C.
104 and 3102; sec. 30 of the Motor Carrier Act of 1980 (Pub. L. 96-296,
94 Stat. 820), as amended by sec. 108(b)(5) of Pub. L. 96-510, 94 Stat.
2767; sec. 406 of Pub. L. 97-424, 96 Stat. 2097; sec. 222 of Pub. L. 98-
554, 98 Stat. 2846 (49 U.S.C. 10927 note); secs. 18 and 25(c) of the Bus
Regulatory Reform Act of 1982 (Pub. L. 97-261, 96 Stat. 1102, 1120, 49
U.S.C. 10927 note); and 42 U.S.C. 4917.

Source: 35 FR 9209, June 12, 1970, unless otherwise noted.

Subpart A--General

Sec. 389.1 Applicability.

This part prescribes rulemaking procedures that apply to the
issuance, amendment and revocation of rules under 49 U.S.C. 3102;
section 30 of the Motor Carrier Act of 1980, as amended; section 18 of
the Bus Regulatory Reform Act of 1982, as amended; the Motor Carrier
Safety Act of 1984; the Commercial Motor Vehicle Safety Act of 1986 and
the Noise Control Act of 1972.

[51 FR 12621, Apr 14, 1986, as amended at 53 FR 2036, Jan. 26, 1988]

Sec. 389.3 Definitions.

Act means 49 U.S.C. 104, 501 et seq., 3101 et seq., the Motor
Carrier Act of 1980, the Motor Carrier Safety Act of 1984, the
Commercial Motor Vehicle Safety Act of 1986, the Bus Regulatory Reform
Act of 1982, or the Noise Control Act of 1972.
Administrator means the Federal Highway Administrator.
Rule includes any order or regulation issued under the Act.

[35 FR 9209, June 12, 1970, as amended at 51 FR 12621, Apr. 14, 1986; 53
FR 2036, Jan. 26, 1988]

Sec. 389.5 Regulatory docket.

(a) Information and data deemed relevant by the Administrator
relating to rule making actions, including notices of proposed rule
making; comments received in response to notices; petitions for rule
making and reconsideration; denials of petitions for rule making and
reconsideration; records of additional rule making proceedings under
Sec. 389.25; and final rules are maintained at Headquarters, Federal
Highway Administration, Nassif Building, 400 Seventh Street, SW.,
Washington, DC 20590.
(b) Any person may examine docketed material, at any time during
regular business hours after the docket is established, except material
ordered withheld from the public under section 552(b) of title 5 of the
United States Code, and may obtain a copy of it upon payment of a fee.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]

Sec. 389.7 Records.

Records of the Administrator relating to rule making proceedings are
available for inspection as provided in section 552(b) of title 5 of the
United

[[Page 621]]

States Code and part 7 of the regulations of the Secretary of
Transportation (part 7 of this title; 32 FR 9284 et seq.).

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]

Subpart B--Procedures for Adoption of Rules

Sec. 389.11 General.

Unless the Administrator, for good cause, finds that notice is
impractical, unnecessary, or contrary to the public interest, and
incorporates that finding and a brief statement of the reasons for it in
the rule, a notice of proposed rulemaking is issued, and interested
persons are invited to participate in the rulemaking proceedings
involving rules under 49 U.S.C. 3102; section 30 of the Motor Carrier
Act of 1980, as amended; section 18 of the Bus Regulatory Reform Act of
1982, as amended; the Motor Carrier Safety Act of 1984; the Commercial
Motor Vehicle Safety Act of 1986 and the Noise Control Act of 1972.

[51 FR 12621, Apr 14, 1986 as amended at 53 FR 2036, Jan. 26, 1988]

Sec. 389.13 Initiation of rule making.

The Administrator initiates rule making on his/her own motion.
However, in so doing, he/she may, in his/her discretion, consider the
recommendations of his/her staff or other agencies of the United States
or of other interested persons.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]

Sec. 389.15 Contents of notices of proposed rule making.

(a) Each notice of proposed rule making is published in the Federal
Register, unless all persons subject to it are named and are personally
served with a copy of it.
(b) Each notice, whether published in the Federal Register or
personally served, includes:
(1) A statement of the time, place, and nature of the proposed rule
making proceeding;
(2) A reference to the authority under which it is issued;
(3) A description of the subjects and issues involved or the
substance and terms of the proposed rule;
(4) A statement of the time within which written comments must be
submitted; and
(5) A statement of how and to what extent interested persons may
participate in the proceeding.

Sec. 389.17 Participation by interested persons.

(a) Any interested person may participate in rule making proceedings
by submitting comments in writing containing information, views, or
arguments.
(b) In his/her discretion, the Administrator may invite any
interested person to participate in the rule making procedures described
in Sec. 389.25.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]

Sec. 389.19 Petitions for extension of time to comment.

A petition for extension of the time to submit comments must be
received in duplicate not later than three (3) days before expiration of
the time stated in the notice. The filing of the petition does not
automatically extend the time for petitioner's comments. Such a petition
is granted only if the petitioner shows good cause for the extension,
and if the extension is consistent with the public interest. If an
extension is granted, it is granted to all persons, and it is published
in the Federal Register.

Sec. 389.21 Contents of written comments.

All written comments must be in English and submitted in five (5)
legible copies, unless the number of copies is specified in the notice.
Any interested person must submit as part of his/her written comments
all material that he/she considers relevant to any statement of fact
made by him/her. Incorporation of material by reference is to be
avoided. However, if such incorporation is necessary, the incorporated
material shall be identified with respect to document and page.

[[Page 622]]

Sec. 389.23 Consideration of comments received.

All timely comments are considered before final action is taken on a
rule making proposal. Late filed comments may be considered as far as
practicable.

Sec. 389.25 Additional rule making proceedings.

The Administrator may initiate any further rule making proceedings
that he/she finds necessary or desirable. or example, interested persons
may be invited to make oral arguments, to participate in conferences
between the Administrator or his/her representative at which minutes of
the conference are kept, to appear at informal hearings presided over by
officials designated by the Administrator at which a transcript or
minutes are kept, or participate in any other proceeding to assure
informed administrative action and to protect the public interest.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]

Sec. 389.27 Hearings.

(a) Sections 556 and 557 of title 5, United States Code, do not
apply to hearings held under this part. Unless otherwise specified,
hearings held under this part are informal, nonadversary, fact-finding
procedures at which there are no formal pleadings or adverse parties.
Any rule issued in a case in which an informal hearing is held is not
necessarily based exclusively on the record of the hearing.
(b) The Administrator designates a representative to conduct any
hearing held under this part. The Chief Counsel of the Federal Highway
Administration designates a member of his/her staff to serve as legal
officer at the hearing.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]

Sec. 389.29 Adoption of final rules.

Final rules are prepared by representatives of the office concerned
and the Office of the Chief Counsel. The rule is then submitted to the
Administrator for his/her consideration. If the Administrator adopts the
rule, it is published in the Federal Register, unless all persons
subject to it are named and are personally served with a copy of it.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]

Sec. 389.31 Petitions for rule making.

(a) Any interested person may petition the Administrator to
establish, amend, or repeal a rule.
(b) Each petition filed under this section must:
(1) Be submitted in duplicate to the Administrator, Federal Highway
Administration, 400 Seventh Street, SW., Washington, DC 20590;
(2) Set forth the text or substance of the rule or amendment
proposed, or specify the rule that the petitioner seeks to have
repealed, as the case may be;
(3) Explain the interest of the petitioner in the action requested;
(4) Contain any information and arguments available to the
petitioner to support the action sought.

[35 FR 9209, June 12, 1970, as amended at 45 FR 46424, July 10, 1980; 53
FR 2036, Jan. 26, 1988]

Sec. 389.33 Processing of petition.

(a) Unless the Administrator otherwise specifies, no public hearing,
argument, or other proceeding is held directly on a petition before its
disposition under this section.
(b) Grants. If the Administrator determines that the petition
contains adequate justification, he/she initiates rule making action
under this Subpart B.
(c) Denials. If the Administrator determines that the petition does
not justify rule making, he/she denies the petition.
(d) Notification. Whenever the Administrator determines that a
petition should be granted or denied, the Office of the Chief Counsel
prepares a notice of that grant or denial for issuance to the
petitioner, and the Administrator issues it to the petitioner.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]

Sec. 389.35 Petitions for reconsideration.

(a) Any interested person may petition the Administrator for
reconsideration of any rule issued under this

[[Page 623]]

part. The petition must be in English and submitted in five (5) legible
copies to the Administrator, Federal Highway Administration, 400 Seventh
Street, SW., Washington, DC 20590, and received not later than thirty
(30) days after publication of the rule in the Federal Register.
Petitions filed after that time will be considered as petitions filed
under Sec. 389.31. The petition must contain a brief statement of the
complaint and an explanation as to why compliance with the rule is not
practicable, is unreasonable, or is not in the public interest.
(b) If the petitioner requests the consideration of additional
facts, he/she must state the reason they were not presented to the
Administrator within the prescribed time.
(c) The Administrator does not consider repetitious petitions.
(d) Unless the Administrator otherwise provides, the filing of a
petition under this section does not stay the effectiveness of the rule.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]

Sec. 389.37 Proceedings on petitions for reconsideration.

The Administrator may grant or deny, in whole or in part, any
petition for reconsideration without further proceedings. In the event
he/she determines to reconsider any rule, he/she may issue a final
decision on reconsideration without further proceedings, or he/she may
provide such opportunity to submit comment or information and data as
he/she deems appropriate. Whenever the Administrator determines that a
petition should be granted or denied, he/she prepares a notice of the
grant or denial of a petition for reconsideration, for issuance to the
petitioner, and issues it to the petitioner. The Administrator may
consolidate petitions relating to the same rule.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]

PART 390--FEDERAL MOTOR CARRIER SAFETY REGULATIONS; GENERAL--Table of Contents

Subpart A--General Applicability and Definitions

Sec.
390.1 Purpose.
390.3 General applicability.
390.5 Definitions.
390.7 Rules of construction.

Subpart B--General Requirements and Information

390.9 State and local laws, effect on.
390.11 Motor carrier to require observance of driver regulations.
390.13 Aiding or abetting violations.
390.15 Assistance in investigations and special studies.
390.16-390.17 [Reserved]
390.19 Additional equipment and accessories.
390.21 Marking of commercial motor vehicles.
390.23 Relief from regulations.
390.25 Extension of relief from regulations--emergencies.
390.27 Locations of regional offices of motor carriers.
390.29 [Reserved]
390.31 Copies of records or documents.
390.33 Commercial motor vehicles used for purposes other than defined.
390.35 Certificates, reports, and records: falsification, reproduction,
or alteration.
390.37 Violation and penalty.

Subpart C--Intermodal Transportation

390.50 Applicability.
390.52 Definitions.
390.54 Notification and certification.
390.56 Duty of motor carrier.
390.58 Forwarding and retention of certification.
390.60 Coercion.

Authority: 49 U.S.C. 5901-5907, 31132, 31133, 31136, 31502, and
31504; and 49 CFR 1.48

Effective Date Note: At 59 FR 67554, Dec. 29, 1994, the authority
citation for part 390 was revised, effective June 27, 1995. At 60 FR
26002, May 16, 1995, the effective date was extended to Sept. 27, 1995.
At 60 FR 40761, Aug. 10, 1995, the effective date was further extended
to Sept. 1, 1996. At 61 FR 42822, Aug. 19, 1996, the effective date was
further extended to Jan. 2, 1997. For the convenience of

[[Page 624]]

the user, the revised text is set forth as follows:
Authority: 49 U.S.C. 5901-5907, 31132, 31136, 31502, and 31504; 49
CFR 1.48.

Source: 53 FR 18052, May 19, 1988, unless otherwise noted.

Subpart A--General Applicability and Definitions

Sec. 390.1 Purpose.

This part establishes general applicability, definitions, general
requirements and information as they pertain to persons subject to this
chapter.

Sec. 390.3 General applicability.

(a) The rules in subchapter B of this chapter are applicable to all
employers, employees, and commercial motor vehicles, which transport
property or passengers in interstate commerce.
(b) The rules in subpart C of this part are applicable to persons
tendering loaded containers or trailers, to carriers used to transport
such loaded containers or trailers, and to persons who coerce or attempt
to coerce a motor carrier to transport a loaded container or trailer in
violation of that subpart.
(c) The rules in Part 383, Commercial Driver's License Standards;
Requirements and Penalties, are applicable to every person who operates
a commercial motor vehicle, as defined in Sec. 383.5 of this subchapter,
in interstate or intrastate commerce and to all employers of such
persons.
(d) The rules in Part 387, Minimum Levels of Financial
Responsibility for Motor Carriers, are applicable to motor carriers as
provided in Sec. 387.3 or 387.27 of this subchapter.
(e) Additional requirements. Nothing in subchapter B of this chapter
shall be construed to prohibit an employer from requring and enforcing
more stringent requirements relating to safety of operation and employee
safety and health.
(f) Knowledge of and compliance with the regulations.
(1) Every employer shall be knowledgeable of and comply with all
regulations contained in this subchapter which are applicable to that
motor carrier's operations.
(2) Every driver and employee shall be instructed regarding, and
shall comply with, all applicable regulations contained in this
subchapter.
(3) All motor vehicle equipment and accessories required by this
subchapter shall be maintained in compliance with all applicable
performance and design criteria set forth in this subchapter.
(g) Exceptions. Unless otherwise specifically provided, the rules in
this subchapter do not apply to--
(1) All school bus operations as defined in Sec. 390.5;
(2) Transportation performed by the Federal government, a State, or
any political subdivision of a State, or an agency established under a
compact between States that has been approved by the Congress of the
United States. The accident recordkeeping requirements of Sec. 390.15 of
this part remain applicable to the entities identified in this paragraph
when engaged in the interstate charter transportation of passengers;
(3) The occasional transportation of personal property by
individuals not for compensation nor in the furtherance of a commercial
enterprise;
(4) The transportation of human corpses or sick and injured persons;
(5) The operation of fire trucks and rescue vehicles while involved
in emergency and related operations.

[53 FR 18052, May 19, 1988, as amended at 54 FR 12202, Mar. 24, 1989; 58
FR 33776, June 21, 1993; 59 FR 8752, Feb. 23, 1994; 59 FR 67554, Dec.
29, 1994]

Effective Date Note: At 59 FR 67554, Dec. 29, 1994, Sec. 390. 3 was
amended by redesignating paragraphs (b) through (f) as (c) through (g),
and by adding a new paragraph (b), effective June 27, 1995. At 60 FR
26002, May 16, 1995, the effective date was extended to Sept. 27, 1995.
At 60 FR 40761, Aug. 10, 1995, the effective date was further extended
to Sept. 1, 1996. At 61 FR 42822, Aug. 19, 1996, the effective date was
further extended to Jan. 2, 1997.

Sec. 390.5 Definitions.

Unless specifically defined elsewhere, in this subchapter:
Accident means--
(1) Except as provided in paragraph (2) of this definition, an
occurrence involving a commercial motor vehicle operating on a public
road in interstate or intrastate commerce which results in:
(i) A fatality;

[[Page 625]]

(ii) Bodily injury to a person who, as a result of the injury,
immediately receives medical treatment away from the scene of the
accident; or
(iii) One or more motor vehicles incurring disabling damage as a
result of the accident, requiring the motor vehicle to be transported
away from the scene by a tow truck or other motor vehicle.
(2) The term accident does not include:
(i) An occurrence involving only boarding and alighting from a
stationary motor vehicle; or
(ii) An occurrence involving only the loading or unloading of cargo;
or
(iii) An occurrence in the course of the operation of a passenger
car or a multipurpose passenger vehicle (as defined in Sec. 571.3 of
this title) by a motor carrier and is not transporting passengers for
hire or hazardous materials of a type and quantity that require the
motor vehicle to be marked or placarded in accordance with Sec. 177.823
of this title.
Alcohol concentration (AC) means the concentration of alcohol in a
person's blood or breath. When expressed as a percentage it means grams
of alcohol per 100 milliliters of blood or grams of alcohol per 210
liters of breath.
Bus means any motor vehicle designed, constructed, and or used for
the transportation of passengers, including taxicabs.
Business district means the territory contiguous to and including a
highway when within any 600 feet along such highway there are buildings
in use for business or industrial purposes, including but not limited to
hotels, banks, or office buildings which occupy at least 300 feet of
frontage on one side or 300 feet collectively on both sides of the
highway.
Charter transportation of passengers means transportation, using a
bus, of a group of persons who pursuant to a common purpose, under a
single contract, at a fixed charge for the motor vehicle, have acquired
the exclusive use of the motor vehicle to travel together under an
itinerary either specified in advance or modified after having left the
place of origin.
Commercial motor vehicle means any self-propelled or towed vehicle
used on public highways in interstate commerce to transport passengers
or property when:
(a) The vehicle has a gross vehicle weight rating or gross
combination weight rating of 4,537 or more kilograms (10,001 or more
pounds); or
(b) The vehicle is designed to transport more than 15 passengers,
including the driver; or
(c) The vehicle is used in the transportation of hazardous materials
in a quantity requiring placarding under regulations issued by the
Secretary under the Hazardous Materials Transportation Act (49 U.S.C.
5101 et. seq.).
Conviction means an unvacated adjudication of guilt, or a
determination that a person has violated or failed to comply with the
law in a court of original jurisdiction or by an authorized
administrative tribunal, an unvacated forfeiture of bail or collateral
deposited to secure the person's appearance in court, a plea of guilty
or nolo contendere accepted by the court, the payment of a fine or court
cost, or violation of a condition of release without bail, regardless of
whether or not the penalty is rebated, suspended, or probated.
Direct assistance means transportation and other relief services
provided by a motor carrier or its driver(s) incident to the immediate
restoration of essential services (such as, electricity, medial care,
sewer, water, telecommunications, and telecommunication transmissions)
or essential supplies (such as, food and fuel). It does not include
transportation related to long-term rehabilitation of damaged physical
infrastructure or routine commercial deliveries after the initial threat
to life and property has passed.
Disabling damage means damage which precludes departure of a motor
vehicle from the scene of the accident in its usual manner in daylight
after simple repairs.

(1) Inclusions. Damage to motor vehicles that could have been
driven, but would have been further damaged if so driven.
(2) Exclusions.
(i) Damage which can be remedied temporarily at the scene of the
accident without special tools or parts.

[[Page 626]]

(ii) Tire disablement without other damage even if no spare tire is
available.
(iii) Headlamp or taillight damage.
(iv) Damage to turn signals, horn, or windshield wipers which makes
them inoperative.
Driveaway-towaway operation means any operation in which a motor
vehicle constitutes the commodity being transported and one or more set
of wheels of the motor vehicle being transported are on the surface of
the roadway during transportation.
Driver means any person who operates any commercial motor vehicle.
Driving a commercial motor vehicle while under the influence of
alcohol means committing any one or more of the following acts in a CMV:
Driving a CMV while the person's alcohol concentration is 0.04 percent
or more; driving under the influence of alcohol, as prescribed by State
law; or refusal to undergo such testing as is required by any State or
jurisdiction in the enforcement of Sec. 383.51(b)(2)(i)(A) or (B), or
Sec. 392.5(a)(2).
Emergency means any hurricane, tornado, storm (e.g. thunderstorm,
snowstorm, icestorm, blizzard, sandstorm, etc.), high water, wind-driven
water, tidal wave, tsunami, earthquake, volcanic eruption, mud slide,
drought, forest fire, explosion, blackout or other occurrence, natural
or man-made, which interrupts the delivery of essential services (such
as, electricity, medical care, sewer, water, telecommunications, and
telecommunication transmissions) or essential supplies (such as, food
and fuel) or otherwise immediately threatens human life or public
welfare, provided such hurricane, tornado, or other event results in:
(1) A declaration of an emergency by the President of the United
States, the Governor of a State, or their authorized representatives
having authority to declare emergencies; by the Regional Director of
Motor Carriers for the region in which the occurrence happens; or by
other Federal, State or local government officials having authority to
declare emergencies, or
(2) A request by a police officer for tow trucks to move wrecked or
disabled motor vehicles.
Emergency relief means an operation in which a motor carrier or
driver of a commercial motor vehicle is providing direct assistance to
supplement State and local efforts and capabilities to save lives or
property or to protect public health and safety as a result of an
emergency as defined in this section.
Employee means any individual, other than an employer, who is
employed by an employer and who in the course of his or her employment
directly affects commercial motor vehicle safety. Such term includes a
driver of a commercial motor vehicle (including an independent
contractor while in the course of operating a commercial motor vehicle),
a mechanic, and a freight handler. Such term does not include an
employee of the United States, any State, any political subdivision of a
State, or any agency established under a compact between States and
approved by the Congress of the United States who is acting within the
course of such employment.
Employer means any person engaged in a business affecting interstate
commerce who owns or leases a commercial motor vehicle in connection
with that business, or assigns employees to operate it, but such terms
does not include the United States, any State, any political subdivision
of a State, or an agency established under a compact between States
approved by the Congress of the United States.
Exempt intracity zone means the geographic area of a municipality or
the commercial zone of that municipality described by the ICC in 49 CFR
part 1048, revised as of October 1, 1975. The descriptions are printed
in appendix F to subchapter B of this chapter. The term ``exempt
intracity zone'' does not include any municipality or commercial zone in
the State of Hawaii. For purposes of Sec. 391.2(d), a driver may be
considered to operate a commercial motor vehicle wholly within an exempt
intracity zone notwithstanding any common control, management, or
arrangement for a continuous carriage or shipment to or from a point
without such zone.
Exempt motor carrier means a person engaged in transportation exempt
from economic regulation by the Interstate

[[Page 627]]

Commerce Commission (ICC) under 49 U.S.C. 10526. ``Exempt motor
carriers'' are subject to the safety regulations set forth in this
subchapter.
Farm-to-market agricultural transportation means the operation of a
commercial motor vehicle controlled and operated by a farmer who:
(a) Is a private motor carrier of property;
(b) Is using the commercial motor vehicle to transport agricultural
products from a farm owned by the farmer, or to transport farm machinery
or farm supplies to or from a farm owned by the farmer; and
(c) Is not using the commercial motor vehicle to transport hazardous
materials of a type or quantity that require the commercial motor
vehicle to be placarded in accordance with Sec. 177.823 of this
subtitle.
Farm vehicle driver means a person who drives only a commercial
motor vehicle that is--
(a) Controlled and operated by a farmer as a private motor carrier
of property;
(b) Being used to transport either--
(1) Agricultural products, or
(2) Farm machinery, farm supplies, or both, to or from a farm;
(c) Not being used in the operation of a for-hire motor carrier;
(d) Not carrying hazardous materials of a type or quantity that
requires the commercial motor vehicle to be placarded in accordance with
Sec. 177.823 of this subtitle; and
(e) Being used within 150 air-miles of the farmer's farm.
Farmer means any person who operates a farm or is directly involved
in the cultivation of land, crops, or livestock which--
(a) Are owned by that person; or
(b) Are under the direct control of that person.
Fatality means any injury which results in the death of a person at
the time of the motor vehicle accident or within 30 days of the
accident.
Federal Highway Administrator means the chief executive of the
Federal Highway Administration, an agency within the Department of
Transportation.
For-hire motor carrier means a person engaged in the transportation
of goods or passengers for compensation.
Gross combination weight rating (GCWR) means the value specified by
the manufacturer as the loaded weight of a combination (articulated)
motor vehicle. In the absence of a value specified by the manufacturer,
GCWR will be determined by adding the GVWR of the power unit and the
total weight of the towed unit and any load thereon.
Gross vehicle weight rating (GVWR) means the value specified by the
manufacturer as the loaded weight of a single motor vehicle.
Hazardous material means a substance or material which has been
determined by the Secretary of Transportation to be capable of posing an
unreasonable risk to health, safety, and property when transported in
commerce, and which has been so designated.
Hazardous substance means a material, and its mixtures or solutions,
that is identified in the appendix to Sec. 172.101, List of Hazardous
Substances and Reportable Quantities, of this title when offered for
transportation in one package, or in one transport motor vehicle if not
packaged, and when the quantity of the material therein equals or
exceeds the reportable quantity (RQ). This definition does not apply to
petroleum products that are lubricants or fuels, or to mixtures or
solutions of hazardous substances if in a concentration less than that
shown in the table in Sec. 171.8 of this title, based on the reportable
quantity (RQ) specified for the materials listed in the appendix to
Sec. 172.101.
Hazardous waste means any material that is subject to the hazardous
waste manifest requirements of the EPA specified in 40 CFR part 262 or
would be subject to these requirements absent an interim authorization
to a State under 40 CFR part 123, subpart F.
Intermittent, casual, or occasional driver means a driver who in any
period of 7 consecutive days is employed or used as a driver by more
than a single motor carrier. The qualification of such a driver shall be
determined and recorded in accordance with the provisions of Sec. 391.63
or 391.65 of this subchapter, as applicable.

[[Page 628]]

Interstate commerce means trade, traffic, or transportation in the
United States which is between a place in a State and a place outside of
such State (including a place outside of the United States) or is
between two places in a State through another State or a place outside
of the United States.
Intrastate commerce means any trade, traffic, or transportation in
any State which is not described in the term ``interstate commerce.''
Medical examiner means a person who is licensed, certified, and/or
registered, in accordance with applicable State laws and regulations, to
perform physical examinations. The term includes but is not limited to,
doctors of medicine, doctors of osteopathy, physician assistants,
advanced practice nurses, and doctors of chiropractic.
Motor carrier means a for-hire motor carrier or a private motor
carrier. The term includes a motor carrier's agents, officers and
representatives as well as employees responsible for hiring,
supervising, training, assigning, or dispatching of drivers and
employees concerned with the installation, inspection, and maintenance
of motor vehicle equipment and/or accessories. For purposes of
subchapter B, this definition includes the terms employer, and exempt
motor carrier.
Motor vehicle means any vehicle, machine, tractor, trailer, or
semitrailer propelled or drawn by mechanical power and used upon the
highways in the transportation of passengers or property, or any
combination thereof determined by the Federal Highway Administration,
but does not include any vehicle, locomotive, or car operated
exclusively on a rail or rails, or a trolley bus operated by electric
power derived from a fixed overhead wire, furnishing local passenger
transportation similar to street-railway service.
Operator -- See driver.
Other terms -- Any other term used in this subchapter is used in its
commonly accepted meaning, except where such other term has been defined
elsewhere in this subchapter. In that event, the definition therein
given shall apply.
Out-of-service order means a declaration by an authorized
enforcement officer of a Federal, State, Canadian, Mexican, or local
jurisdiction that a driver, a commercial motor vehicle, or a motor
carrier operation, is out-of-service pursuant to Secs. 386.72, 392.5,
395.13, 396.9, or compatible laws, or the North American Uniform Out-of-
Service Criteria.
Person means any individual, partnership, association, corporation,
business trust, or any other organized group of individuals.
Principal place of business means a single location designated by
the motor carrier, normally its headquarters, where records required by
parts 387, 390, 391, and 395 of this subchapter will be maintained and
where records required by part 382 must be made available for inspection
within two business days after a request has been made by an authorized
representative of the Federal Highway Administration. Provisions in this
subchapter are made for maintaining certain records at locations other
than the principal place of business.
Private motor carrier means a person who provides transportation of
property or passengers, by commercial motor vehicle, and is not a for-
hire motor carrier.
Private motor carrier of passengers (business) means a private motor
carrier engaged in the interstate transportation of passengers which is
provided in the furtherance of a commercial enterprise and is not
available to the public at large.
Private motor carrier of passengers (nonbusiness) means private
motor carrier involved in the interstate transportation of passengers
that does not otherwise meet the definition of a private motor carrier
of passengers (business).
Radar detector means any device or mechanism to detect the emission
of radio microwaves, laser beams or any other future speed measurement
technology employed by enforcement personnel to measure the speed of
commercial motor vehicles upon public roads and highways for enforcement
purposes. Excluded from this definition are radar detection devices that
meet both of the following requirements:
(1) Transported outside the driver's compartment of the commercial
motor vehicle. For this purpose, the driver's

[[Page 629]]

compartment of a passenger-carrying CMV shall include all space designed
to accommodate both the driver and the passengers; and
(2) Completely inaccessible to, inoperable by, and imperceptible to
the driver while operating the commercial motor vehicle.
Regional Director of Motor Carriers means the Director of the Office
of Motor Carriers, Federal Highway Administration, for a given
geographical region of the United States.
Regularly employed driver means a driver who, in any period of 7
consecutive days, is employed or used as a driver solely by a single
motor carrier.
Residential district means the territory adjacent to and including a
highway which is not a business district and for a distance of 300 feet
or more along the highway is primarily improved with residences.
School bus means a passenger motor vehicle which is designed or used
to carry more than 10 passengers in addition to the driver, and which
the Secretary determines is likely to be significantly used for the
purpose of transporting preprimary, primary, or secondary school
students to such schools from home or from such schools to home.
School bus operation means the use of a school bus to transport only
school children and/or school personnel from home to school and from
school to home.
Secretary means the Secretary of Transportation.
Special agent See appendix B to subchapter B -- Special agents.
State means a State of the United States and the District of
Columbia and includes a political subdivision of a State.
Trailer includes:
(a) Full trailer means any motor vehicle other than a pole trailer
which is designed to be drawn by another motor vehicle and so
constructed that no part of its weight, except for the towing device,
rests upon the self-propelled towing motor vehicle. A semitrailer
equipped with an auxiliary front axle (converter dolly) shall be
considered a full trailer.
(b) Pole trailer means any motor vehicle which is designed to be
drawn by another motor vehicle and attached to the towing motor vehicle
by means of a ``reach'' or ``pole,'' or by being ``boomed'' or otherwise
secured to the towing motor vehicle, for transporting long or
irregularly shaped loads such as poles, pipes, or structural members,
which generally are capable of sustaining themselves as beams between
the supporting connections.
(c) Semitrailer means any motor vehicle, other than a pole trailer,
which is designed to be drawn by another motor vehicle and is
constructed so that some part of its weight rests upon the self-
propelled towing motor vehicle.
Truck means any self-propelled commercial motor vehicle except a
truck tractor, designed and/or used for the transportation of property.
Truck tractor means a self-propelled commercial motor vehicle
designed and/or used primarily for drawing other vehicles.
United States means the 50 States and the District of Columbia.

[53 FR 18052, May 19, 1988, as amended at 53 FR 39051, Oct. 4, 1988; 53
FR 47543, Nov. 23, 1988; 55 FR 32916, Aug. 13, 1990; 55 FR 35435, Aug.
27, 1990; 57 FR 33278, July 28, 1992; 57 FR 33646, July 30, 1992; 58 FR
6729, Feb. 2, 1993; 58 FR 33777, June 21, 1993; 58 FR 59196, Nov. 8,
1993; 58 FR 67375, Dec. 21, 1993; 59 FR 8752, Feb. 23, 1994; 59 FR
26028, May 18, 1994; 59 FR 60323, Nov. 23, 1994; 60 FR 38743, July 28,
1995; 60 FR 44440, Aug. 28, 1995; 61 FR 9566, Mar. 8, 1996]

Sec. 390.7 Rules of construction.

(a) In part 325 of subchapter A and in this subchapter, unless the
context requires otherwise:
(1) Words imparting the singular include the plural;
(2) Words imparting the plural include the singular;
(3) Words imparting the present tense include the future tense.
(b) In this subchapter the word--
(1) Officer includes any person authorized by law to perform the
duties of the office;
(2) Writing includes printing and typewriting;
(3) Shall is used in an imperative sense;
(4) Must is used in an imperative sense;
(5) Should is used in a recommendatory sense;

[[Page 630]]

(6) May is used in a permissive sense; and
(7) Includes is used as a word of inclusion, not limitation.

[53 FR 18052, May 19, 1988, as amended at 60 FR 38744, July 28, 1995]

Subpart B--General Requirements and Information

Sec. 390.9 State and local laws, effect on.

Except as otherwise specifically indicated, subchapter B of this
chapter is not intended to preclude States or subdivisions thereof from
establishing or enforcing State or local laws relating to safety, the
compliance with which would not prevent full compliance with these
regulations by the person subject thereto.

Sec. 390.11 Motor carrier to require observance of driver regulations.

Whenever in part 325 of subchapter A or in this subchapter a duty is
prescribed for a driver or a prohibition is imposed upon the driver, it
shall be the duty of the motor carrier to require observance of such
duty or prohibition. If the motor carrier is a driver, the driver shall
likewise be bound.

Sec. 390.13 Aiding or abetting violations.

No person shall aid, abet, encourage, or require a motor carrier or
its employees to violate the rules of this chapter.

Sec. 390.15 Assistance in investigations and special studies.

(a) A motor carrier shall make all records and information
pertaining to an accident available to an authorized representative or
special agent of the Federal Highway Administration upon request or as
part of any inquiry within such time as the request or inquiry may
specify. A motor carrier shall give an authorized representative of the
Federal Highway Administration all reasonable assistance in the
investigation of any accident including providing a full, true and
correct answer to any question of the inquiry.
(b) Motor carriers shall maintain for a period of one year after an
accident occurs, an accident register containing at least the following
information:
(1) A list of accidents containing for each accident:
(i) Date of accident,
(ii) City or town in which or most near where the accident occurred
and the State in which the accident occurred,
(iii) Driver name,
(iv) Number of injuries,
(v) Number of fatalities, and
(vi) Whether hazardous materials, other than fuel spilled from the
fuel tanks of motor vehicles involved in the accident, were released.
(2) Copies of all accident reports required by State or other
governmental entities or insurers.

(Approved by the Office of Management and Budget under control number
2125-0526)

[58 FR 6729, February 2, 1993, as amended at 60 FR 38744, July 28, 1995;
60 FR 44441, Aug. 28, 1995]
Secs. 390.16--390.17 [Reserved]

Sec. 390.19 Additional equipment and accessories.

Nothing in this subchapter shall be construed to prohibit the use of
additional equipment and accessories, not inconsistent with or
prohibited by this subchapter, provided such equipment and accessories
do not decrease the safety of operation of the commercial motor vehicles
on which they are used.

[53 FR 18052, May 19, 1988, as amended at 60 FR 38744, July 28, 1995]

Sec. 390.21 Marking of commercial motor vehicles.

(a) General. Every self-propelled commercial motor vehicle operated
in interstate commerce and subject to the rules of subchapter B of this
chapter must be marked as specified in paragraphs (b), (c) and (d) of
this section. Self-propelled commercial motor vehicles operated by for-
hire motor carriers under authority issued by the Interstate Commercial
Commission (ICC) may meet the requirements of this section by complying
with the marking requirements set forth in 49 CFR part 1058.
(b) Nature of marking. The marking must display the following
information:

[[Page 631]]

(1) The name or trade name of the motor carrier operating the self-
propelled commercial motor vehicle.
(2) The city or community and State (name abbreviated), in which the
carrier maintains its principal place of business or in which the
commercial motor vehicle is customarily based.
(3) The motor carrier identification number, if issued by the FHWA,
preceded by the letters ``USDOT''.
(4) If the name of any person other than the operating carrier
appears on the commercial motor vehicle operated under its own power,
either alone or in combination, the name of the operating carrier shall
be followed by the information required by paragraphs (b)(1), (2), and
(3) of this section, and be preceded by the words ``operated by.''
(5) Other identifying information may be displayed on the commercial
motor vehicle if it is not inconsistent with the information required by
this paragraph.
(c) Size, shape, location, and color of marking. The marking must--
(1) Appear on both sides of the self-propelled commercial motor
vehicle;
(2) Be in letters that contrast sharply in color with the background
on which the letters are placed;
(3) Be readily legible, during daylight hours, from a distance of 50
feet while the commercial motor vehicle is stationary; and
(4) Be kept and maintained in a manner that retains the legibility
required by paragraph (c)(3) of this section.
(d) Construction and durability. The marking may be painted on the
commercial motor vehicle or may consist of a removable device, if that
device meets the identification and legibility requirements of this
section, and such marking shall be maintained in such a manner as to
remain legible as required by this section.
(e) Rented commercial motor vehicles. A motor carrier operating a
self-propelled commercial motor vehicle under a rental agreement having
a term not in excess of 30 calendar days may meet the requirements of
this section in either one of two ways:
(1) The commercial motor vehicle is marked in accordance with the
provisions of paragraphs (b) through (d) of this section; or
(2) The commercial motor vehicle is marked as set forth below:
(i) The name or trade name of the lessor is displayed in accordance
with paragraphs (c) and (d) of this section;
(ii) The city or community and State (name abbreviated), in which
the lessor maintians its principal place of business or in which the
commercial motor vehicle is customarily based is displayed in accordance
with paragraphs (c) and (d) of this section;
(iii) The lessor's identification number, issued by the FHWA,
preceded by the letters ``USDOT'' is displayed in accordance with
paragraphs (c) and (d) of this section; and
(iv) The rental agreement entered into by the lessor and the renting
motor carrier conspicuously contains the following information:
(A) The name and complete physical address of the principal place of
business of the renting motor carrier;
(B) The identification number issued the renting motor carrier by
the Federal Highway Administration, preceded by the letters ``USDOT,''
if the motor carrier has been issued such a number. In lieu of the
identification number required in this paragraph, the following may be
shown:
(1) Information which will indicate if the motor carrier is engaged
in ``interstate'' or ``intrastate'' commerce; and
(2) Information which will indicate if the renting motor carrier is
transporting hazardous materials in the rented commercial motor vehicle;
(C) The sentence: ``This lessor cooperates with all federal, state,
and local law enforcement officials nationwide to provide the identity
of customers who operate this rental commercial motor vehicle;'' and
(v) The rental agreement entered into by the lessor and the renting
motor carrier is carried on the rental commercial motor vehicle during
the full term of the rental agreement.

[53 FR 18052, May 19, 1988; 53 FR 27689, July 22, 1988, as amended at 53
FR 47543, Nov. 23, 1988; 55 FR 6993, Feb. 28, 1990; 57 FR 3142, Jan. 28,
1992; 60 FR 38744, July 28, 1995]

Sec. 390.23 Relief from regulations.

(a) Parts 390 through 399 of this chapter shall not apply to any
motor carrier or driver operating a commercial

[[Page 632]]

motor vehicle to provide emergency relief during an emergency, subject
to the following time limits:
(1) Regional emergencies. (i) The exemption provided by paragraph
(a)(1) of this section is effective only when:
(A) An emergency has been declared by the President of the United
States, the Governor of a State, or their authorized representatives
having authority to declare emergencies; or
(B) The Regional Director of Motor Carriers has declared that a
regional emergency exists which justifies an exemption from parts 390
through 399 of this chapter.
(ii) Except as provided in Sec. 390.25, this exemption shall not
exceed the duration of the motor carrier's or driver's direct assistance
in providing emergency relief, or 30 days from the date of the initial
declaration of the emergency or the exemption from the regulations by
the Regional Director of Motor Carriers, whichever is less.
(2) Local emergencies. (i) The exemption provided by paragraph
(a)(2) of this section is effective only when:
(A) An emergency has been declared by a Federal, State or local
government official having authority to declare an emergency; or
(B) The Regional Director of Motor Carriers has declared that a
local emergency exists which justifies an exemption from parts 390
through 399 of this chapter.
(ii) This exemption shall not exceed the duration of the motor
carrier's or driver's direct assistance in providing emergency relief,
or 5 days from the date of the initial declaration of the emergency or
the exemption from the regulations by the Regional Director of Motor
Carriers, whichever is less.
(3) Tow trucks responding to emergencies. (i) The exemption provided
by paragraph (a)(3) of this section is effective only when a request has
been made by a Federal, State or local police officer for tow trucks to
move wrecked or disabled motor vehicles.
(ii) This exemption shall not exceed the length of the motor
carrier's or driver's direct assistance in providing emergency relief,
or 24 hours from the time of the initial request for assistance by the
Federal, State or local police officer, whichever is less.
(b) Upon termination of direct assistance to the regional or local
emergency relief effort, the motor carrier or driver is subject to the
requirements of parts 390 through 399 of this chapter, with the
following exception: A driver may return empty to the motor carrier's
terminal or the driver's normal work reporting location without
complying with parts 390 through 399 of this chapter. However, a driver
who informs the motor carrier that he or she needs immediate rest shall
be permitted at least 8 consecutive hours off duty before the driver is
required to return to such terminal or location. Having returned to the
terminal or other location, the driver must be relieved of all duty and
responsibilities. Direct assistance terminates when a driver or
commercial motor vehicle is used in interstate commerce to transport
cargo not destined for the emergency relief effort, or when the motor
carrier dispatches such driver or commercial motor vehicle to another
location to begin operations in commerce.
(c) When the driver has been relieved of all duty and
responsibilities upon termination of direct assistance to a regional or
local emergency relief effort, no motor carrier shall permit or require
any driver used by it to drive nor shall any such driver drive in
commerce until:
(1) The driver has met the requirements of Sec. 395.3(a) of this
chapter; and
(2) The driver has had at least 24 consecutive hours off-duty when:
(A) The driver has been on duty for more than 60 hours in any 7
consecutive days at the time the driver is relieved of all duty if the
employing motor carrier does not operate every day in the week, or
(B) The driver has been on duty for more than 70 hours in any 8
consecutive days at the time the driver is relieved of all duty if the
employing motor carrier operates every day in the week.

[57 FR 33647, July 30, 1992, as amended at 60 FR 38744, July 28, 1995]

Sec. 390.25 Extension of relief from regulations--emergencies.

The Regional Director of Motor Carriers may extend the 30-day time
period of the exemption contained in

[[Page 633]]

Sec. 390.23(a)(1), but not the 5-day time period contained in
Sec. 390.23(a)(2) or the 24-hour period contained in Sec. 390.23(a)(3).
Any motor carrier or driver seeking to extend the 30-day limit shall
obtain approval from the Regional Director of Motor Carriers in the
region in which the motor carrier's principal place of business is
located before the expiration of the 30-day period. The motor carrier or
driver shall give full details of the additional relief requested. The
Regional Director of Motor Carriers shall determine if such relief is
necessary taking into account both the severity of the ongoing emergency
and the nature of the relief services to be provided by the carrier or
driver. If the Regional Director of Motor Carriers approves an extension
of the exemption, he or she shall establish a new time limit and place
on the motor carrier or driver any other restrictions deemed necessary.

[57 FR 33647, July 30, 1992]

[[Page 634]]

Sec. 390.27 Locations of regional offices of motor carriers.

----------------------------------------------------------------------------------------------------------------
Region No. Territory included Location of regional office
----------------------------------------------------------------------------------------------------------------
1................... Connecticut, Maine, Massachusetts, New Leo W. O'Brien Federal Office Building,
Jersey, New Hampshire, New York, Rhode Clinton & Pearl Streets, Room 737, Albany,
Island, Vermont, Puerto Rico, and the NY 12207-2334.
Virgin Islands. That part of Canada east of
Highways 19 and 8 from Port Burwell to
Goderich, thence a straight line running
north through Tobermory and Sudbury, and
thence due north to the Canadian border.
3................... Delaware, District of Columbia, Maryland, City Crescent Building, #10 South Howard
Pennsylvania, Virginia, and West Virginia. Street, Suite 4000, Baltimore, MD 21201-
2819.
4................... Alabama, Florida, Georgia, Kentucky, 1720 Peachtree Road, NW., Suite 200,
Mississippi, North Carolina, South Atlanta, GA 30367-2349.
Carolina, and Tennessee.
5................... Illinois, Indiana, Michigan, Minnesota, 19900 Governors Drive, Suite 210, Olympia
Ohio, and Wisconsin. That part of Canada Fields, IL 60461-1021.
west of Highways 19 and 8 from Port Burwell
to Goderich, thence a straight line running
north through Tobermory and Sudbury, and
thence due north to the Canadian border,
and east of the boundary between the
Provinces of Ontario and Manitoba to Hudson
Bay and thence a straight line north to the
Canadian border.
6................... Arkansas, Louisiana, New Mexico, Oklahoma, Room 8A00, Federal Building, 819 Taylor
and Texas. All of Mexico, except the States Street, P.O. Box 902003, Fort Worth, TX
of Baja California and Sonora and the 76102.
Territory of Baja California Sur., Mexico.
All nations south of Mexico.
7................... Iowa, Kansas, Missouri, and Nebraska........ 6301 Rockhill Road, P.O. Box 419715, Kansas
City, MO 64141-6715.
8................... Colorado, Montana, North Dakota, South 555 Zang Street, room 190, Lakewood, CO
Dakota, Utah, Wyoming. That part of Canada 80228-1014.
west of the boundary between the Provinces
of Ontario and Manitoba to Hudson Bay and
thence a straight line due north to the
Canadian border, and east of Highway 95
from Kingsgate to Blaeberry and thence a
straight line due north to the Canadian
border.
9................... Arizona, California, Hawaii, Nevada, Guam, 201 Mission Street, Suite 2100, San
American Samoa, and Mariana Islands. The Francisco, CA 94105.
States of Baja California and Sonora,
Mexico, and the Territory of Baja
California Sur., Mexico.
10.................. Alaska, Idaho, Oregon and Washington. That KOIN Center, suite 600, 222 SW Columbia
part of Canada west of Highway 95 from Street, Portland, OR 97201-2491.
Kingsgate to Blaeberry and thence a
straight line due north to the Canadian
border, and all the Province of British
Columbia.
----------------------------------------------------------------------------------------------------------------

[61 FR 9566, Mar. 8, 1996]

[[Page 635]]

Sec. 390.29 [Reserved]

Sec. 390.31 Copies of records or documents.

(a) All records and documents required to be maintained under this
subchapter must be preserved in their original form for the periods
specified, unless the records and documents are suitably photographed
and the microfilm is retained in lieu of the original record for the
required retention period.
(b) To be acceptable in lieu of original records, photographic
copies of records must meet the following minimum requirements:
(1) Photographic copies shall be no less readily accessible than the
original record or document as normally filed or preserved would be and
suitable means or facilities shall be available to locate, identify,
read, and reproduce such photographic copies.
(2) Any significant characteristic, feature or other attribute of
the original record or document, which photography in black and white
will not preserve, shall be clearly indicated before the photograph is
made.
(3) The reverse side of printed forms need not be copied if nothing
has been added to the printed matter common to all such forms, but an
identified specimen of each form shall be on the film for reference.
(4) Film used for photographing copies shall be of permanent record-
type meeting in all respects the minimum specifications of the National
Bureau of Standards, and all processes recommended by the manufacturer
shall be observed to protect it from deterioration or accidental
destruction.
(5) Each roll of film shall include a microfilm of a certificate or
certificates stating that the photographs are direct or facsimile
reproductions of the original records. Such certificate(s) shall be
executed by a person or persons having personal knowledge of the
material covered thereby.
(c) All records and documents required to be maintained under this
subchapter may be destroyed after they have been suitably photographed
for preservation.
(d) Exception. All records except those requiring a signature may be
maintained through the use of computer technology provided the motor
carrier can produce, upon demand, a computer printout of the required
data.

Sec. 390.33 Commercial motor vehicles used for purposes other than defined.

Whenever a commercial motor vehicle of one type is used to perform
the functions normally performed by a commercial motor vehicle of
another type, the requirements of this subchapter and part 325 of
subchapter A shall apply to the commercial motor vehicle and to its
operation in the same manner as though the commercial motor vehicle were
actually a commercial motor vehicle of the latter type. Example: If a
commercial motor vehicle other than a bus is used to perform the
functions normally performed by a bus, the regulations pertaining to
buses and to the transportation of passengers shall apply to that
commercial motor vehicle.

[53 FR 18052, May 19, 1988, as amended at 60 FR 38744, July 28, 1995]

Sec. 390.35 Certificates, reports, and records: falsification, reproduction, or alteration.

No motor carrier, its agents, officers, representatives, or
employees shall make or cause to make--
(a) A fraudulent or intentionally false statement on any
application, certificate, report, or record required by part 325 of
subchapter A or this subchapter;
(b) A fraudulent or intentionally false entry on any application,
certificate, report, or record required to be used, completed, or
retained, to comply with any requirement of this subchapter or part 325
of subchapter A; or
(c) A reproduction, for fraudulent purposes, of any application,
certificate, report, or record required by this subchapter or part 325
of subchapter A.

Sec. 390.37 Violation and penalty.

Any person who violates the rules set forth in this subchapter or
part 325 of subchapter A may be subject to civil or criminal penalties.

[[Page 636]]

Subpart C--Intermodal Transportation

Source: 59 FR 67554, Dec. 29, 1994, unless otherwise noted.

Effective Date Note: At 59 FR 67554, Dec. 29, 1994, subpart C to
part 390 was added, effective June 27, 1995. At 60 FR 26002, May 16,
1995, the effective was extended to Sept. 27, 1995. At 60 FR 40761, Aug.
10, 1995, the effective was further extended to Sept. 1, 1996. At 61 FR
42822, Aug. 19, 1996, the effective date was further extended to Jan. 2,
1997.

Sec. 390.50 Applicability.

The provisions of this subpart apply to any person tendering a
loaded container or trailer which is transported by a motor carrier on a
public highway in the United States and to carriers used to transport
such containers or trailers. This subpart also applies to any person who
coerces or attempts to coerce a motor carrier to transport a loaded
container or trailer in violation of this subpart.

Sec. 390.52 Definitions.

In this subpart:
Applicable State law means the vehicle weight laws, including
overweight operating permit regulations, of each State in which
intermodal transportation occurs or where an act of coercion allegedly
occurs.
Carrier means:
(1) A motor carrier, water carrier, and rail carrier (as such terms
are defined in 49 U.S.C. 10102), and
(2) An ocean common carrier (as such term is defined in 46 U.S.C.
app. 1702), providing transportation of property in commerce.
Coerce or attempt to coerce means a threat to inflict physical harm
or to withhold business from a person participating in intermodal
transportation in order to induce that person to transport a loaded
container or trailer in violation of the provisions of Sec. 390.56 or
390.60.
Container means an article of transport equipment:
(1) Of a permanent character and accordingly strong enough to be
suitable for repeated use;
(2) Specially designed to facilitate the carriage of goods by one or
more modes of transport, without intermediate reloading;
(3) Fitted with devices permitting its ready handling, particular
its transfer from one mode of transport to another;
(4) So designed as to be easy to fill and empty; and
(5) Having an internal volume of one cubic meter (35.3 cubic feet)
or more.
Initial carrier means the first carrier transporting in intermodal
transportation a loaded container or trailer.
Intermodal transportation means successive carriage of a loaded
container or trailer from an origin point to a destination point by more
than one type of carrier in interstate or foreign commerce. Such term
shall include carriage by more than one mode of transportation in
interstate or foreign commerce both under a single bill of lading and
under separate bills of lading.
Loaded container or trailer means a container or trailer in
intermodal transportation with an actual gross cargo weight (inclusive
of packing material and pallets) of more than 10,000 pounds or 4,536
kilograms.
Reasonable description means a representative statement that
characterizes the cargo transported, such as, but not limited to, the
term freight all kinds and other similar generic descriptions. A
reasonable description shall identify a container or trailer loaded with
perishable agricultural commodities. A reasonable description shall
identify a container or trailer whose contents are likely to shift
during intermodal transportation causing an uneven or concentrated
weight distribution which may result in an axle weight violation during
highway transportation. For the purposes of reasonable description,
likely to shift means the contents of a container or trailer by the
nature of its transportation characteristics has a high probability of
moving within the container or trailer. Hazardous material shipping
paper requirements (49 CFR part 172, subpart C) are not affected by this
definition, and shipping papers must be prepared as required.
Tender a loaded container or trailer means to present a loaded
container or trailer to an initial carrier for intermodal
transportation. A person who

[[Page 637]]

loads the container or trailer, including a person who consolidates
multiple shipments, shall be considered to be the person tendering a
loaded container or trailer unless some other appropriate party assumes
that responsibility.
Trailer means a nonpower, cargo carrying, trailing unit which is
designed for use in combination with a truck tractor.

Sec. 390.54 Notification and certification.

(a) If the initial carrier is a motor carrier, before any person
tenders a container or trailer subject to this subpart having a
projected gross cargo weight (inclusive of packing material and pallets)
of more than 10,000 pounds or 4,536 kilograms, such person shall notify
the initial carrier of the projected gross cargo weight and a reasonable
description of the contents of the container or trailer. The
notification may be communicated by electronic transmission or
telephone.
(b) At or before the time any person tenders a loaded container or
trailer subject to this subpart, such person shall provide a
certification to the initial carrier.
(1) If the initial carrier is a motor carrier, the certification
shall be provided in a tangible form.
(2) The certification may be transmitted electronically, provided
that the certification can be reproduced in a tangible form.
(3) A carrier, agent of a carrier, broker, customs broker, freight
forwarder, warehouseman, and terminal operator shall not be considered
to be tendering a loaded container or trailer unless such person loads
the container or trailer or issues the certification on the basis of
information available from the person who loads the container or
trailer.
(c) The certification shall include:
(1) The title ``INTERMODAL CERTIFICATION'';
(2) The identification number of the container or trailer;
(3) The actual gross cargo weight, including the unit of
measurement, of the contents of the container or trailer, including
packing material and pallets;
(4) A reasonable description of the contents;
(5) The name and company of the person tendering the loaded
container or trailer; and
(6) The date.
(d) Signature. The certification required by paragraph (c) of this
section:
(1) Must be legibly signed by the person or representative tendering
the loaded container or trailer; and
(2) May be legibly signed manually, by typewriter, or other
mechanical means.
(e) The required elements of a certification shall be legible and in
the English language.
(f) No person may provide false or erroneous information in a
certification.
(g) The following form may be used to comply with this section:

Intermodal Certification

Identification number:
Gross cargo weight:

Reasonable description:

(Name and company of the person tendering the loaded container or
trailer)

(Signature of the person tendering the loaded container or trailer)

(Date)

Sec. 390.56 Duty of motor carrier.

(a) No motor carrier may provide transportation of a loaded
container or trailer subject to this subpart prior to receiving the
certification required by Sec. 390.54 in a tangible form.
(b) The certification in a tangible form shall accompany the loaded
container or trailer during transportation by a motor carrier.

Sec. 390.58 Forwarding and retention of certification.

(a) A carrier, agent of a carrier, broker, customs broker, freight
forwarder, warehouseman, or terminal operator that receives the
certification required by Sec. 390.54 in the course of intermodal
transportation shall forward the certification to a subsequent carrier
transporting the loaded container or trailer.
(1) If received in a tangible form, the certification may be
converted into an electronic format.

[[Page 638]]

(2) If received as a separate document, the certification may be
incorporated into a shipping document corresponding to the loaded
container or trailer.
(3) The person who converts a certification into an electronic
format and/or incorporates a certification into a shipping document
corresponding to the loaded container or trailer shall state in writing
that the conversion and/or incorporation was performed accurately. Such
statement shall take the following form: ``Electronic Format and/or
Incorporation by John Doe, X Company, Month/Day/Year.'' Such statement
shall appear immediately after the certification of the person tendering
the loaded container or trailer.
(b) The certification may be forwarded by electronic transmission
provided that all subsequent motor carriers receive the certification in
a tangible form.
(c) The forwarding of any certification required or statement
authorized by this section does not constitute a verification or
affirmation of the accuracy or completeness of the certification or
statement.
(d) Any person who tenders a loaded container or trailer that is
transported by a motor carrier, and each motor carrier transporting a
loaded container or trailer shall maintain a copy of the certification
for a period of one year from the date of the tendering. Certifications
may be maintained electronically if the certification can be reproduced
in a tangible form.

Sec. 390.60 Coercion.

(a) No person may coerce or attempt to coerce a person to transport
a loaded container or trailer subject to this subpart without the
certification required by Sec. 390.54.
(b) No person, knowing that the weight of a tractor-trailer
combination which includes a loaded container or trailer is in excess of
that permitted by applicable State law, may coerce or attempt to coerce
a motor carrier or driver in violation of such law--
(1) To transport the loaded container or trailer; or
(2) To operate the tractor-trailer combination.
(c) Exception. This section does not apply to a carrier transferring
a loaded container or trailer to another carrier in the course of
intermodal transportation. This exception does not apply if the
transferring carrier is also the person tendering the loaded container
or trailer.

PART 391--QUALIFICATIONS OF DRIVERS--Table of Contents

Subpart A--General

Sec.
391.1 Scope of the rules in this part; additional qualifications;
duties of carrier-drivers.
391.2 General exemptions.

Subpart B--Qualification and Disqualification of Drivers

391.11 Qualifications of drivers.
391.15 Disqualification of drivers.

Subpart C--Background and Character

391.21 Application for employment.
391.23 Investigation and inquiries.
391.25 Annual review of driving record.
391.27 Record of violations.

Subpart D--Tests

391.31 Road test.
391.33 Equivalent of road test.

Subpart E--Physical Qualifications and Examinations

391.41 Physical qualifications for drivers.
391.43 Medical examination; certificate of physical examination.
391.45 Persons who must be medically examined and certified.
391.47 Resolution of conflicts of medical evaluation.
391.49 Waiver of certain physical defects.

Subpart F--Files and Records

391.51 Driver qualification files.

Subpart G--Limited Exemptions

391.61 Drivers who were regularly employed before January 1, 1971.
391.62 Limited exemptions for intra-city zone drivers.
391.63 Intermittent, casual, or occasional drivers.
391.64 Grandfathering for certain drivers participating in vision and
diabetes waiver study programs.

[[Page 639]]

391.65 Drivers furnished by other motor carriers.
391.67 Farm vehicle drivers of articulated commercial motor vehicles.
391.68 Private motor carrier of passengers (nonbusiness).
391.69 Drivers operating in Hawaii.
391.71 Intrastate drivers of commercial motor vehicles transporting
Class 3 combustible liquids.
391.73 Private motor carrier of passengers (business).

Subpart H--Controlled Substances Testing

391.81 Purpose and scope.
391.83 Applicability.
391.85 Definitions.
391.87 Notification of test results and recordkeeping.
391.89 Access to individual test results or test findings.
391.93 Implementation schedule.
391.95 Drug use prohibitions.
391.97 Prescribed drugs.
391.99 Reasonable cause testing requirements.
391.101 Reasonable cause testing procedures.
391.103 Pre-employment testing requirements.
391.105 Biennial testing requirements.
391.107 Pre-employment and Biennial testing procedures.
391.109 Random testing requirements.
391.111 Random testing procedures.
391.113 Post-accident testing requirements.
391.115 Post-accident testing procedures.
391.117 Disqualification.
391.119 Employee Assistance Program (EAP).
391.121 EAP training program.
391.123 After-care monitoring.
391.125 Termination schedule of this subpart.

Authority: 49 U.S.C. 504, 31133, 31136, and 31502; and 49 CFR 1.48.

Source: 35 FR 6460, Apr. 22, 1970, unless otherwise noted.

Subpart A--General

Sec. 391.1 Scope of the rules in this part; additional qualifications; duties of carrier-drivers.

(a) The rules in this part establish minimum qualifications for
persons who drive commercial motor vehicles as, for, or on behalf of
motor carriers. The rules in this part also establish minimum duties of
motor carriers with respect to the qualifications of their drivers.
(b) A motor carrier who employs himself/herself as a driver must
comply with both the rules in this part that apply to motor carriers and
the rules in this part that apply to drivers.

[35 FR 6460, Apr. 22, 1970, as amended at 53 FR 18057, May 19, 1988; 60
FR 38744, July 28, 1995]

Sec. 391.2 General exemptions.

(a) Farm custom operation. The rules in this part do not apply to a
driver who drives a commercial motor vehicle controlled and operated by
a person engaged in custom-harvesting operations, if the commercial
motor vehicle is used to--
(1) Transport farm machinery, supplies, or both, to or from a farm
for custom-harvesting operations on a farm; or
(2) Transport custom-harvested crops to storage or market.
(b) Apiarian industries. The rules in this part do not apply to a
driver who is operating a commercial motor vehicle controlled and
operated by a beekeeper engaged in the seasonal transportation of bees.
(c) Certain farm vehicle drivers. The rules in this part do not
apply to a farm vehicle driver except a farm vehicle driver who drives
an articulated (combination) commercial motor vehicle, as defined in
Sec. 390.5. (For limited exemptions for farm vehicle drivers of
articulated commercial motor vehicles, see Sec. 391.67.)

[36 FR 24219, Dec. 22, 1971, as amended at 37 FR 26112, Dec. 8, 1972; 54
FR 12202, Mar. 24, 1989; 60 FR 38745, July 28, 1995; 61 FR 13346, Mar.
26, 1996; 61 FR 17253, Apr. 19, 1996]

Subpart B--Qualification and Disqualification of Drivers

Sec. 391.11 Qualifications of drivers.

(a) A person shall not drive a commercial motor vehicle unless he/
she is qualified to drive a commercial motor vehicle. Except as provided
in Sec. 391.63, a motor carrier shall not require or permit a person to
drive a commercial motor vehicle unless that person is qualified to
drive a commercial motor vehicle.
(b) Except as provided in subpart G of this part, a person is
qualified to drive a commercial motor vehicle if he/she--
(1) Is at least 21 years old;

[[Page 640]]

(2) Can read and speak the English language sufficiently to converse
with the general public, to understand highway traffic signs and signals
in the English language, to respond to official inquiries, and to make
entries on reports and records;
(3) Can, by reason of experience, training, or both, safely operate
the type of commercial motor vehicle he/she drives;
(4) Can, by reason of experience, training, or both, determine
whether the cargo he/she transports (including baggage in a passenger-
carrying commercial motor vehicle) has been properly located,
distributed, and secured in or on the commercial motor vehicle he/she
drives;
(5) Is familiar with methods and procedures for securing cargo in or
on the commercial motor vehicle he/she drives.
(6) Is physically qualified to drive a commercial motor vehicle in
accordance with subpart E--Physical Qualifications and Examinations of
part 391;
(7) Has a currently valid commercial motor vehicle operator's
license issued only from one State or jurisdiction;
(8) Has prepared and furnished the motor carrier that employs him/
her with the list of violations or the certificate as required by
Sec. 391.27;
(9) Is not disqualified to drive a commercial motor vehicle under
the rules in Sec. 391.15;
(10) Has successfully completed a driver's road test and has been
issued a certificate of driver's road test in accordance with
Sec. 391.31, or has presented an operator's license or a certificate of
road test which the motor carrier that employs him/her has accepted as
equivalent to a road test in accordance with Sec. 391.33;
(11) Has completed and furnished the motor carrier that employs him/
her with an application for employment in accordance with Sec. 391.21.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 35
FR 19181, Dec. 18, 1970; 36 FR 222, Jan. 7, 1971, 36 FR 24220, Dec. 22,
1971; 45 FR 46424, July 10, 1980; 52 FR 20589, June 1, 1987; 59 FR
60323, Nov. 23, 1994; 60 FR 38744, 38745, July 28, 1995]

Sec. 391.15 Disqualification of drivers.

(a) General. A driver who is disqualified shall not drive a
commercial motor vehicle. A motor carrier shall not require or permit a
driver who is disqualified to drive a commercial motor vehicle.
(b) Disqualification for loss of driving privileges. A driver is
disqualified for the duration of his/her loss of his/her privilege to
operate a commercial motor vehicle on public highways, either
temporarily or permanently, by reason of the revocation, suspension,
withdrawal, or denial of an operator's license, permit, or privilege,
until that operator's license, permit, or privilege is restored by the
authority that revoked, suspended, withdrew, or denied it.
(c) Disqualification for criminal and other offenses-- (1) General
rule. A driver who is convicted of (or forfeits bond or collateral upon
a charge of) a disqualifying offense specified in paragraph (c)(2) of
this section is disqualified for the period of time specified in
paragraph (c)(3) of this section, if--
(i) The offense was committed during on-duty time as defined in
Sec. 395.2(a) of this subchapter or as otherwise specified; and
(ii) The driver is employed by a motor carrier or is engaged in
activities that are in furtherance of a commercial enterprise in
interstate, intrastate, or foreign commerce;
(2) Disqualifying offenses. The following offenses are disqualifying
offenses:
(i) Driving a commercial motor vehicle while under the influence of
alcohol. This shall include:
(A) Driving a commercial motor vehicle while the person's alcohol
concentration is 0.04 percent or more;
(B) Driving under the influence of alcohol, as prescribed by State
law; or
(C) Refusal to undergo such testing as is required by any State or
jurisdiction in the enforcement of Sec. 391.15(c)(2)(i) (A) or (B), or
Sec. 392.5(a)(2).
(ii) Driving a commercial motor vehicle under the influence of a
Schedule I drug or other substance identified in

[[Page 641]]

appendix D to this subchapter \1\, an amphetamine, a narcotic drug, a
formulation of an amphetamine or a derivative of a narcotic drug;
---------------------------------------------------------------------------

\1\ A copy of the Schedule I drugs and other substances may be
obtained by writing to the Director, Office of Motor Carrier Research
and Standards, Washington, DC 20590, or to any Regional Office of Motor
Carriers of the Federal Highway Administration at the address given in
Sec. 390.27 of this subchapter.
---------------------------------------------------------------------------

(iii) Transportation, possession, or unlawful use of a Schedule I
drug or other substance identified in appendix D of this subchapter \1\,
amphetamines, narcotic drugs, formulations of an amphetamine, or
derivatives of narcotic drugs while on on-duty time;
(iv) Leaving the scene of an accident while operating a commercial
motor vehicle; or
(v) A felony involving the use of a commercial motor vehicle.
(3) Duration of disqualification--(i) First offenders. A driver is
disqualified for 1 year after the date of conviction or forfeiture of
bond or collateral if, during the 3 years preceding that date, the
driver was not convicted of, or did not forfeit bond or collateral upon
a charge of an offense that would disqualify the driver under the rules
of this section. Exemption. The period of disqualification is 6 months
if the conviction or forfeiture of bond or collateral soley concerned
the transportation or possession of substances named in paragraph
(c)(2)(iii) of this section.
(ii) Subsequent offenders. A driver is disqualified for 3 years
after the date of his/her conviction or forfeiture of bond or collateral
if, during the 3 years preceding that date, he/she was convicted of, or
forfeited bond or collateral upon a charge of, an offense that would
disqualify him/her under the rules in this section.
(d) Disqualification for violation of out-of-service orders--(1)
General rule. A driver who is convicted of violating an out-of-service
order is disqualified for the period of time specified in paragraph
(d)(2) of this section.
(2) Duration of disqualification for violation of out-of-service
orders--(i) First violation. A driver is disqualified for not less than
90 days nor more than one year if the driver is convicted of a first
violation of an out-of-service order.
(ii) Second violation. A driver is disqualified for not less than
one year nor more than five years if, during any 10-year period, the
driver is convicted of two violations of out-of-service orders in
separate incidents.
(iii) Third or subsequent violation. A driver is disqualified for
not less than three years nor more than five years if, during any 10-
year period, the driver is convicted of three or more violations of out-
of-service orders in separate incidents.
(iv) Special rule for hazardous materials and passenger offenses. A
driver is disqualified for a period of not less than 180 days nor more
than two years if the driver is convicted of a first violation of an
out-of-service order while transporting hazardous materials required to
be placarded under the Hazardous Materials Transportation Act (49 U.S.C.
5101 et seq.), or while operating commercial motor vehicles designed to
transport more than 15 passengers, including the driver. A driver is
disqualified for a period of not less than three years nor more than
five years if, during any 10-year period, the driver is convicted of any
subsequent violations of out-of-service orders, in separate incidents,
while transporting hazardous materials required to be placarded under
the Hazardous Materials Transportation Act, or while operating
commercial motor vehicles designed to transport more than 15 passengers,
including the driver.

[37 FR 24902, Nov. 23, 1972, as amended at 49 FR 44215, Nov. 5, 1984; 51
FR 8200, Mar. 10, 1986; 53 FR 18057, May 19, 1988; 53 FR 39051, Oct. 4,
1988; 54 FR 40788, Oct. 3, 1989; 59 FR 26028, May 18, 1994; 60 FR 38744,
38745, July 28, 1995]

Subpart C--Background and Character

Sec. 391.21 Application for employment.

(a) Except as provided in subpart G of this part, a person shall not
drive a commercial motor vehicle unless he/she has completed and
furnished the motor carrier that employs him/her with an application for
employment that meets the requirements of paragraph (b) of this section.

[[Page 642]]

(b) The application for employment shall be made on a form furnished
by the motor carrier. Each application form must be completed by the
applicant, must be signed by him/her, and must contain the following
information:
(1) The name and address of the employing motor carrier;
(2) The applicant's name, address, date of birth, and social
security number;
(3) The addresses at which the applicant has resided during the 3
years preceding the date on which the application is submitted;
(4) The date on which the application is submitted;
(5) The issuing State, number, and expiration date of each unexpired
commercial motor vehicle operator's license or permit that has been
issued to the applicant;
(6) The nature and extent of the applicant's experience in the
operation of motor vehicles, including the type of equipment (such as
buses, trucks, truck tractors, semitrailers, full trailers, and pole
trailers) which he/she has operated;
(7) A list of all motor vehicle accidents in which the applicant was
involved during the 3 years preceding the date the application is
submitted, specifying the date and nature of each accident and any
fatalities or personal injuries it caused;
(8) A list of all violations of motor vehicle laws or ordinances
(other than violations involving only parking) of which the applicant
was convicted or forfeited bond or collateral during the 3 years
preceding the date the application is submitted;
(9) A statement setting forth in detail the facts and circumstances
of any denial, revocation, or suspension of any license, permit, or
privilege to operate a motor vehicle that has been issued to the
applicant, or a statement that no such denial, revocation, or suspension
has occurred;
(10) A list of the names and addresses of the applicant's employers
during the 3 years preceding the date the application is submitted,
together with the dates he/she was employed by, and his/her reason for
leaving the employ of, each employer;
(11) For those drivers applying to operate a commercial motor
vehicle as defined by Part 383 of this subchapter, a list of the names
and addresses of the applicant's employers during the 7-year period
preceding the 3 years contained in paragraph (b)(10) of this section for
which the applicant was an operator of a commercial motor vehicle,
together with the dates of employment and the reasons for leaving such
employment; and
(12) The following certification and signature line, which must
appear at the end of the application form and be signed by the
applicant:

This certifies that this application was completed by me, and that
all entries on it and information in it are true and complete to the
best of my knowledge.
________________________________________________________________________
(Date)
________________________________________________________________________
(Applicant's signature)

(c) A motor carrier may require an applicant to provide information
in addition to the information required by paragraph (b) of this section
on the application form.
(d) Before an application is submitted, the motor carrier shall
inform the applicant that the information he/she provides in accordance
with paragraph (b) (10) of this section may be used, and the applicant's
prior employers may be contacted, for the purpose of investigating the
applicant's background as required by Sec. 391.23.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 52
FR 20589, June 1, 1987; 60 FR 38744, July 28, 1995]

Sec. 391.23 Investigation and inquiries.

(a) Except as provided in subpart G of this part, each motor carrier
shall make the following investigations and inquiries with respect to
each driver it employs, other than a person who has been a regularly
employed driver of the motor carrier for a continuous period which began
before January 1, 1971:
(1) An inquiry into the driver's driving record during the preceding
3 years to the appropriate agency of every State in which the driver
held a motor vehicle operator's license or permit during those 3 years;
and

[[Page 643]]

(2) An investigation of the driver's employment record during the
preceding 3 years.
(b) The inquiry to State agencies required by paragraph (a)(1) of
this section must be made within 30 days of the date the driver's
employment begins and shall be made in the form and manner those
agencies prescribe. A copy of the response by each State agency, showing
the driver's driving record or certifying that no driving record exists
for that driver, shall be retained in the carrier's files as part of the
driver's qualification file.
(c) The investigation of the driver's employment record required by
paragraph (a)(2) of this section must be made within 30 days of the date
his/her employment begins. The investigation may consist of personal
interviews, telephone interviews, letters, or any other method of
obtaining information that the carrier deems appropriate. Each motor
carrier must make a written record with respect to each past employer
who was contacted. The record must include the past employer's name and
address, the date he/she was contacted, and his/her comments with
respect to the driver. The record shall be retained in the motor
carrier's files as part of the driver's qualification file.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970]

Sec. 391.25 Annual review of driving record.

Except as provided in subpart G of this part, each motor carrier
shall, at least once every 12 months, review the driving record of each
driver it employs to determine whether that driver meets minimum
requirements for safe driving or is disqualified to drive a commercial
motor vehicle pursuant to Sec. 391.15. In reviewing a driving record,
the motor carrier must consider any evidence that the driver has
violated applicable provisions of the Federal Motor Carrier Safety
Regulations and the Hazardous Materials Regulations. The motor carrier
must also consider the driver's accident record and any evidence that
the driver has violated laws governing the operation of motor vehicles,
and must give great weight to violations, such as speeding, reckless
driving, and operating while under the influence of alcohol or drugs,
that indicate that the driver has exhibited a disregard for the safety
of the public. A note, setting forth the date upon which the review was
performed and the name of the person who reviewed the driving record,
shall be included in the driver's qualification file.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 60
FR 38744, July 28, 1995]

Sec. 391.27 Record of violations.

(a) Except as provided in subpart G of this part, each motor carrier
shall, at least once every 12 months, require each driver it employs to
prepare and furnish it with a list of all violations of motor vehicle
traffic laws and ordinances (other than violations involving only
parking) of which the driver has been convicted or on account of which
he/she has forfeited bond or collateral during the preceding 12 months.
(b) Each driver shall furnish the list required in accordance with
paragraph (a) of this section. If the driver has not been convicted of,
or forfeited bond or collateral on account of, any violation which must
be listed, he/she shall so certify.
(c) The form of the driver's list or certification shall be
prescribed by the motor carrier. The following form may be used to
comply with this section:

Driver's Certification

I certify that the following is a true and complete list of traffic
violations (other than parking violations) for which I have been
convicted or forfeited bond or collateral during the past 12 months.

Date of conviction Offense
Location Type of motor vehicle operated

If no violations are listed above, I certify that I have not been
convicted or forfeited bond or collateral on account of any violation
required to be listed during the past 12 months.

(Date of certification) (Driver's signature)

(Motor carrier's name)

(Motor carrier's address)

(Reviewed by: Signature) (Title)

(d) The motor carrier shall retain the list or certificate required
by this section, or a copy of it, in its files as part of the driver's
qualification file.

[[Page 644]]

(e) Drivers who have provided information required by Sec. 383.31 of
this subchapter need not repeat that information in the annual list of
violations required by this section.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 52
FR 20589, June 1, 1987; 60 FR 38745, July 28, 1995]

Subpart D--Tests

Sec. 391.31 Road test.

(a) Except as provided in subpart G, a person shall not drive a
commercial motor vehicle unless he/she has first successfully completed
a road test and has been issued a certificate of driver's road test in
accordance with this section.
(b) The road test shall be given by the motor carrier or a person
designated by it. However, a driver who is a motor carrier must be given
the test by a person other than himself/herself. The test shall be given
by a person who is competent to evaluate and determine whether the
person who takes the test has demonstrated that he/she is capable of
operating the commercial motor vehicle, and associated equipment, that
the motor carrier intends to assign him/her.
(c) The road test must be of sufficient duration to enable the
person who gives it to evaluate the skill of the person who takes it at
handling the commercial motor vehicle, and associated equipment, that
the motor carriers intends to assign to him/her. As a minimum, the
person who takes the test must be tested, while operating the type of
commercial motor vehicle the motor carrier intends to assign him/her, on
his/her skill at performing each of the following operations:
(1) The pretrip inspection required by Sec. 392.7 of this
subchapter;
(2) Coupling and uncoupling of combination units, if the equipment
he/she may drive includes combination units;
(3) Placing the commercial motor vehicle in operation;
(4) Use of the commercial motor vehicle's controls and emergency
equipment;
(5) Operating the commercial motor vehicle in traffic and while
passing other motor vehicles;
(6) Turning the commercial motor vehicle;
(7) Braking, and slowing the commercial motor vehicle by means other
than braking; and
(8) Backing and parking the commercial motor vehicle.
(d) The motor carrier shall provide a road test form on which the
person who gives the test shall rate the performance of the person who
takes it at each operation or activity which is a part of the test.
After he/she completes the form, the person who gave the test shall sign
it.
(e) If the road test is successfully completed, the person who gave
it shall complete a certificate of driver's road test in substantially
the form prescribed in paragraph (f) of this section.
(f) The form for the certificate of driver's road test is
substantially as follows:

Certification of Road Test

Driver's name___________________________________________________________
Social Security No______________________________________________________
Operator's or Chauffeur's License No____________________________________
State___________________________________________________________________
Type of power unit ____________ Type of trailer(s)______________________
If passenger carrier, type of bus ______________________________________
This is to certify that the above-named driver was given a road test
under my supervision on ____________, 19____, consisting of
approximately ______ miles of driving.
It is my considered opinion that this driver possesses sufficient
driving skill to operate safely the type of commercial motor vehicle
listed above.
........................................................................
(Signature of examiner)
........................................................................
(Title)
........................................................................
(Organization and address of examiner)

(g) A copy of the certificate required by paragraph (e) of this
section shall be given to the person who was examined. The motor carrier
shall retain in the driver qualification file of the person who was
examined--
(1) The original of the signed road test form required by paragraph
(d) of this section; and
(2) The original, or a copy of, the certificate required by
paragraph (e) of this section.

[35 FR 6460, Apr. 22, 1970, as amended at 36 FR 223, Jan. 7, 1971; 59 FR
8752, Feb. 23, 1994; 60 FR 38744, July 28, 1995]

[[Page 645]]

Sec. 391.33 Equivalent of road test.

(a) In place of, and as equivalent to, the road test required by
Sec. 391.31, a person who seeks to drive a commercial motor vehicle may
present, and a motor carrier may accept--
(1) A valid operator's license which has been issued to him/her by a
State that licenses drivers to operate specific categories of commercial
motor vehicles and which, under the laws of that State, licenses him/her
after successful completion of a road test in a commercial motor vehicle
of the type the motor carrier intends to assign to him/her; or
(2) A copy of a valid certificate of driver's road test issued to
him/her pursuant to Sec. 391.31 within the preceding 3 years.
(b) If a driver presents, and a motor carrier accepts, a license or
certificate as equivalent to the road test, the motor carrier shall
retain a legible copy of the license or certificate in its files as part
of the driver's qualification file.
(c) A motor carrier may require any person who presents a license or
certificate as equivalent to the road test to take a road test or any
other test of his/her driving skill as a condition to his/her employment
as a driver.

[35 FR 6460, Apr. 22, 1970, as amended at 60 FR 38744, July 28, 1995]

Subpart E--Physical Qualifications and Examinations

Sec. 391.41 Physical qualifications for drivers.

(a) A person shall not drive a commercial motor vehicle unless he/
she is physically qualified to do so and, except as provided in
Sec. 391.67, has on his/her person the original, or a photographic copy,
of a medical examiner's certificate that he/she is physically qualified
to drive a commercial motor vehicle.
(b) A person is physically qualified to drive a commercial motor
vehicle if that person--
(1) Has no loss of a foot, a leg, a hand, or an arm, or has been
granted a waiver pursuant to Sec. 391.49;
(2) Has no impairment of:
(i) A hand or finger which interferes with prehension or power
grasping; or
(ii) An arm, foot, or leg which interferes with the ability to
perform normal tasks associated with operating a commercial motor
vehicle; or any other significant limb defect or limitation which
interferes with the ability to perform normal tasks associated with
operating a commercial motor vehicle; or has been granted a waiver
pursuant to Sec. 391.49.
(3) Has no established medical history or clinical diagnosis of
diabetes mellitus currently requiring insulin for control;
(4) Has no current clinical diagnosis of myocardial infarction,
angina pectoris, coronary insufficiency, thrombosis, or any other
cardiovascular disease of a variety known to be accompanied by syncope,
dyspnea, collapse, or congestive cardiac failure.
(5) Has no established medical history or clinical diagnosis of a
respiratory dysfunction likely to interfere with his/her ability to
control and drive a commercial motor vehicle safely;
(6) Has no current clinical diagnosis of high blood pressure likely
to interfere with his/her ability to operate a commercial motor vehicle
safely;
(7) Has no established medical history or clinical diagnosis of
rheumatic, arthritic, orthopedic, muscular, neuromuscular, or vascular
disease which interferes with his/her ability to control and operate a
commercial motor vehicle safely;
(8) Has no established medical history or clinical diagnosis of
epilepsy or any other condition which is likely to cause loss of
consciousness or any loss of ability to control a commercial motor
vehicle;
(9) Has no mental, nervous, organic, or functional disease or
psychiatric disorder likely to interfere with his/her ability to drive a
commercial motor vehicle safely;
(10) Has distant visual acuity of at least 20/40 (Snellen) in each
eye without corrective lenses or visual acuity separately corrected to
20/40 (Snellen) or better with corrective lenses, distant binocular
acuity of at least 20/40 (Snellen) in both eyes with or without
corrective lenses, field of vision of at

[[Page 646]]

least 70 deg. in the horizontal Meridian in each eye, and the ability to
recognize the colors of traffic signals and devices showing standard
red, green, and amber;
(11) First perceives a forced whispered voice in the better ear at
not less than 5 feet with or without the use of a hearing aid or, if
tested by use of an audiometric device, does not have an average hearing
loss in the better ear greater than 40 decibels at 500 Hz, 1,000 Hz, and
2,000 Hz with or without a hearing aid when the audiometric device is
calibrated to American National Standard (formerly ASA Standard) Z24.5--
1951.
(12) Does not use a Schedule I drug or other substance identified in
appendix D to this subchapter \1\, an amphetamine, a narcotic, or any
other habit-forming drug, except that a driver may use such a substance
or drug if the substance or drug is prescribed by a licensed medical
practitioner who is familiar with the driver's medical history and
assigned duties and who has advised the driver that the prescribed
substance or drug will not adversely affect the driver's ability to
safely operate a commercial motor vehicle; and
---------------------------------------------------------------------------

(13) Has no current clinical diagnosis of alcoholism.
(c) Drivers subject to subpart H of this part shall be tested in
compliance with the requirements of that subpart.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 36
FR 223, Jan. 7, 1971; 36 FR 12857, July 8, 1971; 43 FR 56900, Dec. 5,
1978; 51 FR 17571, May 13, 1986; 53 FR 18057, May 19, 1988; 53 FR 47154,
Nov. 21, 1988; 55 FR 3554, Feb. 1, 1990; 60 FR 38744, 38745, July 28,
1995]

Sec. 391.43 Medical examination; certificate of physical examination.

(a)(1) Except as provided by paragraph (b) of this section, the
medical examination shall be performed by a licensed medical examiner as
defined in Sec. 390.5 of this subchapter.
(2) The drug use verification procedures required by subpart H need
not be performed by or under the supervision of the medical examiner. If
not performed, the medical examiner shall assess compliance with
Sec. 391.41(b)(12) based on his/her observations, statements of the
applicant and/or any tests performed.
(b) A licensed optometrist may perform so much of the medical
examination as pertains to visual acuity, field of vision, and the
ability to recognize colors as specified in paragraph (10) of
Sec. 391.41(b).
(c) Medical examiners shall:
(1) Be knowledgeable of the specific physical and mental demands
associated with operating a commercial motor vehicle and the
requirements of this subpart, including the medical regulatory criteria
prepared by the FHWA as guidelines to aid the medical examiner in making
the qualification determination; and
(2) Be proficient in the use of and use the medical protocols
necessary to adequately perform the medical examination required by this
section.
(d) Any driver authorized to operate a commercial motor vehicle
within an exempt intracity zone pursuant to Sec. 391.2(d) shall furnish
the examining medical examiner with a copy of the medical findings that
led to the issuance of the first certificate of medical examination
which allowed the driver to operate a commercial motor vehicle wholly
within an exempt intracity zone.
(e) Any driver operating under a limited exemption authorized by
Sec. 391.64 shall furnish the medical examiner with a copy of the annual
medical findings of the endocrinologist, ophthalmologist or optometrist,
as required under that section. If the medical examiner finds the driver
qualified under the limited exemption in Sec. 391.64, such fact shall be
noted on the Medical Examiner's Certificate.
(f) The medical examination shall be performed, and its results
shall be recorded, substantially in accordance with the following
instructions and examination form. Existing forms may be used until
current printed supplies are depleted or until March 31, 1997.

[[Page 647]]

Instructions for Performing and Recording Physical Examinations

The examining medical examiner should review these instructions
before performing the physical examination. Answer each question yes or
no where appropriate.
The examining medical examiner should be aware of the rigorous
physical demands and mental and emotional responsibilities placed on the
driver of a commercial motor vehicle. In the interest of public safety
the examining medical examiner is required to certify that the driver
does not have any physical, mental, or organic defect of such a nature
as to affect the driver's ability to operate safely a commercial motor
vehicle.
General information. The purpose of this history and physical
examination is to detect the presence of physical, mental, or organic
defects of such a character and extent as to affect the applicant's
ability to operate a commercial motor vehicle safely. The examination
should be made carefully and at least as complete as indicated by the
attached form. History of certain defects may be cause for rejection or
indicate the need for making certain laboratory tests or a further, and
more stringent, examination. Defects may be recorded which do not,
because of their character or degree, indicate that certification of
physical fitness should be denied. However, these defects should be
discussed with the applicant and he/she should be advised to take the
necessary steps to insure correction, particularly of those which, if
neglected, might lead to a condition likely to affect his/her ability to
drive safely.
General appearance and development. Note marked overweight. Note any
posture defect, perceptible limp, tremor, or other defects that might be
caused by alcoholism, thyroid intoxication, or other illnesses. The
Federal Motor Carrier Safety Regulations provide that no driver shall
use a narcotic or other habit-forming drugs.
Head-eyes. When other than the Snellen chart is used, the results of
such test must be expressed in values comparable to the standard Snellen
test. If the applicant wears corrective lenses, these should be worn
while applicant's visual acuity is being tested. If appropriate,
indicate on the Medical Examiner's Certificate by checking the box,
``Qualified only when wearing corrective lenses.'' In recording distance
vision use 20 feet as normal. Report all vision as a fraction with 20 as
numerator and the smallest type read at 20 feet as denominator. Note
ptosis, discharge, visual fields, ocular muscle imbalance, color
blindness, corneal scar, exophtalmos, or strabismus, uncorrected by
corrective lenses. Monocular drivers are not qualified to operate
commercial motor vehicles under existing Federal Motor Carrier Safety
Regulations. If the driver habitually wears contact lenses, or intends
to do so while driving, there should be sufficient evidence to indicate
that he/she has good tolerance is well adapted to their use. The use of
contact lenses should be noted on the record.
Ears. Note evidence of mastoid or middle ear disease, discharge,
symptoms of aural vertigo, or Meniere's Syndrome. When recording
hearing, record distance from patient at which a forced whispered voice
can first be heard. If audiometer is used to test hearing, record
decibel loss at 500 Hz, 1,000 Hz, and 2,000 Hz.
Throat. Note evidence of disease, irremediable deformities of the
throat likely to interfere with eating or breathing, or any laryngeal
condition which could interfere with the safe operation of a commercial
motor vehicle.
Thorax-heart. Stethoscopic examination is required. Note murmurs and
arrhythmias, and any past or present history of cardiovascular disease,
of a variety known to be accompanied by syncope, dyspnea, collapse,
enlarged heart, or congestive heart failures. Electrocardiogram is
required when findings so indicate.
Blood pressure. Record with either spring or mercury column type of
sphygomomanometer. If the blood pressure is consistently above 160/90
mm. Hg., further tests may be necessary to determine whether the driver
is qualified to operate a commercial motor vehicle.
Lungs. If any lung disease is detected, state whether active or
arrested; if arrested, your opinion as to how long it has been
quiescent.
Gastrointestinal system. Note any diseases of the gastrointestinal
system.
Abdomen. Note wounds, injuries, scars, or weakness of muscles of
abdominal walls sufficient to interfere with normal function. Any hernia
should be noted if present. State how long and if adequately contained
by truss.
Abnormal masses. If present, note location, if tender, and whether
or not applicant knows how long they have been present. If the diagnosis
suggests that the condition might interfere with the control and safe
operation of a commercial motor vehicle, more stringent tests must be
made before the applicant can be certified.
Tenderness. When noted, state where most pronounced, and suspected
cause. If the diagnosis suggests that the condition might interfere with
the control and safe operation of a commercial motor vehicle, more
stringent tests must be made before the applicant can be certified.
Genito-urinary. Urinalysis is required. Acute infections of the
genito-urinary tract, as defined by local and State public health laws,
indications from urinalysis of uncontrolled diabetes, symptomatic
albumin-urea in the urine, or other findings indicative of health
conditions likely to interfere with the control and safe operation of a
commercial

[[Page 648]]

motor vehicle, will disqualify an applicant from operating a motor
vehicle.
Neurological. If positive Romberg is reported, indicate degrees of
impairment. Pupillary reflexes should be reported for both light and
accommodation. Knee jerks are to be reported absent only when not
obtainable upon reinforcement and as increased when foot is actually
lifted from the floor following a light blow on the patella, sensory
vibratory and positional abnormalities should be noted.
Extremities. Carefully examine upper and lower extremities. Record
the loss of impairment of a leg, foot, toe, arm, hand, or fingers. Note
any and all deformities, the presence of atrophy, semiparalysis or
paralysis, or varicose veins. If a hand or finger deformity exists,
determine whether sufficient grasp is present to enable the driver to
secure and maintain a grip on the steering wheel. If a leg deformity
exists, determine whether sufficient mobility and strength exist to
enable the driver to operate pedals properly. Particular attention
should be given to and a record should be made of, any impairment or
structural defect which may interfere with the driver's ability to
operate a commercial motor vehicle safely.
Spine. Note deformities, limitation of motion, or any history of
pain, injuries, or disease, past or presently experienced in the
cervical or lumbar spine region. If findings so dictate, radiologic and
other examinations should be used to diagnose congenital or acquired
defects; or spondylolisthesis and scoliosis.
Recto-genital studies. Diseases or conditions causing discomfort
should be evaluated carefully to determine the extent to which the
condition might be handicapping while lifting, pulling, or during
periods of prolonged driving that might be necessary as part of the
driver's duties.
Laboratory and other special findings. Urinalysis is required, as
well as such other tests as the medical history or findings upon
physical examination may indicate are necessary. A serological test is
required if the applicant has a history of luetic infection or present
physical findings indicate the possibility of latent syphilis. Other
studies deemed advisable may be ordered by the examining medical
examiner.
Diabetes. If insulin is necessary to control a diabetic condition,
the driver is not qualified to operate a commercial motor vehicle. If
mild diabetes is noted at the time of examination and it is stabilized
by use of a hypoglycemic drug and a diet that can be obtained while the
driver is on duty, it should not be considered disqualifying. However,
the driver must remain under adequate medical supervision.
Controlled Substances Testing. If a test for controlled substances
is performed as part of the medical examination, the medical examiner is
to check the box next to the statement, ``Controlled substances test
performed'' on the medical examination form. If a test for controlled
substances is not performed, the medical examiner is to check the box
next to the statement, ``Controlled substances test not performed.'' If
a controlled substances test is performed under the requirements of
subpart H of this part, then the medical examiner must also check the
box next to the statement, ``in accordance with subpart H,'' and must
obtain information that the results of such test were negative prior to
certifying that the driver is otherwise medically qualified. If a
controlled substance test is performed but not in accordance with
subpart H, the medical examiner must also check the box next to the
statement, ``not in accordance with subpart H,'' and ensure that the
results of the test were negative prior to certifying that the driver is
otherwise medically qualified.
The medical examiner must date and sign his/her findings upon
completion of the examination.

Examination to Determine Physical Condition of Drivers

Driver's name __________{time} New Certification
Address ________________{time} Recertification
Social Security No. ____________
Date of birth __________ Age ____

------------------------------------------------------------------------
Yes No Health History
------------------------------------------------------------------------
{time}
.... {time}
Head or spinal injuries.
{time}
.... {time}
Seizures, fits, convulsions, or fainting.
{time}
.... {time}
Extensive confinement by illness or injury.
{time}
.... {time}
Cardiovascular disease.
{time}
.... {time}
Tuberculosis.
{time}
.... {time}
Syphilis.
{time}
.... {time}
Gonorrhea.
{time}
.... {time}
Diabetes.
{time}
.... {time}
Gastrointestinal ulcer.
{time}
.... {time}
Nervous stomach.
{time}
.... {time}
Rheumatic fever.
{time}
.... {time}
Asthma.
{time}
.... {time}
Kidney disease.
{time}
.... {time}
Muscular disease.
{time}
.... {time}
Suffering from any other disease.
{time}
.... {time}
Permanent defect from illness, disease or injury.
{time}
.... {time}
Psychiatric disorder.
{time}
.... {time}
Any other nervous disorder.
------------------------------------------------------------------------

If answer to any of the above is yes, explain:
........................................................................
........................................................................
........................................................................

physical examination

General appearance and development:
Good ____ Fair ____ Poor ____
Vision: For distance:
Right 20/ ____ Left 20/ ____
{time} Without corrective lenses.
{time} With corrective lenses if worn.
Evidence of disease or injury:
Right ____ Left ____

[[Page 649]]

Color Test _____________________________________________________________
Horizontal field of vision:
Right ____ deg. Left ____ deg.
Hearing:
Right ear ____ Left ear ____
Disease or injury ______________________________________________________
Audiometric Test (complete only if audiometer is used to test hearing)
decibel loss as 500 Hz ____, at 1,000 Hz ____, at 2,000 Hz ____
Throat _________________________________________________________________
Thorax:
Heart __________________________________________________________________
If organic disease is present, is it fully compensated?
________________________
Blood pressure:
Systolic ____ Diastolic ____
Pulse: Before exercise ______________
Immediately after exercise ____________
Lungs ________________________
Abdomen:
Scars ____ Abnormal masses ____
Tenderness ____
Hernia: Yes ____ No ____
If so, where? ________________________
Is truss worn? ________________
Gastrointestinal:
Ulceration or other disease:
Yes ____ No ____
Genito-Urinary:
Scars __________________________________________________________________
Urethral discharge _____________________________________________________
Reflexes:
Romberg ________________________________________________________________
Pupillary ____ Light R ____ L ____
Accommodation Right ____ Left ____
Knee Jerks:
Right:
Normal ____ Increased ____ Absent ____
Left:
Normal ____ Increased ____ Absent ____
Remarks ________________________________________________________________
Extremities:
Upper __________________________________________________________________
Lower __________________________________________________________________
Spine __________________________________________________________________
Laboratory and other Special Findings:
Urine: Spec. Gr. ____ Alb. ____
Sugar ____
Other laboratory data (Serology, etc.)
________________________________________________________________________
Radiological data ______________________________________________________
Electrocardiograph _____________________________________________________
Controlled Substances Testing
{time} Controlled substances test performed--
{time} In accordance with subpart H.
{time} Not in accordance with subpart H.
{time} Controlled substances test NOT performed.
General comments _______________________________________________________
........................................................................
(Date of examination)
........................................................................
(Address of examining medical examiner)
........................................................................
(Name of examining medical examiner (Print) )
........................................................................
(Title) (License or Certification No.) (State)
........................................................................
(Signature of examining medical examiner)

Note: This section to be completed only when visual test is
conducted by a licensed ophthalmologist or optometrist.
........................................................................
(Date of examination)
........................................................................
(Address of ophthalmologist or optometrist)
........................................................................
(Name of ophthalmologist or optometrist (Print) )
........................................................................
(Signature of ophthalmologist or optometrist)

(g) If the medical examiner finds that the person he/she examined is
physically qualified to drive a commercial motor vehicle in accordance
with Sec. 391.41(b), he/she shall complete a certificate in the form
prescribed in paragraph (g) of this section and furnish one copy to the
person who was examined and one copy to the motor carrier that employs
him/her.
(h) The medical examiner's certificate shall be in accordance with
the following form. Existing forms may be used until current printed
supplies are depleted or until March 31, 1997, provided that the medical
examiner writes down in pen and ink any applicable information contained
in the following form:

Medical Examiner's Certificate

I certify that I have examined

_______________________________________________________________________
(Driver's Name--Print)

In accordance with the Federal Motor Carrier Safety Regulations (49
CFR 391.41 through 391.49) and with knowledge of his/her duties, I find
him/her qualified under the regulations.

--Qualified only when wearing corrective lenses

[[Page 650]]

--Qualified only when wearing a hearing aid
--Qualified by operation of 49 CFR 391.64
--Medically unqualified unless accompanied by a ______ waiver
--Medically unqualified unless driving within an exempt intracity
zone

A completed examination form for this person is on file in my
office.

_______________________________________________________________________
Area Code & Telephone Number

_______________________________________________________________________
(License or Certificate No.)

_______________________________________________________________________
(State in Which Licensed)

_______________________________________________________________________
(Expiration Date)

_______________________________________________________________________
(Name & Title of Medical Examiner--Print)

_______________________________________________________________________
(Signature of Medical Examiner)

_______________________________________________________________________
(Signature of Driver)

_______________________________________________________________________
(Address of Driver)

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 36
FR 8452, May 6, 1971; 36 FR 12857, July 8, 1971; 43 FR 56900, Dec. 5,
1978; 46 FR 53418, Oct. 29, 1981; 53 FR 18057, May 19, 1988; 53 FR
47154, Nov. 21, 1988; 54 FR 12202, Mar. 24, 1989; 55 FR 3555, Feb. 1,
1990; 57 FR 33278, July 28, 1992; 58 FR 59196, Nov. 8, 1993; 60 FR
38745, 38746, July 28, 1995; 61 FR 13347, Mar. 26, 1996]

Sec. 391.45 Persons who must be medically examined and certified.

Except as provided in Sec. 391.67, the following persons must be
medically examined and certified in accordance with Sec. 391.43 as
physically qualified to operate a commercial motor vehicle:
(a) Any person who has not been medically examined and certified as
physically qualified to operate a commercial motor vehicle;
(b)(1) Any driver who has not been medically examined and certified
as qualified to operate a commercial motor vehicle during the preceding
24 months; or
(2) Any driver authorized to operate a commercial motor vehicle only
with an exempt intracity zone pursuant to Sec. 391.62, or only by
operation of the exemption in Sec. 391.64, if such driver has not been
medically examined and certified as qualified to drive in such zone
during the preceding 12 months; and
(c) Any driver whose ability to perform his/her normal duties has
been impaired by a physical or mental injury or disease.

[35 FR 6460, Apr. 22, 1970, as amended at 36 FR 223, Jan. 7, 1971; 54 FR
12202, Mar. 24, 1989; 61 FR 13347, Mar. 26, 1996]

Sec. 391.47 Resolution of conflicts of medical evaluation.

(a) Applications. Applications for determination of a driver's
medical qualifications under standards in this part will only be
accepted if they conform to the requirements of this section.
(b) Content. Applications will be accepted for consideration only if
the following conditions are met.
(1) The application must contain the name and address of the driver,
motor carrier, and all physicians involved in the proceeding.
(2) The applicant must submit proof that there is a disagreement
between the physician for the driver and the physician for the motor
carrier concerning the driver's qualifications.
(3) The applicant must submit a copy of an opinion and report
including results of all tests of an impartial medical specialist in the
field in which the medical conflict arose. The specialist should be one
agreed to by the motor carrier and the driver.
(i) In cases where the driver refuses to agree on a specialist and
the applicant is the motor carrier, the applicant must submit a
statement of his/her agreement to submit the matter to an impartial
medical specialist in the field, proof that he/she has requested the
driver to submit to the medical specialist, and the response, if any, of
the driver to his/her request.
(ii) In cases where the motor carrier refuses to agree on a medical
specialist, the driver must submit an opinion and test results of an
impartial medical specialist, proof that he/she has requested the motor
carrier to agree to submit the matter to the medical specialist and the
response, if any, of the motor carrier to his/her request.
(4) The applicant must include a statement explaining in detail why
the decision of the medical specialist identified in paragraph (b)(3) of
this section, is unacceptable.

[[Page 651]]

(5) The applicant must submit proof that the medical specialist
mentioned in paragraph (b)(3) of this section was provided, prior to
his/her determination, the medical history of the driver and an agreed-
upon statement of the work the driver performs.
(6) The applicant must submit the medical history and statement of
work provided to the medical specialist under paragraph (b)(5) of this
section.
(7) The applicant must submit all medical records and statements of
the physicians who have given opinions on the driver's qualifications.
(8) The applicant must submit a description and a copy of all
written and documentary evidence upon which the party making application
relies in the form set out in 49 CFR 386.37.
(9) The application must be accompanied by a statement of the driver
that he/she intends to drive in interstate commerce not subject to the
commercial zone exemption or a statement of the carrier that he/she has
used or intends to use the driver for such work.
(10) The applicant must submit three copies of the application and
all records.
(c) Information. The Director, Office of Motor Carrier Research and
Standards may request further information from the applicant if he/she
determines that a decision cannot be made on the evidence submitted. If
the applicant fails to submit the information requested, the Director
may refuse to issue a determination.
(d)(1) Action. Upon receiving a satisfactory application the
Director, Office of Motor Carrier Research and Standards shall notify
the parties (the driver, motor carrier, or any other interested party)
that the application has been accepted and that a determination will be
made. A copy of all evidence received shall be attached to the notice.
(2) Reply. Any party may submit a reply to the notification within
15 days after service. Such reply must be accompanied by all evidence
the party wants the Director, Office of Motor Carrier Research and
Standards to consider in making his/her determination. Evidence
submitted should include all medical records and test results upon which
the party relies.
(3) Parties. A party for the purposes of this section includes the
motor carrier and the driver, or anyone else submitting an application.
(e) Petitions to review, burden of proof. The driver or motor
carrier may petition to review the Director's determination. Such
petition must be submitted in accordance with Sec. 386.13(a) of this
chapter. The burden of proof in such a proceeding is on the petitioner.
(f) Status of driver. Once an application is submitted to the
Director, Office of Motor Carrier Research and Standards, the driver
shall be deemed disqualified until such time as the Director, Office of
Motor Carrier Research and Standards makes a determination, or until the
Director, Office of Motor Carrier Research and Standards orders
otherwise.

(49 U.S.C. 304, 322; 18 U.S.C. 831-835; Pub. L. 93-633, 88 Stat. 8156
(49 U.S.C. 1801, et seq.); 49 CFR 1.48, 301.60)

[42 FR 18081, Apr. 5, 1977, as amended at 42 FR 53966, Oct. 4, 1977; 60
FR 38746, July 28, 1995]

Sec. 391.49 Waiver of certain physical defects.

(a) A person who is not physically qualified to drive under
Sec. 391.41(b) (1) or (2) and who is otherwise qualified to drive a
commercial motor vehicle, may drive a commercial motor vehicle, if the
Regional Director of Motor Carriers has granted a waiver to that person.
(b) A letter of application for a waiver may be submitted jointly by
the person who seeks a waiver of the physical disqualification (driver
applicant) and by the motor carrier that will employ the driver
applicant if the application is granted. The application must be
addressed to the Regional Director of Motor Carriers for the region in
which the coapplicant motor carrier's principal place of business is
located. The address for each regional office is listed in Sec. 390.27
of this subchapter. Exception. A letter of application for a waiver may
be submitted unilaterally by a driver applicant. The application must be
addressed to the Regional Director of Motor Carriers for the region in
which the driver has legal residence.

[[Page 652]]

The address of each regional office is listed in Sec. 390.27 of this
subchapter. The driver applicant must comply with all the requirements
of paragraph (c) of this section except paragraphs (c)(1) (i) and (iii).
The driver applicant shall respond to the requirements of paragraph
(c)(2) (i) to (v) of this section, if the information is known.
(c) A letter of application for a waiver shall contain--
(1) Identification of the applicant(s):
(i) Name and complete address of the motor carrier coapplicant;
(ii) Name and complete address of the driver applicant;
(iii) The Federal Highway Administration Motor Carrier
Identification Number, if known; and
(iv) A description of the driver applicant's limb impairment for
which waiver is requested.
(2) Description of the type of operation the driver will be employed
to perform:
(i) State(s) in which the driver will operate for the motor carrier
coapplicant (if more than 10 States, designate general geographic area
only);
(ii) Average period of time the driver will be driving and/or on
duty, per day;
(iii) Type of commodities or cargo to be transported;
(iv) Type of driver operation (i.e. sleeper-team, relay, owner
operator, etc.); and
(v) Number of years experience operating the type of commercial
motor vehicle(s) requested in the letter of application and total years
of experience operating all types of motor vehicles.
(3) Description of the commercial motor vehicle(s) the driver
applicant intends to drive:
(i) Truck, truck-tractor, or bus make, model, and year (if known);
(ii) Drive train;
(A) Transmission type (automatic or manual--if manual, designate
number of forward speeds);
(B) Auxiliary transmission (if any) and number of forward speeds;
and
(C) Rear axle (designate single speed, 2 speed, or 3 speed).
(iii) Type of brake system;
(iv) Steering, manual or power assisted;
(v) Description of type of trailer(s) (i.e., van, flat bed, cargo
tank, drop frame, lowboy, or pole);
(vi) Number of semitrailers or full trailers to be towed at one
time;
(vii) For commercial motor vehicles designed to transport
passengers, indicate the seating capacity of the commercial motor
vehicle; and
(viii) Description of any modification(s) made to the commercial
motor vehicle for the driver applicant; attach photograph(s) where
applicable.
(4) Otherwise qualified:
(i) The coapplicant motor carrier must certify that the driver
applicant is otherwise qualified under the regulations of this part;
(ii) In the case of a unilateral application, the driver applicant
must certify that (s)he is otherwise qualified under the regulations of
this part.
(5) Signature of applicant(s):
(i) Driver applicant's signature and date signed;
(ii) Motor carrier official's signature (if application has a
coapplicant), title, and date signed. Dependent upon the motor carrier's
organizational structure (corporation, partnership, or proprietorship),
this signer of the application shall be an officer, partner, or the
proprietor.
(d) The letter of application for a waiver shall be accompanied by:
(1) A copy of the results of the medical examination performed
pursuant to Sec. 391.43;
(2) A copy of the medical certificate completed pursuant to
Sec. 391.43(e);
(3) A medical evaluation summary completed by either a board
qualified or board certified physiatrist (doctor of physical medicine)
or orthopedic surgeon;

Note: The coapplicant motor carrier or the driver applicant shall
provide the physiatrist or orthopedic surgeon with a description of the
job tasks the driver applicant will be required to perform.

(i) The medical evaluation summary for a driver applicant
disqualified under Sec. 391.41(b)(1) shall include:
(A) An assessment of the functional capabilities of the driver as
they relate to the ability of the driver to perform normal tasks
associated with operating a commercial motor vehicle, and

[[Page 653]]

(B) A statement by the examiner that the applicant is capable of
demonstrating precision prehension (e.g., manipulating knobs and
switches) and power grasp prehension (e.g., holding and maneuvering the
steering wheel) with each upper limb separately. This requirement does
not apply to an individual who was granted a waiver, absent a prosthetic
device, prior to the publication of this amendment.
(ii) The medical evaluation summary for a driver applicant
disqualified under Sec. 391.41(b)(2) shall include:
(A) An explanation as to how and why the impairment interferes with
the ability of the applicant to perform normal tasks associated with
operating a commercial motor vehicle;
(B) An assessment and medical opinion of whether the condition will
likely remain medically stable over the lifetime of the driver
applicant; and
(C) A statement by the examiner that the applicant is capable of
demonstrating precision prehension (e.g., manipulating knobs and
switches) and power grasp prehension (e.g., holding and maneuvering the
steering wheel) with each upper limb separately. This requirement does
not apply to an individual who was granted a waiver, absent an orthotic
device, prior to the publication of this amendment.
(4) A description of the driver applicant's prosthetic or orthotic
device worn, if any, by the driver applicant;
(5) Road test:
(i) A copy of the driver applicant's road test administered by the
motor carrier coapplicant and the certificate issued pursuant to
Sec. 391.31 (b) through (g); or
(ii) A unilateral applicant shall be responsible for having a road
test administered by a motor carrier or a person who is competent to
administer the test and evaluate its results.
(6) Application for employment:
(i) A copy of the driver applicant's application for employment
completed pursuant to Sec. 391.21; or
(ii) A unilateral applicant shall be responsible for submitting a
copy of the last commercial driving position's employment application s/
he held. If not previously employed as a commercial driver, so state.
(7) A copy of the driver applicant's waiver of certain physical
defects issued by the individual State(s), where applicable; and
(8) A copy of the driver applicant's State Motor Vehicle Driving
Record for the past 3 years from each State in which a motor vehicle
driver's license or permit has been obtained.
(e) Agreement. A motor carrier that employs a driver with a waiver
agrees to:
(1) File promptly (within 30 days) with the Regional Director of
Motor Carriers such documents and information as may be required about
driving activities, accidents, arrests, license suspensions,
revocations, or withdrawals, and convictions which involve the driver
applicant. This applies whether the driver's waiver is a unilateral one
or has a coapplicant motor carrier;
(i) A motor carrier who is a coapplicant must file the required
documents with the Regional Director of Motor Carriers for the region in
which the carrrier's principal place of business is located; or
(ii) A motor carrier who employs a driver who has been issued a
unilateral waiver must file the required documents with the Regional
Director of Motor Carriers for the region in which the driver has legal
residence.
(2) Evaluate the driver with a road test using the trailer the motor
carrier intends the driver to transport or, in lieu of, accept a
certificate of a trailer road test from another motor carrier if the
trailer type(s) is similar or accept the trailer road test done during
the Skill Performance Evaluation if it is a similar trailer type(s) to
that of the prospective motor carrier;

Note: Job tasks, as stated in paragraph (e)(3) of this section, are
not evaluated in the Skill Performance Evalulation.

(3) Evaluate the driver for those nondriving safety-related job
tasks associated with whatever type of trailer(s) will be used and any
other nondriving safety-related or job-related tasks unique to the
operations of the employing motor carrier; and
(4) Use the driver to operate the type of commercial motor vehicle
defined in the waiver only when the driver is in compliance with the
conditions and limitations of the waiver.

[[Page 654]]

(f) The driver shall supply each employing motor carrier with a copy
of the waiver.
(g) The Regional Director of Motor Carriers may require the driver
applicant to demonstrate his or her ability to to safely operate the
commercial motor vehicle(s) the driver intends to drive to an agent of
the Regional Director of Motor Carriers. The waiver form will identify
the power unit (bus, truck, truck-tractor) for which the waiver has been
granted. The waiver forms will also identify the trailer type used in
the Skill Performance Evaluation; however, the waiver is not limited to
that specific trailer type. A driver may use the waiver with other
trailer types if a successful trailer road test is completed in
accordance with paragraph (e)(2) of this section. Job tasks, as stated
in paragraph (e)(3) of this section, are not evaluated during the Skill
Performance Evaluation.
(h) The Regional Director of Motor Carriers may deny the application
for waiver or may grant it totally or in part and issue the waiver
subject to such terms, conditions, and limitations as deemed consistent
with the public interest. A waiver is valid for a period not to exceed 2
years from date of issue, and may be renewed 30 days prior to the
expiration date.
(i) The waiver renewal application shall be submitted to the
Regional Director of Motor Carriers for the region in which the driver
has legal residence, if the waiver was issued unilaterally. If the
waiver has a coapplicant, then the renewal application is submitted to
the Regional Director of Motor Carriers for the region in which the
coapplicant motor carrier's principal place of business is located. The
waiver renewal application shall contain the following:
(1) Name and complete address of motor carrier currently employing
the applicant;
(2) Name and complete address of the driver;
(3) Effective date of the current waiver;
(4) Expiration date of the current waiver;
(5) Total miles driven under the current waiver;
(6) Number of accidents incurred while driving under the current
waiver, including date of the accident(s), number of fatalities, number
of injuries, and the estimated dollar amount of property damage;
(7) A current medical examination report;
(8) A medical evaluation summary pursuant to paragraph (d)(3) of
this section if an unstable medical condition exists. All handicapped
conditions classified under Sec. 391.41(b)(1) are considered unstable.

Note: Refer to paragraph (d)(3)(ii) of this section for the
condition under Sec. 391.41(b)(2) which may be considered medically
stable.

(9) A copy of driver's current State motor vehicle driving record
for the period of time the current waiver has been in effect;
(10) Notification of any change in the type of tractor the driver
will operate;
(11) Driver's signature and date signed; and
(12) Motor carrier coapplicant's signature and date signed.
(j) Upon granting a waiver, the Regional Director of Motor Carriers
will notify the driver applicant and coapplicant motor carrier (if
applicable) by letter. The terms, conditions, and limitations of the
waiver will be set forth. A motor carrier shall maintain a copy of the
waiver in its driver qualification file. A copy of the waiver shall be
retained in the motor carrier's file for a period of 3 years after the
driver's employment is terminated. The driver applicant shall have the
waiver (or a legible copy) in his/her possession whenever on duty.
(k) The Regional Director of Motor Carriers may revoke a waiver
after the person to whom it was issued is given notice of the proposed
revocation and has been allowed a reasonable opportunity to appeal.
(l) Falsifying information in the letter of application, the renewal
application, or falsifying information required by this section by
either the applicant or motor carrier is prohibited.

(Approved by the Office of Management and Budget under control number
2125-0080)

[48 FR 38487, Aug. 24, 1983, as amended at 49 FR 38293, Sept. 28, 1984;
50 FR 49851, Dec. 5, 1985; 51 FR 12621, Apr. 14, 1986; 60 FR 38745,
38746, July 28, 1995; 61 FR 1843, Jan. 24, 1996]

[[Page 655]]

Subpart F--Files and Records

Sec. 391.51 Driver qualification files.

(a) Except as provided in subpart G, each motor carrier shall
maintain a driver qualification file for each driver it employs. A
driver's qualification file may be combined with the driver's personnel
file.
(b) The qualification file for a driver who has been a regularly
employed driver of the motor carrier for a continuous period which began
before January 1, 1971, must include:
(1) The medical examiner's certificate of his/her physical
qualification to drive a commercial motor vehicle or a legible
photographic copy of the certificate;
(2) The letter from the Regional Director of Motor Carriers granting
a waiver of a physical disqualification, if a waiver was issued under
Sec. 391.49;
(3) The note relating to the annual review of his/her driving record
required by Sec. 391.25;
(4) The list or certificate relating to violations of motor vehicle
laws and ordinances required by Sec. 391.27; and
(5) Any other matter which relates to the driver's qualifications or
ability to drive a commercial motor vehicle safely.
(c) The qualification file for a regularly employed driver who has
not been regularly employed by the motor carrier for a continuous period
which began before January 1, 1971, must include:
(1) The documents specified in paragraph (b) of this section;
(2) The driver's application for employment completed in accordance
with Sec. 391.21;
(3) The responses of State agencies and past employers to the motor
carrier's inquiries concerning the driver's driving record and
employment pursuant to Sec. 391.23; and
(4) The certificate of driver's road test issued to the driver
pursuant to Sec. 391.31 (e), or a copy of the license or certificate
which the motor carrier accepted as equivalent to the driver's road test
pursuant to Sec. 391.33.
(d) The qualification file for an intermittent, casual, or
occasional driver employed under the rules in Sec. 391.63 must include--
(1) The medical examiner's certificate of his/her physical
qualification to drive a commercial motor vehicle or a legible
photographic copy of the certificate;
(2) The certificate of driver's road test issued to the driver
pursuant to Sec. 391.31(e), or a copy of the license or certificate
which the motor carrier accepted as equivalent to the driver's road test
pursuant to Sec. 391.31; and
(3) The driver's name, his/her social security number, and the
identification number, type, and issuing State of his/her commercial
motor vehicle operator's license.
(e) A using carrier's qualification file for a driver who is
regularly employed by another motor carrier, and who is employed by the
using carrier in accordance with Sec. 391.65 of this part, shall include
a copy of a certificate, as prescribed by Sec. 391.65(a)(2) of this
part, by the regularly employing carrier that the driver is fully
qualified to drive a commercial motor vehicle.
(f) Except as provided in paragraphs (g) and (h) of this section,
each driver's qualification file shall be kept at the motor carrier's
principal place of business for as long as a driver is employed by that
motor carrier and for 3 years thereafter.
(g) Upon a written request to, and with the approval of, the
Regional Director of Motor Carriers for the region in which a motor
carrier has his/her principal place of business, the carrier may retain
one or more of its drivers' qualification files at a regional or
terminal office. The addresses and jurisdictions of the Regional
Director of Motor Carriers are shown in Sec. 390.27 of this subchapter.
(h) The following records may be removed from a driver's
qualification file after 3 years from date of execution:
(1) The medical examiner's certificate of his/her physical
qualification to drive a commercial motor vehicle or the photographic
copy of the certificate as required by Sec. 391.43(d).
(2) The note relating to the annual review of his/her driving record
as required by Sec. 391.25.
(3) The list or certificate relating to violations of motor vehicle
laws and ordinance as required by Sec. 391.27.

[[Page 656]]

(4) The letter issued under Sec. 391.49 granting a waiver of a
physical disqualification.

(Sec. 204, Interstate Commerce Act, as amended, (49 U.S.C. 304); sec. 6,
Department of Transportation Act (49 U.S.C. 1655), and the delegations
of authority by the Secretary of Transportation and the Federal Highway
Administrator at 49 CFR 1.48 and 301.60, respectively)

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 41
FR 36656, Aug. 31, 1976; 42 FR 37370, July 21, 1977; 45 FR 46424, July
10, 1980; 53 FR 18057, May 19, 1988; 59 FR 8752, Feb. 23, 1994; 59 FR
60323, Nov. 23, 1994; 60 FR 38745, July 28, 1995]

Subpart G--Limited Exemptions

Sec. 391.61 Drivers who were regularly employed before January 1, 1971.

The provisions of Sec. 391.21 (relating to applications for
employment), Sec. 391.23 (relating to investigations and inquiries), and
Sec. 391.31 (relating to road tests) do not apply to a driver who has
been a regularly employed driver (as defined in Sec. 390.5 of this
subchapter) of a motor carrier for a continuous period which began
before January 1, 1971, as long as he/she continues to be a regularly
employed driver of that motor carrier. Such a driver is qualified to
drive a commercial motor vehicle if he/she fulfills the requirements of
paragraphs (b)(1) through (b)(9) of Sec. 391.11 (relating to
qualifications of drivers).

[59 FR 60323, Nov. 23, 1994, as amended at 60 FR 38745, July 28, 1995]

Sec. 391.62 Limited exemptions for intra-city zone drivers.

The provisions of Secs. 391.11(b)(1) and 391.41(b)(1) through
(b)(11) do not apply to a person who:
(a) Was otherwise qualified to operate and operated a commercial
motor vehicle in a municipality or exempt intracity zone thereof
throughout the one-year period ending November 18, 1988;
(b) Meets all the other requirements of this section;
(c) Operates wholly within the exempt intracity zone (as defined in
49 CFR 390.5);
(d) Does not operate a vehicle used in the transportation of
hazardous materials in a quantity requiring placarding under regulations
issued by the Secretary under 49 U.S.C. chapter 51.; and
(e) Has a medical or physical condition which:
(1) Would have prevented such person from operating a commercial
motor vehicle under the Federal Motor Carrier Safety Regulations
contained in this subchapter;
(2) Existed on July 1, 1988, or at the time of the first required
physical examination after that date; and
(3) The examining physician has determined this condition has not
substantially worsened since July 1, 1988, or at the time of the first
required physical examination after that date.

[61 FR 13346, Mar. 26, 1996; 61 FR 17253, Apr. 19, 1996]

Sec. 391.63 Intermittent, casual, or occasional drivers.

(a) If a motor carrier employs a person who is not a regularly
employed driver (as defined in Sec. 390.5 of this subchapter) to drive a
commercial motor vehicle for a single trip or on an intermittent,
casual, or occasional basis, the motor carrier shall comply with all
requirements of this part, except that the motor carrier need not--
(1) Require the person to furnish an application for employment in
accordance with Sec. 391.21;
(2) Make the investigations and inquiries specified in Sec. 391.23
with respect to that person,
(3) Perform the annual review of the person's driving record
required by Sec. 391.25; or
(4) Require the person to furnish a record of violations or a
certificate in accordance with Sec. 391.27.
(b) Before a motor carrier permits a person described in paragraph
(a) of this section to drive a commercial motor vehicle, the motor
carrier must obtain his/her name, his/her social security number, and
the identification number, type and issuing State of his/her commercial
motor vehicle operator's license. The motor carrier must retain that
information in its files for 3 years after the person's employment by
the motor carrier ceases.

[35 FR 6460, Apr. 22, 1970, as amended at 53 FR 18057, May 19, 1988; 60
FR 38745, July 28, 1995]

[[Page 657]]

Sec. 391.64 Grandfathering for certain drivers participating in vision and diabetes waiver study programs.

(a) The provisions of Sec. 391.41(b)(3) do not apply to a driver who
was a participant in good standing on March 31, 1996, in a waiver study
program concerning the operation of commercial motor vehicles by
insulin-controlled diabetic drivers; provided:
(1) The driver is physically examined every year, including an
examination by a board-certified/eligible endocrinologist attesting to
the fact that the driver is:
(i) Otherwise qualified under Sec. 391.41;
(ii) Free of insulin reactions (an individual is free of insulin
reactions if that individual does not have severe hypoglycemia or
hypoglycemia unawareness, and has less than one documented, symptomatic
hypoglycemic reaction per month);
(iii) Able to and has demonstrated willingness to properly monitor
and manage his/her diabetes; and
(iv) Not likely to suffer any diminution in driving ability due to
his/her diabetic condition.
(2) The driver agrees to and complies with the following conditions:
(i) A source of rapidly absorbable glucose shalll be carried at all
times while driving;
(ii) Blood glucose levels shall be self-monitored one hour prior to
driving and at least once every four hours while driving or on duty
prior to driving using a portable glucose monitoring device equipped
with a computerized memory;
(iii) Submit blood glucose logs to the endocrinologist or medical
examiner at the annual examination or when otherwise directed by an
authorized agent of the FHWA;
(iv) Provide a copy of the endocrinologist's report to the medical
examiner at the time of the annual medical examination; and
(v) Provide a copy of the annual medical certification to the
employer for retention in the driver's qualification file and retain a
copy of the certification on his/her person while driving for
presentation to a duly authorized Federal, State or local enforcement
official.
(b) The provisions of Sec. 391.41(b)(10) do not apply to a driver
who was a participant in good standing on March 31, 1996, in a waiver
study program concerning the operation of commercial motor vehicles by
drivers with visual impairment in one eye; provided:
(1) The driver is physically examined every year, including an
examination by an ophthalmologist or optometrist attesting to the fact
that the driver:
(i) Is otherwise qualified under Sec. 391.41; and
(ii) Continues to measure at least 20/40 (Snellen) in the better
eye.
(2) The driver provides a copy of the ophthalmologist or optometrist
report to the medical examiner at the time of the annual medical
examination.
(3) The driver provides a copy of the annual medical certification
to the employer for retention in the driver's qualification file and
retains a copy of the certification on his/her person while driving for
presentation to a duly authorized federal, state or local enforcement
official.

[61 FR 13346, Mar. 26, 1996]

Sec. 391.65 Drivers furnished by other motor carriers.

(a) A motor carrier may employ a driver who is not a regularly
employed driver of that motor carrier without complying with the
generally applicable driver qualification file requirements in this
part, if--
(1) The driver is regularly employed by another motor carrier; and
(2) The motor carrier which regularly employs the driver certifies
that the driver is fully qualified to drive a commercial motor vehicle
in a written statement which--
(i) Is signed and dated by an officer or authorized employee of the
regularly employing carrier;
(ii) Contains the driver's name and signature;
(iii) Certifies that the driver has been regularly employed as
defined in Sec. 390.5;
(iv) Certifies that the driver is fully qualified to drive a
commercial motor vehicle under the rules in part 391 of the Federal
Motor Carrier Safety Regulations;
(v) States the expiration date of the driver's medical examiner's
certificate;

[[Page 658]]

(vi) Specifies an expiration date for the certificate, which shall
be not longer than 2 years or, if earlier, the expiration date of the
driver's current medical examiner's certificate; and
(vii) After April 1, 1977, is substantially in accordance with the
following form:

........................................................................
(Name of driver)
________________________________________________________________________
(SS No.)
........................................................................
(Signature of driver)

I certify that the above named driver, as defined in Sec. 391.3(c)
is regularly driving a commercial motor vehicle operated by the below
named carrier and is fully qualified under part 391, Federal Motor
Carrier Safety Regulations. His/her current medical examiner's
certificate expires on ________ (Date)
This certificate expires:

........................................................................

(Date not later than expiration date of medical certificate)

Issued on ________ (date)

Issued by ____________________
(Name of carrier)
........................................................................
(Address)
........................................................................
(Signature)
........................................................................
(Title)

(b) A motor carrier that obtains a certificate in accordance with
paragraph (a) (2) of this section shall retain a copy of that
certificate in its files for 3 years.
(c) A carrier which certifies a driver's qualifications under this
section shall--
(1) Be responsible for the accuracy of the certificate; and
(2) Recall the unexpired certificate carried by a driver immediately
upon learning that the driver is no longer qualified under the rules in
this part.

[41 FR 36656, Aug. 31, 1976, as amended at 53 FR 18057, May 19, 1988; 60
FR 38745, July 28, 1995]

Sec. 391.67 Farm vehicle drivers of articulated commercial motor vehicles.

The following rules in this part do not apply to a farm vehicle
driver (as defined in Sec. 390.5) who is 18 years of age or older and
who drives an articulated commercial motor vehicle:
(a) Section 391.11(b)(1), (b)(8), (b)(10), and (b)(11) (relating to
driver qualifications in general);
(b) Subpart C (relating to disclosure of, investigation into, and
inquiries about the background, character, and driving record of,
drivers);
(c) Subpart D (relating to road tests);
(d) Subpart F (relating to maintenance of files and records).

[59 FR 60324, Nov. 23, 1994, as amended at 60 FR 38745, 38746, July 28,
1995]

Sec. 391.68 Private motor carrier of passengers (nonbusiness).

The following rules in this part do not apply to a private motor
carrier of passengers (nonbusiness) and their drivers:
(a) Section 391.11 (b)(8), (b)(10), and (b)(11), (relating to driver
qualifications in general).
(b) Subpart C (relating to disclosure of, investigation into, and
inquiries about the background, character, and driving record of,
drivers).
(c) Subpart D (relating to road tests).
(d) So much of Secs. 391.41 and 391.45 as require a driver to be
medically examined and to have a medical examiner's certificate on his/
her person.
(e) Subpart F (relating to maintenance of files and records).
(f) Subpart H (relating to controlled substances testing).

[60 FR 38746, July 28, 1995]

Sec. 391.69 Drivers operating in Hawaii.

The provisions of Sec. 391.21 (relating to application for
employment), Sec. 391.23 (relating to investigations and inquiries), and
Sec. 391.31 (relating to road tests) do not apply to a driver who has
been a regularly employed driver (as defined in Sec. 390.5 of this
subchapter) of a motor carrier operating in the State of Hawaii for a
continuous period which began before April 1, 1975, as long as he/she
continues to be a regularly employed driver of that motor carrier. Such
a driver is qualified to drive a commercial motor vehicle if he/she
fulfills the requirements of paragraphs (b)(1) through (b)(9) of
Sec. 391.11 (relating to qualifications of drivers).

[59 FR 60324, Nov. 23, 1994, as amended at 60 FR 38745, July 28, 1995]

[[Page 659]]

Sec. 391.71 Intrastate drivers of commercial motor vehicles transporting Class 3 combustible liquids.

(a) The provisions of Sec. 391.11(b)(1) (relating to minimum age),
Sec. 391.21 (relating to application for employment), Sec. 391.23
(relating to investigations and inquiries), and Sec. 391.31 (relating to
road test) do not apply to a driver who is otherwise qualified and was a
regularly employed driver (as defined in Sec. 390.5 of the subchapter)
as of July 1, 1975, and continues to be a regularly employed driver of
that motor carrier and who drives a commercial motor vehicle that:
(1) Is transporting Class 3 combustible liquids (as defined in
Sec. 173.120 of this title), and
(2) Is being operated in intrastate commerce.
(b) In addition to the exemptions provided in paragraph (a) of this
section, the provisions of Sec. 391.41(b) (10) (relating to minimum
visual requirements), do not apply to a driver who was a regularly
employed driver (as defined in Sec. 390.5 of this subchapter) as of July
1, 1975, and continues to be a regularly employed driver of that motor
carrier and who drives a commercial motor vehicle that:
(1) Is a truck (as defined in Sec. 390.5 of this subchapter), and
(2) Is operated in retail delivery service, and
(3) Is transporting a Class 3 combustible liquid (as defined in
Sec. 173.120 of this title), and
(4) Is operated in intrastate commerce.

[40 FR 54796, Nov. 26, 1975; 40 FR 58858, Dec. 19, 1975, as amended at
53 FR 18057, May 19, 1988; 59 FR 60324, Nov. 23, 1994; 59 FR 63924, Dec.
12, 1994; 60 FR 38745, 38746, July 28, 1995]

Sec. 391.73 Private motor carrier of passengers (business).

The provisions of Sec. 391.21 (relating to applications for
employment), Sec. 391.23 (relating to investigations and inquiries), and
Sec. 391.31 (relating to road tests) do not apply to a driver who has
been a regularly employed driver (as defined in Sec. 390.5 of this
subchapter) of a private motor carrier of passengers (business) as of
July 1, 1994, so long as the driver continues to be a regularly employed
driver of that motor carrier. Such a driver is qualified to drive a
commercial motor vehicle if that driver fulfills the requirements of
paragraphs (b)(1) through (b)(9) of Sec. 391.11 (relating to
qualifications of drivers).

[59 FR 60324, Nov. 23, 1994, as amended at 60 FR 38745, July 28, 1995]

Subpart H--Controlled Substances Testing

Source: 53 FR 47151, Nov. 21, 1988, unless otherwise noted.

Sec. 391.81 Purpose and scope.

(a) The purpose of this subpart is to reduce highway accidents that
result from driver use of controlled substances, thereby reducing
fatalities, injuries, and property damage.
(b) This subpart prescribes minimum Federal safety standards to
detect and deter the use of controlled substances as defined in 49 CFR
part 40 (marijuana, cocaine, opiates, amphetamines and phencyclidine
(PCP)).
(c) As part of reasonable cause drug testing programs established
pursuant to this subpart, motor carriers may test for drugs in addition
to those specified in this part only with approval granted by the
Federal Highway Administrator under 49 CFR part 40 and for substances
for which the Department of Health and Human Services has established an
approved testing protocol and positive threshold.

Sec. 391.83 Applicability.

(a) Except for a private motor carrier of passengers (nonbusiness),
this subpart applies to motor carriers and persons who operate a
commercial motor vehicle as defined in this subpart in interstate
commerce and are subject to the driver qualification requirements of
part 391 of this subchapter.
(b) This subpart shall not apply to any person for whom compliance
with this subpart would violate the domestic laws or policies of another
country.
(c) This subpart is not applicable with respect to any foreign-based
employee of a foreign-domiciled motor carrier.

[53 FR 47151, Nov. 21, 1988, as amended at 59 FR 8753, Feb. 23, 1994; 60
FR 56, Jan. 3, 1995]

[[Page 660]]

Sec. 391.85 Definitions.

As used in this subpart--
Collection site means a place where individuals present themselves
for the purpose of providing body fluid or tissue samples to be analyzed
for specified controlled substances. The site must possess all necessary
personnel, materials, equipment, facilities, and supervision to provide
for the collection, security, temporary storage, and transportation or
shipment of the samples to a laboratory.
Commercial motor vehicle means any self-propelled or towed motor
vehicle used on public highways in interstate commerce to transport
passengers or property when:
(a) The motor vehicle has a gross vehicle weight rating or gross
combination weight rating of 11,794 or more kilograms (26,001 or more
pounds); or
(b) The motor vehicle is designed to transport more than 15
passengers, including the driver; or
(c) The motor vehicle is used in the transportation of hazardous
materials in a quantity requiring placarding under regulations issued by
the Secretary under the Hazardous Materials Transportation Act (49
U.S.C. 5101 et. seq.).
Controlled substances 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 part 1308).
Drug means any substance (other than alcohol) that is a controlled
substance as defined in this section and 49 CFR part 40.
FHWA means the Federal Highway Administration, U.S. Department of
Transportation.
Interstate commerce means trade, traffic, or transportation in the
United States which is between a place in a State and a place outside of
such State (including a place outside of the United States) or is
between two places in a State through another State or a place outside
of the United States.
Medical practitioner means a licensed doctor of medicine (MD) or
osteopathy (DO) or a doctor of dental surgery (DDS) authorized to
practice by the State in which the person practices.
Medical Review Officer means a licensed doctor of medicine or
osteopathy with knowledge of drug abuse disorders that is employed or
used by a motor carrier to conduct drug testing in accordance with this
part.
Motor carrier means a for-hire motor carrier or a private motor
carrier of property. The term ``motor carrier'' includes a motor
carrier's agents, officers and representatives as well as employees
responsible for hiring, supervising, training, assigning, or dispatching
of drivers and employees concerned with the installation, inspection,
and maintenance of motor vehicle equipment and/or accessories. For
purposes of subchapter B, the definition of ``motor carrier'' includes
the terms ``employer'' and ``exempt motor carrier.''
Non-suspicion-based post-accident testing means testing of a
commercial motor vehicle driver after an accident, as defined in
Sec. 390.5 of this subchapter:
(1) If the driver of the commercial motor vehicle receives a
citation for a moving traffic violation arising from the accident, as
required by Sec. 391.113 of this subpart; and
(2) Without regard to whether there is any reasonable suspicion of
drug usage, reasonable cause to believe the driver has been operating
the commercial motor vehicle while under the influence of drugs, or
reasonable cause to believe the driver was at fault in the accident and
drug usage may have been a factor.
Random selection process means that drug tests are unannounced and
that every commercial motor vehicle driver of a motor carrier has an
equal chance of being selected for testing.
Reasonable cause means that the motor carrier believes the actions
or appearance or conduct of a commercial motor vehicle driver, on duty
as defined in Sec. 395.2 of this subchapter, are indicative of the use
of a controlled substance.

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3555, Feb. 1, 1990; 56
FR 40809, Aug. 16, 1991; 58 FR 33777, June 21, 1993; 60 FR 38746, July
28, 1995; 61 FR 9567, Mar. 8, 1996]

Sec. 391.87 Notification of test results and recordkeeping.

(a) The MRO shall report to the motor carrier whether a driver's
test

[[Page 661]]

was positive or negative and, if positive, the identity of the
controlled substance for which the test was positive.
(b) A motor carrier shall notify its driver or driver-applicant of
the results of a controlled substance test conducted under this subpart.
(c) A motor carrier shall notify--
(1) A driver-applicant of the results of a pre-employment controlled
substance test conducted under this subpart provided the driver-
applicant requests such results within 60 days of being notified of the
disposition of the employment application; or
(2) A driver of the results of a periodic, random, reasonable cause,
or post-accident test conducted under this subpart, provided the results
were positive. The driver must also be advised of what controlled
substance was identified in any positive test.
(d) A motor carrier shall ensure that all records related to the
administration and results of the drug testing program for its drivers
subject to the testing requirements are maintained for a minimum period
of 5 years except that individual negative test results shall be
maintained for a minimum of 12 months.
(e) A medical review officer shall be the sole custodian of
individuals test results. The medical review officer shall retain the
reports of individual test results for a minimum of 5 years.
(f) A motor carrier shall retain in the driver's qualification file
such information that will indicate only the following:
(1) The types of controlled substances testing for which the driver
submitted a urine specimen.
(2) The date of such collection.
(3) The location of such collection.
(4) The identity of person or entity:
(i) Performing the collection,
(ii) Analysis of the specimens, and
(iii) Serving as the MRO.
(5) Whether the test finding was ``positive'' or ``negative'' and,
if ``positive,'' the controlled substances identified in any positive
test.

(g) A motor carrier shall produce upon demand and shall permit the
Federal Highway Administrator to examine all records related to the
administration and results of controlled substance testing performed
under this part.
(h) A motor carrier shall maintain all administrative records
pertaining to its controlled substances testing program and an annual
calendar year summary of the results of its controlled substances
testing program performed under this subpart.
(1) The administrative records shall include agreements with
collection facilities, laboratories, MROs, consortia, names and
positions of company officials and their role in the motor carrier's
controlled substances testing program, quarterly laboratory summaries,
recordkeeping and testing procedures including random testing selection
and notification procedures.
(2) The motor carrier's summary shall include the following
information:
(i) Number of drivers subject to subpart H;
(ii) Number of drivers subject to testing under the anti-drug rules
of more than one DOT agency, identified by each agency;
(iii) Number of specimens collected by type of test (e.g., pre-
employment, random, reasonable cause/suspicion, post-accident);
(iv) Number of positives verified by a MRO by type of test, type of
controlled substance;
(v) Number of negatives verified by a MRO by type of test;
(vi) Number of persons denied a position as a driver following a
verified controlled substances test;
(vii) Number of drivers verified positive by a MRO who were returned
to duty as a driver during the reporting period;
(viii) Number of drivers with tests verified positive by a MRO for
multiple controlled substances;
(ix) Number of drivers who refused to submit to a controlled
substances test required under this subpart; and
(x) Number of supervisors who have received required training during
the reporting period.
(3) A motor carrier shall prepare and maintain a summary of the
results of its alcohol and controlled substances testing programs
performed under this part during the previous calendar year, when
requested by the Secretary of

[[Page 662]]

Transportation, any DOT agency, or any State or local officials with
regulatory authority over the motor carrier or any of its drivers. The
information shall be made available for inspection at the motor
carrier's principal place of business within two business days of the
request.
(4) If, during the month of January, a motor carrier is provided
with forms by the Federal Highway Administration on which to report the
motor carrier's annual calendar year summary information, the motor
carrier shall complete the forms and submit them to the Federal Highway
Administration by March 15 of that year. The motor carrier shall ensure
that the annual summary report is accurate and received by March 15 at
the location that the Federal Highway Administration specifies in its
request. The report shall be in the form and manner prescribed by the
Federal Highway Administration in its request. When the report is
submitted to the Federal Highway Administration by mail or electronic
transmission, the information requested shall be typed, except for the
signature of the certifying official. Each motor carrier shall ensure
the accuracy and timeliness of each report submitted by the motor
carrier or a consortium.

(Approved by the Office of Management and Budget under control number
2125-0543)

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3555, Feb. 1, 1990; 58
FR 68222, Dec. 23, 1993; 59 FR 49586, Sept. 29, 1994; 60 FR 13370, Mar.
13, 1995]

Sec. 391.89 Access to individual test results or test findings.

(a) No person may obtain the individual test results retained by a
medical review officer, and no medical review officer shall release the
individual test results of any employee to any person, without first
obtaining written authorization from the tested employee. Nothing in
this paragraph shall prohibit a medical review officer from releasing,
to the employing motor carrier, the information delineated in
Sec. 391.87(f) of this subpart.
(b) No person may obtain the information delineated in
Sec. 391.87(f) of this part and retained by a motor carrier, and no
motor carrier shall release such information about any employee or
previous employee, without first obtaining written authorization from
the tested employee.

[58 FR 33777, June 21, 1993]

Sec. 391.93 Implementation schedule.

(a) All motor carriers shall have a drug testing program that
conforms to this subpart and 49 CFR part 40 by the date a motor carrier
begins motor carrier operations.
(b) All motor carriers shall require all collection personnel to
implement the split sample collection procedures required under
Sec. 40.25(f)(10) of this title by August 15, 1994.
(c) An employer may begin complying with the requirements of
paragraph (b) of this section on or after March 17, 1994.

[59 FR 7514, Feb. 15, 1994]

Sec. 391.95 Drug use prohibitions.

(a) No driver shall be on duty, as defined in Sec. 395.2 of this
subchapter, if the driver uses any controlled substances, except as
provided in Sec. 391.97 of this part.
(b) No driver shall be on duty, as defined in Sec. 395.2 of this
subchapter, if the driver tests positive for use of controlled
substances, except as provided in Sec. 391.97 of this part.
(c) A person who tests positive for the use of a controlled
substance, as defined in 49 CFR part 40, is medically unqualified to
operate a commercial motor vehicle.
(d) A person who refuses to be tested under provisions of this
subpart shall not be permitted to operate a commercial motor vehicle.
Such refusal shall be treated as a positive test and subject the driver
to the restrictions contained in paragraph (c) of this section.

Sec. 391.97 Prescribed drugs.

(a) Affirmative defense. Any driver who is alleged to have violated
Sec. 391.95 of this subpart shall have available as an affirmative
defense, to be proven by the driver through clear and convincing
evidence, that his/her use of a controlled substance (except for
methadone) was prescribed by a licensed medical practitioner who is
familiar with the driver's medical history and assigned duties.

[[Page 663]]

(b) The MRO shall afford a tested individual the opportunity to
discuss a positive test result with the MRO before reporting the
positive test result to the motor carrier. If an MRO, after making and
documenting all reasonable efforts is unable to contact a tested person,
the MRO shall contact a designated management official of the motor
carrier to arrange for the individual to contact the MRO prior to going
on duty. The MRO may verify a positive test without having communicated
with the driver about the results of the test if:
(1) The driver expressly declines the opportunity to discuss the
results of the test, or
(2) Within 5 days after a documented contact by a designated
management official of the motor carrier instructing the driver to
contact the MRO, the driver has not done so.
(c) All positive tests reported to the motor carrier by the MRO in
which the MRO did not discuss the results with the driver shall be so
noted and be accompanied by complete documentation of the MRO's efforts
to contact the driver including contacts with a motor carrier's
designated management official.
(d) The rules in this subpart do not prohibit a motor carrier from
requiring a driver to notify the motor carrier of thereapeutic drug use.

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3555, Feb. 1, 1990]

Sec. 391.99 Reasonable cause testing requirements.

(a) A motor carrier shall require a driver to be tested, upon
reasonable cause, for the use of controlled substances.
(b) A driver shall submit to testing, upon reasonable cause, for the
use of controlled substances when requested to do so by the motor
carrier.
(c) The conduct must be witnessed by at least two supervisors or
company officials, if feasible. If not feasible, only one supervisor or
company official need witness the conduct. The witness or witnesses must
have received training in the identification of actions, appearance, or
conduct of a commercial motor vehicle driver which are indicative of the
use of a controlled substance.
(d) The documentation of the driver's conduct shall be prepared and
signed by the witnesses within 24 hours of the observed behavior or
before the results of the tests are released, whichever is earlier.

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3556, Feb. 1, 1990]

Sec. 391.101 Reasonable cause testing procedures.

(a) A motor carrier shall ensure that the driver is transported
immediately to a collection site for the collection of a urine sample.
(b) A motor carrier shall ensure that the test performed under the
requirements of Sec. 391.99 of this subpart conforms with 49 CFR part 40
and this subpart.

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3556, Feb. 1, 1990]

Sec. 391.103 Pre-employment testing requirements.

(a) A motor carrier shall require a driver-applicant who the motor
carrier intends to hire or use to be tested for the use of controlled
substances as a prequalification condition.
(b) A driver-applicant shall submit to controlled substance testing
as a prequalification condition.
(c) Prior to collection of a urine sample under Sec. 391.107 of this
subpart, a driver-applicant shall be notified that the sample will be
tested for the presence of controlled substances.
(d) Exceptions. (1) A motor carrier may use a driver who is a
regularly employed driver of another motor carrier without complying
with paragraph (a) of this section, if the driver meets the requirement
of Sec. 391.65 of this subchapter.
(2) A motor carrier may use a driver who is not tested by the motor
carrier without complying with paragraph (a) of this section, provided
the motor carrier assures itself:
(i) That the driver has participated in a drug testing program that
meets the requirements of this subpart within the previous 30 days and,
(ii) While participating in that program, was either

[[Page 664]]

(A) Tested for controlled substances within the past 6 months (from
the date of application with the motor carrier) or
(B) Participated in the drug testing program for the previous 12
months (from the date of application with the motor carrier).
(3) A motor carrier who exercises either paragraph (d)(1) or (d)(2)
of this section shall contact the controlled substances testing program
in which the driver participates or participated and shall obtain the
following information:
(i) Name and address of the program.
(ii) Verification that the driver participates or participated in
the program.
(iii) Verification that the program conforms to 49 CFR part 40.
(iv) Verification that the driver is qualified under the rules of
this part, including that the driver has not refused to be tested for
controlled substances.
(v) The date the driver was last tested for controlled substances.
(vi) The results, positive or negative, of any test taken.
(4) The motor carrier shall retain the information required by this
paragraph in the driver's qualification file required under Sec. 391.51
of this part.
(5) A motor carrier who uses, but does not employ, such a driver
more than once a year must assure itself once every 6 months that the
driver participates in a controlled substances testing program that
meets the requirements of this subpart.

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3556, Feb. 1, 1990]

Sec. 391.105 Biennial (periodic) testing requirements.

(a) A motor carrier shall require a driver to be tested in
accordance with the procedures set forth in this subpart and part 40 of
this title at least once every two years commencing with the driver's
first medical examination required under Sec. 391.45 of this part after
the motor carrier's implementation of a drug testing program in
accordance with this subpart.
(b) Exception. A motor carrier may use a driver who participates in
a drug testing program of another motor carrier or controlled substance
test consortium.
(c) Exceptions. A motor carrier may discontinue periodic testing
after a driver has been tested at least once under
(1) The requirements of paragraph (a) of this section;
(2) The requirements of Sec. 391.103 of this subpart; or
(3) The requirements of Sec. 391.109 of this subpart, and the motor
carrier is testing its drivers at a 50 percent rate under its random
testing program as required by Sec. 391.109 of this subpart.

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3556, Feb. 1, 1990]

Sec. 391.107 Pre-employment and biennial testing procedures.

(a) The sample shall consist of a urine specimen.
(b) A motor carrier shall ensure that the test preformed under the
requirements of Sec. 391.105 of this subpart conforms with 49 CFR part
40 and this subpart.

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3556, Feb. 1, 1990]

Sec. 391.109 Random testing requirements.

(a) The number of tests conducted under this section annually shall
equal or exceed 50 percent (50%) of the average number of commercial
motor vehicle driver positions for which testing is required to be
tested under this subpart.
(b) A motor carrier shall use a random selection process to select
and request a driver to be tested for the use of controlled substances.
(c) A driver shall submit to controlled substance testing when
selected by a random selection process used by a motor carrier.
(d) Exception. A motor carrier may use the results of another's
controlled substances testing program that a driver participates in to
meet the requirements of this section provided that the motor carrier
obtains the following information from the controlled substances testing
program entity:
(1) Name and address of the program.
(2) Verification that the driver participates in the program.

[[Page 665]]

(3) Verification that program conforms to the 49 CFR part 40.
(4) Verification that driver is qualified under the rules of this
part, including that the driver has not refused to be tested for
controlled substances.
(5) The date the driver was last tested for controlled substances.
(6) The results, positive or negative, of any tests taken.

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3556, Feb. 1, 1990]

Sec. 391.111 Random testing procedures.

(a) The sample shall consist of a urine specimen.
(b) A motor carrier shall ensure that the test performed under the
requirements of Sec. 391.109 of this subpart conforms with 49 CFR part
40 and this subpart.

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3556, Feb. 1, 1990]

Sec. 391.113 Post-accident testing requirements.

(a) A driver shall provide a urine sample to be tested for the use
of controlled substances as soon as possible, but not later than 32
hours, after an accident, as defined in Sec. 390.5 of this subchapter,
if the driver of the commercial motor vehicle receives a citation for a
moving traffic violation arising from the accident.
(b) A driver who is seriously injured and cannot provide a specimen
at the time of the accident shall provide the necessary authorization
for obtaining hospital reports and other documents that would indicate
whether there were any controlled substances in his/her system.
(c) A motor carrier shall provide drivers with necessary information
and procedures so that the driver will be able to meet the requirement
of paragraph (a) of this section.

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3556, Feb. 1, 1990; 58
FR 33777, June 21, 1993]

Sec. 391.115 Post-accident testing procedures.

(a) The sample shall consist of a urine specimen.
(b) A driver shall ensure that a specimen is collected and forwarded
to a National Institute on Drug Abuse (NIDA) certified laboratory in a
manner which conforms to 49 CFR part 40.
(c) A motor carrier shall ensure that the test performed under the
requirements of Sec. 391.113 of this subpart conforms with 49 CFR part
40 and this subpart.

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3557, Feb. 1, 1990]

Sec. 391.117 Disqualification.

(a) Disqualification for refusal. Except for a driver who meets the
conditions of Sec. 391.113(b), a driver shall be disqualified by
issuance of a letter of disqualification for a period of 1 year
following a refusal to give a urine sample when the driver has been
involved in a fatal accident.
(b) Disqualification for use of controlled substances. A driver
shall be disqualified by issuance of a letter of disqualification for a
period of 1 year for a positive test of controlled substance use when
the driver has been involved in a fatal accident.

Sec. 391.119 Employee Assistance Program (EAP).

(a) Every motor carrier shall establish an EAP program. The EAP
program shall, as a minimum, include--
(1) An educational and training component for drivers which
addresses controlled substances;
(2) An education and training component for supervisory personnel
and company officials which addresses controlled substances; and
(3) A written statement, on file and available for inspection, at
the motor carrier's principal place of business, outlining the motor
carrier's EAP.
(b) [Reserved]

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3557, Feb. 1, 1990]

Sec. 391.121 EAP training program.

(a) Each EAP shall consist of an effective training program for the
motor carrier's supervisory personnel and all drivers.
(b) The training program must include at least the following
elements:
(1) The effects and consequences of controlled substance use on
personal

[[Page 666]]

health, safety, and the work environment;
(2) The manifestations and behavioral changes that may indicate
controlled substance use or abuse; and
(3) Documentation of training given to drivers and motor carrier
supervisory personnel.
(c) EAP training programs for all drivers and supervisory personnel
must consist of at least 60 minutes of training.

[53 FR 47151, Nov. 21, 1988, as amended at 55 FR 3557, Feb. 1, 1990]

Sec. 391.123 After-care monitoring.

After returning to work, drivers who test positive must continue in
any after-care program and be subject to follow-up testing for not
longer than 60 months folowing return to work.

Sec. 391.125 Termination schedule of this subpart.

(a) All motor carriers shall retain all records generated in
connection with this subpart as required by Sec. 382.401 of this
subchapter.
(b) Large employers. Except as provided in paragraph (a) of this
section, each motor carrier with fifty or more drivers on March 17,
1994, shall terminate compliance with this subpart and shall implement
the requirements of part 382 of this subchapter beginning on January 1,
1995.
(c) Small employers. Except as provided in paragraph (a) of this
section, each motor carrier with fewer than fifty drivers on March 17,
1994, shall terminate compliance with this subpart and shall implement
the requirements of Part 382 of this subchapter beginning on January 1,
1996.
(d) Except as provided in paragraph (a) of this section, all motor
carriers shall terminate compliance with this subpart on January 1,
1996.

[61 FR 9567, Mar. 8, 1996]

PART 392--DRIVING OF COMMERCIAL MOTOR VEHICLES--Table of Contents

Subpart A--General

Sec.
392.1 Scope of the rules in this part.
392.2 Applicable operating rules.
392.3 Ill or fatigued operator.
392.4 Drugs and other substances.
392.5 Alcohol prohibition.
392.6 Schedules to conform with speed limits.
392.7 Equipment, inspection and use.
392.8 Emergency equipment, inspection, and use.
392.9 Safe loading.
392.9a [Reserved]
392.9b Hearing aid to be worn.

Subpart B--Driving of Commercial Motor Vehicles

392.10 Railroad grade crossings; stopping required.
392.11 Railroad grade crossings; slowing down required.
392.12 [Reserved]
392.13 Drawbridges; slowing down of commercial motor vehicles.
392.14 Hazardous conditions; extreme caution.
392.15 Required and prohibited use of turn signals.
392.16 Use of seat belts.
392.18 [Reserved]

Subpart C--Stopped Commercial Motor Vehicles

392.20 Unattended commercial motor vehicles; precautions.
392.21 [Reserved]
392.22 Emergency signals; stopped commercial motor vehicles.
392.24 Emergency signals; flame-producing.
392.25 Emergency signals; dangerous cargoes.

Subpart D--Use of Lighted Lamps and Reflectors

392.30--392.32 [Reserved]
392.33 Obscured lamps or reflectors.

Subpart E--License Revocation; Duties of Driver

392.40--392.41 [Reserved]
392.42 Notification of license revocation.

Subpart F--Fueling Precautions

392.50 Ignition of fuel; prevention.
392.51 Reserve fuel.
392.52 Buses; fueling.

Subpart G--Prohibited Practices

392.60 Unauthorized persons not to be transported.
392.61--392.62 [Reserved]
392.63 Towing or pushing loaded buses.
392.64 Riding within closed commercial motor vehicles without proper
exits.
392.65 [Reserved]

[[Page 667]]

392.66 Carbon monoxide; use of commercial motor vehicle when detected.
392.67 Heater, flame-producing; on commercial motor vehicle in motion.
392.68 Motive power not to be disengaged.
392.69 [Reserved]
392.71 Radar detectors; use and/or possession.

Authority: 49 U.S.C. 31136, 31502; 49 U.S.C. 1.48.

Source: 33 FR 19732, Dec. 25, 1968, unless otherwise noted.

Subpart A--General

Sec. 392.1 Scope of the rules in this part.

Every motor carrier, its officers, agents, representatives, and
employees responsible for the management, maintenance, operation, or
driving of commercial motor vehicles, or the hiring, supervising,
training, assigning, or dispatching of drivers, shall be instructed in
and comply with the rules in this part.

[53 FR 18057, May 19, 1988, as amended at 60 FR 38746, July 28, 1995]

Sec. 392.2 Applicable operating rules.

Every commercial motor vehicle must be operated in accordance with
the laws, ordinances, and regulations of the jurisdiction in which it is
being operated. However, if a regulation of the Federal Highway
Administration imposes a higher standard of care than that law,
ordinance or regulation, the Federal Highway Administration regulation
must be complied with.

[35 FR 7800, May 21, 1970, as amended at 60 FR 38746, July 28, 1995]

Sec. 392.3 Ill or fatigued operator.

No driver shall operate a commercial motor vehicle, and a motor
carrier shall not require or permit a driver to operate a commercial
motor vehicle, while the driver's ability or alertness is so impaired,
or so likely to become impaired, through fatigue, illness, or any other
cause, as to make it unsafe for him/her to begin or continue to operate
the commercial motor vehicle. However, in a case of grave emergency
where the hazard to occupants of the commercial motor vehicle or other
users of the highway would be increased by compliance with this section,
the driver may continue to operate the commercial motor vehicle to the
nearest place at which that hazard is removed.

[35 FR 7800, May 21, 1970, as amended at 60 FR 38746, July 28, 1995]

Sec. 392.4 Drugs and other substances.

(a) No driver shall be on duty and possess, be under the influence
of, or use, any of the following drugs or other substances:
(1) Any Schedule I drug or other substance identified in appendix D
to this subchapter;
(2) An amphetamine or any formulation thereof (including, but not
limited, to ``pep pills,'' and ``bennies'');
(3) A narcotic drug or any derivative thereof; or
(4) Any other substance, to a degree which renders the driver
incapable of safely operating a motor vehicle.
(b) No motor carrier shall require or permit a driver to violate
paragraph (a) of this section.
(c) Paragraphs (a) (2), (3), and (4) do not apply to the possession
or use of a substance administered to a driver by or under the
instructions of a licensed medical practitioner, as defined in
Sec. 382.107 of this subchapter, who has advised the driver that the
substance will not affect the driver's ability to safely operate a motor
vehicle.
(d) As used in this section, ``possession'' does not include
possession of a substance which is manifested and transported as part of
a shipment.

[61 FR 9567, Mar. 8, 1996]

Sec. 392.5 Alcohol prohibition.

(a) No driver shall--
(1) Use alcohol, as defined in Sec. 382.107 of this subchapter, or
be under the influence of alcohol, within 4 hours before going on duty
or operating, or having physical control of, a commercial motor vehicle;
or
(2) Use alcohol, be under the influence of alcohol, or have any
measured alcohol concentration or detected presence of alcohol, while on
duty, or operating, or in physical control of a commercial motor
vehicle; or
(3) Be on duty or operate a commercial motor vehicle while the
driver possesses wine of not less than one-half of one per centum of
alcohol by volume,

[[Page 668]]

beer as defined in 26 U.S.C. 5052(a), of the Internal Revenue Code of
1954, and distilled spirits as defined in section 5002(a)(8), of such
Code. However, this does not apply to possession of wine, beer, or
distilled spirits which are:
(i) Manifested and transported as part of a shipment; or
(ii) Possessed or used by bus passengers.
(b) No motor carrier shall require or permit a driver to--
(1) Violate any provision of paragraph (a) of this section; or
(2) Be on duty or operate a commercial motor vehicle if, by the
driver's general appearance or conduct or by other substantiating
evidence, the driver appears to have used alcohol within the preceding
four hours.
(c) Any driver who is found to be in violation of the provisons of
paragraph (a) or (b) of this section shall be placed out-of-service
immediately for a period of 24 hours.
(1) The 24-hour out-of-service period will commence upon issuance of
an out-of-service order.
(2) No driver shall violate the terms of an out-of-service order
issued under this section.
(d) Any driver who is issued an out-of-service order under this
section shall:
(1) Report such issuance to his/her employer within 24 hours; and
(2) Report such issuance to a State official, designated by the
State which issued his/her driver's license, within 30 days unless the
driver chooses to request a review of the order. In this case, the
driver shall report the order to the State official within 30 days of an
affirmation of the order by either the Regional Director of Motor
Carriers for the Region or the Associate Administrator.
(e) Any driver who is subject to an out-of-service order under this
section may petition for review of that order by submitting a petition
for review in writing within 10 days of the issuance of the order to the
Regional Director of Motor Carriers for the Region in which the order
was issued. The Regional Director of Motor Carriers may affirm or
reverse the order. Any driver adversely affected by such order of the
Regional Director of Motor Carriers may petition the Associate
Administrator for review in accordance with 49 CFR 386.13.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[47 FR 47837, Oct. 28, 1982, as amended at 52 FR 27201, July 20, 1987;
59 FR 7515, Feb. 15, 1994; 61 FR 9567, Mar. 8, 1996]

Sec. 392.6 Schedules to conform with speed limits.

No motor carrier shall schedule a run nor permit nor require the
operation of any commercial motor vehicle between points in such period
of time as would necessitate the commercial motor vehicle being operated
at speeds greater than those prescribed by the jurisdictions in or
through which the commercial motor vehicle is being operated.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38746, July 28, 1995]

Sec. 392.7 Equipment, inspection and use.

No commercial motor vehicle shall be driven unless the driver
thereof shall have satisfied himself/herself that the following parts
and accessories are in good working order, nor shall any driver fail to
use or make use of such parts and accessories when and as needed:

Service brakes, including trailer brake connections.
Parking (hand) brake.
Steering mechanism.
Lighting devices and reflectors.
Tires.
Horn.
Windshield wiper or wipers.
Rear-vision mirror or mirrors.
Coupling devices.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38746, July 28, 1995]

Sec. 392.8 Emergency equipment, inspection and use.

No commercial motor vehicle shall be driven unless the driver
thereof is satisfied that the emergency equipment required by
Sec. 393.95 of this subchapter is in place and ready for use; nor shall
any driver fail to use or make use of such equipment when and as needed.

[49 FR 38290, Sept. 28, 1984, as amended at 60 FR 38746, July 28, 1995]

[[Page 669]]

Sec. 392.9 Safe loading.

(a) General. No person shall drive a commercial motor vehicle and a
motor carrier shall not require or permit a person to drive a commercial
motor vehicle unless--
(1) The commercial motor vehicle's cargo is properly distributed and
adequately secured as specified in Secs. 393.100-393.106 of this
subchapter.
(2) The commercial motor vehicle's tailgate, tailboard, doors,
tarpaulins, its spare tire and other equipment used in its operation,
and the means of fastening the commercial motor vehicle's cargo are
secured; and
(3) The commercial motor vehicle's cargo or any other object does
not obscure the driver's view ahead or to the right or left sides,
interfere with the free movement of his/her arms or legs, prevent his/
her free and ready access to accessories required for emergencies, or
prevent the free and ready exit of any person from the commercial motor
vehicle's cab or driver's compartment.
(b) Drivers of trucks and truck tractors. Except as provided in
paragraph (b)(4) of this section, the driver of a truck or truck tractor
must--
(1) Assure himself/herself that the provisions of paragraph (a) of
this section have been complied with before he/she drives that
commercial motor vehicle;
(2) Examine the commercial motor vehicle's cargo and its load-
securing devices within the first 25 miles after beginning a trip and
cause any adjustments to be made to the cargo or load-securing devices
(other than steel strapping) as may be necessary to maintain the
security of the commercial motor vehicle's load; and
(3) Reexamine the commercial motor vehicle's cargo and its load-
securing devices periodically during the course of transportation and
cause any adjustments to be made to the cargo or load-securing devices
(other than steel strapping) as may be necessary to maintain the
security of the commercial motor vehicle's load. A periodic
reexamination and any necessary adjustments must be made--
(i) When the driver makes a change of his/her duty status; or
(ii) After the commercial motor vehicle has been driven for 3 hours;
or
(iii) After the commercial motor vehicle has been driven for 150
miles, whichever occurs first.
(4) The rules in this paragraph do not apply to the driver of a
sealed commercial motor vehicle who has been ordered not to open it to
inspect its cargo or to the driver of a commercial motor vehicle that
has been loaded in a manner that makes inspection of its cargo
impracticable.
(c) Buses. No person shall drive a bus and a motor carrier shall not
require or permit a person to drive a bus unless--
(1) All standees on the bus are rearward of the standee line or
other means prescribed in Sec. 393.90 of this subchapter;
(2) All aisle seats in the bus conform to the requirements of
Sec. 393.91 of this subchapter; and
(3) Baggage, freight, or express on the bus is stowed and secured in
a manner which assures--
(i) Unrestricted freedom of movement to the driver and his/her
proper operation of the bus;
(ii) Unobstructed access to all exits by any occupant of the bus;
and
(iii) Protection of occupants of the bus against injury resulting
from the falling or displacement of articles transported in the bus.

[36 FR 18863, Sept. 23, 1971, as amended at 37 FR 12642, June 27, 1972;
38 FR 23522, Aug. 31, 1973; 60 FR 38746, July 28, 1995]
Sec. 392.9a [Reserved]

Sec. 392.9b Hearing aid to be worn.

A driver whose hearing meets the minimum requirements of
Sec. 391.41(b) (11) of this subchapter only when he/she wears a hearing
aid shall wear a hearing aid and have it in operation at all times while
he/she is driving. The driver must also have in his/her possession a
spare power source for use in the hearing aid.

[36 FR 12857, July 8, 1971]

Subpart B--Driving of Commercial Motor Vehicles

Sec. 392.10 Railroad grade crossings; stopping required.

(a) Except as provided in paragraph (b) of this section, the driver
of a commercial motor vehicle specified in

[[Page 670]]

paragraphs (a) (1) through (6) of this section shall not cross a
railroad track or tracks at grade unless he/she first: Stops the
commercial motor vehicle within 50 feet of, and not closer than 15 feet
to, the tracks; thereafter listens and looks in each direction along the
tracks for an approaching train; and ascertains that no train is
approaching. When it is safe to do so, the driver may drive the
commercial motor vehicle across the tracks in a gear that permits the
commercial motor vehicle to complete the crossing without a change of
gears. The driver must not shift gears while crossing the tracks.
(1) Every bus transporting passengers,
(2) Every commercial motor vehicle transporting any quantity of a
Division 2.3 chlorine.
(3) Every commercial motor vehicle which, in accordance with the
regulations of the Department of Transportation, is required to be
marked or placarded with one of the following classifications:
(i) Division 1.1
(ii) Division 1.2, or Division 1.3
(iii) Division 2.3 Poison gas
(iv) Division 4.3
(v) Class 7
(vi) Class 3 Flammable
(vii) Division 5.1
(viii) Division 2.2
(ix) Division 2.3 Chlorine
(x) Division 6.1 Poison
(xi) Division 2.2 Oxygen
(xii) Division 2.1
(xiii) Class 3 Combustible liquid
(xiv) Division 4.1
(xv) Division 5.1
(xvi) Division 5.2
(xvii) Class 8
(xviii) Division 1.4
(4) Every cargo tank motor vehicle, whether loaded or empty, used
for the transportation of any hazardous material as defined in the
Hazardous Materials Regulations of the Department of Transportation,
Parts 107 through 180 of this title.
(5) Every cargo tank motor vehicle transporting a commodity which at
the time of loading has a temperature above its flashpoint as determined
by Sec. 173.120 of this title.
(6) Every cargo tank motor vehicle, whether loaded or empty,
transporting any commodity under exemption in accordance with the
provisions of subpart B of part 107 of this title.
(b) A stop need not be made at:
(1) A streetcar crossing, or railroad tracks used exclusively for
industrial switching purposes, within a business district, as defined in
Sec. 390.5 of this chapter.
(2) A railroad grade crossing when a police officer or crossing
flagman directs traffic to proceed,
(3) A railroad grade crossing controlled by a functioning highway
traffic signal transmitting a green indication which, under local law,
permits the commercial motor vehicle to proceed across the railroad
tracks without slowing or stopping.
(4) An abandoned railroad grade crossing which is marked with a sign
indicating that the rail line is abandoned,
(5) An industrial or spur line railroad grade crossing marked with a
sign reading ``Exempt.'' Such ``Exempt'' signs shall be erected only by
or with the consent of the appropriate State or local authority.

(Sec. 12, 80 Stat. 931; 49 U.S.C. 1651 note; 49 U.S.C. 304, 1655; 49 CFR
1.48(b) and 301.60)

[33 FR 19732, Dec. 25, 1968, as amended at 35 FR 7801, May 21, 1970; 38
FR 1589, Jan. 16, 1973; 40 FR 44555, Sept. 29, 1975; 45 FR 46424, July
10, 1980; 47 FR 47837, Oct. 28, 1982; 59 FR 63924, Dec. 12, 1994; 60 FR
38746, 38747, July 28, 1995]

Sec. 392.11 Railroad grade crossings; slowing down required.

Every commercial motor vehicle other than those listed in
Sec. 392.10 shall, upon approaching a railroad grade crossing, be driven
at a rate of speed which will permit said commercial motor vehicle to be
stopped before reaching the nearest rail of such crossing and shall not
be driven upon or over such crossing until due caution has been taken to
ascertain that the course is clear.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]

[[Page 671]]

Sec. 392.12 [Reserved]

Sec. 392.13 Drawbridges; slowing down of commercial motor vehicles.

Any commercial motor vehicle, shall, upon approaching a drawbridge,
be driven at a rate of speed which will permit said commercial motor
vehicle to be stopped before reaching the lip of the draw and shall
proceed only when the draw is completely closed.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]

Sec. 392.14 Hazardous conditions; extreme caution.

Extreme caution in the operation of a commercial motor vehicle shall
be exercised when hazardous conditions, such as those caused by snow,
ice, sleet, fog, mist, rain, dust, or smoke, adversely affect visibility
or traction. Speed shall be reduced when such conditions exist. If
conditions become sufficiently dangerous, the operation of the
commercial motor vehicle shall be discontinued and shall not be resumed
until the commercial motor vehicle can be safely operated. Whenever
compliance with the foregoing provisions of this rule increases hazard
to passengers, the commercial motor vehicle may be operated to the
nearest point at which the safety of passengers is assured.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]

Sec. 392.15 Required and prohibited use of turn signals.

(a) Turns. Every commercial motor vehicle turn shall be signaled for
a distance of not less than 100 feet in advance of, and during, the
turning movement by flashing the turn signals at the front and the rear
of the commercial motor vehicle on the side toward which the turning
movement is made.
(b) Entry into traffic stream. Turn signals shall be flashed to
indicate the direction of commercial motor vehicle movement, prior to
and during entry of the commercial motor vehicle into the traffic stream
from a parked position.
(c) Lane changes. Turn signals shall be flashed to indicate the
direction of commercial motor vehicle movement continuously, for a
distance of not less than 100 feet in advance of, and during, the
turning movement of the commercial motor vehicle from one traffic lane
to another.
(d) Parking or disablement. Turn signals shall not be flashed on one
side only on parked or disabled commercial motor vehicles.
(e) Courtesy or ``do pass'' signals. Turn signals shall not be used
as courtesy or ``do pass'' signals to operators of motor vehicles
approaching from the rear.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]

Sec. 392.16 Use of seat belts.

A commercial motor vehicle which has a seat belt assembly installed
at the driver's seat shall not be driven unless the driver has properly
restrained himself/herself with the seat belt assembly.

[35 FR 10860, July 3, 1970, as amended at 60 FR 38747, July 28, 1995]
Sec. 392.18 [Reserved]

Subpart C--Stopped Commercial Motor Vehicles

Sec. 392.20 Unattended commercial motor vehicles; precautions.

No commercial motor vehicle shall be left unattended until the
parking brake has been securely set and all reasonable precautions have
been taken to prevent the movement of such commercial motor vehicle.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]
Sec. 392.21 [Reserved]

Sec. 392.22 Emergency signals; stopped commercial motor vehicles.

(a) Hazard warning signal flashers. Whenever a commercial motor
vehicle is stopped upon the traveled portion of a highway or the
shoulder of a highway for any cause other than necessary traffic stops,
the driver of the stopped commercial motor vehicle shall immediately
activate the vehicular hazard warning signal flashers and continue the
flashing until the driver places the warning devices required by
paragraph (b) of this section. The flashing signals shall be used during
the time the warning devices are picked up for storage

[[Page 672]]

before movement of the commercial motor vehicle. The flashing lights may
be used at other times while a commercial motor vehicle is stopped in
addition to, but not in lieu of, the warning devices required by
paragraph (b) of this section.
(b) Placement of warning devices--(1) General rule. Except as
provided in paragraph (b)(2) of this section, whenever a commercial
motor vehicle is stopped on the traveled portion of a highway or the
shoulder of a highway for any cause other than necessary traffic stops,
the driver shall as soon as possible, but in any event within 10
minutes, place the warning devices with which the commercial motor
vehicle is equipped in conformance with the requirements of Sec. 393.95
of this subchapter, in the following manner:
(i) One at the traffic side of the stopped commercial motor vehicle,
within 10 feet of the front or rear of the commercial motor vehicle;
(ii) One at a distance of approximately 100 feet from the stopped
commercial motor vehicle in the center of the traffic lane or shoulder
occupied by the commercial motor vehicle and in a direction toward
traffic approaching in that lane; and
(iii) One at a distance of approximately 100 feet from the stopped
commercial motor vehicle in the opposite direction from those placed in
accordance with paragraphs (b)(1) (i) and (ii) of this section, in the
center of the traffic lane or shoulder occupied by the commercial motor
vehicle.
(iv) The same type of required emergency warning device (see
Sec. 393.95(f) (1) and (2)) shall be placed at each of the three
locations specified in paragraph (b)(1) (i) through (iii) of this
section. If supplemental warning devices are also used (see
Sec. 393.95(f)(3)), a device of the same type shall be placed at each of
those locations.
(2) Special rules--(i) Fusees and liquid-burning flares. The driver
of a commercial motor vehicle equipped with only fusees or liquid-
burning flares shall place a lighted fusee or liquid-burning flare at
each of the locations specified in paragraph (b)(1) of this section.
There shall be at least one lighted fusee or liquid-burning flare at
each of the prescribed locations, as long as the commercial motor
vehicle is stopped. Before the stopped commercial motor vehicle is
moved, the driver shall extinguish and remove each fusee or liquid-
burning flare.
(ii) Daylight hours. Except as provided in paragraph (b)(2)(iii) of
this section, during the period lighted lamps are not required, three
bidirectional reflective triangles, or three lighted fusees or liquid-
burning flares shall be placed as specified in paragraph (b)(1) of this
section within a time of 10 minutes. In the event the driver elects to
use only fusees or liquid-burning flares in lieu of bidirectional
reflective triangles or red flags, the driver must ensure that at least
one fusee or liquid-burning flare remains lighted at each of the
prescribed locations as long as the commercial motor vehicle is stopped
or parked.
(iii) Business or residential districts. The placement of warning
devices is not required within the business or residential district of a
municipality, except during the time lighted lamps are required and when
street or highway lighting is insufficient to make a commercial motor
vehicle clearly discernable at a distance of 500 feet to persons on the
highway.
(iv) Hills, curves, and obstructions. If a commercial motor vehicle
is stopped within 500 feet of a curve, crest of a hill, or other
obstruction to view, the driver shall place the warning signal required
by paragraph (b)(1) of this section in the direction of the obstruction
to view a distance of 100 feet to 500 feet from the stopped commercial
motor vehicle so as to afford ample warning to other users of the
highway.
(v) Divided or one-way roads. If a commercial motor vehicle is
stopped upon the traveled portion or the shoulder of a divided or one-
way highway, the driver shall place the warning devices required by
paragraph (b)(1) of this section, one warning device at a distance of
200 feet and one warning device at a distance of 100 feet in a direction
toward approaching traffic in the center of the lane or shoulder
occupied by the commercial motor vehicle. He/she shall place one warning
device at the traffic side of the commercial motor vehicle within 10
feet of the rear of the commercial motor vehicle.

[[Page 673]]

(vi) Leaking, flammable material. If gasoline or any other flammable
liquid, or combustible liquid or gas seeps or leaks from a fuel
container or a commercial motor vehicle stopped upon a highway, no
emergency warning signal producing a flame shall be lighted or placed
except at such a distance from any such liquid or gas as will assure the
prevention of a fire or explosion.

[37 FR 17175, Aug. 25, 1972, as amended at 40 FR 10685, Mar. 7, 1975; 47
FR 47837, Oct. 28, 1982; 48 FR 57139, Dec. 23, 1983; 59 FR 34711, July
6, 1994; 60 FR 38747, July 28, 1995]

Sec. 392.24 Emergency signals; flame-producing.

No driver shall attach or permit any person to attach a lighted
fusee or other flame-producing emergency signal to any part of a
commercial motor vehicle.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]

Sec. 392.25 Emergency signals; dangerous cargoes.

No driver shall use or permit the use of any flame-producing
emergency signal for protecting any commercial motor vehicle
transporting Division 1.1, Division 1.2, or Division 1.3 explosives; any
cargo tank motor vehicle used for the transportation of any Class 3 or
Division 2.1, whether loaded or empty; or any commercial motor vehicle
using compressed gas as a motor fuel. In lieu thereof, emergency
reflective triangles, red electric lanterns, or red emergency reflectors
shall be used, the placement of which shall be in the same manner as
prescribed in Sec. 392.22(b).

[59 FR 63925, Dec. 12, 1994, as amended at 60 FR 38747, July 28, 1995]

Subpart D--Use of Lighted Lamps and Reflectors

Sec. 392.30--392.32 [Reserved]

Sec. 392.33 Obscured lamps or reflectors.

No commercial motor vehicle shall be driven when any of the required
lamps or reflectors are obscured by the tailboard, by any part of the
load, by dirt, or otherwise.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]

Subpart E--License Revocation; Duties of Driver

Sec. 392.40--392.41 [Reserved]

Sec. 392.42 Notification of license revocation.

A driver who receives a notice that his/her license, permit, or
privilege to operate a motor vehicle has been revoked, suspended, or
withdrawn shall notify the motor carrier that employs him/her of the
contents of the notice before the end of the business day following the
day he/she received it.

[35 FR 6466, Apr. 22, 1970]

Subpart F--Fueling Precautions

Sec. 392.50 Ignition of fuel; prevention.

No driver or any employee of a motor carrier shall:
(a) Fuel a commercial motor vehicle with the engine running, except
when it is necessary to run the engine to fuel the commercial motor
vehicle;
(b) Smoke or expose any open flame in the vicinity of a commercial
motor vehicle being fueled;
(c) Fuel a commercial motor vehicle unless the nozzle of the fuel
hose is continuously in contact with the intake pipe of the fuel tank;
(d) Permit, insofar as practicable, any other person to engage in
such activities as would be likely to result in fire or explosion.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]

Sec. 392.51 Reserve fuel.

No supply of fuel for the propulsion of said commercial motor
vehicle or for the operation of accessories shall be carried on any
commercial motor vehicle except in a properly mounted fuel tank or
tanks.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]

[[Page 674]]

Sec. 392.52 Buses; fueling.

No bus shall be fueled in a closed building with passengers aboard.
The fueling of buses when passengers are being carried shall be reduced
to the minimum number of times necessary during such transportation.

Subpart G--Prohibited Practices

Sec. 392.60 Unauthorized persons not to be transported.

(a) Unless specifically authorized in writing to do so by the motor
carrier under whose authority the commercial motor vehicle is being
operated, no driver shall transport any person or permit any person to
be transported on any commercial motor vehicle other than a bus. When
such authorization is issued, it shall state the name of the person to
be transported, the points where the transportation is to begin and end,
and the date upon which such authority expires. No written
authorization, however, shall be necessary for the transportation of:
(1) Employees or other persons assigned to a commercial motor
vehicle by a motor carrier;
(2) Any person transported when aid is being rendered in case of an
accident or other emergency;
(3) An attendant delegated to care for livestock.
(b) This section shall not apply to the operation of commercial
motor vehicles controlled and operated by any farmer and used in the
transportation of agricultural commodities or products thereof from his/
her farm or in the transportation of supplies to his/her farm.

[60 FR 38747, July 28, 1995]
Sec. 392.61--392.62 [Reserved]

Sec. 392.63 Towing or pushing loaded buses.

No disabled bus with passengers aboard shall be towed or pushed; nor
shall any person use or permit to be used a bus with passengers aboard
for the purpose of towing or pushing any disabled motor vehicle, except
in such circumstances where the hazard to passengers would be increased
by observance of the foregoing provisions of this section, and then only
in traveling to the nearest point where the safety of the passengers is
assured.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]

Sec. 392.64 Riding within closed commercial motor vehicles without proper exits.

No person shall ride within the closed body of any commercial motor
vehicle unless there are means on the inside thereof of obtaining exit.
Said means shall be in such condition as to permit ready operation by
the occupant.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]
Sec. 392.65 [Reserved]

Sec. 392.66 Carbon monoxide; use of commercial motor vehicle when detected.

(a) No person shall dispatch or drive any commercial motor vehicle
or permit any passengers thereon, when the following conditions are
known to exist, until such conditions have been remedied or repaired:
(1) Where an occupant has been affected by carbon monoxide;
(2) Where carbon monoxide has been detected in the interior of the
commercial motor vehicle;
(3) When a mechanical condition of the commercial motor vehicle is
discovered which would be likely to produce a hazard to the occupants by
reason of carbon monoxide.
(b) [Reserved]

[60 FR 38747, July 28, 1995]

Sec. 392.67 Heater, flame-producing; on commercial motor vehicle in motion.

No open flame heater used in the loading or unloading of the
commodity transported shall be in operation while the commercial motor
vehicle is in motion.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]

Sec. 392.68 Motive power not to be disengaged.

No commercial motor vehicle shall be driven with the source of
motive power disengaged from the driving

[[Page 675]]

wheels except when such disengagement is necessary to stop or to shift
gears.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]
Sec. 392.69 [Reserved]

Sec. 392.71 Radar detectors; use and/or possession.

(a) No driver shall use a radar detector in a commercial motor
vehicle, or operate a commercial motor vehicle that is equipped with or
contains any radar detector.
(b) No motor carrier shall require or permit a driver to violate
paragraph (a) of this section.

[58 FR 67375, Dec. 21, 1993]

PART 393--PARTS AND ACCESSORIES NECESSARY FOR SAFE OPERATION--Table of Contents

Subpart A--General

Sec.
393.1 Scope of the rules of this part.
393.3 Additional equipment and accessories.
393.5 Definitions.
393.7 Matter incorporated by reference.

Subpart B--Lighting Devices, Reflectors, and Electrical Equipment

393.9 Lamps operable.
393.11 Lighting devices and reflectors.
393.17 Lamps and reflectors--combinations in driveaway-towaway
operation.
393.19 Requirements for turn signaling systems.
393.20 Clearance lamps to indicate extreme width and height.
393.22 Combination of lighting devices and reflectors.
393.23 Lighting devices to be electric.
393.24 Requirements for head lamps and auxiliary road lighting lamps.
393.25 Requirements for lamps other than head lamps.
393.26 Requirements for reflectors.
393.27 Wiring specifications.
393.28 Wiring to be protected.
393.29 Grounds.
393.30 Battery installation.
393.31 Overload protective devices.
393.32 Detachable electrical connections.
393.33 Wiring, installation.

Subpart C--Brakes

393.40 Required brake systems.
393.41 Parking brake system.
393.42 Brakes required on all wheels.
393.43 Breakaway and emergency braking.
393.44 Front brake lines, protection.
393.45 Brake tubing and hose, adequacy.
393.46 Brake tubing and hose connections.
393.47 Brake lining.
393.48 Brakes to be operative.
393.49 Single valve to operate all brakes.
393.50 Reservoirs required.
393.51 Warning devices and gauges.
393.52 Brake performance.
393.53 Automatic brake adjusters and brake adjustment indicators.

Subpart D--Glazing and Window Construction

393.60 Glazing in specified openings.
393.61 Window construction.
393.62 Window obstructions.
393.63 Windows, markings.

Subpart E--Fuel Systems

393.65 All fuel systems.
393.67 Liquid fuel tanks.
393.69 Liquefied petroleum gas systems.

Subpart F--Coupling Devices and Towing Methods

393.70 Coupling devices and towing methods, except for driveaway-
towaway operations.
393.71 Coupling devices and towing methods, driveaway-towaway
operations.

Subpart G--Miscellaneous Parts and Accessories

393.75 Tires.
393.76 Sleeper berths.
393.77 Heaters.
393.78 Windshield wipers.
393.79 Defrosting device.
393.80 Rear-vision mirrors.
393.81 Horn.
393.82 Speedometer.
393.83 Exhausts system.
393.84 Floors.
393.85 [Reserved]
393.86 Rear end protection.
393.87 Flags on projecting loads.
393.88 Television receivers.
393.89 Buses, driveshaft protection.
393.90 Buses, standee line or bar.
393.91 Buses, aisle seats prohibited.
393.92 Buses, marking emergency doors.
393.93 Seats, seat belt assemblies, and seat belt assembly anchorages.
393.94 Vehicle interior noise levels.

Subpart H--Emergency Equipment

393.95 Emergency equipment on all power units.

[[Page 676]]

Subpart I--Protection Against Shifting or Falling Cargo

393.100 General rules for protection against shifting or falling cargo.
393.102 Securement systems.
393.104 Blocking and bracing.
393.106 Front-end structure.

Subpart J--Frames, Cab and Body Components, Wheels, Steering, and
Suspension Systems

393.201 Frames.
393.203 Cab and body components.
393.205 Wheels.
393.207 Suspension systems.
393.209 Steering wheel systems.

Authority: Sec. 1041(b) of Pub. L. 102-240, 105 Stat. 1914, 1993
(1991); 49 U.S.C. 31136 and 31502; 49 CFR 1.48.

Source: 33 FR 19735, Dec. 25, 1968, unless otherwise noted.

Subpart A--General

Source: 53 FR 49384, Dec. 7, 1988, unless otherwise noted.

Sec. 393.1 Scope of the rules of this part.

Every employer and employee shall comply and be conversant with the
requirements and specifications of this part. No employer shall operate
a commercial motor vehicle, or cause or permit it to be operated, unless
it is equipped in accordance with the requirements and specifications of
this part.

[54 FR 48617, Nov. 24, 1989]

Sec. 393.3 Additional equipment and accessories.

Nothing contained in this subchapter shall be construed to prohibit
the use of additional equipment and accessories, not inconsistent with
or prohibited by this subchapter, provided such equipment and
accessories do not decrease the safety of operation of the motor
vehicles on which they are used.

Sec. 393.5 Definitions.

As used in this part, the following words and terms are construed to
mean:
Agricultural commodity trailer. A trailer that is designed to
transport bulk agricultural commodities in off-road harvesting sites and
to a processing plant or storage location, as evidenced by skeletal
construction that accommodates harvest containers, a maximum length of
28 feet, and an arrangement of air control lines and reservoirs that
minimizes damage in field operations.
Brake. An energy conversion mechanism used to stop, or hold a
vehicle stationary.
Brake tubing/hose. Metallic brake tubing, nonmetallic brake tubing
and brake hose are conduits or lines used in a brake system to transmit
or contain the medium (fluid or vacuum) used to apply the motor
vehicle's brakes.
Bus. A vehicle designed to carry more than 15 passengers, including
the driver.
Chassis. The load-supporting frame in a truck or trailer, exclusive
of any appurtenances which might be added to accommodate cargo.
Clearance lamp. A lamp used on the front and the rear of a motor
vehicle to indicate its overall width and height.
Container chassis. A semitrailer of skeleton construction limited to
a bottom frame, one or more axles, specially built and fitted with
locking devices for the transport of cargo containers, so that when the
chassis and container are assembled, the units serve the same function
as an over the road trailer.
Converter dolly. A motor vehicle consisting of a chassis equipped
with one or more axles, a fifth wheel and/or equivalent mechanism, and
drawbar, the attachment of which converts a semitrailer to a full
trailer.
Curb weight. The weight of a motor vehicle with standard equipment,
maximum capacity of fuel, oil, and coolant; and, if so equipped, air
conditioning and additional weight of optional engine. Curb weight does
not include the driver.
Emergency brake system. A mechanism designed to stop a vehicle after
a single failure occurs in the service brake system of a part designed
to contain compressed air or brake fluid or vacuum (except failure of a
common valve, manifold brake fluid housing or brake chamber housing).
Fifth wheel. A device mounted on a truck tractor or similar towing
vehicle (e.g., converter dolly) which interfaces

[[Page 677]]

with and couples to the upper coupler assembly of a semitrailer.
Fuel tank fitting. Any removable device affixed to an opening in the
fuel tank with the exception of the filler cap.
Grommet. A device that serves as a support and protection to that
which passes through it.
Hazard warning signal. Lamps that flash simultaneously to the front
and rear, on both the right and left sides of a commercial motor
vehicle, to indicate to an approaching driver the presence of a
vehicular hazard.
Head lamps. Lamps used to provide general illumination ahead of a
motor vehicle.
Heater. Any device or assembly of devices or appliances used to heat
the interior of any motor vehicle. This includes a catalytic heater
which must meet the requirements of Sec. 177.834(1) of this title when
flammable liquid or gas is transported.
Heavy hauler trailer. A trailer with one or more of the following
characteristics:
(1) Its brake lines are designed to adapt to separation or extension
of the vehicle frame; or
(2) Its body consists only of a platform whose primary cargo-
carrying surface is not more than 40 inches above the ground in an
unloaded condition, except that it may include sides that are designed
to be easily removable and a permanent ``front-end structure'' as that
term is used in Section 393.106 of this title.
Identification lamps. Lamps used to identify certain types of
commercial motor vehicles.
Lamp. A device used to produce artificial light.
License plate lamp. A lamp used to illuminate the license plate on
the rear of a motor vehicle.
Parking brake system. A brake system used to hold a vehicle
stationary.
Play. Any free movement of components.
Pulpwood trailer. A trailer that is designed exclusively for
harvesting logs or pulpwood and constructed with a skeletal frame with
no means for attachment of a solid bed, body, or container, and with an
arrangement of air control lines and reservoirs designed to minimize
damage in off-road operations.
Rear extremity. The rearmost point on a vehicle when the vehicle's
cargo doors, tailgate or other permanent structure are positioned as
they normally are when the vehicle is being driven. Non-structural
protrusions such as tail lights, hinges, and latches are deleted from
the determination of the rearmost point.
Reflective material. A material conforming to Federal Specification
L-S-300, ``Sheeting and Tape, Reflective; Non-exposed Lens, Adhesive
Backing,'' (September 7, 1965) meeting the performance standard in
either Table 1 or Table 1A of SAE Standard J594f, ``Reflex Reflectors''
(January, 1977).
Reflex reflector. A device which is used on a vehicle to give an
indication to an approaching driver by reflected lighted from the lamps
on the approaching vehicle.
Saddle-mount. A device, designed and constructed as to be readily
demountable, used in driveaway-towaway operations to perform the
functions of a conventional fifth wheel:
(1) Upper-half. Upper-half of a ``saddle-mount'' means that part of
the device which is securely attached to the towed vehicle and maintains
a fixed position relative thereto, but does not include the ``king-
pin;''
(2) Lower-half. Lower-half of a ``saddle-mount'' means that part of
the device which is securely attached to the towing vehicle and
maintains a fixed position relative thereto but does not include the
``king-pin;'' and
(3) King-pin. King-pin means that device which is used to connect
the ``upper-half'' to the ``lower-half'' in such manner as to permit
relative movement in a horizontal plane between the towed and towing
vehicles.
Service brake system. A primary brake system used for slowing and
stopping a vehicle.
Side extremities. The outermost point on the sides of the vehicle.
Nonstructural protrusions such as tail lights, hinges, and latches are
excluded from the determination of the outermost point.
Side marker lamp (Intermediate). A lamp shown to the side of a
trailer to

[[Page 678]]

indicate the approximate middle of a trailer 30 feet or more in length.
Side marker lamps. Lamps used on each side of a trailer to indicate
its overall length.
Steering wheel lash. The condition in which the steering wheel may
be turned through some part of a revolution without associated movement
of the front wheels.
Stop lamps. Lamps shown to the rear of a motor vehicle to indicate
that the service brake system is engaged.
Tail lamps. Lamps used to designate the rear of a motor vehicle.
Turn signals. Lamps used to indicate a change in direction by
emitting a flashing light on the side of a motor vehicle towards which a
turn will be made.
Upper coupler assembly. A structure consisting of an upper coupler
plate, king-pin and supporting framework which interfaces with and
couples to a fifth wheel.
Upper coupler plate. A plate structure through which the king-pin
neck and collar extend. The bottom surface of the plate contacts the
fifth wheel when coupled.

Sec. 393.7 Matter incorporated by reference.

(a) Incorporation by reference. Part 393 includes references to
certain matter or materials. The text of the materials is not included
in the regulations contained in part 393. The materials are hereby made
a part of the regulations in part 393. The Director of the Federal
Register has approved the materials incorporated by reference in
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. For materials subject
to change, only the specific version approved by the Director of the
Federal Register and specified in the regulation are incorporated.
Material is incorporated as it exists on the date of the approval and a
notice of any change in these materials will be published in the Federal
Register.
(b) Availability. The materials incorporated by reference are
available as follows:
(1) Standards of the Underwriters Laboratories, Inc. Information and
copies may be obtained by writing to: Underwriters Laboratories, Inc.,
333 Pfingsten Road, Northbrook, Illinois 60062.
(2) Specifications of the American Society for Testing and
Materials. Information and copies may be obtained by writing to:
American Society for Testing and Materials, 1916 Race Street,
Philadelphia, Pennsylvania 19103.
(3) Specifications of the National Association of Chain
Manufacturers. Information and copies may be obtained by writing to:
National Association of Chain Manufacturers, P.O. Box 3143, York,
Pennsylvania 17402-0143.
(4) Specifications of the Web Sling and Tiedown Association.
Information and copies may be obtained by writing to: Web Sling and
Tiedown Association, Inc., 710 East Ogden Avenue, suite 113, Naperville,
Illinois 60563.
(5) Manuals of the Wire Rope Technical Board. Information and copies
may be obtained by writing to: Wire Rope Technical Committee, P.O. Box
849, Stevensville, Maryland 21666.
(6) Standards of the Cordage Institute. Information and copies may
be obtained by writing to: Cordage Institute, 350 Lincoln Street, No.
115, Hingham, Massachusetts 02043.
(7)-(9) [Reserved]
(10) All of the materials incorporated by reference are available
for inspection at:
(i) The Department of Transportation Library, 400 Seventh Street,
SW., Washington, DC 20590 in room 2200. These documents are also
available for inspection and copying as provided in 49 CFR part 7,
appendix D; and
(ii) The Office of the Federal Register, 800 North Capitol Street,
NW., suite 700, Washington, DC.

[59 FR 34712, July 6, 1994, as amended at 59 FR 34718, July 6, 1994]

Subpart B--Lighting Devices, Reflectors, and Electrical Equipment

Sec. 393.9 Lamps operable.

All lamps required by this subpart shall be capable of being
operated at all times.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[47 FR 47837, Oct. 28, 1982]

[[Page 679]]

Sec. 393.11 Lighting devices and reflectors.

The following Table 1 sets forth the required color, position, and
required lighting devices by type of commercial motor vehicle. Diagrams
illustrating the locations of lighting devices and reflectors, by type
and size of commercial motor vehicle, are shown immediately following
Table 1. All lighting devices on motor vehicles placed in operation
after March 7, 1989, must meet the requirements of 49 CFR 571.108 in
effect at the time of manufacture of the vehicle. Motor vehicles placed
in operation on or before March 7, 1989, must meet either the
requirements of this subchapter or part 571 of this title in effect at
the time of manufacture.

[[Page 680]]

Table 1.--Required Commercial Vehicle Lighting Equipment
--------------------------------------------------------------------------------------------------------------------------------------------------------
Height above road
surface in inches
Item on the vehicle Quantity Color Location Position measured from the Required lighting
center of the lamp devices/vehicles
at curb weight
--------------------------------------------------------------------------------------------------------------------------------------------------------
Headlamps....................... 2 At Least...... White......... Front.............. On the front at Not less than 22 A, B, C
the same height, nor more than 54.
an equal number
at each side of
the vertical
centerline as far
apart as
practicable.
Turn Signal (Front) See 2............... Amber......... At or Near Front... One on each side Not less than 15 A, B, C
Footnotes #2 & 12. of the vertical nor more than 83.
centerline at the
same height and
as far apart as
practicable.
Identification Lamp (Front) 3............... Amber......... Front.............. Mounted on the All three on same B, C
Footnote #1. vertical level as close as
centerline of the practicable to
vehicle or the the top of the
vertical vehicle with lamp
centerline of the centers spaced
cab where not less than 6
different from inches or more
the centerline of than 12 inches
the vehicle. apart.
Tail Lamp See Footnotes #5 & 11. 2............... Red........... Rear............... One lamp each side Both on the same A, B, C, D, E, F, G, H
of the vertical level between 15
centerline at the and 72.
same height and
as far apart as
practicable.
Stop Lamp See Footnotes #5 & 13. 2............... Red........... Rear............... One lamp each side Both on the same A, B, C, D, E, F, G
of the vertical level between 15
centerline at the and 72.
same height and
as far apart as
practicable.
Clearance Lamps See Footnotes 2............... Amber......... One on each side of One on each side Both on same level B, C, D, G, H
#9, 10, & 15. front. of the vertical as high as
centerline to practicable.
indicate width.
2............... Red........... One on each side of One on each side Both on same level B, D, G, H
rear. of the vertical as high as
centerline to practicable.
indicate overall
width.
Side Marker Lamp, Intermediate.. 2............... Amber......... One on each side... At or near Not less than 15.. A, B, D, F, G
midpoint between
front and rear
side marker
lamps, if over 30
in length.
Reflex Reflector Intermediate 2............... Amber......... One on each side... At or near Between 15 and 60. A, B, D, F, G
(Side). midpoint between
front and rear
side reflectors
if over 30 in
length.
Reflex Reflector (Rear) See 2............... Red........... Rear............... One on each side Both on same A, B, C, D, E, F, G
Footnotes #5, 6, & 8. of vertical level, between 15
centerline, as and 60.
far apart as
practicable.
Reflex Reflector (Rear Side) 2............... Red........... One on each side As far to the rear Both on same A, B, D, F, G
Footnote #4. (rear). as practicable. level, between 15
and 60.
Reflex Reflector (Front Side)... 2............... Amber......... One on each side As far to the Between 15 and 60. A, B, C, D, F, G
(front). front as
practicable.
License Plate Lamp Rear See 1............... White......... At rear license To illuminate the No requirements... A, B, C, D, F, G
Footnote #11. plate. license plate
from the top or
sides.
Side Marker Lamp (Front)........ 2............... Amber......... One on each side... As far to the Not less than 15.. A, B, C, D, F
front as
practicable.
Side Marker Lamp (Rear) See 2............... Red........... One on each side... As far to the rear Not less than 15 A, B, D, F, G
Footnotes #4 & 8. as practicable. and on the rear
of trailer, not
more than 60.
Turn Signal (Rear) See Footnotes 2............... Amber or Red.. Rear............... One lamp on each Both on the same A, B, C, D, E, F, G
#5 & 12. side of the level, between 15
vertical and 83.
centerline as far
apart as
practicable.

[[Page 681]]

Identification Lamp (Rear) See 3............... Red........... Rear............... One as close as All three on same B, D, G
Footnotes # 3, 7 & 15. practicable to level as close as
vertical practicable to
centerline. One the top of the
on each side with vehicle.
lamp centers
spaced not less
than 6" or more
than 12" apart.
Vehicular Hazard Warning 2............... Amber......... Front.............. One lamp on each Both on same A, B, C, D, E, F, G
Flashing Lamps See Footnote # side of vertical level, between 15
12. centerline as far and 83.
apart as
practicable.
2............... Amber or Red.. Rear............... ................ ................
Backup Lamp See Footnote # 14... 1............... White......... Rear............... Rear.............. No requirement.... A, B, C
Parking Lamp.................... 2............... Amber or white Front.............. One lamp on each Both on same A
side of vertical level, between 15
centerline as far and 72.
apart as
practicable.
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Lighting Required per Type of Commercial Vehicle as Shown Last Column of Table.

A. Small buses and trucks less than 80 inches in overall width.
B. Buses and trucks 80 inches or more in overall width.
C. Truck Tractors.
D. Large semitrailers and full trailers 80 inches or more in overall width except converter dollies.
E. Converter dolly.
F. Small semitrailers and full trailers less than 80 inches in overall width.
G. Pole Trailers.
H. Projecting loads.
Lamps and reflectors may be combined as permitted by Paragraphs 393.22 and S4.4 of 49 CFR 571.108, Equipment combinations.

[[Page 682]]

Footnote--1
Identification lamps may be mounted on the vertical centerline of
the cab where different from the centerline of the vehicle, except where
the cab is not more than 42 inches wide at the front roofline, then a
single lamp at the center of the cab shall be deemed to comply with the
requirements for identification lamps. No part of the identification
lamps or their mountings may extend below the top of the vehicle
windshield.

Footnote--2
Unless the turn signals on the front are so constructed (double-
faced) and located as to be visible to passing drivers, two turn signals
are required on the rear of the truck tractor, one at each side as far
apart as practicable.

Footnote--3
The identification lamps need not be visible or lighted if obscured
by a vehicle in the same combination.

Footnote--4
Any semitrailer or full trailer vehicles manufactured on and after
March 1, 1979, shall be equipped with rear side-marker lamps at a height
of not less than 15 inches (381 mm) nor more than 60 inches (1524 mm)
above the road surface, as measured from the center of the lamp on the
vehicle at curb weight. The rear side marker lamps shall be visible in
the vehicle's rearview mirrors when the trailer is tracking straight.

Footnote--5
For purposes of these regulations, each converter dolly shall be
equipped with one stop lamp, one tail lamp, and two reflectors on the
rear at each side when towed singly by another vehicle. Each converter
dolly shall be equipped with turn signals at the rear if the converter
dolly obscures the turn signals at the rear of the towing vehicle when
towed singly by another vehicle.

Footnote--6
Pole trailers will have two reflectors, one on each side, placed to
indicate extreme width of the trailer.

Footnote--7
Pole trailers may have three identification lamps mounted on the
vertical centerline of the rear of the cab of the truck tractor drawing
the pole trailer, and higher than the load being transported, in lieu of
the three identification lamps mounted on the rear vertical centerline
of the trailer.

Footnote--8
Pole trailers shall have on the rearmost support for the load, one
combination marker lamp or two single lamps showing amber to the front
and red to the rear and side, mounted on each side to indicate maximum
width of the pole trailer; and one red reflector on each side of the
rearmost support for the load.

Footnote--9
Any motor vehicle transporting a load which extends more than 4
inches beyond the width of the motor vehicle, or having projections
beyond the rear of such vehicles, shall be equipped with the following
lamps in addition to other required lamps, have the loads marked
Loads projecting more than 4 inches beyond sides of motor vehicles:
(1) The foremost edge of the projecting load at its outermost
extremity shall be marked with an amber lamp visible from the front and
both sides.
(2) The rearmost edge of the projecting load at its outermost
extremity shall be marked with a red lamp visible from the rear and
side.
(3) If any portion of the projecting load extends beyond both the
foremost and rearmost edge, it shall be marked with an amber lamp
visible from the front, both sides, and rear.
(4) If the protecting load does not measure more than 3 feet from
front to rear, it shall be marked with an amber lamp visible from the
front, both sides, and rear, except that if the projection is located at
or near the rear it shall be marked by a red lamp visible from front,
side, and rear.

Footnote--10
Projections beyond rear of motor vehicles. Motor vehicles
transporting loads which extend more than 4 feet beyond the rear of the
motor vehicle, or which have these tailboards or tailgates extending
more than 4 feet beyond the body, shall have projections marked as
follows:
(1) On each side of the projecting load, one red lamp, visible from
the side, located so as to indicate maximum overhang.
(2) On the rear of the projecting load, two red lamps, visible from
the rear, one at each side; and two red reflectors visible from the
rear, one at each side, located so as to indicate maximum width.

Footnote--11
To be illuminated when tractor headlamps are illuminated.

Footnote--12
Every bus, truck, and truck tractor shall be equipped with a
signaling system that, in addition to signaling turning movements, shall
have a switch or combination of switches that will cause the two front
turn signals and the two rear signals to flash simultaneously as a
vehicular traffic signal warning, required by Sec. 392-22(a). The system
shall be capable of flashing simultaneously with the ignition of the
vehicle on or off.

Footnote--13
To be actuated upon application of service brakes.

Footnote--14

[[Page 683]]

Backup lamp required to operate when bus, truck, or truck tractor is
in reverse.

Footnote--15
When the rear identification lamps are mounted at the extreme height
of a vehicle, rear clearance lamps need not meet the requirement that
they be located as close as practicable to the top of the vehicle.

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Legend (Used in Illustrations)

1. Headlamps (2)-White (4 optional)
2. Side-marker lamps. Front (2)-Amber
3. Side reflectors. Front (2)-Amber
4. Turn-signal lamps. Front (2)-Amber
4a. Turn-signal lamps. Front (2)-Amber (Optional location)
5. Identification lamps. Front (3)-Amber
5a. Identification lamps. Front (3)-Amber (Optional location)
6. Clearance lamps. Front (2)-Amber
7. Side-marker lamps. Rear (2)-Red
8. Side-reflectors. Rear (2)-Red
9. Identification lamps. Rear (3)-Red
10. Clearance lamps. Rear (2)-Red
11. Reflectors Rear (2)-Red
12. Stop lamps. Rear (2)-Red
13. License plate lamp. Rear (1)-White
14. Backup lamp. Rear (1)-White (location optional provided optional
requirements are met)
15. Side-marker lamps. Intermediate (2)-Amber (if vehicle is 30' or more
overall length)
16. Side reflectors. Intermediate (2)-Amber (if vehicle is 30' or more
overall length)
17. Turn signal lamps. Rear (2)-Amber or Red
18. Tail lamps. Rear (2)-Red
19. Parking lamps. Front 2-Amber or White

[53 FR 49385, Dec. 7, 1988]

Sec. 393.17 Lamps and reflectors--combinations in driveaway-towaway operation.

A combination of motor vehicles engaged in driveaway-towaway
operation must be equipped with operative lamps and reflectors
conforming to the rules in this section.
(a) The towing vehicle must be equipped as follows:
(1) On the front, there must be at least two headlamps, an equal
number at each side, two turn signals, one at each side, and two
clearance lamps, one at each side.
(2) On each side, there must be at least one side-marker lamp,
located near the front of the vehicle.
(3) On the rear, there must be at least two tail lamps, one at each
side, and two stop lamps, one at each side.
(b) Except as provided in paragraph (c) of this section, the
rearmost towed vehicle of the combination (including the towed vehicle
or a tow-bar combination, the towed vehicle of a single saddle-mount
combination, and the rearmost towed vehicle of a double or triple
saddle-mount combination) or, in the case of a vehicle full-mounted on a
saddle-mount vehicle, either the full-mounted vehicle or the rearmost
saddle-mounted vehicle must be equipped as follows:
(1) On each side, there must be at least one side-marker lamp,
located near the rear of the vehicle.
(2) On the rear, there must be at least two tail lamps, two stop
lamps, two turn signals, two clearance lamps, and two reflectors, one of
each type at each side. In addition, if any vehicle in the combination
is 80 inches or more in overall width, there must be three
identification lamps on the rear.
(c) If the towed vehicle in a combination is a mobile structure
trailer, it must be equipped in accordance with the following lighting
devices. For the purposes of this part, mobile structure trailer means a
trailer that has a roof and walls, is at least 10 feet wide, and can be
used off road for dwelling or commercial purposes.
(1) When the vehicle is operated in accordance with the terms of a
special permit prohibiting operation during the times when lighted lamps
are required under Sec. 392.30, it must have on the rear--

[[Page 694]]

(i) Two stop lamps, one on each side of the vertical centerline, at
the same height, and as far apart as practicable;
(ii) Two tail lamps, one on each side of the vertical centerline, at
the same height, and as far apart as practicable;
(iii) Two red reflex reflectors, one on each side of the vertical
centerline, at the same height, and as far apart as practicable; and
(iv) Two turn signal lamps, one on each side of the vertical
centerline, at the same height, and as far apart as practicable.
(2) At all other times, the vehicle must be equipped as specified in
paragraph (b) of this section.
(d) An intermediate towed vehicle in a combination consisting of
more than two vehicles (including the first saddle-mounted vehicle of a
double saddle-mount combination and the first and second saddle-mount
vehicles of a triple saddle-mount combination) must have one side-marker
lamp on each side, located near the rear of the vehicle.

[[Page 695]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.026

[[Page 696]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.027

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[40 FR 36126, Aug. 19, 1975, as amended at 47 FR 47837, Oct. 28, 1982]

Sec. 393.19 Requirements for turn signaling systems.

(a) Every bus, truck, or truck tractor shall be equipped with a
signaling system that in addition to signaling turning movements shall
have a switch or combination of switches that will cause the two front
turn signals and the two rear turn signals to flash simultaneously as a
vehicular traffic hazard warning as required by Sec. 392.22 with the
ignition on or off.
(b) Every semitrailer and full trailer shall be equipped so as to
have the two rear turn signals to flash simultaneously with the two
front turn signals of the towing vehicle as a vehicular traffic hazard
warning as required by Sec. 392.22(a).

[53 FR 49397, Dec. 7, 1988]

Sec. 393.20 Clearance lamps to indicate extreme width and height.

Clearance lamps shall be mounted so as to indicate the extreme width
of the motor vehicle (not including mirrors) and as near the top thereof
as practicable: Provided, That when rear identification lamps are
mounted at the extreme height of the vehicle, rear clearance lamps may
be mounted at optional height: And provided further, That when mounting
of front clearance lamps at the highest point of a trailer results in
such lamps failing to mark the extreme width of the trailer, such lamps
may be mounted at optional height but must indicate the extreme width of
the trailer. Clearance lamps on truck tractors shall be so located as to
indicate the extreme width of the truck tractor cab.

[[Page 697]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.028

Diagram to illustrate Sec. 393.20 for mounting of front clearance lamps
on truck tractors with sleeper cabs.)
[GRAPHIC] [TIFF OMITTED] TC01AP91.029

[33 FR 19735, Dec. 25, 1968, as amended at 34 FR 6851, Apr. 24, 1969]

Sec. 393.22 Combination of lighting devices and reflectors.

(a) Permitted combinations. Except as provided in paragraph (b) of
this section, two or more lighting devices and reflectors (whether or
not required by the rules in this part) may be combined optically if--
(1) Each required lighting device and reflector conforms to the
applicable rules in this part; and
(2) Neither the mounting nor the use of a nonrequired lighting
device or reflector impairs the effectiveness of a required lighting
device or reflector or causes that device or reflector to be
inconsistent with the applicable rules in this part.
(b) Prohibited combinations. (1) A turn signal lamp must not be
combined optically with either a head lamp or other lighting device or
combination of lighting devices that produces a greater intensity of
light than the turn signal lamp.
(2) A turn signal lamp must not be combined optically with a stop
lamp unless the stop lamp function is always deactivated when the turn
signal function is activated.

[[Page 698]]

(3) A clearance lamp must not be combined optically with a tail lamp
or identification lamp.

[39 FR 26908, July 24, 1974]

Sec. 393.23 Lighting devices to be electric.

Lighting devices shall be electric, except that red liquid-burning
lanterns may be used on the end of loads in the nature of poles, pipes,
and ladders projecting to the rear of the motor vehicle.

Sec. 393.24 Requirements for head lamps and auxiliary road lighting lamps.

(a) Mounting. Head lamps and auxiliary road lighting lamps shall be
mounted so that the beams are readily adjustable, both vertically and
horizontally, and the mounting shall be such that the aim is not readily
disturbed by ordinary conditions of service.
(b) Head lamps required. Every bus, truck, and truck tractor shall
be equipped with a headlighting system composed of at least two head
lamps, not including fog or other auxiliary lamps, with an equal number
on each side of the vehicle. The headlighting system shall provide an
upper and lower distribution of light, selectable at the driver's will.
(c) Fog, adverse-weather, and auxiliary road-lighting lamps. For the
purposes of this section, fog, adverse-weather, and auxiliary road
lighting lamps, when installed, are considered to be a part of the
headlighting system. Such lamps may be used in lieu of head lamps under
conditions making their use advisable if there be at least one such lamp
conforming to the appropriate SAE Standard ^{1 for such lamps on each
side of the vehicle.
---------------------------------------------------------------------------

^{1 Wherever reference is made in these regulations to SAE
Standards or SAE Recommended Practices, they shall be:
(a) As found in the 1985 edition of the SAE Handbook with respect to
parts and accessories other than lighting devices and reflectors.
(b) When reference is made in these regulations to SAE Standards or
SAE Recommended Practices, they shall be as found in the 1985 edition of
the SAE Handbook:
(1) With respect to parts and accessories other than lighting
devices and reflectors:
(2) Lighting devices and reflectors on motor vehicles manufactured
on and after March 7, 1990, shall conform to FMVSS 571.108 (49 CFR
571.108) in effect at the time of manufacture of the vehicle. Should a
conflict arise between FMVSS 571.108 and a SAE Standard, FMVSS 571.108
will prevail.
---------------------------------------------------------------------------

(d) Aiming and intensity. Head lamps shall be constructed and
installed so as to provide adequate and reliable illumination and shall
conform to the appropriate specification set forth in the SAE
Standards^{1 for ``Electric Head Lamps for Motor Vehicles'' or
``Sealed-Beam Head Lamp Units for Motor Vehicles.''

[33 FR 19735, Dec. 25, 1968, as amended at 41 FR 53031, Dec. 3, 1976; 53
FR 49397, Dec. 7, 1988]

Sec. 393.25 Requirements for lamps other than head lamps.

(a) Mounting. All lamps shall be permanently and securely mounted in
workmanlike manner on a permanent part of the motor vehicle, except that
temporary lamps on motor vehicles being transported in driveaway-towaway
operations and temporary electric lamps on projecting loads need not be
permanently mounted nor mounted on a permanent part of the vehicle. The
requirement for three identification lamps on the centerline of a
vehicle will be met as to location by one lamp on the centerline, with
the other two at right and left. All temporary lamps must be firmly
attached.
(b) Visibility. All required exterior lamps shall be so mounted as
to be capable of being seen at all distances between 500 feet and 50
feet under clear atmospheric conditions during the time lamps are
required to be lighted. The light from front clearance and front
identification lamps shall be visible to the front, that from sidemarker
lamps to the side, that from rear clearance, rear identification, and
tail lamps to the rear, and that from projecting loadmarker lamps from
those directions required by Sec. 393.11. This shall not be construed to
apply to lamps on one unit which are obscured by another unit of a
combination of vehicles.
(c) Specifications. All required lamps except those already
installed on vehicles tendered for transportation in

[[Page 699]]

driveaway and towaway operations shall conform to appropriate
requirements of the SAE Standards and/or Recommended Practices \1\ as
indicated below, except that the minimum required marking of lamps
conforming to the 1985 requirements shall be as specified in paragraph
(d) of this section. Projecting load marker lamps shall conform to the
requirements for clearance, side-marker, and identification lamps. Turn
signals shall conform to the requirements for class A, Type I turn
signals, provided.
---------------------------------------------------------------------------

\1\ See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------

(1) Lamps on vehicles made before July 1, 1961, excepting
replacement lamps as specified in paragraph (c)(2) of this section,
shall conform to the 1952 requirements.
(2) Lamps on vehicles made on and after July 1, 1961, and
replacement lamps installed on and after December 31, 1961, shall
conform to the 1985 requirements.
(3) Lamps temporarily attached to vehicles transported in driveaway
and towaway operations on and after December 31, 1961, shall conform to
the 1985 requirements.
(d) Certification and markings. All lamps required to conform to the
requirements of the SAE Standards \1\ shall be certified by the
manufacturer or supplier that they do so conform, by markings indicated
below. The markings in each case shall be visible when the lamp is in
place on the vehicle.
---------------------------------------------------------------------------

\1\ See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------

(1) Stop lamps shall be marked with the manufacturer's or supplier's
name or trade name and shall be marked ``SAE-S''.
(2) Turn signal units shall be marked with the manufacturer's or
supplier's name or trade name and shall be marked ``SAE-AI'' or ``SAE-
I''.
(3) Tail lamps shall be marked with the manufacturer's or supplier's
name or trade name and shall be marked ``SAE-T''.
(4) Clearance, side marker, identification, and projecting load-
marker lamps, except combination lamps, shall be marked with the
manufacturer's or supplier's name or trade name and shall be marked
``SAE'' or ``SAE-P''.
(5) Combination lamps shall be marked with the manufacturer's or
supplier's name or trade name and shall be marked ``SAE'' followed by
the appropriate letters indicating the individual lamps combined. The
letter ``A'', as specified in Sec. 393.26(c), may be included to certify
that a reflector in the combination conforms to the requirements
appropriate to such marking. If the letter ``I'' follows the letter
``A'' immediately the two letters shall be deemed to refer to a turn
signal unit, as specified in paragraph (d)(2) of this section.
Combination clearance and side marker lamps may be marked ``SAE-PC''.
(e) Lighting devices to be steady-burning. All exterior lighting
devices shall be of the steady-burning type except turn signals on any
vehicle, stop lamps when used as turn signals, warning lamps on school
buses when operating as such, and warning lamps on emergency and service
vehicles authorized by State or local authorities, and except that lamps
combined into the same shell or housing with any turn signal may be
turned off by the same switch that turns the signal on for flashing and
turned on again when the turn signal as such is turned off. This
paragraph shall not be construed to prohibit the use of vehicular hazard
warning signal flashers as required by Sec. 392.22 or permitted by
Sec. 392.18.
(f) Stop lamp operation. All stop lamps on each motor vehicle or
combination of motor vehicles shall be actuated upon application of any
of the service brakes, except that such actuation is not required upon
activation of the emergency feature of trailer brakes by means of either
manual or automatic control on the towing vehicle, and except that stop
lamps on a towing vehicle need not be actuated when service brakes are
applied to the towed vehicles or vehicles only, and except that no stop
lamp need be actuated as such when it is in use as a turn signal or when
it is turned off by the turn signal switch as provided in paragraph (e)
of this section.

[33 FR 19735, Dec. 25, 1968, as amended at 48 FR 57139, Dec. 28, 1983;
53 FR 49397, Dec. 7, 1988; 61 FR 1843, Jan. 24, 1996]

[[Page 700]]

Sec. 393.26 Requirements for reflectors.

(a) Mounting. All required reflectors shall be mounted upon the
motor vehicle at a height not less than 15 inches nor more than 60
inches above the ground on which the motor vehicle stands, except that
reflectors shall be mounted as high as practicable on motor vehicles
which are so constructed as to make compliance with the 15-inch
requirement impractical. They shall be so installed as to perform their
function adequately and reliably, and except for temporary reflectors
required for vehicles in driveaway-towaway operations, or on projecting
loads, all reflectors shall be permanently and securely mounted in
workmanlike manner so as to provide the maximum of stability and the
minimum likelihood of damage. Required reflectors otherwise properly
mounted may be securely installed on flexible strapping or belting
provided that under conditions of normal operation they reflect light in
the required directions. Required temporary reflectors mounted on motor
vehicles during the time they are in transit in any driveaway-towaway
operation must be firmly attached.
(b) Specifications. All required reflectors except those installed
on vehicles tendered for transportation in driveaway and towaway
operations shall comply with FMVSS 571.108 (49 CFR 571.108) in effect at
the time the vehicle was manufactured or the current FMVSS 571.108
requirements.
(c) Certification and markings. All reflectors required to conform
to the specifications in paragraph (b) shall be certified by the
manufacturer or supplier that they do so conform, by marking with the
manufacturer's or supplier's name or trade name and the letters ``SAE-
A''. The marking in each case shall be visible when the reflector is in
place on the vehicle.
(d) Retroreflective surfaces. Retroreflective surfaces other than
required reflectors may be used, provided:
(1) Designs do not resemble traffic control signs, lights, or
devices, except that straight edge striping resembling a barricade
pattern may be used.
(2) Designs do not tend to distort the length and/or width of the
motor vehicle.
(3) Such surfaces shall be at least 3 inches from any required lamp
or reflector unless of the same color as such lamp or reflector.
(4) No red color shall be used on the front of any motor vehicle,
except for display of markings or placards required by Sec. 177.823 of
this title.
(5) Retroreflective license plates required by State or local
authorities may be used.

[33 FR 19735, Dec. 25, 1968, as amended at 35 FR 3167, Feb. 19, 1970; 53
FR 49397, Dec. 7, 1988]

Sec. 393.27 Wiring specifications.

(a) Wiring for both low voltage (tension) and high voltage (tension)
circuits shall be constructed and installed so as to meet design
requirements. Wiring shall meet or exceed, both mechanically and
electrically, the following SAE Standards as found in the 1985 edition
of the SAE Handbook:
(1) Commercial vehicle engine ignition systems-SAE J557-High Tension
Ignition Cable.
(2) Commercial vehicle battery cable-SAE J1127-Jan 80-Battery Cable.
(3) Other commercial vehicle wiring-SAE J1128-Low Tension Primary
Cable.
(b) The source of power and the electrical wiring shall be of such
size and characteristics as to provide the necessary voltage as the
design requires to comply with FMVSS 571.108.
(c) Lamps shall be properly grounded.

Note: This shall not prohibit the use of the frame or other metal
parts of a motor vehicle as a return ground system provided truck-
tractor semitrailer/full trailer combinations are electrically
connected.

[53 FR 49397, Dec. 7, 1988]

Sec. 393.28 Wiring to be protected.

(a) The wiring shall--
(1) Be so installed that connections are protected from weather,
abrasion, road splash, grease, oil, fuel and chafing;
(2) Be grouped together, when possible, and protected by
nonconductive tape, braid, or other covering capable of withstanding
severe abrasion or shall be protected by being enclosed in a sheath or
tube;

[[Page 701]]

(3) Be properly supported in a manner to prevent chafing;
(4) Not be so located as to be likely to be charred, overheated, or
enmeshed in moving parts;
(5) Not have terminals or splices located above the fuel tank except
for the fuel sender wiring and terminal; and
(6) Be protected when passing through holes in metal by a grommet,
or other means, or the wiring shall be encased in a protective covering.
(b) The complete wiring system including lamps, junction boxes,
receptacle boxes, conduit and fittings must be weather resistant.
(c) Harness connections shall be accomplished by a mechanical means.

[53 FR 49397, Dec. 7, 1988]

Sec. 393.29 Grounds.

The battery ground and trailer return ground connections on a
grounded system shall be readily accessible. The contact surfaces of
electrical connections shall be clean and free of oxide, paint, or other
nonconductive coating.

Sec. 393.30 Battery installation.

Every storage battery on every vehicle, unless located in the engine
compartment, shall be covered by a fixed part of the motor vehicle or
protected by a removable cover or enclosure. Removable covers or
enclosures shall be substantial and shall be securely latched or
fastened. The storage battery compartment and adjacent metal parts which
might corrode by reason of battery leakage shall be painted or coated
with an acid-resisting paint or coating and shall have openings to
provide ample battery ventilation and drainage. Wherever the cable to
the starting motor passes through a metal compartment, the cable shall
be protected against grounding by an acid and waterproof insulating
bushing. Wherever a battery and a fuel tank are both placed under the
driver's seat, they shall be partitioned from each other, and each
compartment shall be provided with an independent cover, ventilation,
and drainage.

Sec. 393.31 Overload protective devices.

(a) The current to all low tension circuits shall pass through
overload protective devices except that this requirement shall not be
applicable to battery-to-starting motor or battery-to-generator
circuits, ignition and engine control circuits, horn circuits,
electrically-operated fuel pump circuits, or electric brake circuits.
(b) Trucks, truck-tractors, and buses meeting the definition of a
commercial motor vehicle and manufactured after June 30, 1953 shall have
protective devices for electrical circuits arranged so that:
(1) The headlamp circuit or circuits shall not be affected by a
short circuit in any other lighting circuits on the motor vehicle; or
(2) The protective device shall be an automatic reset overload
circuit breaker if the headlight circuit is protected in common with
other circuits.

[33 FR 19735, Dec. 25, 1968, as amended at 53 FR 49397, Dec. 7, 1988]

Sec. 393.32 Detachable electrical connections.

Electrical wiring between towing and towed vehicles shall be
contained in a cable or cables or entirely within another substantially
constructed protective device. All such electrical wiring shall be
mechanically and electrically adequate and free of short or open
circuits. Suitable provision shall be made in every such detachable
connection to afford reasonable assurance against connection in an
incorrect manner or accidental disconnection. Detachable connections
made by twisting together wires from the towed and towing units are
prohibited. Precaution shall be taken to provide sufficient slack in the
connecting wire or cable to accommodate without damage all normal
motions of the parts to which they are attached.

Sec. 393.33 Wiring, installation.

Electrical wiring shall be systematically arranged and installed in
a workmanlike manner. All detachable wiring, except temporary wiring
connections for driveaway-towaway operations, shall be attached to posts
or terminals by means of suitable cable

[[Page 702]]

terminals which conform to the SAE Standard ^{1 for ``Cable
Terminals'' or by cable terminals which are mechanically and
electrically at least equal to such terminals. The number of wires
attached to any post shall be limited to the number which such post was
designed to accommodate. The presence of bare, loose, dangling, chafing,
or poorly connected wires is prohibited.
---------------------------------------------------------------------------

^{1 See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------

Subpart C--Brakes

Sec. 393.40 Required brake systems.

(a) General. A bus, truck, truck tractor, or a combination of motor
vehicles must have brakes adequate to control the movement of, and to
stop and hold, the vehicle or combination of vehicles.
(b) Specific systems required. (1) A bus, truck, truck tractor, or
combination of motor vehicles must have--
(i) A service brake system that conforms to the requirements of
Sec. 393.52; and
(ii) A parking brake system that conforms to the requirements of
Sec. 393.41.
(2) A bus, truck, truck tractor, or a combination of motor vehicles
manufactured on or after July 1, 1973, must have an emergency brake
system that conforms to the requirements of Sec. 393.52(b) and consists
of either--
(i) Emergency features of the service brake system; or
(ii) A system separate from the service brake system.

A control by which the driver applies the emergency brake system must be
located so that the driver can readily operate it when he/she is
properly restrained by any seat belt assembly provided for his/her use.
The control for applying the emergency brake system may be combined with
either the control for applying the service brake system or the control
for applying the parking brake system. However, all three controls may
not be combined.
(c) Interconnected systems. (1) If the brake systems specified in
paragraph (b) of this section are interconnected in any way, they must
be designed, constructed, and maintained so that, upon the failure of
any part of the operating mechanism of one or more of the systems
(except the service brake actuation pedal or valve)--
(i) The vehicle will have operative brakes; and
(ii) In the case of a vehicle manufactured on or after July 1, 1973,
the vehicle will have operative brakes capable of performing as
specified in Sec. 393.52(b).
(2) A motor vehicle to which the emergency brake system requirements
of Federal Motor Vehicle Safety Standard No. 105 (Sec. 571.105 of this
title) applied at the time of its manufacture conforms to the
requirements of paragraph (c)(1) of this section if--
(i) It is maintained in conformity with the emergency brake
requirements of Standard No. 105 in effect on the date of its
manufacture; and
(ii) It is capable of performing as specified in Sec. 393.52(b),
except upon structural failure of its brake master cylinder body or
effectiveness indicator body.
(3) A bus conforms to the requirements of paragraph (c)(1) of this
section if it meets the requirements of Sec. 393.44 and is capable of
performing as specified in Sec. 393.52(b).

[36 FR 20297, Oct. 20, 1971, as amended at 37 FR 5251, Mar. 11, 1972]

Sec. 393.41 Parking brake system.

(a) Every commercial motor vehicle manufactured on and after March
7, 1990, except an agricultural commodity trailer, converter dolly,
heavy hauler or pulpwood trailer, shall at all times be equipped with a
parking brake system adequate to hold the vehicle or combination under
any condition of loading as required by FMVSS 571.121. An agricultural
commodity trailer, heavy hauler or pulpwood trailer shall carry
sufficient chocking blocks to prevent movement when parked.
(b) The parking brake system shall at all times be capable of being
applied in conformance with the requirements of paragraph (a) of the
section by either the driver's muscular effort, or by spring action, or
by other energy, provided, that if such other energy is depended on for
application of the parking brake, then an accumulation of such energy
shall be isolated from any common source and used exclusively for the
operation of the parking brake.

[[Page 703]]

(c) The parking brake system shall be held in the applied position
by energy other than fluid pressure, air pressure, or electric energy.
The parking brake system shall be such that it cannot be released unless
adequate energy is available upon release of the parking brake to make
immediate further application with the required effectiveness.

[34 FR 15418, Oct. 3, 1969, as amended at 53 FR 49398, Dec. 7, 1988]

Sec. 393.42 Brakes required on all wheels.

(a) Every commercial motor vehicle shall be equipped with brakes
acting on all wheels.
(b) Exception. (1) Trucks or truck tractors having three or more
axles--
(i) Need not have brakes on the front wheels if the vehicle was
manufactured before July 25, 1980; or
(ii) Manufactured between July 24, 1980, and October 27, 1986, must
be retrofitted to meet the requirements of this section within one year
from February 26, 1987, if the brake components have been removed.
(2) Any motor vehicle being towed in a driveaway-towaway operation
must have operative brakes as may be necessary to ensure compliance with
the performance requirements of Sec. 393.52. This paragraph is not
applicable to any motor vehicle towed by means of a tow-bar when any
other vehicle is full-mounted on such towed motor vehicle or any
combination of motor vehicles utilizing three or more saddle-mounts.
(See Sec. 393.71(a)(3).)
(3) Any full trailer, any semitrailer, or any pole trailer having a
GVWR of 3,000 pounds or less must be equipped with brakes if the weight
of the towed vehicle resting on the towing vehicle exceeds 40 percent of
the GVWR of the towing vehicle.

[[Page 704]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.030

[52 FR 2803, Jan. 27, 1987, as amended at 53 FR 49398, Dec. 7, 1988; 54
FR 48617, Nov. 24, 1989; 59 FR 25574, May 17, 1994; 61 FR 1843, Jan. 24,
1996]

[[Page 705]]

Sec. 393.43 Breakaway and emergency braking.

(a) Every motor vehicle, if used to tow a trailer equipped with
brakes, shall be equipped with means for providing that in case of
breakaway of such trailer the service brakes on the towing vehicle will
be sufficiently operative to stop the towing vehicle.
(b) Every truck or truck tractor equipped with air brakes, when used
for towing other vehicles equipped with air brakes, shall be equipped
with two means of activating the emergency features of the trailer
brakes. One of these means shall operate automatically in the event of
reduction of the towing vehicle air supply to a fixed pressure which
shall not be lower than 20 pounds per square inch nor higher than 45
pounds per square inch. The other means shall be a manually controlled
device readily operable by a person seated in the driving seat. Its
emergency position or method of operation shall be clearly indicated. In
no instance may the manual means be so arranged as to permit its use to
prevent operation of the automatic means. The automatic and manual means
required by this section may be, but are not required to be, separate.
(c) Every truck tractor and truck when used for towing other
vehicles equipped with vacuum brakes, shall have, in addition to the
single control required by Sec. 393.49 to operate all brakes of the
combination, a second manual control device which can be used to operate
the brakes on the towed vehicles in emergencies. Such second control
shall be independent of brake air, hydraulic, and other pressure, and
independent of other controls, unless the braking system be so arranged
that failure of the pressure on which the second control depends will
cause the towed vehicle brakes to be applied automatically. The second
control is not required by this rule to provide modulated or graduated
braking.
(d) Every trailer required to be equipped with brakes shall be
equipped with brakes of such character as to be applied automatically
and promptly upon breakaway from the towing vehicle, and means shall be
provided to maintain application of the brakes on the trailer in such
case for at least 15 minutes.
(e) Air brake systems installed on towed vehicles shall be so
designed, by the use of ``no-bleed-back'' relay emergency valves or
equivalent devices, that the supply reservoir used to provide air for
brakes shall be safeguarded against backflow of air to the towing
vehicle upon reduction of the towing vehicle air pressure.
(f) The requirements of paragraphs (b), (c), and (d) of this section
shall not be applicable to motor vehicles in driveaway-towaway
operations.

Sec. 393.44 Front brake lines, protection.

On every bus, if equipped with air brakes, the braking system shall
be so constructed that in the event any brake line to any of the front
wheels is broken, the driver can apply the brakes on the rear wheels
despite such breakage. The means used to apply the brakes may be located
forward of the driver's seat as long as it can be operated manually by
the driver when the driver is properly restrained by any seat belt
assembly provided for use. Every bus shall meet this requirement or
comply with the regulations in effect at the time of its manufacture.

[53 FR 49400, Dec. 7, 1988]

Sec. 393.45 Brake tubing and hose, adequacy.

(a) General requirements. Brake tubing and brake hose must--
(1) Be designed and constructed in a manner that insures proper,
adequate, and continued functioning of the tubing or hose;
(2) Be installed in a manner that insures proper continued
functioning of the tubing or hose;
(3) Be long and flexible enough to accommodate without damage all
normal motions of the parts to which it is attached;
(4) Be suitably secured against chafing, kinking, or other
mechanical damage;
(5) Be installed in a manner that prevents it from contacting the
vehicle's

[[Page 706]]

exhaust system or any other source of high temperatures; and
(6) Conform to the applicable requirements of paragraph (b) or (c)
of this section. In addition, all hose installed on and after January 1,
1981, must conform to those applicable subsections of FMVSS 106 (49 CFR
571.106).
(b) Special requirements for metallic brake tubing, nonmetallic
brake tubing, coiled nonmetallic brake tubing and brake hose. (1)
Metallic brake tubing, nonmetallic brake tubing, coiled nonmetallic
brake tubing, and brake hose installed on a commercial motor vehicle on
and after March 7, 1989, must meet or exceed one of the following
specifications set forth in the SAE Handbook, 1985 edition:
(i) Metallic Air Brake Tubing--SAE Recommended Practice J1149--
Metallic Air Brake System Tubing and Pipe--July 76.
(ii) Nonmetallic Air Brake Tubing--SAE Recommended Practice J844--
Nonmetallic Air Brake System Type B--OCT 80.
(iii) Air Brake Hose--SAE Recommended Practice J1402--Automotive Air
Brake Hose and Hose Assemblies--JUN 85.
(iv) Hydraulic Brake Hose--SAE Recommended Practice J1401 Road
Vehicle-Hydraulic Brake Hose Assemblies for Use with Non-Petroleum Base
Hydraulic Fluid JUN 85.
(v) Vacuum Brake Hose--SAE Recommended Practice J1403 Vacuum Brake
Hose JUN 85.
(2) Except as provided in paragraph (c) of this section, brake hose
and brake tubing installed on a motor vehicle before March 7, 1989, must
conform to 49 CFR 393.45 effective October 31, 1983.
(c) Nonmetallic brake tubing. Coiled nonmetallic brake tubing may be
used for connections between towed and towing vehicles or between the
frame of a towed vehicle and the unsprung subframe of an adjustable axle
of that vehicle if--
(1) The coiled tubing has a straight segment (pigtail) at each end
that is at least 2 inches in length and is encased in a spring guard or
similar device which prevents the tubing from kinking at the fitting at
which it is attached to the vehicle; and
(2) The spring guard or similar device has at least 2 inches of
closed coils or similar surface at its interface with the fitting and
extends at least 1\1/2\ inches into the coiled segment of the tubing
from its straight segment.
(d) Brake tubing and brake hose, uses. Metallic and nonmetallic
brake tubing is intended for use in areas of the brake system where
relative movement in the line is not anticipated. Brake hose and coiled
nonmetallic brake tubing is intended for use in the brake system where
substantial relative movement in the line is anticipated or the hose/
coiled nonmetallic brake tubing is exposed to potential tension or
impact such as between the frame and axle in a conventional type
suspension system (axle attached to frame by suspension system).
Nonmetallic brake tubing may be used through an articulation point
provided movement is less than 4.5 degrees in a vertical plane, and 7.4
degrees in a transverse horizontal plane.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[38 FR 4333, Feb. 13, 1973, as amended at 44 FR 25457, May 1, 1979; 45
FR 46424, July 10, 1980; 47 FR 47837, Oct. 28, 1982; 53 FR 49400, Dec.
7, 1988]

Sec. 393.46 Brake tubing and hose connections.

All connections for air, vacuum, or hydraulic braking systems shall:
(a) Be adequate in material and construction to insure proper
continued functioning;
(b) Be designed, constructed, and installed so as to insure, when
properly connected, an attachment free of leaks, constrictions, or other
defects;
(c) Have suitable provision in every detachable connection to afford
reasonable assurance against accidental disconnection;
(d) Have the vacuum brake engine manifold connection at least three-
eighths inch in diameter.
(e) If installed on a vehicle on or after January 1, 1981, meet
requirements under applicable subsections of FMVSS 106 (49 CFR 571.106).
(f) Splices in tubing if installed on a vehicle after March 7, 1989,
must use fittings that meet the requirements of SAE Standard J512-OCT 80
Automotive Tube Fittings or for air brake systems

[[Page 707]]

SAE J246--March 81 Spherical and Flanged Sleeve (Compression) Tube
Fittings as found in the SAE Handbook 1985 edition.

[33 FR 19735, Dec. 28, 1968, as amended at 44 FR 25457, May 1, 1979; 53
FR 49400, Dec. 7, 1988]

Sec. 393.47 Brake lining.

The brake lining on every motor vehicle shall be so constructed and
installed as not to be subject to excessive fading and grabbing and
shall be adequate in thickness, means of attachment, and physical
characteristics to provide for safe and reliable stopping of the motor
vehicle.

Sec. 393.48 Brakes to be operative.

(a) General rule. Except as provided in paragraphs (b) and (c) of
this section, all brakes with which a motor vehicle is equipped must at
all times be capable of operating.
(b) Devices to reduce or remove front-wheel braking effort. A motor
vehicle may be equipped with a device to reduce the braking effort upon
its front wheels or, in the case of a three-axle truck or truck tractor
manufactured before March 1, 1975, to remove the braking effort upon its
front wheels, if that device conforms to, and is used in compliance
with, the rules in paragraph (b) (1) or (2) of this section.
(1) Manually operated devices. A manually operated device to reduce
or remove the front-wheel braking effort must not be--
(i) Installed in a motor vehicle other than a bus, truck, or truck
tractor; or
(ii) Installed in a bus, truck, or truck tractor manufactured after
February 28, 1975; or
(iii) Used in the reduced mode except when the vehicle is operating
under adverse conditions such as wet, snowy, or icy roads.
(2) Automatic devices. An automatic device to reduce the front-wheel
braking effort by up to 50 percent of the normal braking force,
regardless of whether or not antilock system failure has occurred on any
axle, must not--
(i) Be operable by the driver except upon application of the control
that activates the braking system; and
(ii) Be operable when the pressure that transmits brake control
application force exceeds--
(A) 85 psig on air-mechanical braking systems; or
(B) 85 percent of the maximum system pressure in the case of
vehicles utilizing other than compressed air.
(c) Towed vehicle. Paragraph (a) of this section does not apply to--
(1) A disabled vehicle being towed; or
(2) A vehicle being towed in a driveaway-towaway operation which is
exempt from the general rule of Sec. 393.42 under paragraph (b) of that
section.

(Sec. 204 of the Interstate Commerce Act, as amended (49 U.S.C. 304);
sec. 6 of the Department of Transportation Act (49 U.S.C. 1655), and the
delegations of authority by the Secretary of Transportation and the
Federal Highway Administrator at 49 CFR 1.48 and 301.60, respectively)

[39 FR 26907, July 24, 1974, as amended at 41 FR 29130, July 15, 1976;
41 FR 53031, Dec. 3, 1976]

Sec. 393.49 Single valve to operate all brakes.

Every motor vehicle, the date of manufacture of which is subsequent
to June 30, 1953, which is equipped with power brakes, shall have the
braking system so arranged that one application valve shall when applied
operate all the service brakes on the motor vehicle or combination of
motor vehicles. This requirement shall not be construed to prohibit
motor vehicles from being equipped with an additional valve to be used
to operate the brakes on a trailer or trailers or as provided in
Sec. 393.44. This section shall not be applicable to driveaway-towaway
operations unless the brakes on such operations are designed to be
operated by a single valve.

Sec. 393.50 Reservoirs required.

(a) General. Every commercial motor vehicle using air or vacuum for
breaking shall be equipped with reserve capacity or a reservoir
sufficient to ensure a full service brake application with the engine
stopped without depleting the air pressure or vacuum below 70 percent of
that pressure or degree of vacuum indicated by the gauge

[[Page 708]]

immediately before the brake application is made. For purposes of this
section, a full service brake application is considered to be made when
the service brake pedal is pushed to the limit of its travel.
(b) Safeguarding of air and vacuum. (1) Every bus, truck, and truck
tractor, when equipped with air or vacuum reservoirs and regardless of
date of manufacture, shall have such reservoirs so safeguarded by a
check valve or equivalent device that in the event of failure or leakage
in its connection to the source of compressed air or vacuum the air or
vacuum supply in the reservoir shall not be depleted by the leak or
failure.
(2) Means shall be provided to establish the check valve to be in
working order. On and after May 1, 1966, means other than loosening or
disconnection of any connection between the source of compressed air or
vacuum and the check valve, and necessary tools for operation of such
means, shall be provided to prove that the check valve is in working
order. The means shall be readily accessible either from the front,
side, or rear of the vehicle, or from the driver's compartment.
(i) In air brake systems with one reservoir, the means shall be a
cock, valve, plug, or equivalent device arranged to vent a cavity having
free communication with the connection between the check valve and the
source of compressed air or vacuum.
(ii) Where air is delivered by a compressor into one tank or
compartment (wet tank), and air for braking is taken directly from
another tank or compartment (dry tank) only, with the required check
valve between the tanks or compartments, a manually operated drain cock
on the first (wet) tank or compartment will serve as a means herein
required if it conforms to the requirements herein.
(iii) In vacuum systems stopping the engine will serve as the
required means, the system remaining evacuated as indicated by the
vacuum gauge.

[33 FR 19735, Dec. 25, 1968, as amended at 53 FR 49400, Dec. 7, 1988]

Sec. 393.51 Warning devices and gauges.

(a) General. In the manner and to the extent specified in paragraphs
(b), (c), (d), and (e) of this section, a bus, truck, or truck tractor
must be equipped with a signal that provides a warning to the driver
when a failure occurs in the vehicle's service brake system.
(b) Hydraulic brakes. A vehicle manufactured on or after July 1,
1973, and having service brakes activated by hydraulic fluid must be
equipped with a warning signal that performs as follows:
(1) If Federal Motor Vehicle Safety Standard No. 105 (Sec. 571.105
of this title) was applicable to the vehicle at the time it was
manufactured, the warning signal must conform to the requirements of
that standard.
(2) If Federal Motor Vehicle Safety Standard No. 105 (Sec. 571.105)
was not applicable to the vehicle at the time it was manufactured, the
warning signal must become operative, before or upon application of the
brakes in the event of a hydraulic-type complete failure of a partial
system. The signal must be readily audible or visible to the driver.
(c) Air brakes. A vehicle (regardless of the date it was
manufactured) having service brakes activated by compressed air (air-
mechanical brakes) or a vehicle towing a vehicle having service brakes
activated by compressed air (air-mechanical brakes) must be equipped,
and perform, as follows:
(1) The vehicle must have a low air pressure warning device that
conforms to the requirements of either paragraph (c)(1) (i) or (ii) of
this section.
(i) If Federal Motor Vehicle Safety Standard No. 121 (Sec. 571.121
of this title) was applicable to the vehicle at the time it was
manufactured, the warning device must conform to the requirements of
that standard.
(ii) If Federal Motor Vehicle Safety Standard No. 121 (Sec. 571.121)
was not applicable to the vehicle at the time it was manufactured, the
vehicle must have a device that provides a readily audible or visible
continuous warning to the driver whenever the pressure of the compressed
air in the braking system is below a specified pressure, which must be
at least one-half of the compressor governor cutout pressure.
(2) The vehicle must have a pressure gauge which indicates to the
driver the pressure in pounds per square inch available for braking.

[[Page 709]]

(d) Vacuum brakes. A vehicle (regardless of the date it was
manufactured) having service brakes activated by vacuum or a vehicle
towing a vehicle having service brakes activated by vacuum must be
equipped with--
(1) A device that provides a readily audible or visible continuous
warning to the driver whenever the vacuum in the vehicle's supply
reservoir is less than 8 inches of mercury; and
(2) A vacuum gauge which indicates to the driver the vacuum in
inches of mercury available for braking.
(e) Hydraulic brakes applied or assisted by air or vacuum. A vehicle
having a braking system in which hydraulically activated service brakes
are applied or assisted by compressed air or vacuum must be equipped
with both a warning signal that conforms to the requirements of
paragraph (b) of this section and a warning device that conforms to the
requirements of either paragraph (c) or paragraph (d) of this section.
(f) Maintenance. The warning signals, devices, and gauges required
by this section must be maintained in operative condition.

[37 FR 5251, Mar. 11, 1972, as amended at 53 FR 49400, Dec. 7, 1988]

Sec. 393.52 Brake performance.

(a) Upon application of its service brakes, a motor vehicle or
combination of motor vehicles must under any condition of loading in
which it is found on a public highway, be capable of--
(1) Developing a braking force at least equal to the percentage of
its gross weight specified in the table in paragraph (d) of this
section;
(2) Decelerating to a stop from 20 miles per hour at not less than
the rate specified in the table in paragraph (d) of this section; and
(3) Stopping from 20 miles per hour in a distance, measured from the
point at which movement of the service brake pedal or control begins,
that is not greater than the distance specified in the table in
paragraph (d) of this section.
(b) Upon application of its emergency brake system and with no other
brake system applied, a motor vehicle or combination of motor vehicles
must, under any condition of loading in which it is found on a public
highway, be capable of stopping from 20 miles per hour in a distance,
measured from the point at which movement of the emergency brake control
begins, that is not greater than the distance specified in the table in
paragraph (d) of this section.
(c) Conformity to the stopping-distance requirements of paragraphs
(a) and (b) of this section shall be determined under the following
conditions:
(1) Any test must be made with the vehicle on a hard surface that is
substantially level, dry, smooth, and free of loose material.
(2) The vehicle must be in the center of a 12-foot-wide lane when
the test begins and must not deviate from that lane during the test.
(d) Vehicle brake performance table:

----------------------------------------------------------------------------------------------------------------
Service brake systems Emergency
---------------------------------------- brake
systems
Braking Application ------------
force as a and braking Application
Type of motor vehicle percentage Deceleration distance in and braking
of gross in feet per feet from distance in
vehicle or second per initial feet from
combination second speed of 20 initial
weight m.p.h. speed of 20
m.p.h.
----------------------------------------------------------------------------------------------------------------
A. Passenger-carrying vehicles.
(1) Vehicles with a seating capacity of 10 persons or
less, including driver, and built on a passenger car
chassis................................................. 65.2 21 20 54
(2) Vehicles with a seating capacity of more than 10
persons, including driver, and built on a passenger car
chassis; vehicles built on a truck or bus chassis and
having a manufacturer's GVWR of 10,000 pounds or less... 52.8 17 25 66
(3) All other passenger-carrying vehicles................ 43.5 14 35 85
B. Property-carrying vehicles.
(1) Single unit vehicles having a manufacturer's GVWR of
10,000 pounds or less................................... 52.8 17 25 66

[[Page 710]]

(2) Single unit vehicles having a manufacturer's GVWR of
more than 10,000 pounds, except truck tractors.
Combinations of a 2-axle towing vehicle and trailer
having a GVWR of 3,000 pounds or less. All combinations
of 2 or less vehicles in driveaway or towaway operation. 43.4 14 35 85
(3) All other property-carrying vehicles and combinations
of property-carrying vehicles........................... 43.5 14 40 90
----------------------------------------------------------------------------------------------------------------
Note: (a) There is a definite mathematical relationship between the figures in columns 2 and 3. If the
decelerations set forth in column 3 are divided by 32.2 feet per second per second, the figures in column 2
will be obtained. (For example, 21 divided by 32.2 equals 65.2 percent.) Column 2 is included in the
tabulation because certain brake-testing devices utilize this factor.
(b) The decelerations specified in column 3 are an indication of the effectiveness of the basic brakes, and as
measured in practical brake testing are the maximum decelerations attained at some time during the stop. These
decelerations as measured in brake tests cannot be used to compute the values in column 4 because the
deceleration is not sustained at the same rate over the entire period of the stop. The deceleration increases
from zero to a maximum during a period of brake-system application and brake-force buildup. Also, other
factors may cause the deceleration to decrease after reaching a maximum. The added distance which results
because maximum deceleration is not sustained is included in the figures in column 4 but is not indicated by
the usual brake-testing devices for checking deceleration.
(c) The distances in column 4 and the decelerations in column 3 are not directly related. ``Brake-system
application and braking distance in feet'' (column 4) is a definite measure of the overall effectiveness of
the braking system, being the distance traveled between the point at which the driver starts to move the
braking controls and the point at which the vehicle comes to rest. It includes distance traveled while the
brakes are being applied and distance traveled while the brakes are retarding the vehicle.
(d) The distance traveled during the period of brake-system application and brake-force buildup varies with
vehicle type, being negligible for many passenger cars and greatest for combinations of commercial vehicles.
This fact accounts for the variation from 20 to 40 feet in the values in column 4 for the various classes of
vehicles.
(e) The terms ``GVWR'' and ``GVW'' refer to the manufacturer's gross vehicle rating and the actual gross vehicle
weight, respectively.

[36 FR 20298, Oct. 20, 1971, as amended at 37 FR 5251, Mar. 11, 1972; 37
FR 11336, June 7, 1972]

Sec. 393.53 Automatic brake adjusters and brake adjustment indicators.

(a) Automatic brake adjusters (hydraulic brake systems). Each
commercial motor vehicle manufactured on or after October 20, 1993, and
equipped with a hydraulic brake system, shall meet the automatic brake
adjustment system requirements of Federal Motor Vehicle Safety Standard
No. 105 (49 CFR 571.105, S5.1) applicable to the vehicle at the time it
was manufactured.
(b) Automatic brake adjusters (air brake systems). Each commercial
motor vehicle manufactured on or after October 20, 1994, and equipped
with an air brake system shall meet the automatic brake adjustment
system requirements of Federal Motor Vehicle Safety Standard No. 121 (49
CFR 571.121, S5.1.8) applicable to the vehicle at the time it was
manufactured.
(c) Brake adjustment indicator (air brake systems). On each
commercial motor vehicle manufactured on or after October 20, 1994, and
equipped with an air brake system which contains an external automatic
adjustment mechanism and an exposed pushrod, the condition of service
brake under-adjustment shall be displayed by a brake adjustment
indicator conforming to the requirements of Federal Motor Vehicle Safety
Standard No. 121 (49 CFR 571.121, S5.1.8) applicable to the vehicle at
the time it was manufactured.

[60 FR 46245, Sept. 6, 1995]

Subpart D--Glazing and Window Construction

Sec. 393.60 Glazing in specified openings.

(a) Kind of glass. (1) Glazing utilized or installed in the
windshield, window, door, or any other opening into a bus, truck, or
truck tractor, except vehicles engaged in armored car service, shall
conform to the requirements contained in the ``American Standard Safety
Code for Safety Glazing Materials for Motor Vehicles Operating on Land
Highways,'' with the effective dates shown in paragraph (a)(2) of this
section.
(2) Table of Glazing Requirements and Effective Dates:

[[Page 711]]

------------------------------------------------------------------------
Must comply with
---------------------------------------
Z 26.1-1950 Z 26.1-1966
Vehicles manufactured as as
Z 26.1- supplemented supplemented
1950 by Z 26.1a- by Z 26.1a-
1964 1969
------------------------------------------------------------------------
Before January 1, 1966.......... x
From January 1, 1966 to December
31, 1980....................... x
On and after January 1, 1981.... x
------------------------------------------------------------------------

(b) Windshield condition. Every motor vehicle windshield shall be
free of discoloration or other damage in that portion thereof extending
upward from the height of the topmost portion of the steering wheel, but
not including a 2 inch border at the top and a 1 inch border at each
side of the windshield or each panel thereof, except that discoloration
and damage as follows are allowable:
(1) Coloring or tinting applied in manufacture, for reduction of
glare;
(2) Any crack not over \1/4\-inch wide, if not intersected by any
other crack;
(3) Any damaged area which can be covered by a disc \3/4\-inch in
diameter, if not closer than 3 inches to any other such damaged area.
(c) Use of vision-reducing matter. No motor vehicle may be operated
with any label, sticker, decalcomania, or other vision-reducing matter
covering any portion of its windshield or windows at either side of the
driver's compartment, except that stickers required by law may be
affixed at the bottom of the windshield, provided no portion of any
label, sticker, decalcomania, or other vision-reducing matter may extend
upward more than 4\1/2\ inches from the bottom of such windshield.

[33 FR 19735, Dec. 25, 1968, as amended at 41 FR 53031, Dec. 3, 1976; 44
FR 25457, May 1, 1979; 44 FR 31982, June 4, 1979]

Sec. 393.61 Window construction.

(a) Windows in trucks and truck tractors. Every truck and truck
tractor, except vehicles engaged in armored car service, shall have, in
addition to the area provided by the windshield, at least one window on
each side of the driver's compartment, which window shall have
sufficient area to contain either an ellipse having a major axis of 18
inches and a minor axis of 13 inches or an opening containing 200 square
inches formed by a rectangle 13 inches by 17\3/4\ inches with corner
arcs of 6-inch maximum radius. The major axis of the ellipse and the
long axis of the rectangle shall not make an angle of more than 45
degrees with the surface on which the unladen vehicle stands; however,
if the cab is designed with a folding door or doors or with clear
openings where doors or windows are customarily located, then no windows
shall be required in such locations.
(b) Bus windows. (1) Except as provided in paragraph (b)(3) of this
section a bus manufactured before September 1, 1973, having a seating
capacity of more than eight persons shall have, in addition to the area
provided by the windshield, adequate means of escape for passengers
through windows. The adequacy of such means shall be determined in
accordance with the following standards: For each seated passenger space
provided, inclusive of the driver there shall be at least 67 square
inches of glazing if such glazing is not contained in a push-out window;
or at least 67 square inches of free opening resulting from opening of a
push-out type window. No area shall be included in this minimum
prescribed area unless it will provide an unobstructed opening
sufficient to contain an ellipse having a major axis of 18 inches and a
minor axis of 13 inches or an opening containing 200 square inches
formed by a rectangle 13 inches by 17\3/4\ inches with corner arcs of 6-
inch maximum radius. The major axis of the elipse and the long axis of
the rectangle shall make an angle of not more than 45 deg. with the
surface on which the unladen vehicle stands. The area shall be measured
either by removal of the glazing if not of the push-out type or of the
movable sash if of the push-out type, and it shall be either glazed with
laminated safety glass or comply with paragraph (c) of this section. No
less than 40 percent of such prescribed glazing or opening shall be on
one side of any bus.
(2) A bus, including a school bus, manufactured on and after
September 1, 1973, having a seating capacity of more than 10 persons
shall have emergency exits in conformity with Federal

[[Page 712]]

Motor Vehicle Safety Standard No. 217, part 571 of this title.
(3) A bus manufactured before September 1, 1973, may conform to
Federal Motor Vehicle Safety Standard No. 217, part 571 of this title,
in lieu of conforming to paragraph (b)(1) of this section.
(c) Push-out window requirements. (1) Except as provided in
paragraph (c)(3) of this section, every glazed opening in a bus
manufactured before September 1, 1973, and having a seating capacity of
more than eight persons, used to satisfy the requirements of paragraph
(b)(1) of this section, if not glazed with laminated safety glass, shall
have a frame or sash so designed, constructed, and maintained that it
will yield outwardly to provide the required free opening when subjected
to the drop test specified in Test 25 of the American Standard Safety
Code referred to in Sec. 393.60. The height of drop required to open
such push-out windows shall not exceed the height of drop required to
break the glass in the same window when glazed with the type of
laminated glass specified in Test 25 of the Code. The sash for such
windows shall be constructed of such material and be of such design and
construction as to be continuously capable of complying with the above
requirement.
(2) On a bus manufactured on and after September 1, 1973, having a
seating capacity of more than 10 persons, each push-out window shall
conform to Federal Motor Vehicle Safety Standard No. 217, (Sec. 571.217)
of this title.
(3) A bus manufactured before September 1, 1973, may conform to
Federal Motor Vehicle Safety Standard No. 217 (Sec. 571.217) of this
title, in lieu of conforming to paragraph (c)(1) of this section.

[33 FR 19735, Dec. 25, 1968, as amended at 37 FR 11677, June 10, 1972]

Sec. 393.62 Window obstructions.

Windows, if otherwise capable of complying with Sec. 393.61 (a) and
(b), shall not be obstructed by bars or other such means located either
inside or outside such windows such as would hinder the escape of
occupants unless such bars or other such means are so constructed as to
provide a clear opening, at least equal to the opening provided by the
window to which it is adjacent, when subjected to the same test
specified in Sec. 393.61(c). The point of application of such test force
shall be such as will be most likely to result in the removal of the
obstruction.

Sec. 393.63 Windows, markings.

(a) On a bus manufactured before September 1, 1973, each bus push-
out window and any other bus escape window glazed with laminated safety
glass required in Sec. 393.61 shall be identified as such by clearly
legible and visible signs, lettering, or decalcomania. Such marking
shall include appropriate wording to indicate that it is an escape
window and also the method to be used for obtaining emergency exit.
(b) On a bus manufactured on and after September 1, 1973, emergency
exits required in Sec. 393.61 shall be marked to conform to Federal
Motor Vehicle Safety Standard No. 217 (Sec. 571.217), of this title.
(c) A bus manufactured before September 1, 1973, may mark emergency
exits to conform to Federal Motor Vehicle Safety Standard No. 217
(Sec. 571.217), of this title in lieu of conforming to paragraph (a) of
this section.

[37 FR 11678, June 10, 1972]

Subpart E--Fuel Systems

Authority: Sec. 204, Interstate Commerce Act, as amended, 49 U.S.C.
304; sec. 6, Department of Transportation Act, 49 U.S.C. 1655;
delegation of authority at 49 CFR 1.48 and 389.4.

Sec. 393.65 All fuel systems.

(a) Application of the rules in this section. The rules in this
section apply to systems for containing and supplying fuel for the
operation of motor vehicles or for the operation of auxiliary equipment
installed on, or used in connection with, motor vehicles.
(b) Location. Each fuel system must be located on the motor vehicle
so that--
(1) No part of the system extends beyond the widest part of the
vehicle;
(2) No part of a fuel tank is forward of the front axle of a power
unit;
(3) Fuel spilled vertically from a fuel tank while it is being
filled will not

[[Page 713]]

contact any part of the exhaust or electrical systems of the vehicle,
except the fuel level indicator assembly;
(4) Fill pipe openings are located outside the vehicle's passenger
compartment and its cargo compartment;
(5) A fuel line does not extend between a towed vehicle and the
vehicle that is towing it while the combination of vehicles is in
motion; and
(6) No part of the fuel system of a bus manufactured on or after
January 1, 1973, is located within or above the passenger compartment.
(c) Fuel tank installation. Each fuel tank must be securely attached
to the motor vehicle in a workmanlike manner.
(d) Gravity or syphon feed prohibited. A fuel system must not supply
fuel by gravity or syphon feed directly to the carburetor or injector.
(e) Selection control valve location. If a fuel system includes a
selection control valve which is operable by the driver to regulate the
flow of fuel from two or more fuel tanks, the valve must be installed so
that either--
(1) The driver may operate it while watching the roadway and without
leaving his/her driving position; or
(2) The driver must stop the vehicle and leave his/her seat in order
to operate the valve.
(f) Fuel lines. A fuel line which is not completely enclosed in a
protective housing must not extend more than 2 inches below the fuel
tank or its sump. Diesel fuel crossover, return, and withdrawal lines
which extend below the bottom of the tank or sump must be protected
against damage from impact. Every fuel line must be--
(1) Long enough and flexible enough to accommodate normal movements
of the parts to which it is attached without incurring damage; and
(2) Secured against chafing, kinking, or other causes of mechanical
damage.
(g) Excess flow valve. When pressure devices are used to force fuel
from a fuel tank, a device which prevents the flow of fuel from the fuel
tank if the fuel feed line is broken must be installed in the fuel
system.

[36 FR 15445, Aug. 14, 1971, as amended at 37 FR 4341, Mar. 2, 1972; 37
FR 28752, Dec. 29, 1972]

Sec. 393.67 Liquid fuel tanks.

(a) Application of the rules in this section. (1) A liquid fuel tank
manufactured on or after January 1, 1973, and a side-mounted gasoline
tank must conform to all the rules in this section.
(2) A diesel fuel tank manufactured before January 1, 1973, and
mounted on a bus must conform to the rules in paragraphs (c)(7)(iii) and
(d)(2) of this section.
(3) A diesel fuel tank manufactured before January 1, 1973, and
mounted on a vehicle other than a bus must conform to the rules in
paragraph (c)(7)(iii) of this section.
(4) A gasoline tank, other than a side-mounted gasoline tank,
manufactured before January 1, 1973, and mounted on a bus must conform
to the rules in paragraphs (c) (1) through (10) and (d)(2) of this
section.
(5) A gasoline tank, other than a side-mounted gasoline tank,
manufactured before January 1, 1973, and mounted on a vehicle other than
a bus must conform to the rules in paragraphs (c) (1) through (10),
inclusive, of this section.
(6) Private motor carrier of passengers. Motor carriers engaged in
the private transportation of passengers may continue to operate a
commercial motor vehicle which was not subject to this section or 49 CFR
571.301 at the time of its manufacture, provided the fuel tank of such
vehicle is maintained to the original manufacturer's standards.
(b) Definitions. As used in this section--
(1) The term liquid fuel tank means a fuel tank designed to contain
a fuel that is liquid at normal atmospheric pressures and temperatures.
(2) A side-mounted fuel tank is a liquid fuel tank which--
(i) If mounted on a truck tractor, extends outboard of the vehicle
frame and outside of the plan view outline of the cab; or
(ii) If mounted on a truck, extends outboard of a line parallel to
the longitudinal centerline of the truck and tangent to the outboard
side of a front tire in a straight ahead position. In determining
whether a fuel tank on a truck or truck tractor is side-mounted, the

[[Page 714]]

fill pipe is not considered a part of the tank.
(c) Construction of liquid fuel tanks--(1) Joints. Joints of a fuel
tank body must be closed by arc-, gas-, seam-, or spot-welding, by
brazing, by silver soldering, or by techniques which provide heat
resistance and mechanical securement at least equal to those
specifically named. Joints must not be closed solely by crimping or by
soldering with a lead-based or other soft solder.
(2) Fittings. The fuel tank body must have flanges or spuds suitable
for the installation of all fittings.
(3) Threads. The threads of all fittings must be Dryseal American
Standard Taper Pipe Thread or Dryseal SAE Short Taper Pipe Thread,
specified in Society of Automotive Engineers Standard J476, as contained
in the 1971 edition of the ``SAE Handbook,'' except that straight
(nontapered) threads may be used on fittings having integral flanges and
using gaskets for sealing. At least four full threads must be in
engagement in each fitting.
(4) Drains and bottom fittings. (i) Drains or other bottom fittings
must not extend more than three-fourths of an inch below the lowest part
of the fuel tank or sump.
(ii) Drains or other bottom fittings must be protected against
damage from impact.
(iii) If a fuel tank has drains the drain fittings must permit
substantially complete drainage of the tank.
(iv) Drains or other bottom fittings must be installed in a flange
or spud designed to accommodate it.
(5) Fuel withdrawal fittings. Except for diesel fuel tanks, the
fittings through which fuel is withdrawn from a fuel tank must be
located above the normal level of fuel in the tank when the tank is
full.
(6) [Reserved]
(7) Fill pipe. (i) Each fill pipe must be designed and constructed
to minimize the risk of fuel spillage during fueling operations and when
the vehicle is involved in a crash.
(ii) The fill pipe and vents of a fuel tank having a capacity of
more than 25 gallons of fuel must permit filling the tank with fuel at a
rate of at least 20 gallons per minute without fuel spillage.
(iii) Each fill pipe must be fitted with a cap that can be fastened
securely over the opening in the fill pipe. Screw threads or a bayonet-
type joint are methods of conforming to the requirements of this
subdivision.
(8) Safety venting system. A liquid fuel tank with a capacity of
more than 25 gallons of fuel must have a venting system which, in the
event the tank is subjected to fire, will prevent internal tank pressure
from rupturing the tank's body, seams, or bottom opening (if any).
(9) Pressure resistance. The body and fittings of a liquid fuel tank
with a capacity of more than 25 gallons of fuel must be capable of
withstanding an internal hydrostatic pressure equal to 150 percent of
the maximum internal pressure reached in the tank during the safety
venting systems test specified in paragraph (d)(1) of this section.
(10) Air vent. Each fuel tank must be equipped with a nonspill air
vent (such as a ball check). The air vent may be combined with the fill-
pipe cap or safety vent, or it may be a separate unit installed on the
fuel tank.
(11) Markings. If the body of a fuel tank is readily visible when
the tank is installed on the vehicle, the tank must be plainly marked
with its liquid capacity. The tank must also be plainly marked with a
warning against filling it to more than 95 percent of its liquid
capacity.
(12) Overfill restriction. A liquid fuel tank manufactured on or
after January 1, 1973, must be designed and constructed so that--
(i) The tank cannot be filled, in a normal filling operation, with a
quantity of fuel that exceeds 95 percent of the tank's liquid capacity;
and
(ii) When the tank is filled, normal expansion of the fuel will not
cause fuel spillage.
(d) Liquid fuel tank tests. Each liquid fuel tank must be capable of
passing the tests specified in paragraphs (d) (1) and (2) of this
section. \1\
(1) Safety venting system test--(i) Procedure. Fill the tank three-
fourths full with fuel, seal the fuel feed outlet, and invert the tank.
When the fuel temperature is between 50 deg. F. and 80 deg. F., apply an
enveloping flame to the tank so that the temperature of the fuel

[[Page 715]]

rises at a rate of not less than 6 deg. F. and not more than 8 deg. F.
per minute.
(ii) Required performance. The safety venting system required by
paragraph (c)(8) of this section must activate before the internal
pressure in the tank exceeds 50 pounds per square inch, gauge, and the
internal pressure must not thereafter exceed the pressure at which the
system activated by more than five pounds per square inch despite any
further increase in the temperature of the fuel.
(2) Leakage test--(i) Procedure. Fill the tank to capacity with fuel
having a temperature between 50 deg. F. and 80 deg. F. With the fill-
pipe cap installed, turn the tank through an angle of 150 deg. in any
direction about any axis from its normal position.
(ii) Required performance. Neither the tank nor any fitting may leak
more than a total of one ounce by weight of fuel per minute in any
position the tank assumes during the test.
(e) Side-mounted liquid fuel tank tests. Each side-mounted liquid
fuel tank must be capable of passing the tests specified in paragraphs
(e) (1) and (2) of this section and the tests specified in paragraphs
(d) (1) and (2) of this section. \1\
---------------------------------------------------------------------------

\1\ The specified tests are a measure of performance only.
Manufacturers and carriers may use any alternative procedures which
assure that their equipment meets the required performance criteria.
---------------------------------------------------------------------------

(1) Drop test--(i) Procedure. Fill the tank with a quantity of water
having a weight equal to the weight of the maximum fuel load of the tank
and drop the tank 30 feet onto an unyielding surface so that it lands
squarely on one corner.
(ii) Required performance. Neither the tank nor any fitting may leak
more than a total of 1 ounce by weight of water per minute.
(2) Fill-pipe test--(i) Procedure. Fill the tank with a quantity of
water having a weight equal to the weight of the maximum fuel load of
the tank and drop the tank 10 feet onto an unyielding surface so that it
lands squarely on its fill-pipe.
(ii) Required performance. Neither the tank nor any fitting may leak
more than a total of 1 ounce by weight of water per minute.
(f) Certification and markings. Each liquid fuel tank shall be
legibly and permanently marked by the manufacturer with the following
minimum information:
(1) The month and year of manufacture,
(2) The manufacturer's name on tanks manufactured on and after July
1, 1988, and means of identifying the facility at which the tank was
manufactured, and
(3) A certificate that it conforms to the rules in this section
applicable to the tank. The certificate must be in the form set forth in
either of the following:
(i) If a tank conforms to all rules in this section pertaining to
side-mounted fuel tanks: ``Meets all FHWA side-mounted tank
requirements.''
(ii) If a tank conforms to all rules in this section pertaining to
tanks which are not side-mounted fuel tanks: ``Meets all FHWA
requirements for non-side-mounted fuel tanks.''
(iii) The form of certificate specified in paragraph (f)(3) (i) or
(ii) of this section may be used on a liquid fuel tank manufactured
before July 11, 1973, but it is not mandatory for liquid fuel tanks
manufactured before March 7, 1989. The form of certification
manufactured on or before March 7, 1989, must meet the requirements in
effect at the time of manufacture.

[36 FR 15445, Aug. 14, 1971, as amended at 37 FR 4341, Mar. 2, 1972; 37
FR 28753, Dec. 29, 1972; 45 FR 46424, July 10, 1980; 53 FR 49400, Dec.
7, 1988; 59 FR 8753, Feb. 23, 1994]

Sec. 393.69 Liquefied petroleum gas systems.

(a) A fuel system that uses liquefied petroleum gas as a fuel for
the operation of a motor vehicle or for the operation of auxiliary
equipment installed on, or used in connection with, a motor vehicle must
conform to the ``Standards for the Storage and Handling of Liquefied
Petroleum Gases'' of the National Fire Protection Association, Battery
March Park, Quincy, MA 02269, as follows:
(1) A fuel system installed before December 31, 1962, must conform
to the 1951 edition of the Standards.
(2) A fuel system installed on or after December 31, 1962, and
before January

[[Page 716]]

1, 1973, must conform to Division IV of the June 1959 edition of the
Standards.
(3) A fuel system installed on or after January 1, 1973, and
providing fuel for propulsion of the motor vehicle must conform to
Division IV of the 1969 edition of the Standards.
(4) A fuel system installed on or after January 1, 1973, and
providing fuel for the operation of auxiliary equipment must conform to
Division VII of the 1969 edition of the Standards.
(b) When the rules in this section require a fuel system to conform
to a specific edition of the Standards, the fuel system may conform to
the applicable provisions in a later edition of the Standards specified
in this section.
(c) The tank of a fuel system must be marked to indicate that the
system conforms to the Standards.

[36 FR 15445, Aug. 14, 1971, as amended at 37 FR 4342, Mar. 2, 1972; 41
FR 53031, Dec. 3, 1976; 53 FR 49400, Dec. 7, 1988]

Subpart F--Coupling Devices and Towing Methods

Sec. 393.70 Coupling devices and towing methods, except for driveaway-towaway operations.

(a) Tracking. When two or more vehicles are operated in combination,
the coupling devices connecting the vehicles shall be designed,
constructed, and installed, and the vehicles shall be designed and
constructed, so that when the combination is operated in a straight line
on a level, smooth, paved surface, the path of the towed vehicle will
not deviate more than 3 inches to either side of the path of the vehicle
that tows it.
(b) Fifth wheel assemblies--(1) Mounting--(i) Lower half. The lower
half of a fifth wheel mounted on a truck tractor or converter dolly must
be secured to the frame of that vehicle with properly designed brackets,
mounting plates or angles and properly tightened bolts of adequate size
and grade, or devices that provide equivalent security. The installation
shall not cause cracking, warping, or deformation of the frame. The
installation must include a device for positively preventing the lower
half of the fifth wheel from shifting on the frame to which it is
attached.
(ii) Upper half. The upper half of a fifth wheel must be fastened to
the motor vehicle with at least the same security required for the
installation of the lower half on a truck tractor or converter dolly.
(2) Locking. Every fifth wheel assembly must have a locking
mechanism. The locking mechanism, and any adapter used in conjunction
with it, must prevent separation of the upper and lower halves of the
fifth wheel assembly unless a positive manual release is activated. The
release may be located so that the driver can operate it from the cab.
If a motor vehicle has a fifth wheel designed and constructed to be
readily separable, the fifth wheel locking devices shall apply
automatically on coupling.
(3) Location. The lower half of a fifth wheel shall be located so
that, regardless of the condition of loading, the relationship between
the kingpin and the rear axle or axles of the towing motor vehicle will
properly distribute the gross weight of both the towed and towing
vehicles on the axles of those vehicles, will not unduly interfere with
the steering, braking, and other maneuvering of the towing vehicle, and
will not otherwise contribute to unsafe operation of the vehicles
comprising the combination. The upper half of a fifth wheel shall be
located so that the weight of the vehicles is properly distributed on
their axles and the combination of vehicles will operate safely during
normal operation.
(c) Towing of full trailers. A full trailer must be equipped with a
tow-bar and a means of attaching the tow-bar to the towing and towed
vehicles. The tow-bar and the means of attaching it must--
(1) Be structurally adequate for the weight being drawn;
(2) Be properly and securely mounted;
(3) Provide for adequate articulation at the connection without
excessive slack at that location; and
(4) Be provided with a locking device that prevents accidental
separation of the towed and towing vehicles. The mounting of the trailer
hitch (pintle hook or equivalent mechanism) on the towing vehicle must
include reinforcement or bracing of the frame sufficient

[[Page 717]]

to produce strength and rigidity of the frame to prevent its undue
distortion.
(d) Safety devices in case of tow-bar failure or disconnection.
Every full trailer and every converter dolly used to convert a
semitrailer to a full trailer must be coupled to the frame, or an
extension of the frame, of the motor vehicle which tows it with one or
more safety devices to prevent the towed vehicle from breaking loose in
the event the tow-bar fails or becomes disconnected. The safety device
must meet the following requirements:
(1) The safety device must not be attached to the pintle hook or any
other device on the towing vehicle to which the tow-bar is attached.
However, if the pintle hook or other device was manufactured prior to
July 1, 1973, the safety device may be attached to the towing vehicle at
a place on a pintle hook forging or casting if that place is independent
of the pintle hook.
(2) The safety device must have no more slack than is necessary to
permit the vehicles to be turned properly.
(3) The safety device, and the means of attaching it to the
vehicles, must have an ultimate strength of not less than the gross
weight of the vehicle or vehicles being towed.
(4) The safety device must be connected to the towed and towing
vehicles and to the tow-bar in a manner which prevents the tow-bar from
dropping to the ground in the event it fails or becomes disconnected.
(5) Except as provided in paragraph (d)(6) of this section, if the
safety device consists of safety chains or cables, the towed vehicle
must be equipped with either two safety chains or cables or with a
bridle arrangement of a single chain or cable attached to its frame or
axle at two points as far apart as the configuration of the frame or
axle permits. The safety chains or cables shall be either two separate
pieces, each equipped with a hook or other means for attachment to the
towing vehicle, or a single piece leading along each side of the tow-bar
from the two points of attachment on the towed vehicle and arranged into
a bridle with a single means of attachment to be connected to the towing
vehicle. When a single length of cable is used, a thimble and twin-base
cable clamps shall be used to form the forward bridle eye. The hook or
other means of attachment to the towing vehicle shall be secured to the
chains or cables in a fixed position.
(6) If the towed vehicle is a converter dolly with a solid tongue
and without a hinged tow-bar or other swivel between the fifth wheel
mounting and the attachment point of the tongue eye or other hitch
device--
(i) Safety chains or cables, when used as the safety device for that
vehicle, may consist of either two chains or cables or a single chain or
cable used alone;
(ii) A single safety device, including a single chain or cable used
alone as the safety device, must be in line with the centerline of the
trailer tongue; and
(iii) The device may be attached to the converter dolly at any point
to the rear of the attachment point of the tongue eye or other hitch
device.
(7) Safety devices other than safety chains or cables must provide
strength, security of attachment, and directional stability equal to, or
greater than, safety chains or cables installed in accordance with
paragraphs (d) (5) and (6) of this section.
(8) When two safety devices, including two safety chains or cables,
are used and are attached to the towing vehicle at separate points, the
points of attachment on the towing vehicle shall be located equally
distant from, and on opposite sides of, the centerline of the towing
vehicle. Where two chains or cables are attached to the same point on
the towing vehicle, and where a bridle or a single chain or cable is
used, the point of attachment must be on the longitudinal centerline of
the towing vehicle. A single safety device, other than a chain or cable,
must also be attached to the towing vehicle at a point on its
longitudinal centerline.

[37 FR 21439, Oct. 11, 1972]

Sec. 393.71 Coupling devices and towing methods, driveaway-towaway operations.

(a) Number in combination. (1) No more than three saddle-mounts may
be used in any combination.
(2) No more than one tow-bar may be used in any combination.

[[Page 718]]

(3) When motor vehicles are towed by means of triple saddle-mounts,
the towed vehicles shall have brakes acting on all wheels which are in
contact with the roadway.
(b) Carrying vehicles on towing vehicle. (1) When adequately and
securely attached by means equivalent in security to that provided in
paragraph (j)(2) of this section, a motor vehicle or motor vehicles may
be full-mounted on the structure of a towing vehicle engaged in any
driveaway-towaway operation.
(2) No motor vehicle or motor vehicles may be full-mounted on a
towing vehicle unless the relationship of such full-mounted vehicles to
the rear axle or axles results in proper distribution of the total gross
weight of the vehicles and does not unduly interfere with the steering,
braking, or maneuvering of the towing vehicle, or otherwise contribute
to the unsafe operation of the vehicles comprising the combination.
(c) Carrying vehicles on towed vehicles. (1) When adequately and
securely attached by means equivalent in security to that provided in
paragraph (j)(2) of this section, a motor vehicle or motor vehicles may
be full-mounted on the structure of towed vehicles engaged in any
driveaway-towaway operation.
(2) No motor vehicle shall be full-mounted on a motor vehicle towed
by means of a tow-bar unless the towed vehicle is equipped with brakes
and is provided with means for effective application of brakes acting on
all wheels and is towed on its own wheels.
(3) No motor vehicle or motor vehicles shall be full-mounted on a
motor vehicle towed by means of a saddle-mount unless the center line of
the kingpin or equivalent means of attachment of such towed vehicle
shall be so located on the towing vehicle that the relationship to the
rear axle or axles results in proper distribution of the total gross
weight of the vehicles and does not unduly interfere with the steering,
braking, or maneuvering of the towing vehicle or otherwise contribute to
the unsafe operation of vehicles comprising the combination; and unless
a perpendicular to the ground from the center of gravity of the full-
mounted vehicles lies forward of the center line of the rear axle of the
saddle-mounted vehicle.
(4) If a motor vehicle towed by means of a double saddle-mount has
any vehicle full-mounted on it, such saddle-mounted vehicle shall at all
times while so loaded have effective brakes acting on those wheels which
are in contact with the roadway.
(d) Bumper tow-bars on heavy vehicles prohibited. Tow-bars of the
type which depend upon the bumpers as a means of transmitting forces
between the vehicles shall not be used to tow a motor vehicle weighing
more than 5,000 pounds.
(e) Front wheels of saddle-mounted vehicles restrained. A motor
vehicle towed by means of a saddle-mount shall have the motion of the
front wheels restrained if under any condition of turning of such wheels
they will project beyond the widest part of either the towed or towing
vehicle.
(f) Vehicles to be towed in forward position. Unless the steering
mechanism is adequately locked in a straight-forward position, all motor
vehicles towed by means of a saddle-mount shall be towed with the front
end mounted on the towing vehicle.
(g) Means required for towing. (1) No motor vehicle or motor
vehicles shall be towed in driveaway-towaway operations by means other
than tow-bar or saddle-mount connections which shall meet the
requirements of this section.
(2) For the purpose of the regulations of this part:
(i) Coupling devices such as those used for towing house trailers
and employing ball and socket connections shall be considered as tow-
bars.
(ii) Motor vehicles or parts of motor vehicles adequately, securely,
and rigidly attached by devices meeting the requirements of paragraph
(n) of this section shall be considered as one vehicle in any position
in any combination.
(h) Requirements for tow-bars. Tow-bars shall comply with the
following requirements:
(1) Tow-bars, structural adequacy and mounting. Every tow-bar shall
be structurally adequate and properly installed and maintained. To
insure that it is structurally adequate, it must, at least, meet the
requirements of the following table:

[[Page 719]]

------------------------------------------------------------------------
Longitudinal strength in tension and
compression\2\
-------------------------------------
New tow-
bars Strength as
Gross weight of towed vehicle acquired a beam (in
(pounds)\1\ and used any
All tow- by a motor direction
bars carrier concentrated
after load at
Sept. 30, center)^{2 ^{, ^{3
1948
------------------------------------------------------------------------
Pounds

-------------------------------------
Less than 5,000................... 3,000 6,500 3,000
5,000 and over.................... .......... .......... ............
Less than 10,000.................. 6,000 (\1\) (\1\)
10,000 and over................... .......... .......... ............
Less than 15,000.................. 9,000 (\1\) (\1\)
------------------------------------------------------------------------
\1\The required strength of tow-bars for towed vehicles of 15,000 pounds
and over gross weight and of new tow-bars acquired and used after
Sept. 30, 1948, for towed vehicles of 5,000 pounds and over gross
weight shall be computed by means of the following formulae:
Longitudinal strength=gross weight of towed vehicle x 1.3. Strength as
a beam=gross weight of towed vehicle x 0.6.
\2\In testing, the whole unit shall be tested with all clamps, joints,
and pins so mounted and fastened as to approximate conditions of
actual operation.
\3\This test shall be applicable only to tow-bars which are, in normal
operation, subjected to a bending movement such as tow-bars for house
trailers.

(2) Tow-bars, jointed. The tow-bar shall be so constructed as to
freely permit motion in both horizontal and vertical planes between the
towed and towing vehicles. The means used to provide the motion shall be
such as to prohibit the transmission of stresses under normal operation
between the towed and towing vehicles, except along the longitudinal
axis of the tongue or tongues.
(3) Tow-bar fastenings. The means used to transmit the stresses to
the chassis or frames of the towed and towing vehicles may be either
temporary structures or bumpers or other integral parts of the vehicles:
Provided, however, That the means used shall be so constructed,
installed, and maintained that when tested as an assembly, failure in
such members shall not occur when the weakest new tow-bar which is
permissible under paragraph (h)(1) of this section is subjected to the
tests given therein.
(4) Means of adjusting length. On tow-bars, adjustable as to length,
the means used to make such adjustment shall fit tightly and not result
in any slackness or permit the tow-bar to bend. With the tow-bar
supported rigidly at both ends and with a load of 50 pounds at the
center, the sag, measured at the center, in any direction shall not
exceed 0.25 inch under any condition of adjustment as to length.
(5) Method of clamping. Adequate means shall be provided for
securely fastening the tow-bar to the towed and towing vehicles.
(6) Tow-bar connection to steering mechanism. The tow-bar shall be
provided with suitable means of attachment to and actuation of the
steering mechanism, if any, of the towed vehicle. The attachment shall
provide for sufficient angularity of movement of the front wheels of the
towed vehicle so that it may follow substantially in the path of the
towing vehicle without cramping the tow-bar. The tow-bar shall be
provided with suitable joints to permit such movement.
(7) Tracking. The tow-bar shall be so designed, constructed,
maintained, and mounted as to cause the towed vehicle to follow
substantially in the path of the towing vehicle. Tow-bars of such design
on in our condition as to permit the towed vehicle to deviate more than
3 inches to either side of the path of a towing vehicle moving in a
straight line as measured from the center of the towing vehicle are
prohibited.
(8) Passenger car-trailer type couplings. Trailer couplings used for
driveaway-towaway operations of passenger car trailers shall conform to
Society of Automotive Engineers Standard No. J684c, ``Trailer Couplings
and Hitches--Automotive Type,'' July 1970.^{1
---------------------------------------------------------------------------

1 See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------

(9) Marking tow-bars. Every tow-bar acquired and used in driveaway-
towaway operations by a motor carrier shall be plainly marked with the
following certification of the manufacturer thereof (or words of
equivalent meaning):

This tow-bar complies with the requirements of the Federal Highway
Administration for (maximum gross weight for which tow-bar is
manufactured) vehicles.
Allowable Maximum Gross Weight__________________________________________
Manufactured____________________________________________________________
(month and year)
by______________________________________________________________________
(name of manufacturer)

Tow-bar certification manufactured before the effective date of this
regulation must meet requirements in effect at the time of manufacture.

[[Page 720]]

(10) Safety devices in case of tow-bar failure or disconnection. (i)
The towed vehicle shall be connected to the towing vehicle by a safety
device to prevent the towed vehicle from breaking loose in the event the
tow-bar fails or becomes disconnected. When safety chains or cables are
used as the safety device for that vehicle, at least two safety chains
or cables meeting the requirements of paragraph (h)(10)(ii) of this
section shall be used. The tensile strength of the safety device and the
means of attachment to the vehicles shall be at least equivalent to the
corresponding longitudinal strength for tow-bars required in the table
of paragraph (h)(1) of this section. If safety chains or cables are used
as the safety device, the required strength shall be the combined
strength of the combination of chains and cables.
(ii) If chains or cables are used as the safety device, they shall
be crossed and attached to the vehicles near the points of bumper
attachments to the chassis of the vehicles. The length of chain used
shall be no more than necessary to permit free turning of the vehicles.
The chains shall be attached to the tow-bar at the point of crossing or
as close to that point as is practicable.
(iii) A safety device other than safety chains or cables must
provide strength, security of attachment, and directional stability
equal to, or greater than, that provided by safety chains or cables
installed in accordance with paragraph (h)(10)(ii) of this section. A
safety device other than safety chains or cables must be designed,
constructed, and installed so that, if the tow-bar fails or becomes
disconnected, the tow-bar will not drop to the ground.
(i) [Reserved]
(j) Requirements for upper-half of saddle-mounts. The upper-half of
any saddle-mount shall comply with the following requirements:
(1) Upper-half connection to towed vehicle. The upper-half shall be
securely attached to the frame or axle of the towed vehicle by means of
U-bolts or other means providing at least equivalent security.
(2) U-bolts or other attachments. U-bolts used to attach the upper
half to the towed vehicle shall be made of steel rod, free of defects,
so shaped as to avoid at any point a radius of less than 1 inch:
Provided, however, That a lesser radius may be utilized if the U-bolt is
so fabricated as not to cause more than 5 percent reduction in cross-
sectional area at points of curvature, in which latter event the minimum
radius shall be one-sixteenth inch. U-bolts shall have a diameter not
less than required by the following table:

Diameter of U-Bolts in Inches
------------------------------------------------------------------------
Double or triple saddle-mount
------------------------------------
Weight in pounds of heaviest towed Middle
vehicle Front or Rear Single
mount front mount saddle-
mount mount\1\
------------------------------------------------------------------------
Up to 5,000........................ 0.625 0.5625 0.500 0.500
5,000 and over..................... 0.6875 0.625 0.5625 0.5625
------------------------------------------------------------------------
\1\The total weight of all the vehicles being towed shall govern. If
other devices are used to accomplish the same purposes as U-bolts they
shall have at least equivalent strength of U-bolts made of mild steel.
Cast iron shall not be used for clamps or any other holding devices.

(3) U-bolts and points of support, location. The distance between
the most widely separated U-bolts shall not be less than 9 inches. The
distance between the widely separated points where the upper-half
supports the towed vehicle shall not be less than 9 inches, except that
saddle-mounts employing ball and socket joints shall employ a device
which clamps the axle of the towed vehicle throughout a length of not
less than 5 inches.
(4) Cradle-type upper-halves, specifications. Upper-halves of the
cradle-type using vertical members to restrain the towed vehicle from
relative movement in the direction of motion of the vehicles shall be
substantially constructed and adequate for the purpose. Such cradle-
mounts shall be equipped with at least one bolt or equivalent means to
provide against relative vertical movement between the upper-half and
the towed vehicle. Bolts, if used, shall be at least one-half inch in
diameter. Devices using equivalent means shall have at least equivalent
strength. The means used to provide against relative vertical motion
between the upper-half and the towed vehicle shall be such as not to
permit a relative motion of over one-half inch. The distance between the
most widely separated points of support between the upper-half and the
towed vehicle shall be at least 9 inches.

[[Page 721]]

(5) Lateral movement of towed vehicle. (i) Towed vehicles having a
straight axle or an axle having a drop of less than 3 inches, unless the
saddle-mount is constructed in accordance with paragraph (m)(2) of this
section, shall be securely fastened by means of chains or cables to the
upper-half so as to insure against relative lateral motion between the
towed vehicle and the upper-half. The chains or cables shall be at least
\3/16\-inch diameter and secured by bolts of at least equal diameter.
(ii) Towed vehicles with an axle with a drop of 3 inches or more, or
connected by a saddle-mount constructed in accordance with paragraph
(m)(2) of this section, need not be restrained by chains or cables
provided that the upper-half is so designed as to provide against such
relative motion.
(iii) Chains or cables shall not be required if the upper-half is so
designed as positively to provide against lateral movement of the axle.
(k) Requirements for lower half of saddle-mounts. The lower half of
any saddle-mount shall comply with the following requirements:
(1) U-bolts or other attachments. U-bolts used to attach the lower
half to the towing vehicle shall be made of steel rod, free of defects,
so shaped as to avoid at any point a radius of less than 1 inch:
Provided, however, That a lesser radius may be utilized if the U-bolt is
so fabricated as not to cause more than 5 percent reduction in cross-
sectional area at points of curvature, in which latter event the minimum
radius shall be one-sixteenth inch. U-bolts shall have a total cross-
sectional area not less than as required by the following table:

Total Cross-Sectional Area of U-Bolts in Square Inches
------------------------------------------------------------------------
Double or triple saddle-mount
------------------------------------
Weight in pounds of heaviest towed Middle
vehicle Front or Rear Single
mount front mount saddle-
mount mount\1\
------------------------------------------------------------------------
Up to 5,000........................ 1.2 1.0 0.8 0.8
5,000 and over..................... 1.4 1.2 1.0 1.0
------------------------------------------------------------------------
\1\The total weight of all the vehicles being towed shall govern. If
other devices are used to accomplish the same purposes as U-bolts they
shall have at least equivalent strength of U-bolts made of mild steel.
Cast iron shall not be used for clamps or any other holding devices.

(2) Shifting. Adequate provision shall be made by design and
installation to provide against relative movement between the lower-half
and the towing vehicle especially during periods of rapid acceleration
and deceleration. To insure against shifting, designs of the tripod type
shall be equipped with adequate and securely fastened hold-back chains
or similar devices.
(3) Swaying. (i) Adequate provision shall be made by design and
installation to provide against swaying or lateral movement of the towed
vehicle relative to the towing vehicle. To insure against swaying,
lower-halves designed with cross-members attached to but separable from
vertical members shall have such cross-members fastened to the vertical
members by at least two bolts on each side. Such bolts shall be of at
least equivalent cross-sectional area as those required for U-bolts for
the corresponding saddle-mount as given in the table in paragraph (k)(1)
of this section. The minimum distance between the most widely separated
points of support of the cross-member by the vertical member shall be
three inches as measured in a direction parallel to the longitudinal
axis of the towing vehicle.
(ii) The lower-half shall have a bearing surface on the frame of the
towing vehicle of such dimensions that the pressure exerted by the
lower-half upon the frame of the towing vehicle shall not exceed 200
pounds per square inch under any conditions of static loading. Hardwood
blocks or blocks of other suitable material, such as hard rubber,
aluminum or brakelining, if used between the lower half and the frame of
the towing vehicle shall be at least \1/2\ inch thick, 3 inches wide,
and a combined length of 6 inches.
(iii) Under no condition shall the highest point of support of the
towed vehicle by the upper-half be more than 24 inches, measured
vertically, above the top of the frame of the towing vehicle, measured
at the point where the lower-half rests on the towing vehicle.
(4) Wood blocks. (i) Hardwood blocks of good quality may be used to
build up the height of the front end of the towed vehicle, provided that
the total height of such wood blocks shall not exceed 8 inches and not
over two separate pieces are placed upon each other to obtain such
height; however, hardwood blocks,

[[Page 722]]

not over 4 in number, to a total height not to exceed 14 inches, may be
used if the total cross-sectional area of the U-bolts used to attach the
lower-half of the towing vehicle is at least 50 percent greater than
that required by the table contained in paragraph (k)(1) of this
section, or, if other devices are used in lieu of U-bolts, they shall
provide for as great a resistance to bending as is provided by the
larger U-bolts above prescribed.
(ii) Hardwood blocks must be at least 4 inches in width and the
surfaces between blocks or block and lower-half or block and upper-half
shall be planed and so installed and maintained as to minimize any
tendency of the towed vehicle to sway or rock.
(5) Cross-member, general requirements. The cross-member, which is
that part of the lower-half used to distribute the weight of the towed
vehicle equally to each member of the frame of the towing vehicle, if
used, shall be structurally adequate and properly installed and
maintained adequately to perform this function.
(6) Cross-member, use of wood. No materials, other than suitable
metals, shall be used as the cross-member, and wood may not be used
structurally in any manner that will result in its being subject to
tensile stresses. Wood may be used in cross-members if supported
throughout its length by suitable metal cross-members.
(7) Lower half strength. The lower half shall be capable of
supporting the loads given in the following table. For the purpose of
test, the saddle-mount shall be mounted as normally operated and the
load applied through the upper half:

Minimum Test Load in Pounds
------------------------------------------------------------------------
Double or triple saddle-mount
------------------------------------
Weight in pounds of heaviest towed Middle
vehicle Front or Rear Single
mount front mount saddle-
mount mount\1\
------------------------------------------------------------------------
Up to 5,000........................ 15,000 10,000 5,000 5,000
5,000 and over..................... 30,000 20,000 10,000 10,000
------------------------------------------------------------------------
\1\The total weight of all the vehicles being towed shall govern.

(l) Requirements for kingpins of saddle-mounts. The kingpin of any
saddle-mount shall comply with the following requirements:
(1) Kingpin size. (i) Kingpins shall be constructed of steel
suitable for the purpose, free of defects, and having a diameter not
less than required by the following table:

Diameter of Solid Kingpin in Inches
----------------------------------------------------------------------------------------------------------------
Double or triple saddle-mount
-----------------------------------------------------------------------------
Front mount Middle or front Rear mount Single saddle-
Weight in pounds of heaviest towed -------------------- mount -------------------- mount\1\
vehicle -------------------- -----------------
Mild H.T.S.\2\ Mild Mild H.T.S.\2\ Mild
steel steel H.T.S.\2\ steel steel H.T.S.
----------------------------------------------------------------------------------------------------------------
Up to 5,000....................... 1.125 1.000 1.000 0.875 0.875 0.750 0.875 0.750
5,000 and over.................... 1.500 1.125 1.250 1.000 1.000 0.875 1.000 0.875
----------------------------------------------------------------------------------------------------------------
\1\The total weight of all the vehicles being towed shall govern.
\2\High-tensile steel is steel having a minimum ultimate strength of 65,000 pounds per square inch.

(ii) If a ball and socket joint is used in place of a kingpin, the
diameter of the neck of the ball shall be at least equal to the diameter
of the corresponding solid kingpin given in the above table. If hollow
kingpins are used, the metallic cross-sectional area shall be at least
equal to the cross-sectional area of the corresponding solid kingpin.
(2) Kingpin fit. If a kingpin bushing is not used, the king-pin
shall fit snugly into the upper and lower-halves but shall not bind.
Those portions of the upper or lower-halves in moving contact with the
kingpin shall be smoothly machined with no rough or sharp edges. The
bearing surface thus provided shall not be less in depth than the radius
of the kingpin.
(3) Kingpin bushing on saddle-mounts. The kingpin of all new saddle-
mounts acquired and used shall be snugly enclosed in a bushing at least
along such length of the kingpin as may be in moving contact with either
the upper or lower-halves. The bearing surface

[[Page 723]]

thus provided shall not be less in depth than the radius of the kingpin.
(4) Kingpin to restrain vertical motion. The kingpin shall be so
designed and installed as to restrain the upper-half from moving in a
vertical direction relative to the lower-half.
(m) Additional requirements for saddle-mounts. Saddle-mounts shall
comply with the following requirements:
(1) Bearing surface between upper and lower-halves. The upper and
lower-halves shall be so constructed and connected that the bearing
surface between the two halves shall not be less than 16 square inches
under any conditions of angularity between the towing and towed
vehicles: Provided, however, That saddle-mounts using a ball and socket
joint shall have a ball of such dimension that the static bearing load
shall not exceed 800 pounds per square inch, based on the projected
cross-sectional area of the ball: And further provided, That saddle-
mounts having the upper-half supported by ball, taper, or roller-
bearings shall not have such bearings loaded beyond the limits
prescribed for such bearings by the manufacturer thereof. The upper-half
shall rest evenly and smoothly upon the lower-half and the contact
surfaces shall be lubricated and maintained so that there shall be a
minimum of frictional resistance between the parts.
(2) Saddle-mounts, angularity. All saddle-mounts acquired and used
shall provide for angularity between the towing and towed vehicles due
to vertical curvatures of the highway. Such means shall not depend upon
either the looseness or deformation of the parts of either the saddle-
mount or the vehicles to provide for such angularity.
(3) Tracking. The saddle-mount shall be so designed, constructed,
maintained, and installed that the towed vehicle or vehicles will follow
substantially in the path of the towing vehicle without swerving. Towed
vehicles shall not deviate more than 3 inches to either side of the path
of the towing vehicle when moving in a straight line.
(4) Prevention of frame bending. Where necessary, provision shall be
made to prevent the bending of the frame of the towing vehicle by
insertion of suitable blocks inside the frame channel to prevent
kinking. The saddle-mount shall not be so located as to cause
deformation of the frame by reason of cantilever action.
(5) Extension of frame. No saddle-mount shall be located at a point
to the rear of the frame of a towing vehicle.
(6) Nuts, secured. All nuts used on bolts, U-bolts, king-pins, or in
any other part of the saddle-mount shall be secured against accidental
disconnection by means of cotter-keys, lock-washers, double nuts, safety
nuts, or equivalent means. Parts shall be so designed and installed that
nuts shall be fully engaged.
(7) Inspection of all parts. The saddle-mount shall be so designed
that it may be disassembled and each separate part inspected for worn,
bent, cracked, broken, or missing parts.
(8) Saddle-mounts, marking. Every new saddle-mount acquired and used
in driveaway-towaway operations by a motor carrier shall have the upper-
half and the lower-half separately marked with the following
certification of the manufacturer thereof (or words of equivalent
meaning).

This saddle-mount complies with the requirements of the Federal
Highway Administration for vehicles up to 5,000 pounds (or over 5,000
pounds):

Manufactured____________________________________________________________
(Month and year)
by______________________________________________________________________
(Name of manufacturer)

(n) Requirements for devices used to connect motor vehicles or parts
of motor vehicles together to form one vehicle--(1) Front axle
attachment. The front axle of one motor vehicle intended to be coupled
with another vehicle as defined in paragraph (g)(2)(ii) of this section
shall be attached with U-bolts meeting the requirements of paragraph
(j)(2) of this section.
(2) Rear axle attachment. The rear axle of one vehicle shall be
coupled to the frame of the other vehicle by means of a connecting
device which when in place forms a rectangle. The device shall be
composed of two pieces, top and bottom. The device shall be made of 4-
inch by \1/2\-inch steel bar bent to shape and shall have the corners
reinforced with a plate at least 3 inches by \1/2\ inch by 8 inches
long. The device shall be bolted together with \3/4\-inch

[[Page 724]]

bolts and at least three shall be used on each side. Wood may be used as
spacers to keep the frames apart and it shall be at least 4 inches
square.

(Sec. 12, 80 Stat. 931; 49 U.S.C. 1651 note; section 6 of the Department
of Transportation Act, 49 U.S.C. 1655, and the delegations of authority
at 49 CFR 1.48 and 389.4)

[33 FR 19735, Dec. 25, 1968, as amended at 35 FR 10907, July 7, 1970; 37
FR 21440, Oct. 11, 1972; 53 FR 49400, Dec. 7, 1988]

Subpart G--Miscellaneous Parts and Accessories

Sec. 393.75 Tires.

(a) No motor vehicle shall be operated on any tire that (1) has body
ply or belt material exposed through the tread or sidewall, (2) has any
tread or sidewall separation, (3) is flat or has an audible leak, or (4)
has a cut to the extent that the ply or belt material is exposed.
(b) Any tire on the front wheels of a bus, truck, or truck tractor
shall have a tread groove pattern depth of at least \4/32\ of an inch
when measured at any point on a major tread groove. The measurements
shall not be made where tie bars, humps, or fillets are located.
(c) Except as provided in paragraph (b) of this section, tires shall
have a tread groove pattern depth of at least \2/32\ of an inch when
measured in a major tread groove. The measurement shall not be made
where tie bars, humps or fillets are located.
(d) No bus shall be operated with regrooved, recapped or retreaded
tires on the front wheels.
(e) No truck or truck tractor shall be operated with regrooved tires
on the front wheels which have a load carrying capacity equal to or
greater than that of 8.25-20 8 ply-rating tires.
(f) Tire load rating \1\. (1) General rule: No motor vehicle shall
be operated with tires that carry a greater weight than that specified
for the tires in any of the publications of the standardizing bodies
listed in FMVSS 571.119 (49 CFR 571.119) and marked on the sidewall of
the tire unless:
---------------------------------------------------------------------------

\1\ The load and cold inflation pressure imposed on the rim and
wheel must not exceed the rim and wheel manufacturer's recommendations
even though the tire may be approved for a higher load or inflation.
Rims and wheels may be identified (stamped) with a maximum load and
maximum cold inflation rating.
---------------------------------------------------------------------------

(i) The vehicle is being operated under the terms of a special
permit issued by the State, and
(ii) The vehicle is being operated at a reduced speed that is
appropriate to compensate for tire loading in excess of the
manufacturer's normal rated capacity.
(2) Tire pressure. No motor vehicle shall be operated on a tire
which has a cold inflation pressure less than that specified for the
load being carried.
(3) If the inflation pressure of the tire has been increased by heat
because of the recent operation of the vehicle, the cold inflation
pressure shall be estimated by subtracting the inflation buildup factor
shown in Table I from the measured inflation pressure.

Table I--Inflation Pressure Measurement Correction for Heat
------------------------------------------------------------------------
Minimum inflation pressure buildup
---------------------------------------
Average speed of tire in Tires with 4,000
previous hour lb (1,814 kg) Tires with over
maximum load 4,000 lb (1,814
rating or less kg) load rating
------------------------------------------------------------------------
41 to 55 mi/h 66 to 88.5 km/h).. 5 lb/in^{2 (0.36 15 lb/in^{2 (1.07
bar). bars).
------------------------------------------------------------------------

(Sec. 204, 49 Stat. 546 as amended (49 U.S.C. 304); sec. 6, Pub. L. 89-
670, 80 Stat. 937 (49 U.S.C. 1655); 49 CFR 1.48 and 49 CFR 301.60)

[34 FR 9344, June 13, 1969, as amended at 40 FR 44557, Sept. 29, 1975;
41 FR 36657, Aug. 31, 1976; 44 FR 25455, May 1, 1979; 44 FR 47938, Aug.
16, 1979; 53 FR 18057, May 19, 1988; 53 FR 49401, Dec. 7, 1988]

Sec. 393.76 Sleeper berths.

(a) Dimensions--(1) Size. A sleeper berth must be at least the
following size:

------------------------------------------------------------------------
Width Height
Length measured measured
measured on on from
Date of installation on motor centerline centerline highest
vehicle of of point of
longitudinal transverse top of
axis axis mattress
(inches) (inches) (inches)\1\
------------------------------------------------------------------------
Before January 1, 1953........... 72 18 18
After December 31, 1952, and
before October 1, 1975.......... 75 21 21

[[Page 725]]

After September 30, 1975......... 75 24 24
------------------------------------------------------------------------
\1\In the case of a sleeper berth which utilizes an adjustable
mechanical suspension system, the required clearance can be measured
when the suspension system is adjusted to the height to which it would
settle when occupied by a driver.

(2) Shape. A sleeper berth installed on a motor vehicle on or after
January 1, 1953 must be of generally rectangular shape, except that the
horizontal corners and the roof corners may be rounded to radii not
exceeding 10\1/2\ inches.
(3) Access. A sleeper berth must be constructed so that an
occupant's ready entrance to, and exit from, the sleeper berth is not
unduly hindered.
(b) Location. (1) A sleeper berth must not be installed in or on a
semitrailer or a full trailer other than a house trailer.
(2) A sleeper berth located within the cargo space of a motor
vehicle must be securely compartmentalized from the remainder of the
cargo space. A sleeper berth installed on or after January 1, 1953 must
be located in the cab or immediately adjacent to the cab and must be
securely fixed with relation to the cab.
(c) Exit from the berth. (1) Except as provided in paragraph (c)(2)
of this section, there must be a direct and ready means of exit from a
sleeper berth into the driver's seat or compartment. If the sleeper
berth was installed on or after January 1, 1963, the exit must be a
doorway or opening at least 18 inches high and 36 inches wide. If the
sleeper berth was installed before January 1, 1963, the exit must have
sufficient area to contain an ellipse having a major axis of 24 inches
and a minor axis of 16 inches.
(2) A sleeper berth installed before January 1, 1953 must either:
(i) Conform to the requirements of paragraph (c)(1) of this section;
or
(ii) Have at least two exits, each of which is at least 18 inches
high and 21 inches wide, located at opposite ends of the vehicle and
useable by the occupant without the assistance of any other person.
(d) Communication with the driver. A sleeper berth which is not
located within the driver's compartment and has no direct entrance into
the driver's compartment must be equipped with a means of communication
between the occupant and the driver. The means of communication may
consist of a telephone, speaker tube, buzzer, pull cord, or other
mechanical or electrical device.
(e) Equipment. A sleeper berth must be properly equipped for
sleeping. Its equipment must include:
(1) Adequate bedclothing and blankets; and
(2) Either:
(i) Springs and a mattress; or
(ii) An innerspring mattress; or
(iii) A cellular rubber or flexible foam mattress at least four
inches thick; or
(iv) A mattress filled with a fluid and of sufficient thickness when
filled to prevent ``bottoming-out'' when occupied while the vehicle is
in motion.
(f) Ventilation. A sleeper berth must have louvers or other means of
providing adequate ventilation. A sleeper berth must be reasonably tight
against dust and rain.
(g) Protection against exhaust and fuel leaks and exhaust heat. A
sleeper berth must be located so that leaks in the vehicle's exhaust
system or fuel system do not permit fuel, fuel system gases, or exhaust
gases to enter the sleeper berth. A sleeper berth must be located so
that it will not be overheated or damaged by reason of its proximity to
the vehicle's exhaust system.
(h) Occupant restraint. A motor vehicle manufactured on or after
July 1, 1971, and equipped with a sleeper berth must be equipped with a
means of preventing ejection of the occupant of the sleeper berth during
deceleration of the vehicle. The restraint system must be designed,
installed, and maintained to withstand a minimum total force of 6,000
pounds applied toward the front of the vehicle and parallel to the
longitudinal axis of the vehicle.

[39 FR 14711, Apr. 26, 1974; 39 FR 17233, May 14, 1974, as amended at 53
FR 49401, Dec. 7, 1988]

[[Page 726]]

Sec. 393.77 Heaters.

On every motor vehicle, every heater shall comply with the following
requirements:
(a) Prohibited types of heaters. The installation or use of the
following types of heaters is prohibited:
(1) Exhaust heaters. Any type of exhaust heater in which the engine
exhaust gases are conducted into or through any space occupied by
persons or any heater which conducts engine compartment air into any
such space.
(2) Unenclosed flame heaters. Any type of heater employing a flame
which is not fully enclosed, except that such heaters are not prohibited
when used for heating the cargo of tank motor vehicles.
(3) Heaters permitting fuel leakage. Any type of heater from the
burner of which there could be spillage or leakage of fuel upon the
tilting or overturning of the vehicle in which it is mounted.
(4) Heaters permitting air contamination. Any heater taking air,
heated or to be heated, from the engine compartment or from direct
contact with any portion of the exhaust system; or any heater taking air
in ducts from the outside atmosphere to be conveyed through the engine
compartment, unless said ducts are so constructed and installed as to
prevent contamination of the air so conveyed by exhaust or engine
compartment gases.
(5) Solid fuel heaters except wood charcoal. Any stove or other
heater employing solid fuel except wood charcoal.
(6) Portable heaters. Portable heaters shall not be used in any
space occupied by persons except the cargo space of motor vehicles which
are being loaded or unloaded.
(b) Heater specifications. All heaters shall comply with the
following specifications:
(1) Heating elements, protection. Every heater shall be so located
or protected as to prevent contact therewith by occupants, unless the
surface temperature of the protecting grilles or of any exposed portions
of the heaters, inclusive of exhaust stacks, pipes, or conduits shall be
lower than would cause contact burns. Adequate protection shall be
afforded against igniting parts of the vehicle or burning occupants by
direct radiation. Wood charcoal heaters shall be enclosed within a metal
barrel, drum, or similar protective enclosure which enclosure shall be
provided with a securely fastened cover.
(2) Moving parts, guards. Effective guards shall be provided for the
protection of passengers or occupants against injury by fans, belts, or
any other moving parts.
(3) Heaters, secured. Every heater and every heater enclosure shall
be securely fastened to the vehicle in a substantial manner so as to
provide against relative motion within the vehicle during normal usage
or in the event the vehicle overturns. Every heater shall be so
designed, constructed, and mounted as to minimize the likelihood of
disassembly of any of its parts, including exhaust stacks, pipes, or
conduits, upon overturn of the vehicle in or on which it is mounted.
Wood charcoal heaters shall be secured against relative motion within
the enclosure required by paragraph (c)(1) of this section, and the
enclosure shall be securely fastened to the motor vehicle.
(4) Relative motion between fuel tank and heater. When either in
normal operation or in the event of overturn, there is or is likely to
be relative motion between the fuel tank for a heater and the heater, or
between either of such units and the fuel lines between them, a suitable
means shall be provided at the point of greatest relative motion so as
to allow this motion without causing failure of the fuel lines.
(5) Operating controls to be protected. On every bus designed to
transport more than 15 passengers, including the driver, means shall be
provided to prevent unauthorized persons from tampering with the
operating controls. Such means may include remote control by the driver;
installation of controls at inaccessible places; control of adjustments
by key or keys; enclosure of controls in a locked space, locking of
controls, or other means of accomplishing this purpose.
(6) Heater hoses. Hoses for all hot water and steam heater systems
shall be specifically designed and constructed for that purpose.
(7) Electrical apparatus. Every heater employing any electrical
apparatus shall be equipped with electrical conductors, switches,
connectors, and

[[Page 727]]

other electrical parts of ample current-carrying capacity to provide
against overheating; any electric motor employed in any heater shall be
of adequate size and so located that it will not be overheated;
electrical circuits shall be provided with fuses and/or circuit breakers
to provide against electrical overloading; and all electrical conductors
employed in or leading to any heater shall be secured against dangling,
chafing, and rubbing and shall have suitable protection against any
other condition likely to produce short or open circuits.

Note: Electrical parts certified as proper for use by Underwriters'
Laboratories, Inc., shall be deemed to comply with the foregoing
requirements.

(8) Storage battery caps. If a separate storage battery is located
within the personnel or cargo space, such battery shall be securely
mounted and equipped with nonspill filler caps.
(9) Combustion heater exhaust construction. Every heater employing
the combustion of oil, gas, liquefied petroleum gas, or any other
combustible material shall be provided with substantial means of
conducting the products of combustion to the outside of the vehicle:
Provided, however, That this requirement shall not apply to heaters used
solely to heat the cargo space of motor vehicles where such motor
vehicles or heaters are equipped with means specifically designed and
maintained so that the carbon monoxide concentration will never exceed
0.2 percent in the cargo space. The exhaust pipe, stack, or conduit if
required shall be sufficiently substantial and so secured as to provide
reasonable assurance against leakage or discharge of products of
combustion within the vehicle and, if necessary, shall be so insulated
as to make unlikely the burning or charring of parts of the vehicle by
radiation or by direct contact. The place of discharge of the products
of combustion to the atmosphere and the means of discharge of such
products shall be such as to minimize the likelihood of their reentry
into the vehicle under all operating conditions.
(10) Combustion chamber construction. The design and construction of
any combustion-type heater except cargo space heaters permitted by the
proviso of paragraph (c)(9) of this section and unenclosed flame heaters
used for heating cargo of tank motor vehicles shall be such as to
provide against the leakage of products of combustion into air to be
heated and circulated. The material employed in combustion chambers
shall be such as to provide against leakage because of corrosion,
oxidation, or other deterioration. Joints between combustion chambers
and the air chambers with which they are in thermal and mechanical
contact shall be so designed and constructed as to prevent leakage
between the chambers and the materials employed in such joints shall
have melting points substantially higher than the maximum temperatures
likely to be attained at the points of jointure.
(11) Heater fuel tank location. Every bus designed to transport more
than 15 passengers, including the driver, with heaters of the combustion
type shall have fuel tanks therefor located outside of and lower than
the passenger space. When necessary, suitable protection shall be
afforded by shielding or other means against the puncturing of any such
tank or its connections by flying stones or other objects.
(12) Heater, automatic fuel control. Gravity or siphon feed shall
not be permitted for heaters using liquid fuels. Heaters using liquid
fuels shall be equipped with automatic means for shutting off the fuel
or for reducing such flow of fuel to the smallest practicable magnitude,
in the event of overturn of the vehicle. Heaters using liquefied
petroleum gas as fuel shall have the fuel line equipped with automatic
means at the source of supply for shutting off the fuel in the event of
separation, breakage, or disconnection of any of the fuel lines between
the supply source and the heater.
(13) ``Tell-tale'' indicators. Heaters subject to paragraph (c)(14)
of this section and not provided with automatic controls shall be
provided with ``tell-tale'' means to indicate to the driver that the
heater is properly functioning. This requirement shall not apply to
heaters used solely for the cargo space in semitrailers or full
trailers.
(14) Shut-off control. Automatic means, or manual means if the
control

[[Page 728]]

is readily accessible to the driver without moving from the driver's
seat, shall be provided to shut off the fuel and electrical supply in
case of failure of the heater to function for any reason, or in case the
heater should function improperly or overheat. This requirement shall
not apply to wood charcoal heaters or to heaters used solely to heat the
contents of cargo tank motor vehicles, but wood charcoal heaters must be
provided with a controlled method of regulating the flow of combustion
air.
(15) Certification required. Every combustion-type heater, except
wood charcoal heaters, the date of manufacture of which is subsequent to
December 31, 1952, and every wood charcoal heater, the date of
manufacture of which is subsequent to September 1, 1953, shall be marked
plainly to indicate the type of service for which such heater is
designed and with a certification by the manufacturer that the heater
meets the applicable requirements for such use. For example, ``Meets
I.C.C. Bus Heater Requirements,'' Meets I.C.C. Flue-Vented Cargo Space
Heater Requirements,'' and after December 31, 1967, such certification
shall read ``Meets FHWA Bus Heater Requirements,'' ``Meets FHWA Flue-
Vented Cargo Space Heater Requirements,'' etc.
(i) Exception. The certification for a catalytic heater which is
used in transporting flammable liquid or gas shall be as prescribed
under Sec. 177.834(1) of this title.

[33 FR 19735, Dec. 25, 1968, as amended at 40 FR 51198, Nov. 4, 1975; 53
FR 49401, Dec. 7, 1988]

Sec. 393.78 Windshield wipers.

(a) Every bus, truck, and truck tractor, having a windshield, shall
be equipped with at least two automatically-operating windshield wiper
blades, one on each side of the centerline of the windshield, for
cleaning rain, snow, or other moisture from the windshield and which
shall be in such condition as to provide clear vision for the driver,
unless one such blade be so arranged as to clean an area of the
windshield extending to within 1 inch of the limit of vision through the
windshield at each side: Provided, however, That in driveaway-towaway
operations this section shall apply only to the driven vehicle: And
provided further, That one windshield wiper blade will suffice under
this section when such driven vehicle in driveaway-towaway operation
constitutes part or all of the property being transported and has no
provision for two such blades.
(b) Every bus, truck, and truck tractor, the date of manufacture of
which is subsequent to June 30, 1953, which depends upon vacuum to
operate the windshield wipers, shall be so constructed that the
operation of the wipers will not be materially impaired by change in the
intake manifold pressure.

Sec. 393.79 Defrosting device.

Every bus, truck, and truck tractor having a windshield, when
operating under conditions such that ice, snow, or frost would be likely
to collect on the outside of the windshield or condensation on the
inside of the windshield, shall be equipped with a device or other
means, not manually operated, for preventing or removing such
obstructions to the driver's view: Provided, however, That this section
shall not apply in driveaway-towaway operations when the driven vehicle
is a part of the shipment being delivered.

Sec. 393.80 Rear-vision mirrors.

(a) Every bus, truck, and truck tractor shall be equipped with two
rear-vision mirrors, one at each side, firmly attached to the outside of
the motor vehicle, and so located as to reflect to the driver a view of
the highway to the rear, along both sides of the vehicle. All such
regulated rear-vision mirrors and their replacements shall meet, as a
minimum, the requirements of FMVSS No. 111 (49 CFR 571.111) in force at
the time the vehicle was manufactured.
(b) Exceptions. (1) Mirrors installed on a vehicle manufactured
prior to January 1, 1981, may be continued in service, provided that if
the mirrors are replaced they shall be replaced with mirrors meeting, as
a minimum, the requirements of FMVSS No. 111 (49 CFR 571.111) in force
at the time the vehicle was manufactured.
(2) Only one outside mirror shall be required, which shall be on the
driver's

[[Page 729]]

side, on trucks which are so constructed that the driver has a view to
the rear by means of an interior mirror.
(3) In driveway-towaway operations, the driven vehicle shall have at
least one mirror furnishing a clear view to the rear. (49 U.S.C. 3102;
49 CFR 1.48.)

[48 FR 57139, Dec. 28, 1983]

Sec. 393.81 Horn.

Every bus, truck, truck-tractor, and every driven motor vehicle in
driveaway-towaway operations shall be equipped with a horn and actuating
elements which shall be in such condition as to give an adequate and
reliable warning signal.

Sec. 393.82 Speedometer.

Every bus, truck, and truck-tractor shall be equipped with a
speedometer indicating vehicle speed in miles per hour, which shall be
operative with reasonable accuracy; however, this requirement shall not
apply to any driven vehicle which is part of a shipment being delivered
in a driveaway-towaway operation if such driven vehicle is equipped with
an effective means of limiting its maximum speed to 45 miles per hour,
nor to any towed vehicle.

Sec. 393.83 Exhaust systems.

(a) Every motor vehicle having a device (other than as part of its
cargo) capable of expelling harmful combustion fumes shall have a system
to direct the discharge of such fumes. No part shall be located where
its location would likely result in burning, charring, or damaging the
electrical wiring, the fuel supply, or any combustible part of the motor
vehicle.
(b) No exhaust system shall discharge to the atmosphere at a
location immediately below the fuel tank or the fuel tank filler pipe.
(c) The exhaust system of a bus powered by a gasoline engine shall
discharge to the atmosphere at or within 6 inches forward of the
rearmost part of the bus.
(d) The exhaust system of a bus using fuels other than gasoline
shall discharge to the atmosphere either:
(1) At or within 15 inches forward of the rearmost part of the
vehicle; or
(2) To the rear of all doors or windows designed to be open, except
windows designed to be opened solely as emergency exits.
(e) The exhaust system of every truck and truck tractor shall
discharge to the atmosphere at a location to the rear of the cab or, if
the exhaust projects above the cab, at a location near the rear of the
cab.
(f) No part of the exhaust system shall be temporarily repaired with
wrap or patches.
(g) No part of the exhaust system shall leak or discharge at a point
forward of or directly below the driver/sleeper compartment. The exhaust
outlet may discharge above the cab/sleeper roofline.
(h) The exhaust system must be securely fastened to the vehicle.
(i) Exhaust systems may use hangers which permit required movement
due to expansion and contraction caused by heat of the exhaust and
relative motion between engine and chassis of a vehicle.

[53 FR 49401, Dec. 7, 1988]

Sec. 393.84 Floors.

The flooring in all motor vehicles shall be substantially
constructed, free of unnecessary holes and openings, and shall be
maintained so as to minimize the entrance of fumes, exhaust gases, or
fire. Floors shall not be permeated with oil or other substances likely
to cause injury to persons using the floor as a traction surface.

[53 FR 49401, Dec. 7, 1988]

Sec. 393.85 [Reserved]

Sec. 393.86 Rear end protection.

Every motor vehicle, except truck-tractors, pole trailers, and
vehicles engaged in driveaway-towaway operations, the date of
manufacture of which is subsequent to December 31, 1952, which is so
constructed that the body or the chassis assembly if without a body has
a clearance at the rear end of more than 30 inches from the ground when
empty, shall be provided with

[[Page 730]]

bumpers or devices serving similar purposes which shall be so
constructed and located that:
(a) The clearance between the effective bottom of the bumpers or
devices and the ground shall not exceed 30 inches with the vehicle
empty;
(b) The maximum distance between the closest points between bumpers,
or devices, if more than one is used, shall not exceed 24 inches;
(c) The maximum transverse distance from the widest part of the
motor vehicle at the rear to the bumper or device shall not exceed 18
inches;
(d) The bumpers or devices shall be located not more than 24 inches
forward of the extreme rear of the vehicle; and
(e) The bumpers or devices shall be substantially constructed and
firmly attached. Motor vehicles constructed and maintained so that the
body, chassis, or other parts of the vehicle afford the rear end
protection contemplated shall be deemed to be in compliance with this
section.

Sec. 393.87 Flags on projecting loads.

Any motor vehicle having a load or vehicle component which extends
beyond the sides more than 4 inches or more than 4 feet beyond the rear
shall have the extremities of the load marked with a red flag, not less
than 12 inches square, at each point where a lamp is required by Table
1, Sec. 393.11.

[53 FR 49401, Dec. 7, 1988]

Sec. 393.88 Television receivers.

Any motor vehicle equipped with a television viewer, screen or other
means of visually receiving a television broadcast shall have the viewer
or screen located in the motor vehicle at a point to the rear of the
back of the driver's seat if such viewer or screen is in the same
compartment as the driver and the viewer or screen shall be so located
as not to be visible to the driver, while he/she is driving the motor
vehicle. The operating controls for the television receiver shall be so
located that the driver cannot operate them without leaving the driver's
seat.

Sec. 393.89 Buses, driveshaft protection.

Any driveshaft extending lengthways under the floor of the passenger
compartment of a bus shall be protected by means of at least one guard
or bracket at that end of the shaft which is provided with a sliding
connection (spline or other such device) to prevent the whipping of the
shaft in the event of failure thereof or of any of its component parts.
A shaft contained within a torque tube shall not require any such
device.

[33 FR 19735, Dec. 25, 1968, as amended at 53 FR 49402, Dec. 7, 1988]

Sec. 393.90 Buses, standee line or bar.

Except as provided below, every bus, which is designed and
constructed so as to allow standees, shall be plainly marked with a line
of contrasting color at least 2 inches wide or equipped with some other
means so as to indicate to any person that he/she is prohibited from
occupying a space forward of a perpendicular plane drawn through the
rear of the driver's seat and perpendicular to the longitudinal axis of
the bus. Every bus shall have clearly posted at or near the front, a
sign with letters at least one-half inch high stating that it is a
violation of the Federal Highway Administration's regulations for a bus
to be operated with persons occupying the prohibited area. The
requirements of this section shall not apply to any bus being
transported in driveaway-towaway operation or to any level of the bus
other that the level in which the driver is located nor shall they be
construed to prohibit any seated person from occupying permanent seats
located in the prohibited area provided such seats are so located that
persons sitting therein will not interfere with the driver's safe
operation of the bus.

Sec. 393.91 Buses, aisle seats prohibited.

No bus shall be equipped with aisle seats unless such seats are so
designed and installed as to automatically fold and leave a clear aisle
when they are unoccupied. No bus shall be operated if any seat therein
is not securely fastened to the vehicle.

[53 FR 49402, Dec. 7, 1988]

[[Page 731]]

Sec. 393.92 Buses, marking emergency doors.

Any bus equipped with an emergency door shall have such door clearly
marked in letters at least 1 inch in height with the words ``Emergency
Door'' or ``Emergency Exit.'' Emergency doors shall also be identified
by a red electric lamp readily visible to passengers which lamp shall be
lighted at all times when lamps are required to be lighted by
Sec. 392.30.

Sec. 393.93 Seats, seat belt assemblies, and seat belt assembly anchorages.

(a) Buses--(1) Buses manufactured on or after January 1, 1965, and
before July 1, 1971. After June 30, 1972, every bus manufactured on or
after January 1, 1965, and before July 1, 1971, must be equipped with a
Type 1 or Type 2 seat belt assembly that conforms to Federal Motor
Vehicle Safety Standard No. 209^{1 (Sec. 571.209) installed at the
driver's seat and seat belt assembly anchorages that conform to the
location and geometric requirements of Federal Motor Vehicle Safety
Standard No. 210^{1 (Sec. 571.210) for that seat belt assembly.
---------------------------------------------------------------------------

^{1 Individual copies of Federal Motor Vehicle Safety Standards
may be obtained from the National Highway Traffic Safety Administration.
Nassif Building, 400 Seventh Street SW., Washington, D.C. 20590.
---------------------------------------------------------------------------

(2) Buses manufactured on or after July 1, 1971. Every bus
manufactured on or after July 1, 1971, must conform to the requirements
of Federal Motor Vehicle Safety Standard No. 208^{1 (Sec. 571.208)
(relating to installation of seat belt assemblies) and Federal Motor
Vehicle Safety Standard No. 210^{1 (Sec. 571.210) (relating to
installation of seat belt assembly anchorages).
(3) Buses manufactured on or after January 1, 1972. Every bus
manufactured on or after January 1, 1972, must conform to the
requirements of Federal Motor Vehicle Safety Standard No. 207^{1
(Sec. 571.207) (relating to seating systems).
(b) Trucks and truck tractors--(1) Trucks and truck tractors
manufactured on and after January 1, 1965, and before July 1, 1971.
Except as provided in paragraph (d) of this section, after June 30,
1972, every truck and truck tractor manufactured on or after January 1,
1965, and before July 1, 1971, must be equipped with a Type 1 or Type 2
seat belt assembly that conforms to Federal Motor Vehicle Safety
Standard No. 209 (Sec. 571.209) installed at the driver's seat and at
the right front outboard seat, if the vehicle has one, and seat belt
assembly anchorages that conform to the location and geometric
requirements of Federal Motor Vehicle Safety Standard No. 210
(Sec. 571.210) for each seat belt assembly that is required by this
subparagraph.
(2) Trucks and truck tractors manufactured on or after July 1, 1971.
Every truck and truck tractor manufactured on or after July 1, 1971,
except a truck or truck tractor being transported in driveaway-towaway
operation and having an incomplete vehicle seating and cab
configuration, must conform to the requirements of Federal Motor Vehicle
Safety Standard No. 208 ^{1 (Sec. 571.208) (relating to installation
of seat belt assemblies) and Federal Motor Vehicle Safety Standard No.
210^{1 (Sec. 571.210) (relating to installation of seat belt assembly
anchorages).
---------------------------------------------------------------------------

^{1 See footnote to Sec. 393.93(a).
---------------------------------------------------------------------------

(3) Trucks and truck tractors manufactured on or after January 1,
1972. Every truck and truck tractor manufactured on or after January 1,
1972, except a truck or truck tractor being transported in driveaway-
towaway operation and having an incomplete vehicle seating and cab
configuration, must conform to the requirements of Federal Motor Vehicle
Safety Standard No. 207^{1 (Sec. 571.207) (relating to seating
systems).
(c) Effective date of standards. Whenever paragraph (a) or (b) of
this section requires conformity to a Federal Motor Vehicle Safety
Standard, the vehicle or equipment must conform to the version of the
Standard that is in effect on the date the vehicle is manufactured or on
the date the vehicle is modified to conform to the requirements of
paragraph (a) or (b) of this section, whichever is later.
(d) Trucks and truck tractors manufactured on or after January 1,
1965, and before July 1, 1971, and operated in the State of Hawaii, must
comply with

[[Page 732]]

the provisions of paragraph (b) of this section on and after January 1,
1976.

[35 FR 16839, Oct. 30, 1970, as amended at 39 FR 32561, Sept. 9, 1974;
40 FR 32336, Aug. 1, 1975]

Sec. 393.94 Vehicle interior noise levels.

(a) Application of the rule in this section. Except as provided in
paragraph (d) of this section, this section applies to all motor
vehicles manufactured on and after October 1, 1974. On and after April
1, 1975, this section applies to all motor vehicles manufactured before
October 1, 1974.
(b) General rule. The interior sound level at the driver's seating
position of a motor vehicle must not exceed 90 dB(A) when measured in
accordance with paragraph (c) of this section.
(c) Test procedure.^{2 (1) Park the vehicle at a location so that
no large reflecting surfaces, such as other vehicles, signboards,
buildings, or hills, are within 50 feet of the driver's seating
position.
---------------------------------------------------------------------------

^{2 Standards of the American National Standards Institute are
published by the American National Standards Institute. Information and
copies may be obtained by writing to the Institute at 1430 Broadway, New
York, N.Y. 10018.
---------------------------------------------------------------------------

(2) Close all vehicle doors, windows, and vents. Turn off all power-
operated accessories.
(3) Place the driver in his/her normal seated position at the
vehicle's controls. Evacuate all occupants except the driver and the
person conducting the test.
(4) Use a sound level meter which meets the requirements of the
American National Standards Institute Standard ANSI S1.4-1971
Specification for Sound Level Meters, for Type 2 Meters. Set the meter
to the A-weighting network, ``fast'' meter response.
(5) Locate the microphone, oriented vertically upward, 6 inches to
the right of, in the same plane as, and directly in line with, the
driver's right ear.
(6) With the vehicle's transmission in neutral gear, accelerate its
engine to either its maximum governed engine speed, if it is equipped
with an engine governor, or its speed at its maximum rated horsepower,
if it is not equipped with an engine governor. Stabilize the engine at
that speed.
(7) Observe the A-weighted sound level reading on the meter for the
stabilized engine speed condition. Record that reading, if the reading
has not been influenced by extraneous noise sources such as motor
vehicles operating on adjacent roadways.
(8) Return the vehicle's engine speed to idle and repeat the
procedures specified in paragraphs (c) (6) and (7) of this section until
two maximum sound levels within 2 dB of each other are recorded.
Numerically average those two maximum sound level readings.
(9) The average obtained in accordance with paragraph (c)(8) of this
section is the vehicle's interior sound level at the driver's seating
position for the purpose of determining whether the vehicle conforms to
the rule in paragraph (b) of this section. However, a 2 dB tolerance
over the sound level limitation specified in that paragraph is permitted
to allow for variations in test conditions and variations in the
capabilities of meters.
(10) If the motor vehicle's engine radiator fan drive is equipped
with a clutch or similar device that automatically either reduces the
rotational speed of the fan or completely disengages the fan from its
power source in response to reduced engine cooling loads the vehicle may
be parked before testing with its engine running at high idle or any
other speed the operator may choose, for sufficient time but not more
than 10 minutes, to permit the engine radiator fan to automatically
disengage.
(d) Vehicles manufactured before October 1, 1974, and operated
wholly within the State of Hawaii, need not comply with this section
until April 1, 1976.

[38 FR 30881, Nov. 8, 1973, as amended at 40 FR 32336, Aug. 1, 1975; 41
FR 28268, July 9, 1976]

Subpart H--Emergency Equipment

Sec. 393.95 Emergency equipment on all power units.

Except for a lightweight vehicle, every bus, truck, truck-tractor,
and every driven vehicle in driveaway-towaway operation must be equipped
as follows:

[[Page 733]]

(a) Fire extinguisher. (1) Except as provided in paragraph (a)(4) of
this section, every power unit must be equipped with a fire extinguisher
that is properly filled and located so that it is readily accessible for
use. The fire extinguisher must be securely mounted on the vehicle. The
fire extinguisher must be designed, constructed, and maintained to
permit visual determination of whether it is fully charged. The fire
extinguisher must have an extinguishing agent that does not need
protection from freezing. The fire extinguisher must not use a
vaporizing liquid that gives off vapors more toxic than those produced
by the substances shown as having a toxicity rating of 5 or 6 in the
Underwriters' Laboratories ``Classification of Comparative Life Hazard
of Gases and Vapors.'' ^{1
---------------------------------------------------------------------------

1 Copies of the Classification can be obtained by writing to
Underwriters' Laboratories, Inc., 205 East Ohio Street, Chicago, Ill.
60611.
---------------------------------------------------------------------------

(2)(i) Before July 1, 1971, a power unit that is used to transport
hazardous materials must be equipped with a fire extinguisher having an
Underwriters' Laboratories rating ^{2 of 4 B:C or more. On and after
July 1, 1971, a power unit that is used to transport hazardous materials
must be equipped with a fire extinguisher having an Underwriters'
Laboratories rating ^{2 of 10 B:C or more.
---------------------------------------------------------------------------

^{2 Underwriters' Laboratories ratings are given to fire
entinguishers under the standards of Underwriters' Laboratories, Inc.,
205 East Ohio Street, Chicago, Ill. 60611. Extinguishers must conform to
the standards in effect on the date of manufacture or on Jan. 1, 1969,
whichever is earlier.
---------------------------------------------------------------------------

(ii) Before January 1, 1973, a power unit that is not used to
transport hazardous materials must be equipped with a fire extinguisher
having an Underwriters' Laboratories rating^{2 of 4 B:C or more. On
and after January 1, 1973, a power unit that is not used to transport
hazardous materials must be equipped with either--
(A) A fire extinguisher having an Underwriters' Laboratories
rating^{2 of 5 B:C or more; or
(B) Two fire extinguishers, each of which has an Underwriters'
Laboratories rating^{2 of 4 B:C or more.
(iii) Each fire extinguisher required by this subparagraph must be
labeled or marked with its Underwriters' Laboratories rating^{2 and
must meet the requirements of paragraph (a)(1) of this section.
(3) For purposes of this paragraph, a power unit is used to
transport hazardous materials only if the power unit or a motor vehicle
towed by the power unit must be marked or placarded in accordance with
Sec. 177.823 of this title.
(4) This paragraph does not apply to the driven unit in a driveaway-
towaway operation.
(b) [Reserved]
(c) Spare fuses. At least one spare fuse or other overload
protective device, if the devices used are not of a reset type, for each
kind and size used. In driveaway-towaway operations, spares located on
any one of the vehicles will be deemed adequate.
(d)-(e) [Reserved]
(f) Warning devices for stopped vehicles. Except as provided in
paragraph (g) of this section, one of the following combinations of
warning devices:
(1) Vehicles equipped with warning devices before January 1, 1974.
Warning devices specified below may be used until replacements are
necessary:
(i) Three liquid-burning emergency flares which satisfy the
requirements of SAE Standard J597, ``Liquid Burning Emergency Flares,''
and three fusees and two red flags; or
(ii) Three electric emergency lanterns which satisfy the
requirements of SAE Standard J596, ``Electric Emergency Lanterns,'' and
two red flags; or
(iii) Three red emergency reflectors which satisfy the requirements
of paragraph (i) of this section, and two red flags; or
(iv) Three red emergency reflective triangles which satisfy the
requirements of paragraph (h) of this section; or
(v) Three bidirectional emergency reflective triangles that conform
to the requirements of Federal Motor Vehicle Safety Standard No. 125,
Sec. 571.125 of this title.
(2) Vehicles equipped with warning devices on and after January 1,
1974. (i) Three bidirectional emergency reflective triangles that
conform to the requirements of Federal Motor Vehicle Safety Standard No.
125, Sec. 571.125 of this title; or

[[Page 734]]

(ii) At least 6 fusees or 3 liquid-burning flares. The vehicle must
have as many additional fusees or liquid-burning flares as are necessary
to satisfy the requirements of Sec. 392.22.
(3) Supplemental warning devices. Other warning devices may be used
in addition to, but not in lieu of, the required warning devices,
provided those warning devices do not decrease the effectiveness of the
required warning devices.
(g) Restrictions on the use of flame-producing devices. Liquid-
burning flares, fusees, oil lanterns, or any signal produced by a flame
shall not be carried on any commercial motor vehicle transporting
Division 1.1, 1.2, 1.3 (explosives) hazardous materials; any cargo tank
motor vehicle used for the transportation of Division 2.1 (flammable
gas) or Class 3 (flammable liquid) hazardous materials whether loaded or
empty; or any commercial motor vehicle using compressed gas as a motor
fuel.
(h) Requirements for emergency reflective triangles manufactured
before January 1, 1974. (1) Each reflector shall be a collapsible
equilateral triangle, with legs not less than 17 inches long and not
less than 2 inches wide. The front and back of the exposed leg surfaces
shall be covered with red reflective material not less than one half
inch in width. The reflective surface, front and back, shall be
approximately parallel. When placed in position, one point of the
triangle shall be upward. The area within the sides of the triangle
shall be open.
(2) Reflective material: The reflecting material covering the leg
of the equilateral triangle shall comply either with:
(i) The requirements for reflex-reflector elements made of red
methyl-methacrylate plastic material, meeting the color, sealing,
minimum candle-power, wind test, vibration test, and corrosion
resistance test of section 3 and 4 of Federal Specification RR-R-1185,
dated November 17, 1966, or
(ii) The requirements for red reflective sheeting of Federal
Specification L-S-300, dated September 7, 1965, except that the
aggregate candlepower of the assembled triangle, in one direction, shall
be not less than eight when measured at 0.2 deg. divergence angle and --
4 deg. incidence angle, and not less than 80 percent of the candlepower
specified for 1 square foot of material at all other angles shown in
Table II, Reflective Intensity Values, of L-S-300.
(3) Reflective surfaces alignment: Every reflective triangle shall
be so constructed that, when the triangle is properly placed, the
reflective surfaces shall be in a plane perpendicular to the plane of
the roadway surface with a permissible tolerance of
^{plus-minus10 deg.. Reflective triangles which are collapsible shall
be provided with means for holding the reflective surfaces within the
required tolerance. Such holding means shall be readily capable of
adjustment without the use of tools or special equipment.
(4) Reflectors mechanical adequacy: Every reflective triangle shall
be of such weight and dimensions as to remain stationary when subjected
to a 40 mile per hour wind when properly placed on any clean, dry paved
road surface. The reflective triangle shall be so constructed as to
withstand reasonable shocks without breakage.
(5) Reflectors, incorporation in holding device: Each set of
reflective triangles shall be adequately protected by enclosure in a
box, rack, or other adequate container specially designed and
constructed so that the reflectors may be readily extracted for use.
(6) Certification: Every red emergency reflective triangle designed
and constructed to comply with these requirements shall be plainly
marked with the certification of the manufacturer that it complies
therewith.
(i) Requirements for red emergency reflectors. Each red emergency
reflector shall conform in all respects to the following requirements:
(1) Reflecting elements required. Each reflector shall be composed
of at least two reflecting elements or surfaces on each side, front and
back. The reflecting elements, front and back, shall be approximately
parallel.
(2) Reflecting elements to be Class A. Each reflecting element or
surface shall meet the requirement for a red Class A reflector contained
in the SAE

[[Page 735]]

Recommended Practice ^{1 ``Reflex Reflectors.'' The aggregate
candlepower output of all the reflecting elements or surface in one
direction shall not be less than 12 when tested in a perpendicular
position with observation at one-third degree as specified in the
Photometric Test contained in the above-mentioned Recommended Practice.
---------------------------------------------------------------------------

^{1 See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------

(3) Reflecting surfaces, protection. If the reflector or the
reflecting elements are so designed or constructed that the reflecting
surfaces would be adversely affected by dust, soot, or other foreign
matter or contacts with other parts of the reflector or its container,
then such reflecting surfaces shall be adequately sealed within the body
of the reflector.
(4) Reflecting surfaces to be perpendicular. Every reflector shall
be so constructed that, when the reflector is properly placed, every
reflecting element or surface is in a plane perpendicular to the plane
of the roadway surface. Reflectors which are collapsible shall be
provided with means for locking the reflector elements or surfaces in
the required position; such locking means shall be readily capable of
adjustment without the use of tools or special equipment.
(5) Reflectors, mechanical adequacy. Every reflector shall be of
such weight and dimensions as to remain stationary when subjected to a
40 mile per hour wind when properly placed on any clean, dry, paved road
surface. The reflector shall be so constructed as to withstand
reasonable shocks without breakage.
(6) Reflectors, incorporation on holding device. Each set of
reflectors and the reflecting elements or surfaces incorporated therein
shall be adequately protected by enclosure in a box, rack, or other
adequate container specially designed and constructed so that the
reflectors may be readily extracted for use.
(7) Certification. Every red emergency reflector designed and
constructed to comply with these requirements shall be plainly marked
with the certification of the manufacturer that it complies therewith.
(j) Requirements for fusees and liquid-burning flares. Each fusee
shall be capable of burning for 30 minutes, and each liquid-burning
flare shall contain enough fuel to burn continuously for at least 60
minutes. Fusees and liquid-burning flares shall conform to the
requirements of Underwriters Laboratories, Inc., UL No. 912, Highway
Emergency Signals, Fourth Edition, July 30, 1979, (with an amendment
dated November 9, 1981). (See Sec. 393.7(b) for information on the
incorporation by reference and availability of this document.) Each
fusee and liquid-burning flare shall be marked with the UL symbol in
accordance with the requirements of UL 912.
(k) Requirements for red flags. Red flags shall be not less than 12
inches square, with standards adequate to maintain the flags in an
upright position.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[33 FR 19735, Dec. 25, 1968, as amended at 35 FR 13019, Aug. 15, 1970;
35 FR 14619, Sept. 18, 1970; 37 FR 17176, Aug. 25, 1972; 40 FR 10685,
Mar. 7, 1975; 41 FR 53031, Dec. 3, 1976; 47 FR 47837, Oct. 28, 1982; 59
FR 34712, July 6, 1994]

Subpart I--Protection Against Shifting or Falling Cargo

Source: 38 FR 23522, Aug. 31, 1973, unless otherwise noted.

Sec. 393.100 General rules for protection against shifting or falling cargo.

(a) Application and scope of the rules in this section. This section
applies to trucks, truck tractors, semitrailers, full trailers, and pole
trailers. Each of those motor vehicles must, when transporting cargo, be
loaded and equipped to prevent the shifting or falling of the cargo in
the manner prescribed by the rules in paragraph (b) of this section. In
addition, each cargo-carrying motor vehicle must conform to the
applicable rules in Secs. 393.102, 393.104, and 393.106.
(b) Basic protection components. Each cargo-carrying motor vehicle
must be equipped with devices providing protection against shifting or
falling cargo that meet the requirements of either paragraph (b) (1),
(2), (3), or (4) of this section.
(1) Option A. The vehicle must have sides, side-boards, or stakes,
and a rear

[[Page 736]]

endgate, endboard, or stakes. Those devices must be strong enough and
high enough to assure that cargo will not shift upon, or fall from the
vehicle. Those devices must have no aperture large enough to permit
cargo in contact with one or more of the devices to pass through it.
(2) Option B. The vehicle must have at least one tiedown assembly
that meets the requirements of Sec. 393.102 for each 10 linear feet of
lading or fraction thereof. (However, a pole trailer or an expandable
trailer transporting metal articles under the special rules in paragraph
(c) of this section is required only to have two or more of those
tiedown assemblies at each end of the trailer.) In addition, the vehicle
must have as many additional tiedown assemblies meeting the requirements
of Sec. 393.102 as are necessary to secure all cargo being transported
either by direct contact between the cargo and the tiedown assemblies or
by dunnage which is in contact with the cargo and is secured by tiedown
assemblies.^{1
---------------------------------------------------------------------------

1 Tiedown assemblies or dunnage in contact with sufficient exterior
(including topmost) pieces of the cargo and securely holding each
interior or lower piece comply with this requirement.
---------------------------------------------------------------------------

(3) Option C (for vehicles transporting metal articles only). A
vehicle transporting cargo which consists of metal articles must conform
to either the rules in paragraph (b) (1), (2), or (4) of this section,
or the special rules for transportation of metal articles set forth in
paragraph (c) of this section.
(4) Option D. The vehicle must have other means of protecting
against shifting or falling cargo which are similar to, and at least as
effective as, those specified in paragraph (b) (1), (2), or (3) of this
section.
(c) Special rules for metal articles--(1) Scope of the rules in this
paragraph. The rules in this paragraph apply to a motor vehicle
transporting cargo consisting of metal articles if that vehicle does not
conform to the rules in paragraph (b) (1), (2), or (4) of this section.
(2) Application of other sections. A motor vehicle transporting
property consisting of metal articles must, regardless of whether the
rules in this paragraph apply to it, conform to the rules in
Sec. 393.102 (relating to securement systems), Sec. 393.104 (relating to
blocking and bracing of cargo), and Sec. 393.106 (relating to front-end
structure requirements).
(3) Coils. Whenever a motor carrier transports one or more coils of
metal which, individually or as a combination banded together, weigh
5,000 pounds or more, the coils shall be secured in the following
manner:
(i) Coils with eyes vertical: One or more coils which are grouped
and loaded side by side in a transverse or longitudinal row must be
secured by--
(a) A tiedown assembly against the front of the coil or row of
coils, restraining against forward motion;
(b) A tiedown assembly against the rear of the coil or row of coils,
restraining against rearward motion; and
(c) A tiedown assembly over the top of each coil or transverse row
of coils, restraining against vertical motion.

The same tiedown assembly shall not be used to comply with more than one
of the requirements of paragraph (c)(3)(i) (a), (b), or (c) of this
section.
[GRAPHIC] [TIFF OMITTED] TC01AP91.031

(ii) Coils with eyes crosswise: Each coil or transverse row of
coils loaded side by side and having approximately the same outside
diameters must be secured by--
(a) A tiedown assembly through the eye of each coil, restricting
against forward motion and making an angle of less than 45 deg. with the
horizontal when viewed from the side of the vehicle;
(b) A tiedown assembly through the eye of each coil, restricting
against rearward motion and making an angle of less than 45 deg. with
the horizontal when viewed from the side of the vehicle; and
(c) Timbers, having a nominal cross section of 4 x 4 inches or more
and a length which is at least 75 percent of

[[Page 737]]

the width of the coil or row of coils, tightly placed against both the
front and rear sides of the coil or row of coils and restrained to
prevent movement of the coil or coils in the forward and rearward
directions.
(d) If coils are loaded to contact each other in the longitudinal
direction and relative motion between coils, and between coils and the
vehicle, is prevented by tiedown assemblies and timbers--
(1) Only the foremost and rearmost coils must be secured with
timbers; and
(2) A single tiedown assembly, restricting against forward motion,
may be used to secure any coil except the rearmost one, which must be
restrained against rearward motion.
[GRAPHIC] [TIFF OMITTED] TC01AP91.032

(iii) Coils with eyes lengthwise: A coil or transverse row of coils
having approximately equal outside diameters and loaded side by side or
a longitudinal row of coils having approximately equal outside diameters
and loaded end to end must be secured as follows:
(a) The coil or coils must be restrained against side-by-side and
fore-and-aft movement by--
(1) One or more tiedown assemblies over the top of each coil or
transverse row; or
(2) Two or more tiedown assemblies through the eye of each coil or
longitudinal row; or
(3) One or more tiedown assemblies, crossing from one side of the
vehicle to the other, through the eye of each coil or longitudinal row
of coils in a transverse row.
(b) Timbers having nominal cross section of 4 x 4 inches or more
must be tightly placed against the sides of each coil or against the
outboard sides of each transverse row of coils which are loaded side by
side so that the timbers restrain against side-to-side movement.
(c) If, in accordance with paragraph (c)(3)(iii)(a)(1) of this
section, only one tiedown assembly over the top of each coil or
transverse row of coils is used to restrain against side-to-side
movement and fore-and-aft movement, timbers having a nominal cross
section of 2 x 4 inches or more and which are firmly secured to
longitudinal blocking must be tightly placed against the front and back
of each coil, each longitudinal row of coils, and each transverse row of
coils in a manner which restricts forward and rearward movement.
[GRAPHIC] [TIFF OMITTED] TC01AP91.033

(iv) Timber which is used for blocking must be sound lumber which is
free of defects (such as knots or cracks) that materially reduce its
strength.
(v) Timbers need not be used on vehicles which have depressions in
the floor or are equipped with other restraining devices which perform
the functions specified for timbers by the rules in this section.
(vi) As used in this section, the term ``nominal'', when used to
describe timber, means commercially dressed sizes generally designated
by the dimensions indicated.
(4) Miscellaneous metal articles. Except as provided in paragraph
(c)(4)(iv) of this section, whenever a motor carrier transports metal
articles consisting of cut-to-length bars, plates, rods, sheet and tin
mill products, billets, blooms, ingots, slabs, structural shapes, or
pipe, and other tubular products and those articles, either individually
or as a combination of articles banded or boxed together and handled as
a single unit, weigh more than 2,000 pounds, the article shall be
secured in the following manner:

[[Page 738]]

(i) A single article, a group of articles, or a combination of
articles loaded side by side across the width of the vehicle must be
secured by at least one tiedown assembly over its top for at least every
8 feet of its length and at least two tiedown assemblies securing each
individual article or combination of articles banded or otherwise
secured together and handled as a single unit. However, articles which
individually have a length of 8 feet or less and which are securely
butted against each other in the fore-and-after direction may be secured
by metal angles secured by tiedown assemblies, or they may be secured by
a timber having a nominal cross section of 4 x 4 inches or more placed
longitudinally over the articles and secured by tiedown assemblies.
Tiedown assemblies may not be located beyond the ends of the article
which they secure.
(ii) If articles are tiered and each tiered article rests securely
on the one beneath it, the tier may be secured in the same manner as a
single level of those articles is secured in accordance with the rules
in this section.
(iii) Pole trailers must either comply with the requirements of
paragraph (c)(4) (i) and (ii) of this section or have at least two
tiedown assemblies securing the load to the forward bolster and at least
two tiedown assemblies securing the load to the rear bolster.
(iv) The rules in this paragraph do not apply to special loads
consisting of machinery or fabricated structural items, such as beams,
girders, and trusses, which are fastened by special methods. However,
those loads must be securely and adequately fastened to the vehicle.
(d) Special rule for special-purpose vehicles. The rules in this
section do not apply to a vehicle transporting one or more articles
which, because of their size, shape, or weight, must be carried on
special-purpose vehicles or must be fastened by special methods.
However, any article carried on that vehicle must be securely and
adequately fastened to the vehicle.
(e) Special rule for intermodal cargo containers. Containers
designed for the transportation of containerized, intermodal cargo and
having integral securement devices must be fastened to the chassis of
the motor vehicle with securement devices that prevent them from being
unintentionally unfastened. The securement devices must restrain the
container from moving more than one-half inch forward, more than one-
half inch aft, more than one-half inch to the right, more than one-half
inch to the left, or more than one inch vertically when the container is
subjected to the following accelerations relative to the vehicle:

------------------------------------------------------------------------
Direction of force relative to longitudinal axis of Acceleration
vehicle in G's
------------------------------------------------------------------------
Downward.................................................. 1.70
Upward.................................................... 0.50
Lateral................................................... 0.30
Longitudinal.............................................. 1.80
------------------------------------------------------------------------

(f) Effective date. This section is effective on October 1, 1973.

Sec. 393.102 Securement systems.

(a) Application and scope of the rules in this section. The rules in
this section apply to tiedown assemblies (including chains, cables,
steel straps, and fiber webbing), other securement devices, and
attachment or fastening devices used in conjunction therewith, which are
used to secure cargo to motor vehicles in transit. All devices which are
used to secure cargo to a motor vehicle in transit under the rules in
this subpart must conform to the requirements of this section.
(b) Tiedown assemblies. Except for integral securement devices of
containers designed for the transportation of containerized, intermodal
cargo which conform to the rules in Sec. 393.100(e), the aggregate
working load limit of the tiedown assemblies used to secure an article
against movement in any direction must be at least 1/2 times the weight
of the article. With the exception of marking identification, tiedowns
used must meet applicable manufacturing standards listed in this
paragraph (b).
(1) Steel strapping. Steel strapping used as a component of a
tiedown assembly must conform to the requirements of the 1991 edition of
the American Society for Testing and Materials' Standard Specification
for Strapping, Flat Steel and Seals, ASTM D3953-91. Steel strapping
which is not marked by the manufacturer with a working load

[[Page 739]]

limit, shall be considered to have a working load limit equal to 1/4 of
the breaking strength listed in ASTM D3953-91. (See Sec. 393.7(b) for
information on the incorporation by reference and availability of this
document.) Steel strapping that is one inch wide or wider must have at
least two pairs of crimps in each seal and when an end-over-end lap
joint is formed, it must be sealed with at least two seals.
(2) Chain. Chain used as a component of a tiedown assembly must
conform to the requirements of the June 15, 1990, edition of the
National Association of Chain Manufacturers' Welded Steel Chain
Specifications applicable to all types of chain. (See Sec. 393.7(b) for
information on the incorporation by reference and availability of this
document.)
(3) Webbing. Webbing used as a component of a tiedown assembly must
conform to the requirements of the 1991 edition of the Web Sling and
Tiedown Association's Recommended Standard Specification for Synthetic
Webbing Tiedowns. (See Sec. 393.7(b) for information on the
incorporation by reference and availability of this document.)
(4) Wire rope. Wire rope used as a component of a tiedown assembly
must conform to the requirements of the November 1985 second edition of
the Wire Rope Technical Board's Wire Rope Users Manual. Wire rope which
is not marked by the manufacturer with a working load limit, shall be
considered to have a working load limit equal to \1/4\ of the nominal
strength listed in the Wire Rope Users Manual. (See Sec. 393.7(b) for
information on the incorporation by reference and availability of this
document.)
(5) Cordage. Cordage used as a component of a tiedown assembly, must
conform to the applicable Cordage Institute rope standards listed below:
PETRS-2, Polyester Fiber Rope, 3-Strand and 8-Strand Constructions,
January, 1993; PPRS-2, Polypropylene Fiber Rope, 3-Strand and 8-Strand
Constructions, August, 1992; CRS-1, Polyester/Polypropylene Composite
Rope Specifications, Three- and Eight-Strand Standard Construction, May
1979; NRS-1, Nylon Rope Specifications, Three- and Eight-Strand Standard
Construction, May 1979; C1, Double Braided Nylon Rope Specifications,
DBN-January 1984. (See Sec. 393.7(b) for information on the
incorporation by reference and availability of these documents.)
(6) Tables of working load limits. The working load limits listed in
the tables in this paragraph are to be used when the tiedown material is
not marked by the manufacturer with the working load limit. Tiedown
materials which are marked by the manufacturer with working load limits
which differ from the table, shall be considered to have a working load
limit equal to the value for which they are marked. Synthetic cordage
(e.g., nylon, polypropylene, polyester) which is not marked or labeled
to enable identification of its composition or working load limit shall
be considered to have a working load limit equal to that for
polypropylene fiber rope.

Tables to Sec. 393.102(b)(6)--Working Load Limits (WLL)
[Chain WLL in pounds (kg)]
----------------------------------------------------------------------------------------------------------------
Grade 3 proof Grade 4 high Grade 7
Size inch (mm) coil test transport Grade 8 alloy
----------------------------------------------------------------------------------------------------------------
\1/4\ (7)............................... 1300 (590) 2600 (1180) 3150 (1430) 3500 (1590)
\5/16\ (8).............................. 1900 (860) 3900 (1770) 4700 (2130) 5100 (2310)
\3/8\ (10).............................. 2650 (1200) 5400 (2450) 6600 (2990) 7100 (3220)
\7/16\ (11)............................. 3500 (1590) 5800 (2630) 8750 (3970) ................
\1/2\ (13).............................. 4500 (2040) 9200 (4170) 11300 (5130) 12000 (5440)
\5/8\ (16).............................. 6900 (3130) 11500 (5220) 15800 (7170) 18100 (8210)
Chain Mark.............................. PC HT ................ T
Examples................................ 3 4 7 8
30 40 70 80
----------------------------------------------------------------------------------------------------------------

Synthetic Webbing WLL
------------------------------------------------------------------------
Width inch (mm) WLL pounds (kg)
------------------------------------------------------------------------
1-\3/4\ (45).......................................... 1750 (790)
2 (50)................................................ 2000 (910)

[[Page 740]]

3 (75)................................................ 3000 (1360)
4 (100)............................................... 4000 (1810)
------------------------------------------------------------------------

Wire Rope (6 X 37, Fiber Core) WLL
------------------------------------------------------------------------
Diameter inch (mm) WLL pounds (kg)
------------------------------------------------------------------------
\1/4\ (7)............................................. 1400 (640)
\5/16\ (8)............................................ 2100 (950)
\3/8\ (10)............................................ 3000 (1360)
\7/16\ (11)........................................... 4100 (1860)
\1/2\ (13)............................................ 5300 (2400)
\5/8\ (16)............................................ 8300 (3770)
\3/4\ (20)............................................ 10900 (4940)
\7/8\ (22)............................................ 16100 (7300)
1 (25)................................................ 20900 (9480)
------------------------------------------------------------------------

Manila Rope WLL
------------------------------------------------------------------------
Diameter inch (mm) WLL pounds (kg)
------------------------------------------------------------------------
\3/8\ (10)............................................ 205 (90)
\7/16\ (11)........................................... 265 (120)
\1/2\ (13)............................................ 315 (150)
\5/8\ (16)............................................ 465 (210)
\3/4\ (20)............................................ 640 (290)
1 (25)................................................ 1050 (480)
------------------------------------------------------------------------

Polypropylene Fiber Rope WLL (3-Strand and 8-Strand Constructions)
------------------------------------------------------------------------
Diameter inch (mm) WLL pounds (kg)
------------------------------------------------------------------------
\3/8\ (10)............................................ 400 (180)
\7/16\ (11)........................................... 525 (240)
\1/2\ (13)............................................ 625 (280)
\5/8\ (16)............................................ 925 (420)
\3/4\ (20)............................................ 1275 (580)
1 (25)................................................ 2100 (950)
------------------------------------------------------------------------

Polyester Fiber Rope WLL (3-Strand and 8-Strand Constructions)
------------------------------------------------------------------------
Diameter inch (mm) WLL pounds (kg)
------------------------------------------------------------------------
\3/8\ (10)............................................ 555 (250)
\7/16\ (11)........................................... 750 (340)
\1/2\ (13)............................................ 960 (440)
\5/8\ (16)............................................ 1500 (680)
\3/4\ (20)............................................ 1880 (850)
1 (25)................................................ 3300 (1500)
------------------------------------------------------------------------

Nylon Rope WLL
------------------------------------------------------------------------
Diameter inch (mm) WLL pounds (kg)
------------------------------------------------------------------------
\3/8\ (10)............................................ 278 (130)
\7/16\ (11)........................................... 410 (190)
\1/2\ (13)............................................ 525 (240)
\5/8\ (16)............................................ 935 (420)
\3/4\ (20)............................................ 1420 (640)
1 (25)................................................ 2520 (1140)
------------------------------------------------------------------------

Double Braided Nylon Rope WLL
------------------------------------------------------------------------
Diameter inch (mm) WLL pounds (kg)
------------------------------------------------------------------------
\3/8\ (10)............................................ 336 (150)
\7/16\ (11)........................................... 502 (230)
\1/2\ (13)............................................ 655 (300)
\5/8\ (16)............................................ 1130 (510)
\3/4\ (20)............................................ 1840 (830)
1 (25)................................................ 3250 (1470)
------------------------------------------------------------------------

[[Page 741]]

Steel Strapping WLL
------------------------------------------------------------------------
Width - thickness inch WLL pounds (kg)
------------------------------------------------------------------------
1-\1/4\ x 0.029..................................... 1190 (540)
1-\1/4\ x 0.031..................................... 1190 (540)
1-\1/4\ x 0.035..................................... 1190 (540)
1-\1/4\ x 0.044..................................... 1690 (770)
1-\1/4\ x 0.050..................................... 1690 (770)
1-\1/4\ x 0.057..................................... 1925 (870)
2 x 0.044........................................... 2650 (1200)
2 x 0.050........................................... 2650 (1200)
------------------------------------------------------------------------

(c) Load binders and hardware. The strength of load binders and
hardware that are part of, or used in conjunction with, a tiedown
assembly must be equal to, or greater than the minimum strength
specified for that tiedown assembly in paragraph (b) of this section.
(d) Attachment to the vehicle. The hook, bolt, weld, or other
connector by which a tiedown assembly is attached to a vehicle, and the
mounting place and means of mounting the connector, must be at least as
strong as the tiedown assembly when that connector is loaded in any
direction in which the tiedown assembly may load it.
(e) Winches or other fastenings. The anchorages of a winch or other
fastening device mounted on a vehicle and used in conjunction with a
tiedown assembly must have a combined tensile strength equal to, or
greater than, the strength of the tiedown assembly.
(f) Adjustability. A tiedown assembly and its associated connectors
and attachment devices must be designed, constructed, and maintained so
that the driver of an in-transit vehicle can tighten them. However, the
rules in this paragraph do not apply to a securement system in which the
tiedown assembly consists of steel strapping or to a tiedown assembly
which is not required by the rules in this section.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[38 FR 23522, Aug. 31, 1973, as amended at 47 FR 47837, Oct. 28, 1982;
59 FR 34718, July 6, 1994; 59 FR 43898, Aug. 25, 1994]

Sec. 393.104 Blocking and bracing.

(a) Protection against longitudinal movement. When a motor vehicle
carries cargo that is not firmly braced against a front-end structure
that conforms to the requirements of Sec. 393.106, the cargo must be
secured so that, when the vehicle decelerates at a rate of 20 feet per
second per second, the cargo will remain on the vehicle and will not
penetrate the vehicle's front-end structure.
(b) Protection against lateral movement. When a vehicle carries
cargo that may shift sideways in transit, the cargo must either be
securely blocked or braced against the sides, sideboards, or stakes of
the vehicle or be secured by devices that conform to the requirements of
paragraph (b)(2), (b)(3), or (b)(4) of Sec. 393.100.
(c) Effective date. This section is effective on October 1, 1973.

[38 FR 23522, Aug. 31, 1973, as amended at 38 FR 25183, Sept. 12, 1973]

Sec. 393.106 Front-end structure.

(a) General rule. (1) Except as provided in paragraph (g) of this
section, every cargo-carrying motor vehicle must be equipped with a
headerboard or similar device of sufficient strength to prevent load
shifting and penetration or crushing of the driver's compartment.
(2) On and after the effective dates specified in paragraph (h) of
this section, every cargo-carrying motor vehicle must have a front-end
structure that conforms to the rules in this section.
(b) Location. The front-end structure must be located between the
vehicle's cargo and the vehicle's driver.
(c) Height and width. The front-end structure must extend either to
a height of 4 feet above the floor of the vehicle or to a height at
which it blocks forward movement of any item of cargo being carried on
the vehicle, whichever is lower. The front-end structure must have a
width which is at least equal to the width of the vehicle or which
blocks forward movement of any item of cargo being transported on the
vehicle, whichever is narrower.

[[Page 742]]

(d) Strength. The front-end structure must be capable of
withstanding the horizontal forward static load specified in either
paragraph (d) (1) or (2) of this section.
(1) For a front-end structure less than 6 feet in height, a
horizontal forward static load equal to one half (\1/2\) of the weight
of the cargo being transported on the vehicle uniformly distributed over
the entire portion of the front-end structure that is within 4 feet
above the vehicle's floor or that is at or below a height above the
vehicle's floor at which it blocks forward movement of any item of the
vehicle's cargo, whichever is less.
(2) For a front-end structure 6 feet in height or higher, a
horizontal forward static load equal to four-tenths (0.4) of the weight
of the cargo being transported on the vehicle uniformly distributed over
the entire front-end structure.
(e) Penetration resistance. The front-end structure must be
designed, constructed and maintained so that it is capable of resisting
penetration by any item of cargo that contacts it when the vehicle
decelerates at a rate of 20 feet per second per second. The front-end
structure must have no aperture large enough to permit any item of cargo
in contact with the structure to pass through it.
(f) Substitute devices. The requirements of this section may be met
by the use of devices performing the same functions as a front-end
structure, if the devices are at least as strong as, and provide
protection against shifting cargo at least equal to, a front-end
structure which conforms to those requirements.
(g) Exemptions. The following motor vehicles are exempt from the
rules in this section:
(1) A vehicle which is designed and used exclusively to transport
other vehicles, if each vehicle it transports is securely tied down by
devices that conform to the requirements of Sec. 393.102.
(2) A pole trailer or semitrailer being towed by a truck tractor
that is equipped with a front-end structure that conforms to the rules
in this section.
(3) A full trailer being towed by a vehicle that is equipped with a
front-end structure that conforms to the requirements of this section
for a front-end structure.
(4) A full trailer being towed by a vehicle that is loaded in such a
manner that the cargo on the towing vehicle conforms to the requirements
of this section for a front-end structure.
(5) The rules in paragraphs (d) and (e) of this section do not apply
to a motor vehicle manufactured before January 1, 1974.
(h) Effective dates. Cargo-carrying motor vehicles which are not
exempted by paragraph (g) of this section must conform to the rules in
this section as follows:

------------------------------------------------------------------------
It must conform to
If the vehicle was manufactured-- the rules in On and after--
paragraph--
------------------------------------------------------------------------
Before Jan. 1, 1974............. (a), (b), and (f). October 1, 1973 or
the date it was
manu- factured,
whichever is
later.
Before Jan. 1, 1974............. (c)............... January 1, 1975.
On or after Jan. 1, 1974........ (a) through (f) The date it was
inclusive. manufactured.
------------------------------------------------------------------------

Paragraphs (d) and (e) of this section do not apply to a motor vehicle
that was manufactured before January 1, 1974.

Subpart J--Frames, Cab and Body Components, Wheels, Steering, and
Suspension Systems

Source: 53 FR 49402, Dec. 7, 1988, unless otherwise noted.

Sec. 393.201 Frames.

(a) The frame of every bus, truck, and truck tractor shall not be
cracked, loose, sagging or broken.
(b) Bolts or brackets securing the cab or the body of the vehicle to
the frame must not be loose, broken, or missing.
(c) The frame rail flanges between the axles shall not be bent, cut
or notched, except as specified by the manufacturer.
(d) All accessories mounted to the truck tractor frame must be
bolted or riveted.
(e) No holes shall be drilled in the top or bottom rail flanges,
except as specified by the manufacturer.
(f) Field repairs are allowed.

[[Page 743]]

Sec. 393.203 Cab and body components.

(a) The cab compartment doors or door parts used as an entrance or
exist shall not be missing or broken. Doors shall not sag so that they
cannot be properly opened or closed. No door shall be wired shut or
otherwise secured in the closed position so that it cannot be readily
opened. Exception: When the vehicle is loaded with pipe or bar stock
that blocks the door and the cab has a roof exit.
(b) Bolts or brackets securing the cab or the body of the vehicle to
the frame shall not be loose, broken, or missing.
(c) The hood must be securely fastened.
(d) All seats must be securely mounted.
(e) The front bumper must not be missing, loosely attached, or
protruding beyond the confines of the vehicle so as to create a hazard.

Sec. 393.205 Wheels.

(a) Wheels and rims shall not be cracked or broken.
(b) Stud or bolt holes on the wheels shall shall not be elongated
(out of round).
(c) Nuts or bolts shall not be missing or loose.

Sec. 393.207 Suspension systems.

(a) Axles. No axle positioning part shall be cracked, broken, loose
or missing. All axles must be in proper alignment.
(b) Adjustable axles. Adjustable axle assemblies shall not have
locking pins missing or disengaged.
(c) Leaf springs. No leaf spring shall be cracked, broken, or
missing nor shifted out of position.
(d) Coil springs. No coil spring shall be cracked or broken.
(e) Torsion bar. No torsion bar or torsion bar suspension shall be
cracked or broken.
(f) Air suspensions. The air pressure regulator valve shall not
allow air into the suspension system until at least 55 psi is in the
braking system. The vehicle shall be level (not tilting to the left or
right). Air leakage shall not be greater than 3 psi in a 5-minute time
period when the vehicle's air pressure gauge shows normal operating
pressure.

Sec. 393.209 Steering wheel systems.

(a) The steering wheel shall be secured and must not have any spokes
cracked through or missing.
(b) The steering wheel lash shall not exceed the following
parameters:

------------------------------------------------------------------------
Manual Power
Steering wheel diameter steering steering
system system
------------------------------------------------------------------------
16'' or less.................................. 2''+ 4\1/2\''+
18''.......................................... 2\1/4\''+ 4\3/4\''+
20''.......................................... 2\1/2\''+ 5\1/4\''+
22''.......................................... 2\3/4\''+ 5\3/4\''+
------------------------------------------------------------------------

(c) Steering column. The steering column must be securely fastened.
(d) Steering system. Universal joints shall not be worn, faulty or
repaired by welding. The steering gear box shall not have loose or
missing mounting bolts or cracks in the gear box or mounting brackets.
The pitman arm on the steering gear output shaft shall not be loose.
Steering wheels shall turn freely through the limit of travel in both
directions.
(e) Power steering systems. All components of the power system must
be in operating condition. No parts shall be loose or broken. Belts
shall not be frayed, cracked or slipping. The system shall not leak. The
power steering system shall have sufficient fluid in the reservoir.

PART 394--[RESERVED]

PART 395--HOURS OF SERVICE OF DRIVERS--Table of Contents

Sec.
395.1 Scope of rules in this part.
395.2 Definitions.
395.3 Maximum driving time.
395.7 [Reserved]
395.8 Driver's record of duty status.
395.10--395.12 [Reserved]
395.13 Drivers declared out of service.
395.15 Automatic on-board recording devices.

Authority: 49 U.S.C. 31133, 31136, and 31502; sec. 345, Pub.L. 104-
59, 109 Stat. 568, 613; and 49 CFR 1.48.

Source: 33 FR 19758, Dec. 25, 1968, unless otherwise noted.

Sec. 395.1 Scope of rules in this part.

(a) General. (1) The rules in this part apply to all motor carriers
and drivers,

[[Page 744]]

except as provided in paragraphs (b) through (n) of this section.
(2) The exceptions from Federal requirements contained in paragraphs
(l) through (n) do not preempt State laws and regulations governing the
safe operation of commercial motor vehicles.
(b) Adverse driving conditions. (1) Except as provided in paragraph
(i)(2) of this section, a driver who encounters adverse driving
conditions, as defined in Sec. 395.2, and cannot, because of those
conditions, safely complete the run within the 10-hour maximum driving
time permitted by Sec. 395.3(a) may drive and be permitted or required
to drive a commercial motor vehicle for not more than 2 additional hours
in order to complete that run or to reach a place offering safety for
the occupants of the commercial motor vehicle and security for the
commercial motor vehicle and its cargo. However, that driver may not
drive or be permitted to drive--
(i) For more than 12 hours in the aggregate following 8 consecutive
hours off duty; or
(ii) After he/she has been on duty 15 hours following 8 consecutive
hours off duty.
(2) Emergency conditions. In case of any emergency, a driver may
complete his/her run without being in violation of the provisions of the
regulations in this part, if such run reasonably could have been
completed absent the emergency.
(c) Driver-salesperson. The provisions of Sec. 395.3(b) shall not
apply to any driver-salesperson whose total driving time does not exceed
40 hours in any period of 7 consecutive days.
(d) Oilfield operations. (1) In the instance of drivers of
commercial motor vehicles used exclusively in the transportation of
oilfield equipment, including the stringing and picking up of pipe used
in pipelines, and servicing of the field operations of the natural gas
and oil industry, any period of 8 consecutive days may end with the
beginning of any off-duty period of 24 or more successive hours.
(2) In the case of specially trained drivers of commercial motor
vehicles which are specially constructed to service oil wells, on-duty
time shall not include waiting time at a natural gas or oil well site;
provided, that all such time shall be fully and accurately accounted for
in records to be maintained by the motor carrier. Such records shall be
made available upon request of the Federal Highway Administration.
(e) 100 air-mile radius driver. A driver is exempt from the
requirements of Sec. 395.8 if:
(1) The driver operates within a 100 air-mile radius of the normal
work reporting location;
(2) The driver, except a driver salesperson, returns to the work
reporting location and is released from work within 12 consecutive
hours;
(3) At least 8 consecutive hours off duty separate each 12 hours on
duty;
(4) The driver does not exceed 10 hours maximum driving time
following 8 consecutive hours off duty; and,
(5) The motor carrier that employs the driver maintains and retains
for a period of 6 months accurate and true time records showing:
(i) The time the driver reports for duty each day;
(ii) The total number of hours the driver is on duty each day;
(iii) The time the driver is released from duty each day; and
(iv) The total time for the preceding 7 days in accordance with
Sec. 395.8(j)(2) for drivers used for the first time or intermittently.
(f) Retail store deliveries. The provisions of Sec. 395.3 (a) and
(b) shall not apply with respect to drivers of commercial motor vehicles
engaged solely in making local deliveries from retail stores and/or
retail catalog businesses to the ultimate consumer, when driving solely
within a 100-air mile radius of the driver's work-reporting location,
during the period from December 10 to December 25, both inclusive, of
each year.
(g) Retention of driver's record of duty status. Upon written
request to, and with the approval of, the Regional Director of Motor
Carriers for the region in which the motor carrier has its principal
place of business, a motor carrier may forward and maintain the driver's
records of duty status at a regional or terminal office. The addresses
and jurisdictions of the Regional Director of Motor Carriers offices are
shown in Sec. 390.27 of this chapter.

[[Page 745]]

(h) Sleeper berths. Drivers using sleeper berth equipment as defined
in Sec. 395.2 or who are off duty at a natural gas or oil well location,
may cumulate the required 8 consecutive hours off duty, as required by
Sec. 395.3, resting in a sleeper berth in two separate periods totaling
8 hours, neither period to be less than 2 hours, or resting while off
duty in other sleeping accommodations at a natural gas or oil well
location.
(i) State of Alaska. (1) The provisions of Sec. 395.3 shall not
apply to any driver who is driving a commercial motor vehicle in the
State of Alaska. A driver who is driving a commercial motor vehicle in
the State of Alaska must not drive or be required or permitted to
drive--
(i) More than 15 hours following 8 consecutive hours off duty;
(ii) After being on duty for 20 hours or more following 8
consecutive hours off duty;
(iii) After having been on duty for 70 hours in any period of 7
consecutive days, if the motor carrier for which the driver drives does
not operate every day in the week; or
(iv) After having been on duty for 80 hours in any period of 8
consecutive days, if the motor carrier for which the driver drives
operates every day in the week.
(2) A driver who is driving a commercial motor vehicle in the State
of Alaska and who encounters adverse driving conditions (as defined in
Sec. 395.2) may drive and be permitted or required to drive a commercial
motor vehicle for the period of time needed to complete the run. After
he/she completes the run, that driver must be off duty for 8 consecutive
hours before he/she drives again.
(j) State of Hawaii. The rules in Sec. 395.8 do not apply to a
driver who drives a commercial motor vehicle in the State of Hawaii, if
the motor carrier who employs the driver maintains and retains for a
period of 6 months accurate and true records showing--
(1) The total number of hours the driver is on duty each day; and
(2) The time at which the driver reports for, and is released from,
duty each day.
(k) Travel time. When a driver at the direction of the motor carrier
is traveling, but not driving or assuming any other responsibility to
the carrier, such time shall be counted as on-duty time unless the
driver is afforded at least 8 consecutive hours off duty when arriving
at destination, in which case he/she shall be considered off duty for
the entire period.
(l) Agricultural operations. The provisions of Sec. 395.3 shall not
apply to drivers transporting agricultural commodities or farm supplies
for agricultural purposes in a State if such transportation:
(1) Is limited to an area within a 100 air mile radius from the
source of the commodities or the distribution point for the farm
supplies, and
(2) Is conducted during the planting and harvesting seasons within
such State, as determined by the State.
(m) Ground water well drilling operations. In the instance of a
driver of a commercial motor vehicle who is used primarily in the
transportation and operations of a ground water well drilling rig, any
period of 7 or 8 consecutive days may end with the beginning of any off-
duty period of 24 or more successive hours.
(n) Construction materials and equipment. In the instance of a
driver of a commercial motor vehicle who is used primarily in the
transportation of construction materials and equipment, any period of 7
or 8 consecutive days may end with the beginning of any off-duty period
of 24 or more successive hours.
(o) Utility service vehicles. In the instance of a driver of a
utility service vehicle, any period of 7 or 8 consecutive days may end
with the beginning of any off-duty period of 24 or more successive
hours.

[57 FR 33647, July 30, 1992, as amended at 58 FR 33777, June 21, 1993;
60 FR 38748, July 28, 1995; 61 FR 14679, Apr. 3, 1996]

Sec. 395.2 Definitions.

As used in this part, the following words and terms are construed to
mean:
Adverse driving conditions means snow, sleet, fog, other adverse
weather conditions, a highway covered with snow or ice, or unusual road
and traffic conditions, none of which were apparent on the basis of
information known

[[Page 746]]

to the person dispatching the run at the time it was begun.
Automatic on-board recording device means an electric, electronic,
electromechanical, or mechanical device capable of recording driver's
duty status information accurately and automatically as required by
Sec. 395.15. The device must be integrally synchronized with specific
operations of the commercial motor vehicle in which it is installed. At
a minimum, the device must record engine use, road speed, miles driven,
the date, and time of day.
Driver-salesperson means any employee who is employed solely as such
by a private carrier of property by commercial motor vehicle, who is
engaged both in selling goods, services, or the use of goods, and in
delivering by commercial motor vehicle the goods sold or provided or
upon which the services are performed, who does so entirely within a
radius of 100 miles of the point at which he/she reports for duty, who
devotes not more than 50 percent of his/her hours on duty to driving
time. The term selling goods for purposes of this section shall include
in all cases solicitation or obtaining of reorders or new accounts, and
may also include other selling or merchandising activities designed to
retain the customer or to increase the sale of goods or services, in
addition to solicitation or obtaining of reorders or new accounts.
Driving time means all time spent at the driving controls of a
commercial motor vehicle in operation.
Eight consecutive days means the period of 8 consecutive days
beginning on any day at the time designated by the motor carrier for a
24-hour period.
Ground water well drilling rig means any vehicle, machine, tractor,
trailer, semi-trailer, or specialized mobile equipment propelled or
drawn by mechanical power and used on highways to transport water well
field operating equipment, including water well drilling and pump
service rigs equipped to access ground water.
Multiple stops means all stops made in any one village, town, or
city may be computed as one.
On duty time means all time from the time a driver begins to work or
is required to be in readiness to work until the time he/she is relieved
from work and all responsibility for performing work. On-duty time shall
include:
(1) All time at a carrier or shipper plant, terminal, facility, or
other property, or on any public property, waiting to be dispatched,
unless the driver has been relieved from duty by the motor carrier;
(2) All time inspecting equipment as required by Secs. 392.7 and
392.8 of this chapter or otherwise inspecting, servicing, or
conditioning any commercial motor vehicle at any time;
(3) All driving time as defined in the term driving time in this
section;
(4) All time, other than driving time, in or upon any commercial
motor vehicle except time spent resting in a sleeper berth as defined by
the term sleeper berth of this section;
(5) All time loading or unloading a commercial motor vehicle,
supervising, or assisting in the loading or unloading, attending a
commercial motor vehicle being loaded or unloaded, remaining in
readiness to operate the commercial motor vehicle, or in giving or
receiving receipts for shipments loaded or unloaded;
(6) All time repairing, obtaining assistance, or remaining in
attendance upon a disabled commercial motor vehicle;
(7) All time spent providing a breath sample or urine specimen,
including travel time to and from the collection site, in order to
comply with the random, reasonable suspicion, post-accident, or follow-
up testing required by part 382 or part 391, subpart H, of this
subchapter, whichever is applicable, when directed by a motor carrier;
(8) Performing any other work in the capacity of, or in the employ
or service of, a common, contract or private motor carrier; and
(9) Performing any compensated work for any nonmotor carrier entity.
Seven consecutive days means the period of 7 consecutive days
beginning on any day at the time designated by the motor carrier for a
24-hour period.
Sleeper berth means a berth conforming to the requirements of
Sec. 393.76 of this chapter.

[[Page 747]]

Transportation of construction materials and equipment means the
transportation of construction and pavement materials, construction
equipment, and construction maintenance vehicles, by a driver to or from
an active construction site (a construction site between mobilization of
equipment and materials to the site to the final completion of the
construction project) within a 50 air mile radius of the normal work
reporting location of the driver. This paragraph does not apply to the
transportation of material found by the Secretary to be hazardous under
49 U.S.C. 5103 in a quantity requiring placarding under regulations
issued to carry out such section.
Twenty-four-hour period means any 24-consecutive-hour period
beginning at the time designated by the motor carrier for the terminal
from which the driver is normally dispatched.
Utility service vehicle means any commercial motor vehicle:
(1) Used in the furtherance of repairing, maintaining, or operating
any structures or any other physical facilities necessary for the
delivery of public utility services, including the furnishing of
electric, gas, water, sanitary sewer, telephone, and television cable or
community antenna service;
(2) While engaged in any activity necessarily related to the
ultimate delivery of such public utility services to consumers,
including travel or movement to, from, upon, or between activity sites
(including occasional travel or movement outside the service area
necessitated by any utility emergency as determined by the utility
provider); and
(3) Except for any occasional emergency use, operated primarily
within the service area of a utility's subscribers or consumers, without
regard to whether the vehicle is owned, leased, or rented by the
utility.

[57 FR 33648, July 30, 1992, as amended at 59 FR 7515, Feb. 15, 1994; 59
FR 60324, Nov. 23, 1994; 60 FR 38748, July 28, 1995; 61 FR 14679, Apr.
3, 1996]

Sec. 395.3 Maximum driving time.

(a) Except as provided in Secs. 395.1(b)(1), 395.1(f), and 395.1(i),
no motor carrier shall permit or require any driver used by it to drive
nor shall any such driver drive:
(1) More than 10 hours following 8 consecutive hours off duty; or
(2) For any period after having been on duty 15 hours following 8
consecutive hours off duty.
(b) No motor carrier shall permit or require a driver of a
commercial motor vehicle to drive, nor shall any driver drive,
regardless of the number of motor carriers using the driver's services,
for any period after--
(1) Having been on duty 60 hours in any 7 consecutive days if the
employing motor carrier does not operate commercial motor vehicles every
day of the week; or
(2) Having been on duty 70 hours in any period of 8 consecutive days
if the employing motor carrier operates commercial motor vehicles every
day of the week.

[57 FR 33649, July 30, 1992, as amended at 60 FR 38748, July 28, 1995]
Sec. 395.7 [Reserved]

Sec. 395.8 Driver's record of duty status.

(a) Except for a private motor carrier of passengers (nonbusiness),
every motor carrier shall require every driver used by the motor carrier
to record his/her duty status for each 24 hour period using the methods
prescribed in either paragraph (a)(1) or (2) of this section.
(1) Every driver who operates a commercial motor vehicle shall
record his/her duty status, in duplicate, for each 24-hour period. The
duty status time shall be recorded on a specified grid, as shown in
paragraph (g) of this section. The grid and the requirements of
paragraph (d) of this section may be combined with any company forms.
The previously approved format of the Daily Log, Form MCS-59 or the
Multi-day Log, MCS-139 and 139A, which meets the requirements of this
section, may continue to be used.
(2) Every driver who operates a commercial motor vehicle shall
record his/her duty status by using an automatic on-board recording
device that meets the requirements of Sec. 395.15 of this part. The
requirements of Sec. 395.8 shall not apply, except paragraphs (e) and
(k) (1) and (2) of this section.

[[Page 748]]

(b) The duty status shall be recorded as follows:
(1) ``Off duty'' or ``OFF.''
(2) ``Sleeper berth'' or ``SB'' (only if a sleeper berth used).
(3) ``Driving'' or ``D.''
(4) ``On-duty not driving'' or ``ON.''
(c) For each change of duty status (e.g., the place of reporting for
work, starting to drive, on-duty not driving and where released from
work), the name of the city, town, or village, with State abbreviation,
shall be recorded.

Note: If a change of duty status occurs at a location other than a
city, town, or village, show one of the following: (1) The highway
number and nearest milepost followed by the name of the nearest city,
town, or village and State abbreviation, (2) the highway number and the
name of the service plaza followed by the name of the nearest city,
town, or village and State abbreviation, or (3) the highway numbers of
the nearest two intersecting roadways followed by the name of the nerest
city, town, or village and State abbreviation.

(d) The following information must be included on the form in
addition to the grid:
(1) Date;
(2) Total miles driving today;
(3) Truck or tractor and trailer number;
(4) Name of carrier;
(5) Driver's signature/certification;
(6) 24-hour period starting time (e.g. midnight, 9:00 a.m., noon,
3:00 p.m.);
(7) Main office address;
(8) Remarks;
(9) Name of co-driver;
(10) Total hours (far right edge of grid);
(11) Shipping document number(s), or name of shipper and commodity;
(e) Failure to complete the record of duty activities of this
section or Sec. 395.15, failure to preserve a record of such duty
activities, or making of false reports in connection with such duty
activities shall make the driver and/or the carrier liable to
prosecution.
(f) The driver's activities shall be recorded in accordance with the
following provisions:
(1) Entries to be current. Drivers shall keep their records of duty
status current to the time shown for the last change of duty status.
(2) Entries made by driver only. All entries relating to driver's
duty status must be legible and in the driver's own handwriting.
(3) Date. The month, day and year for the beginning of each 24-hour
period shall be shown on the form containing the driver's duty status
record.
(4) Total miles driving today. Total mileage driven during the 24-
hour period shall be recorded on the form containing the driver's duty
status record.
(5) Commercial motor vehicle identification. The driver shall show
the number assigned by the motor carrier or State and the license number
of each commercial motor vehicle operated during each 24-hour period on
his/her record of duty status. The driver of an articulated
(combination) commercial motor vehicle shall show the number assigned by
the motor carrier or the State and the license number of each motor
vehicle used in each commercial motor vehicle combination operated
during that 24-hour period on his/her record of duty status.
(6) Name of motor carrier. The name(s) of the motor carrier(s) for
which work is performed shall be shown on the form containing the
driver's record of duty status. When work is performed for more than one
motor carrier during the same 24-hour period, the beginning and
finishing time, showing a.m. or p.m., worked for each motor carrier
shall be shown after each motor carrier's name. Drivers of leased
commercial motor vehicles shall show the name of the motor carrier
performing the transportation.
(7) Signature/certification. The driver shall certify to the
correctness of all entries by signing the form containing the driver's
duty status record with his/her legal name or name of record. The
driver's signature certifies that all entries required by this section
made by the driver are true and correct.
(8) Time base to be used. (i) The driver's duty status record shall
be prepared, maintained, and submitted using the time standard in effect
at the driver's home terminal, for a 24-hour period beginning with the
time specified by the motor carrier for that driver's home terminal.
(ii) The term ``7 or 8 consecutive days'' means the 7 or 8
consecutive 24-hour periods as designated by the carrier for the
driver's home terminal.

[[Page 749]]

(iii) The 24-hour period starting time must be identified on the
driver's duty status record. One-hour increments must appear on the
graph, be identified, and preprinted. The words ``Midnight'' and
``Noon'' must appear above or beside the appropriate one-hour increment.
(9) Main office address. The motor carrier's main office address
shall be shown on the form containing the driver's duty status record.
(10) Recording days off duty. Two or more consecutive 24-hour
periods off duty may be recorded on one duty status record.
(11) Total hours. The total hours in each duty status: off duty
other than in a sleeper berth; off duty in a sleeper berth; driving, and
on duty not driving, shall be entered to the right of the grid, the
total of such entries shall equal 24 hours.
(12) Shipping document number(s) or name of shipper and commodity
shall be shown on the driver's record of duty status.
(g) Graph grid. The following graph grid must be incorporated into a
motor carrier recordkeeping system which must also contain the
information required in paragraph (d) of this section.

[[Page 750]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.034

[[Page 751]]

(h) Graph grid preparation. The graph grid may be used horizontally
or vertically and shall be completed as follows:
(1) Off duty. Except for time spent resting in a sleeper berth, a
continuous line shall be drawn between the appropriate time markers to
record the period(s) of time when the driver is not on duty, is not
required to be in readiness to work, or is not under any responsibility
for performing work.
(2) Sleeper berth. A continuous line shall be drawn between the
appropriate time markers to record the period(s) of time off duty
resting in a sleeper berth, as defined in Sec. 395.2. (If a non-sleeper
berth operation, sleeper berth need not be shown on the grid.)
(3) Driving. A continuous line shall be drawn between the
appropriate time markers to record the period(s) of driving time, as
defined in Sec. 395.2.
(4) On duty not driving. A continuous line shall be drawn between
the appropriate time markers to record the period(s) of time on duty not
driving specified in Sec. 395.2.
(5) Location--remarks. The name of the city, town, or village, with
State abbreviation where each change of duty status occurs shall be
recorded.

Note: If a change of duty status occurs at a location other than a
city, town, or village, show one of the following: (1) The highway
number and nearest milepost followed by the name of the nearest city,
town, or village and State abbreviation, (2) the highway number and the
name of the service plaza followed by the name of the nearest city,
town, or village and State abbreviation, or (3) the highway numbers of
the nearest two intersecting roadways followed by the name of the
nearest city, town, or village and State abbreviation.

(i) Filing driver's record of duty status. The driver shall submit
or forward by mail the original driver's record of duty status to the
regular employing motor carrier within 13 days following the completion
of the form.
(j) Drivers used by more than one motor carrier. (1) When the
services of a driver are used by more than one motor carrier during any
24-hour period in effect at the driver's home terminal, the driver shall
submit a copy of the record of duty status to each motor carrier. The
record shall include:
(i) All duty time for the entire 24-hour period;
(ii) The name of each motor carrier served by the driver during that
period; and
(iii) The beginning and finishing time, including a.m. or p.m.,
worked for each carrier.
(2) Motor carriers, when using a driver for the first time or
intermittently, shall obtain from the driver a signed statement giving
the total time on duty during the immediately preceding 7 days and the
time at which the driver was last relieved from duty prior to beginning
work for the motor carriers.
(k) Retention of driver's record of duty status. (1) Driver's
records of duty status for each calendar month may be retained at the
driver's home terminal until the 20th day of the succeeding calendar
month. Such records shall then be forwarded to the carrier's principal
place of business where they shall be retained with all supporting
documents for a period of 6 months from date of receipt.
(2) The driver shall retain a copy of each record of duty status for
the previous 7 consecutive days which shall be in his/her possession and
available for inspection while on duty.

Note: Driver's Record of Duty Status.

The graph grid, when incorporated as part of any form used by a
motor carrier, must be of sufficient size to be legible.
The following executed specimen grid illustrates how a driver's duty
status should be recorded for a trip from Richmond, Virginia, to Newark,
New Jersey. The grid reflects the midnight to midnight 24 hour period.

[[Page 752]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.035

Graph Grid (Midnight to Midnight Operation)

The driver in this instance reported for duty at the motor carrier's
terminal. The driver reported for work at 6 a.m., helped load, checked
with dispatch, made a pretrip inspection, and performed other duties
until 7:30 a.m. when the driver began driving. At 9 a.m. the driver had
a minor accident in Fredericksburg, Virginia, and spent one half hour
handling details with the local police. The driver arrived at the
company's Baltimore, Maryland, terminal at noon and went to lunch while
minor repairs were made to the tractor. At 1 p.m. the driver resumed the
trip and made a delivery in Philadelphia, Pennsylvania, between 3 p.m.
and 3:30 p.m. at which time the driver started driving again. Upon
arrival at Cherry Hill, New Jersey, at 4 p.m., the driver entered the
sleeper berth for a rest break until 5:45 p.m. at which time the driver
resumed driving again. At 7 p.m. the driver arrived at the company's
terminal in Newark, New Jersey. Between 7 p.m. and 8 p.m. the driver
prepared the required paperwork including completing the driver's record
of duty status, driver vehicle inspection report, insurance report for
the Fredericksburg, Virginia accident, checked for the next day's
dispatch, etc. At 8 p.m., the driver went off duty.

(Approved by the Office of Management and Budget under control number
2125-0016)

[47 FR 53389, Nov. 26, 1982, as amended at 49 FR 38290, Sept. 28, 1984;
49 FR 46147, Nov. 23, 1984; 51 FR 12622, Apr. 14, 1986; 52 FR 41721,
Oct. 30, 1987; 53 FR 18058, May 19, 1988; 53 FR 38670, Sept. 30, 1988;
57 FR 33649, July 30, 1992; 58 FR 33777, June 21, 1993; 59 FR 8753, Feb.
23, 1994; 60 FR 38748, July 28, 1995]
Secs. 395.10--395.12 [Reserved]

Sec. 395.13 Drivers declared out of service.

(a) Authority to declare drivers out of service. Every special agent
of the Federal Highway Administration (as defined in appendix B to this
subchapter) is authorized to declare a driver out of service and to
notify the motor carrier of that declaration, upon finding at the time
and place of examination that the driver has violated the out of service
criteria as set forth in paragraph (b) of this section.
(b) Out of service criteria. (1) No driver shall drive after being
on duty in excess of the maximum periods permitted by this part.
(2) No driver required to maintain a record of duty status under
Sec. 395.8 or Sec. 395.15 of this part shall fail to have a record of
duty status current on the day of examination and for the prior seven
consecutive days.
(3) Exception. A driver failing only to have possession of a record
of duty status current on the day of examination and the prior day, but
has completed records of duty status up to that time (previous 6 days),
will be given the opportunity to make the duty status record current.
(c) Responsibilities of motor carriers. (1) No motor carrier shall:
(i) Require or permit a driver who has been declared out of service
to operate a commercial motor vehicle until

[[Page 753]]

that driver may lawfully do so under the rules in this part.
(ii) Require a driver who has been declared out of service for
failure to prepare a record of duty status to operate a commercial motor
vehicle until that driver has been off duty for 8 consecutive hours and
is in compliance with this section. The consecutive 8 hour off-duty
period may include sleeper berth time.
(2) A motor carrier shall complete the ``Motor Carrier Certification
of Action Taken'' portion of the form MCS-63 (Driver-Vehicle Examination
Report) and deliver the copy of the form either personally or by mail to
the Regional Director of Motor Carriers, Federal Highway Administration,
at the address specified upon the form within 15 days following the date
of examination. If the motor carrier mails the form, delivery is made on
the date it is postmarked.
(d) Responsibilities of the driver. (1) No driver who has been
declared out of service shall operate a commercial motor vehicle until
that driver may lawfully do so under the rules of this part.
(2) No driver who has been declared out of service, for failing to
prepare a record of duty status, shall operate a commercial motor
vehicle until the driver has been off duty for 8 consecutive hours and
is in compliance with this section.
(3) A driver to whom a form has been tendered declaring the driver
out of service shall within 24 hours thereafter deliver or mail the copy
to a person or place designated by motor carrier to receive it.
(4) Section 395.13 does not alter the hazardous materials
requirements prescribed in Sec. 397.5 pertaining to attendance and
surveillance of commercial motor vehicles.

[44 FR 34963, June 18, 1979, as amended at 47 FR 53392, Nov. 26, 1982;
51 FR 12622, Apr. 14, 1986; 53 FR 18058, May 19, 1988; 53 FR 38670,
Sept. 30, 1988; 53 FR 47544, Nov. 23, 1988; 60 FR 38748, July 28, 1995]

Sec. 395.15 Automatic on-board recording devices.

(a) Authority to use automatic on-board recording device. (1) A
motor carrier may require a driver to use an automatic on-board
recording device to record the driver's hours of service in lieu of
complying with the requirements of Sec. 395.8 of this part.
(2) Every driver required by a motor carrier to use an automatic on-
board recording device shall use such device to record the driver's
hours of service.
(b) Information requirements. (1) Automatic on-board recording
devices shall produce, upon demand, a driver's hours of service chart,
electronic display, or printout showing the time and sequence of duty
status changes including the drivers' starting time at the beginning of
each day.
(2) The device shall provide a means whereby authorized Federal,
State, or local officials can immediately check the status of a driver's
hours of service. This information may be used in conjunction with
handwritten or printed records of duty status, for the previous 7 days.
(3) Support systems used in conjunction with on-board recorders at a
driver's home terminal or the motor carrier's principal place of
business must be capable of providing authorized Federal, State or local
officials with summaries of an individual driver's hours of service
records, including the information specified in Sec. 395.8(d) of this
part. The support systems must also provide information concerning on-
board system sensor failures and identification of edited data. Such
support systems should meet the information interchange requirements of
the American National Standard Code for Information Interchange (ANSCII)
(EIARS-232/CCITT V.24 port (National Bureau of Standards ``Code for
Information Interchange,'' FIPS PUB 1-1)).
(4) The driver shall have in his/her possession records of duty
status for the previous 7 consecutive days available for inspection
while on duty. These records shall consist of information stored in and
retrievable from the automatic on-board recording device, handwitten
records, computer generated records, or any combination thereof.
(5) All hard copies of the driver's record of duty status must be
signed by the driver. The driver's signature certifies that the
information contained thereon is true and correct.

[[Page 754]]

(c) The duty status and additional information shall be recorded as
follows:
(1) ``Off duty'' or ``OFF'', or by an identifiable code or
character;
(2) ``Sleeper berth'' or ``SB'' or by an identifiable code or
character (only if the sleeper berth is used);
(3) ``Driving'' or ``D'', or by an identifiable code or character;
and
(4) ``On-duty not driving'' or ``ON'', or by an identifiable code or
character.
(5) Date;
(6) Total miles driving today;
(7) Truck or tractor and trailer number;
(8) Name of carrier;
(9) Main office address;
(10) 24-hour period starting time (e.g., midnight, 9:00 a.m., noon,
3:00 p.m.)
(11) Name of co-driver;
(12) Total hours; and
(13) Shipping document number(s), or name of shipper and commodity.
(d) Location of duty status change. (1) For each change of duty
status (e.g., the place and time of reporting for work, starting to
drive, on-duty not driving and where released from work), the name of
the city, town, or village, with State abbreviation, shall be recorded.
(2) Motor carriers are permitted to use location codes in lieu of
the requirements of paragraph (d)(1) of this section. A list of such
codes showing all possible location identifiers shall be carried in the
cab of the commercial motor vehicle and available at the motor carrier's
principal place of business. Such lists shall be made available to an
enforcement official on request.
(e) Entries made by driver only. If a driver is required to make
written entries relating to the driver's duty status, such entries must
be legible and in the driver's own handwriting.
(f) Reconstruction of records of duty status. Drivers are required
to note any failure of automatic on-board recording devices, and to
reconstruct the driver's record of duty status for the current day, and
the past 7 days, less any days for which the drivers have records, and
to continue to prepare a handwritten record of all subsequent duty
status until the device is again operational.
(g) On-board information. Each commercial motor vehicle must have
on-board the commercial motor vehicle an information packet containing
the following items:
(1) An instruction sheet describing in detail how data may be stored
and retrieved from an automatic on-board recording system; and
(2) A supply of blank driver's records of duty status graph-grids
sufficient to record the driver's duty status and other related
information for the duration of the current trip.
(h) Submission of driver's record of duty status. (1) The driver
shall submit, electronically or by mail, to the employing motor carrier,
each record of the driver's duty status within 13 days following the
completion of each record;
(2) The driver shall review and verify that all entries are accurate
prior to submission to the employing motor carrier; and
(3) The submission of the record of duty status certifies that all
entries made by the driver are true and correct.
(i) Performance of recorders. Motor carriers that use automatic on-
board recording devices for recording their drivers' records of duty
status in lieu of the handwritten record shall ensure that:
(1) A certificate is obtained from the manufacturer certifying that
the design of the automatic on-board recorder has been sufficiently
tested to meet the requirements of this section and under the conditions
it will be used;
(2) The automatic on-board recording device permits duty status to
be updated only when the commercial motor vehicle is at rest, except
when registering the time a commercial motor vehicle crosses a State
boundary;
(3) The automatic on-board recording device and associated support
systems are, to the maximum extent practicable, tamperproof and do not
permit altering of the information collected concerning the driver's
hours of service;
(4) The automatic on-board recording device warns the driver
visually and/or audibly that the device has ceased to function. Devices
installed and operational as of October 31, 1988, and authorized to be
used in lieu of the handwritten record of duty status by the

[[Page 755]]

FHWA are exempted from this requirement.
(5) Automatic on-board recording devices with electronic displays
shall have the capability of displaying the following:
(i) Driver's total hours of driving today;
(ii) The total hours on duty today;
(iii) Total miles driving today;
(iv) Total hours on duty for the 7 consecutive day period, including
today;
(v) Total hours on duty for the prior 8 consecutive day period,
including the present day; and
(vi) The sequential changes in duty status and the times the changes
occurred for each driver using the device.
(6) The on-board recorder is capable of recording separately each
driver's duty status when there is a multiple-driver operation;
(7) The on-board recording device/system identifies sensor failures
and edited data when reproduced in printed form. Devices installed and
operational as of October 31, 1988, and authorized to be used in lieu of
the handwritten record of duty status by the FHWA are exempted from this
requirement.
(8) The on-board recording device is maintained and recalibrated in
accordance with the manufacturer's specifications;
(9) The motor carrier's drivers are adequately trained regarding the
proper operation of the device; and
(10) The motor carrier must maintain a second copy (back-up copy) of
the electronic hours-of-service files, by month, in a different physical
location than where the original data is stored.
(j) Rescission of authority. (1) The FHWA may, after notice and
opportunity to reply, order any motor carrier or driver to comply with
the requirements of Sec. 395.8 of this part.
(2) The FHWA may issue such an order if the FHWA has determined
that--
(i) The motor carrier has been issued a conditional or
unsatisfactory safety rating by the FHWA;
(ii) The motor carrier has required or permitted a driver to
establish, or the driver has established, a pattern of exceeding the
hours of service limitations of Sec. 395.3 of this part;
(iii) The motor carrier has required or permitted a driver to fail,
or the driver has failed, to accurately and completely record the
driver's hours of service as required in this section; or
(iv) The motor carrier or driver has tampered with or otherwise
abused the automatic on-board recording device on any commercial motor
vehicle.

[53 FR 38670, Sept. 30, 1988, as amended at 60 FR 38748, July 28, 1995]

PART 396--INSPECTION, REPAIR, AND MAINTENANCE--Table of Contents

Sec.
396.1 Scope.
396.3 Inspection, repair, and maintenance.
396.5 Lubrication.
396.7 Unsafe operations forbidden.
396.9 Inspection of motor vehicles in operation.
396.11 Driver vehicle inspection report(s).
396.13 Driver inspection.
396.15 Driveaway-towaway operations and inspections.
396.17 Periodic inspection.
396.19 Inspector qualifications.
396.21 Periodic inspection recordkeeping requirements.
396.23 Equivalent to periodic inspection.
396.25 Qualifications of brake inspectors.

Authority: 49 U.S.C. 31133, 31136, and 31502; 49 CFR 1.48.

Source: 44 FR 38526, July 2, 1979, unless otherwise noted.

Sec. 396.1 Scope.

General--Every motor carrier, its officers, drivers, agents,
representatives, and employees directly concerned with the inspection or
maintenance of motor vehicles shall comply and be conversant with the
rules of this part.

[44 FR 38526, July 2, 1979, as amended at 53 FR 18058, May 19, 1988]

Sec. 396.3 Inspection, repair, and maintenance.

(a) General. Every motor carrier shall systematically inspect,
repair, and maintain, or cause to be systematically inspected, repaired,
and maintained, all motor vehicles subject to its control.
(1) Parts and accessories shall be in safe and proper operating
condition at all times. These include those specified in part 393 of
this subchapter and any additional parts and accessories which

[[Page 756]]

may affect safety of operation, including but not limited to, frame and
frame assemblies, suspension systems, axles and attaching parts, wheels
and rims, and steering systems.
(2) Pushout windows, emergency doors, and emergency door marking
lights in buses shall be inspected at least every 90 days.
(b) Required records--For vehicles controlled for 30 consecutive
days or more, except for a private motor carrier of passengers
(nonbusiness), the motor carriers shall maintain, or cause to be
maintained, the following record for each vehicle:
(1) An identification of the vehicle including company number, if so
marked, make, serial number, year, and tire size. In addition, if the
motor vehicle is not owned by the motor carrier, the record shall
identify the name of the person furnishing the vehicle;
(2) A means to indicate the nature and due date of the various
inspection and maintenance operations to be performed;
(3) A record of inspection, repairs, and maintenance indicating
their date and nature; and
(4) A record of tests conducted on pushout windows, emergency doors,
and emergency door marking lights on buses.
(c) Record retention. The records required by this section shall be
retained where the vehicle is either housed or maintained for a period
of 1 year and for 6 months after the motor vehicle leaves the motor
carrier's control.

[44 FR 38526, July 2, 1979, as amended at 48 FR 55868, Dec. 16, 1983; 53
FR 18058, May 19, 1988; 59 FR 8753, Feb. 23, 1994; 59 FR 60324, Nov. 23,
1994]

Sec. 396.5 Lubrication.

Every motor carrier shall ensure that each motor vehicle subject to
its control is--
(a) Properly lubricated; and
(b) Free of oil and grease leaks.

Sec. 396.7 Unsafe operations forbidden.

(a) General. A motor vehicle shall not be operated in such a
condition as to likely cause an accident or a breakdown of the vehicle.
(b) Exemption. Any motor vehicle discovered to be in an unsafe
condition while being operated on the highway may be continued in
operation only to the nearest place where repairs can safely be
effected. Such operation shall be conducted only if it is less hazardous
to the public than to permit the vehicle to remain on the highway.

Sec. 396.9 Inspection of motor vehicles in operation.

(a) Personnel authorized to perform inspections. Every special agent
of the FHWA (as defined in appendix B to this subchapter) is authorized
to enter upon and perform inspections of motor carrier's vehicles in
operation.
(b) Prescribed inspection report. The Driver-Equipment Compliance
Check shall be used to record results of motor vehicle inspections
conducted by authorized FHWA personnel.
(c) Motor vehicles declared ``out of service.'' (1) Authorized
personnel shall declare and mark ``out of service'' any motor vehicle
which by reason of its mechanical condition or loading would likely
cause an accident or a breakdown. An ``Out of Service Vehicle'' sticker
shall be used to mark vehicles ``out of service.''
(2) No motor carrier shall require or permit any person to operate
nor shall any person operate any motor vehicle declared and marked ``out
of service'' until all repairs required by the ``out of service notice''
have been satisfactorily completed. The term ``operate'' as used in this
section shall include towing the vehicle, except that vehicles marked
``out of service'' may be towed away by means of a vehicle using a crane
or hoist. A vehicle combination consisting of an emergency towing
vehicle and an ``out of service'' vehicle shall not be operated unless
such combination meets the performance requirements of this subchapter
except for those conditions noted on the Driver Equipment Compliance
Check.
(3) No person shall remove the ``Out of Service Vehicle'' sticker
from any motor vehicle prior to completion of all repairs required by
the ``out of service notice''.
(d) Motor carrier disposition. (1) The driver of any motor vehicle
receiving an inspection report shall deliver it to the motor carrier
operating the vehicle

[[Page 757]]

upon his/her arrival at the next terminal or facility. If the driver is
not scheduled to arrive at a terminal or facility of the motor carrier
operating the vehicle within 24 hours, the driver shall immediately mail
the report to the motor carrier.
(2) Motor carriers shall examine the report. Violations or defects
noted thereon shall be corrected.
(3) Within 15 days following the date of the inspection, the motor
carrier shall--
(i) Certify that all violations noted have been corrected by
completing the ``Signature of Carrier Official, Title, and Date Signed''
portions of the form; and
(ii) Return the completed roadside inspection form to the issuing
agency at the address indicated on the form and retain a copy at the
motor carrier's principal place of business or where the vehicle is
housed for 12 months from the date of the inspection.

(49 U.S.C. 3102; 49 CFR 1.48(b))

[44 FR 38526, July 2, 1979, as amended at 49 FR 38290, Sept. 28, 1984;
57 FR 40964, Sept. 8, 1992]

Sec. 396.11 Driver vehicle inspection report(s).

(a) Report required. Every motor carrier shall require its drivers
to report, and every driver shall prepare a report in writing at the
completion of each day's work on each vehicle operated and the report
shall cover at least the following parts and accessories:

--Service brakes including trailer brake connections
--Parking (hand) brake
--Steering mechanism
--Lighting devices and reflectors
--Tires
--Horn
--Windshield wipers
--Rear vision mirrors
--Coupling devices
--Wheels and rims
--Emergency equipment

(b) Report content. The report shall identify the motor vehicle and
list any defect or deficiency discovered by or reported to the driver
which would affect safety of operation of the motor vehicle or result in
its mechanical breakdown. If no defect or deficiency is discovered by or
reported to the driver, the report(s) shall so indicate. In all
instances, the driver shall sign the vehicle inspection report. On two-
driver operations, only one driver needs to sign the report, provided
both drivers agree as to the defects or deficiencies. If a driver
operates more than one vehicle during the day, a report shall be
prepared for each vehicle operated.
(c) Corrective action. Prior to operating a motor vehicle, motor
carriers or their agent(s) shall effect repair of any items listed on
the vehicle inspection report(s) that would be likely to affect the
safety of operation of the vehicle.
(1) Motor carriers or their agent(s) shall certify on the report(s)
which lists any defect(s) or deficiency(s) that the defect(s) or
deficiency(s) has been corrected or that correction is unnecessary
before the vehicle is again dispatched.
(2) Motor Carriers shall retain the original copy of each vehicle
inspection report and the certification of repairs for at least 3 months
from the date the report was prepared.
(3) A legible copy of the last vehicle inspection report, certified
if required, shall be carried on the power unit.
(d) Exemption. The rules in this section shall not apply to a
private motor carrier of passengers (nonbusiness) operations, driveaway-
towaway operations as specified in Sec. 396.15, or to any motor carrier
operating only one (1) motor vehicle.

[44 FR 38526, July 2, 1979, as amended at 45 FR 46425, July 10, 1980; 53
FR 18058, May 19, 1988; 59 FR 8753, Feb. 23, 1994]

Sec. 396.13 Driver inspection.

Before driving a motor vehicle, the driver shall:
(a) Be satisfied that the motor vehicle is in safe operating
condition;
(b) Review the last vehicle inspection report required to be carried
on the power unit; and
(c) Sign the report, only if defects or deficiencies were noted by
the driver who prepared the report, to acknowledge that the driver has
reviewed it and that there is a certification that the required repairs
have been performed. The signature requirement does not apply to listed
defects on a

[[Page 758]]

towed unit which is no longer part of the vehicle combination.

[44 FR 76526, Dec. 27, 1979, as amended at 48 FR 55868, Dec. 16, 1983]

Sec. 396.15 Driveaway-towaway operations and inspections.

(a) General. Effective December 7, 1989, every motor carrier, with
respect to motor vehicles engaged in driveaway-towaway operations, shall
comply with the requirements of this part. Exception: Maintenance
records required by Sec. 396.3, the vehicle inspection report required
by Sec. 396.11, and the periodic inspection required by Sec. 396.17 of
this part shall not be required for any vehicle which is part of the
shipment being delivered.
(b) Pre-trip inspection. Before the beginning of any driveaway-
towaway operation of motor vehicles in combination, the motor carrier
shall make a careful inspection and test to ascertain that:
(1) The towbar or saddle-mount connections are properly secured to
the towed and towing vehicle;
(2) They function adequately without cramping or binding of any of
the parts; and
(3) The towed motor vehicle follows substantially in the path of the
towing vehicle without whipping or swerving.
(c) Post-trip inspection. Motor carriers shall maintain practices to
ensure that following completion of any trip in driveaway-towaway
operation of motor vehicles in combination, and before they are used
again, the towbars and saddle-mounts are disassembled and inspected for
worn, bent, cracked, broken, or missing parts. Before reuse, suitable
repair or replacement shall be made of any defective parts and the
devices shall be properly reassembled.

[44 FR 38526, July 2, 1979, as amended at 53 FR 49410, Dec. 7, 1988; 53
FR 49968, Dec. 12, 1988]

Sec. 396.17 Periodic inspection.

(a) Every commercial motor vehicle shall be inspected as required by
this section. The inspection shall include, at a minimum, the parts and
accessories set forth in appendix G of this subchapter.
Note: The term commercial motor vehicle includes each vehicle in a
combination vehicle. For example, for a tractor semitrailer, fulltrailer
combination, the tractor, semitrailer, and the fulltrailer (including
the converter dolly if so equipped) shall each be inspected.
(b) Except as provided in Sec. 396.23, a motor carrier shall inspect
or cause to be inspected all motor vehicles subject to its control.
(c) A motor carrier shall not use a commercial motor vehicle unless
each component identified in appendix G has passed an inspection in
accordance with the terms of this section at least once during the
preceding 12 months and documentation of such inspection is on the
vehicle. The documentation may be:
(1) The inspection report prepared in accordance with paragraph
396.21(a), or
(2) Other forms of documentation, based on the inspection report
(e.g., sticker or decal), which contains the following information:
(i) The date of inspection;
(ii) Name and address of the motor carrier or other entity where the
inspection report is maintained;
(iii) Information uniquely identifying the vehicle inspected if not
clearly marked on the motor vehicle; and
(iv) A certification that the vehicle has passed an inspection in
accordance with Sec. 396.17.
(d) A motor carrier may perform the required annual inspection for
vehicles under the carrier's control which are not subject to an
inspection under Sec. 396.23(b)(1).
(e) In lieu of the self inspection provided for in paragraph (d) of
this section, a motor carrier may choose to have a commercial garage,
fleet leasing company, truck stop, or other similar commercial business
perform the inspection as its agent, provided that business operates and
maintains facilities appropriate for commercial vehicle inspections and
it employs qualified inspectors, as required by Sec. 396.19.
(f) Vehicles passing roadside or periodic inspections performed
under the auspices of any State government or equivalent jurisdiction or
the FHWA, meeting the minimum standards contained in appendix G of this
subchapter, will be considered to have met the requirements of an annual
inspection for a period of 12 months commencing from the last day of the

[[Page 759]]

month in which the inspection was performed, except as provided in
Sec. 396.23(b)(1).
(g) It shall be the responsibility of the motor carrier to ensure
that all parts and accessories not meeting the minimum standards set
forth in appendix G to this subchapter are repaired promptly.
(h) Failure to perform properly the annual inspection set forth in
this section shall cause the motor carrier to be subject to the penalty
provisions provided by 49 U.S.C. 521(b).

[53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988, as amended at 54
FR 50725, Dec. 8, 1989]

Sec. 396.19 Inspector qualifications.

(a) It shall be the motor carrier's responsibility to ensure that
the individual(s) performing an annual inspection under Sec. 396.17 (d)
or (e) is qualified as follows:
(1) Understands the inspection criteria set forth in 49 CFR part 393
and appendix G of this subchapter and can identify defective components;
(2) Is knowledgeable of and has mastered the methods, procedures,
tools and equipment used when performing an inspection; and
(3) Is capable of performing an inspection by reason of experience,
training, or both as follows:
(i) Successfully completed a State or Federal-sponsored training
program or has a certificate from a State or Canadian Province which
qualifies the person to perform commercial motor vehicle safety
inspections, or
(ii) Have a combination of training and/or experience totaling at
least 1 year. Such training and/or experience may consist of:
(A) Participation in a truck manufacturer-sponsored training program
or similar commercial training program designed to train students in
truck operation and maintenance;
(B) Experience as a mechanic or inspector in a motor carrier
maintenance program;
(C) Experience as a mechanic or inspector in truck maintenance at a
commercial garage, fleet leasing company, or similar facility; or
(D) Experience as a commercial vehicle inspector for a State,
Provincial or Federal Government.
(b) Evidence of that individual's qualifications under this section
shall be retained by the motor carrier for the period during which that
individual is performing annual motor vehicle inspections for the motor
carrier, and for one year thereafter. However, motor carriers do not
have to maintain documentation of inspector qualifications for those
inspections performed either as part of a State periodic inspection
program or at the roadside as part of a random roadside inspection
program.

[53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988]

Sec. 396.21 Periodic inspection recordkeeping requirements.

(a) The qualified inspector performing the inspection shall prepare
a report which:
(1) Identifies the individual performing the inspection;
(2) Identifies the motor carrier operating the vehicle;
(3) Identifies the date of the inspection;
(4) Identifies the vehicle inspected;
(5) Identifies the vehicle components inspected and describes the
results of the inspection, including the identification of those
components not meeting the minimum standards set forth in appendix G to
this subchapter; and
(6) Certifies the accuracy and completeness of the inspection as
complying with all the requirements of this section.
(b)(1) The original or a copy of the inspection report shall be
retained by the motor carrier or other entity who is responsible for the
inspection for a period of fourteen months from the date of the
inspection report. The original or a copy of the inspection report shall
be retained where the vehicle is either housed or maintained.
(2) The original or a copy of the inspection report shall be
available for inspection upon demand of an authorized Federal, State or
local official.
(3) Exception. Where the motor carrier operating the commercial
motor vehicles did not perform the commercial motor vehicle's last
annual inspection, the motor carrier shall be responsible for obtaining
the original or a

[[Page 760]]

copy of the last annual inspection report upon demand of an authorized
Federal, State, or local official.

[54 FR 50725, Dec. 8, 1989]

Sec. 396.23 Equivalent to periodic inspection.

(a) The motor carrier may meet the requirements of Sec. 396.17
through a State or other jurisdiction's roadside inspection program. The
inspection must have been performed during the preceding 12 months. In
using the roadside inspection, the motor carrier would need to retain a
copy of an annual inspection report showing that the inspection was
performed in accordance with the minimum periodic inspection standards
set forth in appendix G to this subchapter. When accepting such an
inspection report, the motor carrier must ensure that the report
complies with the requirements of Sec. 396.21(a).
(b)(1) If a commercial motor vehicle is subject to a mandatory State
inspection program which is determined by the Administrator to be as
effective as Sec. 396.17, the motor carrier shall meet the requirement
of Sec. 396.17 through that State's inspection program. Commercial motor
vehicle inspections may be conducted by State personnel, at State
authorized commercial facilities, or by the motor carrier under the
auspices of a State authorized self-inspection program.
(2) Should the FHWA determine that a State inspection program, in
whole or in part, is not as effective as Sec. 396.17, the motor carrier
must ensure that the periodic inspection required by Sec. 396.17 is
performed on all commercial motor vehicles under its control in a manner
specified in Sec. 396.17.

[53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988, as amended at 60
FR 38749, July 28, 1995]

Sec. 396.25 Qualifications of brake inspectors.

(a) The motor carrier shall ensure that all inspections,
maintenance, repairs or service to the brakes of its commercial motor
vehicles, are performed in compliance with the requirements of this
section.
(b) For purposes of this section, brake inspector means any employee
of a motor carrier who is responsible for ensuring all brake
inspections, maintenance, service, or repairs to any commercial motor
vehicle, subject to the motor carrier's control, meet the applicable
Federal standards.
(c) No motor carrier shall require or permit any employee who does
not meet the minimum brake inspector qualifications of Sec. 396.25(d) to
be responsible for the inspection, maintenance, service or repairs of
any brakes on its commercial motor vehicles.
(d) The motor carrier shall ensure that each brake inspector is
qualified as follows:
(1) Understands the brake service or inspection task to be
accomplished and can perform that task; and
(2) Is knowledgeable of and has mastered the methods, procedures,
tools and equipment used when performing an assigned brake service or
inspection task; and
(3) Is capable of performing the assigned brake service or
inspection by reason of experience, training or both as follows:
(i) Has successfully completed an apprenticeship program sponsored
by a State, a Canadian Province, a Federal agency or a labor union, or a
training program approved by a State, Provincial or Federal agency, or
has a certificate from a State or Canadian Province which qualifies the
person to perform the assigned brake service or inspection task
(including passage of Commercial Driver's License air brake tests in the
case of a brake inspection); or
(ii) Has brake-related training or experience or a combination
thereof totaling at least one year. Such training or experience may
consist of:
(A) Participation in a training program sponsored by a brake or
vehicle manufacturer or similar commercial training program designed to
train students in brake maintenance or inspection similar to the
assigned brake service or inspection tasks; or
(B) Experience performing brake maintenance or inspection similar to
the assigned brake service or inspection task in a motor carrier
maintenance program; or
(C) Experience performing brake maintenance or inspection similar to

[[Page 761]]

the assigned brake service or inspection task at a commercial garage,
fleet leasing company, or similar facility.
(e) No motor carrier shall employ any person as a brake inspector
unless the evidence of the inspector's qualifications, required under
this section is maintained by the motor carrier at its principal place
of business, or at the location at which the brake inspector is
employed. The evidence must be maintained for the period during which
the brake inspector is employed in that capacity and for one year
thereafter. However, motor carriers do not have to maintain evidence of
qualifications to inspect air brake systems for such inspections
performed by persons who have passed the air brake knowledge and skills
test for a Commercial Driver's License.

[56 FR 491, Jan. 7, 1991]

PART 397--TRANSPORTATION OF HAZARDOUS MATERIALS; DRIVING AND PARKING RULES--Table of Contents

Subpart A--General

Sec.
397.1 Application of the rules in this part.
397.2 Compliance with Federal motor carrier safety regulations.
397.3 State and local laws, ordinances, and regulations.
397.5 Attendance and surveillance of motor vehicles.
397.7 Parking.
397.9 [Reserved]
397.11 Fires.
397.13 Smoking.
397.15 Fueling.
397.17 Tires.
397.19 Instructions and documents.

Subpart B--[Reserved]

Subpart C--Routing of Non-Radioactive Hazardous Materials

397.61 Purpose and scope.
397.63 Applicability.
397.65 Definitions.
397.67 Motor carrier responsibility for routing.
397.69 Highway routing designations; preemption.
397.71 Federal standards.
397.73 Public information and reporting requirements.
397.75 Dispute resolution.
397.77 Judicial review of dispute decision.

Subpart D--Routing of Class 7 (Radioactive) Materials

397.101 Requirements for motor carriers and drivers.
397.103 Requirements for State routing designations.

Subpart E--Preemption Procedures

397.201 Purpose and scope of the procedures.
397.203 Standards for determining preemption.
397.205 Preemption application.
397.207 Preemption notice.
397.209 Preemption processing.
397.211 Preemption determination.
397.213 Waiver of preemption application.
397.215 Waiver notice.
397.217 Waiver processing.
397.219 Waiver determination and order.
397.221 Timeliness.
397.223 Petition for reconsideration.
397.225 Judicial review.

Authority: 49 U.S.C. 322; 49 CFR 1.48. Subpart A also issued under
49 U.S.C. 31136, 31502. Subparts C, D, and E also issued under 49 U.S.C.
5112, 5125.

Source: 36 FR 4876, Mar. 13, 1971, unless otherwise noted.

Subpart A--General

Sec. 397.1 Application of the rules in this part.

(a) The rules in this part apply to each motor carrier engaged in
the transportation of hazardous materials by a motor vehicle which must
be marked or placarded in accordance with Sec. 177.823 of this title and
to--
(1) Each officer or employee of the motor carrier who performs
supervisory duties related to the transportation of hazardous materials;
and
(2) Each person who operates or who is in charge of a motor vehicle
containing hazardous materials.
(b) Each person designated in paragraph (a) of this section must
know and obey the rules in this part.

[36 FR 4876, Mar. 13, 1971, as amended at 36 FR 16067, Aug. 19, 1971; 53
FR 18058, May 19, 1988; 60 FR 38749, July 28, 1995]

Sec. 397.2 Compliance with Federal motor carrier safety regulations.

A motor carrier or other person to whom this part is applicable must
comply with the rules in parts 390 through 397, inclusive, of this
subchapter when

[[Page 762]]

he/she is transporting hazardous materials by a motor vehicle which must
be marked or placarded in accordance with Sec. 177.823 of this title.

[37 FR 18080, Sept. 7, 1972]

Sec. 397.3 State and local laws, ordinances, and regulations.

Every motor vehicle containing hazardous materials must be driven
and parked in compliance with the laws, ordinances, and regulations of
the jurisdiction in which it is being operated, unless they are at
variance with specific regulations of the Department of Transportation
which are applicable to the operation of that vehicle and which impose a
more stringent obligation or restraint.

Sec. 397.5 Attendance and surveillance of motor vehicles.

(a) Except as provided in paragraph (b) of this section, a motor
vehicle which contains a Division 1.1, 1.2, or 1.3 (explosive) material
must be attended at all times by its driver or a qualified
representative of the motor carrier that operates it.
(b) The rules in paragraph (a) of this section do not apply to a
motor vehicle which contains Division 1.1, 1.2, or 1.3 material if all
the following conditions exist--
(1) The vehicle is located on the property of a motor carrier, on
the property of a shipper or consignee of the explosives, in a safe
haven, or, in the case of a vehicle containing 50 pounds or less of a
Division 1.1, 1.2, or 1.3 material, on a construction or survey site;
and
(2) The lawful bailee of the explosives is aware of the nature of
the explosives the vehicle contains and has been instructed in the
procedures which must be followed in emergencies; and
(3) The vehicle is within the bailee's unobstructed field of view or
is located in a safe haven.
(c) A motor vehicle which contains hazardous materials other than
Division 1.1, 1.2, or 1.3, materials, and which is located on a public
street or highway, or the shoulder of a public highway, must be attended
by its driver. However, the vehicle need not be attended while its
driver is performing duties which are incident and necessary to the
driver's duties as the operator of the vehicle.
(d) For purposes of this section--
(1) A motor vehicle is attended when the person in charge of the
vehicle is on the vehicle, awake, and not in a sleeper berth, or is
within 100 feet of the vehicle and has it within his/her unobstructed
field of view.
(2) A qualified representative of a motor carrier is a person who--
(i) Has been designated by the carrier to attend the vehicle;
(ii) Is aware of the nature of the hazardous materials contained in
the vehicle he/she attends;
(iii) Has been instructed in the procedures he/she must follow in
emergencies; and
(iv) Is authorized to move the vehicle and has the means and ability
to do so.
(3) A safe haven in an area specifically approved in writing by
local, State, or Federal governmental authorities for the parking of
unattended vehicles containing Division 1.1, 1.2, or 1.3 materials.
(e) The rules in this section do not relieve the driver from any
obligation imposed by law relating to the placing of warning devices
when a motor vehicle is stopped on a public street or highway.

[59 FR 63925, Dec. 12, 1994]

Sec. 397.7 Parking.

(a) A motor vehicle which contains Division 1.1, 1.2, or 1.3
materials must not be parked under any of the following circumstances--
(1) On or within 5 feet of the traveled portion of a public street
or highway;
(2) On private property (including premises of fueling or eating
facility) without the knowledge and consent of the person who is in
charge of the property and who is aware of the nature of the hazardous
materials the vehicle contains; or
(3) Within 300 feet of a bridge, tunnel, dwelling, or place where
people work, congregate, or assemble, except for brief periods when the
necessities of operation require the vehicle to be parked and make it
impracticable to park the vehicle in any other place.
(b) A motor vehicle which contains hazardous materials other than
Division 1.1, 1.2, or 1.3 materials must not

[[Page 763]]

be parked on or within five feet of the traveled portion of public
street or highway except for brief periods when the necessities of
operation require the vehicle to be parked and make it impracticable to
park the vehicle in any other place.

[59 FR 63925, Dec. 12, 1994]
Sec. 397.9 [Reserved]

Sec. 397.11 Fires.

(a) A motor vehicle containing hazardous materials must not be
operated near an open fire unless its driver has first taken precautions
to ascertain that the vehicle can safely pass the fire without stopping.
(b) A motor vehicle containing hazardous materials must not be
parked within 300 feet of an open fire.

Sec. 397.13 Smoking.

No person may smoke or carry a lighted cigarette, cigar, or pipe on
or within 25 feet of--
(a) A motor vehicle which contains Class 1 materials, Class 5
materials, or flammable materials classified as Division 2.1, Class 3,
Divisions 4.1 and 4.2; or
(b) An empty tank motor vehicle which has been used to transport
Class 3, flammable materials, or Division 2.1 flammable gases, which
when so used, was required to be marked or placarded in accordance with
the rules in Sec. 177.823 of this title.

[59 FR 63925, Dec. 12, 1994]

Sec. 397.15 Fueling.

When a motor vehicle which contains hazardous materials is being
fueled--
(a) Its engine must not be operating; and
(b) A person must be in control of the fueling process at the point
where the fuel tank is filled.

Sec. 397.17 Tires.

(a) If a motor vehicle which contains hazardous materials is
equipped with dual tires on any axle, its driver must stop the vehicle
in a safe location at least once during each 2 hours or 100 miles of
travel, whichever is less, and must examine its tires. The driver must
also examine the vehicle's tires at the beginning of each trip and each
time the vehicle is parked.
(b) If, as the result of an examination pursuant to paragraph (a) of
this section, or otherwise, a tire if found to be flat, leaking, or
improperly inflated, the driver must cause the tire to be repaired,
replaced, or properly inflated before the vehicle is driven. However,
the vehicle may be driven to the nearest safe place to perform the
required repair, replacement, or inflation.
(c) If, as the result of an examination pursuant to paragraph (a) of
this section, or otherwise, a tire is found to be overheated, the driver
shall immediately cause the overheated tire to be removed and placed at
a safe distance from the vehicle. The driver shall not operate the
vehicle until the cause of the overheating is corrected.
(d) Compliance with the rules in this section does not relieve a
driver from the duty to comply with the rules in Secs. 397.5 and 397.7.

Sec. 397.19 Instructions and documents.

(a) A motor carrier that transports Division 1.1, 1.2, or 1.3
(explosive) materials must furnish the driver of each motor vehicle in
which the explosives are transported with the following documents:
(1) A copy of the rules in this part;
(2) [Reserved]
(3) A document containing instructions on procedures to be followed
in the event of accident or delay. The documents must include the names
and telephone numbers of persons (including representatives of carriers
or shippers) to be contracted, the nature of the explosives being
transported, and the precautions to be taken in emergencies such as
fires, accidents, or leakages.
(b) A driver who receives documents in accordance with paragraph (a)
of this section must sign a receipt for them. The carrier shall retain
the receipt in its files for 1 year at its principal place of business.
(c) A driver of a motor vehicle which contains Division 1.1, 1.2, or
1.3 materials must be in possession of, be familiar with, and be in
compliance with
(1) The documents specified in paragraph (a) of this section;

[[Page 764]]

(2) The documents specified in Sec. 177.817 of this title; and
(3) The written route plan specified in Sec. 397.67.

[59 FR 63925, Dec. 12, 1994]

Subpart B--[Reserved]

Subpart C--Routing of Non-Radioactive Hazardous Materials

Source: 59 FR 51830, Oct. 12, 1994, unless otherwise noted.

Sec. 397.61 Purpose and scope.

This subpart contains routing requirements and procedures that
States and Indian tribes are required to follow if they establish,
maintain, or enforce routing designations over which a non-radioactive
hazardous material (NRHM) in a quantity which requires placarding may or
may not be transported by a motor vehicle. It also provides regulations
for motor carriers transporting placarded or marked NRHM and procedures
for dispute resolutions regarding NRHM routing designations.

Sec. 397.63 Applicability.

The provisions of this subpart apply to any State or Indian tribe
that establishes, maintains, or enforces any routing designations over
which NRHM may or may not be transported by motor vehicle. They also
apply to any motor carrier that transports or causes to be transported
placarded or marked NRHM in commerce.

Sec. 397.65 Definitions.

For purposes of this subpart, the following definitions apply:
Administrator. The Federal Highway Administrator, who is the chief
executive of the Federal Highway Administration, an agency within the
United States Department of Transportation, or his/her designate.
Commerce. Any trade, traffic, or transportation in the United States
which:
(1) Is between a place under the jurisdiction of a State or Indian
tribe and any place outside of such jurisdiction; or
(2) Is solely within a place under the jurisdiction of a State or
Indian tribe but which affects trade, traffic, or transportation
described in subparagraph (a).
FHWA. The Federal Highway Administration, an agency within the
Department of Transportation.
Hazardous material. A substance or material, including a hazardous
substance, which has been determined by the Secretary of Transportation
to be capable of posing an unreasonable risk to health, safety, or
property when transported in commerce, and which has been so designated.
Indian tribe. Has the same meaning as contained in Sec. 4 of the
Indian Self-Determination and Education Act, 25 U.S.C. 450b.
Motor carrier. A for-hire motor carrier or a private motor carrier
of property. The term includes a motor carrier's agents, officers and
representatives as well as employees responsible for hiring,
supervising, training, assigning, or dispatching of drivers.
Motor vehicle. Any vehicle, machine, tractor, trailer, or
semitrailer propelled or drawn by mechanical power and used upon the
highways in the transportation of passengers or property, or any
combination thereof.
NRHM. A non-radioactive hazardous material transported by motor
vehicle in types and quantities which require placarding, pursuant to
Table 1 or 2 of 49 CFR 172.504.
Political subdivision. A municipality, public agency or other
instrumentality of one or more States, or a public corporation, board,
or commission established under the laws of one or more States.
Radioactive material. Any material having a specific activity
greater than 0.002 microcuries per gram (uCi/g), as defined in 49 CFR
173.403.
Routing agency. The State highway agency or other State agency
designated by the Governor of that State, or an agency designated by an
Indian tribe, to supervise, coordinate, and approve the NRHM routing
designations for that State or Indian tribe.
Routing designations. Any regulation, limitation, restriction,
curfew, time of travel restriction, lane restriction, routing ban, port-
of-entry designation,

[[Page 765]]

or route weight restriction, applicable to the highway transportation of
NRHM over a specific highway route or portion of a route.
Secretary. The Secretary of Transportation.
State. A State of the United States, the District of Columbia, the
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana
Islands, the Virgin Islands, American Samoa or Guam.

Sec. 397.67 Motor carrier responsibility for routing.

(a) A motor carrier transporting NRHM shall comply with NRHM routing
designations of a State or Indian tribe pursuant to this subpart.
(b) A motor carrier carrying hazardous materials required to be
placarded or marked in accordance with 49 CFR 177.823 and not subject to
a NRHM routing designations pursuant to this subpart, shall operate the
vehicle over routes which do not go through or near heavily populated
areas, places where crowds are assembled, tunnels, narrow streets, or
alleys, except where the motor carrier determines that:
(1) There is no practicable alternative;
(2) A reasonable deviation is necessary to reach terminals, points
of loading and unloading, facilities for food, fuel, repairs, rest, or a
safe haven; or
(3) A reasonable deviation is required by emergency conditions, such
as a detour that has been established by a highway authority, or a
situation exists where a law enforcement official requires the driver to
take an alternative route.
(c) Operating convenience is not a basis for determining whether it
is practicable to operate a motor vehicle in accordance with paragraph
(b) of this section.
(d) Before a motor carrier requires or permits a motor vehicle
containing explosives in Class 1, Divisions 1.1, 1.2, 1.3, as defined in
49 CFR 173.50 and 173.53 respectively, to be operated, the carrier or
its agent shall prepare a written route plan that complies with this
section and shall furnish a copy to the driver. However, the driver may
prepare the written plan as agent for the motor carrier when the trip
begins at a location other than the carrier's terminal.

Sec. 397.69 Highway routing designations; preemption.

(a) Any State or Indian tribe that establishes or modifies a highway
routing designation over which NRHM may or may not be transported on or
after November 14, 1994, and maintains or enforces such designation,
shall comply with the highway routing standards set forth in Sec. 397.71
of this subpart. For purposes of this subpart, any highway routing
designation affecting the highway transportation of NRHM, made by a
political subdivision of a State is considered as one made by that
State, and all requirements of this subpart apply.
(b) Except as provided in Secs. 397.75 and 397.219, a NRHM route
designation made in violation of paragraph (a) of this section is
preempted pursuant to section 105(b)(4) of the Hazardous Materials
Transportation Act (49 U.S.C. app. 1804(b)(4)). This provision shall
become effective after November 14, 1996.
(c) A highway routing designation established by a State, political
subdivision, or Indian tribe before November 14, 1994 is subject to
preemption in accordance with the preemption standards in paragraphs
(a)(1) and (a)(2) of Sec. 397.203 of this subpart.
(d) A State, political subdivision, or Indian tribe may petition for
a waiver of preemption in accordance with Sec. 397.213 of this part.

Sec. 397.71 Federal standards.

(a) A State or Indian tribe shall comply with the Federal standards
under paragraph (b) of this section when establishing, maintaining or
enforcing specific NRHM routing designations over which NRHM may or may
not be transported.
(b) The Federal standards are as follows:
(1) Enhancement of public safety. The State or Indian tribe shall
make a finding, supported by the record to be developed in accordance
with paragraphs (b)(2)(ii) and (b)(3)(iv) of this section, that any NRHM
routing designation enhances public safety in the areas subject to its
jurisdiction and in other

[[Page 766]]

areas which are directly affected by such highway routing designation.
In making such a finding, the State or Indian tribe shall consider:
(i) The factors listed in paragraph (b)(9) of this section; and
(ii) The DOT ``Guidelines for Applying Criteria to Designate Routes
for Transporting Hazardous Materials,'' DOT/RSPA/OHMT-89-02, July 1989
^{1 or its most current version; or an equivalent routing analysis
which adequately considers overall risk to the public.
---------------------------------------------------------------------------

\1\ This document may be obtained from Safety Technology and
Information Management Division, HHS-10, Federal Highway Administration,
U.S. Department of Transportation, 400 7th Street, SW., Washington, D.C.
20590-0001.
---------------------------------------------------------------------------

(2) Public participation. Prior to the establishment of any NRHM
routing designation, the State or Indian tribe shall undertake the
following actions to ensure participation by the public in the routing
process:
(i) The State or Indian tribe shall provide the public with notice
of any proposed NRHM routing designation and a 30-day period in which to
comment. At any time during this period or following review of the
comments received, the State or Indian tribe shall decide whether to
hold a public hearing on the proposed NRHM route designation. The public
shall be given 30 days prior notice of the public hearing which shall be
conducted as described in paragraph (b)(2)(ii) of this section. Notice
for both the comment period and the public hearing, if one is held,
shall be given by publication in at least two newspapers of general
circulation in the affected area or areas and shall contain a complete
description of the proposed routing designation, together with the date,
time, and location of any public hearings. Notice for both the comment
period and any public hearing may also be published in the official
register of the State.
(ii) If it is determined that a public hearing is necessary, the
State or Indian tribe shall hold at least one public hearing on the
record during which the public will be afforded the opportunity to
present their views and any information or data related to the proposed
NRHM routing designation. The State shall make available to the public,
upon payment of prescribed costs, copies of the transcript of the
hearing, which shall include all exhibits and documents presented during
the hearing or submitted for the record.
(3) Consultation with others. Prior to the establishment of any NRHM
routing designation, the State or Indian tribe shall provide notice to,
and consult with, officials of affected political subdivisions, States
and Indian tribes, and any other affected parties. Such actions shall
include the following:
(i) At least 60 days prior to establishing a routing designation,
the State or Indian tribe shall provide notice, in writing, of the
proposed routing designation to officials responsible for highway
routing in all other affected States or Indian tribes. A copy of this
notice may also be sent to all affected political subdivisions. This
notice shall request approval, in writing, by those States or Indian
tribes, of the proposed routing designations. If no response is received
within 60 days from the day of receipt of the notification of the
proposed routing designation, the routing designation shall be
considered approved by the affected State or Indian tribe.
(ii) The manner in which consultation under this paragraph is
conducted is left to the discretion of the State or Indian tribe.
(iii) The State or Indian tribe shall attempt to resolve any concern
or disagreement expressed by any consulted official related to the
proposed routing designation.
(iv) The State or Indian tribe shall keep a record of the names and
addresses of the officials notified pursuant to this section and of any
consultation or meeting conducted with these officials or their
representatives. Such record shall describe any concern or disagreement
expressed by the officials and any action undertaken to resolve such
disagreement or address any concern.
(4) Through routing. In establishing any NRHM routing designation,
the State or Indian tribe shall ensure through highway routing for the
transportation of NRHM between adjacent areas. The term ``through
highway routing'' as used in this paragraph means that the routing
designation

[[Page 767]]

must ensure continuity of movement so as to not impede or unnecessarily
delay the transportation of NRHM. The State or Indian tribe shall
utilize the procedures established in paragraphs (b)(2) and (b)(3) of
this section in meeting these requirements. In addition, the State or
Indian tribe shall make a finding, supported by a risk analysis
conducted in accordance with paragraph (b)(1) of this section, that the
routing designation enhances public safety. If the risk analysis shows--
(i) That the current routing presents at least 50 percent more risk
to the public than the deviation under the proposed routing designation,
then the proposed routing designation may go into effect.
(ii) That the current routing presents a greater risk but less than
50 percent more risk to the public than the deviation under the proposed
routing restriction, then the proposed routing restriction made by a
State or Indian tribe shall only go into effect if it does not force a
deviation of more than 25 miles or result in an increase of more than 25
percent of that part of a trip affected by the deviation, whichever is
shorter, from the most direct route through a jurisdiction as compared
to the intended deviation.
(iii) That the current route has the same or less risk to the public
than the deviation resulting from the proposed routing designation, then
the routing designation shall not be allowed.
(5) Agreement of other States; burden on commerce. Any NRHM routing
designation which affects another State or Indian tribe shall be
established, maintained, or enforced only if:
(i) It does not unreasonably burden commerce, and
(ii) It is agreed to by the affected State or Indian tribe within 60
days of receipt of the notice sent pursuant to paragraph (b)(3)(i) of
this section, or it is approved by the Administrator pursuant to
Sec. 397.75.
(6) Timeliness. The establishment of a NRHM routing designation by
any State or Indian tribe shall be completed within 18 months of the
notice given in either paragraph (b)(2) or (b)(3) of this section,
whichever occurs first.
(7) Reasonable routes to terminals and other facilities. In
establishing or providing for reasonable access to and from designated
routes, the State or Indian tribe shall use the shortest practicable
route considering the factors listed in paragraph (b)(9) of this
section. In establishing any NRHM routing designation, the State or
Indian tribe shall provide reasonable access for motor vehicles
transporting NRHM to reach:
(i) Terminals,
(ii) Points of loading, unloading, pickup and delivery, and
(iii) Facilities for food, fuel, repairs, rest, and safe havens.
(8) Responsibility for local compliance. The States shall be
responsible for ensuring that all of their political subdivisions comply
with the provisions of this subpart. The States shall be responsible for
resolving all disputes between such political subdivisions within their
jurisdictions. If a State or any political subdivision thereof, or an
Indian tribe chooses to establish, maintain, or enforce any NRHM routing
designation, the Governor, or Indian tribe, shall designate a routing
agency for the State or Indian tribe, respectively. The routing agency
shall ensure that all NRHM routing designations within its jurisdiction
comply with the Federal standards in this section. The State or Indian
tribe shall comply with the public information and reporting
requirements contained in Sec. 397.73.
(9) Factors to consider. In establishing any NRHM routing
designation, the State or Indian tribe shall consider the following
factors:
(i) Population density. The population potentially exposed to a NRHM
release shall be estimated from the density of the residents, employees,
motorists, and other persons in the area, using United States census
tract maps or other reasonable means for determining the population
within a potential impact zone along a designated highway route. The
impact zone is the potential range of effects in the event of a release.
Special populations such as schools, hospitals, prisons, and senior
citizen homes shall, among other things, be considered when determining
the potential risk to the populations along a highway routing.
Consideration shall be given to the amount of time

[[Page 768]]

during which an area will experience a heavy population density.
(ii) Type of highway. The characteristics of each alternative NRHM
highway routing designation shall be compared. Vehicle weight and size
limits, underpass and bridge clearances, roadway geometrics, number of
lanes, degree of access control, and median and shoulder structures are
examples of characteristics which a State or Indian tribe shall
consider.
(iii) Types and quantities of NRHM. An examination shall be made of
the type and quantity of NRHM normally transported along highway routes
which are included in a proposed NRHM routing designation, and
consideration shall be given to the relative impact zone and risks of
each type and quantity.
(iv) Emergency response capabilities. In consultation with the
proper fire, law enforcement, and highway safety agencies, consideration
shall be given to the emergency response capabilities which may be
needed as a result of a NRHM routing designation. The analysis of the
emergency response capabilities shall be based upon the proximity of the
emergency response facilities and their capabilities to contain and
suppress NRHM releases within the impact zones.
(v) Results of consultation with affected persons. Consideration
shall be given to the comments and concerns of all affected persons and
entities provided during public hearings and consultations conducted in
accordance with this section.
(vi) Exposure and other risk factors. States and Indian tribes shall
define the exposure and risk factors associated with any NRHM routing
designations. The distance to sensitive areas shall be considered.
Sensitive areas include, but are not limited to, homes and commercial
buildings; special populations in hospitals, schools, handicapped
facilities, prisons and stadiums; water sources such as streams and
lakes; and natural areas such as parks, wetlands, and wildlife reserves.
(vii) Terrain considerations. Topography along and adjacent to the
proposed NRHM routing designation that may affect the potential severity
of an accident, the dispersion of the NRHM upon release and the control
and clean up of NRHM if released shall be considered.
(viii) Continuity of routes. Adjacent jurisdictions shall be
consulted to ensure routing continuity for NRHM across common borders.
Deviations from the most direct route shall be minimized.
(ix) Alternative routes. Consideration shall be given to the
alternative routes to, or resulting from, any NRHM route designation.
Alternative routes shall be examined, reviewed, or evaluated to the
extent necessary to demonstrate that the most probable alternative
routing resulting from a routing designation is safer than the current
routing.
(x) Effects on commerce. Any NRHM routing designation made in
accordance with this subpart shall not create an unreasonable burden
upon interstate or intrastate commerce.
(xi) Delays in transportation. No NRHM routing designations may
create unnecessary delays in the transportation of NRHM.
(xii) Climatic conditions. Weather conditions unique to a highway
route such as snow, wind, ice, fog, or other climatic conditions that
could affect the safety of a route, the dispersion of the NRHM upon
release, or increase the difficulty of controlling it and cleaning it up
shall be given appropriate consideration.
(xiii) Congestion and accident history. Traffic conditions unique to
a highway routing such as: traffic congestion; accident experience with
motor vehicles, traffic considerations that could affect the potential
for an accident, exposure of the public to any release, ability to
perform emergency response operations, or the temporary closing of a
highway for cleaning up any release shall be given appropriate
consideration.

Sec. 397.73 Public information and reporting requirements.

(a) Public information. Information on NRHM routing designations
must be made available by the States and Indian tribes to the public in
the form of maps, lists, road signs or some combination thereof. If road
signs are used, those signs and their placements must

[[Page 769]]

comply with the provisions of the Manual on Uniform Traffic Control
Devices,^{2 published by the FHWA, particularly the Hazardous Cargo
signs identified as R14-2 and R14-3 shown in Section 2B-43 of that
Manual.
---------------------------------------------------------------------------

\2\ This publication may be purchased from the Superintendent of
Documents, U.S. Government Printing Office (GPO), Washington, D.C. 20402
and has Stock No. 050-001-81001-8. It is available for inspection and
copying as prescribed in 49 CFR part 7, appendix D. See 23 CFR part 655,
subpart F.
---------------------------------------------------------------------------

(b) Reporting and publishing requirements. Each State or Indian
tribe, through its routing agency, shall provide information identifying
all NRHM routing designations which exist within their jurisdictions on
November 14, 1994 to the FHWA, HHS-30, 400 7th St., SW., Washington,
D.C. 20590-0001 by March 13,1995. The State or Indian tribe shall
include descriptions of these routing designations, along with the dates
they were established. This information may also be published in each
State's official register of State regulations. Information on any
subsequent changes or new NRHM routing designations shall be furnished
within 60 days after establishment to the FHWA. This information will be
available from the FHWA, consolidated by the FHWA, and published
annually in whole or as updates in the Federal Register. Each State may
also publish this information in its official register of State
regulations.

(Approved by the Office of Management and Budget under control number
2125-0554)

Sec. 397.75 Dispute resolution.

(a) Petition. One or more States or Indian tribes may petition the
Administrator to resolve a dispute relating to an agreement on a
proposed NRHM routing designation. In resolving a dispute under these
provisions, the Administrator will provide the greatest level of safety
possible without unreasonably burdening commerce, and ensure compliance
with the Federal standards established at Sec. 397.71 of this subpart.
(b) Filing. Each petition for dispute resolution filed under this
section must:
(1) Be submitted to the Administrator, Federal Highway
Administration, U.S. Department of Transportation, 400 7th Street, SW.,
Washington, DC 20590-0001. Attention: HCC-10 Docket Room, Hazardous
Materials Routing Dispute Resolution Docket.
(2) Identify the State or Indian tribe filing the petition and any
other State, political subdivision, or Indian tribe whose NRHM routing
designation is the subject of the dispute.
(3) Contain a certification that the petitioner has complied with
the notification requirements of paragraph (c) of this section, and
include a list of the names and addresses of each State, political
subdivision, or Indian tribe official who was notified of the filing of
the petition.
(4) Clearly set forth the dispute for which resolution is sought,
including a complete description of any disputed NRHM routing
designation and an explanation of how the disputed routing designation
affects the petitioner or how it impedes through highway routing. If the
routing designation being disputed results in alternative routing, then
a comparative risk analysis for the designated route and the resulting
alternative routing shall be provided.
(5) Describe any actions taken by the State or Indian tribe to
resolve the dispute.
(6) Explain the reasons why the petitioner believes that the
Administrator should intervene in resolving the dispute.
(7) Describe any proposed actions that the Administrator should take
to resolve the dispute and how these actions would provide the greatest
level of highway safety without unreasonably burdening commerce and
would ensure compliance with the Federal standards established in this
subpart.
(c) Notice. (1) Any State or Indian tribe that files a petition for
dispute resolution under this subpart shall mail a copy of the petition
to any affected State, political subdivision, or Indian tribe,
accompanied by a statement that the State, political subdivision, or
Indian tribe may submit comments regarding the petition to the
Administrator within 45 days.
(2) By serving notice on any other State, political subdivision, or
Indian

[[Page 770]]

tribe determined by the Administrator to be possibly affected by the
issues in dispute or the resolution sought, or by publication in the
Federal Register, the Administrator may afford those persons an
opportunity to file written comments on the petition.
(3) Any affected State, political subdivision, or Indian tribe
submitting written comments to the Administrator with respect to a
petition filed under this section shall send a copy of the comments to
the petitioner and certify to the Administrator as to having complied
with this requirement. The Administrator may notify other persons
participating in the proceeding of the comments and provide an
opportunity for those other persons to respond.
(d) Court actions. After a petition for dispute resolution is filed
in accordance with this section, no court action may be brought with
respect to the subject matter of such dispute until a final decision has
been issued by the Administrator or until the last day of the one-year
period beginning on the day the Administrator receives the petition,
whichever occurs first.
(e) Hearings; alternative dispute resolution. Upon receipt of a
petition filed pursuant to paragraph (a) of this section, the
Administrator may schedule a hearing to attempt to resolve the dispute
and, if a hearing is scheduled, will notify all parties to the dispute
of the date, time, and place of the hearing. During the hearing the
parties may offer any information pertinent to the resolution of the
dispute. If an agreement is reached, it may be stipulated by the
parties, in writing, and, if the Administrator agrees, made part of the
decision in paragraph (f) of this section. If no agreement is reached,
the Administrator may take the matter under consideration and announce
his or her decision in accordance with paragraph (f) of this section.
Nothing in this section shall be construed as prohibiting the parties
from settling the dispute or seeking other methods of alternative
dispute resolution prior to the final decision by the Administrator.
(f) Decision. The Administrator will issue a decision based on the
petition, the written comments submitted by the parties, the record of
the hearing, and any other information in the record. The decision will
include a written statement setting forth the relevant facts and the
legal basis for the decision.
(g) Record. The Administrator will serve a copy of the decision upon
the petitioner and any other party who participated in the proceedings.
A copy of each decision will be placed on file in the public docket. The
Administrator may publish the decision or notice of the decision in the
Federal Register.

Sec. 397.77 Judicial review of dispute decision.

Any State or Indian tribe adversely affected by the Administrator's
decision under Sec. 397.75 of this subpart may seek review by the
appropriate district court of the United States under such proceeding
only by filing a petition with such court within 90 days after such
decision becomes final.

Subpart D--Routing of Class 7 (Radioactive) Materials

Sec. 397.101 Requirements for motor carriers and drivers.

(a) Except as provided in paragraph (b) of this section or in
circumstances when there is only one practicable highway route
available, considering operating necessity and safety, a carrier or any
person operating a motor vehicle that contains a Class 7 (radioactive)
material, as defined in 49 CFR 172.403, for which placarding is required
under 49 CFR part 172 shall:
(1) Ensure that the motor vehicle is operated on routes that
minimize radiological risk;
(2) Consider available information on accident rates, transit time,
population density and activities, and the time of day and the day of
week during which transportation will occur to determine the level of
radiological risk; and
(3) Tell the driver which route to take and that the motor vehicle
contains Class 7 (radioactive) materials.
(b) Except as otherwise permitted in this paragraph and in paragraph
(f) of this section, a carrier or any person operating a motor vehicle
containing a highway route controlled quantity of

[[Page 771]]

Class 7 (radioactive) materials, as defined in 49 CFR 173.403(l), shall
operate the motor vehicle only over preferred routes.
(1) For purposes of this subpart, a preferred route is an Interstate
System highway for which an alternative route is not designated by a
State routing agency; a State-designated route selected by a State
routing agency pursuant to Sec. 397.103; or both of the above.
(2) The motor carrier or the person operating a motor vehicle
containing a highway route controlled quantity of Class 7 (radioactive)
materials, as defined in 49 CFR 173.403(l) and (y), shall select routes
to reduce time in transit over the preferred route segment of the trip.
An Interstate System bypass or Interstate System beltway around a city,
when available, shall be used in place of a preferred route through a
city, unless a State routing agency has designated an alternative route.
(c) A motor vehicle may be operated over a route, other than a
preferred route, only under the following conditions:
(1) The deviation from the preferred route is necessary to pick up
or deliver a highway route controlled quantity of Class 7 (radioactive)
materials, to make necessary rest, fuel or motor vehicle repair stops,
or because emergency conditions make continued use of the preferred
route unsafe or impossible;
(2) For pickup and delivery not over preferred routes, the route
selected must be the shortest-distance route from the pickup location to
the nearest preferred route entry location, and the shortest-distance
route to the delivery location from the nearest preferred route exit
location. Deviation from the shortest-distance pickup or delivery route
is authorized if such deviation:
(i) Is based upon the criteria in paragraph (a) of this section to
minimize the radiological risk; and
(ii) Does not exceed the shortest-distance pickup or delivery route
by more than 25 miles and does not exceed 5 times the length of the
shortest-distance pickup or delivery route.
(iii) Deviations from preferred routes, or pickup or delivery routes
other than preferred routes, which are necessary for rest, fuel, or
motor vehicle repair stops or because of emergency conditions, shall be
made in accordance with the criteria in paragraph (a) of this section to
minimize radiological risk, unless due to emergency conditions, time
does not permit use of those criteria.
(d) A carrier (or a designated agent) who operates a motor vehicle
which contains a package of highway route controlled quantity of Class 7
(radioactive) materials, as defined in 49 CFR 173.403(l), shall prepared
a written route plan and supply a copy before departure to the motor
vehicle driver and a copy to the shipper (before departure for exclusive
use shipments, as defined in 49 CFR 173.403(i), or within fifteen
working days following departure for all other shipments). Any variation
between the route plan and routes actually used, and the reason for it,
shall be reported in an amendment to the route plan delivered to the
shipper as soon as practicable but within 30 days following the
deviation. The route plan shall contain:
(1) A statement of the origin and destination points, a route
selected in compliance with this section, all planned stops, and
estimated departure and arrival times; and
(2) Telephone numbers which will access emergency assistance in each
State to be entered.
(e) No person may transport a package of highway route controlled
quantity of Class 7 (radioactive) materials on a public highway unless:
(1) The driver has received within the two preceding years, written
training on:
(i) Requirements in 49 CFR parts 172, 173, and 177 pertaining to the
Class 7 (radioactive) materials transported;
(ii) The properties and hazards of the Class 7 (radioactive)
materials being transported; and
(iii) Procedures to be followed in case of an accident or other
emergency.
(2) The driver has in his or her immediate possession a certificate
of training as evidence of training required by this section, and a copy
is placed in his or her qualification file (see Sec. 391.51 of this
subchapter), showing:
(i) The driver's name and operator's license number;
(ii) The dates training was provided;

[[Page 772]]

(iii) The name and address of the person providing the training;
(iv) That the driver has been trained in the hazards and
characteristics of highway route controlled quantity of Class 7
(radioactive) materials; and
(v) A statement by the person providing the training that
information on the certificate is accurate.
(3) The driver has in his or her immediate possession the route plan
required by paragraph (d) of this section and operates the motor vehicle
in accordance with the route plan.
(f) A person may transport irradiated reactor fuel only in
compliance with a plan if required under 49 CFR 173.22(c) that will
ensure the physical security of the material. Variation for security
purposes from the requirements of this section is permitted so far as
necessary to meet the requirements imposed under such a plan, or
otherwise imposed by the U.S. Nuclear Regulatory Commission in 10 CFR
part 73.
(g) Expect for packages shipped in compliance with the physical
security requirements of the U.S. Nuclear Regulatory Commission in 10
CFR part 73, each carrier who accepts for transportation a highway route
controlled quantity of Class 7 (radioactive) material (see 49 CFR
173.401(l)), shall, within 90 days following the acceptance of the
package, file the following information concerning the transportation of
each such package with the Associate Administrator for Safety and System
Applications, Federal Highway Administration, Attn: Traffic Control
Division, HHS-32, room 3419, 400 Seventh Street, SW., Washington, DC
20590-0001:
(1) The route plan required under paragraph (d) of this section,
including all required amendments reflecting the routes actually used;
(2) A statement identifying the names and addresses of the shipper,
carrier and consignee; and
(3) A copy of the shipping paper or the description of the Class 7
(radioactive) material in the shipment required by 49 CFR 172.202 and
172.203.

[57 FR 44131, Sept. 24, 1992]

Sec. 397.103 Requirements for State routing designations.

(a) The State routing agency, as defined in Sec. 397.201(c), shall
select routes to minimize radiological risk using ``Guidelines for
Selecting Preferred Highway Routes for Highway Route Controlled Quantity
Shipments of Radioactive Materials,'' or an equivalent routing analysis
which adequately considers overall risk to the public. Designations must
be preceded by substantive consultation with affected local
jurisdictions and with any other affected States to ensure consideration
of all impacts and continuity of designated routes.
(b) State routing agencies may designate preferred routes as an
alternative to, or in addition to, one or more Interstate System
highways, including interstate system bypasses, or Interstate System
beltways.
(c) A State-designated route is effective when--
(1) The State gives written notice by certified mail, return receipt
requested, to the Associate Administrator for Safety and System
Applications, Federal Highway Administration, Attn: Traffic Control
Division, HHS-32, Room 3419, Registry of State-designated routes, at the
address above; and
(2) Receipt thereof is acknowledged in writing by the Associate
Administrator.
(d) Upon request, the Office of Highway Safety, Traffic Control
Division, HHS-32, room 3419, at the address above, will provide a list
of State-designated preferred routes and a copy of the ``Guidelines for
Selecting Preferred Highway Routes for Highway Route Controlled Quantity
Shipments of Radioactive Materials.''

[57 FR 44131, Sept. 24, 1992]

Subpart E--Preemption Procedures

Source: 57 FR 44132, Sept. 24, 1992, unless otherwise noted.

Sec. 397.201 Purpose and scope of the procedures.

(a) This subpart prescribes procedures by which:
(1) Any person, including a State, political subdivision thereof, or
Indian tribe, directly affected by any highway routing designation for
hazardous materials may apply to the Administrator

[[Page 773]]

for a determination as to whether that highway routing designation is
preempted under 49 U.S.C. 5125, or Sec. 397.69 or Sec. 397.203 of this
part; and
(2) A State, political subdivision thereof, or Indian tribe may
apply to the Administrator for a waiver of preemption with respect to
any highway routing designation that the State, political subdivision
thereof, or Indian tribe acknowledges to be preempted by 49 U.S.C. 5125,
or Sec. 397.69 or Sec. 397.203 of this part, or that has been determined
by a court of competent jurisdiction to be so preempted.
(b) Unless otherwise ordered by the Administrator, an application
for a preemption determination which includes an application for a
waiver of preemption will be treated and processed solely as an
application for a preemption determination.
(c) For purposes of this part:
Act means 49 U.S.C. 5101 et seq., formerly known as the Hazardous
Materials Transportation Act.
Administrator means the Federal Highway Administrator, who is the
chief executive of the Federal Highway Administration, an agency of the
United States Department of Transportation, or his/her designate.
Hazardous material means a substance or material, including a
hazardous substance, which has been determined by the Secretary of
Transportation to be capable of posing an unreasonable risk to health,
safety, or property, when transported in commerce, and which has been so
designated.
Indian tribe has the same meaning as contained in section 4 of the
Indian Self-Determination and Education Act, 25 U.S.C. 450b.
Person means an individual, firm, copartnership, corporation,
company, association, joint-stock association, including any trustee,
receiver, assignee, or similar representative thereof, or government,
Indian tribe, or agency or instrumentality of any government or Indian
tribe when it offers hazardous materials for transportation in commerce
or transports hazardous materials in furtherance of a commercial
enterprise, but such term does not include the United States Postal
Service.
Political subdivision includes a municipality; a public agency or
other instrumentality of one or more States, or a public corporation,
board, or commission established under the laws of one or more States.
Routing agency means the State highway agency or other State agency
designated by the Governor of a State, or an agency designated by an
Indian tribe, to supervise, coordinate, and approve the highway routing
designations for that State or Indian tribe. Any highway routing
designation made by a political subdivision of a State shall be
considered a designation made by that State.
Routing designation includes any regulation, limitation,
restriction, curfew, time of travel restriction, lane restriction,
routing ban, port-of-entry designation, or route weight restriction
applicable to the highway transportation of hazardous materials over a
specific highway route or portion of a route.
State means a State of the United States, the District of Columbia,
the Commonwealth of Puerto Rico, the Commonwealth of the Northern
Mariana Islands, the Virgin Islands, American Samoa, Guam, or any other
territory or possession of the United States designated by the
Secretary.

[57 FR 44132, Sept. 24, 1992, as amended at 59 FR 51834, Oct. 12, 1994]

Sec. 397.203 Standards for determining preemption.

(a) Any highway routing designation established, maintained, or
enforced by a State, political subdivision thereof, or Indian tribe is
preempted if--
(1) Compliance with both the highway routing designation and any
requirement under the Act or of a regulation issued under the Act is not
possible;
(2) The highway routing designation as applied or enforced creates
an obstacle to the accomplishment and execution of the Act or the
regulations issued under the Act; or
(3) The highway routing designation is preempted pursuant to
Sec. 397.69(b) of this part.
(b) [Reserved]

[57 FR 44132, Sept. 24, 1992, as amended at 59 FR 51834, Oct. 12, 1994]

[[Page 774]]

Sec. 397.205 Preemption application.

(a) Any person, including a State, political subdivision thereof, or
Indian tribe directly affected by any highway routing designation of
another State, political subdivision, or Indian tribe, may apply to the
Administrator for a determination of whether that highway routing
designation is preempted by the Act or Sec. 397.203 of this subpart. The
Administrator shall publish notice of the application in the Federal
Register.
(b) Each application filed under this section for a determination
must:
(1) Be submitted to the Administrator, Federal Highway
Administration, U.S. Department of Transportation, Washington, DC 20590-
0001. Attention: HCC-10 Docket Room, Hazardous Materials Preemption;
(2) Set forth a detailed description of the highway routing
designation of the State, political subdivision thereof, or Indian tribe
for which the determination is sought;
(3) If applicable, specify the provisions of the Act or the
regulations issued under the Act under which the applicant seeks
preemption of the highway routing designation of the State, political
subdivision thereof, or Indian tribe;
(4) Explain why the applicant believes the highway routing
designation of the State, political subdivision thereof, or Indian tribe
should or should not be preempted under the standards of Sec. 397.203;
and
(5) State how the applicant is affected by the highway routing
designation of the State, political subdivision thereof, or Indian
tribe.
(c) The filing of an application for a determination under this
section does not constitute grounds for noncompliance with any
requirement of the Act or any regulation issued under the Act.
(d) Once the Administrator has published notice in the Federal
Register of an application received under paragraph (a) of this section,
no applicant for such determination may seek relief with respect to the
same or substantially the same issue in any court until final action has
been taken on the application or until 180 days after filing of the
application, whichever occurs first. Nothing in this section shall be
construed as prohibiting any person, including a State, political
subdivision thereof, or Indian tribe, directly affected by any highway
routing designation from seeking a determination of preemption in any
court of competent jurisdiction in lieu of applying to the Administrator
under paragraph (a) of this section.

Sec. 397.207 Preemption notice.

(a) If the applicant is other than a State, political subdivision
thereof, or Indian tribe, the applicant shall mail a copy of the
application to the State, political subdivision thereof, or Indian tribe
concerned, accompanied by a statement that comments may be submitted
regarding the application to the Administrator within 45 days. The
application filed with the Administrator must include a certification
that the applicant has complied with this paragraph and must include the
names and addresses of each official to whom a copy of the application
was sent.
(b) The Administrator may afford interested persons an opportunity
to file written comments on the application by serving notice on any
persons readily identifiable by the Administrator as persons who will be
affected by the ruling sought or by publication in the Federal Register.
(c) Each person submitting written comments to the Administrator
with respect to an application filed under this section shall send a
copy of the comments to the applicant and certify to the Administrator
that he or she has complied with this requirement. The Administrator may
notify other persons participating in the proceeding of the comments and
provide an opportunity for those other persons to respond.

Sec. 397.209 Preemption processing.

(a) The Administrator may initiate an investigation of any statement
in an application and utilize in his or her evaluation any relevant
facts obtained by that investigation. The Administrator may solicit and
accept submissions from third persons relevant to an application and
will provide the applicant an opportunity to respond to all third person
submissions. In evaluating an application, the Administrator may

[[Page 775]]

consider any other source of information. The Administrator may convene
a hearing or conference, if a hearing or conference will advance the
evaluation of the application.
(b) The Administrator may dismiss the application without prejudice
if:
(1) he or she determines that there is insufficient information upon
which to base a determination; or
(2) he or she requests additional information from the applicant and
it is not submitted.

Sec. 397.211 Preemption determination.

(a) Upon consideration of the application and other relevant
information received, the Administrator issues a determination.
(b) Notwithstanding that an application for a determination has not
been filed under Sec. 397.205, the Administrator, on his or her own
initiative, may issue a determination as to whether a particular highway
routing designation of a State, political subdivision thereof, or Indian
tribe is preempted under the Act or the regulations issued under the
Act.
(c) The determination includes a written statement setting forth the
relevant facts and the legal basis for the determination, and provides
that any person aggrieved thereby may file a petition for
reconsideration within 20 days in accordance with Sec. 397.223.
(d) Unless the determination is issued pursuant to paragraph (b) of
this section, the Administrator serves a copy of the determination upon
the applicant. In all preemption determinations, the Administrator
serves a copy of the determination upon any other person who
participated in the proceeding or who is readily identifiable by the
Administrator as affected by the determination. A copy of each
determination is placed on file in the public docket. The Administrator
may publish the determination or notice of the determination in the
Federal Register.
(e) If no petition for reconsideration is filed within 20 days in
accordance with Sec. 397.223, a determination issued under this section
constitutes the final agency decision as to whether a particular highway
routing designation of a State, political subdivision thereof, or Indian
tribe is preempted under the Act or regulations issued thereunder. The
fact that a determination has not been issued under this section with
respect to a particular highway routing designation of a State,
political subdivision thereof, or Indian tribe carries no implication as
to whether the requirement is preempted under the Act or regulations
issued thereunder.

Sec. 397.213 Waiver of preemption application.

(a) Any State, political subdivision thereof, or Indian tribe may
apply to the Administrator for a waiver of preemption with respect to
any highway routing designation that the State, political subdivision
thereof, or Indian tribe acknowledges to be preempted by the Act,
Sec. 397.203 of this subpart, or a court of competent jurisdiction. The
Administrator may waive preemption with respect to such requirement upon
a determination that such requirement--
(1) Affords an equal or greater level of protection to the public
than is afforded by the requirements of the Act or regulations issued
under the Act, and
(2) Does not unreasonably burden commerce.
(b) Each application filed under this section for a waiver of
preemption determination must:
(1) Be submitted to the Administrator, Federal Highway
Administration, U.S. Department of Transportation, Washington, DC 20590-
0001. Attention: HCC-10 Docket Room, Hazardous Materials Preemption
Docket;
(2) Set forth a detailed description of the highway routing
designation of the State, political subdivision thereof, or Indian tribe
for which the determination is being sought;
(3) Include a copy of any relevant court order or determination
issued pursuant to Sec. 397.211;
(4) Contain an express acknowledgment by the applicant that the
highway routing designation of the State, political subdivision thereof,
our Indian tribe is preempted under the Act or the regulations issued
under the Act, unless it has been so determined by a court of competent
jurisdiction or

[[Page 776]]

in a determination issued under this subpart;
(5) Specify each provision of the Act or the regulations issued
under the Act that preempts the highway routing designation of the
State, political subdivision thereof, or Indian tribe;
(6) State why the applicant believes that the highway routing
designation of the State, political subdivision thereof, or Indian tribe
affords an equal or greater level of protection to the public than is
afforded by the requirements of the Act or the regulations issued under
the Act;
(7) State why the applicant believes that the highway routing
designation of the State, political subdivision thereof, or Indian tribe
does not unreasonably burden commerce; and
(8) Specify what steps the State, political subdivision thereof, or
Indian tribe is taking to administer and enforce effectively the
preempted requirement.

Sec. 397.215 Waiver notice.

(a) The applicant State, political subdivision thereof, or Indian
tribe shall mail a copy of the application and any subsequent amendments
or other documents relating to the application to each person whom the
applicant reasonably ascertains will be affected by the determination
sought. The copy of the application must be accompanied by a statement
that the person may submit comments regarding the application to the
Administrator within 45 days. The application filed with the
Administrator must include a certification with the application has
complied with this paragraph and must include the names and addresses of
each person to whom the application was sent.
(b) Notwithstanding the provisions of paragraph (a) of this section,
if the State, political subdivision thereof, or Indian tribe determines
that compliance with paragraph (a) of this section would be
impracticable, the applicant shall:
(1) Comply with the requirements of paragraph (a) of this section
with regard to those persons whom it is reasonable and practicable to
notify; and
(2) Include with the application filed with the Administrator a
description of the persons or class or classes of persons to whom notice
was not sent.
(c) The Administrator may require the applicant to provide notice in
addition to that required by paragraphs (a) and (b) of this section, or
may determine that the notice required by paragraph (a) of this section
is not impracticable, or that notice should be published in the Federal
Register.
(d) The Administrator may serve notice on any other persons readily
identifiable by the Administrator as persons who will be affected by the
determination sought and may afford those persons an opportunity to file
written comments on the application.
(e) Any person submitting written comments to the Administrator with
respect to an application filed under this section shall send a copy of
the comments to the applicant. The person shall certify to the
Administrator that he or she has complied with the requirements of this
paragraph. The Administrator may notify other persons participating in
the proceeding of the comments and provide an opportunity for those
other persons to respond.

Sec. 397.217 Waiver processing.

(a) The Administrator may initiate an investigation of any statement
in an application and utilize any relevant facts obtained by that
investigation. The Administrator may solicit and accept submissions from
third persons relevant to an application and will provide the applicant
an opportunity to respond to all third person submissions. In evaluating
an application, the Administrator may convene a hearing or conference,
if a hearing or conference will advance the evaluation of the
application.
(b) The Administrator may dismiss the application without prejudice
if:
(1) he or she determines that there is insufficient information upon
which to base a determination;
(2) Upon his or her request, additional information is not submitted
by the applicant; or
(3) The applicant fails to provide the notice required by this
subpart.
(c) Except as provided in this subpart, the Administrator will only
consider an application for a waiver of preemption determination if:

[[Page 777]]

(1) The applicant expressly acknowledges in its application that the
highway routing designation of the State, political subdivision thereof,
or Indian tribe for which the determination is sought is preempted by
the Act or the regulations thereunder; or
(2) The highway routing designation of the State, political
subdivision thereof, or Indian tribe has been determined by a court of
competent jurisdiction or in a determination issued pursuant to
Sec. 397.211 to be preempted by the Act or the regulations issued
thereunder.
(d) When the Administrator has received all substantive information
necessary to process an application for a waiver of preemption
determination, notice of that fact will be served upon the applicant.
Additional notice to all other persons who received notice of the
proceeding may be served by publishing a notice in the Federal Register.

Sec. 397.219 Waiver determination and order.

(a) Upon consideration of the application and other relevant
information received or obtained during the proceeding, the
Administrator issues an order setting forth his or her determination.
(b) The Administrator may issue a waiver of preemption order only if
he or she finds that the requirement of the State, political subdivision
thereof, or Indian tribe affords the public a level of safety at least
equal to that afforded by the requirements of the Act and the
regulations issued under the Act and does not unreasonably burden
commerce. In determining whether the requirement of the State, political
subdivision thereof, or Indian tribe unreasonably burdens commerce, the
Administrator may consider the following factors:
(1) The extent to which increased costs and impairment of efficiency
result from the highway routing designation of the State, political
subdivision thereof, or Indian tribe;
(2) Whether the highway routing designation of the State, political
subdivision thereof, or Indian tribe has a rational basis;
(3) Whether the highway routing designation of the State, political
subdivision thereof, or Indian tribe achieves its stated purpose; and
(4) Whether there is need for uniformity with regard to the subject
concerned and if so, whether the highway routing designation of the
State, political subdivision thereof, or Indian tribe competes or
conflicts with those of other States, political subdivisions thereof, or
Indian tribes.
(c) The order includes a written statement setting forth the
relevant facts and the legal basis for the determination, and provides
that any person aggrieved by the order may file a petition for
reconsideration in accordance with Sec. 397.223.
(d) The Administrator serves a copy of the order upon the applicant,
any other person who participated in the proceeding and upon any other
person readily identifiable by the Administrator as one who may be
affected by the order. A copy of each order is placed on file in the
public docket. The Administrator may publish the order or notice of the
order in the Federal Register.
(e) If no petition for reconsideration is filed within 20 days in
accordance with Sec. 397.223, an order issued under this section
constitutes the final agency decision regarding whether a particular
requirement of a State, political subdivision thereof, or Indian tribe
is preempted under the Act or any regulations issued thereunder, or
whether preemption is waived.

Sec. 397.221 Timeliness.

If the Administrator fails to take action on the application within
90 days of serving the notice required by Sec. 397.217(d), the applicant
may treat the application as having been denied in all respects.

Sec. 397.223 Petition for reconsideration.

(a) Any person aggrieved by an order issued under Sec. 397.211 or
Sec. 397.219 may file a petition for reconsideration with the
Administrator. The petition must be filed within 20 days of service of
the determination or order issued under the above sections.
(b) The petition must contain a concise statement of the basis for
seeking reconsideration, including any specific

[[Page 778]]

factual or legal errors, or material information not previously
available.
(c) The petitioner shall mail a copy of the petition to each person
who participated, either as an applicant or routing, in the waiver of
preemption proceeding, accompanied by a statement that the person may
submit comments concerning the petition to the Administrator within 20
days. The petition filed with the Administrator must contain a
certification that the petitioner has complied with this paragraph and
include the names and addresses of all persons to whom a copy of the
petition was sent.
(d) The Administrator's decision under this section constitutes the
final agency decision. If no petition for reconsideration is filed under
this section, then the determination issued under Sec. 397.211 or
Sec. 397.219 becomes the final agency decision at the end of the 20 day
period.

Sec. 397.225 Judicial review.

A party to a proceeding under Sec. 397.205(a), Sec. 397.213(a), or
Sec. 397.223(a) may seek review by the appropriate district court of the
United States of the decision of the Administrator under such proceeding
only by filing a petition with such court within 60 days after the final
agency decision.

PART 398--TRANSPORTATION OF MIGRANT WORKERS--Table of Contents

Sec.
398.1 Definitions.
398.2 Applicability.
398.3 Qualifications of drivers or operators.
398.4 Driving of motor vehicles.
398.5 Parts and accessories necessary for safe operation.
398.6 Hours of service of drivers; maximum driving time.
398.7 Inspection and maintenance of motor vehicles.
398.8 Administration inspection of motor vehicles in operation.

Authority: Secs. 203, 204, 49 Stat. 544, as amended, 546, as
amended; 49 U.S.C. 303, 304.

Source: 33 FR 19765, Dec. 25, 1968, unless otherwise noted.

Sec. 398.1 Definitions.

(a) Migrant worker. ``Migrant worker'' means any individual
proceeding to or returning from employment in agriculture as defined in
section 3(f) of the Fair Labor Standards Act of 1938, as amended (29
U.S.C. 203(f)) or section 3121(g) of the Internal Revenue Code of 1954
(26 U.S.C. 3121(g)).
(b) Carrier of migrant workers by motor vehicle. ``Carrier of
migrant worker by motor vehicle'' means any person, including any
``contract carrier by motor vehicle'', but not including any ``common
carrier by motor vehicle'', who or which transports in interstate or
foreign commerce at any one time three or more migrant workers to or
from their employment by any motor vehicle other than a passenger
automobile or station wagon, except a migrant worker transporting
himself/herself or his/her immediate family.
(c) Motor carrier. ``Motor carrier'' means any carrier of migrant
workers by motor vehicle as defined in paragraph (b) of this section.
(d) Motor vehicle. ``Motor vehicle'' means any vehicle, machine,
tractor, trailer, or semitrailer propelled or drawn by mechanical power
and used upon the highways in the transportation of passengers or
property, or any combination thereof, determined by the Administration,
but does not include a passenger automobile or station wagon, any
vehicle, locomotive, or car operated exclusively on a rail or rails, or
a trolley bus operated by electric power derived from a fixed overhead
wire, furnishing local passenger transportation in street-railway
service.
(e) Bus. ``Bus'' means any motor vehicle designed, constructed, and
used for the transportation of passengers: Except passenger automobiles
or station wagons other than taxicabs.
(f) Truck. ``Truck'' means any self-propelled motor vehicle except a
truck tractor, designed and constructed primarily for the transportation
of property.
(g) Truck tractor. ``Truck tractor'' means a self-propelled motor
vehicle designed and used primarily for drawing other vehicles and not
so constructed as to carry a load other than a part of the weight of the
vehicle and load so drawn.
(h) Semitrailer. ``Semitrailer'' means any motor vehicle other than
a ``pole

[[Page 779]]

trailer'', with or without motive power designed to be drawn by another
motor vehicle and so constructed that some part of its weight rests upon
the towing vehicle.
(i) Driver or operator. ``Driver or operator'' means any person who
drives any motor vehicle.
(j) Highway. ``Highway'' means the entire width between the boundary
lines of every way publicly maintained when any part thereof is open to
the use of the public for purposes of vehicular traffic.

Sec. 398.2 Applicability.

The regulations prescribed in this part shall be applicable to motor
carriers of migrant workers, as defined in Sec. 398.1(b), only in the
case of transportation of any migrant worker for a total distance of
more than seventy-five miles, and then only if such transportation is
across the boundary line of any State, the District of Columbia, or
Territory of the United States, or a foreign country.

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]

Sec. 398.3 Qualifications of drivers or operators.

(a) Compliance required. Every motor carrier, and its officers,
agents, representatives and employees who drive motor vehicles or are
responsible for the hiring, supervision, training, assignment or
dispatching of drivers shall comply and be conversant with the
requirements of this part.
(b) Minimum physical requirements. No person shall drive, nor shall
any motor carrier require or permit any person to drive, any motor
vehicle unless such person possesses the following minimum
qualifications:
(1) No loss of foot, leg, hand or arm,
(2) No mental, nervous, organic, or functional disease, likely to
interfere with safe driving.
(3) No loss of fingers, impairment of use of foot, leg, fingers,
hand or arm, or other structural defect or limitation, likely to
interfere with safe driving.
(4) Eyesight: Visual acuity of at least 20/40 (Snellen) in each eye
either without glasses or by correction with glasses; form field of
vision in the horizontal meridian shall not be less than a total of 140
degrees; ability to distinguish colors red, green and yellow; drivers
requiring correction by glasses shall wear properly prescribed glasses
at all times when driving.
(5) Hearing: Hearing shall not be less than 10/20 in the better
ear, for conversational tones, without a hearing aid.
(6) Liquor, narcotics and drugs: Shall not be addicted to the use
of narcotics or habit forming drugs, or the excessive use of alcoholic
beverages or liquors.
(7) Initial and periodic physical examination of drivers: No person
shall drive nor shall any motor carrier require or permit any person to
drive any motor vehicle unless within the immediately preceding 36 month
period such person shall have been physically examined and shall have
been certified in accordance with the provisions of paragraph (b)(8) of
this section by a licensed doctor of medicine or osteopathy as meeting
the requirements of this subsection.
(8) Certificate of physical examination: Every motor carrier shall
have in its files at its principal place of business for every driver
employed or used by it a legible certificate of a licensed doctor of
medicine or osteopathy based on a physical examination as required by
paragraph (b)(7) of this section or a legible photographically
reproduced copy thereof, and every driver shall have in his/her
possession while driving, such a certificate or a photographically
reproduced copy thereof covering himself/herself.
(9) Doctor's certificate: The doctor's certificate shall certify as
follows:

Doctor's Certificate

(Driver of Migrant Workers)

This is to certify that I have this day examined ______________ in
accordance with Sec. 398.3(b) of the Federal Motor Carrier Safety
Regulations of the Federal Highway Administration and that I find him/
her
Qualified under said rules {time}
Qualified only when wearing glasses {time}

[[Page 780]]

I have kept on file in my office a completed examination.
________________________________________________________________________
(Date)
........................................................................
(Place)
........................................................................
(Signature of examining doctor)
________________________________________________________________________
(Address of doctor)
Signature of driver_____________________________________________________
Address of driver_______________________________________________________

(c) Minimum age and experience requirements. No person shall drive,
nor shall any motor carrier require or permit any person to drive, any
motor vehicle unless such person possesses the following minimum
qualifications:
(1) Age. Minimum age shall be 21 years.
(2) Driving skill. Experience in driving some type of motor vehicle
(including private automobiles) for not less than one year, including
experience throughout the four seasons.
(3) Knowledge of regulations. Familiarity with the rules and
regulations prescribed in this part pertaining to the driving of motor
vehicles.
(4) Knowledge of English. Every driver shall be able to read and
speak the English language sufficiently to understand highway traffic
signs and signals and directions given in English and to respond to
official inquiries.
(5) Driver's permit. Possession of a valid permit qualifying the
driver to operate the type of vehicle driven by him/her in the
jurisdiction by which the permit is issued.

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]

Sec. 398.4 Driving of motor vehicles.

(a) Compliance required. Every motor carrier shall comply with the
requirements of this part, shall instruct its officers, agents,
representatives and drivers with respect thereto, and shall take such
measures as are necessary to insure compliance therewith by such
persons. All officers, agents, representatives, drivers, and employees
of motor carriers directly concerned with the management, maintenance,
operation, or driving of motor vehicles, shall comply with and be
conversant with the requirements of this part.
(b) Driving rules to be obeyed. Every motor vehicle shall be driven
in accordance with the laws, ordinances, and regulations of the
jurisdiction in which it is being operated, unless such laws, ordinances
and regulations are at variance with specific regulations of this
Administration which impose a greater affirmative obligation or
restraint.
(c) Driving while ill or fatigued. No driver shall drive or be
required or permitted to drive a motor vehicle while his/her ability or
alertness is so impaired through fatigue, illness, or any other cause as
to make it unsafe for him/her to begin or continue to drive, except in
case of grave emergency where the hazard to passengers would be
increased by observance of this section and then only to the nearest
point at which the safety of passengers is assured.
(d) Alcoholic beverages. No driver shall drive or be required or
permitted to drive a motor vehicle, be in active control of any such
vehicle, or go on duty or remain on duty, when under the influence of
any alcoholic beverage or liquor, regardless of its alcoholic content,
nor shall any driver drink any such beverage or liquor while on duty.
(e) Schedules to conform with speed limits. No motor carrier shall
permit nor require the operation of any motor vehicle between points in
such period of time as would necessitate the vehicle being operated at
speeds greater than those prescribed by the jurisdictions in or through
which the vehicle is being operated.
(f) Equipment and emergency devices. No motor vehicle shall be
driven unless the driver thereof shall have satisfied himself/herself
that the following parts, accessories, and emergency devices are in good
working order; nor shall any driver fail to use or make use of such
parts, accessories, and devices when and as needed:

[[Page 781]]

Road warning devices, at least one red burning fusee and at least
three flares (oil burning pot torches), red electric lanterns, or red
emergency reflectors.

(g) Safe loading--(1) Distribution and securing of load. No motor
vehicle shall be driven nor shall any motor carrier permit or require
any motor vehicle to be driven if it is so loaded, or if the load
thereon is so improperly distributed or so inadequately secured, as to
prevent its safe operation.
(2) Doors, tarpaulins, tailgates and other equipment. No motor
vehicle shall be driven unless the tailgate, tailboard, tarpaulins,
doors, all equipment and rigging used in the operation of said vehicle,
and all means of fastening the load, are securely in place.
(3) Interference with driver. No motor vehicle shall be driven when
any object obscures his/her view ahead, or to the right or left sides,
or to the rear, or interferes with the free movement of his/her arms or
legs, or prevents his/her free and ready access to the accessories
required for emergencies, or prevents the free and ready exit of any
person from the cab or driver's compartment.
(4) Property on motor vehicles. No vehicle transporting persons and
property shall be driven unless such property is stowed in a manner
which will assure:
(i) Unrestricted freedom of motion to the driver for proper
operation of the vehicle;
(ii) Unobstructed passage to all exits by any person; and
(iii) Adequate protection to passengers and others from injury as a
result of the displacement or falling of such articles.
(5) Maximum passengers on motor vehicles. No motor vehicle shall be
driven if the total number of passengers exceeds the seating capacity
which will be permitted on seats prescribed in Sec. 398.5(f) when that
section is effective. All passengers carried on such vehicle shall
remain seated while the motor vehicle is in motion.
(h) Rest and meal stops. Every carrier shall provide for reasonable
rest stops at least once between meal stops. Meal stops shall be made at
intervals not to exceed six hours and shall be for a period of not less
than 30 minutes duration.
(i) Kinds of motor vehicles in which workers may be transported.
Workers may be transported in or on only the following types of motor
vehicles: A bus, a truck with no trailer attached, or a semitrailer
attached to a truck-tractor provided that no other trailer is attached
to the semitrailer. Closed vans without windows or means to assure
ventilation shall not be used.
(j) Limitation on distance of travel in trucks. Any truck when used
for the transportation of migrant workers, if such workers are being
transported in excess of 600 miles, shall be stopped for a period of not
less than eight consecutive hours either before or upon completion of
600 miles travel, and either before or upon completion of any subsequent
600 miles travel to provide rest for drivers and passengers.
(k) Lighting devices and reflectors. No motor vehicle shall be
driven when any of the required lamps or reflectors are obscured by the
tailboard, by any and all lighting devices required by subpart B of part
393 of this subchapter shall be lighted during darkness or at any other
time when there is not sufficient light to render vehicles and persons
visible upon the highway at a distance of 500 feet.
(l) Ignition of fuel; prevention. No driver or any employee of a
motor carrier shall:
(1) Fuel a motor vehicle with the engine running, except when it is
necessary to run the engine to fuel the vehicle;
(2) Smoke or expose any open flame in the vicinity of a vehicle
being fueled;
(3) Fuel a motor vehicle unless the nozzle of the fuel hose is
continuously in contact with the intake pipe of the fuel tank;
(4) Permit any other person to engage in such activities as would be
likely to result in fire or explosion.
(m) Reserve fuel. No supply of fuel for the propulsion of any motor
vehicle or for the operation of any accessory thereof shall be carried
on the motor vehicle except in a properly mounted fuel tank or tanks.
(n) Driving by unauthorized person. Except in case of emergency, no
driver shall permit a motor vehicle to which he/she is assigned to be
driven by any

[[Page 782]]

person not authorized to drive such vehicle by the motor carrier in
control thereof.
(o) Protection of passengers from weather. No motor vehicle shall be
driven while transporting passengers unless the passengers therein are
protected from inclement weather conditions such as rain, snow, or
sleet, by use of the top or protective devices required by
Sec. 398.5(f).
(p) Unattended vehicles; precautions. No motor vehicle shall be left
unattended by the driver until the parking brake has been securely set,
the wheels chocked, and all reasonable precautions have been taken to
prevent the movement of such vehicle.
(q) Railroad grade crossings; stopping required; sign on rear of
vehicle. Every motor vehicle shall, upon approaching any railroad grade
crossing, make a full stop not more than 50 feet, nor less than 15 feet
from the nearest rail of such railroad grade crossing, and shall not
proceed until due caution has been taken to ascertain that the course is
clear; except that a full stop need not be made at:
(1) A street car crossing within a business or residence district of
a municipality;
(2) A railroad grade crossing where a police officer or a traffic-
control signal (not a railroad flashing signal) directs traffic to
proceed;
(3) An abandoned or exempted grade crossing which is clearly marked
as such by or with the consent of the proper state authority, when such
marking can be read from the driver's position.

All such motor vehicles shall display a sign on the rear reading, ``This
Vehicle Stops at Railroad Crossings.''

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]

Sec. 398.5 Parts and accessories necessary for safe operation.

(a) Compliance. Every motor carrier and its officers, agents,
drivers, representatives and employees directly concerned with the
installation and maintenance of equipment and accessories shall comply
and be conversant with the requirements and specifications of this part,
and no motor carrier shall operate any motor vehicle, or cause or permit
it to be operated, unless it is equipped in accordance with said
requirements and specifications.
(b) Lighting devices. Every motor vehicle shall be equipped with the
lighting devices and reflectors required by subpart B of part 393 of
this subchapter.
(c) Brakes. Every motor vehicle shall be equipped with brakes as
required by subpart C of part 393 of this subchapter, except Sec. 393.44
of this subchapter, and shall satisfy the braking performance
requirements contained therein.
(d) Coupling devices; fifth wheel mounting and locking. The lower
half of every fifth wheel mounted on any truck-tractor or dolly shall be
securely affixed to the frame thereof by U-bolts of adequate size,
securely tightened, or by other means providing at least equivalent
security. Such U-bolts shall not be of welded construction. The
installation shall be such as not to cause cracking, warping, or
deformation of the frame. Adequate means shall be provided positively to
prevent the shifting of the lower half of a fifth wheel on the frame to
which it is attached. The upper half of every fifth wheel shall be
fastened to the motor vehicle with at least the security required for
the securing of the lower half to a truck-tractor or dolly. Locking
means shall be provided in every fifth wheel mechanism including
adapters when used, so that the upper and lower halves may not be
separated without the operation of a positive manual release. A release
mechanism operated by the driver from the cab shall be deemed to meet
this requirement. On fifth wheels designed and constructed as to be
readily separable, the fifth wheel locking devices shall apply
automatically on coupling for any motor vehicle the date of manufacture
of which is subsequent to December 31, 1952.
(e) Tires. Every motor vehicle shall be equipped with tires of
adequate capacity to support its gross weight. No motor vehicle shall be
operated on tires which have been worn so smooth as to expose any tread
fabric or which have any other defect likely to cause failure. No
vehicle shall be operated while transporting passengers while using any
tire which does not have

[[Page 783]]

tread configurations on that part of the tire which is in contact with
the road surface. No vehicle transporting passengers shall be operated
with re-grooved, re-capped, or re-treaded tires on front wheels.
(f) Passenger compartment. Every motor vehicle transporting
passengers, other than a bus, shall have a passenger compartment meeting
the following requirements:
(1) Floors. A substantially smooth floor, without protruding
obstructions more than two inches high, except as are necessary for
securing seats or other devices to the floor, and without cracks or
holes.
(2) Sides. Side walls and ends above the floor at least 60 inches
high, by attachment of sideboards to the permanent body construction if
necessary. Stake body construction shall be construed to comply with
this requirement only if all six-inch or larger spaces between stakes
are suitably closed to prevent passengers from falling off the vehicle.
(3) Nails, screws, splinters. The floor and the interior of the
sides and ends of the passenger-carrying space shall be free of inwardly
protruding nails, screws, splinters, or other projecting objects likely
to be injurious to passengers or their apparel.
(4) Seats. On and after November 1, 1957, a seat shall be provided
for each worker transported. The seats shall be: Securely attached to
the vehicle during the course of transportation; not less than 16 inches
nor more than 19 inches above the floor; at least 13 inches deep;
equipped with backrests extending to a height of at least 36 inches
above the floor, with at least 24 inches of space between the backrests
or between the edges of the opposite seats when face to face; designed
to provide at least 18 inches of seat for each passenger; without cracks
more than two inches wide, and the exposed surfaces, if made of wood,
planed or sanded smooth and free of splinters.
(5) Protection from weather. Whenever necessary to protect the
passengers from inclement weather conditions, be equipped with a top at
least 80 inches high above the floor and facilities for closing the
sides and ends of the passenger-carrying compartment. Tarpaulins or
other such removable devices for protection from the weather shall be
secured in place.
(6) Exit. Adequate means of ingress and egress to and from the
passenger space shall be provided on the rear or at the right side. Such
means of ingress and egress shall be at least 18 inches wide. The top
and the clear opening shall be at least 60 inches high, or as high as
the side wall of the passenger space if less than 60 inches. The bottom
shall be at the floor of the passenger space.
(7) Gates and doors. Gates or doors shall be provided to close the
means of ingress and egress and each such gate or door shall be equipped
with at least one latch or other fastening device of such construction
as to keep the gate or door securely closed during the course of
transportation; and readily operative without the use of tools.
(8) Ladders or steps. Ladders or steps for the purpose of ingress or
egress shall be used when necessary. The maximum verticle spacing of
footholds shall not exceed 12 inches, except that the lowest step may be
not more than 18 inches above the ground when the vehicle is empty.
(9) Hand holds. Hand holds or devices for similar purpose shall be
provided to permit ingress and egress without hazard to passengers.
(10) Emergency exit. Vehicles with permanently affixed roofs shall
be equipped with at least one emergency exit having a gate or door,
latch and hand hold as prescribed in paragraphs (f) (7) and (9) of this
section and located on a side or rear not equipped with the exit
prescribed in paragraph (f)(6) of this section.
(11) Communication with driver. Means shall be provided to enable
the passengers to communicate with the driver. Such means may include
telephone, speaker tubes, buzzers, pull cords, or other mechanical or
electrical means.
(g) Protection from cold. Every motor vehicle shall be provided with
a safe means of protecting passengers from cold or undue exposure, but
in no event shall heaters of the following types be used:
(1) Exhaust heaters. Any type of exhaust heater in which the engine
exhaust gases are conducted into or

[[Page 784]]

through any space occupied by persons or any heater which conducts
engine compartment air into any such space.
(2) Unenclosed flame heaters. Any type of heater employing a flame
which is not fully enclosed.
(3) Heaters permitting fuel leakage. Any type of heater from the
burner of which there could be spillage or leakage of fuel upon the
tilting or overturning of the vehicle in which it is mounted.
(4) Heaters permitting air contamination. Any heater taking air,
heated or to be heated, from the engine compartment or from direct
contact with any portion of the exhaust system; or any heater taking air
in ducts from the outside atmosphere to be conveyed through the engine
compartment, unless said ducts are so constructed and installed as to
prevent contamination of the air so conveyed by exhaust or engine
compartment gases.
(5) Any heater not securely fastened to the vehicle.

Sec. 398.6 Hours of service of drivers; maximum driving time.

No person shall drive nor shall any motor carrier permit or require
a driver employed or used by it to drive or operate for more than 10
hours in the aggregate (excluding rest stops and stops for meals) in any
period of 24 consecutive hours, unless such driver be afforded eight
consecutive hours rest immediately following the 10 hours aggregate
driving. The term ``24 consecutive hours'' as used in this part means
any such period starting at the time the driver reports for duty.

Sec. 398.7 Inspection and maintenance of motor vehicles.

Every motor carrier shall systematically inspect and maintain or
cause to be systematically maintained, all motor vehicles and their
accessories subject to its control, to insure that such motor vehicles
and accessories are in safe and proper operating condition.

Sec. 398.8 Administration inspection of motor vehicles in operation.

(a) Administration personnel authorized to perform inspections. All
persons designated as Special Agents of the Federal Highway
Administration, as detailed in appendix B of chapter III of this title,
are authorized to enter upon and perform inspections of motor carrier's
vehicles in operation.
(b) Prescribed inspection report. Form MCS 63, Driver-Equipment
Compliance Check, shall be used to record findings from motor vehicles
selected for final inspection by authorized Administration employees.
(c) Motor vehicles declared ``out of service''. (1) Authorized
Administration employees shall declare and mark ``out of service'' any
motor vehicle which by reason of its mechanical condition or loading is
so imminently hazardous to operate as to be likely to cause an accident
or a breakdown. Form MCS 64, ``Out of Service Vehicle'' sticker shall be
used to mark vehicles ``out of service.''
(2) No motor carrier shall require or permit any person to operate
nor shall any person operate any motor vehicle declared and marked,
``out of service'' until all repairs required by the ``out of service
notice'' on Form MCS 63 have been satisfactorily completed. The term
operate as used in this section shall include towing the vehicle;
provided, however, that vehicles marked ``out of service'' may be towed
away by means of a vehicle using a crane or hoist; and provided further,
that the vehicle combination consisting of the emergency towing vehicle
and the ``out of service'' vehicle meets the performance requirements of
Sec. 393.52.
(3) No person shall remove the ``Out of Service Vehicle'' sticker
from any motor vehicle prior to completion of all repairs required by
the ``out of service notice'' on Form MCS 63.
(4) The person or persons completing the repairs required by the
``out of service notice'' shall sign the ``Certification of Repairman''
in accordance with the terms prescribed on Form MCS 63, entering the
name of his/her shop or garage and the date and time the required
repairs were completed. If the driver completes the required repairs,
he/she shall sign and complete the ``Certification of Repairman.''
(d) Motor carrier's disposition of Form MCS 63. (1) Motor carriers
shall carefully examine Forms MCS 63. Any and all violations or
mechanical defects noted thereon shall be corrected. To the extent
drivers are shown not to be

[[Page 785]]

in compliance with the Federal Motor Carrier Safety Regulations,
appropriate corrective action shall be taken by the motor carrier.
(2) Motor carriers shall complete the ``Motor Carrier Certification
of Action Taken'' on Form MCS 63 in accordance with the terms prescribed
thereon. Motor carriers shall return Forms MCS 63 to the address
indicated upon Form MCS 63 within fifteen (15) days following the date
of the vehicle inspection.

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]

PART 399--EMPLOYEE SAFETY AND HEALTH STANDARDS--Table of Contents

Subparts A--K [Reserved]

Subpart L--Step, Handhold, and Deck Requirements for Commercial Motor
Vehicles

Sec.
399.201 Purpose and scope.
399.203 Applicability.
399.205 Definitions.
399.207 Truck and truck-tractor access requirements.
399.209 Test procedures.
399.211 Maintenance.

Authority: 49 U.S.C. 304, 1655; 49 CFR 1.48 and 301.60.

Source: 44 FR 43732, July 26, 1979, unless otherwise noted.

Subparts A--K [Reserved]

Subpart L--Step, Handhold, and Deck Requirements for Commercial Motor
Vehicles

Sec. 399.201 Purpose and scope.

This subpart prescribes step, handhold, and deck requirements on
commercial motor vehicles. These requirements are intended to enhance
the safety of motor carrier employees.

Sec. 399.203 Applicability.

This subpart applies to all trucks and truck-tractors, having a high
profile cab-over-engine (COE) configuration, for entrance, egress and
back of cab access, manufactured on and after September 1, 1982.

[44 FR 43732, July 26, 1979, as amended at 46 FR 56799, Nov. 19, 1981]

Sec. 399.205 Definitions.

Cab-over-engine (COE) A truck or truck-tractor having all, or the
front portion, of the engine under the cab.
COE--High profile A COE having the door sill step above the height
of the front tires.
Deck plate A horizontal surface designed to provide a person with
stable footing for the performance of work such as the connection and
disconnection of air and electrical lines, gaining access to
permanently-mounted equipment or machinery or for similar needs.
Door sill step Any step normally protected from the elements by the
cab door when closed.
Effective peripheral grip Any shaped surface, free of sharp edges,
in which a full grasp can be made to secure a handhold by a person.
Fingertip grasp A handhold surface which provides a person contact
restricted to finger segments 1 and/or 2 only; or which limits wrap-
around closure of finger segment 1 with the palm of the hand to 90
degrees as shown in Illustration I.
[GRAPHIC] [TIFF OMITTED] TC01AP91.036

Full grasp A handhold surface which provides a person contact with
finger segments 2 and 3 and which provides

[[Page 786]]

space for finger segment 1 to wrap around toward the palm of the hand
beyond the 90-degree surface restriction shown in Illustration I. The
handhold need not require contact between fingers and thumb. For
example, the hand position shown in Illustration II qualifies as full
grasp.
[GRAPHIC] [TIFF OMITTED] TC01AP91.037

Ground The flat horizontal surface on which the tires of a motor
vehicle rest.
Handhold That which qualifies as providing full grasp if a person is
able to find a hand position on the handhold which allows more than
fingertip grasp.
Handprint The surface area contacted by the hand when grasping a
handhold. The size of this area is the width of the hand across the
metacarpal and half the circumference of the handhold. The hand breadth
of the typical person is 88.9 millimeters (3.5 inches).
Person Any individual within the 5th percentile female adult through
the 95th percentile male adult of anthropometric measures as described
by the 1962 Health Examination Survey, ``Weight, Height and Selected
Body Dimensions of Adults, United States 1960-1962'' which is
incorporated by reference. It is Public Health Service publication No.
1000-Series 11-No. 8 and is for sale from the U.S. Department of
Commerce, National Technical Information Service, 5285 Port Royal Road,
Springfield, Virginia 22161. When ordering use NTIS Accession No. PB
267174. It is also available for inspection at the Office of the Federal
Register Library, 800 North Capitol Street, NW, suite 700, Washington,
DC 20408. This incorporation by reference was approved by the Director
of the Federal Register on July 17, 1979. These materials are
incorporated as they exist on the date of the approval and a notice of
any change in these materials will be published in the Federal Register.
Slip resistant material Any material designed to minimize the
accumulation of grease, ice, mud or other debris and afford protection
from accidental slipping.

Sec. 399.207 Truck and truck-tractor access requirements.

(a) General rule. Any person entering or exiting the cab or
accessing the rear portion of a high profile COE truck or truck-tractor
shall be afforded sufficient steps and handholds, and/or deck plates to
allow the user to have at least 3 limbs in contact with the truck or
truck-tractor at any time. This rule applies to intermediate positions
as well as transition between intermediate positions. To allow for
changes in climbing sequence, the step design shall include, as a
minimum, one intermediate step of sufficient size to accommodate two
feet. Exception. If air and electrical connections necessary to couple
or uncouple a truck-tractor from a trailer are accessible from the
ground, no step, handholds or deck plates are required to permit access
to the rear of the cab.
(b) Performance requirements. All high profile COE trucks or truck-
tractors shall be equipped on each side of the vehicle where a seat is
located, with a sufficient number of steps and handholds to conform with
the requirements of paragraph (a) of this section and shall meet the
performance requirements:
(1) Vertical height. All measurements of vertical height shall be
made from ground level with the vehicle at unladen weight.
(2) Distance between steps. The distance between steps, up to and
including the door sill step, shall provide any person a stable resting
position which can be sustained without body motion and by exerting no
more arm force

[[Page 787]]

than 35 percent of the person's body weight per grasp during all stages
of entry and exit. This criterion applies to intermediate positions as
well as transition between intermediate positions above ground level.
(i) When the ground provides the person foot support during entry or
is the final step in the sequence during exit, and the step is 508
millimeters (20 inches) or more above ground, the stable resting
position shall be achievable by the person using both hands to grasp the
handhold(s) and requiring no more arm force than 35 percent of body
weight per grasp.
(ii) The vertical height of the first step shall be no more than 609
millimeters (24 inches) from ground level.
(3) Construction. Each step or deck plate shall be of a slip
resistant design which minimizes the accumulation of foreign material.
Wherever practicable, a self-cleaning material should be used.
(4) Foot accommodation. Step depth or clearance and step width
necessary to accommodate a climbing person are defined by using a
minimum 127 millimeter (5 inch) diameter disc as shown in Illustration
III.
(i) Single foot accommodation. The disc shall fit on a tread rung,
or in a step recess, with no exterior overhang.
(ii) Two-foot accommodation. Two discs shall fit on a tread rung, or
in a step recess, with no exterior overhang.
[GRAPHIC] [TIFF OMITTED] TC01AP91.038

Note: The 127 millimeter (5 inch) disc is only intended to test for
a minimum depth and width requirement. The step need not retain the disc
at rest.

(5) Step strength. Each step must withstand a vertical static load
of at least 204 kilograms (450 pounds) uniformly distributed over any
127 millimeter (5 inch) increment of step width.
(6) Handhold location. A handhold must be located within the reach
of any person entering or exiting the vehicle.
(7) Exterior mounting specifications for handholds. Each handhold,
affixed to the exterior of the vehicle, shall have at least 38
millimeters (1.5 inches) clearance between the handhold and the surface
to which it is mounted for the distance between its mounting points.
(8) Handhold size and shape. Each handhold shall be free of sharp
edges (minimum 1 millimeter [0.04 inch] radius) and have an effective
peripheral grip length that permits full grasp by any person.
(9) Handhold strength. Each handhold shall withstand a horizontal
static load of at least 114 kilograms (250 pounds) uniformly distributed
over the area of a hand print and applied away from the mounting
surface.
(10) Deck plates. Deck plates shall be on the rear of a truck-
tractor as necessary to couple or uncouple air and/or electrical
connections.
(11) Deck plate strength. Each deck plate shall be capable of
withstanding

[[Page 788]]

the vertical static load of at least 205 kilograms (450 pounds)
uniformly distributed over a 127 millimeter (5 inch) diameter disc.

Sec. 399.209 Test procedures.

(a) The force exerted on a handhold will be measured using a
handheld spring scale or force transducer which can be attached to the
vehicle and is free to rotate into alignment with a person's hand
position.
(b) Hand grasp will be evaluated by observing the handgrip of any
individual who conforms with the definition of ``person'' appearing in
Sec. 399.205 of this subpart.

Sec. 399.211 Maintenance.

All steps, handholds, and/or deck plates required by this subpart
shall be adequately maintained to serve their intended function.

Appendix A to Subchapter B--[Reserved]

Appendix B to Subchapter B--Special Agents

Cautionary note: This appendix relates only to Federal authority to
enforce the regulations in this subchapter. In its present form, it has
no application for the States and is not to be included in any adoption
of these regulations by State authorities as a condition of eligibility
for grants under part 350 of this chapter.
1. Authority. Persons appointed as special agents of the Federal
Highway Administration (``Administration''), are authorized to enter
upon, to inspect, and to examine any and all lands, buildings, and
equipment of motor carriers and other persons subject to the Interstate
Commerce Act, the Department of Transportation Act, and other related
Acts, and to inspect and copy any and all accounts, books, records,
memoranda, correspondence, and other documents of such carriers and
other persons.
2. Compliance. Motor carriers and other persons subject to these
Acts shall submit their accounts, books, records, memoranda,
correspondence, and other documents for inspection and copying, and they
shall submit their lands, buildings, and equipment for examination and
inspection, to any special agent of the Administration upon demand and
display of an Administration credential identifying him/her as a special
agent.
3. Definition of special agent. Federal Highway Administration
(FHWA) employees charged with enforcing 42 U.S.C. 4917 and 49 U.S.C.
104, 501 et seq., 521 et seq., 5101 et seq., 5901 et seq., 31101-31104,
31108, 31131 et seq., 31161, 31301 et seq., and 31501 et seq., including
employees within the Office of Motor Carriers and such other persons as
the Federal Highway Administrator or the Associate Administrator for
Motor Carriers may specify in writing, in possession of credentials
issued by the FHWA, are special agents. They are hereby authorized to
inspect and copy records and to inspect and examine lands, buildings,
and equipment to the manner and extent provided by law.
4. Facsimile of the Administration Credential:

United States of America

Department of Transportation Federal Highway Administration

This is to certify that ____________ whose photograph and signature
appear hereon is duly accredited as ____________ with authority to enter
upon, to inspect, and examine lands, buildings, and equipment, and to
inspect and copy records and papers of carriers and other persons, in
performance of his/her duties under the Department of Transportation
Act, related acts, and regulations of the Department.
By direction of the Secretary
........................................................................
(Certifying Authority) (Bearer)

(Sec. 204, Interstate Commerce Act (49 U.S.C. 304); sec. 6, Department
of Transportation Act (49 U.S.C. 1655); 49 U.S.C. 1801 et seq.; 18
U.S.C. 831-835; and the delegations of authority at 49 CFR 1.48 and
301.60; 49 U.S.C. 3102; 49 CFR 1.48(b))

[35 FR 1016, Jan. 24, 1970 as amended at 36 FR 16067, Aug. 19, 1971; 43
FR 20011, May 10, 1978; 44 FR 46425, July 10, 1980; 49 FR 38290, Sept.
28, 1984; 60 FR 38749, July 28, 1995; 61 FR 1843, Jan. 24, 1996]

Appendix C to Subchapter B--[Reserved]

Appendix D to Subchapter B--Table of Disqualifying Drugs and Other
Substances, Schedule I

This drug classification system's Schedule is adopted in whole from
Sec. 1308.11 of 21 CFR part 1308, Schedules of Controlled Substances.

Schedule I--Controlled Substances

(a) Schedule I shall consist of the drugs and other substances, by
whatever official name, common or usual name, chemical name, or brand
name designated, listed in this section. Each drug or substance has been
assigned the DEA Controlled Substances Code Number set forth opposite
it.
(b) Opiates. Unless specifically excepted or unless listed in
another schedule, any of the

[[Page 789]]

following opiates, including their isomers, esters, ethers, salts, and
salts of isomers, esters, and ethers, whenever the existence of such
isomers, esters, ethers, salts is possible within the specific chemical
designation:

(1) Acetylmethadol.............................................. 9601
(2) Allylprodine................................................ 9602
(3) Alphacetylmethadol.......................................... 9603
(4) Alphameprodine.............................................. 9604
(5) Alphamethadol............................................... 9605
(6) Alpha-methylfentanyl (N-[1-alpha-methyl-betaphenyl)ethyl-4-
piperidyl] propionanilide; 1-(1-methyl-2-phenylethyl)-4-(N-
propanilido) piperidine)....................................... 9814
(7) Benzethidine................................................ 9606
(8) Betacetylmethadol........................................... 9607
(9) Betameprodine............................................... 9608
(10) Betamethadol............................................... 9609
(11) Betaprodine................................................ 9611
(12) Clonitazene................................................ 9612
(13) Dextromoramide............................................. 9613
(14) Diampromide................................................ 9615
(15) Diethylthiambutene......................................... 9616
(16) Difenoxin.................................................. 9618
(17) Dimenoxadol................................................ 9617
(18) Dimepheptanol.............................................. 9618
(19) Dimethylthiambutene........................................ 9619
(20) Dioxphetyl butyrate........................................ 9621
(21) Dipipanone................................................. 9622
(22) Ethylmethylthambutene...................................... 9623
(23) Etonilazene................................................ 9624
(24) Etoxeridine................................................ 9625
(25) Furethidine................................................ 9626
(26) Hydroxypethidine........................................... 9627
(27) Ketobemidone............................................... 9628
(28) Levomoramide............................................... 9629
(29) Levophenacylmorphan........................................ 9631
(30) Morpheridine............................................... 9632
(31) Noracymethadol............................................. 9633
(32) Norlevorphanol............................................. 9634
(33) Normethadone............................................... 9635
(34) Norpipanone................................................ 9636
(35) Phenadoxone................................................ 9637
(36) Phenampromide.............................................. 9638
(37) Phenomorphan............................................... 9647
(38) Phenoperidine.............................................. 9641
(39) Piritramide................................................ 9642
(40) Proheptazine............................................... 9643
(41) Properidine................................................ 9644
(42) Propiram................................................... 9649
(43) Racemoramide............................................... 9645
(44) Sufentanil................................................. 9740
(45) Tilidine................................................... 9750
(46) Trimeperidine.............................................. 9646

(c) Opium derivatives. Unless specifically excepted or unless listed
in another schedule, any of the following opium derivatives, its salts,
isomers, and salts of isomers whenever the existence of such salts,
isomers, and salts of isomers is possible within the specific chemical
designation:

(1) Acetorphine................................................. 9319
(2) Acetyldithydrocodeine....................................... 9051
(3) Benzylmorphine.............................................. 9052
(4) Codeine methylbromide....................................... 9070
(5) Codeine-N-Oxide............................................. 9053
(6) Cyprenorphine............................................... 9054
(7) Desomorphine................................................ 9055
(8) Dihydromorphine............................................. 9145
(9) Drotebanol.................................................. 9335
(10) Etorphine (except hydrochloride salt)...................... 9056
(11) Heroin..................................................... 9200
(12) Hydromorphinol............................................. 9301
(13) Methyldesorphine........................................... 9302
(14) Methyldihydromorphine...................................... 9304
(15) Morphine methylbromide..................................... 9305
(16) Morphine methylsulfonate................................... 9306
(17) Morphine-N-Oxide........................................... 9307
(18) Myrophine.................................................. 9308
(19) Nicocodeine................................................ 9309
(20) Nicomorphine............................................... 9312
(21) Normorphine................................................ 9313
(22) Phocodine.................................................. 9314
(23) Thebacon................................................... 9315

(d) Hallucinogenic substances. Unless specifically excepted or
unless listed in another schedule, any material, compound, mixture, or
preparation, which contains any quantity of the following hallucinogenic
substances, or which contains any of its salts, isomers, and salts of
isomers whenever the existence of such salts, isomers, and salts of
isomers is possible within the specific chemical designation (for
purposes of this paragraph only, the term ``isomer'' includes the
optical, position and geometric isomers):

(1) 4-bromo-2,5-dimethoxy-amphetamine........................... 7391
Some trade or other names: 4-bromo-2,5-dimethoxy--
methylphenthylamine; 4-bromo-2,5-DMA
(2) 2,5-dimethoxyamphetamine.................................... 7396
Some trade or other names: 2,5-dimethoxy--
methylphenethylamine; 2,5-DMA
(3) 4-methoxyamphetamine........................................ 7411
Some trade or other names: 4-methoxy--
methylphenethylamine; paramethoxyamphetamine, PMA
(4) 5-methoxy-3,4-methylenedioxy-amphetamine.................... 7401
(5) 4-methyl-2,5-dimethoxy-amphetamine.......................... 7395
Some trade and other names: 4-methyl-2,5-dimethoxy--
methylphenethylamine; ``DOM''; and ``STP''
(6) 3,4-methylenedioxy amphetamine.............................. 7400
(7) 3,4,5-trimethoxy amphetamine................................ 7390
(8) Bufotenine.................................................. 7433
Some trade and other names: 3-(-Dimethylaminoethyl)-5-
hydroxyindole; 3-(2-dimethylaminoethyl)-5-indolol; N, N-
dimethylserotonin; 5-hydroxy-N,N-dimethyltptamine; mappine
(9) Diethytryptamine............................................ 7434
Some trade and other names: N,N-Diethyltryptamine; DET
(10) Dimethyltryptamine......................................... 7435
Some trade or other names: DMT................................
(11) lbogaine................................................... 7260
Some trade and other names: 7-Ethyl-6,6,7,8,9,10,12,13-octahydro-2-methoxy-6,9-methano-5H-pyrido
[1, 2:1,2] azepino [5,4-b] indole; Tabermanthe iboga
(12) Lysergic acid diethylamide................................. 7315
(13) Marihuana.................................................. 7360
(14) Mescaline.................................................. 7381
(15) Parahexyl--7374; some trade or other names: 3-Hexyl-1-
hydrozy-7,8,9,10-tetrahydro-6,6,9-trimethyl-6H-
dibenzo[b,d]pyran; Synhexyl.
(16) Peyote..................................................... 7415
Meaning all parts of the plant presently classified
botanically as Lophophora williamsii Lemaire, whether growing
or not, the seeds thereof, any extract from any part of such
plant, and every compound, manufacture, salts, derivative,
mixture, or preparation of such plant, its seeds or extracts
(Interprets 21 USC 812(c), Schedule 1(c)(12))
(17) N-ethyl-3-piperidyl benzilate.............................. 7482

[[Page 790]]

(18) N-methyl-3-piperidyl benzilate............................. 7484
(19) Psilocybin................................................. 7437
(20) Psilocyn................................................... 7438
(21) Tetrahydrocannabinols...................................... 7370
Synthetic equivalents of the substances contained in the
plant, or in the resinous extractives of Cannabis, sp. and/or
synthetic substances, derivatives, and their isomers with
similar chemical structure and pharmacological activity such
as the following:
1 cis or trans tetrahydrocannabinol, and their
optical isomers
6 cis or trans tetrahydrocannabinol, and their
optical isomers
3,4 cis or trans tetrahydrocannabinol, and its
optical isomers
(Since nomenclature of these substances is not internationally
standardized, compounds of these structures, regardless of
numerical designation of atomic positions covered.)
(22) Ethylamine analog of phencyclidine......................... 7455
Some trade or other names: N-ethyl-1-phenylcyclo-hexylamine,
(1-phenylcyclohexyl) ethylamine, N-(1-
phenylcyclohexyl)ethylamine, cyclohexamine, PCE
(23) Pyrrolidine analog of phencyclidine........................ 7458
Some trade or other names: 1-(1-phenylcyclohexyl)-pyrrolidine,
PCPy, PHP
(24) Thiophene analog of phencyclidine.......................... 7470
Some trade or other names: 1-[1-(2-thienyl)-cyclo-hexyl]-
piperidine, 2-thienylanalog of phencyclidine, TPCP, TCP

(e) Depressants. Unless specifically excepted or unless listed in
another schedule, any material, compound, mixture, or preparation which
contains any quantity of the following substances having a depressant
effect on the central nervous system, including its salts, isomers, and
salts of isomers whenever the existence of such salts, isomers, and
salts of isomers is possible within the specific chemical designation:

(1) Mecloqualone................................................ 2572

(f) Stimulants. Unless specifically excepted or unless listed in
another schedule, any material, compound, mixture, or preparation which
contains any quantity of the following substances having a stimulant
effect on the central nervous system, including its salts, isomers, and
salts of isomers:

(1) Fenethylline................................................ 1503
(2) N-ethylamphetamine.......................................... 1475

(49 U.S.C. 3102; 49 CFR 1.48 and 301.60)

[49 FR 44215, Nov. 5, 1984, as amended at 52 FR 20590, June 1, 1987]

Appendix E to Subchapter B--Tables of Disqualifying Drugs and Other
Substances, Schedules II Through V deg.

Schedules II through V of the drug classification system are adopted
in whole from 21 CFR 1308.12 through 1308. 15, Schedules of Controlled
Substances.

[52 FR 20590, June 1, 1987]

Appendix F to Subchapter B--Commercial Zones

Note.--The text of these definitions is identical to the text of 49
CFR part 1048, revised as of October 1, 1975, which is no longer in
print.

Commercial Zones

Sec.
1 New York, N.Y.
2 Chicago, Ill.
3 St. Louis, Mo.-East St. Louis, Ill.
4 Washington, D.C.
5 Los Angeles, Calif., and contiguous and adjacent municipalities.
6 Philadelphia, Pa.
7 Cincinnati, Ohio
8 Kansas City, Mo.-Kansas City, Kans.
9 Boston, Mass.
10 Davenport, Iowa; Rock Island and Moline, Ill.
11 Commercial zones of municipalities in New Jersey within 5 miles of
New York, N.Y.
12 Commercial zones of municipalities in Westchester and Nassau
Counties, N.Y.
13 Tucson, Ariz.
14 Albuquerque, N. Mex.
18 Ravenswood, W. Va.
19 Lake Charles, La.
20 Syracuse, N.Y.
21 Baltimore, Md.
22 Cleveland, Ohio.
23 Detroit, Mich.
24 Seattle, Wash.
25 Albany, N.Y.
26 Minneapolis-St. Paul, Minn.
27 New Orleans, La.
28 Pittsburgh, Pa.
29 Portland, Oreg.
30 Vancouver, Wash.
31 Charleston, S.C.
32 Charleston, W. Va.
33 Memphis, Tenn.
34 Houston, Tex.
35 Pueblo, Colo.
36 Warren, Ohio
37 Louisville, Ky.
38 Sioux City, Iowa.
39 Beaumont, Tex.
40 Metropolitan Government of Nashville and Davidson County, Tenn.
41 Consolidated City of Indianapolis, Ind.
42 Lexington-Fayette Urban County, Ky.
43 Definitions.
44 Commercial zones determined generally, with exceptions.
45 Controlling distances and population data.

Section 1 New York, N.Y.

(a) The application of Sec. 1048.101 Commercial Zones determined
generally, with exceptions, is hereby extended to New York, N.Y.
(b) The exemption provided by section 203(b)(8) of the Interstate
Commerce Act, of

[[Page 791]]

transportation by motor vehicle, in interstate or foreign commerce,
performed wholly within the zone the limits of which are defined in
paragraph (a) of this section, is hereby removed as to all such
transportation except:
(1) Transportation which is performed wholly within the following
territory: The area within the corporate limits of the cities of New
York, Yonkers, Mount Vernon, North Pelham, Pelham, Pelham Manor, Great
Neck Estates, Floral Park, and Valley Stream, N.Y., and Englewood, N.J.;
the area within the borough limits of Alpine, Tenafly, Englewood Cliffs,
Leonia, Fort Lee, Edgewater, Cliffside Park, Fairview, Palisades Park,
and Ridgefield, Bergen County, N.J.; and that part of Hudson County,
N.J., east of Newark Bay and the Hackensack River;
(2) Transportation which is performed in respect of a shipment which
has had a prior, or will have a subsequent movement by water carrier,
and which is performed wholly between points named in subparagraph (1)
of this paragraph, on the one hand, and, on the other, those points in
Newark and Elizabeth, N.J., identified as follows: All points in that
area within the corporate limits of the cities of Newark and Elizabeth,
N.J., west of Newark Bay and bounded on the south by the main line of
the Central Railroad of New Jersey, on the west by the Newark &
Elizabeth Branch of the Central Railroad Company of New Jersey, and on
the north by the property line of the Penn Central Transportation
Company.
(3) Transportation which is performed in respect of a shipment by
rail carrier, and which is performed wholly between points named in
subparagraph (1) of this paragraph, on the one hand, and, on the other,
(a) Those portions of Kearny, N.J., within an area bounded on the
north by the main line of the Jersey City Branch of the Penn Central
Transportation Co., on the south and east by Fish House Road and
Pennsylvania Avenue, and on the west by the property line of the Penn
Central Transportation Co. Truck-Train Terminal.
(b)(i) That portion of Newark, N.J., within an area bounded on the
north by South Street and Delancey Street, on the east by Doremus
Avenue, on the south by the freight right-of-way of the Penn Central
Transportation Co. (Waverly Yard, Newark, N.J., to Greenville Piers,
Jersey City, N.J., line), and on the west by the Penn Central
Transportation Co.'s Hunter Street produce yard, and (ii) that portion
of Newark, N.J., within an area bounded on the north by Poinier Street,
on the east by Broad Steet, on the south by the passenger right-of-way
of the Penn Central Transportation Co.'s main line and on the west by
Frelinghuysen Avenue.
(c) That portion of Port Reading, N.J., within an area bounded on
the east by the Arthur Kill, on the south by the right-of-way of the
Reading Co., on the west by Cliff Road, and on the north by Woodbridge-
Carteret Road, and
(d) That portion of Elizabeth, N.J., within an area bounded by a
line extending from Newark Bay westward along Trumbull Street to its
intersection with Division Street; thence northward along Trumbull
Street to its intersection with East North Avenue; thence eastward along
East North Avenue to its intersection with the New Jersey Turnpike,
thence along the New Jersey Turnpike to the Elizabeth Channel; thence
easterly along the Elizabeth Channel to Newark Bay; thence along the
western shore of Newark Bay to the point of beginning.

Sec. 2 Chicago, Ill.

The zone adjacent to and commercially a part of Chicago, Ill.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond the zone is
partially exempt from regulation under section 203(b)(8) of the
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised
of all points as follows:
The area within the corporate limits of Chicago, Evanston, Oak Park,
Cicero, Berwyn, River Forest, Willow Springs, Bridgeview, Hickory Hills,
Worth, Homewood, and Lansing, Ill.; the area within the township limits
of Niles, Maine, Leyden, Norwood Park, Proviso, Lyons, Riverside,
Stickeny, Worth, Calumet, Bremen, and Thornton Townships, Cook County,
Ill.; the area comprised of that part of Lemont Township, Cook County,
and that part of Downers Grove Township, Du Page County, Ill., bounded
by a line beginning at the intersection of Archer Avenue and the
southern corporate limits of Willow Springs, Ill., and extending in a
southwesterly direction along Archer Avenue to its junction with Chicago
Joliet Road (Sag Lemont Highway), thence in a westerly direction over
Chicago Joliet Road to its junction with Walker Road, thence directly
north along an imaginary line to the southern shoreline of the Chicago
Sanitary and Ship Canal, thence in a northeasterly direction along said
shoreline to the corporate limits of Willow Springs, including points on
the indicated portions of the highways specified; the area within Burr
Ridge, Du Page County, bounded by a line beginning at the intersection
of County Line Road and Frontage Road, thence southwesterly along
Frontage Road to its intersection with Garfield Street, thence northerly
along Garfield Street to its junction with 74th Street, thence westerly
along an imaginary line to the junction of 74th Street and Grant Street,
thence southerly along Grant Street to its junction with 75th Street,
thence westerly

[[Page 792]]

along 75th Street to its junction with Brush Hill Road, thence southerly
along Brush Hill Road to its junction with Frontage Road, thence
northeasterly along Frontage Road to its junction with County Line Road;
and the area within the corporate limits of Hammond, Whiting, East
Chicago, and Gary, Ind.

Sec. 3 St. Louis, Mo.-East St. Louis, Ill.

(a) The zone adjacent to and commercially a part of St. Louis, Mo.-
East St. Louis, Ill, within which transportation by motor vehicle in
interstate or foreign commerce, not under a common control, management
or arrangement for a continuous carriage to or from a point beyond the
zone is partially exempt from regulation under section 203(b)(8) of the
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised
of all points as follows: (1) All points within the corporate limits of
St. Louis, Mo.; (2) all points in St. Louis County, Mo., within a line
drawn 0.5 mile south, west, and north of the following line:--Beginning
at the Jefferson Barracks Bridge across the Mississippi River and
extending westerly along Missouri Highway 77 to its junction with U.S.
Highway 61 Bypass, thence along U.S. Highway 61 Bypass to its junction
with U.S. Highway 66, thence westerly along U.S. Highway 66 to its
junction with Bowles Avenue, thence northerly along Bowles Avenue,
actual or projected, to the Meramec River, thence easterly along the
south bank of the Meramec River to a point directly south of the western
boundary of Kirkwood, thence across the Meramec River to and along the
western boundary of Kirkwood to Marshall Road, thence westerly along
Marshall Road to its junction with Treecourt Avenue, thence northerly
along Treecourt Avenue to its junction with Big Bend Road, thence
easterly along Big Bend Road to the western boundry of Kirkwood, thence
northerly along the western boundary of Kirkwood to its junction with
Dougherty Ferry Road, thence westerly along Dougherty Ferry Road to its
junction with Interstate Highway 244, thence northerly along Interstate
Highway 244 to its junction with Manchester Road, thence easterly along
Manchester Road to its junction with the northwest corner of Kirkwood,
thence along the western and northern boundaries of Kirkwood to the
western boundary of Huntleigh, Mo., thence along the western and
northern boundaries of Huntleigh to its junction with Lindbergh
Boulevard, thence northerly along Lindbergh Boulevard to its junction
with Lackland Avenue, thence in a westerly direction along Lackland
Avenue to its junction with the right-of-way of the proposed
Circumferential Expressway (Interstate Highway 244), thence in a
northerly direction along said right-of-way to its junction with the
right-of-way of the Chicago, Rock Island and Pacific Railroad, thence in
an easterly direction along said right-of-way to its junction with
Dorsett Road, thence in an easterly direction along Dorsett Road to its
junction with Lindbergh Boulevard, thence in a northerly direction along
Lindbergh Boulevard to its junction with St. Charles Rock Road, thence
westerly along St. Charles Rock Road to its function with the Missouri
River, thence northerly along the east shore of the Missouri River to
its junction with the Norfolk and Western Railway Co. right-of-way,
thence easterly along the southern boundary of the Norfolk and Western
Railway Co. right-of-way to Lindbergh Boulevard, thence in an easterly
direction along Lindbergh Boulevard to the western boundary of St.
Ferdinand (Florissant), Mo., thence along the western, northern, and
eastern boundaries of St. Ferdinand to junction Insterstate Highway 270,
and thence along Interstate Highway 270 to the corporate limits of St.
Louis (near Chain of Rocks Bridge); and (3) all points within the
corporate limits of East St. Louis, Belleville, Granite City, Madison,
Venice, Brooklyn, National City, Fairmont City, Washington Park, and
Sauget, Ill.; that part of the village of Cahokia, Ill., bounded by
Illinois Highway 3 on the east, First Avenue and Red House (Cargill)
Road on the south and southwest, the east line of the right-of-way of
the Alton and Southern Railroad on the west, and the corporate limits of
Sauget, Ill., on the northwest and north; that part of Centerville,
Ill., bounded by a line beginning at the junction of 26th Street and the
corporate limit of East St. Louis, Ill., and extending northeasterly
along 26th Street to its junction with Bond Avenue, thence southeasterly
along Bond Avenue to its junction with Owen Street, thence southwesterly
along Owen Street to its junction with Church Road, thence southeasterly
along Church Road to its junction with Illinois Avenue, thence
southwesterly along Illinois Avenue to the southwesterly side of the
right-of-way of the Illinois Central Railroad Co., thence along the
southwesterly side of the right-of-way of the Illinois Central Railroad
Co. to the corporate limits of East St. Louis, Ill, thence along the
corporate limits of East St. Louis, Ill., to the point of beginning; and
that area bounded by a line commencing at the intersection of the right-
of-way of the Alton and Southern Railroad and the Madison, Ill.,
corporate limits near 19th Street, and extending east and south along
said right-of-way to its intersection with the right-of-way of Illinois
Terminal Railroad Co., thence southwesterly along the Illinois Terminal
Railroad Co. right-of-way to its intersection with Illinois Highway 203,
thence northwesterly along said highway to its intersection with the
Madison, Ill., corporate boundary near McCambridge Avenue, thence
northerly along the Madison, Ill., corporate boundary to the point of
beginning.

[[Page 793]]

(b) The exemption provided by section 203(b)(8) of the Interstate
Commerce Act in respect of transportation by motor vehicle, in
interstate or foreign commerce, between Belleville, Ill., on the one
hand, and, on the other, any other point in the commercial zone, the
limits of which are defined in paragraph (a) of this section, is hereby
removed, and the said transportation is hereby subjected to all
applicable provisions of the Interstate Commerce Act.

Sec. 4 Washington, DC.

The zone adjacent to and commercially a part of Washington, DC,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuous carriage to or from a point beyond the zone is partially
exempt from regulation under section 203(b)(8) of the Interstate
Commerce Act (49 U.S.A. 303(b)(8)) includes and it is comprised of all
as follows:
Beginning at the intersection of MacArthur Boulevard and Falls Road
(Maryland Highway 189) and extending northeasterly along Falls Road to
its junction with Scott Drive, thence west on Scott Drive to its
junction with Viers Drive, thence west on Viers Drive to its junction
with Glen Mill Road, thence northeast on Glen Mill Road to its junction
with Maryland Highway 28, thence west on Maryland Highway 28 to its
junction with Shady Grove Road, thence northeast on Shady Grove Road
approximately 2.7 miles to Crabbs Branch, thence southeasterly along the
course of Crabbs Branch to Rock Creek, thence southerly along the course
of Rock Creek to Viers Mill Road (Maryland Highway 586), thence
southeasterly along Viers Mill Road approximately 0.3 mile to its
junction with Aspen Hill Road, thence northeasterly along Aspen Hill
Road to its junction with Brookeville Road (Maryland Highway 97), thence
southeasterly along Brookeville Road to its junction with Maryland
Highway 183, thence northeasterly along Maryland Highway 183 to
Colesville, Md., thence southeasterly along Beltsville Road to its
junction with Powder Mill Road (Maryland Highway 212), thence easterly
over Powder Mill Road to its junction with Montgomery Road, thence
northeasterly along Montgomery Road, approximately 0.2 mile, to its
junction with an unnumbered highway extending northeasterly to the north
of Ammendale Normal Institute, thence along such unnumbered highway for
a distance of about 2.2 miles to its junction somewhat north of Virginia
Manor, Md., with an unnumbered highway extending easterly through
Muirkirk, Md., thence along such unnumbered highway through Muirkirk to
its junction, approximately 1.8 miles east of the Baltimore and Ohio
Railroad, with an unnumbered highway, thence southwesterly along such
unnumbered highway for a distance of about 0.5 mile to its junction with
an unnumbered highway, thence southeasterly along such unnumbered
highway through Springfield and Hillmeade, Md., to its junction with
Defense Highway (U.S. Highway 50), thence southwesterly along Defense
Highway approximately 0.8 mile to its junction with Enterprise Road
(Maryland Highway 556), thence southerly over Enterprise Road to its
junction with Central Avenue (Maryland Highway 214), thence westerly
over Central Avenue about 0.5 mile to its crossing of Western Branch,
thence southerly down the course of Western Branch to Maryland Highway
202, thence westerly approximately 0.3 mile along Maryland Highway 202
to its junction with White House Road, thence southwesterly along White
House Road to its junction with Maryland Highway 221, thence
southeasterly along Maryland Highway 221 to its junction with Maryland
Highway 4, thence westerly along Maryland Highway 4 to the boundary of
Andrews Air Force Base, thence south and west along said boundary to
Brandywine Road (Maryland Highway 5), thence northwesterly along
Maryland Highway 5 to its junction with Maryland Highway 337, thence
southwesterly along Maryland Highway 337 to its junction with Maryland
Highway 224, thence southerly along Maryland Highway 224 to a point
opposite the mouth of Broad Creek, thence due west across the Potomac
River to the west bank thereof, thence southerly along the west bank of
the Potomac River to Gunston Cove, thence up the course of Gunston Cove
to Pohick Creek, thence up the course of Pohick Creek to Virginia
Highway 611, thence southwesterly along Virginia Highway 611 to the
Fairfax-Prince William County line, thence along said county line to
Virginia Highway 123, thence northerly along Virginia Highway 123 to its
junction with Virginia Highway 636, thence northeasterly along Virginia
Highway 636 to its junction with Virginia Highway 638, thence
northwesterly along Virginia Highway 638 to its junction with Virginia
Highway 620, thence westerly along Virginia Highway 620 to its junction
with Virginia Highway 655, thence northeasterly along Virginia Highway
655 to its junction with U.S. Highway 211, thence westerly along U.S.
Highway 211 to its junction with Virginia Highway 608, thence northerly
along Virginia Highway 608 to its junction with U.S. Highway 50, thence
westerly along U.S. Highway 50 to the Fairfax-Loudoun County line,
thence northeasterly along said county line to its intersection with
Dulles International Airport, thence along the southern, western, and
northern boundaries of said airport to the Fairfax-Loudoun County line
(at or near Dulles Airport Access Road), thence northeasterly along said
county line to its junction with Virginia Highway 7, thence

[[Page 794]]

southeasterly along Virginia Highway 7 to its junction with Virginia
Highway 193, thence along Virginia Highway 193 to its junction with
Scott Run Creek, thence northerly down the course of Scott Run Creek to
the Potomac River, thence due north across the river to MacArthur
Boulevard to its junction with Maryland Highway 189, the point of
beginning.

Sec. 5 Los Angeles, Calif., and contiguous and adjacent municipalities.

(a) The exemption provided by section 203(b)(8) of Part II of the
Interstate Commerce Act to the extent it affects transportation by motor
vehicle, in interstate or foreign commerce, performed wholly within Los
Angeles, Calif., or wholly within any municipalitiy contiguous or
adjacent to Los Angeles, Calif., or wholly a part of Los Angeles, as
defined in paragraph (b) of this section, or wholly within the zone
adjacent to and commercially a part of the San Pedro, Wilmington, and
Terminal Island Districts of Los Angeles and Long Beach, as defined in
paragraph (c) of this section, or wholly within the zone of any
independent municipality contiguous or adjacent to Los Angeles, as
determined under Sec. 1048.101, or otherwise, between any point in Los
Angeles County, Calif., north of the line described below, on the one
hand, and, on the other, any point in Los Angeles County, Calif., south
thereof is hereby removed and the said transportation is hereby
subjected to all the applicable provisions of the Interstate Commerce
Act:
Beginning at the Pacific Ocean, and extending easterly along the
northern and eastern corporate limits of Manhattan Beach to the northern
corporate limits of Redondo Beach, thence along the northern and eastern
corporate limits of Redondo Beach to the intersection of Inglewood
Avenue and Redondo Beach Boulevard, thence along Redondo Beach Boulevard
to the corporate limits of Torrance, thence along the northwestern and
eastern corporate limits of Torrance to 182d Street, thence along 182d
Street, Walnut, and Main Streets to Alondra Boulevard, thence along
Alondra Boulevard to its intersection with Dwight Avenue, thence
southerly along Dwight Avenue and an imaginary straight line extending
southward to Greenleaf Boulevard, thence eastward along Greenleaf
Boulevard to the northwestern corner of the corporate limits of Long
Beach, thence along the northern and eastern corporate limits of Long
Beach to Artesia Boulevard, thence east on Artesia Boulevard to the Los
Angeles-Orange County line.
(b) For the purpose of administration and enforcement of Part II of
the Interstate Commerce Act, the zone adjacent to and commercially a
part of Los Angeles and contiguous municipalities (except the San Pedro,
Wilmington, and Terminal Island districts of Los Angeles and Long Beach,
Calif.), in which transportation by motor vehicle in interstate or
foreign commerce, not under a common control, management, or arrangement
for a continuous carriage or shipment to or from a point beyond the
zone, will be partially exempt from regulation under section 203(b)(8)
of the act, is hereby defined to include the area of a line extending in
a generally northwesterly and northerly direction from the intersection
of Inglewood Avenue and Redondo Beach Boulevard along the eastern and
northern corporate limits of Redondo Beach, Calif., to the eastern
corporate limits of Manhattan Beach, Calif., thence along the eastern
and northern corporate limits of Manhattan Beach to the Pacific Ocean,
thence along the shoreline of the Pacific Ocean to the western corporate
limits of Los Angeles at a point east of Topanga Canyon, and thence
along the western corporate limits of Los Angeles to a point near Santa
Susana Pass; south of a line extending in a generally easterly direction
from a point near Santa Susana Pass along the northern corporate limits
of Los Angeles to the eastern corporate limits of Burbank, Calif.,
thence along the eastern corporate limits of Burbank to the northern
corporate limits of Glendale, Calif., and thence along the northern
corporate limits of Glendale and Pasadena, Calif., to the northeastern
corner of Pasadena; west of a line extending in a generally southerly
and southwesterly direction from the northeastern corner of Pasadena
along the eastern and a portion of the southern corporate limits of
Pasadena to the eastern corporate limits of San Marino, Calif., thence
along the eastern corporate limits of San Marino and the eastern and a
portion of the southern corporate limits of Alhambra, Calif., to the
western corporate limits of Monterey Park, Calif., and the western
corporate limits of Montebello, Calif., thence along the western
corporate limits of Montebello, Calif., to the Rio Hondo, and the Los
Angeles River to the northern corporate limits of Long Beach; and north
of a line extending in a generally westerly direction from the Los
Angeles River along the northern corporate limits of Long Beach and
thence along Greenleaf Boulevard to its intersection with an imaginary
straight line extending southward from Dwight Avenue, thence north on
the imaginary straight line extending southward from Dwight Avenue, and
thence northerly along Dwight Avenue to Alondra Boulevard, thence west
along Alondra Boulevard, Main, Walnut, and 182d Streets to the eastern
corporate limits of Torrance, thence along a portion of the eastern and
the northwestern corporate limits of Torrance to Redondo Beach
Boulevard, and thence along Redondo Beach Boulevard to Inglewood Avenue.
(c) For the purpose of administration and enforcement of Part II of
the Interstate

[[Page 795]]

Commerce Act, the zone adjacent to and commercially a part of the San
Pedro, Wilmington, and Terminal Island districts of Los Angeles and Long
Beach in which transportation by motor vehicle in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond the zone, will
be partially exempt from regulation under section 203(b)(8) of the act,
is hereby defined to include the area east of a line extending in a
generally northerly and northwesterly direction from the Pacific Ocean
along the western corporate limits of Los Angeles to 258th Street,
thence along 258th Street to the eastern corporate limits of Torrance,
and thence along a portion of the eastern, and along the southern and
western, corporate limits of Torrance to the northwestern corner of
Torrance, south of a line extending in a generally easterly direction
from the northwestern corner of Torrance along the northwestern and a
portion of the eastern corporate limits of Torrance to 182d Street,
thence along 182d, Walnut, Main, and Alondra Boulevard to its
intersection with Dwight Avenue, thence southerly along Dwight Avenue
and an imaginary straight line extending southward from Dwight Avenue to
Greenleaf Boulevard and thence along Greenleaf Boulevard and the
northern corporate limits of Long Beach to the northeastern corner of
Long Beach; west of the eastern corporate limits of Long Beach; and
north of the southern corporate limits of Long Beach and Los Angeles.

Sec. 6 Philadelphia, Pa.

The zone adjacent to and commercially a part of Philadelphia, Pa.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under section 203(b)(8) of the
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised
of all points as follows:
(a) The area within Pennsylvania included within the corporate
limits of Philadelphia and Bensalem and Lower Southampton Townships in
Bucks County; Conshohocken and West Conshohocken, Pa., and Lower
Moreland, Abington, Cheltenham, Springfield, Whitemarsh, and Lower
Merion Townships in Montgomery County; an area in Upper Dublin Township,
Montgomery County, bounded by a line beginning at the intersection of
Pennsylvania Avenue and Fort Washington Avenue and extending northeast
along Fort Washington Avenue to its junction with Susquehanna Road,
thence southeast along Susquehanna Road to its junction with the right-
of-way of the Pennsylvania Railroad Company, thence southwest along the
right-of-way of the Pennsylvania Railroad Company to Pennsylvania
Avenue, thence northwest along Pennsylvania Avenue to its junction with
Fort Washington Avenue, the point of beginning; Haverford Township in
Delaware County; and an area in Delaware County south and east of a line
extending southward from the intersection of the western and northern
boundaries of Upper Darby Township along Darby Creek to Bishop Avenue,
thence south along Bishop Avenue to Baltimore Pike, thence west along
Baltimore Pike to Pennsylvania Highway 320, thence south along
Pennsylvania Highway 320 to the corporate limits of Chester, thence
along the northern corporate limit of Chester in a westerly direction to
the eastern boundary of Upper Chichester Township, thence south to the
southern boundary of said township along the eastern boundary thereof,
and thence west along the southern boundary of said township to the
Delaware State line, and thence south along the Delaware State line to
the Delaware River, and
(b) The area in New Jersey included in the corporate limits of
Camden, Gloucester City, Woodlynne, Merchantville, and Palmyra Boroughs,
and the area included in Pennsauken Township in Camden County.

Sec. 7 Cincinnati, Ohio.

The zone adjacent to and commercially a part of Cincinnati, Ohio,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuing carriage to or from a point beyond the zone is partially
exempt from regulation under section 203(b)(8) of the Interstate
Commerce Act (49 U.S.C. 203(b)(8)), includes and is comprised of all
points as follows:
Addyston, Ohio.
Cheviot, Ohio.
Cincinnati, Ohio.
Cleves, Ohio.
Elmwood Place, Ohio.
Fairfax, Ohio.
Mariemont, Ohio.
North Bend, Ohio.
Norwood, Ohio.
St. Bernard, Ohio.
Covington, Ky.
Newport, Ky.
Cold Spring, Ky.
That part of Ohio bounded by a line commencing at the intersection
of the Colerain-Springfield Township line and corporate limits of
Cincinnati, Ohio, and extending along said township line in a northerly
direction to its intersection with the Butler-Hamilton County line,
thence in an easterly direction along said county line to its
intersection with Ohio Highway 4, thence in a northerly direction along
Ohio Highway 4 to its intersection with Seward Road, thence in a
northerly direction along said road to its intersection with Port Union
Road, thence east along Port Union Road to the Fairfield Township-Union
Township line, thence northward along said township line to its
intersection with the right-of-way of the

[[Page 796]]

Pennsylvania Railroad Co., thence southeasterly along the right-of-way
of the Pennsylvania Railroad Co. to its intersection with Princeton-
Glendale Road (Ohio Highway 747), thence southward along said road to
its intersection with Mulhauser Road, thence in an easterly direction
along said road to the terminus thereof west of the tracks of the
Pennsylvania Railroad Co., thence continue in an easterly direction in a
straight line to Allen Road, thence along the latter to the junction
thereof with Cincinnati-Dayton Road, thence in a southerly direction
along Cincinnati-Dayton Road, to the Butler, Hamilton County line,
thence along said county line to the Warren-Hamilton County line in an
easterly direction to the Symmes-Sycamore Township line, thence in a
southerly direction along the Symmes-Sycamore Township line to its
intersection with the Columbia Township line, thence in a westerly
direction along Sycamore-Columbia Township line to Madeira Township,
thence in a clockwise direction around the boundary of Madeira Township
to the Sycamore-Columbia Township line, thence in a westerly direction
along said township line to Silverton Township, thence in a southerly
direction along said corporate limits to junction with Redbank Road,
thence in a southerly direction over Redbank Road to the Cincinnati
Corporate limits.
That part of Kenton County, Ky., lying on and north of a line
commencing at the intersection of the Kenton-Boone County line and Dixie
Highway (U.S. Highways 25 and 42), and extending over said highway to
the corporate limits of Covington, Ky., including communities on the
described line.
That part of Campbell County, Ky., lying on and north of a line
commencing at the southern corporate limits of Newport, Ky., and
extending along Licking Pike (Kentucky Highway 9) to junction with Johns
Hill Road, thence along Johns Hill Road to junction with Alexandria Pike
(U.S. Highway 27), thence northward along Alexandria Pike to junction
with River Road (Kentucky Highway 445), thence over the latter to the
Ohio River, including communities on the described line.
That part of Boone County, Ky., bounded by a line beginning at the
Boone-Kenton County line west of Erlanger, Ky., and extending in a
northwesterly direction along Donaldson Highway to its intersection with
Zig-Zag Road, thence along Zig-Zag Road to its intersection with
Kentucky Highway 18, thence along Kentucky Highway 18 to its
intersection with Kentucky Highway 237, thence along Kentucky Highway
237 to its intersection with Kentucky Highway 20, and thence easterly
along Kentucky Highway 20 to the Boone-Kenton County line.
That part of Boone and Kenton Counties, Ky., bounded by a line
commencing at the intersection of the Boone-Kenton County line and U.S.
Highway 42, and extending in a southwesterly direction along U.S.
Highway 42 to its junction with Gunpowder Road, thence southerly along
Gunpowder Road to its junction with Sunnybrook Road, thence easterly
along Sunnybrook Road to its junction with Interstate Highway 75, thence
in a straight line in a northeasterly direction to Richardson Road,
thence in an easterly direction over Richardson Road to its junction
with Kentucky State Route 1303, thence in a northerly direction over
Kentucky State Route 1303 to the southern boundary of Edgewood, Kenton
County, Ky.

Sec. 8 Kansas City, Mo.-Kansas City, Kans.

The zone adjacent to and commercially a part of Kansas City, Mo.-
Kansas City, Kans., within which transportation by motor vehicle, in
interstate or foreign commerce, not under a common control, management,
or arrangement for a continuing carriage to or from a point beyond the
zone is partially exempt from regulation under section 203(b)(8) of the
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised
of all points as follows:
Beginning on the north side of the Missouri River at the western
boundary line of Parkville, Mo., thence along the western and northern
boundaries of Parkville to the Kansas City, Mo., corporate limits,
thence along the western, northern, and eastern corporate limits of
Kansas City, Mo., to its junction with U.S. Bypass 71 (near Liberty,
Mo.), thence along U.S. Bypass 71 to Liberty, thence along the northern
and eastern boundaries of Liberty to its junction with U.S. Bypass 71
south of Liberty, thence south along U.S. Bypass 71 to its junction with
the Independence, Mo., corporate limits, thence along the eastern
Independence, Mo., corporate limits to its junction with Interstate
Highway 70, thence along Interstate Highway 70 to its junction with the
Blue Springs, Mo., corporate limits, thence along the western, northern,
and eastern corporate limits of Blue Springs, Mo., to its junction with
U.S. Highway 40, thence east along U.S. Highway 40 to its junction with
Brizen-Dine Road, thence south along the southerly extension of Brizen-
Dine Road to its junction with Missouri Highway AA, thence along
Missouri Highway AA to its junction with the Blue Springs, Mo.,
corporate limits, thence along the southern and western corporate limits
of Blue Springs, Mo., to its junction with U.S. Highway 40, thence west
along U.S. Highway 40 to its junction with the Lee's Summit, Mo.,
corporate limits.
Thence along the eastern Lee's Summit corporate limits to the
Jackson-Cass County line, thence west along Jackson-Cass County line to
the eastern corporate limits of

[[Page 797]]

Belton, Mo., thence along the eastern, southern, and western corporate
limits of Belton to the western boundary of Richards-Gebaur Air Force
Base, thence along the western boundary of said Air Force Base to
Missouri Highway 150, thence west along Missouri Highway 150 to the
Kansas-Missouri State line, thence north along the Kansas-Missouri State
line, to 110th Street, thence west along 110th Street to its junction
with U.S. Highway 69, thence north along U.S. Highway 69 to its junction
with 103d Street, thence west along 103d Street to its junction with
Quivera Road (the corporate boundary of Lenexa, Kans.), thence along the
eastern and southern boundaries of Lenexa to Black Bob Road, thence
south along Black Bob Road to 119th Street, thence east along 119th
Street to the corporate limits of Olathe, Kans., thence south and east
along the Olathe corporate limits to Schlagel Road, thence south along
Schlagel Road to Olathe Morse Road, thence west along Olathe Morse Road
to the northeast corner of Johnson County Airportr, thence south, west,
and north along the boundaries of said airport to Pflumm Road, thence
north along Pflumm Road to its junction with Olathe Martin City Road,
thence west along Olathe Martin City Road to its junction with Murden
Road, thence south along Murden Road to its junction with Olathe Morse
Road (the corporate boundary of Olathe, Kans.), thence west and north
along said corporate boundary to its intersection with U.S. Highway 56,
thence southwest along U.S. Highway 56 to its junction with 159th
Street.
Thence west along 159th Street to its junction with the Johnson
County Industrial Airport, thence south, west, north and east along the
boundaries of said airport to the point of beginning, on 159th Street,
thence, east along 159th Street to its junction with U.S. Highway 56,
thence northeast along U.S. Highway 56 to its junction with Parker Road,
thence north along Parker Road to the northern boundary of Olathe,
thence east and north along the northern corporate limits of Olathe to
Pickering Road, thence north along Pickering Road to 107th Street (the
corporate boundary of Lenexa, Kans.), thence along the western and
northern boundaries of Lenexa to Pflumm Road, thence north along Pflumm
Road to its junction with Kansas Highway 10, thence along Kansas Highway
10 to its junction with Kansas Highway 7, thence along an imaginary line
due west across the Kansas River to the Wyandotte County-Leavenworth
County line (142d Street) at Loring, Kans., thence westerly along County
Route No. 82, a distance of three-fourths of a mile to the entrance of
the facilities at Mid-Continent Underground Storage, Loring, thence from
Loring in a northerly direction along Loring Lane and Lindwood Avenue to
the southern boundary of Bonner Springs, Kans.
Thence along the southern, western, and northern boundaries of
Bonner Springs to its intersection with Kansas Highway 7, thence
southeast along Kansas Highway 7 to its junction with Kansas Highway 32,
thence east on Kansas Highway 32 to the corporate boundary of Kansas
City, Kans., thence north, west, and east along the corporate boundaries
of Kansas City, Kans., to its junction with Cernech Road and Pomeroy
Drive, thence northwesterly along Pomeroy Drive to its junction with
79th Street, thence along 79th Street to its junction with Walcotte
Drive at Pomeroy, Kans., thence due west 1.3 miles to its junction with
an unnamed road, thence north along such unnamed road to the entrance of
Powell Port facility, thence due north to the southern bank of the
Missouri River, thence east along the southern bank of Missouri River to
a point directly across from the western boundary of Parkville, Mo.,
thence across the Missouri River to the point of beginning.

Sec. 9 Boston, Mass.

For the purpose of administration and enforcement of Part II of the
Interstate Commerce Act, the zone adjacent to and commercially a part of
Boston, Mass., and contiguous municipalities in which transportation by
motor vehicle in interstate or foreign commerce, not under a common
control, management, or arrangement for a continuous carriage or
shipment to or from a point beyond the zone, will be partially exempt
under section 203(b)(8) of the act from regulation, is hereby defined to
include the following:
Boston, Mass.
Winthrop, Mass.
Chelsea, Mass.
Revere, Mass.
Everett, Mass.
Malden, Mass.
Medford, Mass.
Somerville, Mass.
Cambridge, Mass.
Watertown, Mass.
Brookline, Mass.
Newton, Mass.
Needham, Mass.
Dedham, Mass.
Milton, Mass.
Quincy, Mass.

Sec. 10 Davenport, Iowa; Rock Island and Moline, Ill.

For the purpose of administration and enforcement of Part II of the
Interstate Commerce Act, the zones adjacent to and commercially a part
of Davenport, Iowa, Rock Island and Moline, Ill., in which
transportation by motor vehicle, in interstate or foreign commerce, not
under a common control, management, or arrangement for a continuous
carriage or shipment to or from a point beyond such municipalities or
zones, will be partially exempt from regulation under section 203(b)(8)
of the act (49 U.S.C. 303(b)(8) are hereby determined to be coextensive
and to include and to be comprised of the following:
(a) All points within the corporate limits of the city of Davenport
and the city of

[[Page 798]]

Bettendorf, and in Davenport Township, Iowa.
(b) All points north of Davenport Township within that portion of
Sheridan Township, Iowa, bounded by a line as follows: Beginning at the
points where U.S. Highway 61 crosses the Davenport-Sheridan Township
line and extending northward along U.S. Highway 61 to the right-of-way
of the Chicago, Milwaukee, St. Paul & Pacific Railroad Co., thence
northwesterly along said right-of-way to its junction with the first
east-west unnumbered highway, thence westerly approximately 0.25 mile to
its junction with a north-south unnumbered highway, thence southerly
along such unnumbered highway to the northeast corner of Mount Joy
Airport, thence along the northern and western boundaries of said
airport to the southwestern corner thereof, and thence south in a
straight line to the northern boundary of Davenport Township.
(c)(1) That part of Iowa lying west of the municipal limits of
Davenport south of Iowa Highway 22, north of the Mississippi River and
east of the present western boundary of the Dewey Portland Cement Co.,
at Linwood, including points on such boundaries, and (2) that part of
Iowa east of the municipal limits of Bettendorf, south of U.S. Highway
67, west of a private road running between U.S. Highway 67 and Riverside
Power Plant of the Iowa-Illinois Gas & Electric Co., and north of the
Mississippi River, including points on such boundaries.
(d) The municipalities of Carbon Cliff, Silvis, East Moline, Moline,
Rock Island, and Milan, Ill., and that part of Illinois lying south or
east of such municipalities, within a line as follows: Beginning at a
point where Illinois Highway 84 crosses the southern municipal limits of
Carbon Cliff and extending southerly along such highway to its junction
with Colona Road, thence westerly along Colona Road to Bowlesburg Road,
thence southerly on Bowlesburg Road to the southern boundary of Hampton
Township, thence along the southern boundaries of Hampton and South
Moline Townships to U.S. Highway 150, thence southerly along U.S.
Highway 150 to the southern boundary of the Moline Airport, thence along
the southern and western boundaries of the Moline Airport to Illinois
Highway 92, and thence along Illinois Highway 92 to the corporate limits
of Milan.
(e) All points in Illinois within one-half mile on each side of Rock
Island County State Aid Route No. 9 extending southwesterly from the
corporate limits of Milan for a distance of 1 mile, including points on
such highway.

Sec. 11 Commercial zones of municipalities in New Jersey within 5 miles
of New York, N.Y.

(a) The application of Sec. 1048.101 is hereby extended to each
municipality in New Jersey, any part of which is within 5 miles of the
corporate limits of New York, N.Y.
(b) The exemption provided by section 203(b)(8) of the Interstate
Commerce Act, of transportation by motor vehicle, in interstate or
foreign commerce, performed wholly within any commercial zone, the
limits of which are defined in paragraph (a) of this section, is hereby
removed as to all such transportation except (1) transportation which is
performed wholly between any two points in New Jersey, or (2)
transportation which is performed wholly between points in New Jersey
named in Sec. 1048.1(b)(1), on the one hand, and, on the other, points
in New York named in Sec. 1048.1(b)(1).

Sec. 12 Commercial zones of municipalities in Westchester and Nassau
Counties, N.Y.

(a) The application of Sec. 1048.101 is hereby extended to each
municipality in Westchester or Nassau Counties, N.Y.
(b) The exemption provided by section 203(b)(8) of the Interstate
Commerce Act, of transportation by motor vehicle, in interstate or
foreign commerce, performed wholly within any commercial zone, the
limits of which are defined in paragraph (a) of this section, is hereby
removed as to all such transportation except (1) transportation which is
performed wholly between points in New York neither of which is New York
City, NY, or (2) transportation which is performed wholly between points
in Westchester or Nassau County named in Sec. 1048.1(b)(1), on the one
hand, and, on the other, New York City, N.Y., or points in New Jersey
named in Sec. 1048.1(b)(1).

Sec. 13 Tucson, Ariz.

That zone adjacent to and commercially a part of Tucson, Ariz.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond the zone, is
partially exempt, under section 203(b)(8) of the Interstate Commerce Act
(49 U.S.C. 303(b)(8)) from regulation, includes, and is comprised of,
all points as follows:
(a) The municipality of Tucson, Ariz., itself.
(b) All points within a line drawn 5 miles beyond the corporate
limits of Tucson, Ariz.
(c) All points in that area south of the line described in paragraph
(b) of this section, bounded by a line as follows: Beginning at the
point where the line described in paragraph (b) of this section,
intersects Wilmot Road, thence south along Wilmot Road to junction
Nogales Old Vail Connection, thence west along Nogales Old Vail
Connection, actual or extended, to the Santa Cruz River, thence north
along the east bank of the Santa Cruz River to its joinder with the

[[Page 799]]

line described in paragraph (b) of this section.
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section.
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the city of Tucson or by any
municipality included under the terms of paragraph (d) of this section.

Sec. 14 Albuquerque, N. Mex.

The zone adjacent to and commercially a part of Albuquerque, N.
Mex., within which transportation by motor vehicle, in interstate or
foreign commerce, not under a common control, management, or arrangement
for a continuous carriage or shipment to or from a point beyond the
zone, is partially exempt, under section 203(b)(8) of the Interstate
Commerce Act (49 U.S.C. 303(b)(8)), from regulation, includes, and is
comprised of, all points as follows:
(a) The municipality of Albuqerque, N. Mex., itself.
(b) All points within a line drawn 5 miles beyond the corporate
limits of Albuquerque, N. Mex.
(c) All points in that area north of the line described in paragraph
(b) of this section, bounded by a line as follows: Beginning at the
intersection of the line described in paragraph (b) of this section and
New Mexico Highway 528, extending in a northeasterly direction along New
Mexico Highway 528 to its intersection with New Mexico Highway 44,
thence easterly along New Mexico Highway 44 to its intersection with New
Mexico Highway 422, thence southerly along New Mexico Highway 422 to its
intersection with the line described in paragraph (b) of this section.
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section;
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the city of Albuquerque, N. Mex., or by
any municipality included under the terms of paragraph (b) of this
section.

Sec. 18 Ravenswood, W. Va.

That zone adjacent to and commercially a part of Ravenswood, W. Va.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond the zone, is
partially exempt, under section 203(b)(8) of the Interstate Commerce Act
(49 U.S.C. 303(b)(8)), from regulation, includes, and is comprised of,
all points as follows:
(a) The municipality of Ravenswood, W. Va., itself.
(b) All points within a line drawn 3 miles beyond the corporate
limits of Ravenswood, W. Va., and
(c) All points in West Virginia in that area south and southwest of
those described in paragraph (b) of this section, bounded by a line as
follows: Beginning at the point where the Ohio River meets the line
described in paragraph (b) of this section southwest of Ravenswood,
thence southerly along the east bank of the Ohio River to the point
where the mouth of the Lick Run River empties into the Ohio River;
thence in a northeasterly direction along the northern bank of the Lick
Run River to the point where it crosses West Virginia Highway 2 south of
Ripley Landing, W. Va.; thence in a northerly direction along West
Virginia Highway 2 to its intersection with the line described in
paragraph (b) of this section west of Pleasant View, W. Va.

Sec. 19 Lake Charles, La.

That zone adjacent to and commercially a part of Lake Charles, La.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond the zone, is
partially exempt, under section 203(b)(8) of the Interstate Commerce Act
(49 U.S.C. 303(b)(8)), from regulation, includes, and is comprised of,
all points as follows:
(a) The municipality of Lake Charles La., itself;
(b) All points within a line drawn 4 miles beyond the corporate
limits of Lake Charles, La.;
(c) All points in that area south and west of the line described in
paragraph (b) of this section, bounded by a line, as follows: beginning
at the point where the line described in paragraph (b) of this section
intersects Louisiana Highway 385; thence south along Louisiana Highway
385 to its intersection with the Calcasieu-Cameron Parish line; thence
west along the Calcasieu-Cameron Parish line to its intersection with
Louisiana Highway 27; thence northerly along Louisiana Highway 27 to a
point thereon 2 miles south of U.S. Highway 90; thence east along a line
parallel to U.S. Highway 90 to Louisiana Highway 108; thence north along
Louisiana Highway 108 to junction U.S. Highway 90; thence east along
U.S. Highway 90 to the intersection thereof with the line described in
paragraph (b) of this section;
(d) All of the municipality any part of which is within the limits
of the combined areas in paragraphs (b) and (c) of this section; and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the City of Lake Charles or by any
municipality included under the terms of paragraph (d) of this section.

[[Page 800]]

Sec. 20 Syracuse, N.Y.

The zone adjacent to and commercially a part of Syracuse, N.Y.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuing carriage to or from a point beyond the zone is partially
exempt from regulation under section 203(b)(8) of the Interstate
Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised of all
points as follows:
(a) The municipality of Syracuse, NY., itself;
(b) All other municipalities and unincorporated areas within 5 miles
of the corporate limits of Syracuse, N.Y., and all of any other
municipality any part of which lies within 5 miles of such corporate
limits;
(c) Those points in the town of Geddes, Onondaga County, N.Y., which
are not within 5 miles of the corporate limits of Syracuse, N.Y.;
(d) Those points in the towns of Van Buren and Lysander, Onondaga
County, N.Y., not within 5 miles of the corporate limits of Syracuse,
N.Y., and within an area bounded by a line beginning at the intersection
of Van Buren Road with the line described in (b) above, thence
northwesterly along Van Buren Road to its intersection with the cleared
right-of-way of Niagara Mohawk Power Company, thence northwesterly and
north along said right-of-way to its intersection between Church Road
and Emerick Road, with the cleared right-of-way of New York State Power
Authority, thence easterly along said cleared right-of-way to its
intersection with the Seneca River, thence south along the Seneca River
to its intersection, near Gaskin Road, with the cleared right-of-way of
Niagara Mohawk Power Company, thence southwesterly along said cleared
right-of-way to its intersection with the eastern limits of the Village
of Baldwinsville, thence south along such Village limits to their
intersection with a line of railroad presently operated by the Erie-
Lackawanna Railroad Company, thence southeasterly along said line of
railroad to its intersection with the Van-Buren Lysander Town line,
thence southeasterly along the Van-Buren Lysander Town line to its
intersection with the Van-Buren Geddes Town line, thence southeasterly
along the Van-Buren Geddes Town line to the line described in (b) above.

Sec. 21 Baltimore, Md.

The zone adjacent to and commercially a part of Baltimore, Md.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuous carriage to or from a point beyond the zone is partially
exempt from regulation under section 203(b)(8) of the Interstate
Commerce Act (49 U.S.C. 303(b)(8)) includes and it is comprised of all
as follows:
(a) The municipality of Baltimore itself;
(b) All points within a line drawn 5 miles beyond the boundaries of
Baltimore;
(c) All points in that area east of the line described in paragraph
(b) of this section bounded by a line as follows: Beginning at the point
where the line described in paragraph (b) of this section crosses Dark
Head Creek and extending in a southeasterly direction along the center
of Dark Head Creek and beyond to a point off Wilson Point, thence in a
northeasterly direction to and along the center of Frog Mortar Creek to
Stevens Road, thence northerly along Stevens Road to Eastern Avenue,
thence easterly along Eastern Avenue to Bengies Road, thence
northwesterly along Bengies Road, to the right-of-way of the Penn
Central Transportation Co., thence westerly along such right-of-way to
the junction thereof with the line described in paragraph (b) of this
section;
(d) All points in that area south of the line described in paragraph
(b) of this section, bounded on the west by the right-of-way of the line
of the Penn Central Transportation Co., extending between Stony Run and
Severn, Md., and on the south by that part of Maryland Highway 176,
extending easterly from the said railroad to its junction with the line
described in paragraph (b) of this section;
(e) All points in that area southwest of the line described in
paragraph (b) of this section, bounded by a line as follows: Beginning
at the point where the line described in paragraph (b) of this section
crosses the Baltimore-Washington Expressway and extending in a
southwesterly direction along the Baltimore-Washington Expressway to its
intersection with Maryland Highway 176, thence westerly along Maryland
Highway 176 to its intersection with the Howard-Anne Arundel County
line, thence southwesterly along said county line to its intersection
with Maryland Highway 32, thence northwesterly along Maryland Highway 32
to its intersection with the Little Patuxent River, thence northerly
along the Little Patuxent River to the intersection of its north fork
and its east fork located approximately 1 mile north of the intersection
of Maryland Highway 32 and Berger Road, thence easterly along the east
fork of the Little Patuxent River to its intersection with Broken Land
Parkway, thence southerly along Broken Land Parkway to its intersection
with Snowden River Parkway, thence easterly along Snowden River Parkway,
to its intersection with relocated Maryland Highway 175, thence
southeasterly along relocated Maryland Highway 175, to its intersection
with Lark Brown Road, thence northeasterly along Lark Brown Road to its
intersection with Maryland Highway 175, thence southerly along

[[Page 801]]

Maryland Highway 175 to its intersection with Interstate Highway 95,
thence northeasterly along Interstate Highway 95 to its intersection
with the line described in paragraph (b) of this section;
(f) All points in that area north of the line described in paragraph
(b) of this section bounded by a line as follows: Beginning at the
junction of the line described in paragraph (b) of this section and the
Baltimore-Harrisburg Expressway (Interstate Highway 83), thence
northerly along Interstate Highway 83 to its junction with Shawan Road,
thence easterly along Shawan Road to its junction with York Road
(Maryland Highway 45) and continuing to a point 1,500 feet east of
Maryland Highway 45, thence southerly along a line 1,500 feet east of
the parallel to Maryland Highway 45 to its junction with the line
described in paragraph (b) of this section;
(g) All points in that area west of the line described in paragraph
(b) of this section bounded by a line as follows: Beginning at the point
where the line described in paragraph (b) of this section intersects
U.S. Highway 40 west of Baltimore, Md., and extending in a westerly
direction along U.S. Highway 40 to its intersection with St. John's
Lane, thence southerly along St. John's Lane to its intersection with
Maryland Highway 144, thence easterly along Maryland Highway 144 to its
intersection with the line in paragraph (b) of this section;
(h) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b), (c), (d), (e), (f), and
(g) of this section;
(i) All of any municipality wholly surrounded, or surrounded except
for a water boundary, by the city of Baltimore or by any municipality
included under the terms of (h) above.

Sec. 22 Cleveland, Ohio

The zone adjacent to and commercially a part of Cleveland, Ohio,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuous carriage to or from a point beyond the zone is partially
exempt from regulation under section 203(b)(8) of the Interstate
Commerce Act (49 U.S.C. 303(b)(8)) includes and it is comprised of all
as follows:
(a) All points in Cuyahoga County, Ohio, and
(b) All points in Wickliffe, Willoughby Hills, Waite Hill,
Willoughby, Willowick, Eastlake, Lakeline, Timberlake, and Mentor, Lake
County, Ohio.

Sec. 23 Detroit, Mich.

For the purpose of administration and enforcement of Part II of the
Interstate Commerce Act, the zone adjacent to and commercially a part of
Detroit, Mich., in which transportation by motor vehicle in interstate
or foreign commerce, not under a common control, management, or
arrangement for a continuous carriage or shipment to or from a point
beyond the zone, will be partially exempt under section 203(b)(8) of the
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to
include, and to be comprised of, all that area within a line as follows:

Beginning at a point on Lake St. Clair opposite the intersection of
Fifteen Mile Road and Michigan Highway 29 and extending south and
southwest along the shore of Lake St. Clair, to the Detroit River,
thence along such River (east of Belle Isle) and Trenton Channel to a
point opposite Sibley Road, thence west to and along Sibley Road to
Waltz Road, thence north along Waltz Road to Wick Road, thence west
along Wick Road to Cogswell Road, thence north along Cogswell Road to
Van Born Road, thence east along Van Born Road to Newburgh Road, thence
north along Newburgh Road to its junction with Halsted Road, thence
north along Halsted Road to West Maple Road, thence east along West
Maple Road to Telegraph Road, thence north along Telegraph Road to
Sixteen Mile Road, thence east along Sixteen Mile Road to Utica Road,
thence southeasterly along Utica Road to Fifteen Mile Road (also called
East Maple Road), thence along Fifteen Mile Road and across Michigan
Highway 29 to Lake St. Clair, the point of beginning.

Sec. 24 Seattle, Wash.

The zone adjacent to and commercially a part of Seattle, Wash.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under common control, management, or arrangement for
continuous carriage or shipments to or from a point beyond such zone, is
partially exempt from regulation under section 203(b)(8) of the
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised
of all points as follows:
(a) The municipality of Seattle itself.
(b) All points within a line drawn 5 miles beyond the municipal
limits of Seattle, except points on Bainbridge Island, Vashon Island,
and Blake Island.
(c) All points more than 5 miles beyond the municipal limits of
Seattle (1) within a line as follows: Beginning at that point south of
Seattle where the eastern shore of Puget Sound intersects the line
described in paragraph (b) of this section, thence southerly along the
eastern shore of Puget Sound to Southwest 192d Street, thence easterly
along Southwest 192d Street to the point where it again intersects the
line described in paragraph (b) of this section; and (2) within a line
as follows: Beginning at the junction of the

[[Page 802]]

southern corporate limits of Kent, Wash., and Washington Highway 181,
and extending south along Washington Highway 181 to the northern
corporate limits of Auburn, Wash., thence along the western, southern,
and eastern corporate limits of Auburn to the junction of the northern
corporate limits of Auburn and Washington Highway 167, thence northerly
along Washington Highway 167 to its junction with the southern corporate
limits of Kent, Wash., including all points on the highways named.
(d) All points more than 5 miles beyond the municipal limits of
Seattle within a line as follows: Beginning at the junction of the
northern corporate limits of Lynwood, Wash., and U.S. Highway 99, thence
north along U.S. Highway 99 to its junction with Washington Highway 525,
thence along Washington Highway 525 to its junction with West Casino
Road, thence east along West Casino Road to the western boundary of the
Everett facilities of the Boeing Co. at or near 4th Avenue West, thence
along the western, northern and eastern boundaries of the facilities of
the Boeing Co. to West Casino Road, thence east along West Casino Road
to its junction with U.S. Highway 99, thence south along U.S. Highway 99
to 112th Street, thence easterly along 112th Street to its junction with
Interstate Highway 5, thence southerly along Interstate Highway 5 to its
intersection with the present zone limits, including all points on the
named routes.
(e) All of any municipality any part of which is within the limits
set forth in (b) above.
(f) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the city of Seattle or by any
municipality included under the terms of (b) above.

Sec. 25 Albany, N.Y.

For the purpose of administration and enforcement of Part II of the
Interstate Commerce Act, the zone adjacent to and commercially a part of
Albany, N.Y., in which transportation by motor vehicle in interstate or
foreign commerce, not under a common control, management, or arrangement
for a continuous carriage or shipment to or from a point beyond the
zone, will be partially exempt under section 203(b)(8) of the act (49
U.S.C. 303(b)(8)) from regulations, is hereby determined to include, and
to be comprised of, the following:
(a) The municipality of Albany itself,
(b) All points within a line drawn 5 miles beyond the municipal
limits of Albany,
(c) All points in that area more than 5 miles beyond the municipal
limits of Albany bounded by a line as follows: Beginning at that point
on Swatling Road (in the Town of Colonie) where it crosses the line
described in (b) above and extending northerly along such road to the
municipal limits of Cohoes, thence along the western and northern
boundary of Cohoes to the Mohawk River, thence along such river to the
northern boundary of the Town of Waterford, thence along the northern
and eastern boundaries of the Town of Waterford to the northern boundary
of the City of Troy (all of which city is included under the next
following provision),
(d) All of any municipality any part of which is within the limits
of the combined areas defined in (b) and (c) above, and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Albany or by any
other municipality included under the terms of (d) above.

Sec. 26 Minneapolis-St. Paul, Minn.

The zone adjacent to and commercially a part of Minneapolis-St.
Paul, Minn, within which transportation by motor vehicle, in interstate
or foreign commerce, not under a common control, management, or
arrangement for a continuous carriage to or from a point beyond the zone
is partially exempt from regulation under section 203(b)(8) of the
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and it is
comprised of all as follows:

Beginning at the intersection of Minnesota Highway 36 and the
Minnesota River and extending along the Minnesota River to the southwest
corner of the city of Bloomington, thence north along the western
boundaries of the city of Bloomington and the village of Edina to the
southern boundary of the city of Hopkins, thence along the southern,
western, and northern boundaries of the city of Hopkins to the western
boundary of the city of St. Louis Park, thence north along the western
boundaries of the city of St. Louis Park and the village of Golden
Valley to the southeast corner of the village of Plymouth, thence west
along the southern boundary of Plymouth to Interstate Highway 494,
thence north along Interstate Highway 494 to Minnesota Highway 55,
thence southeast along Minnesota Highway 55 to the western boundary of
the village of Golden Valley, thence north along the western boundaries
of the villages of Golden Valley and New Hope to the northwestern corner
of the village of New Hope, thence east along the northern boundary of
the village of New Hope and the city of Crystal to the western boundary
of the village of Brooklyn Center, thence north along the western
boundary of the village of Brooklyn Center to its northern boundary,
thence east along such northern boundary to the Hennepin County-Anoka
County line, thence north along such county line to the northwestern
corner of the village of Spring Lake Park in Anoka County, thence east
along the northern boundary of the village of Spring Lake Park to the
northwest corner of Mounds View Township in Ramsey County,

[[Page 803]]

thence east and south along the northern and eastern boundaries of
Mounds View Township to the northwestern corner of the village of Little
Canada, thence east and south along the northern and eastern boundaries
of Little Canada to the northwest corner of the village of Maplewood,
thence east and south along the northern and eastern boundaries of the
village of Maplewood to the northeastern corner of the village of North
St. Paul, thence south along the eastern boundary of the village of
North St. Paul to the southeast corner of such village, thence south
along the eastern boundary of the village of Maplewood to the
northeastern corner of the village of Newport, thence south and west
along the eastern and southern boundaries of the village of Newport to
U.S. Highway 61, thence southeasterly along U.S. Highway 61, to the
eastern boundary of the village of St. Paul Park, thence along the
eastern, southern, and western boundaries of the village of St. Paul
Park to a point on the Mississippi River opposite the southeast corner
of the original village of Inver Grove, thence westerly across the river
and along the southern and western boundaries of the original village of
Inver Grove to the northwest corner of such village, thence due north to
the southern boundary of South St. Paul, thence north and west along the
western and southern boundaries of South St. Paul to the southeastern
corner of West St. Paul, thence west along the southern boundary of West
St. Paul to County Highway 63, thence south along County Highway 63 to
its junction with County Highway 63A, thence west along County Highway
63A to its junction with Minnesota Highway 49, thence north along
Minnesota Highway 49 to its junction with County Highway 28, thence west
along County Highway 28 to its junction with Minnesota Highway 13,
thence southwest along Minnesota Highway 13 to its junction with
Minnesota Highway 36, thence north and northwest along Minnesota Highway
36 to the Minnesota River, the point of beginning.

Sec. 27 New Orleans, La.

The zone adjacent to and commercially a part of New Orleans, La.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond the zone is
partially exempt from regulation under section 203(b)(8) of the
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised
of all points in the area bounded as follows:

Commencing at a point on the shore of Lake Pontchartrain where it is
crossed by the Jefferson Parish-Orleans Parish line; thence easterly
along the shore of Lake Pontchartrain to the Rigolets; thence through
the Rigolets in an easterly direction to Lake Borgne; thence
southwesterly along the shore of Lake Borgne to the Bayou Bienvenue;
thence in a general westerly direction along the Bayou Bienvenue (which
also constitutes the Orleans Parish-St. Bernard Parish line) to Paris
Road; thence in a southerly direction along Paris Road to the Back
Protection Levee; thence in a southeasterly direction along the Back
Protection Levee (across Lake Borgne Canal) to a point 1 mile north of
Louisiana Highway 46; thence in an easterly direction 1 mile north of
Louisiana Highway 46 to longitude 89 deg.50' W.; thence south along
longitude line 89 deg.50' W. (crossing Louisiana Highway 46
approximately three-eighths of a mile east of Toca) to Forty Arpent
Canal; thence westerly, northwesterly, and southerly along Forty Arpent
Canal to Scarsdale Canal; thence northwesterly along Scarsdale Canal and
beyond it in the same direction to the middle of the Mississippi River;
thence southerly along the middle of the Mississippi River to the
Augusta Canal; thence in a westerly direction along the Augusta Canal to
the Gulf Intracoastal Waterway; thence in a northerly direction along
the middle of the Gulf Intracoastal Waterway (Harvey Canal) to the point
where Lapalco Boulevard runs perpendicular to the Gulf Intracoastal
Waterway (Harvey Canal); thence in a westerly direction along Lapalco
Boulevard to its junction with Barataria Boulevard; thence north on
Barartaria Boulevard to a point approximately 2 miles south of the
Mississippi River where a high tension transmission line crosses
Barataria Boulevard; thence in a westerly direction following such
transmission line to the intersection thereof with U.S. Highway 90;
thence westerly along U.S. Highway 90 to the Jefferson Parish-St.
Charles Parish line; thence north along such parish line to the middle
of the Mississippi River; thence westerly along the middle of the
Mississippi River to a point south of Almedia Road; thence north to
Almedia Road; thence in a northerly direction along Almedia Road to its
junction with Highway 61; thence north to the shore of Lake
Pontchartrain; thence along the shore of Lake Pontchartrain in an
easterly direction to the Jefferson Parish-Orleans Parish line, the
point of beginning.

Sec. 28 Pittsburgh, Pa.

For the purpose of administration and enforcement of Part II of the
Interstate Commerce Act, the zone adjacent to and commercially a part of
Pittsburgh, Pa., in which transportation by motor vehicle in interstate
or foreign commerce, not under a common control, management, or
arrangement for a continuous carriage or shipment to or from a point
beyond the zone, will be partially exempt under section 203(b)(8) of the

[[Page 804]]

act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to
include, and to be comprised of, the following:

(a) All points in Allegheny County, Pa., except Forward, Elizabeth,
South Versailles, Marshall (including the Borough of Bradford Woods),
Pine Richland, West Deer and Fawn Townships and that part of Frazer
Township north of a line made by extending easterly in a straight line
the southern boundary of West Deer Township.
(b) Borough of Trafford situated in both Alleghency and Westmoreland
Counties;
(c) Borough of Ambridge and Harmony Township located in Beaver
County; and
(d) The City of New Kensington and Borough of Arnold in Westmoreland
County.

Sec. 29 Portland, Oreg.

For the purpose of administration and enforcement of Part II of the
Interstate Commerce Act, the zone adjacent to and commercially a part of
Portland, Oreg., in which transportation by motor vehicle in interstate
or foreign commerce, not under a common control, management, or
arrangement for a continuous carriage or shipment to or from a point
beyond the zone, will be partially exempt under section 203(b)(8) of the
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to
include, and to be comprised of, the following:
(a) The municipality itself.
(b) All points in Oregon within a line drawn 5 miles beyond the
corporate limits of Portland.
(c) All of any municipality any part of which is within the line
described in (b) above.
(d) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the city of Portland or by any
municipality included under the terms of (c) above.

Sec. 30 Vancouver, Wash.

For the purpose of administration and enforcement of Part II of the
Interstate Commerce Act, the zone adjacent to and commercially a part of
Vancouver, Wash., in which transportation by motor vehicle in interstate
or foreign commerce, not under a common control, management, or
arrangement for a continuous carriage or shipment to or from a point
beyond the zone, will be partially exempt under section 203(b)(8) of the
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to
include, and to be comprised of, the following:

(a) The municipality itself.
(b) All points in Washington within a line drawn 4 miles beyond the
corporate limits of Vancouver.
(c) All of any municipality any part of which is within the line
described in (b) above.
(d) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the City of Vancouver or by any
municipality included under the terms of (c) above.

Sec. 31 Charleston, S.C.

The zone adjacent to and commercially a part of Charleston, S.C.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond the zone is
partially exempt, under section 203(b)(8) of the Interstate Commerce Act
(49 U.S.C. 303(b)(8)), from regulation, includes and is comprised of,
all points and places as follows:
(a) The municipality of Charleston itself.
(b) All points within a line drawn 4 miles beyond the boundaries of
Charleston.
(c) All points in that area north of the line described in paragraph
(b) of this section, bounded by a line as follows: Beginning at the
point where the line described in paragraph (b) of this section crosses
Cooper River and extending in a northerly direction along the center of
Cooper River to Goose Creek; thence north and west along the center of
Goose Creek to the dam of the reservoir of the Charleston waterworks;
thence northwesterly along the west bank of the Charleston waterworks
reservoir for approximately one mile to an unnamed creek; thence
westerly along the center of this unnamed creek for approximately one
mile to U.S. Highway 52; thence northerly along U.S. Highway 52 to
junction South Carolina Highway S-10-75; thence westerly along South
Carolina Highway S-10-75 approximately one and one half miles to a point
one quarter mile west of the track of the Southern Railway Company;
thence southeasterly along a line one quarter of a mile west of, and
parallel to, the track of the Southern Railway Company to the junction
thereof with the line described in paragraph (b) of this section.
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (1) and (c) of this section.
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the city of Charleston or by any
municipality included under the terms of paragraph (d) of this section.

Sec. 32 Charleston, W. Va.

That zone adjacent to and commercially a part of Charleston, W. Va.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement

[[Page 805]]

for a continuous carriage or shipment to or from a point beyond the
zone, is partially exempt, under section 203(b)(8) of the Interstate
Commerce Act (49 U.S.C. 303(b)(8)), from regulation, includes, and is
comprised of, all points and places as follows:
(a) The municipality of Charleston, W. Va., itself.
(b) All points within a line drawn 4 miles beyond the corporate
limits of Charleston, W. Va.
(c) All points in that area northwest of those described in (b)
above, bounded by a line as follows: Beginning at a point on the line
described in (b) above, one-half mile south of U.S. Highway 60 west of
Charleston, thence westerly along a line one-half mile south of the
junction of U.S. Highway 60 with West Virginia Highway 17 near 2\3/4\
Mile Creek, thence westerly along a line one-half mile south of and
parallel to West Virginia Highway 17 to the Coal River, thence north
along the center of the Coal River to West Virginia Highway 17, thence
northerly along West Virginia Highway 17 to Scary Creek, near Scary, W.
Va., thence east along Scary Creek to the center of the Kanawha River,
thence northerly along the center of the Kanawha River to a point
opposite the mouth of Blake Creek (between Nitro and Poca, W. Va.),
thence easterly along a straight line drawn through the junction of U.S.
Highway 35 and West Virginia Highway 25 to a point one-half mile beyond
said junction, thence southerly along a line one-half mile northeast of
and parallel to West Virginia Highway 25 to the junction of the line
described in (b) above.
(d) All points in that area southeast of those described in (b)
above, bounded by a line as follows: Beginning at a point on the line
described in (b) above one-half mile south of the Kanawha River, thence
easterly along a line one-half mile south of, and parallel to, the
Kanawha River to junction with a straight line intersecting the highway
bridge at Chelyan, W. Va., thence northerly along said straight line
across the Kanawha River to a point one-half mile north of the Kanawha
River, thence westerly along a line one-half mile north of and parallel
to the Kanawha River to the junction of the line described in (b) above.
(e) All of any municipality any part of which is within the limits
of the combined areas defined in (b), (c), and (d) above.

Sec. 33 Memphis, Tenn.

That zone adjacent to and commercially a part of Memphis, Tenn.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control management, or arrangement for a
continuous carriage or shipment to or from a point beyond the zone, is
partially exempt, under section 203(b)(8) of the Interstate Commerce Act
(49 U.S.C. 303(b)(8)) from regulation, includes, and is comprised of,
all points as follows:
(a) The municipality of Memphis, Tenn., itself.
(b) All points within a line drawn 5 miles beyond the corporate
limits of Memphis, Tenn.
(c) All points in that part of Shelby County, Tenn., north of the
line described in paragraph (b) of this section, bounded by a line as
follows: Beginning at the intersection of the line described in
paragraph (b) of this section and U.S. Highway 51 north of Memphis,
thence northeasterly along U.S. Highway 51 for approximately 3 miles to
its intersection with Lucy Road, thence easterly along Lucy Road for
approximately 1.4 miles to its intersection with Chase Road, thence
northerly along Chase Road for approximately 0.6 mile to its
intersection with Lucy Road thence easterly along Lucy Road for
approximately 0.8 mile to its intersection with Main Road, thence
southereasterly along Main Road approximately 0.3 mile to its
intersection with Amherst Road, thence southerly and easterly along
Amherst Road for approximately 0.8 mile to its intersection with
Raleigh-Millington Road, thence southerly along Raleigh-Millington Road
for approximately 2 miles to its intersection with the line described in
paragraph (b) of this section north of Memphis;
(d) All of any municipality any part of which is within the limits
of the combined areas described in paragraphs (b) and (c) of this
section.

Sec. 34 Houston, Tex.

The zone adjacent to, and commercially a part of Houston, Tex., and
contiguous municipalities in which transportation by motor vehicle, in
interstate or foreign commerce, not under common control, management, or
arrangement for a continuous carriage or shipment to or from a point
beyond the zone, will be partially exempt under section 203(b)(8) of the
act from regulation, is hereby defined to include the area which would
result by application of the general formula promulgated in
Sec. 1048.101, and in addition thereto, the municipalities of Baytown,
La Porte and Lomax, Tex.

Sec. 35 Pueblo, Colo.

The zone adjacent to and commercially a part of Pueblo, Colo.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone is
partially exempt from regulation under section 203(b)(8) of the
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised
of all points as follows:

[[Page 806]]

(a) the municipality of Pueblo, Colo., itself;
(b) All points within a line drawn 4 miles beyond the corporate
limits of Pueblo, Colo.:
(c) All of the area known as the Pueblo Memorial Airport, consisting
of about 3,500 acres, not within 4 miles of the corporate limits of
Pueblo, Colo., and within an area located on the East of Pueblo, the
nearest point being about 3.80 miles from the city limits of Pueblo, and
bounded on the south by the tracks of the Santa Fe Railroad and the
Missouri Pacific Railroad, and a public highway known as Baxter Road and
designated as U.S. Highway 50 Bypass and Colorado Highway 96, with such
property extending north, west, and east of the described southern base
line.

Sec. 36 Warren, Ohio.

The zone adjacent to and commercially a part of Warren, Ohio, within
which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond the zone, is
partially exempt, under section 203(b)(8) of the Interstate Commerce Act
(49 U.S.C. 303(b)(8)) from regulation includes, and is comprised of, all
points as follows:
(a) The municipality of Warren, Ohio, itself.
(b) All points within a line drawn 4 miles beyond the corporate
limits of Warren, Ohio.
(c) All points in that area, south of the line in paragraph (b) of
this section, bounded by a line as follows: Beginning at the point where
the line described in paragraph (b) of this section intersects
Ellsworth-Baily Road, thence south along Ellsworth-Baily Road to the
Ohio Turnpike, thence southeast along the Ohio Turnpike to New Hallock-
Young Road, thence northeast along New Hallock-Young Road to Hallock-
Young Road, thence east along Hallock-Young Road to junction Ohio
Highway 45 (Salem-Warren Road), thence north along Ohio Highway 45
(Salem-Warren Road) to its intersection with the line described in
paragraph (b) of this section.

Sec. 37 Louisville, Ky.

The zone adjacent to and commercially a part of Louisville, Ky.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under section 203(b)(8) of the
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised
of all points as follows:
(a) The municipality of Louisville, Ky., itself;
(b) All other municipalities and unincorporated areas within 5 miles
of the corporate limits of Louisville, Ky., and all of any municipality
any part of which lies within 5 miles of such corporate limits; and
(c) Those points not within 5 miles of the corporate limits of
Louisville, Ky., and within an area bounded by a line beginning at the
junction of Kentucky Highway 146 (LaGrange Road) and Kentucky Highway
1447 (Westport Road), thence over Kentucky Highway 146 to the junction
of Kentucky Highway 146 and Kentucky Highway 841 (Jefferson Freeway),
thence over Kentucky Highway 841 to the junction of Kentucky Highway 841
and Kentucky Highway 1447, thence over Kentucky Highway 1447 to junction
Kentucky Highway 1447 and Kentucky Highway 146, the point of beginning,
all within Jefferson County, Ky.

Sec. 38 Sioux City, Iowa.

The zone adjacent to and commercially a part of Sioux City, Iowa,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under section 203(b)(8) of the
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised
of all points as follows:
(a) The area which would result by application of the general
formula promulgated in Sec. 1048.101; and, in addition thereto,
(b) That area bounded by a line beginning at the intersection of
Interstate Highway 29 and the line described in paragraph (a) of this
section, and extending southeasterly along Interstate Highway 29 to its
intersection with the Liberty-Lakeport Township, Iowa, line, thence
westerly along the Liberty-Lakeport Township, Iowa, line to the Missouri
River, thence northerly along the east bank of the Missouri River to its
intersection with the line described in paragraph (a) of this section,
thence along the line described in paragraph (a) of this section, to the
point of beginning.

Sec. 39 Beaumont, Tex.

The zone adjacent to and commercially a part of Beaumont, Tex.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under a common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under section 203(b)(8) of the
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised
of all points as follows:
(a) The areas which would result by application of the general
formula promulgated in

[[Page 807]]

Sec. 1048.101 for Beaumont, Tex.; and in addition thereto,
(b) That area bounded by a line beginning at that point where the
west bank of Hillebrandt Bayou intersects the line described in
paragraph (a) of this section; thence along the west bank of Hillebrandt
Bayou to its confluence with Taylors Bayou: thence in a southeasterly
direction along the west and south banks of Taylors Bayou to its
confluence with the Intracoastal Waterway; thence along the west and
north banks of the Intra-coastal Waterway to its confluence with Sabine
River and Sabine Lake at a point immediately east of Groves; thence in a
northeasterly direction along the north and west banks of Sabine Lake
and Sabine River to the Orange-Newton County line; thence westerly along
said county line to the west right-of-way line of State Highway 87;
thence southerly along the west right-of-way line of State Highway 87 to
the north right-of-way line of Interstate Highway 10; thence westerly
along the north right-of-way line of Interstate Highway 10 to
intersection with the line described in paragraph (a) of this section;
thence along the line described in paragraph (a) of this section, to the
point of beginning.

Sec. 40 Metropolitian Government of Nashville and Davidson County,
Tenn.

The zone adjacent to and commercially a part of the Metropolitan
Government of Nashville and Davidson County, Tenn, within which
transportation by motor vehicle, in interstate or foreign commerce, not
under a common control, management, or arrangement for a continuous
carriage or shipment to or from a point beyond the zone, is partially
exempt from regulation under section 203(b)(8) of the Interstate
Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised of all
points as follows:
(a) The Metropolitan Government of Nashville and Davidson County
itself.
(b) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the Metropolitan Government of Nashville
and Davidson County.

Sec. 41 Consolidated City of Indianapolis, Ind.

The zone adjacent to and commercially a part of the Consolidated
City of Indianapolis, Ind., within which transportation by motor
vehicle, in interstate or foreign commerce, not under a common control,
management, or arrangement for a continuous carriage or shipment to or
from a point beyond the zone, is partially exempt from regulation under
section 203(b)(8) of the Interstate Commerce Act (49 U.S.C. 303(b)(8)
includes and is comprised of all points as follows:

(a) The Consolidated City of Indianapolis, Ind., itself.
(b) All of any municipality wholly surrounded or so surrounded
except for a water boundary, by the Consolidated City of Indianapolis.

Sec. 42 Lexington-Fayette Urban County, Ky.

The zone adjacent to and commercially a part of Lexington-Fayette
Urban County, Ky., within which transporation by motor vehicle, in
interstate or foreign commerce, not under a common control, management,
or arrangement for a continuous carriage or shipment to or from a point
beyond the zone, is partially exempt from regulation under section
203(b)(8) of the Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes
and is comprised of all points as follows:

(a) Lexington-Fayette Urban County, Ky., itself.
(b) All other municipalities and unincorporated areas within 5 miles
of the intersection of U.S. Highway 27 (Nicholasville Road) with the
corporate boundary line between Jessamine County, Ky., and Lexington-
Fayette Urban County, Ky.

Sec. 43 Definitions.

For the purposes of this part, the following terms are defined:
(a) ``Municipality'' means any city, town, village, or borough which
has been created by special legislative act or which has been,
otherwise, individually incorporated or chartered pursuant to general
State laws, or which is recognized as such, under the Constitution or by
the laws of the State in which located, and which has a local
government. It does not include a town of the township or New England
type.
(b) ``Contiguous municipalities'' means municipalities, as defined
in paragraph (a) of this section, which have at some point a common
municipal or corporate boundary.
(c) ``Unincorporated area'' means any area not within the corporate
or municipal boundaries of any municipality as defined in paragraph (a)
of this section.

Sec. 44 Commercial zones determined generally, with exceptions.

The commercial zone of each municipality in the United States, with
the exceptions indicated in the note at the end of this section, within
which the transportation of passengers or property, in interstate or
foreign commerce, when not under a common control, management, or
arrangement for a continuous carriage or shipment to or from a point
without such zone, is exempt from all provisions of Part II, Interstate
Commerce Act, except the provisions of section 204 relative to the
qualifications and maximum hours of service of employees and safety of
operation or standards of equipment shall be deemed to consist of:

[[Page 808]]

(a) The municipality itself, hereinafter called the base
municipality;
(b) All municipalities which are contiguous to the base
municipality;
(c) All other municipalities and all unincorporated area within the
United States which are adjacent to the base municipality as follows:
(1) When the base municipality has a population less than 2,500 all
unincorporated areas within two miles of its corporate limits and all of
any other municipality any part of which is within two miles of the
corporate limits of the base municipality,
(2) When the base municipality has a population of 2,500 but less
than 25,000, all unincorporated areas within 3 miles of its corporate
limits and all of any other municipality any part of which is within 3
miles of the corporate limits of the base municipality,
(3) When the base municipality has a population of 25,000 but less
than 100,000, all unincorporated areas within 4 miles of its corporate
limits and all of any other municipality any part of which is within 4
miles of the corporate limits of the base municipality, and
(4) When the base municipality has a population of 100,000 or more,
all unincorporated areas within 5 miles of its corporate limits and all
of any other municipality any part of which is within 5 miles of the
corporate limits of the base municipality, and
(d) All municipalities wholly surrounded, or so surrounded except
for a water boundary, by the base municipality, by any municipality
contiguous thereto, or by any municipality adjacent thereto which is
included in the commercial zone of such base municipality under the
provisions of paragraph (c) of this section.

Note: Except: Municipalities the commercial zones of which have been
or are hereafter individually or specially determined.

Sec. 45 Controlling distances and population data.

In the application of Sec. 1048.101:
(a) Air-line distances or mileages about corporate limits of
municipalities shall be used.
(b) The population of any municipality shall be deemed to be the
highest figure shown for that municipality in any decennial census since
(and including) the 1940 decennial census.

[53 FR 18058, May 19, 1988]

Appendix G to Subchapter B--Minimum Periodic Inspection Standards

A vehicle does not pass an inspection if it has one of the following
defects or deficiencies:
1. Brake System.
a. Service brakes.--(1) Absence of braking action on any axle
required to have brakes upon application of the service brakes (such as
missing brakes or brake shoe(s) failing to move upon application of a
wedge, S-cam, cam, or disc brake).
(2) Missing or broken mechanical components including: shoes,
lining, pads, springs, anchor pins, spiders, cam rollers, push-rods, and
air chamber mounting bolts.
(3) Loose brake components including air chambers, spiders, and cam
shaft support brackets.
(4) Audible air leak at brake chamber (Example-ruptured diaphragm,
loose chamber clamp, etc.).
(5) Readjustment limits. The maximum stroke at which brakes should
be readjusted is given below. Any brake \1/4\" or more past the
readjustment limit or any two brakes less than \1/4\" beyond the
readjustment limit shall be cause for rejection. Stroke shall be
measured with engine off and reservoir pressure of 80 to 90 psi with
brakes fully applied.

Bolt Type Brake Chamber Data
------------------------------------------------------------------------
Maximum
stroke at
Effective Outside which
Type area (sq. dia. (in.) brakes
in.) should be
readjusted
------------------------------------------------------------------------
A................................... 12 6\15/16\ 1\3/8\
B................................... 24 9\3/16\ 1\3/4\
C................................... 16 8\1/16\ 1\3/4\
D................................... 6 5\1/4\ 1\1/4\
E................................... 9 6\3/16\ 1\3/8\
F................................... 36 11 2\1/4\
G................................... 30 9\7/8\ 2
------------------------------------------------------------------------

Rotochamber Data
------------------------------------------------------------------------
Maximum
stroke at
Effective Outside which
Type area (sq. dia. (in.) brakes
in.) should be
readjusted
------------------------------------------------------------------------
9.................................. 9 4\9/32\ 1\1/2\
12.................................. 12 4\13/16\ 1\1/2\
16.................................. 16 5\13/32\ 2
20.................................. 20 5\15/16\ 2
24.................................. 24 6\13/32\ 2
30.................................. 30 7\1/16\ 2\1/4\
36.................................. 36 7\5/8\ 2\3/4\
50.................................. 50 8\7/8\ 3
------------------------------------------------------------------------

Clamp Type Brake Chamber Data
------------------------------------------------------------------------
Maximum
stroke at
Effective Outside which
Type area (sq. dia. (in.) brakes
in.) should be
readjusted
------------------------------------------------------------------------
6.................................. 6 4\1/2\ 1\1/4\
9.................................. 9 5\1/4\ 1\3/8\
12.................................. 12 5\11/16\ 1\3/8\
16.................................. 16 6\3/8\ 1\3/4\

[[Page 809]]

20.................................. 20 6\25/32\ 1\3/4\
24.................................. 24 7\7/32\ \1\1\3/4\
30.................................. 30 8\3/32\ 2
36.................................. 36 9 2\1/4\
------------------------------------------------------------------------
\1\(2" for long stroke design).

Wedge Brake Data.--Movement of the scribe mark on the lining shall
not exceed \1/16\ inch.
(6) Brake linings or pads.
(a) Lining or pad is not firmly attached to the shoe;
(b) Saturated with oil, grease, or brake fluid; or
(c) Non-steering axles: Lining with a thickness less than \1/4\ inch
at the shoe center for air drum brakes, \1/16\ inch or less at the shoe
center for hydraulic and electric drum brakes, and less than \1/8\ inch
for air disc brakes.
(d) Steering axles: Lining with a thickness less than \1/4\ inch at
the shoe center for drum brakes, less than \1/8\ inch for air disc
brakes and \1/16\ inch or less for hydraulic disc and electric brakes.
(7) Missing brake on any axle required to have brakes.
(8) Mismatch across any power unit steering axle of:
(a) Air chamber sizes.
(b) Slack adjuster length.
b. Parking Brake System. No brakes on the vehicle or combination are
applied upon actuation of the parking brake control, including driveline
hand controlled parking brakes.
c. Brake Drums or Rotors.
(1) With any external crack or cracks that open upon brake
application (do not confuse short hairline heat check cracks with
flexural cracks).
(2) Any portion of the drum or rotor missing or in danger of falling
away.
d. Brake Hose.
(1) Hose with any damage extending through the outer reinforcement
ply. (Rubber impregnated fabric cover is not a reinforcement ply).
(Thermoplastic nylon may have braid reinforcement or color difference
between cover and inner tube. Exposure of second color is cause for
rejection.
(2) Bulge or swelling when air pressure is applied.
(3) Any audible leaks.
(4) Two hoses improperly joined (such as a splice made by sliding
the hose ends over a piece of tubing and clamping the hose to the tube).
(5) Air hose cracked, broken or crimped.
e. Brake Tubing.
(1) Any audible leak.
(2) Tubing cracked, damaged by heat, broken or crimped.
f. Low Pressure Warning Device missing, inoperative, or does not
operate at 55 psi and below, or \1/2\ the governor cut-out pressure,
whichever is less.
g. Tractor Protection Valve. Inoperable or missing tractor
protection valve(s) on power unit.
h. Air Compressor.
(1) Compressor drive belts in condition of impending or probable
failure.
(2) Loose compressor mounting bolts.
(3) Cracked, broken or loose pulley.
(4) Cracked or broken mounting brackets, braces or adapters.
i. Electric Brakes.
(1) Absence of braking action on any wheel required to have brakes.
(2) Missing or inoperable breakaway braking device.
j. Hydraulic Brakes. (Including Power Assist Over Hydraulic and
Engine Drive Hydraulic Booster).
(1) Master cylinder less than \1/4\ full.
(2) No pedal reserve with engine running except by pumping pedal.
(3) Power assist unit fails to operate.
(4) Seeping or swelling brake hose(s) under application of pressure.
(5) Missing or inoperative check valve.
(6) Has any visually observed leaking hydraulic fluid in the brake
system.
(7) Has hydraulic hose(s) abraded (chafed) through outer cover-to-
fabric layer.
(8) Fluid lines or connections leaking, restricted, crimped, cracked
or broken.
(9) Brake failure or low fluid warning light on and/or inoperative.
k. Vacuum Systems. Any vacuum system which:
(1) Has insufficient vacuum reserve to permit one full brake
application after engine is shut off.
(2) Has vacuum hose(s) or line(s) restricted, abraded (chafed)
through outer cover to cord ply, crimped, cracked, broken or has
collapse of vacuum hose(s) when vacuum is applied.
(3) Lacks an operative low-vacuum warning device as required.
2. Coupling devices.
a. Fifth Wheels.
(1) Mounting to frame.
(a) Any fasteners missing or ineffective.
(b) Any movement between mounting components.
(c) Any mounting angle iron cracked or broken.
(2) Mounting plates and pivot brackets.
(a) Any fasteners missing or ineffective.
(b) Any welds or parent metal cracked.
(c) More than \3/8\ inch horizontal movement between pivot bracket
pin and bracket.
(d) Pivot bracket pin missing or not secured.
(3) Sliders.

[[Page 810]]

(a) Any latching fasteners missing or ineffective.
(b) Any fore or aft stop missing or not securely attached.
(c) Movement more than \3/8\ inch between slider bracket and slider
base.
(d) Any slider component cracked in parent metal or weld.
(4) Lower coupler.
(a) Horizontal movement between the upper and lower fifth wheel
halves exceeds \1/2\ inch.
(b) Operating handle not in closed or locked position.
(c) Kingpin not properly engaged.
(d) Separation between upper and lower coupler allowing light to
show through from side to side.
(e) Cracks in the fifth wheel plate.
Exceptions: Cracks in fifth wheel approach ramps and casting
shrinkage cracks in the ribs of the body of a cast fifth wheel.
(f) Locking mechanism parts missing, broken, or deformed to the
extent the kingpin is not securely held.
b. Pintle Hooks.
(1) Mounting to frame.
(a) Any missing or ineffective fasteners (a fastener is not
considered missing if there is an empty hole in the device but no
corresponding hole in the frame or vice versa).
(b) Mounting surface cracks extending from point of attachment
(e.g., cracks in the frame at mounting bolt holes).
(c) Loose mounting.
(d) Frame cross member providing pintle hook attachment cracked.
(2) Integrity.
(a) Cracks anywhere in pintle hook assembly.
(b) Any welded repairs to the pintle hook.
(c) Any part of the horn section reduced by more than 20%.
(d) Latch insecure.
c. Drawbar/Towbar Eye.
(1) Mounting.
(a) Any cracks in attachment welds.
(b) Any missing or ineffective fasteners.
(2) Integrity.
(a) Any cracks.
(b) Any part of the eye reduced by more than 20%.
d. Drawbar/Towbar Tongue.
(1) Slider (power or manual).
(a) Ineffective latching mechanism
(b) Missing or ineffective stop.
(c) Movement of more than \1/4\ inch between slider and housing.
(d) Any leaking, air or hydraulic cylinders, hoses, or chambers
(other than slight oil weeping normal with hydraulic seals).
(2) Integrity.
(a) Any cracks.
(b) Movement of \1/4\ inch between subframe and drawbar at point of
attachment.
e. Safety Devices.
(1) Safety devices missing.
(2) Unattached or incapable of secure attachment.
(3) Chains and hooks.
(a) Worn to the extent of a measurable reduction in link cross
section.
(b) Improper repairs including welding, wire, small bolts, rope and
tape.
(4) Cable.
(a) Kinked or broken cable strands.
(b) Improper clamps or clamping.
f. Saddle-Mounts.
(1) Method of attachment.
(a) Any missing or ineffective fasteners.
(b) Loose mountings.
(c) Any cracks or breaks in a stress or load bearing member.
(d) Horizontal movement between upper and lower saddle-mount halves
exceeds \1/4\ inch.
3. Exhaust System.
a. Any exhaust system determined to be leaking at a point forward of
or directly below the driver/sleeper compartment.
b. A bus exhaust system leaking or discharging to the atmosphere:
(1) Gasoline powered--excess of 6 inches forward of the rearmost
part of the bus.
(2) Other than gasoline powered--in excess of 15 inches forward of
the rearmost part of the bus.
(3) Other than gasoline powered--forward of a door or window
designed to be opened. (exception: Emergency exits).
c. No part of the exhaust system of any motor vehicle shall be so
located as would be likely to result in burning, charring, or damaging
the electrical wiring, the fuel supply, or any combustible part of the
motor vehicle.
4. Fuel System.
a. A fuel system with a visable leak at any point.
b. A fuel tank filler cap missing.
c. A fuel tank not securely attached to the motor vehicle by reason
of loose, broken or missing mounting bolts or brackets (some fuel tanks
use springs or rubber bushings to permit movement).
5. Lighting Devices. All lighting devices and reflectors required by
Section 393 shall be operable.
6. Safe Loading.
a. Part(s) of vehicle or condition of loading such that the spare
tire or any part of the load or dunnage can fall onto the roadway.
b. Protection Against Shifting Cargo--Any vehicle without a front-
end structure or equivalent device as required.
7. Steering Mechanism.
a. Steering Wheel Free Play (on vehicles equipped with power
steering the engine must be running).

[[Page 811]]

18"........................................... 2\1/4\" 4\3/4\"
20"........................................... 2\1/2\" 5\1/4\"
22"........................................... 2\3/4\" 5\3/4\"
------------------------------------------------------------------------

b. Steering Column.
(1) Any absence or looseness of U-bolt(s) or positioning part(s).
(2) Worn, faulty or obviously repair welded universal joint(s).
(3) Steering wheel not properly secured.
c. Front Axle Beam and All Steering Components Other Than Steering
Column.
(1) Any crack(s).
(2) Any obvious welded repair(s).
d. Steering Gear Box.
(1) Any mounting bolt(s) loose or missing.
(2) Any crack(s) in gear box or mounting brackets.
e. Pitman Arm. Any looseness of the pitman arm on the steering gear
output shaft.
f. Power Steering. Auxiliary power assist cylinder loose.
g. Ball and Socket Joints.
(1) Any movement under steering load of a stud nut.
(2) Any motion, other than rotational, between any linkage member
and its attachment point of more than \1/4\ inch.
h. Tie Rods and Drag Links.
(1) Loose clamp(s) or clamp bolt(s) on tie rods or drag links.
(2) Any looseness in any threaded joint.
i. Nuts. Nut(s) loose or missing on tie rods, pitman arm, drag link,
steering arm or tie rod arm.
j. Steering System. Any modification or other condition that
interferes with free movement of any steering component.
8. Suspension.
a. Any U-bolt(s), spring hanger(s), or other axle positioning
part(s) cracked, broken, loose or missing resulting in shifting of an
axle from its normal position. (After a turn, lateral axle displacement
is normal with some suspensions. Forward or rearward operation in a
straight line will cause the axle to return to alignment).
b. Spring Assembly.
(1) Any leaves in a leaf spring assembly broken or missing.
(2) Any broken main leaf in a leaf spring assembly. (Includes
assembly with more than one main spring).
(3) Coil spring broken.
(4) Rubber spring missing.
(5) One or more leaves displaced in a manner that could result in
contact with a tire, rim, brake drum or frame.
(6) Broken torsion bar spring in a torsion bar suspension.
(7) Deflated air suspension, i.e., system failure, leak, etc.
c. Torque, Radius or Tracking Components. Any part of a torque,
radius or tracking component assembly or any part used for attaching the
same to the vehicle frame or axle that is cracked, loose, broken or
missing. (Does not apply to loose bushings in torque or track rods.)
9. Frame.
a. Frame Members.
(1) Any cracked, broken, loose, or sagging frame member.
(2) Any loose or missing fasteners including fasteners attaching
functional component such as engine, transmission, steering gear,
suspension, body parts, and fifth wheel.
b. Tire and Wheel Clearance. Any condition, including loading, that
causes the body or frame to be in contact with a tire or any part of the
wheel assemblies.
c. (1) Adjustable Axle Assemblies (Sliding Subframes). Adjustable
axle assembly with locking pins missing or not engaged.
10. Tires.
a. Any tire on any steering axle of a power unit.
(1) With less than \4/32\ inch tread when measured at any point on a
major tread groove.
(2) Has body ply or belt material exposed through the tread or
sidewall.
(3) Has any tread or sidewall separation.
(4) Has a cut where the ply or belt material is exposed.
(5) Labeled ``Not for Highway Use'' or displaying other marking
which would exclude use on steering axle.
(6) A tube-type radial tire without radial tube stem markings. These
markings include a red band around the tube stem, the word ``radial''
embossed in metal stems, or the word ``radial'' molded in rubber stems.
(7) Mixing bias and radial tires on the same axle.
(8) Tire flap protrudes through valve slot in rim and touches stem.
(9) Regrooved tire except motor vehicles used solely in urban or
suburban service (see exception in 393.75(e).
(10) Boot, blowout patch or other ply repair.
(11) Weight carried exceeds tire load limit. This includes
overloaded tire resulting from low air pressure.
(12) Tire is flat or has noticeable (e.g., can be heard or felt)
leak.
(13) Any bus equipped with recapped or retreaded tire(s).
(14) So mounted or inflated that it comes in contact with any part
of the vehicle.
b. All tires other than those found on the steering axle of a power
unit:
(1) Weight carried exceeds tire load limit. This includes overloaded
tire resulting from low air pressure.
(2) Tire is flat or has noticeable (e.g., can be heard or felt)
leak.
(3) Has body ply or belt material exposed through the tread or
sidewall.
(4) Has any tread or sidewall separation.

[[Page 812]]

(5) Has a cut where ply or belt material is exposed.
(6) So mounted or inflated that it comes in contact with any part of
the vehicle. (This includes a tire that contacts its mate.)
(7) Is marked ``Not for highway use'' or otherwise marked and having
like meaning.
(8) With less than \2/32\ inch tread when measured at any point on a
major tread groove.
11. Wheels and Rims.
a. Lock or Side Ring. Bent, broken, cracked, improperly seated,
sprung or mismatched ring(s).
b. Wheels and rims. Cracked or broken or has elongated bolt holes.
c. Fasteners (both spoke and disc wheels). Any loose, missing,
broken, cracked, stripped or otherwise ineffective fasteners.
d. Welds.
(1) Any cracks in welds attaching disc wheel disc to rim.
(2) Any crack in welds attaching tubeless demountable rim to
adapter.
(3) Any welded repair on aluminum wheel(s) on a steering axle.
(4) Any welded repair other than disc to rim attachment on steel
disc wheel(s) mounted on the steering axle.
12. Windshield Glazing. (Not including a 2 inch border at the top, a
1 inch border at each side and the area below the topmost portion of the
steering wheel.) Any crack, discoloration or vision reducing matter
except: (1) coloring or tinting applied at time of manufacture; (2) any
crack not over \1/4\ inch wide, if not intersected by any other crack;
(3) any damaged area not more than \3/4\ inch in diameter, if not closer
than 3 inches to any other such damaged area; (4) labels, stickers,
decalcomania, etc. (see 393.60 for exceptions).
13. Windshield Wipers. Any power unit that has an inoperative wiper,
or missing or damaged parts that render it ineffective.

Comparison of Appendix G, and the new North American Uniform Driver-
Vehicle Inspection Procedure (North American Commercial Vehicle Critical
Safety Inspection Items and Out-Of-Service Criteria)

The vehicle portion of the FHWA's North American Uniform Driver-
Vehicle Inspection Procedure (NAUD-VIP) requirements, CVSA's North
American Commercial Vehicle Critical Safety Inspection Items and Out-Of-
Service Criteria and Appendix G of subchapter B are similar documents
and follow the same inspection procedures. The same items are required
to be inspected by each document. FHWA's and CVSA's out-of-service
criteria are intended to be used in random roadside inspections to
identify critical vehicle inspection items and provide criteria for
placing a vehicle(s) out-of-service. A vehicle(s) is placed out-of-
service only when by reason of its mechanical condition or loading it is
determined to be so imminently hazardous as to likely cause an accident
or breakdown, or when such condition(s) would likely contribute to loss
of control of the vehicle(s) by the driver. A certain amount of
flexibility is given to the inspecting official whether to place the
vehicle out-of-service at the inspection site or if it would be less
hazardous to allow the vehicle to proceed to a repair facility for
repair. The distance to the repair facility must not exceed 25 miles.
The roadside type of inspection, however, does not necessarily mean that
a vehicle has to be defect-free in order to continue in service.
In contrast, the Appendix G inspection procedure requires that all
items required to be inspected are in proper adjustment, are not
defective and function properly prior to the vehicle being placed in
service.

Differences Between the Out-of-Service Criteria & FHWA's Annual
Inspection

1. Brake System.
The Appendix G criteria rejects vehicles with any defective brakes,
any air leaks, etc. The out-of-service criteria allows 20% defective
brakes on non-steering axles and a certain latitude on air leaks before
placing a vehicle out-of-service.
2. Coupling Devices.
Appendix G rejects vehicles with any fifth wheel mounting fastener
missing or ineffective. The out-of-service criteria allows up to 20%
missing or ineffective fasteners on frame mountings and pivot bracket
mountings and 25% on slider latching fasteners. The out-of-service
criteria also allows some latitude on cracked welds.
3. Exhaust System.
Appendix G follows Section 393.83 verbatim. The CVSA out-of-service
criteria allows vehicles to exhaust forward of the dimensions given in
Section 393.83 as long as the exhaust does not leak or exhaust under the
chassis.
4. Fuel System.
Same for Appendix G and the out-of-service criteria.
5. Lighting Devices.
Appendix G requires all lighting devices required by Section 393 to
be operative at all times. The out-of-service criteria only requires one
stop light and functioning turn signals on the rear most vehicle of a
combination vehicle to be operative at all times. In addition one
operative head lamp and tail lamp are required during the hours of
darkness.
6. Safe Loading.
Same for both Appendix G and the out-of-service criteria.
7. Steering Mechanism
Steering lash requirements of Appendix G follows the new
requirements of Sec. 393.209.
8. Suspension
Appendix G follows the new requirements of Sec. 393.207 which does
not allow any broken

[[Page 813]]

leaves in a leaf spring assembly. The out-of-service criteria allows up
to 25% broken or missing leaves before being placed out-of-service.
9. Frame
The out-of-service criteria allows a certain latitude in frame
cracks before placing a vehicle out-of-service. Appendix G follows the
new requirements of 393.201 which does not allow any frame cracks.
10. Tires
Appendix G follows the requirements of 393.75 which requires a tire
tread depth of \4/32\ inch on power unit steering axles and \2/32\ inch
on all other axles. The out-of-service criteria only requires \2/32\
inch tire tread depth on power unit steering axles and \1/32\ inch on
all other axles.
11. Wheel and Rims
The out-of-service criteria allows a certain amount latitude for
wheel and rim cracks and missing or defective fasteners. Appendix G
meets the requirements of the new 393.205 which does not allow defective
wheels and rims non-effective nuts and bolts.
12. Windshield Glazing
The out-of-service criteria places in a restricted service condition
any vehicle that has a crack or discoloration in the windshield area
lying within the sweep of the wiper on the drivers side and does not
address the remaining area of the windshield. Appendix G addresses
requirements for the whole windshield as specified in 393.60.
13. Windshield Wipers
Appendix G requires windshield wipers to be operative at all times.
The out-of-service criteria only requires that the windshield wiper on
the driver's side to be inspected during inclement weather.

[53 FR 49411, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988]

Appendix H to Subchapter B--State Enforcement and Liens

Effective Date Note: At 59 FR 67556, Dec. 29, 1994, appendix H to
subchapter B was added, effective June 27, 1995. At 60 FR 26002, May 16,
1995, the effective date was extended to Sept. 27, 1995. At 60 FR 40761,
Aug. 10, 1995, the effective date was further extended to Sept. 1, 1996.
At 61 FR 42822, Aug. 19, 1996, the effective date was further extended
to Jan. 2, 1997.
This appendix reprints for informational purposes those portions of
sec. 2 of the Intermodal Safe Container Transportation Act of 1992 (Pub.
L. 102-548, 106 Stat. 3646) which enacted 49 U.S.C. 5904, 5905, and
5906, concerning State enforcement and liens, and amended 49 U.S.C. 5901
by adding the definition of beneficial owner.
The text of 49 U.S.C. 5901(2) reads:
(2) ``beneficial owner'' means a person not having title to property
but having ownership rights in the property, including a trustee of
property in transit from an overseas place of origin that is domiciled
or doing business in the United States, except that a carrier, agent of
a carrier, broker, customs broker, freight forwarder, warehouser, or
terminal operator is not a beneficial owner only because of providing or
arranging for any part of the intermodal transportation of property.
The text of 49 U.S.C. 5904, State enforcement, reads:
(a) GENERAL.--A State may enact a law to permit the State or a
political subdivision of the State--
(1) to impose a fine or penalty, for a violation of a State highway
weight law or regulation by a tractor-trailer combination carrying a
loaded container or trailer for which a certification is required by
section 5902(b) of this title, against the person tendering the loaded
container or trailer to the first carrier if the violation results from
the person's having provided erroneous information in the certification
in violation of section 5903(a) of this title; and
(2) to impound the container or trailer until the fine or penalty
has been paid by the owner or beneficial owner of the contents of the
container or trailer or the person tendering the loaded container or
trailer to the first carrier.
(b) LIMITATION.--This chapter does not require a person tendering a
loaded container or trailer to the first carrier to ensure that the
first carrier or any other carrier involved in the intermodal
transportation will comply with any State highway weight law or
regulation, other than as required by this chapter.
The text of 49 U.S.C. 5905, Liens, reads:
(a) GENERAL.--If a person involved in the intermodal transportation
of a loaded container or trailer for which a certification is required
by section 5902(b) of this title is required under State law to post a
bond or pay any fine, penalty, cost, or interest resulting from
providing erroneous information in the certification to the first
carrier in violation of section 5903(a) of this title, the person has a
lien against the contents equal to the amount of the bond, fine,
penalty, cost, or interest incurred, until the person receives a payment
of that amount from the owner or beneficial owner of the contents or
from the person responsible for making the certification.
(b) LIMITATIONS.--(1) A lien under this section does not authorize a
person to dispose of the contents of a loaded container or trailer until
the person who tendered the container or trailer to the first carrier is
given a reasonable opportunity to establish responsibility for the bond,
fine, penalty, cost, or interest.

[[Page 814]]

(2) In this section, an owner or beneficial owner of the contents of
a container or trailer or a person tendering a container or trailer to
the first carrier is deemed not to be a person involved in the
intermodal transportation of the container or trailer.
The text of 49 U.S.C. 5906, Perishable agricultural commodities,
reads:
Sections 5904(a)(2) and 5905 of this title do not apply to a
container or trailer the contents of which are perishable agricultural
commodities (as defined in the Perishable Agricultural Commodities Act,
1930 (7 U.S.C. 499a et seq.)).

[59 FR 67556, Dec. 29, 1994]

[[Page 815]]

FINDING AIDS

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

A list of CFR titles, subtitles, chapters, subchapters and parts and
an alphabetical list of agencies publishing in the CFR are included in
the CFR Index and Finding Aids volume to the Code of Federal Regulations
which is published separately and revised annually.

Material Approved for Incorporation by Reference
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected

[[Page 817]]

Material Approved for Incorporation by Reference

(Revised as of October 1, 1996)

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 CHAPTER II (PARTS 200-399)

FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION

American National Standards Institute (ANSI)

1430 Broadway, New York, NY 10018
ANSI Z41-1991, American National Standard for
Personal Protection-Protective Footwear......... 214.115
ANSI Z87.1-1989, Practice for Occupational and
Educational Eye and Face Protection............. 214.117
ANSI Z89.1-1986, Protective Headwear for
Industrial Workers.............................. 214.113

American Society for Testing and Materials

Federal Railroad Administration, Office of the Associate
Administrator, Nassif Bldg., 400 Seventh St., SW, Washington, DC 20590
ASTM C 90-70 Standard Specification for Hollow
Load-Bearing Concrete Masonry Units............. Part 223, Appendix A
ASTM C 33-77 Standard Specification for
Lightweight Aggregates for Concrete Masonry
Units........................................... Part 223, Appendix A
ASTM D 3953-91 Standard Specification for
Strapping, Flat Steel and Seals................. 393.7; 393.102

American Society of Mechanical Engineers

United Engineering Center, 345 E. 47th St., New York, NY 10017

Boiler and Pressure Vessel Code (1971 Ed.):
Section II, Part B, page 123.................... 229.51(a)(1)
Section VIII, Division I........................ 229.51(a)(2)

Association of American Railroads

1920 L St., NW, Washington, DC 20036
AAR Code of Rules for cars in interchange, 1979... 232.17(b)
AAR Code of Tests, Instruction Pamphlet No. 5039-
4, Sup. 1, Single Car Testing Device, 1974...... 232.17(a)
AAR Railway Signaling Principles and Practices,
Ch. 2: Symbols, Aspects and Indications, 1956... 235.12(b)

Cordage Institute

350 Lincoln Street, #115, Hingham, MA 02043
PETRS-2 Polyester Fiber Rope, 3-Strand and 8-
Strand Constructions, January, 1993............. 393.7; 393.102
PPRS-2 Polypropylene Fiber Rope, 3-Strand and 8-
Strand Constructions, August, 1992.............. 393.7; 393.102
CRS-1 Polyester/Polypropylene Composite Rope
Specifications, Three- and Eight-Strand Standard
Construction, May 1979.......................... 393.7; 393.102

[[Page 818]]

NRS-1 Nylon Rope Specifications, Three- and Eight-
Strand Standard Construction, May 1979.......... 393.7; 393.102
C1 Double Braided Nylon Rope Specifications, DBN-
January 1984.................................... 393.7; 393.102

Illuminating Engineering Society (IES)

Federal Railroad Administration, Office of the Associate
Administrator, Nassif Bldg., 400 Seventh St., SW, Washington, DC 20590
IES Guide for Calculating the Effective Intensity
of Flashing Signal Lights, Nov. 1964............ 221.5(h)

National Association of Chain Manufacturers

P.O. Box 3143, York, PA 17402-0143
Welded Steel Chain Specifications, June 15, 1990.. 393.7; 393.102

Underwriters Laboratories (UL)

333 Pfingsten Road, Northbrook, IL 60062
UL 912 Highway Emergency Signals, fourth edition,
revised July 30, 1979........................... 393.7; 393.95

Web Sling and Tiedown Association, Inc

710 East Ogden Avenue, Suite 113, Naperville, IL 60563
Recommended Standard Specification for Synthetic
Web Tiedowns, 1991 edition...................... 393.7; 393.102

Wire Rope Technical Board

Wire Rope Technical Committee, P.O. Box 849, Stevensville, MD 21666
Wire Rope Users Manual, November 1985, second
edition......................................... 393.7; 393.102

Chap.

[[Page 819]]

Table of CFR Titles and Chapters

(Revised as of September 30, 1996)

Title 1--General Provisions

I Administrative Committee of the Federal Register
(Parts 1--49)
II Office of the Federal Register (Parts 50--299)
IV Miscellaneous Agencies (Parts 400--500)

Title 2--[Reserved]

Title 3--The President

I Executive Office of the President (Parts 100--199)

Title 4--Accounts

I General Accounting Office (Parts 1--99)
II Federal Claims Collection Standards (General
Accounting Office--Department of Justice) (Parts
100--299)

Title 5--Administrative Personnel

I Office of Personnel Management (Parts 1--1199)
II Merit Systems Protection Board (Parts 1200--1299)
III Office of Management and Budget (Parts 1300--1399)
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 Counsel (Parts 1800--1899)
IX Appalachian Regional Commission (Parts 1900--1999)
XI Armed Forces Retirement Home (Part 2100)
XIV Federal Labor Relations Authority, General Counsel of
the Federal Labor Relations Authority and Federal
Service Impasses Panel (Parts 2400--2499)
XV Office of Administration, Executive Office of the
President (Parts 2500--2599)
XVI Office of Government Ethics (Parts 2600--2699)
XXI Department of the Treasury (Parts 3100--3199)
XXII Federal Deposit Insurance Corporation (Part 3202)
XXIII Department of Energy (Part 3301)

[[Page 820]]

XXIV Federal Energy Regulatory Commission (Part 3401)
XXVI Department of Defense (Part 3601)
XXX Farm Credit System Insurance Corporation (Parts 4000--
4099)
XXXI Farm Credit Administration (Parts 4100--4199)
XXXIII Overseas Private Investment Corporation (Part 4301)
XL Interstate Commerce Commission (Part 5001)
XLI Commodity Futures Trading Commission (Part 5101)
XLV Department of Health and Human Services (Part 5501)
XLVI Postal Rate Commission (Part 5601)
XLVII Federal Trade Commission (Part 5701)
XLVIII Nuclear Regulatory Commission (Part 5801)
L Department of Transportation (Part 6001)
LII Export-Import Bank of the United States (Part 6201)
LIII Department of Education (Parts 6300--6399)
LIV Environmental Protection Agency (Part 6401)
LIX National Aeronautics and Space Administration (Part
6901)
LX United States Postal Service (Part 7001)
LXII Equal Employment Opportunity Commission (Part 7201)
LXIII Inter-American Foundation (Part 7301)
LXV Department of Housing and Urban Development (Part
7501)
LXVI National Archives and Records Administration (Part
7601)
LXIX Tennessee Valley Authority (Part 7901)
LXXIV Federal Mine Safety and Health Review Commission (Part
8401)
LXXVI Federal Retirement Thrift Investment Board (Part 8601)
LXXVII Office of Management and Budget (Part 8701)

Title 6--[Reserved]

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 Consumer Service, Department of Agriculture
(Parts 210--299)
III Animal and Plant Health Inspection Service, Department
of Agriculture (Parts 300--399)
IV Federal Crop Insurance Corporation, Department of
Agriculture (Parts 400--499)
V Agricultural Research Service, Department of
Agriculture (Parts 500--599)
VI Natural Resources Conservation Service, Department of
Agriculture (Parts 600--699)
VII Farm Service Agency, Department of Agriculture (Parts
700--799)

[[Page 821]]

VIII Grain Inspection, Packers and Stockyards
Administration (Federal Grain Inspection Service),
Department of Agriculture (Parts 800--899)
IX Agricultural Marketing Service (Marketing Agreements
and Orders; Fruits, Vegetables, Nuts), Department
of Agriculture (Parts 900--999)
X Agricultural Marketing Service (Marketing Agreements
and Orders; Milk), Department of Agriculture
(Parts 1000--1199)
XI Agricultural Marketing Service (Marketing Agreements
and Orders; Miscellaneous Commodities), Department
of Agriculture (Parts 1200--1299)
XIV Commodity Credit Corporation, Department of
Agriculture (Parts 1400--1499)
XV Foreign Agricultural Service, Department of
Agriculture (Parts 1500--1599)
XVI Rural Telephone Bank, Department of Agriculture (Parts
1600--1699)
XVII Rural Utilities Service, Department of Agriculture
(Parts 1700--1799)
XVIII Rural Housing Service, Rural Business-Cooperative
Service, Rural Utilities Service, and Farm Service
Agency, Department of Agriculture (Parts 1800--
2099)
XXVI Office of Inspector General, Department of Agriculture
(Parts 2600--2699)
XXVII Office of Information Resources Management, Department
of Agriculture (Parts 2700--2799)
XXVIII Office of Operations, Department of Agriculture (Parts
2800--2899)
XXIX Office of Energy, Department of Agriculture (Parts
2900--2999)
XXX Office of Finance and Management, Department of
Agriculture (Parts 3000--3099)
XXXI Office of Environmental Quality, Department of
Agriculture (Parts 3100--3199)
XXXII [Reserved]
XXXIII Office of Transportation, Department of Agriculture
(Parts 3300--3399)
XXXIV Cooperative State Research, Education, and Extension
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 [Reserved]
XLII Rural Business-Cooperative Service and Rural Utilities
Service, Department of Agriculture (Parts 4200--
4299)

[[Page 822]]

Title 8--Aliens and Nationality

I Immigration and Naturalization Service, Department of
Justice (Parts 1--499)

Title 9--Animals and Animal Products

I Animal and Plant Health Inspection Service, Department
of Agriculture (Parts 1--199)
II Grain Inspection, Packers and Stockyards
Administration (Packers and Stockyards Programs),
Department of Agriculture (Parts 200--299)
III Food Safety and Inspection Service, Meat and Poultry
Inspection, Department of Agriculture (Parts 300--
399)

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)
XI United States Enrichment Corporation (Parts 1100--
1199)
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)

Title 11--Federal Elections

I Federal Election Commission (Parts 1--9099)

Title 12--Banks and Banking

I Comptroller of the Currency, Department of the
Treasury (Parts 1--199)
II Federal Reserve System (Parts 200--299)
III Federal Deposit Insurance Corporation (Parts 300--399)
IV Export-Import Bank of the United States (Parts 400--
499)
V Office of Thrift Supervision, Department of the
Treasury (Parts 500--599)
VI Farm Credit Administration (Parts 600--699)
VII National Credit Union Administration (Parts 700--799)
VIII Federal Financing Bank (Parts 800--899)
IX Federal Housing Finance Board (Parts 900--999)
XI Federal Financial Institutions Examination Council
(Parts 1100--1199)
XIV Farm Credit System Insurance Corporation (Parts 1400--
1499)
XV Thrift Depositor Protection Oversight Board (Parts
1500--1599)
XVII Office of Federal Housing Enterprise Oversight,
Department of Housing and Urban Development (Parts
1700-1799)
XVIII Community Development Financial Institutions Fund,
Department of the Treasury (Parts 1800--1899)

[[Page 823]]

Title 13--Business Credit and Assistance

I Small Business Administration (Parts 1--199)
III Economic Development Administration, Department of
Commerce (Parts 300--399)

Title 14--Aeronautics and Space

I Federal Aviation Administration, Department of
Transportation (Parts 1--199)
II Office of the Secretary, Department of Transportation
(Aviation Proceedings) (Parts 200--399)
III Commercial Space Transportation, Federal Aviation
Administration, Department of Transportation
(Parts 400--499)
V National Aeronautics and Space Administration (Parts
1200--1299)

Title 15--Commerce and Foreign Trade

Subtitle A--Office of the Secretary of Commerce (Parts
0--29)
Subtitle B--Regulations Relating to Commerce and
Foreign Trade
I Bureau of the Census, Department of Commerce (Parts
30--199)
II National Institute of Standards and Technology,
Department of Commerce (Parts 200--299)
III International Trade Administration, Department of
Commerce (Parts 300--399)
IV Foreign-Trade Zones Board, Department of Commerce
(Parts 400--499)
VII Bureau of Export Administration, Department of
Commerce (Parts 700--799)
VIII Bureau of Economic Analysis, Department of Commerce
(Parts 800--899)
IX National Oceanic and Atmospheric Administration,
Department of Commerce (Parts 900--999)
XI Technology Administration, Department of Commerce
(Parts 1100--1199)
XIII East-West Foreign Trade Board (Parts 1300--1399)
XIV Minority Business Development Agency (Parts 1400--
1499)
Subtitle C--Regulations Relating to Foreign Trade
Agreements
XX Office of the United States Trade Representative
(Parts 2000--2099)
Subtitle D--Regulations Relating to Telecommunications
and Information
XXIII National Telecommunications and Information
Administration, Department of Commerce (Parts
2300--2399)

Title 16--Commercial Practices

I Federal Trade Commission (Parts 0--999)
II Consumer Product Safety Commission (Parts 1000--1799)

[[Page 824]]

Title 17--Commodity and Securities Exchanges

I Commodity Futures Trading Commission (Parts 1--199)
II Securities and Exchange Commission (Parts 200--399)
IV Department of the Treasury (Parts 400--499)

Title 18--Conservation of Power and Water Resources

I Federal Energy Regulatory Commission, Department of
Energy (Parts 1--399)
III Delaware River Basin Commission (Parts 400--499)
VI Water Resources Council (Parts 700--799)
VIII Susquehanna River Basin Commission (Parts 800--899)
XIII Tennessee Valley Authority (Parts 1300--1399)

Title 19--Customs Duties

I United States Customs Service, Department of the
Treasury (Parts 1--199)
II United States International Trade Commission (Parts
200--299)
III International Trade Administration, Department of
Commerce (Parts 300--399)

Title 20--Employees' Benefits

I Office of Workers' Compensation Programs, Department
of Labor (Parts 1--199)
II Railroad Retirement Board (Parts 200--399)
III Social Security Administration (Parts 400--499)
IV Employees' Compensation Appeals Board, Department of
Labor (Parts 500--599)
V Employment and Training Administration, Department of
Labor (Parts 600--699)
VI Employment Standards Administration, Department of
Labor (Parts 700--799)
VII Benefits Review Board, Department of Labor (Parts
800--899)
VIII Joint Board for the Enrollment of Actuaries (Parts
900--999)
IX Office of the Assistant Secretary for Veterans'
Employment and Training, Department of Labor
(Parts 1000--1099)

Title 21--Food and Drugs

I Food and Drug Administration, Department of Health and
Human Services (Parts 1--1299)
II Drug Enforcement Administration, Department of Justice
(Parts 1300--1399)
III Office of National Drug Control Policy (Parts 1400--
1499)

Title 22--Foreign Relations

I Department of State (Parts 1--199)

[[Page 825]]

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)
XVII United States Institute of Peace (Parts 1700--1799)

Title 23--Highways

I Federal Highway Administration, Department of
Transportation (Parts 1--999)
II National Highway Traffic Safety Administration and
Federal Highway Administration, Department of
Transportation (Parts 1200--1299)
III National Highway Traffic Safety Administration,
Department of Transportation (Parts 1300--1399)

Title 24--Housing and Urban Development

Subtitle A--Office of the Secretary, Department of
Housing and Urban Development (Parts 0--99)
Subtitle B--Regulations Relating to Housing and Urban
Development
I Office of Assistant Secretary for Equal Opportunity,
Department of Housing and Urban Development (Parts
100--199)
II Office of Assistant Secretary for Housing-Federal
Housing Commissioner, Department of Housing and
Urban Development (Parts 200--299)
III Government National Mortgage Association, Department
of Housing and Urban Development (Parts 300--399)
V Office of Assistant Secretary for Community Planning
and Development, Department of Housing and Urban
Development (Parts 500--599)

[[Page 826]]

VI Office of Assistant Secretary for Community Planning
and Development, Department of Housing and Urban
Development (Parts 600--699) [Reserved]
VII Office of the Secretary, Department of Housing and
Urban Development (Housing Assistance Programs and
Public and Indian Housing Programs) (Parts 700--
799)
VIII Office of the Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and
Urban Development (Section 8 Housing Assistance
Programs 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)
XII Office of Inspector General, Department of Housing and
Urban Development (Parts 2000--2099)
XX Office of Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and
Urban Development (Parts 3200--3699)
XXV Neighborhood Reinvestment Corporation (Parts 4100--
4199)

Title 25--Indians

I Bureau of Indian Affairs, Department of the Interior
(Parts 1--299)
II Indian Arts and Crafts Board, Department of the
Interior (Parts 300--399)
III National Indian Gaming Commission, Department of the
Interior (Parts 500--599)
IV Office of Navajo and Hopi Indian Relocation (Parts
700--799)
V Bureau of Indian Affairs, Department of the Interior,
and Indian Health Service, Department of Health
and Human Services (Part 900)
VI Office of the Assistant Secretary-Indian Affairs,
Department of the Interior (Part 1001)

Title 26--Internal Revenue

I Internal Revenue Service, Department of the Treasury
(Parts 1--799)

Title 27--Alcohol, Tobacco Products and Firearms

I Bureau of Alcohol, Tobacco and Firearms, Department of
the Treasury (Parts 1--299)

Title 28--Judicial Administration

I Department of Justice (Parts 0--199)
III Federal Prison Industries, Inc., Department of Justice
(Parts 300--399)

[[Page 827]]

V Bureau of Prisons, Department of Justice (Parts 500--
599)
VI Offices of Independent Counsel, Department of Justice
(Parts 600--699)
VII Office of Independent Counsel (Parts 700--799)

Title 29--Labor

Subtitle A--Office of the Secretary of Labor (Parts
0--99)
Subtitle B--Regulations Relating to Labor
I National Labor Relations Board (Parts 100--199)
II Office of Labor-Management 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)
XXVII Federal Mine Safety and Health Review Commission
(Parts 2700--2799)
XL Pension Benefit Guaranty Corporation (Parts 4000--
4999)

Title 30--Mineral Resources

I Mine Safety and Health Administration, Department of
Labor (Parts 1--199)
II Minerals Management Service, Department of the
Interior (Parts 200--299)
III Board of Surface Mining and Reclamation Appeals,
Department of the Interior (Parts 300--399)
IV Geological Survey, Department of the Interior (Parts
400--499)
VI Bureau of Mines, Department of the Interior (Parts
600--699)
VII Office of Surface Mining Reclamation and Enforcement,
Department of the Interior (Parts 700--999)

Title 31--Money and Finance: Treasury

Subtitle A--Office of the Secretary of the Treasury
(Parts 0--50)
Subtitle B--Regulations Relating to Money and Finance
I Monetary Offices, Department of the Treasury (Parts
51--199)

[[Page 828]]

II Fiscal Service, Department of the Treasury (Parts
200--399)
IV Secret Service, Department of the Treasury (Parts
400--499)
V Office of Foreign Assets Control, Department of the
Treasury (Parts 500--599)
VI Bureau of Engraving and Printing, Department of the
Treasury (Parts 600--699)
VII Federal Law Enforcement Training Center, Department of
the Treasury (Parts 700--799)
VIII Office of International Investment, Department of the
Treasury (Parts 800--899)

Title 32--National Defense

Subtitle A--Department of Defense
I Office of the Secretary of Defense (Parts 1--399)
V Department of the Army (Parts 400--699)
VI Department of the Navy (Parts 700--799)
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, National
Archives and Records Administration (Parts 2000--
2099)
XXI National Security Council (Parts 2100--2199)
XXIV Office of Science and Technology Policy (Parts 2400--
2499)
XXVII Office for Micronesian Status Negotiations (Parts
2700--2799)
XXVIII Office of the Vice President of the United States
(Parts 2800--2899)
XXIX Presidential Commission on the Assignment of Women in
the Armed Forces (Part 2900)

Title 33--Navigation and Navigable Waters

I Coast Guard, Department of Transportation (Parts 1--
199)
II Corps of Engineers, Department of the Army (Parts
200--399)
IV Saint Lawrence Seaway Development Corporation,
Department of Transportation (Parts 400--499)

Title 34--Education

Subtitle A--Office of the Secretary, Department of
Education (Parts 1--99)
Subtitle B--Regulations of the Offices of the
Department of Education
I Office for Civil Rights, Department of Education
(Parts 100--199)
II Office of Elementary and Secondary Education,
Department of Education (Parts 200--299)

[[Page 829]]

III Office of Special Education and Rehabilitative
Services, Department of Education (Parts 300--399)
IV Office of Vocational and Adult Education, Department
of Education (Parts 400--499)
V Office of Bilingual Education and Minority Languages
Affairs, Department of Education (Parts 500--599)
VI Office of Postsecondary Education, Department of
Education (Parts 600--699)
VII Office of Educational Research and Improvement,
Department of Education (Parts 700--799)
XI National Institute for Literacy (Parts 1100-1199)
Subtitle C--Regulations Relating to Education
XII National Council on Disability (Parts 1200--1299)

Title 35--Panama Canal

I Panama Canal Regulations (Parts 1--299)

Title 36--Parks, Forests, and Public Property

I National Park Service, Department of the Interior
(Parts 1--199)
II Forest Service, Department of Agriculture (Parts 200--
299)
III Corps of Engineers, Department of the Army (Parts
300--399)
IV American Battle Monuments Commission (Parts 400--499)
V Smithsonian Institution (Parts 500--599)
VII Library of Congress (Parts 700--799)
VIII Advisory Council on Historic Preservation (Parts 800--
899)
IX Pennsylvania Avenue Development Corporation (Parts
900--999)
XI Architectural and Transportation Barriers Compliance
Board (Parts 1100--1199)
XII National Archives and Records Administration (Parts
1200--1299)
XIV Assassination Records Review Board (Parts 1400-1499)

Title 37--Patents, Trademarks, and Copyrights

I Patent and Trademark Office, Department of Commerce
(Parts 1--199)
II Copyright Office, Library of Congress (Parts 200--299)
IV Assistant Secretary for Technology Policy, Department
of Commerce (Parts 400--499)
V Under Secretary for Technology, Department of Commerce
(Parts 500--599)

Title 38--Pensions, Bonuses, and Veterans' Relief

I Department of Veterans Affairs (Parts 0--99)

[[Page 830]]

Title 39--Postal Service

I United States Postal Service (Parts 1--999)
III Postal Rate Commission (Parts 3000--3099)

Title 40--Protection of Environment

I Environmental Protection Agency (Parts 1--799)
V Council on Environmental Quality (Parts 1500--1599)

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 People Who Are Blind or
Severely Disabled (Parts 51-1--51-99)
60 Office of Federal Contract Compliance Programs, Equal
Employment Opportunity, Department of Labor (Parts
60-1--60-999)
61 Office of the Assistant Secretary for Veterans
Employment and Training, Department of Labor
(Parts 61-1--61-999)
Subtitle C--Federal Property Management Regulations
System
101 Federal Property Management Regulations (Parts 101-1--
101-99)
105 General Services Administration (Parts 105-1--105-999)
109 Department of Energy Property Management Regulations
(Parts 109-1--109-99)
114 Department of the Interior (Parts 114-1--114-99)
115 Environmental Protection Agency (Parts 115-1--115-99)
128 Department of Justice (Parts 128-1--128-99)
Subtitle D--Other Provisions Relating to Property
Management [Reserved]
Subtitle E--Federal Information Resources Management
Regulations System
201 Federal Information Resources Management Regulation
(Parts 201-1--201-99) [Reserved]
Subtitle F--Federal Travel Regulation System
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)

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)

[[Page 831]]

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)
III Utah Reclamation Mitigation and Conservation
Commission (Parts 10000--10005)

Title 44--Emergency Management and Assistance

I Federal Emergency Management Agency (Parts 0--399)
IV Department of Commerce and Department of
Transportation (Parts 400--499)

Title 45--Public Welfare

Subtitle A--Department of Health and Human Services,
General Administration (Parts 1--199)
Subtitle B--Regulations Relating to Public Welfare
II Office of Family Assistance (Assistance Programs),
Administration for Children and Families,
Department of Health and Human Services (Parts
200--299)
III Office of Child Support Enforcement (Child Support
Enforcement Program), Administration for Children
and Families, Department of Health and Human
Services (Parts 300--399)
IV Office of Refugee Resettlement, Administration for
Children and Families Department of Health and
Human Services (Parts 400--499)
V Foreign Claims Settlement Commission of the United
States, Department of Justice (Parts 500--599)
VI National Science Foundation (Parts 600--699)
VII Commission on Civil Rights (Parts 700--799)
VIII Office of Personnel Management (Parts 800--899)
X Office of Community Services, Administration for
Children and Families, Department of Health and
Human Services (Parts 1000--1099)
XI National Foundation on the Arts and the Humanities
(Parts 1100--1199)
XII 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)
XXI Commission on Fine Arts (Parts 2100--2199)
XXII Christopher Columbus Quincentenary Jubilee Commission
(Parts 2200--2299)
XXIII Arctic Research Commission (Part 2301)

[[Page 832]]

XXIV James Madison Memorial Fellowship Foundation (Parts
2400--2499)
XXV Corporation for National and Community Service (Parts
2500--2599)

Title 46--Shipping

I Coast Guard, Department of Transportation (Parts 1--
199)
II Maritime Administration, Department of Transportation
(Parts 200--399)
III Saint Lawrence Seaway Development Corporation (Great
Lakes Pilotage), Department of Transportation
(Parts 400--499)
IV Federal Maritime Commission (Parts 500--599)

Title 47--Telecommunication

I Federal Communications Commission (Parts 0--199)
II Office of Science and Technology Policy and National
Security Council (Parts 200--299)
III National Telecommunications and Information
Administration, Department of Commerce (Parts
300--399)

Title 48--Federal Acquisition Regulations System

1 Federal Acquisition Regulation (Parts 1--99)
2 Department of Defense (Parts 200--299)
3 Department of Health and Human Services (Parts 300--
399)
4 Department of Agriculture (Parts 400--499)
5 General Services Administration (Parts 500--599)
6 Department of State (Parts 600--699)
7 Agency for International Development (Parts 700--799)
8 Department of Veterans Affairs (Parts 800--899)
9 Department of Energy (Parts 900--999)
10 Department of the Treasury (Parts 1000--1099)
12 Department of Transportation (Parts 1200--1299)
13 Department of Commerce (Parts 1300--1399)
14 Department of the Interior (Parts 1400--1499)
15 Environmental Protection Agency (Parts 1500--1599)
16 Office of Personnel Management Federal Employees
Health Benefits Acquisition Regulation (Parts
1600--1699)
17 Office of Personnel Management (Parts 1700--1799)
18 National Aeronautics and Space Administration (Parts
1800--1899)
19 United States Information Agency (Parts 1900--1999)
20 Nuclear Regulatory Commission (Parts 2000--2099)
21 Office of Personnel Management, Federal Employees
Group Life Insurance Federal Acquisition
Regulation (Parts 2100--2199)
23 Social Security Administration (Parts 2300--2399)

[[Page 833]]

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)
54 Defense Logistics Agency, Department of Defense (Part
5452)
57 African Development Foundation (Parts 5700--5799)
61 General Services Administration Board of Contract
Appeals (Parts 6100--6199)
63 Department of Transportation Board of Contract Appeals
(Parts 6300--6399)
99 Cost Accounting Standards Board, Office of Federal
Procurement Policy, Office of Management and
Budget (Parts 9900--9999)

Title 49--Transportation

Subtitle A--Office of the Secretary of Transportation
(Parts 1--99)
Subtitle B--Other Regulations Relating to
Transportation
I Research and Special Programs Administration,
Department of Transportation (Parts 100--199)
II Federal Railroad Administration, Department of
Transportation (Parts 200--299)
III Federal Highway Administration, Department of
Transportation (Parts 300--399)
IV Coast Guard, Department of Transportation (Parts 400--
499)
V National Highway Traffic Safety Administration,
Department of Transportation (Parts 500--599)
VI Federal Transit Administration, Department of
Transportation (Parts 600--699)
VII National Railroad Passenger Corporation (AMTRAK)
(Parts 700--799)
VIII National Transportation Safety Board (Parts 800--999)
X Surface Transportation Board, Department of
Transportation (Parts 1000--1399)

[[Page 834]]

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)

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
Alphabetical List of Agencies Appearing in the CFR

[[Page 835]]

Alphabetical List of Agencies Appearing in the CFR

(Revised as of September 30, 1996)

CFR Title, Subtitle or
Agency Chapter

ACTION 45, XII
Administrative Committee of the Federal Register 1, I
Advanced Research Projects Agency 32, I
Advisory Commission on Intergovernmental 5, VII
Relations
Advisory Committee on Federal Pay 5, IV
Advisory Council on Historic Preservation 36, VIII
African Development Foundation 22, XV
Federal Acquisition Regulation 48, 57
Agency for International Development 22, II
Federal Acquisition Regulation 48, 7
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agriculture Department
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Animal and Plant Health Inspection Service 7, III; 9, I
Commodity Credit Corporation 7, XIV
Cooperative State Research, Education, and 7, XXXIV
Extension Service
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
Farm Service Agency 7, VII, XVIII
Federal Acquisition Regulation 48, 4
Federal Crop Insurance Corporation 7, IV
Finance and Management, Office of 7, XXX
Food and Consumer Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Forest Service 36, II
Grain Inspection, Packers and Stockyards 7, VIII; 9, II
Administration
Information Resources Management, Office of 7, XXVII
Inspector General, Office of 7, XXVI
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
Natural Resources Conservation Service 7, VI
Operations, Office of 7, XXVIII
Rural Business-Cooperative Service 7, XVIII, XLII
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII
Rural Telephone Bank 7, XVI
Rural Utilities Service 7, XVII, XVIII, XLII
Secretary of Agriculture, Office of 7, Subtitle A
Transportation, Office of 7, XXXIII
World Agricultural Outlook Board 7, XXXVIII
Air Force Department 32, VII
Federal Acquisition Regulation Supplement 48, 53
Alaska Natural Gas Transportation System, Office 10, XV
of the Federal Inspector
Alcohol, Tobacco and Firearms, Bureau of 27, I
AMTRAK 49, VII

[[Page 836]]

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 36, XI
Compliance Board
Arctic Research Commission 45, XXIII
Arms Control and Disarmament Agency, United 22, VI
States
Army Department 32, V
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 51
Assassination Records Review Board 36, XIV
Benefits Review Board 20, VII
Bilingual Education and Minority Languages 34, V
Affairs, Office of
Blind or Severely Disabled, Committee for 41, 51
Purchase From People Who Are
Board for International Broadcasting 22, XIII
Census Bureau 15, I
Central Intelligence Agency 32, XIX
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X
Christopher Columbus Quincentenary Jubilee 45, XXII
Commission
Civil Rights, Commission on 45, VII
Civil Rights, Office for 34, I
Coast Guard 33, I; 46, I; 49, IV
Commerce Department 44, IV
Census Bureau 15, I`
Economic Affairs, Under Secretary 37, V
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Emergency Management and Assistance 44, IV
Export Administration, Bureau of 15, VII
Federal Acquisition Regulation 48, 13
Fishery Conservation and Management 50, VI
Foreign-Trade Zones Board 15, IV
International Trade Administration 15, III; 19, III
National Institute of Standards and Technology 15, II
National Marine Fisheries Service 50, II, IV
National Oceanic and Atmospheric 15, IX; 50, II, III, IV,
Administration VI
National Telecommunications and Information 15, XXIII; 47, III
Administration
National Weather Service 15, IX
Patent and Trademark Office 37, I
Productivity, Technology and Innovation, 37, IV
Assistant Secretary for
Secretary of Commerce, Office of 15, Subtitle A
Technology, Under Secretary for 37, V
Technology Administration 15, XI
Technology Policy, Assistant Secretary for 37, IV
Commercial Space Transportation 14, III
Commodity Credit Corporation 7, XIV
Commodity Futures Trading Commission 5, XLI; 17, I
Community Planning and Development, Office of 24, V, VI
Assistant Secretary for
Community Services, Office of 45, X
Comptroller of the Currency 12, I
Construction Industry Collective Bargaining 29, IX
Commission
Consumer Product Safety Commission 16, II
Cooperative State Research, Education, and 7, XXXIV
Extension Service
Copyright Office 37, II
Cost Accounting Standards Board 48, 99
Council on Environmental Quality 40, V
Customs Service, United States 19, I
Defense Contract Audit Agency 32, I
Defense Department 5, XXVI; 32, Subtitle A
Advanced Research Projects Agency 32, I
Air Force Department 32, VII
Army Department 32, V; 33, II; 36, III,
48, 51

[[Page 837]]

Defense Intelligence Agency 32, I
Defense Logistics Agency 32, I, XII; 48, 54
Defense Mapping Agency 32, I
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 Contract Audit Agency 32, I
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, XII; 48, 54
Defense Mapping Agency 32, I
Defense Nuclear Facilities Safety Board 10, XVII
Delaware River Basin Commission 18, III
Drug Enforcement Administration 21, II
East-West Foreign Trade Board 15, XIII
Economic Affairs, Under Secretary 37, V
Economic Analysis, Bureau of 15, VIII
Economic Analysis Staff 7, XXXIX
Economic Development Administration 13, III
Economics Management Staff 7, XL
Economic Research Service 7, XXXVII
Education, Department of 5, LIII
Bilingual Education and Minority Languages 34, V
Affairs, Office of
Civil Rights, Office for 34, I
Educational Research and Improvement, Office 34, VII
of
Elementary and Secondary Education, Office of 34, II
Federal Acquisition Regulation 48, 34
Postsecondary Education, Office of 34, VI
Secretary of Education, Office of 34, Subtitle A
Special Education and Rehabilitative Services, 34, III
Office of
Vocational and Adult Education, Office of 34, IV
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Employees' Compensation Appeals Board 20, IV
Employees Loyalty Board 5, V
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Endangered Species Committee 50, IV
Energy, Department of 5, XXIII; 10, II, III, X
Federal Acquisition Regulation 48, 9
Federal Energy Regulatory Commission 5, XXIV; 18, I
Property Management Regulations 41, 109
Energy, Office of 7, XXIX
Engineers, Corps of 33, II; 36, III
Engraving and Printing, Bureau of 31, VI
Enrichment Corporation, United States 10, XI
Environmental Protection Agency 5, LIV; 40, I
Federal Acquisition Regulation 48, 15
Property Management Regulations 41, 115
Environmental Quality, Office of 7, XXXI
Equal Employment Opportunity Commission 5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary 24, I
for
Executive Office of the President 3, I
Administration, Office of 5, XV
Environmental Quality, Council on 40, V
Management and Budget, Office of 25, III, LXXVII; 48, 99
National Drug Control Policy, Office of 21, III
National Security Council 32, XXI; 47, 2
Presidential Documents 3
Science and Technology Policy, Office of 32, XXIV; 47, II
Trade Representative, Office of the United 15, XX
States
Export Administration, Bureau of 15, VII
Export-Import Bank of the United States 5, LII; 12, IV
Family Assistance, Office of 45, II
Farm Credit Administration 5, XXXI; 12, VI
Farm Credit System Insurance Corporation 5, XXX; 12, XIV

[[Page 838]]

Farm Service Agency 7, VII, XVIII
Farmers Home Administration 7, XVIII
Federal Acquisition Regulation 48, 1
Federal Aviation Administration 14, I
Commercial Space Transportation 14, III
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 5, XXII; 12, III
Federal Election Commission 11, I
Federal Emergency Management Agency 44, I
Federal Acquisition Regulation 48, 44
Federal Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition 48, 16
Regulation
Federal Energy Regulatory Commission 5, XXIV; 18, I
Federal Financial Institutions Examination 12, XI
Council
Federal Financing Bank 12, VIII
Federal Highway Administration 23, I, II; 49, III
Federal Home Loan Mortgage Corporation 1, IV
Federal Housing Enterprise Oversight Office 12, XVII
Federal Housing Finance Board 12, IX
Federal Inspector for the Alaska Natural Gas 10, XV
Transportation System, Office of
Federal Labor Relations Authority, and General 5, XIV; 22, XIV
Counsel of the Federal Labor Relations
Authority
Federal Law Enforcement Training Center 31, VII
Federal Maritime Commission 46, IV
Federal Mediation and Conciliation Service 29, XII
Federal Mine Safety and Health Review Commission 5, LXXIV; 29, XXVII
Federal Pay, Advisory Committee on 5, IV
Federal Prison Industries, Inc. 28, III
Federal Procurement Policy Office 48, 99
Federal Property Management Regulations 41, 101
Federal Property Management Regulations System 41, Subtitle C
Federal Railroad Administration 49, II
Federal Register, Administrative Committee of 1, I
Federal Register, Office of 1, II
Federal Reserve System 12, II
Federal Retirement Thrift Investment Board 5, VI, LXXVI
Federal Service Impasses Panel 5, XIV
Federal Trade Commission 5, XLVII; 16, I
Federal Transit Administration 49, VI
Federal Travel Regulation System 41, Subtitle F
Finance and Management, Office of 7, XXX
Fine Arts, Commission on 45, XXI
Fiscal Service 31, II
Fish and Wildlife Service, United States 50, I, IV
Fishery Conservation and Management 50, VI
Fishing and Whaling, International Regulatory 50, III
Agencies
Food and Drug Administration 21, I
Food and Consumer Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Assets Control, Office of 31, V
Foreign Claims Settlement Commission of the 45, V
United States
Foreign Service Grievance Board 22, IX
Foreign Service Impasse Disputes Panel 22, XIV
Foreign Service Labor Relations Board 22, XIV
Foreign-Trade Zones Board 15, IV
Forest Service 36, II
General Accounting Office 4, I, II
General Services Administration
Contract Appeals, Board of 48, 61
Federal Acquisition Regulation 48, 5
Federal Property Management Regulations System 41, 101, 105

[[Page 839]]

Federal Travel Regulation System 41, Subtitle F
Payment From a Non-Federal Source for Travel 41, 304
Expenses
Payment of Expenses Connected With the Death 41, 303
of Certain Employees
Relocation Allowances 41, 302
Travel Allowances 41, 301
Geological Survey 30, IV
Government Ethics, Office of 5, XVI
Government National Mortgage Association 24, III
Grain Inspection, Packers and Stockyards 7, VIII; 9, II
Administration
Great Lakes Pilotage 46, III
Harry S. Truman Scholarship Foundation 45, XVIII
Health and Human Services, Department of 5, XLV; 45, Subtitle A
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Federal Acquisition Regulation 48, 3
Food and Drug Administration 21, I
Health Care Financing Administration 42, IV
Human Development Services, Office of 45, XIII
Indian Health Service 25, V
Inspector General (Health Care), Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IV
Health Care Financing Administration 42, IV
Housing and Urban Development, Department of 5, LXV; 24, Subtitle B
Community Planning and Development, Office of 24, V, VI
Assistant Secretary for
Equal Opportunity, Office of Assistant 24, I
Secretary for
Federal Acquisition Regulation 48, 24
Federal Housing Enterprise Oversight, Office 12, XVII
of
Government National Mortgage Association 24, III
Housing--Federal Housing Commissioner, Office 24, II, VIII, X, XX
of Assistant Secretary for
Inspector General, Office of 24, XII
Public and Indian Housing, Office of Assistant 24, IX
Secretary for
Secretary, Office of 24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of 24, II, VIII, X, XX
Assistant Secretary for
Human Development Services, Office of 45, XIII
Immigration and Naturalization Service 8, I
Independent Counsel, Office of 28, VII
Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant 25, VI
Secretary
Indian Arts and Crafts Board 25, II
Indian Health Service 25, V
Information Agency, United States 22, V
Federal Acquisition Regulation 48, 19
Information Resources Management, Office of 7, XXVII
Information Security Oversight Office, National 32, XX
Archives and Records Administration
Inspector General
Agriculture Department 7, XXVI
Health and Human Services Department 42, V
Housing and Urban Development Department 24, XII
Institute of Peace, United States 22, XVII
Inter-American Foundation 5, LXIII; 22, X
Intergovernmental Relations, Advisory Commission 5, VII
on
Interior Department
Endangered Species Committee 50, IV
Federal Acquisition Regulation 48, 14
Federal Property Management Regulations System 41, 114
Fish and Wildlife Service, United States 50, I, IV
Geological Survey 30, IV
Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant 25, VI
Secretary
[[Page 840]]

Indian Arts and Crafts Board 25, II
Land Management, Bureau of 43, II
Minerals Management Service 30, II
Mines, Bureau of 30, VI
National Indian Gaming Commission 25, III
National Park Service 36, I
Reclamation, Bureau of 43, I
Secretary of the Interior, Office of 43, Subtitle A
Surface Mining and Reclamation Appeals, Board 30, III
of
Surface Mining Reclamation and Enforcement, 30, VII
Office of
Internal Revenue Service 26, I
International Boundary and Water Commission, 22, XI
United States and Mexico, United States
Section
International Development, Agency for 22, II
Federal Acquisition Regulation 48, 7
International Development Cooperation Agency, 22, XII
United States
International Development, Agency for 22, II; 48, 7
Overseas Private Investment Corporation 5, XXXIII; 22, VII
International Investment, Office of 31, VIII
International Joint Commission, United States 22, IV
and Canada
International Organizations Employees Loyalty 5, V
Board
International Regulatory Agencies (Fishing and 50, III
Whaling)
International Trade Administration 15, III; 19, III
International Trade Commission, United States 19, II
Interstate Commerce Commission 5, XL
James Madison Memorial Fellowship Foundation 45, XXIV
Japan-United States Friendship Commission 22, XVI
Joint Board for the Enrollment of Actuaries 20, VIII
Justice Department 28, I
Drug Enforcement Administration 21, II
Federal Acquisition Regulation 48, 28
Federal Claims Collection Standards 4, II
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the 45, V
United States
Immigration and Naturalization Service 8, I
Offices of Independent Counsel 28, VI
Prisons, Bureau of 28, V
Property Management Regulations 41, 128
Labor Department
Benefits Review Board 20, VII
Employees' Compensation Appeals Board 20, IV
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Federal Acquisition Regulation 48, 29
Federal Contract Compliance Programs, Office 41, 60
of
Federal Procurement Regulations System 41, 50
Labor-Management Relations and Cooperative 29, II
Programs, Bureau of
Labor-Management Programs, 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 41, 61; 20, IX
the Assistant Secretary for
Wage and Hour Division 29, V
Workers' Compensation Programs, Office of 20, I
Labor-Management Relations and Cooperative 29, II
Programs, Bureau of
Labor-Management Programs, Office of 29, IV
Land Management, Bureau of 43, II
Legal Services Corporation 45, XVI
Library of Congress 36, VII
Copyright Office 37, II

[[Page 841]]

Management and Budget, Office of 5, III, LXXVII; 48, 99
Marine Mammal Commission 50, V
Maritime Administration 46, II
Merit Systems Protection Board 5, II
Micronesian Status Negotiations, Office for 32, XXVII
Mine Safety and Health Administration 30, I
Minerals Management Service 30, II
Mines, Bureau of 30, VI
Minority Business Development Agency 15, XIV
Miscellaneous Agencies 1, IV
Monetary Offices 31, I
National Aeronautics and Space Administration 5, LIX; 14, V
Federal Acquisition Regulation 48, 18
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National Archives and Records Administration 5, LXVI; 36, XII
Information Security Oversight Office 32, XX
National Bureau of Standards 15, II
National Capital Planning Commission 1, IV
National Commission for Employment Policy 1, IV
National Commission on Libraries and Information 45, XVII
Science
National and Community Service, Corporation for 45, XXV
National Council on Disability 34, XII
National Credit Union Administration 12, VII
National Drug Control Policy, Office of 21, III
National Foundation on the Arts and the 45, XI
Humanities
National Highway Traffic Safety Administration 23, II, III; 49, V
National Indian Gaming Commission 25, III
National Institute for Literacy 34, XI
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
Federal Acquisition Regulation 48, 25
National Security Council 32, XXI
National Security Council and Office of Science 47, II
and Technology Policy
National Telecommunications and Information 15, XXIII; 47, III
Administration
National Transportation Safety Board 49, VIII
National Weather Service 15, IX
Natural Resources Conservation Service 7, VI
Navajo and Hopi Indian Relocation, Office of 25, IV
Navy Department 32, VI
Federal Acquisition Regulation 48, 52
Neighborhood Reinvestment Corporation 24, XXV
Nuclear Regulatory Commission 5, XLVIII; 10, I
Federal Acquisition Regulation 48, 20
Occupational Safety and Health Administration 29, XVII
Occupational Safety and Health Review Commission 29, XX
Offices of Independent Counsel 28, VI
Operations Office 7, XXVIII
Overseas Private Investment Corporation 5, XXXIII; 22, VII
Panama Canal Commission 48, 35
Panama Canal Regulations 35, I
Patent and Trademark Office 37, I
Payment From a Non-Federal Source for Travel 41, 304
Expenses
Payment of Expenses Connected With the Death of 41, 303
Certain Employees
Peace Corps 22, III
Pennsylvania Avenue Development Corporation 36, IX
Pension and Welfare Benefits Administration 29, XXV

[[Page 842]]

Pension Benefit Guaranty Corporation 29, XL
Personnel Management, Office of 5, I; 45, VIII
Federal Acquisition Regulation 48, 17
Federal Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition 48, 16
Regulation
Postal Rate Commission 5, XLVI; 39, III
Postal Service, United States 5, LX; 39, I
Postsecondary Education, Office of 34, VI
President's Commission on White House 1, IV
Fellowships
Presidential Commission on the Assignment of 32, XXIX
Women in the Armed Forces
Presidential Documents 3
Prisons, Bureau of 28, V
Productivity, Technology and Innovation, 37, IV
Assistant Secretary
Public Contracts, Department of Labor 41, 50
Public and Indian Housing, Office of Assistant 24, IX
Secretary for
Public Health Service 42, I
Railroad Retirement Board 20, II
Reclamation, Bureau of 43, I
Refugee Resettlement, Office of 45, IV
Regional Action Planning Commissions 13, V
Relocation Allowances 41, 302
Research and Special Programs Administration 49, I
Rural Business-Cooperative Service 7, XVIII, XLII
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII
Rural Telephone Bank 7, XVI
Rural Utilities Service 7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation 33, IV; 46, III
Science and Technology Policy, Office of 32, XXIV
Science and Technology Policy, Office of, and 47, II
National Security Council
Secret Service 31, IV
Securities and Exchange Commission 17, II
Selective Service System 32, XVI
Small Business Administration 13, I
Smithsonian Institution 36, V
Social Security Administration 20, III; 48, 23
Soldiers' and Airmen's Home, United States 5, XI
Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, 34, III
Office of
State Department 22, I
Federal Acquisition Regulation 48, 6
Surface Mining and Reclamation Appeals, Board of 30, III
Surface Mining Reclamation and Enforcement, 30, VII
Office of
Surface Transportation Board 49, X
Susquehanna River Basin Commission 18, VIII
Technology Administration 15, XI
Technology Policy, Assistant Secretary for 37, IV
Technology, Under Secretary for 37, V
Tennessee Valley Authority 5, LXIX; 18, XIII
Thrift Depositor Protection Oversight Board 12, XV
Thrift Supervision Office, Department of the 12, V
Treasury
Trade Representative, United States, Office of 15, XX
Transportation, Department of 5, L
Coast Guard 33, I; 46, I; 49, IV
Commercial Space Transportation 14, III
Contract Appeals, Board of 48, 63
Emergency Management and Assistance 44, IV
Federal Acquisition Regulation 48, 12
Federal Aviation Administration 14, I
Federal Highway Administration 23, I, II; 49, III
Federal Railroad Administration 49, II
Federal Transit Administration 49, VI
Maritime Administration 46, II

[[Page 843]]

National Highway Traffic Safety Administration 23, II, III; 49, V
Research and Special Programs Administration 49, I
Saint Lawrence Seaway Development Corporation 33, IV; 46, III
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Surface Transportation Board 49, X
Transportation, Office of 7, XXXIII
Travel Allowances 41, 301
Treasury Department 5, XXI; 17, IV
Alcohol, Tobacco and Firearms, Bureau of 27, I
Community Development Financial Institutions 12, XVIII
Fund
Comptroller of the Currency 12, I
Customs Service, United States 19, I
Engraving and Printing, Bureau of 31, VI
Federal Acquisition Regulation 48, 10
Federal Law Enforcement Training Center 31, VII
Fiscal Service 31, II
Foreign Assets Control, Office of 31, V
Internal Revenue Service 26, I
International Investment, Office of 31, VIII
Monetary Offices 31, I
Secret Service 31, IV
Secretary of the Treasury, Office of 31, Subtitle A
Thrift Supervision, Office of 12, V
Truman, Harry S. Scholarship Foundation 45, XVIII
United States and Canada, International Joint 22, IV
Commission
United States and Mexico, International Boundary 22, XI
and Water Commission, United States Section
United States Enrichment Corporation 10, XI
Utah Reclamation Mitigation and Conservation 43, III
Commission
Veterans Affairs Department 38, I
Federal Acquisition Regulation 48, 8
Veterans' Employment and Training, Office of the 41, 61; 20, IX
Assistant Secretary for
Vice President of the United States, Office of 32, XXVIII
Vocational and Adult Education, Office of 34, IV
Wage and Hour Division 29, V
Water Resources Council 18, VI
Workers' Compensation Programs, Office of 20, I
World Agricultural Outlook Board 7, XXXVIII

[[Page 845]]

List of CFR Sections Affected

All changes in this volume of the Code of Federal Regulations which were
made by documents published in the Federal Register since January 1,
1986, are enumerated in the following list. Entries indicate the nature
of the changes effected. Page numbers refer to Federal Register pages.
The user should consult the entries for chapters and parts as well as
sections for revisions.
For the period before January 1, 1986, see the ``List of CFR Sections
Affected, 1949-1963, 1964-1972, and 1973-1985'' published in seven
separate volumes.

1986

49 CFR
51 FR
Page
Chapter II
212.221 (a) amendment suspended.....................................757
(a) suspension removed..........................................3975
212.223 New (a)(2) addition suspended...............................757
(a)(2) suspension removed.......................................3975
217.13 (d) suspended................................................757
(d) suspension removed..........................................3975
217 Appendix amendment suspended....................................757
Appendix suspension removed.....................................3975
218 Authority citation revised....................................25185
218.5 (a) Note revised............................................25186
219 Addition suspended..............................................757
Suspension removed..............................................3975
219.11 (a) and (f) amended.........................................3975
219.201 (a) amended................................................3975
219.501 (a) amended................................................3975
221 Authority citation revised....................................25185
221.5 (i) added...................................................25185
221.13 Revised....................................................25185
221.14 Redesignated from 221.15 and revised.......................25185
221.15 Redesignated as 221.14; new 221.15 added...................25185
221.16 Added......................................................25185
221 Appendix C revised............................................25186
225 Authority citation revised....................................47019
225.5 (b)(2) revised..............................................47019
225.7 (a) revised.................................................47019
225.17 (d) revision suspended.......................................757
(d) suspension removed..........................................3975
225.19 (b) and (c) amended........................................47019
225 Appendix A revised............................................47019
232.13 (b), (c)(1), and (d)(1) and (2)(i) revised; (g) and (h)
added......................................................17303
232.19 Added......................................................17303
Chapter III
301 Authority citation revised....................................12620
301.50 Revised....................................................12620
301.60 Revised....................................................12620
387 Authority citation revised....................................22083
387.5 Amended; interim............................................33856
387.7 (d)(1) and (2) amended; (d)(3) added; interim...............22083
387.15 Amended; interim...........................................33856
388 Authority citation revised....................................12621
388.4 Revised.....................................................12621
388.5 (b) nomenclature change.....................................12621
388.6 Nomenclature change.........................................12621
388.7 Amended.....................................................12621
388.8 Revised.....................................................12621
389 Authority citation revised....................................12621
389.1 Revised.....................................................12621
389.3 Amended.....................................................12621
389.11 Revised....................................................12621
390 Authority citation revised....................................12621

[[Page 846]]

390.28 Revised....................................................12621
390.40 Introductory text revised..................................12621
391 Authority citation revised.............................12621, 17571
391.15 (c)(3)(ii) revised..........................................8200
391.41 (b)(12) revised............................................17571
391.49 (a), (b), (e)(1) introductory text, (i), and (ii), (g),
(h), (i), (j), and (k) nomenclature change.................12621
394 Authority citation revised..............................6125, 12622
394.3 (a) (2) and (3) revised......................................6125
394.9 (a) revised..................................................6125
(d) amended....................................................12622
395 Authority citation revised....................................12622
395.8 (k)(2) amended..............................................12622
395.13 (c)(2) amended.............................................12622

1987

49 CFR
52 FR
Page
Chapter II
219.5 (b) removed.................................................10575
219.205 (c) and (d) revised.......................................10576
219.211 (a)(1) revised............................................10576
219 Appendix B added..............................................10576
Chapter III
310 Removed.......................................................22474
383 Added.........................................................20587
383.37 Introductory text corrected................................32926
391.11 (b)(7) revised.............................................20589
391.21 (b)(10) amended; (b)(11) redesignated as (b)(12); new
(b)(11) added..............................................20589
391.27 (e) added..................................................20589
392 Authority citation revised....................................27201
392.5 (c), (d) and (e) added......................................27201
393 Authority citation revised.....................................2803
393.42 Revised.....................................................2803
394.3 (a)(3) revised...............................................7278
395 Authority citation revised....................................41721
395.1 Revised.....................................................41721
(a) introductory text corrected................................44520
395.2 (a)(9) added................................................41721
395.3 (b), (c), and (e) revised...................................41721
395.8 (d) and (l)(1)(ii) revised; (l)(1) introductory text
republished................................................41721
350--399 (Subchapter B) Appendix D heading revised; Appendix E
added......................................................20590

1988

49 CFR
53 FR
Page
Chapter II
209 Authority citation revised....................................28596
Authority citation revised.....................................52920
209.1 Introductory text, (a), (b) and (c) amended.................52920
209 Appendix A revised; interim...................................28596
Appendix A revised.............................................52920
213 Authority citation revised....................................28598
213.15 (a) revised; interim.......................................28598
(a) designation and (b) removed; section amended...............52924
213 Appendix B amended; interim...................................28599
Appendix B revised.............................................52924
215 Authority citation revised....................................28599
215.7 Revised; interim............................................28599
Amended........................................................52925
215 Appendix B amended; interim...................................28599
Appendix B revised.............................................52925
216 Authority citation revised....................................28599
Authority citation revised.....................................52927
216.7 Revised; interim............................................28599
217 Authority citation revised....................................28599
Authority citation revised.....................................47131
217.5 Revised; interim............................................28599
Amended........................................................52927
217.13 (d) introductory text revised; (d)(5) added................47131
217 Appendix A amended; interim...................................28599
Appendix A revised.............................................52927
218 Authority citation revised....................................28599
218.3 (b)(2) revised; interim.....................................28599
218.9 Revised; interim............................................28599
Amended........................................................52928
218.41 Revised....................................................52928

[[Page 847]]

218 Appendix A amended; interim...................................28600
Appendix A revised.............................................52928
219 Authority citation revised....................................28600
219.3 (a)(2) amended; interim.....................................28600
(c) added......................................................47128
219.9 (d) added; interim..........................................28600
(a)(1) revised; (a)(5) redesignated as (a)(7); (a)
introductory text and new (7) republished; (a) (5) and (6) added
47128
(d) amended....................................................52928
219.102 Added.....................................................47128
219.601--219.609 (Subpart G) Added................................47128
219.701--219.711 (Subpart H) Added................................47130
219 Appendix A amended; interim...................................28600
Appendix A amended.............................................47131
Appendix B revised.............................................47819
Appendix A revised.............................................52928
220 Authority citation revised....................................28600
220.3 (b)(2) revised; interim.....................................28600
220.7 Revised; interim............................................28600
Amended........................................................52930
220 Appendix C amended; interim...................................28600
Appendix C revised.............................................52930
221 Authority citation revised....................................28600
221.3 (b)(3) revised; interim.....................................28600
221.7 Revised; interim............................................28600
Amended........................................................52930
221 Appendix C amended; interim...................................28600
Appendix C revised.............................................52930
223 Authority citation revised....................................28600
223.3 (b)(2) revised; interim.....................................28600
223.7 Revised; interim............................................28601
Amended........................................................52930
223 Appendix B amended; interim...................................28601
Appendix B revised.............................................52930
225 Authority citation revised....................................28601
225.1 Amended; interim............................................28601
225.5 (a) revised; interim........................................28601
Introductory text and (b) introductory text republished;
(b)(2) revised.....................................................48548
225.19 (b) and (c) amended........................................48548
225.29 Revised; interim...........................................28601
Amended........................................................52931
225 Appendix B amended; interim...................................28601
Appendix A revised.............................................48548
Appendix B revised.............................................52931
228 Authority citation revised....................................28601
Authority citation revised.....................................52931
228 Interim rules following 228.107 removed; Appendix A amended;
interim....................................................28601
228.21 Revised....................................................52931
228.23 Revised....................................................52931
228 Appendix B added..............................................52931
229 Authority citation revised....................................28601
229.7 (b) revised; interim........................................28601
(b) amended....................................................52931
229 Appendix B amended; interim...................................28601
Appendix B revised.............................................52931
230 Authority citation revised....................................28602
230.0 (a) revised; interim........................................28602
231 Authority citation revised....................................28602
231.0 Added; interim..............................................28602
Amended........................................................52933
231 Appendix A added; interim.....................................28602
Appendix A added...............................................52933
232 Authority citation revised....................................28602
Authority citation revised.....................................52934
232.0 Added; interim..............................................28602
Amended........................................................52934
232 Appendix designated as Appendix B; Appendix A added; interim
28602
Appendix A revised.............................................52934
233 Authority citation revised....................................28602
233.11 Revised; interim...........................................28602
Amended........................................................52936
233 Appendix A added..............................................52936
235 Authority citation revised....................................28602
235.9 Revised; interim............................................28602
Amended........................................................52936
235 Appendix A added..............................................52936
236 Authority citation revised....................................28603
236.0 Heading revised; (f) added..................................52936

[[Page 848]]

236.110 Revised; eff. 12-21-88....................................37313
236.587 (d) revised; eff. 12-21-88................................37313
236 Appendix A revised; interim...................................28603
Appendix A revised.............................................52936
Chapter III
301.60 Removed.....................................................2035
350 Auhority citation revised.....................................15846
350.21 (e)(2) revised.............................................15846
383 Waivers granted in part.......................................37313
383.1 (b) (4) and (5) amended; (b) (6) through (11) added.........27648
383.5 Amended.....................................................27648
Amended........................................................39050
383.23 Added; eff. 4-1-92.........................................27649
383.51 (b) revised; (d) added.....................................39050
383.71--383.77 (Subpart E) Added..................................27649
383.72 Added......................................................39051
383.91--383.95 (Subpart F) Added..................................27651
383.110--383.121 (Subpart G) Added................................27654
383.131--383.135 (Subpart H) Added................................27657
383.131 (a)(1) revised............................................39051
383.151--383.155 (Subpart J) Added................................27657
385 Revised.......................................................50968
386 Authority citation revised.....................................2036
386.1 Amended......................................................2036
386.2 Amended......................................................2036
386.11 (a) nomenclature change.....................................2036
386.48 Nomenclature change.........................................2036
386.54 (b)(6) revised..............................................2036
386.72 (b) (1) and (2) amended.....................................2036
(b)(2) revised.................................................50970
387 Authority citation revised....................................47543
387.5 Amendment at 51 FR 33856 confirmed..........................12160
387.15 Amendment at 51 FR 33856 confirmed.........................12160
387.41 Revised....................................................47543
389 Authority citation revised.....................................2036
389.1 Amended......................................................2036
389.3 Amended......................................................2036
389.5 Amended......................................................2036
389.7 Amended......................................................2036
389.11 Amended.....................................................2036
389.13 Nomenclature change.........................................2036
389.17 (b) nomenclature change.....................................2036
389.25 Nomenclature change.........................................2036
389.27 (b) nomenclature change.....................................2036
389.29 Nomenclature change.........................................2036
389.31 (a) nomenclature change; (b)(1) amended.....................2036
389.33 Nomenclature change; (a) revised............................2036
389.35 Nomenclature change; (a) amended............................2036
389.37 Nomenclature change.........................................2036
389.38 Removed.....................................................2036
390 Revised; eff. 11-15-88........................................18052
390.5 Amended..............................................39051, 47543
390.21 (b)(2) correctly revised; eff. 11-15-88....................27689
(b)(4) revised.................................................47543
390.27 Revised....................................................47543
391 Authority citation revised....................................18056
Waivers granted in part........................................37313
391.1 (b) removed; (c) redesignated as (b); eff. 11-15-88.........18057
391.2 (a), (b), (c), and (f) removed; (d) and (e) redesignated as
(a) and (b); eff. 11-15-88.................................18057
(c) reinstated.................................................47544
391.3 Removed; eff. 11-15-88......................................18057
391.5 Removed; eff. 11-15-88......................................18057
391.7 Removed; eff. 11-15-88......................................18057
391.15 (c)(2)(i) footnote 1 amended; eff. 11-15-88................18057
(c) revised....................................................39051
391.35 (e) footnote 1 amended; eff. 11-15-88......................18057
391.41 (b)(12) footnote 1 amended; eff. 11-15-88..................18057
(b)(12) revised................................................47154
391.43 (e) amended; eff. 11-15-88.................................18057
(c) and (e) amended............................................47154
391.51 (g) amended; eff. 11-15-88.................................18057
391.61 Amended; eff. 11-15-88.....................................18057
391.62 Removed; eff. 11-15-88.....................................18057
391.63 (a) amended; eff. 11-15-88.................................18057
391.65 (a)(2)(iii) revised; eff. 11-15-88.........................18057
391.67 Introductory text amended; eff. 11-15-88...................18057
391.69 (b) amended; eff. 11-15-88.................................18057

[[Page 849]]

391.71 (a), (b) introductory text, and (1) amended; eff. 11-15-88
18057
391.81--391.123 (Subpart H) Added.................................47151
392 Authority citation revised....................................18057
392.1 Revised; eff. 11-15-88......................................18057
392.4 (a)(1) footnote 1 amended; eff. 11-15-88....................18057
392.5 (a)(2) revised..............................................39052
393 Authority citation revised....................................18057
Authority citation revised.....................................49384
393.1 Revised; eff. 11-15-88......................................18057
393.1--393.5 (Subpart A) Revised..................................49384
393.2 Removed; eff. 11-15-88......................................18057
393.11 Revised....................................................49385
393.12--393.16 Removed............................................49385
393.18 Removed....................................................49397
393.19 Revised....................................................49397
393.24 (c) footnote amended.......................................49397
393.25 (c) introductory text, (2), (3), and (d) introductory text
amended; (e) removed; (f) and (g) redesignated as (e) and
(f)........................................................49397
393.26 (d) removed; (e) redesignated as (d); (b) and (c) revised
49397
393.27 Revised....................................................49397
393.28 Revised....................................................49397
393.31 Existing text designated as (a) and (b); new (b) revised
49397
393.41 (a) revised................................................49398
393.42 Amended....................................................49398
393.44 Revised....................................................49400
393.45 (b), (c), and (d) revised..................................49400
393.46 (f) added..................................................49400
393.50 (a) revised; (c) removed...................................49400
393.51 (c) introductory text, (d) introductory text, and (e)
amended; (g) removed.......................................49400
393.67 (f) revised................................................49400
393.69 (a) introductory text amended..............................49400
393.71 (h) (7) and (9) revised; (i) removed.......................49400
393.75 (f)(1) revised; eff. 11-15-88..............................18057
(a) and (f), and footnote 1 revised; Table I removed; Table II
redesignated as Table I............................................49401
393.76 (e)(2)(iv) revised; (e)(2)(v) removed......................49401
393.77 (a) removed; (b) and (c) redesignated as (a) and (b); new
(b) (5) and (11) revised...................................49401
393.83 Revised....................................................49401
393.84 Revised....................................................49401
393.87 Revised....................................................49401
393.89 Amended....................................................49402
393.91 Revised....................................................49402
393.201--393.209 (Subpart J) Added................................49402
394 Authority citation revised....................................18057
394.1 (c) revised; eff. 11-15-88..................................18057
394.3 (b)(3) amended; eff. 11-15-88...............................18057
(a) introductory text correctly revised; eff. 11-15-88.........27689
394.5 Removed; eff. 11-15-88......................................18058
394.7 (a) amended; eff. 11-15-88..................................18058
(b)(11) added..................................................47154
394.9 (a) and (d) amended.........................................18058
(b) revised....................................................47154
394.20 (a) and (b) amended........................................47154
395 Authority citation revised.............................18058, 38670
395.1 Removed; eff. 11-15-88......................................18058
395.2 (f) and (j) removed; (g) through (i) redesignated as (f)
through (h); eff. 11-15-88.................................18058
(k) correctly designated as (i)................................44589
(k) redesignated as (i)........................................47544
(k) added; eff. 10-31-88.......................................38670
395.3 (a)(3) amended; eff. 11-15-88...............................18058
395.8 (f)(11), (h)(2), (k)(2) amended; (l)(2) removed; (l)(3)
redesignated as (l)(2); eff. 11-15-88......................18058
(a) and (e) revised; eff. 10-31-88.............................38670
395.13 (c)(2) amended; eff. 11-15-88..............................18058
(b)(2) revised; eff. 10-31-88..................................38670
(b)(2) revised.................................................47544
395.15 Added; eff. 10-31-88.......................................38670
396 Authority citation revised....................................18058
Authority citation revised.....................................49410

[[Page 850]]

396.1 (a) designation and (b) removed; eff. 11-15-88..............18058
396.3 (c) removed; (d) redesignated as (c); eff. 11-15-88.........18058
396.11 (d) revised; eff. 11-15-88.................................18058
396.15 Heading and (a) revised; eff. 3-7-90.......................49410
Eff. date corrected to 12-7-89.................................49968
396.17 Added; eff. 3-7-90.........................................49410
Eff. date corrected to 12-7-89.................................49968
396.19 Added; eff. 3-7-90.........................................49410
Eff. date corrected to 12-7-89.................................49968
396.21 Added; eff. 3-7-90.........................................49410
Eff. date corrected to 12-7-89.................................49968
396.23 Added; eff. 3-7-90.........................................49410
Eff. date corrected to 12-7-89.................................49968
397 Authority citation revised....................................18058
397.1 (c) removed; eff. 11-15-88..................................18058
397.19 (b) amended; eff. 11-15-88.................................18058
397.21 Removed; eff. 11-15-88.....................................18058
350--399 (Subchapter B) Appendix F added; eff. 11-15-88...........18058
Appendix G added; eff. 3-7-90..................................49411
Appendix G effective date corrected to 12-7-89.................49968

1989

49 CFR
54 FR
Page
Chapter II
209.1 (b) revised.................................................42905
209.3 (e) revised; (f) through (i) added..........................42906
209.5 (d) and (e) revised.........................................42906
209.6 Added.......................................................42906
209.7 (a) and (b) revised.........................................42906
209.8 Added.......................................................42906
209.9 Revised.....................................................42906
209.13 Revised....................................................42906
209.15 Revised....................................................42907
209.17 Added......................................................42907
209.301--209.335 (Subpart D) Added................................42907
210.3 (a) revised.................................................33228
215.5 (f) revised.................................................33228
216.1 (a)(2) revised..............................................33229
217 Authority citation revised....................................53279
217.3 (b)(2) revised..............................................33229
217.13 (d) revised................................................53279
218.5 (n) added; eff. 1-1-90......................................39545
218.51--218.61 (Subpart D) Added...................................5492
218.71--218.80 (Subpart E) Added; eff. 1-1-90.....................39545
218 Appendix A amended; Appendix B added...........................5492
219 Random drug testing implementation guidance availability......35879
Revised........................................................53259
219.3 (c) revised.................................................22284
(c) revised....................................................52945
219.102 Revised...................................................22284
219.601 (a) and (d)(2) revised....................................22284
(b) introductory text republished; (b)(1) revised; eff. 1-16-
90.................................................................39644
219.701 (a) revised........................................22285, 39645
219.711 (c)(1) revised.....................................22285, 39645
219 Appendix A revised; eff. 10-1-89..............................39716
Appendix B corrected...........................................40879
225.1 Amended.....................................................33229
225.17 (d) revised................................................53279
228.3 Revised.....................................................33229
228.5 Revised.....................................................33229
229.3 Revised.....................................................33229
229.5 (c) revised; (l) redesignated as (m); new (l) added.........33229
231.0 Revised.....................................................33229
232.0 Revised.....................................................33230
Chapter III
325.7 Table 1 revised.............................................50385
325.13 Nomenclature change........................................50385
325.33 (a) amended................................................50385
325.53 (a)(1) amended.............................................50385
325.73 Table 2 amended............................................50385
383 Waiver granted in part........................................33230
383.1 (b) (2) and (5) revised.....................................40787
383.5 Amended.....................................................40787
383.23 (b) amended; footnote 1 added..............................22285
383.31 (a), (b), and (c)(4) revised...............................40787
383.33 Revised....................................................40788
383.51--383.53 (Subpart D) Heading revised........................40788
383.51 (b)(1), (3) (i) through (v), and (c) (1) and (2) revised
40788

[[Page 851]]

383.73 (g) revised................................................40788
383.91 (c)(3) revised; figure 1 amended...........................47989
385 Determination of status........................................7191
386 Determination of status........................................7191
387.7 (b)(3) added................................................49092
387.15 Introductory text revised..................................49092
387.31 (b)(3) added...............................................49092
387.39 Introductory text amended..................................49093
390 Determination of status........................................7191
Comment time extended..........................................28818
390.3 (f)(6), (g), and (h) removed; (f)(7) redesignated as (f)(6)
12202
391 Determination of status........................................7191
Comment time extended..........................................28818
391.2 (d) added...................................................12202
391.15 (c)(2)(iv) revised.........................................40788
391.43 (c), (d), and (e) redesignated as (d), (e), and (f); new
(c) added; new (f)(3) revised..............................12202
391.45 Introductory text, (a), and (b) revised....................12202
391.83 (c) revised.........................................39547, 53295
391.93 (b) and (c) revised........................................46618
392 Determination of status........................................7191
393 Determination of status........................................7191
Comment time extended..........................................28818
393.1 Revised.....................................................12202
Revised; interim...............................................48617
393.42 (b)(4) added; interim......................................48617
394 Determination of status........................................7191
395 Determination of status........................................7191
396 Determination of status........................................7191
State periodic inspection programs.............................50726
396.17 (c) revised................................................50725
396.21 Revised....................................................50725
398 Determination of status........................................7191
399 Determination of status........................................7191

1990

49 CFR
55 FR
Page
Chapter II
217 Authority citation revised....................................22794
217.13 (d)(6) revised.............................................22794
219.23 Heading corrected..........................................22793
219.104 (e)(1) amended............................................22793
219.203 (b)(4) revised; (d)(2) corrected..........................22793
219.301 (f)(4) correctly revised..................................22793
219.303 (d)(1) amended............................................22794
219 Appendix B corrected..........................................22793
Appendix B revised.............................................22794
Appendix A and C amended.......................................22794
225 Authority citation revised....................................37826
225.5 (j) added; eff. 12-1-90.....................................37827
Introductory text and (b) introductory text republished;
(b)(2) revised.....................................................52847
225.7 (b) amended; eff. 12-1-90...................................37827
225.12 Added; eff. 12-1-90........................................37827
(g)(3) corrected...............................................39538
225.13 Amended; eff. 12-1-90......................................37828
225.19 (b) and (c) amended........................................52847
225.21 (g) and (h) added; eff. 12-1-90............................37828
225.27 (a) amended; eff. 12-1-90..................................37828
225 Appendix A revised............................................52847
Appendix B amended; eff. 12-1-90...............................37828
228 Appendix A amended............................................30893
Appendix C added...............................................30893
240 Removed........................................................4178
Chapter III
383.51 (b)(3)(iv) corrected........................................6727
383.77 (a) revised................................................25606
387.7 Regulation at 51 FR 22083 confirmed.........................40663
390.5 Amended..............................................32916, 35435
390.21 Heading revised; (e) added..................................6993
391.41 (c) added; (b)(12) revised; interim.........................3554
391.43 (a) redesignated as (a)(1); (a)(2) added; (d) and (f)
amended; interim............................................3555
391.81--391.123(Subpart H) Heading revised.........................3555
391.85 Amended; interim............................................3555
391.87 (a) through (g) redesignated as (b) through (h); new (a)
added; new (c)(2) and (f) revised; new (g) and (h)(2)
amended; interim............................................3555
391.97 (a) amended; (b) redesignated as (d); new (b) and (c)
added; interim..............................................3555
391.99 (b) amended; (c) revised; interim...........................3556
391.101 (b) revised; interim.......................................3556
391.103 (d) revised; interim.......................................3556
391.105 (a) and (c) revised; interim...............................3556

[[Page 852]]

391.107 (b) revised; interim.......................................3556
391.109 (a) and (b) redesignated as (b) and (c); new (a) and (d)
added; interim..............................................3556
391.111 (b) revised; interim.......................................3556
391.113 (a) revised; (c) added; interim............................3556
391.115 (b) revised; new (c) added; interim........................3557
391.119 (a)(2) revised; interim....................................3557
391.121 (b)(2) amended; (d) redesignated as (c); interim...........3557
395.3 (b) introductory text revised...............................32916

1991

49 CFR
56 FR
Page
Chapter II
209.337 Added (OMB numbers).......................................66791
219.3 (c) revised.................................................18991
229 Authority citation revised....................................66792
230 Authority citation revised....................................66792
231 Authority citation revised....................................66792
232 Authority citation revised....................................66792
234 Added.........................................................33728
Regulation at 56 FR 33728 eff. 12-1-91.........................49417
Regulation at 56 FR 33738 effective date revised to 1-1-92.....61169
234.13 OMB number pending.........................................49417
240 Added.........................................................28254
Meetings.......................................................55240
245 Added; interim; eff. 10-30-91.................................49425
Meetings.......................................................59893
Chapter III
385 Authority citation revised.............................40805, 51344
385.1 Revised; interim............................................40805
385.3 Amended; interim............................................40805
385.11 Revised; interim...........................................40806
385.13 Revised; interim...........................................40806
385.15 Revised; interim...........................................40806
385.17 Revised; interim...........................................40806
385.19 Revised....................................................51344
385 Appendix revised...............................................5365
386 Authority citation revised....................................10182
386.2 Amended.....................................................10182
386.11 (b) introductory text, (2), (c) introductory text and (3)
revised; (c)(4) added......................................10182
386.14 (a), (b)(1), (2), (3), (c) and (e) revised; (f) added......10183
386.15 Removed....................................................10183
386.16 (c)(1) introductory text and (v) revised; (c)(1)(vi)
added; (c)(1)(iv) amended..................................10183
386.21--386.23 (Subpart C) Heading revised........................10183
386.21 Redesignated as 386.22; new 386.21 added...................10183
386.22 Redesignated as 386.23; (a) introductory text and (b)
revised; new 386.22 redesignated from 386.21...............10183
386.23 Redesignated from 386.22; (a) introductory text and (b)
revised....................................................10183
386.72 (b)(2) amended; (b)(3) and (4) added.......................10184
386.81--386.82 (Subpart G) Added..................................10184
386 Appendix A added..............................................10184
391.83 (c) revised................................................18995
391.85 Amended; eff. 11-14-91 and 1-1-92..........................40809
391.93 (b) and (c) revised; (d) redesignated as (e); new (d)
added; eff. 11-14-91 and 1-1-92............................40809
396.25 Added........................................................491
494.9 (c) revised.................................................49429

1992

49 CFR
57 FR
Page
Chapter II
212 Authority citation revised....................................28115
212.3 (d)(5) and (6) revised; (e) redesignated as (g); (d)(7),
new (e) and (f) added......................................28115
212.101 (b)(1) and (c) revised....................................28115
212.105 (e)(1)(i) revised.........................................28115
212.109 Revised...................................................28115
212.201 (d)(5) and (f) revised....................................28115
212.227 Redesignated as 212.231; new 212.227 added................28115
212.229 Added.....................................................28116
212.231 Redesignated from 212.227.................................28115
214 Added.........................................................28127
Regulation at 57 FR 28127 effective date corrected.............29561

[[Page 853]]

Regulations at 57 FR 28127 and 29561 effective date delayed to
8-24-92............................................................30429
214.103 Suspended.................................................45327
214.105 Suspended.................................................45327
219.3 (c) revised.................................................31279
245 Revised.......................................................30602
255 Removed.......................................................52734
268 Removed.......................................................52735
Chapter III
350 Revised; eff. 10-8-92.........................................40956
355 Added; eff. 10-8-92...........................................40962
383 Waivers................................................13650, 31457
383.23 (b) amended................................................31457
383.51 (c)(3) removed.............................................53295
390.5 Amended..............................................33278, 33646
390.21 (a) revised.................................................3142
390.23 Revised....................................................33647
390.25 Added......................................................33647
391 Waivers.........................................10295, 31458, 45002
391.43 (a)(1) revised; (c) through (f) redesignated as (d)
through (g); new (c) added; newly redesignated (d) through
(g) amended................................................33278
391.83 (c) revised................................................31278
395.1 Added.......................................................33647
395.2 Revised.....................................................33648
395.3 Revised.....................................................33649
395.7 Removed.....................................................33649
395.8 (k)(2) and (l) removed; (k)(3) redesignated as (k)(2).......33649
395.10 Removed....................................................33649
395.11 Removed....................................................33649
395.12 Removed....................................................33649
396 Authority citation revised....................................40964
396.9 (d)(3)(ii) revised; eff. 10-8-92............................40964
397 Authority citation revised....................................44131
397.101--397.103 (Subpart D) Added; interim.......................44131
397.201--397.225 (Subpart E) Added; interim.......................44132

1993

49 CFR
58 FR
Page
Chapter II
217 Common preamble...............................................68194
217.13 (d) removed................................................68235
218 Nomenclature change...........................................43292
Appendix B redesignated as Appendix C; Appendix A and new
Appendix C amended; new Appendix B added...........................43293
218.5 Revised.....................................................43292
218.22 Added......................................................43293
218.51 (b)(3) revised; eff. 11-5-93...............................36613
218.61 (c) revised; eff. 11-5-93..................................36613
219 Common preamble...............................................68194
219.803 (Subpart I) Added.........................................68235
219 Appendix D added..............................................68237
Appendix D2 added..............................................68250
228 Authority citation revised....................................18165
228 Appendix A amended............................................18165
229 Authority citation revised..............................6902, 36613
229.4 (b) revised; eff. 11-5-93...................................36613
229.5 (g) through (m) redesignated as (h) through (o); new (g)
and (i) added; eff. 11-5-93................................36613
229.25 (e) added; eff. 11-5-93....................................36614
229.133 Added; interim.............................................6902
229.135 Added; effective 11-5-93..................................36614
Technical correction...........................................40468
229 Appendix B amended; eff. 11-5-93..............................36615
240.5 (a) revised; interim........................................19002
240.7 Amended; interim............................................19002
240.13 (a) revised; interim.......................................19003
240.117 (d), (e) and (h) revised; (i) added; interim..............19003
240.215 (j) added; interim........................................19003
240.217 (b) revised; interim......................................19003
240.223 (a)(7) revised; interim...................................19003
240.229 (a) revised; (f) added; interim...........................19003
240.305 Heading, (a) and (c) revised; interim.....................19004
240.307 Revised; interim..........................................19004
240.401 (a) revised; interim......................................19005
Chapter III
Chapter III Interpretation.....................................60734
350 Appendix C amended............................................33776
Appendix C amended; interim....................................40600
355 Appendix A amended............................................33776
385.5 (f) revised.................................................33776
385.7 (f) revised.................................................33776
390.3 (f)(2) revised..............................................33776
390.5 Introductory text revised; section amended...................6729
Amended..........................................33777, 59196, 67375

[[Page 854]]

390.15 Added.......................................................6729
390.27 Table amended..............................................44464
391 Waivers.......................................................40690
Common preamble................................................68194
391.43 Amended; (e) introductory text and (g) revised.............59196
391.85 Amended....................................................33777
391.87 (h) revised................................................68222
391.89 Revised....................................................33777
391.113 (a) revised...............................................33777
392.71 Added......................................................67375
394 Removed........................................................6729
395.1 (i)(1) revised..............................................33777
395.8 (f) revised.................................................33777

1994

49 CFR
59 FR
Page
Chapter II
207 Added..........................................................6587
209 Authority citation revised....................................43675
209.3 Revised; eff. 1-1-95........................................43676
209.401--209.409 (Subpart E) Added; eff. 1-1-95...................43676
212 Authority citation revised....................................50104
212.231 Redesignated as 212.235; new 212.231 added; eff. 1-1-95
50104
212.233 Added; eff. 1-1-95........................................50105
212.235 Redesignated from 212.231; eff. 1-1-95....................50104
214.103 (b) and (c) revised.......................................30883
214.111 Revised...................................................30883
214.113 (b) revised; (c) removed..................................30883
214.115 (b) revised...............................................30883
214.117 (b) revised...............................................30884
217 Authority citation revised....................................43070
Technical correction...........................................46703
217.4 Added; eff. 11-21-94........................................43070
217.7 Revised; eff. 11-21-94......................................43070
217.9 (a), (b) introductory text, (5), (c) and (d) revised; (e)
added; eff. 11-21-94.......................................43070
217.11 Heading, (a), (b) introductory text, (4) and (c) revised;
eff. 11-21-94..............................................43071
217.13 Removed; new 217.13 redesignated from 217.15; new (b)(4)
removed; eff. 11-21-94.....................................43071
217.15 Redesignated as 217.13; eff. 11-21-94......................43071
217 Appendix A revised; eff. 11-21-94.............................43071
219 Nomenclature change; eff. 1-1-95...............................7457
Authority citation revised.......................60563, 62228, 62239
Announcement...................................................67641
219.3 (a) introductory text and (c) revised; (b)(3) added; eff.
1-1-95......................................................7457
219.5 Amended; eff. 1-1-95.........................................7457
Amended........................................................62228
219.9 (a) amended; (c) added; eff. 1-1-95..........................7458
219.11 (b)(2) revised; (g) redesignated as (h); (c)(4) and new
(g) added; eff. 1-1-95......................................7458
219.15 Removed; eff. 1-1-95........................................7458
219.23 Heading, (a) and (b) revised; (d), (e) and (f) added; eff.
1-1-95......................................................7458
219.101 (a)(2)(ii) revised; (a)(3) and (4) added; eff. 1-1-95......7459
219.104 (a), (d) and (e) revised; (f) and (g) added; eff. 1-1-95
7459
219.107 Added; eff. 1-1-95.........................................7460
219.201 (a)(1)(iii), (2)(ii) and (b) revised; eff. 1-1-95..........7460
219.203 (a)(1) revised; (d)(2) amended; eff. 1-1-95................7460
219.205 (a) revised; eff. 1-1-95...................................7460
219.206 Added; eff. 1-1-95.........................................7461
219.209 (a)(1) amended; (c) added; eff. 1-1-95.....................7461
Corrected......................................................50699
219.211 (a), (c) and (d) amended; (e) and (h) revised; eff. 1-1-
95..........................................................7461
219.213 (a) and (b) revised; eff. 1-1-95...........................7461
219.300 Added; eff. 1-1-95.........................................7461
(d) added......................................................62239
219.301--219.309 (Subpart D) Heading revised; eff. 1-1-95..........7461
219.301 (b)(1), (f) and (g) removed; (b) introductory text, (2)
introductory text and (c) introductory text revised; eff.
1-1-95......................................................7461
219.302 Added; eff. 1-1-95.........................................7462
(f) removed....................................................62239
219.303 Revised; eff. 1-1-95.......................................7462
Revised........................................................60563
219.307 Removed; eff. 1-1-95.......................................7462
219.309 Removed; eff. 1-1-95.......................................7462

[[Page 855]]

219.501--219.505 (Subpart F) Heading revised; eff. 1-1-95..........7462
219.501 Revised; eff. 1-1-95.......................................7462
(e) removed; (a) through (d) redesignated as (b) through (e);
new (a) added; new (b) through (e) revised.........................60564
219.503 Revised; eff. 1-1-95.......................................7462
219.505 Heading revised; (a) designation and (b) removed; eff. 1-
1-95........................................................7462
219.601--219.605 (Subpart G) Heading revised; eff. 1-1-95..........7462
219.601 Heading, (b)(2)(iii) concluding text and (7) revised; (c)
amended; eff. 1-1-95........................................7462
219.602 Added.....................................................62228
219.603 Heading revised; (a) designation, (b) and (c) removed;
eff. 1-1-95.................................................7463
219.605 Heading revised; (b) amended; eff. 1-1-95..................7463
219.607 Added; eff. 1-1-95.........................................7463
219.608 Added; eff. 1-1-95.........................................7464
219.609 Added; eff. 1-1-95.........................................7464
219.611 Added; eff. 1-1-95.........................................7464
219.701--219.713 (Subpart H) Heading revised; eff. 1-1-95..........7464
219.703 Heading revised; eff. 1-1-95...............................7464
219.707 Heading revised; (a) amended...............................7464
219.708 Added......................................................7464
219.713 Removed; eff. 1-1-95.......................................7464
219.715 Added; eff. 1-1-95.........................................7464
219.801 Added; eff. 1-1-95.........................................7465
Corrected......................................................50699
219.901--219.905 (Subpart J) Added; eff. 1-1-95....................7466
219 Appendix D3 added; eff. 1-1-95.................................7468
Appendix D4 added; eff. 1-1-95..................................7477
220 Authority citation revised....................................43071
Technical correction...........................................46703
220.5 (d) and (e) added; eff. 11-21-94............................43071
220.21 Heading and (b) revised; eff. 11-21-94.....................43072
229 Authority citation revised....................................24963
229.133 (b) revised; interim......................................24963
(b)(2)(iii) corrected..........................................39705
234 Authority citation revised....................................50105
234.1--234.6 (Subpart A) Designated as Subpart A; heading added;
eff. 1-1-95................................................50105
234.1 Revised; eff. 1-1-95........................................50105
234.3 Revised; eff. 1-1-95........................................50105
234.4 Added; eff. 1-1-95..........................................50105
234.5 Amended; eff. 1-1-95........................................50105
234.6 (a) and (b) redesignated from 234.15 and 234.17; heading
added; new (a) revised; eff. 1-1-95........................50105
234.7--234.13 (Subpart B) Designated as Subpart B; heading added;
eff. 1-1-95................................................50105
234.15 Redesignated as 234.6(a); eff. 1-1-95......................50105
234.17 Redesignated as 234.6(b); eff. 1-1-95......................50105
234.101--234.109 (Subpart C) Added; eff. 1-1-95...................50106
234.201--234.273 (Subpart D) Added; eff. 1-1-95...................50107
Chapter III
Chapter III Nomenclature change...................................60323
350.11 (a) revised; interim........................................5264
350.21 (d)(3) added; interim.......................................5264
350 Appendix C amended; interim....................................5264
382 Added..........................................................7505
Authority citation revised..............................49586, 60323
382.101 OMB number................................................49586
382.107 Amended............................................60323, 62229
382.303 (b)(2) redesignated as (b)(4); new (b)(2) and (3) added
62240
382.305 Revised...................................................62229
382.307 (e)(2) and (3) redesignated as (e)(4) and (5); new (e)(2)
and new (3) added..........................................62240
383 Authority citation revised....................................26028
383.5 Amended.....................................................26028
383.37 (a) and (b) amended; (c) added.............................26028
383.51 (d) redesignated as (e); new (d) added.....................26028
383.53 Revised....................................................26028
384 Added.........................................................26039
387.3 (c) revised.................................................63923
387.5 Amended.....................................................63923
387.7 (d)(3) revised..............................................63923
387.9 Revised.....................................................63923
387.15 Amended....................................................63924

[[Page 856]]

387.17 Revised....................................................63924
390 Authority citation revised.............................60323, 67554
390.3 (f)(6) removed; eff. 1-1-95..................................8752
(b) through (f) redesignated as (c) through (g); new (b) added
67554
390.5 Amended; eff. 1-1-95.........................................8752
Amended.................................................26028, 60323
390.50--390.60 (Subpart C) Added..................................67554
391 Authority citation revised.............................49586, 60323
Determination..................................................59386
391.11 (b)(11) removed; (b)(12) redesignated as (b)(11)...........60323
391.15 (d) added..................................................26028
391.31 (a) revised; eff. 1-1-95....................................8752
391.35 (a) revised; eff. 1-1-95....................................8752
Removed........................................................60323
391.37 Removed....................................................60323
391.51 (a) revised; eff. 1-1-95....................................8752
(b)(2), (c)(3), (4) and (d)(2) amended; (c)(5) and (d)(3)
removed; (d)(4) redesignated as (d)(3).............................60323
391.61 Revised....................................................60323
391.67 Revised....................................................60324
391.68 Added; eff. 1-1-95..........................................8752
Revised........................................................60324
391.69 Revised....................................................60324
391.71 (a) amended................................................60324
Heading, (a)(1) and (b)(3) revised.............................63924
391.73 Added; eff. 1-1-95..........................................8752
Revised........................................................60324
391.83 (a) revised; eff. 1-1-95....................................8753
391.87 OMB number.................................................49586
391.93 Revised.....................................................7514
391.125 Added......................................................7514
392 Authority citation revised......................34711, 60324, 63924
392.5 Heading, (a)(1), (2), (3) and (b)(2) revised.................7515
392.9a Removed....................................................60324
392.10 (a)(2) through (5) and (b)(1) revised......................63924
392.12 Removed....................................................60324
392.18 Removed....................................................60324
392.21 Removed....................................................60324
392.22 (b)(1) introductory text, (2)(i) and (ii) revised;
(b)(1)(iv) added; (b)(2)(vii) and authority citation
removed....................................................34711
392.25 Revised....................................................63925
392.30 Removed....................................................60324
392.31 Removed....................................................60324
392.32 Removed....................................................60324
392.40 Removed....................................................60324
392.41 Removed....................................................60324
392.42 (Subpart E) Heading revised................................60324
392.61 Removed....................................................60324
392.62 Removed....................................................60324
392.65 Removed....................................................60324
392.69 Removed....................................................60324
393 Authority citation revised....................................34712
393.7 Added.......................................................34712
(b)(2) through (6) added.......................................34718
393.42 (b)(4) removed.............................................25574
393.67 (a)(6) added; eff. 1-1-95...................................8753
393.95 (f)(2), (g) and (j) revised; (f)(3) added..................34712
393.102 (b) revised; (g) removed..................................34718
(b)(6) table corrected.........................................43898
395 Authority citation revised....................................60324
395.2 Amended...............................................7515, 60324
395.8 (a) introductory text revised; eff. 1-1-95...................8753
396 Authority citation revised....................................60324
396.3 (b)(4) removed; (b)(5) redesignated as (b)(4); (b)(3)
amended....................................................60324
396.3 (b) introductory text revised; eff. 1-1-95...................8753
396.11 (d) revised; eff. 1-1-95....................................8753
397 Authority citation revised.............................51830, 63925
397.5 Revised.....................................................63925
397.7 Revised.....................................................63925
397.9 Removed.....................................................51830
397.13 Revised....................................................63925
397.19 Revised....................................................63925
397.61--397.77 (Subpart C) Added..................................51830
397.201 (a) revised; (c) amended..................................51834
397.203 (a)(3) revised............................................51834
350--399 (Subchapter B) Appendix H added..........................67556
Chapter III Appendixes A and C removed............................60324

[[Page 857]]

1995

49 CFR
60 FR
Page
Chapter II
209 Authority citation revised....................................53136
209.321 (a) revised; interim......................................53136
213 Policy statement..............................................20654
218 Authority citation revised....................................11049
218.5 Amended.....................................................11049
218.22 (c)(3), (4), (d) and (e) amended...........................11050
218.24 Added......................................................11050
Stayed.........................................................30469
218 Appendix A amended............................................11050
219.501 (f) added.................................................24766
219 Appendix B revised........................................61665
Appendix C revised.............................................19539
229 Authority citation revised....................................27905
229.5 (i) revised.................................................27905
229.25 (e)(2) revised.............................................27905
229.135 (a) through (d) revised...................................27905
240 Authority citation revised....................................53136
240.7 Amended; interim............................................53136
240.119 (d)(4)(ii) amended; interim...............................53136
240.203 (a)(1) revised; interim...................................53136
240.205 Heading revised; interim..................................53136
240.217 (c)(1) revised; interim...................................53137
240.307 (a) revised; interim......................................53137
240.407 Revised; interim..........................................53137
240.409 Revised; interim..........................................53137
240.411 (a) revised; interim......................................53138
240 Appendix A amended; interim...................................53138
Chapter III
Chapter III Nomenclature change...................................38742
325.13 (d)(3) amended.............................................38743
325.93 (b) revised................................................38743
350 Authority citation revised....................................38743
350--399 (Subchapter B) Request for comments......................27700
350.3 Amended.....................................................38743
350 Appendix C amended............................................38743
382 Authority citation revised..............................2032, 38743
382.103 Revised; eff. 10-23-95....................................49325
382.115 (a) revised................................................2032
Revised; eff. 10-23-95.........................................49325
382.301 (e) added.................................................24766
382.401 (b)(1)(vi) revised........................................13370
382.403 (a) revised...............................................13370
383 Waiver denied.................................................34188
384 Authority citation revised....................................57545
384.231 (b)(2) revised............................................57545
385 Authority citation revised....................................38743
385.23 Amended....................................................38743
387 Authority citation revised....................................38743
387.31 (b)(3)(i) removed; (b)(3)(ii) and (iii) redesignated as
(b)(3)(i) and (ii).........................................38743
388.5 (a) amended.................................................38743
390 Authority citation revised....................................38743
390.3 Regulation at 59 FR 67554 eff. date extended to 9-27-95.....26002
Regulation at 59 FR 67554 eff. date extended to 9-1-96.........40761
390.5 Amended..............................................38743, 44440
390.7 (a)(3) removed; (a)(4) redesignated as (a)(3)...............38744
390.15 (b)(1)(vi) amended.........................................38744
OMB number.....................................................44441
390.19 Amended....................................................38744
390.21 (b)(1), (2), (4), (5), (c)(1), (3), (d), (e)(1), (2)
introductory text, (ii), (iv)(B)(2), (iv)(C) and (v)
amended....................................................38744
390.23 (a)(3)(i) and (b) amended..................................38744
390.27 Heading revised............................................38744
390.33 Amended; heading revised...................................38744
390.50--390.60 (Subpart C) Regulation at 59 FR 67554 eff. date
extended to 9-27-95........................................26002
Regulation at 59 FR 67554 eff. date extended to 9-1-96.........40761
391 Authority citation revised....................................38744
391.1 (a) amended.................................................38744
391.2 (a), (b), (c) and (d)(4) revised............................38745
391.11 (a), (b) introductory text, (3) through (6) and (9)
amended....................................................38744
(b)(7) revised.................................................38745
391.15 (c)(2)(ii) and (v) amended.................................38744

[[Page 858]]

(c)(2)(ii) Footnote 1, (iii) Footnote 1 and (d)(2)(iv) revised
38745
391.21 (a) and (b)(5) amended.....................................38744
391.25 Amended....................................................38744
391.27 (c) amended................................................38745
391.31 (a), (b), (c) introductory text and (3) through (8)
amended....................................................38744
391.31--391.37 (Subpart D) Heading revised........................38746
391.33 (a) introductory text and (1) amended......................38744
391.41 (a), (b) introductory text, (2)(ii) and (5) through (9)
amended....................................................38744
(b)(12) amended................................................38745
391.43 (e) and (f) amended........................................38745
(g) introductory text revised..................................38746
391.47 (c), (d)(1), (2) and (f) amended...........................38746
391.49 (a), (d)(3)(i)(A), (e)(4) and (g) amended..................38745
(c)(2)(v), (3) introductory text, (vii) and (viii) revised.....38746
391.51 (b)(1), (5), (d)(1), (3), (e) and (h)(1) amended...........38745
391.61 Amended....................................................38745
391.63 (a) introductory text and (b) amended......................38745
391.65 (a)(2), (iv) and (vii) amended.............................38745
391.67 Introductory text amended..................................38745
Heading revised; (d) removed; (e) redesignated as (d)..........38746
391.68 Revised....................................................38746
391.69 Amended....................................................38745
391.71 (a) introductory text and (b) introductory text amended....38745
Heading revised................................................38746
391.73 Amended....................................................38745
391.83 (c) revised...................................................56
391.85 Amended....................................................38746
391.87 (h)(1) amended; (h)(3) revised; (h)(4) added...............13370
392 Heading revised...............................................38746
392.1 Amended.....................................................38746
392.2 Amended.....................................................38746
392.3 Amended.....................................................38746
392.4 (a)(1) footnote 1 revised; (a)(4) and (c) amended...........38746
392.6 Amended.....................................................38746
392.7 Amended.....................................................38746
392.8 Amended.....................................................38746
392.9 (a) introductory text, (1), (2), (3), (b)(1), (2), (3)
introductory text, (ii), (iii) and (4) amended.............38746
392.10 (a) introductory text, (2) and (3) amended.................38746
(b)(3) amended.................................................38747
392.10--392.18 (Subpart B) Heading revised........................38746
392.11 Amended....................................................38747
392.13 Amended; heading revised...................................38747
392.14 Amended....................................................38747
392.15 (a) through (e) amended....................................38747
392.16 Amended....................................................38747
392.20 Amended; heading revised...................................38747
392.20--392.25 (Subpart C) Heading revised........................38746
392.22 Heading revised; (a), (b)(1) introductory text, (i), (ii),
(iii), (2)(i) through (vi) amended.........................38747
392.24 Amended....................................................38747
392.25 Amended....................................................38747
392.33 Amended....................................................38747
392.50 (a), (b) and (c) amended...................................38747
392.51 Amended....................................................38747
392.60 Revised....................................................38747
392.63 Amended....................................................38747
392.64 Amended; heading revised...................................38747
392.66 Revised....................................................38747
392.67 Amended; heading revised...................................38747
392.68 Amended....................................................38747
393 Waiver........................................................12146
Authority citation revised.....................................46245
393.53 Added; eff. 10-6-95........................................46245
395 Authority citation revised....................................38748
395.1 (b) revised; (d)(2) amended.................................38748
395.2 Amended.....................................................38748
395.3 Heading and (b) revised.....................................38748
395.8 (f)(5), (6), (h)(2), (3) and (4) revised; (k)(2) amended....38748
395.13 (c)(1)(i), (ii), (d)(1), (2) and (4) amended...............38748
395.15 (d)(2), (g) introductory text, (i)(2), (4), (7) and
(j)(2)(iv) revised.........................................38748

[[Page 859]]

396 Authority citation revised....................................38749
396.23 (a) revised................................................38749
397.1 (a) revised.................................................38749
350--399 (Subchapter B) Regulation at 59 FR 67556 eff. date
extended to 9-27-95........................................26002
Appendix B amended......................................38743, 38749
Regulation at 59 FR 67556 eff. date extended to 9-1-96.........40761

1996

(Regulations published from January 1, 1996, through October 1, 1996)

49 CFR
61 FR
Page
Chapter II
209.101 (a) revised...............................................38646
209.103 Revised...................................................38646
209.105 (a) and (c) revised.......................................38646
209.131 Revised...................................................38647
209.133 Revised...................................................38647
209.201 Revised...................................................38647
209 Appendix B added..............................................38647
212 Appendices A, B and C removed.................................26125
212.301 Removed...................................................26125
212.303 Removed...................................................26125
212.305 Removed...................................................26125
212.307 Removed...................................................26125
219.5 Amended.....................................................37224
225 Authority citation revised....................................30967
Meetings.......................................................37842
225.1 Revised; eff. 1-1-97........................................30967
225.3 Revised; eff. 1-1-97........................................30967
225.5 Revised; eff. 1-1-97........................................30968
225.7 Amended; eff. 1-1-97........................................30969
225.11 Revised; eff. 1-1-97.......................................30969
225.12 (a) and (g)(3) amended; (h)(1) and (2) revised; eff. 1-1-
97.........................................................30969
(b)(2)(iii) amended; eff. 1-1-97...............................30973
225.13 Amended; eff. 1-1-97.......................................30973
225.15 (a) amended; eff. 1-1-97...................................30973
225.19 (b) and (c) amended; (d) revised; (e) added; eff. 1-1-97
30969
(a) and (b) amended; eff. 1-1-97...............................30973
225.21 (b) amended; (f) removed; (g) and (h) redesignated as (f)
and (g); new (h) and (i) added; eff. 1-1-97................30969
(e) amended; eff. 1-1-97.......................................30973
225.25 Revised; eff. 1-1-97.......................................30970
225.27 (a) amended; eff. 1-1-97...................................30971
225.29 Amended; eff. 1-1-97.......................................30971
225.31 (f) revised; eff. 1-1-97...................................30971
225.33 Added; eff. 1-1-97.........................................30972
225.35 Added; eff. 1-1-97.........................................30972
225.37 Added; eff. 1-1-97.........................................30972
225 Appendix A removed; Appendix B redesignated as Appendix A;
new Appendix A revised; eff. 1-1-97........................30973
228 Authority citation revised....................................20495
228 Appendix A amended............................................20495
229 Authority citation revised.....................................8887
229.9 (a) introductory text revised................................8887
229.125 Heading revised; (d) through (h) added.....................8887
229.133 (c) revised................................................8887
229 Appendix B amended.............................................8888
233.9 Revised; interim............................................33872
234 Revised; interim..............................................31806
235.7 (c)(24)(vi) added; interim..................................33872
236.590 Revised; interim..........................................33873
251 Removed........................................................4938
258 Removed........................................................4938
Chapter III
382 Revised........................................................9553
382.107 Introductory text amended..................................1843
Amended........................................................37224
383 Authority citation revised..............................9564, 14679
383.3 Revised......................................................9564
(d) introductory text corrected................................14677
(d) heading and introductory text revised; (d)(3) added........14679
383.5 Amended...............................................9566, 14679
383.91 (a) revised.................................................9566
385.17 (a) ame}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}}