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and natural disasters, or engagement in 229.33 Out-of-use credit. other intensive working conditions; (4) Scheduling practices for employees, in- Subpart C—Safety Requirements cluding innovative scheduling practices, on- duty call practices, work and rest cycles, in- GENERAL REQUIREMENTS creased consecutive days off for employees, 229.41 Protection against personal injury. changes in shift patterns, appropriate sched- 229.43 Exhaust and battery gases. uling practices for varying types of work, 229.45 General condition. and other aspects of employee scheduling that would reduce employee fatigue and cu- BRAKE SYSTEM mulative sleep loss; 229.46 Brakes: General. (5) Methods to minimize accidents and in- 229.47 Emergency brake valve. cidents that occur as a result of working at 229.49 Main reservoir system. times when scientific and medical research 229.51 Aluminum main reservoirs. has shown that increased fatigue disrupts 229.53 Brake gauges. employees’ circadian rhythm; 229.55 Piston travel. (6) Alertness strategies, such as policies on 229.57 Foundation brake gear. napping, to address acute drowsiness and fa- 229.59 Leakage. tigue while an employee is on duty; (7) Opportunities to obtain restful sleep at DRAFT SYSTEM lodging facilities, including employee sleep- ing quarters provided by the railroad; 229.61 Draft system. (8) The increase of the number of consecu- SUSPENSION SYSTEM tive hours of off-duty rest, during which an employee receives no communication from 229.63 Lateral motion. the employing railroad or its managers, su- 229.64 Plain bearings. pervisors, officers, or agents; and 229.65 Spring rigging. (9) Avoidance of abrupt changes in rest cy- 229.67 Trucks. cles for employees. 229.69 Side bearings. (c) Finally, if a railroad chooses to adopt a 229.71 Clearance above top of rail. fatigue management plan, FRA suggests 229.73 Wheel sets. that the railroad review the plan and update 229.75 Wheel and tire defects. it periodically as the railroad sees fit if changes are warranted. ELECTRICAL SYSTEM [76 FR 50400, Aug. 12, 2011] 229.77 Current collectors. 229.79 Third rail shoes. 229.81 Emergency pole; shoe insulation. PART 229—RAILROAD 229.83 Insulation or grounding of metal LOCOMOTIVE SAFETY STANDARDS parts. 229.85 High voltage markings: doors, cover Subpart A—General plates, or barriers. 229.87 Hand-operated switches. Sec. 229.89 Jumpers; cable connections. 229.1 Scope. 229.91 Motors and generators. 229.3 Applicability. 229.4 Information collection. INTERNAL COMBUSTION EQUIPMENT 229.5 Definitions. 229.93 Safety cut-off device. 229.7 Prohibited acts and penalties. 229.95 Venting. 229.9 Movement of non-complying loco- 229.97 Grounding fuel tanks. motives. 229.99 Safety hangers. 229.11 Locomotive identification. 229.101 Engines. 229.13 Control of locomotives. 229.14 Non-MU control cab locomotives. STEAM GENERATORS 229.15 Remote control locomotives. 229.103 Safe working pressure; factor of 229.17 Accident reports. safety. 229.19 Prior waivers. 229.105 Steam generator number. 229.20 Electronic recordkeeping. 229.107 Pressure gauge. 229.109 Safety valves. Subpart B—Inspections and Tests 229.111 Water-flow indicator. 229.21 Daily inspection. 229.113 Warning notice. 229.23 Periodic inspection: General. 229.114 Steam generator inspections and 229.25 Tests: Every periodic inspection. tests. 229.27 Annual tests. CABS AND CAB EQUIPMENT 229.29 Air brake system calibration, mainte- nance, and testing. 229.115 Slip/slide alarms. 229.31 Main reservoir tests. 229.117 Speed indicators.

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229.119 Cabs, floors, and passageways. SOURCE: 45 FR 21109, Mar. 31, 1980, unless 229.121 Locomotive cab noise. otherwise noted. 229.123 Pilots, snowplows, end plates. 229.125 Headlights and auxiliary lights. Subpart A—General 229.127 Cab lights. 229.129 Locomotive horn. § 229.1 Scope. 229.131 Sanders. 229.133 Interim locomotive conspicuity This part prescribes minimum Fed- measures—auxiliary external lights. eral safety standards for all loco- 229.135 Event recorders. motives except those propelled by 229.137 Sanitation, general requirements. steam power. 229.139 Sanitation, servicing requirements. 229.140 Alerters. § 229.3 Applicability. 229.141 Body structure, MU locomotives. (a) Except as provided in paragraphs Subpart D—Locomotive Crashworthiness (b) through (e) of this section, this part Design Requirements applies to all standard gage railroads. (b) This part does not apply to: 229.201 Purpose and scope. (1) A railroad that operates only on 229.203 Applicability. track inside an installation which is 229.205 General requirements. not part of the general railroad system 229.206 Design requirements. 229.207 New locomotive crashworthiness de- of transportation; or sign standards and changes to existing (2) Rapid transit operations in an FRA-approved locomotive crash- urban area that are not connected with worthiness design standards. the general railroad system of trans- 229.209 Alternative locomotive crash- portation. worthiness designs. (c) Paragraphs (a) and (b) of § 229.125 229.211 Processing of petitions. do not apply to Tier II passenger equip- 229.213 Locomotive manufacturing informa- ment as defined in § 238.5 of this chap- tion. ter (i.e., passenger equipment operating 229.215 Retention and inspection of designs. 229.217 Fuel tank. at speeds exceeding 125 mph but not ex- ceeding 160 mph). Subpart E—Locomotive Electronics (d) On or after November 8, 1999, paragraphs (a)(1) and (b)(1) of § 229.141 229.301 Purpose and scope. do not apply to ‘‘passenger equipment’’ 229.303 Applicability. as defined in § 238.5 of this chapter, un- 229.305 Definitions. less such equipment is excluded from 229.307 Safety analysis. 229.309 Safety-critical changes and failures. the requirements of §§ 238.203 through 229.311 Review of SAs. 238.219, and § 238.223 of this chapter by 229.313 Product testing results and records. operation of § 238.201(a)(2) of this chap- 229.315 Operations and maintenance man- ter. ual. (e) Paragraphs (a)(2) through (a)(4), 229.317 Training and qualification program. and (b)(2) through (b)(4) of § 229.141 do 229.319 Operating Personnel Training. not apply to ‘‘passenger equipment’’ as APPENDIX A TO PART 229—FORM FRA 6180– defined in § 238.5 of this chapter that is 49A [NOTE] placed in service for the first time on APPENDIX B TO PART 229 [RESERVED] or after September 8, 2000, unless such APPENDIX C TO PART 229—FRA LOCOMOTIVE equipment is excluded from the re- STANDARDS—CODE OF DEFECTS [NOTE] APPENDIX D TO PART 229—CRITERIA FOR CER- quirements of §§ 238.203 through 238.219, TIFICATION OF CRASHWORTHY EVENT RE- and § 238.223 of this chapter by oper- CORDER MEMORY MODULE ation of § 238.201(a)(2) of this chapter. APPENDIX E TO PART 229—PERFORMANCE CRI- [54 FR 33229, Aug. 14, 1989, as amended at 64 TERIA FOR LOCOMOTIVE CRASHWORTHINESS FR 25659, May 12, 1999; 83 FR 59217, Nov. 21, APPENDIX F TO PART 229—RECOMMENDED 2018] PRACTICES FOR DESIGN AND SAFETY ANAL- YSIS § 229.4 Information collection. APPENDIX G TO PART 229 [RESERVED] APPENDIX H TO PART 229—STATIC NOISE TEST (a) The information collection re- PROTOCOLS—IN-CAB STATIC quirements in this part have been re- AUTHORITY: 49 U.S.C. 103, 322(a), 20103, viewed by the Office of Management 20107, 20901–02, 21301, 21302, 21311; 28 U.S.C. and Budget pursuant to the Paperwork 2461, note; and 49 CFR 1.89. Reduction Act of 1980, Public Law 96–

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511, and have been assigned OMB con- Build date means the date on which trol number 2130–0004. the completed locomotive is shipped by (b) The information collection re- the manufacturer or remanufacturer to quirements are found in the following the customer, or if the railroad manu- sections: §§ 229.9, 229.17, 229.21, 229.23, factures or remanufactures the loco- 229.25, 229.27, 229.29, 229.31, 229.33, 229.55, motive itself, the date on which the lo- 229.103, 229.105, 229.113, 229.121, 229.135, comotive is released from the manufac- and appendix H to part 229. ture or remanufacture facility. [50 FR 6953, Feb. 19, 1985, as amended at 58 Cab means that portion of the super- FR 36613, July 8, 1993; 71 FR 63136, Oct. 27, structure designed to be occupied by 2006] the crew operating the locomotive. Carrier means railroad, as that term § 229.5 Definitions. is in this section. As used in this part— Collision posts means structural mem- AAR means the Association of Amer- bers of the end structures of a rail ve- ican Railroads. hicle that extend vertically from the Acceptable quality level (AQL). The underframe to which they are securely AQL is expressed in terms of percent attached and that provide protection defective or defects per 100 units. Lots to occupied compartments from an ob- having a quality level equal to a speci- ject penetrating the vehicle during a fied AQL will be accepted approxi- collision. mately 95 percent of the time when Controlling locomotive means a loco- using the sampling plans prescribed for motive from where the operator con- that AQL. trols the traction and braking func- Alerter means a device or system in- tions of the locomotive or locomotive stalled in the locomotive cab to pro- consist, normally the lead locomotive. mote continuous, active locomotive en- Corner posts means structural mem- gineer attentiveness by monitoring se- bers located at the intersection of the lect locomotive engineer-induced con- front or rear surface with the side sur- trol activities. If fluctuation of a mon- face of a rail vehicle and which extend itored locomotive engineer-induced vertically from the underframe to the control activity is not detected within roof. a predetermined time, a sequence of Commuter service means the type of audible and visual alarms is activated railroad service described under the so as to progressively prompt a re- heading ‘‘Commuter Operations’’ in 49 sponse by the locomotive engineer. CFR part 209, Appendix A. Failure by the locomotive engineer to Commuter work train is a non-revenue institute a change of state in a mon- service train used in the administra- itored control, or acknowledge the tion and upkeep service of a commuter alerter alarm activity through a man- railroad. ual reset provision, results in a penalty Control cab locomotive means a loco- brake application that brings the loco- motive without propelling motors but motive or train to a stop. with one or more control stands. Anti-climbers means the parts at the Controlling remote distributed power lo- ends of adjoining rail vehicles in a comotive means the locomotive in a dis- train that are designed to engage when tributed power consist that receives subjected to large buff loads to prevent the coded signal from the lead loco- the override of one vehicle by another. motive consist of the train whether Assignment address means a unique commanded automatically by the dis- identifier of the RCL that insures that tributed power system or manually by only the OCU’s linked to a specific RCL the locomotive engineer. can command that RCL. Crack means a fracture without com- Associate Administrator for Safety plete separation into parts, except that means the Associate Administrator for castings with shrinkage cracks or hot Safety, Federal Railroad Administra- tears that do not significantly dimin- tion, or that person’s delegate as des- ish the strength of the member are not ignated in writing. considered to be cracked. Break means a fracture resulting in Cruise control means a device that complete separation into parts. controls locomotive power output to

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obtain a targeted speed. A device that transmitted to the remote (rearward) functions only at or below 30 miles per locomotives. hour is NOT considered a ‘‘cruise con- DMU locomotive means a diesel-pow- trol’’ for purposes of this part. ered multiple unit operated locomotive Data element means one or more data with one or more propelling motors de- point or value reflecting on-board train signed to carry passenger traffic. operations at a particular time. Data Excessive noise report means a report may be actual or ‘‘passed through’’ val- by a locomotive cab occupant that the ues or may be derived from a combina- locomotive is producing an unusual tion of values from other sources. level of noise that significantly inter- dB(A) means the sound pressure level feres with normal cab communications in decibels measured on the A-weighted or that is a concern with respect to scale. hearing conservation. Dead locomotive means— Electronic air brake means a brake (1) A locomotive, other than a con- system controlled by a computer which trol cab locomotive, that does not have provides the means for control of the any traction device supplying tractive locomotive brakes or train brakes or power; or both. (2) A control cab locomotive that has Event recorder means a device, de- a locked and unoccupied cab. signed to resist tampering, that mon- Decibel (dB) means a unit of measure- itors and records data, as detailed in ment of sound pressure levels. § 229.135(b), over the most recent 48 Defective means, for purposes of sec- hours of operation of the electrical sys- tion 229.129 of this part, a locomotive tem of the locomotive on which the de- equipped with an audible warning de- vice is installed. However, a device, de- vice that produces a maximum sound signed to resist tampering, that mon- level in excess of 110 dB(A) and/or a itors and records the specified data minimum sound level below 96 dB(A), only when the locomotive is in motion as measured 100 feet forward of the lo- meets this definition if the device was comotive in the direction of travel. installed prior to November 5, 1993 and Designated service means exclusive op- if it records the specified data for the eration of a locomotive under the fol- last eight hours the locomotive was in lowing conditions: motion. (1) The locomotive is not used as an Event recorder memory module means independent unit or the controlling that portion of the event recorder used unit in a consist of locomotives except to retain the recorded data as detailed when moving for the purposes of serv- in § 229.135(b). icing or repair within a single yard FRA means the Federal Railroad Ad- area; ministration. (2) The locomotive is not occupied by operating or deadhead crews outside a Fuel tank, external means a fuel con- single yard area; and tainment vessel that extends outside the car body structure of a locomotive. (3) The locomotive is stenciled ‘‘Des- ignated Service—DO NOT OCCUPY.’’ Fuel tank, internal means a fuel con- Design standard means a criterion tainment vessel that does not extend adopted by an industry or voluntary outside the car body structure of a lo- consensus standards body, which ad- comotive. dresses the design of a locomotive with High voltage means an electrical po- respect to its crashworthiness and tential of more than 150 volts. crashworthiness features. Initial terminal means a location Distributed power system means a sys- where a train is originally assembled. tem that provides control of a number In-service event recorder means an of locomotives dispersed throughout a event recorder that was successfully train from a controlling locomotive lo- tested as prescribed in § 229.27(d) and cated in the lead position. The system whose subsequent failure to operate as provides control of the rearward loco- intended, if any, is not actually known motives by command signals origi- by the railroad operating the loco- nating at the lead locomotive and motive on which it is installed.

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Lateral means the horizontal direc- Monocoque design locomotive means a tion perpendicular to the direction of locomotive design where the shell or travel. skin acts as a single unit with the sup- Lead locomotive means the first loco- porting frame to resist and transmit motive proceeding in the direction of the loads acting on the locomotive. movement. MU locomotive means a multiple unit Lite locomotive means a locomotive or operated electric locomotive— a consist of locomotives not attached (1) With one or more propelling mo- to any piece of equipment or attached tors designed to carry freight or pas- only to a caboose. senger traffic or both; or Locomotive means a piece of on-track (2) Without propelling motors but equipment other than hi-rail, special- with one or more control stands and a ized maintenance, or other similar means of picking-up primary power equipment— such as a pantograph or third rail. (1) With one or more propelling mo- Narrow-nose locomotive means a loco- tors designed for moving other equip- motive with a short hood that spans ment; substantially less than the full width (2) With one or more propelling mo- of the locomotive. tors designed to carry freight or pas- Occupied service means the operation senger traffic or both; or of a locomotive when the cab is phys- (3) Without propelling motors but ically occupied by a person. with one or more control stands. Operator Control Unit (OCU) means a Locomotive cab means the compart- mobile unit that communicates via a ment or space on board a locomotive radio link the commands for movement where the control stand is located and (direction, speed, braking) or for oper- which is normally occupied by the en- ations (bell, horn, sand) to an RCL. gineer when the locomotive is oper- Other short-haul passenger service ated. means the type of railroad service de- Locomotive Control Unit (LCU) means scribed under the heading ‘‘Other a system onboard an RCL that commu- short-haul passenger service’’ in 49 nicates via a radio link which receives, CFR part 209, appendix A. processes, and confirms commands from the OCU, which directs the loco- Permanent deformation means the un- motive to execute them. dergoing of a permanent change in Longitudinal means in a direction shape of a structural member of a rail parallel to the normal direction of vehicle. travel. Potable water means water that meets Lot means a collection of loco- the requirements of 40 CFR part 141, motives, equipped with the same horn the Environmental Protection Agen- model, configuration, and location, and cy’s Primary Drinking Water Regula- the same air pressure and delivery sys- tions, or water that has been approved tem, which has been manufactured or for drinking and washing purposes by processed under essentially the same the pertinent state or local authority conditions. having jurisdiction. For purposes of Mandatory directive means any move- this part, commercially available, bot- ment authority or speed restriction tled drinking water is deemed potable that affects a railroad operation. water. Manufacture means the act of con- Powered axle is an axle equipped with structing a locomotive. a traction device. Modesty lock means a latch that can Power car means a rail vehicle that be operated in the normal manner only propels a Tier II passenger train or is from within the sanitary compartment, the lead vehicle in a Tier II passenger that is designed to prevent entry of an- train, or both. other person when the sanitary com- Qualified mechanical inspector means a partment is in use. A modesty lock person who has received instruction may be designed to allow deliberate and training that includes ‘‘hands-on’’ forced entry in the event of an emer- experience (under appropriate super- gency. vision or apprenticeship) in one or

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more of the following functions: trou- Remote Control Operator (RCO) means bleshooting, inspection, testing, main- a person who utilizes an OCU in con- tenance or repair of the specific loco- nection with operations involving a motive equipment for which the person RCL with or without cars. is assigned responsibility. This person Remote Control Pullback Protection shall also possess a current under- means a function of a RCL that en- standing of what is required to prop- forces speeds and stops in the direction erly repair and maintain the loco- of pulling movement. motive equipment for which the person Roof rail means the longitudinal is assigned responsibility. Further, the structural member at the intersection qualified mechanical inspector shall be of the side wall and the roof sheathing. a person whose primary responsibility Sand delivery system means a perma- includes work generally consistent nently stationed or fixed device de- with the functions listed in this defini- signed to deliver sand to locomotive tion. sand boxes that do not require the sand Railroad means all forms of non-high- to be manually delivered or loaded. A way ground transportation that run on sand delivery system will be considered rails or electromagnetic guideways, in- permanently stationed if it is at a loca- cluding: tion at least five days a week for at (1) Commuter or other short-haul rail least eight hours per day. passenger service in a metropolitan or Sanitary means lacking any condition suburban area, and in which any significant amount of (2) High speed ground transportation filth, trash, or human waste is present systems that connect metropolitan in such a manner that a reasonable areas, without regard to whether they person would believe that the condition use new technologies not associated might constitute a health hazard; or of with traditional railroads. Such term does not include rapid transit oper- strong, persistent, chemical or human ations within an urban area that are waste odors sufficient to deter use of not connected to the general railroad the facility, or give rise to a reasonable system of transportation. concern with respect to exposure to Remanufacture means the act of con- hazardous fumes. Such conditions in- structing a remanufactured loco- clude, but are not limited to, a toilet motive. bowl filled with human waste, soiled toilet paper, or other products used in Remanufactured locomotive means a locomotive rebuilt or refurbished from the toilet compartment, that are a previously used or refurbished present due to a defective toilet facil- underframe (‘‘deck’’), containing fewer ity that will not flush or otherwise re- than 25% previously used components move waste; visible human waste res- (measured by dollar value of the com- idue on the floor or toilet seat that is ponents). For calculation purposes, the present due to a toilet that overflowed; percentage of previously used compo- an accumulation of soiled paper towels nents is determined with equivalent or soiled toilet paper on the floor, toi- value of new parts and is calculated let facility, or sink; an accumulation of using dollar values from the same year visible dirt or human waste on the as the new parts used to remanufacture floor, toilet facility, or sink; and the locomotive. strong, persistent chemical or human Remote Control Locomotive (RCL) waste odors in the compartment. means a remote control locomotive Sanitation compartment means an en- that, through use of a radio link can be closed compartment on a railroad loco- operated by a person not physically motive that contains a toilet facility within the confines of the locomotive for employee use. cab. For purposes of this part, the term Self-monitoring event recorder means RCL does not refer to a locomotive or an event recorder that has the ability group of locomotives remotely con- to monitor its own operation and to trolled from the lead locomotive of a display an indication to the locomotive train, as in a distributed power ar- operator when any data required to be rangement. stored are not stored or when the

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stored data do not match the data re- Tier II means operating at speeds ex- ceived from sensors or data collection ceeding 125 mph but not exceeding 160 points. mph. Semi-monocoque design locomotive Time means either ‘‘time-of-day’’ or means a locomotive design where the ‘‘elapsed time’’ (from an arbitrarily de- skin or shell acts, to some extent, as a termined event) as determined by the single unit with the supporting frame manufacturer. In either case, the re- to resist and transmit the loads acting corder must be able to convert to an on the locomotive. accurate time-of-day with the time Semi-permanently coupled means cou- zone stated unless it is Greenwich pled by means of a drawbar or other mean time (UTC). coupling mechanism that requires Toilet facility means a system that tools to perform the uncoupling oper- automatically or on command of the ation. user removes human waste to a place Serious injury means an injury that results in the amputation of any ap- where it is treated, eliminated, or re- pendage, the loss of sight in an eye, the tained such that no solid or non-treat- fracture of a bone, or confinement in a ed liquid waste is thereafter permitted hospital for a period of more than 24 to be released into the bowl, urinal, or consecutive hours. room and that prevents harmful dis- Short hood means the part of the lo- charges of gases or persistent offensive comotive above the underframe located odors. between the cab and the nearest end of Transfer service means a freight train the locomotive. that travels between a point of origin Standards body means an industry and a point of final destination not ex- and/or professional organization or as- ceeding 20 miles and that is not per- sociation which conducts research and forming switching service. develops and/or issues policies, criteria, Ultimate strength means the load at principles, and standards related to the which a structural member fractures or rail industry. ceases to resist any load. Switching service means the classifica- Unsanitary means having any condi- tion of railroad freight and passenger tion in which any significant amount cars according to commodity or des- of filth, trash, or human waste is tination; assembling cars for train present in such a manner that a rea- movements; changing the position of sonable person would believe that the cars for purposes of loading, unloading, condition might constitute a health or weighing; placing locomotives and hazard; or strong, persistent, chemical cars for repair or storage; or moving or human waste odors sufficient to rail equipment in connection with deter use of the facility, or give rise to work service that does not constitute a a reasonable concern with respect to train movement. Throttle position means any and all of exposure to hazardous fumes. Such the discrete output positions indi- conditions include, but are not limited cating the speed/tractive effort char- to, a toilet bowl filled with human acteristic requested by the operator of waste, soiled toilet paper, or other the locomotive on which the throttle is products used in the toilet compart- installed. Together, the discrete output ment, that are present due to a defec- positions shall cover the entire range tive toilet facility that will not flush of possible speed/tractive effort charac- or otherwise remove waste; visible teristics. If the throttle has continu- human waste residue on the floor or ously variable segments, the event re- toilet seat that is present due to a toi- corder shall capture either: let that overflowed; an accumulation of (1) The exact level of speed/tractive soiled paper towels or soiled toilet effort characteristic requested, on a paper on the floor, toilet facility, or scale of zero (0) to one hundred percent sink; an accumulation of visible dirt or (100%) of the output variable or human waste on the floor, toilet facil- (2) A value converted from a percent- ity, or sink; and strong, persistent age to a comparable 0 to 8 digital sig- chemical or human waste odors in the nal. compartment.

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Upper 99% confidence limit means the website at www.fra.dot.gov contains a noise level below which 99% of all noise statement of agency civil penalty pol- level measurements must lie. icy. Washing system means a system for (c) Any person who knowingly and use by railroad employees to maintain willfully falsifies a record or report re- personal cleanliness that includes a se- quired by this part is subject to crimi- cured sink or basin, water, anti- nal penalties under 49 U.S.C. 21311. bacterial soap, and paper towels; or [77 FR 21342, Apr. 9, 2012, as amended at 77 antibacterial waterless soap and paper FR 24421, Apr. 24, 2012; 81 FR 43111, July 1, towels; or antibacterial moist 2016; 82 FR 16134, Apr. 3, 2017; 83 FR 60748, towelettes and paper towels; or any Nov. 27, 2018; 84 FR 23735, May 23, 2019; 84 FR other combination of suitable anti- 37074, July 31, 2019] bacterial cleansing agents. Wide-nose locomotive means a loco- § 229.9 Movement of non-complying lo- motive with a short hood that spans comotives. the full width of the locomotive. (a) Except as provided in paragraphs [70 FR 37938, June 30, 2005, as amended at 71 (b), (c), § 229.125(g), and § 229.131(b) and FR 36911, June 28, 2006; 71 FR 47666, Aug. 17, (c)(1), a locomotive with one or more 2006; 71 FR 61857, Oct. 19, 2006; 71 FR 63136, conditions not in compliance with this Oct. 27, 2006; 72 FR 59223, Oct. 19, 2007; 77 FR part may be moved only as a lite loco- 21342, Apr. 9, 2012; 83 FR 59217, Nov. 21, 2018] motive or a dead locomotive after the carrier has complied with the fol- § 229.7 Prohibited acts and penalties. lowing: (a) Federal Rail Safety Laws (49 (1) A qualified person shall deter- U.S.C. 20701–20703) make it unlawful for mine— any carrier to use or permit to be used (i) That it is safe to move the loco- on its line any locomotive unless the motive; and entire locomotive and its appur- (ii) The maximum speed and other re- tenances— strictions necessary for safely con- (1) Are in proper condition and safe ducting the movement; to operate in the service to which they (2)(i) The engineer in charge of the are put, without unnecessary peril to movement of the locomotive shall be life or limb; and notified in writing and inform all other (2) Have been inspected and tested as crew members in the cab of the pres- required by this part. ence of the non-complying locomotive (b) Any person (including but not and the maximum speed and other re- limited to a railroad; any manager, su- strictions determined under paragraph pervisor, official, or other employee or (a)(1)(ii) of this section. agent of a railroad; any owner, manu- (ii) A copy of the tag described in facturer, lessor, or lessee of railroad paragraph (a)(3) of this section may be equipment, track, or facilities; any em- used to provide the notification re- ployee of such owner, manufacturer, quired by paragraph (a)(2)(i) of this sec- lessor, lessee, or independent con- tion. tractor) who violates any requirement (3) A tag bearing the words ‘‘non- of this part or of the Federal Rail Safe- complying locomotive’’ and containing ty Laws or causes the violation of any the following information, shall be se- such requirement is subject to a civil curely attached to the control stand on penalty of at least $892, but not more each MU or control cab locomotive and than $29,192 per violation, except that: to the isolation switch or near the en- Penalties may be assessed against indi- gine start switch on every other type viduals only for willful violations, and, of locomotive— where a grossly negligent violation or (i) The locomotive number; a pattern of repeated violations has (ii) The name of the inspecting car- created an imminent hazard of death or rier; injury to persons, or has caused death (iii) The inspection location and or injury, a penalty not to exceed date; $116,766 per violation may be assessed. (iv) The nature of each defect; Each day a violation continues shall (v) Movement restrictions, if any; constitute a separate offense. FRA’s (vi) The destination; and

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(vii) The signature of the person (b) The locomotive number shall be making the determinations required by displayed in clearly legible numbers on this paragraph. each side of each locomotive. (b) A locomotive that develops a non- complying condition enroute may con- § 229.13 Control of locomotives. tinue to utilize its propelling motors, if Except when a locomotive is moved the requirements of paragraph (a) are in accordance with § 229.9, whenever otherwise fully met, until the earlier two or more locomotives are coupled in of— remote or multiple control, the propul- (1) The next calendar day inspection, sion system, the sanders, and the or power brake system of each locomotive (2) The nearest forward point where shall respond to control from the cab of the repairs necessary to bring it into the controlling locomotive. If a dy- compliance can be made. namic brake or regenerative brake sys- tem is in use, that portion of the sys- (c) A non-complying locomotive may tem in use shall respond to control be moved lite or dead within a yard, at from the cab of the controlling loco- speeds not in excess of 10 miles per motive. hour, without meeting the require- ments of paragraph (a) of this section if § 229.14 Non-MU control cab loco- the movement is solely for the purpose motives. of repair. The carrier is responsible to On each non-MU control cab loco- insure that the movement may be safe- motive, only those components added ly made. to the passenger car that enable it to (d) A dead locomotive may not con- serve as a lead locomotive, control the tinue in use following a calendar day locomotive actually providing tractive inspection as a controlling locomotive power, and otherwise control the move- or at the head of a train or locomotive ment of the train, are subject to this consist. part. (e) A locomotive does not cease to be a locomotive because its propelling § 229.15 Remote control locomotives. motor or motors are inoperative or be- (a) Design and operation. (1) Each lo- cause its control jumper cables are not comotive equipped with a locomotive connected. control unit (LCU) shall respond only (f) Nothing in this section authorizes to the operator control units (OCUs) the movement of a locomotive subject assigned to that receiver. to a Special Notice for Repair unless (2) If one or more OCUs are assigned the movement is made in accordance to a LCU, the LCU shall respond only with the restrictions contained in the to the OCU that is in primary com- Special Notice. mand. If a subsequent OCU is assigned (g) Paragraphs (a), (b), and (c) of this to a LCU, the previous assignment will section shall not apply to sanitation be automatically cancelled. conditions covered by §§ 229.137 and (3) If more than one OCU is assigned 229.139. Sections 229.137 and 229.139 set to a LCU, the secondary OCUs’ man forth specific requirements for the down feature, bell, horn, and emer- movement and repair of locomotives gency brake application functions shall with defective sanitation compart- remain active. The remote control sys- ments. tem shall be designed so that if the sig- nal from the OCU to the RCL is inter- [45 FR 21109, Mar. 31, 1980, as amended at 61 rupted for a set period not to exceed FR 8887, Mar. 6, 1996; 67 FR 16050, Apr. 4, 2002; five seconds, the remote control sys- 72 FR 59223, Oct. 19, 2007] tem shall cause: (i) A full service application of the § 229.11 Locomotive identification. locomotive and train brakes; and (a) The letter ‘‘F’’ shall be legibly (ii) The elimination of locomotive shown on each side of every locomotive tractive effort. near the end which for identification (4) Each OCU shall be designed to purposes will be known as the front control only one RCL at a time. OCU’s end. having the capability to control more

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than one RCL shall have a means to (ii) Throttle or speed control; lock in one RCL ‘‘assignment address’’ (iii) Locomotive independent air to prevent simultaneous control over brake application and release; more than one locomotive. (iv) Automatic train air brake appli- (5) If an OCU is equipped with an cation and release control; ‘‘on’’ and ‘‘off’’ switch, when the switch (v) Audible warning device control is moved from the ‘‘on’’ to the ‘‘off’’ (horn); position, the remote control system (vi) Audible bell control, if equipped; shall cause: (vii) Sand control (unless automatic); (i) A full service application of the (viii) Bi-directional headlight con- locomotive train brakes; and trol; (ii) The elimination of locomotive (ix) Emergency air brake application tractive effort. switch; (6) Each RCL shall have a distinct (x) Generator field switch or equiva- and unambiguous audible or visual lent to eliminate tractive effort to the warning device that indicates to near- locomotive; by personnel that the locomotive is (xi) Audio/visual indication of wheel under active remote control operation. slip, only if an audio/visual indication (7) When the main reservoir pressure is not provided by the RCL; drops below 90 psi while the RCL is moving, the RCL shall initiate a full (xii) Activate the audio indication of service application of the locomotive movement that is located on the RCL and train brakes, and eliminate loco- for a duration of at least 3 seconds; and motive tractive effort. (xiii) [Reserved] (8) When the air valves and the elec- (xiv) Require at least two separate trical selector switch on the RCL are actions by the RCO to begin movement moved from manual to remote control of the RCL. mode or from remote control to man- (13) Each OCU shall be equipped with ual mode, an emergency application of the following features: the locomotive and train brakes shall (i) A harness with a breakaway safe- be initiated. ty feature; (9) Operating control handles located (ii) An operator alertness device that in the RCL cab shall be removed, requires manual resetting or its equiv- pinned in place, protected electroni- alent. The alertness device shall incor- cally, or otherwise rendered inoperable porate a timing sequence not to exceed as necessary to prevent movement 60 seconds. Failure to reset the switch caused by the RCL’s cab controls while within the timing sequence shall cause the RCL is being operated by remote a service application of the locomotive control. and train brakes, and the elimination (10) The RCL system (both the OCU of locomotive tractive effort; and, and LCU), shall be designed to perform (iii) A tilt feature that, when tilted a self diagnostic test of the electronic to a predetermined angle, shall cause: components of the system. The system (A) An emergency application of the shall be designed to immediately effect locomotive and train brakes, and the a full service application of the loco- elimination of locomotive tractive ef- motive and train brakes and the elimi- fort; and nation of locomotive tractive effort in (B) If the OCU is equipped with a tilt the event a failure is detected. bypass system that permits the tilt (11) Each RCL shall be tagged at the protection feature to be temporarily locomotive control stand throttle indi- disabled, this bypass feature shall de- cating the locomotive is being used in activate within 60 seconds on the pri- a remote control mode. The tag shall mary OCU and within 60 seconds for all be removed when the locomotive is secondary OCUs, unless reactivated by placed back in manual mode. the RCO. (12) Each OCU shall have the fol- (14) Each OCU shall be equipped with lowing controls and switches and shall one of the following control systems: be capable of performing the following (i) An automatic speed control sys- functions: tem with a maximum 15 mph speed (i) Directional control; limiter; or

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(ii) A graduated throttle and brake. Code 800–424–0201. The report shall A graduated throttle and brake control state the nature of the accident, num- system built after September 6, 2012, ber of persons killed or seriously in- shall be equipped with a speed limiter jured, the place at which it occurred, to a maximum of 15 mph. the location at which the locomotive (15) RCL systems built after Sep- or the affected parts may be inspected tember 6, 2012, shall be equipped to by the FRA, and the name, title and automatically notify the railroad in phone number of the person making the event the RCO becomes incapaci- the call. The locomotive or the part or tated or OCU tilt feature is activated. parts affected by the accident shall be (16) RCL systems built prior to Sep- preserved intact by the carrier until tember 6, 2012, not equipped with auto- after the FRA inspection. matic notification of operator inca- (b) Written confirmation of the oral pacitated feature may not be utilized report required by paragraph (a) of this in one-person operation. section shall be immediately mailed to (b) Inspection, testing, and repair. (1) the Federal Railroad Administration, Each time an OCU is linked to a RCL, RRS–25, Washington, D.C. 20590, and and at the start of each shift, a rail- contain a detailed description of the road shall test: accident, including to the extent (i) The air brakes and the OCU’s safe- known, the causes and the number of ty features, including the tilt switch persons killed and injured. The written and alerter device; and (ii) The man down/tilt feature auto- report required by this paragraph is in matic notification. addition to the reporting requirements (2) An OCU shall not continue in use of 49 CFR part 225. with any defective safety feature iden- [79 FR 21636, Apr. 17, 2014] tified in paragraph (b)(1) of this sec- tion. § 229.19 Prior waivers. (3) A defective OCU shall be tracked Waivers from any requirement of this under its own identification number as- part, issued prior to June 8, 2012, shall signed by the railroad. Records of re- terminate on the date specified in the pairs shall be maintained by the rail- letter granting the waiver. If no date is road and made available to FRA upon specified, then the waiver shall auto- request. matically terminate on June 8, 2017. (4) Each time an RCL is placed in service and at the first practical time [77 FR 21343, Apr. 9, 2012] after the start of each shift, but no more than 2 hours after the start of § 229.20 Electronic recordkeeping. that shift, locomotives that utilize a (a) For purposes of compliance with positive train stop system, such as re- the recordkeeping requirements of this mote control pullback protection, shall part, except for the daily inspection perform a conditioning run over a record maintained on the locomotive track that the positive train stop sys- required by § 229.21, the cab copy of tem is being utilized on to ensure that Form FRA F 6180–49–A required by the system functions as intended. § 229.23, the fragmented air brake main- [77 FR 21342, Apr. 9, 2012, as amended at 77 tenance record required by § 229.27, and FR 75056, Dec. 19, 2012] records required under § 229.9, a rail- road may create, maintain, and trans- § 229.17 Accident reports. fer any of the records required by this (a) In the case of an accident due to part through electronic transmission, a failure from any cause of a loco- storage, and retrieval provided that all motive or any part or appurtenance of of the requirements contained in this a locomotive, or a person coming in section are met. contact with an electrically energized (b) Design requirements. Any elec- part or appurtenance, that results in tronic record system used to create, serious injury or death of one or more maintain, or transfer a record required persons, the carrier operating the loco- to be maintained by this part shall motive shall immediately report the meet the following design require- accident by toll free telephone, Area ments:

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(1) The electronic record system shall tained for compliance with this part be designed such that the integrity of for any specific locomotives at any me- each record is maintained through ap- chanical department terminal upon re- propriate levels of security such as rec- quest; ognition of an electronic signature, or (2) Paper copies of electronic records other means, which uniquely identify and amendments to those records that the initiating person as the author of may be necessary to document compli- that record. No two persons shall have ance with this part, shall be provided the same electronic identity; to FRA for inspection and copying (2) The electronic system shall en- upon request. Paper copies shall be pro- sure that each record cannot be modi- vided to FRA no later than 15 days fied, or replaced, once the record is from the date the request is made; and, transmitted; (3) Inspection records required by (3) Any amendment to a record shall this part shall be available to persons be electronically stored apart from the who performed the inspection and to record which it amends. Each amend- persons performing subsequent inspec- ment to a record shall uniquely iden- tions on the same locomotive. tify the person making the amend- ment; [77 FR 21343, Apr. 9, 2012, as amended at 77 FR 75056, Dec. 19, 2012] (4) The electronic system shall pro- vide for the maintenance of inspection records as originally submitted with- Subpart B—Inspections and Tests out corruption or loss of data; and (5) Policies and procedures shall be in § 229.21 Daily inspection. place to prevent persons from altering (a) Except for MU locomotives, each electronic records, or otherwise inter- locomotive in use shall be inspected at fering with the electronic system. least once during each calendar day. A (c) Operational requirements. Any elec- written report of the inspection shall tronic record system used to create, be made. This report shall contain the maintain, or transfer a record required name of the carrier; the initials and to be maintained by this part shall number of the locomotive; the place, meet the following operating require- date and time of the inspection; a de- ments: scription of the non-complying condi- (1) The electronic storage of any tions disclosed by the inspection; and record required by this part shall be the signature of the employee making initiated by the person performing the the inspection. Except as provided in activity to which the record pertains §§ 229.9, 229.137, and 229.139, any condi- within 24 hours following the comple- tions that constitute non-compliance tion of the activity; and with any requirement of this part shall (2) For each locomotive for which be repaired before the locomotive is records of inspection or maintenance used. Except with respect to conditions required by this part are maintained that do not comply with § 229.137 or electronically, the electronic record § 229.139, a notation shall be made on system shall automatically notify the the report indicating the nature of the railroad each time the locomotive is repairs that have been made. Repairs due for an inspection, or maintenance made for conditions that do not comply that the electronic system is tracking. with § 229.137 or § 229.139 may be noted The automatic notification tracking on the report, or in electronic form. requirement does not apply to daily in- The person making the repairs shall spections. sign the report. The report shall be (d) Accessibility and availability re- filed and retained for at least 92 days in quirements. Any electronic record sys- the office of the carrier at the terminal tem used to create, maintain, or trans- at which the locomotive is cared for. A fer a record required to be maintained record shall be maintained on each lo- by this part shall meet the following comotive showing the place, date and access and availability requirements: time of the previous inspection. (1) Except as provided in (b) Each MU locomotive in use shall § 229.313(c)(2), the carrier shall provide be inspected at least once during each FRA with all electronic records main- calendar day and a written report of

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the inspection shall be made. This re- (1) The interval between periodic in- port may be part of a single master re- spections shall not exceed 184 days; and port covering an entire group of MU’s. (2) At least once each 33 days, the If any non-complying conditions are daily inspection required by § 229.21, found, a separate, individual report shall be performed by a qualified me- shall be made containing the name of chanical inspector as defined by § 229.5. the carrier; the initials and number of A record of the inspection that con- the locomotive; the place, date, and tains the name of the person per- time of the inspection; the non-com- forming the inspection and the date plying conditions found; and the signa- that it was performed shall be main- ture of the inspector. Except as pro- tained in the locomotive cab until the vided in §§ 229.9, 229.137, and 229.139, any next periodic inspection is performed. conditions that constitute non-compli- (c) Each new locomotive shall receive ance with any requirement of this part an initial periodic inspection before it shall be repaired before the locomotive is used. is used. Except with respect to condi- tions that do not comply with § 229.137 (d) At the initial periodic inspection, or § 229.139, a notation shall be made on the date and place of the last tests per- the report indicating the nature of the formed that are the equivalent of the repairs that have been made. Repairs tests required by §§ 229.27, 229.29, and made for conditions that do not comply 229.31 shall be entered on Form FRA F with § 229.137 or § 229.139 may be noted 6180–49A. These dates shall determine on the report, or in electronic form. A when the tests first become due under notation shall be made on the report §§ 229.27, 229.29, and 229.31. Out of use indicating the nature of the repairs credit may be carried over from Form that have been made. The person mak- FRA F 6180–49 and entered on Form ing the repairs shall sign the report. FRA F 6180–49A. The report shall be filed in the office of (e) Each periodic inspection shall be the carrier at the place where the in- recorded on Form FRA F 6180–49A. The spection is made or at one central loca- form shall be signed by the person con- tion and retained for at least 92 days. ducting the inspection and certified by (c) Each carrier shall designate quali- that person’s supervisor that the work fied persons to make the inspections was done. The form shall be displayed required by this section. under a transparent cover in a con- spicuous place in the cab of each loco- [45 FR 21109, Mar. 31, 1980, as amended at 50 FR 6953, Feb. 19, 1985; 67 FR 16050, Apr. 4, motive. A railroad maintaining and 2002] transferring records as provided for in § 229.20 shall print the name of the per- § 229.23 Periodic inspection: general. son who performed the inspections, re- (a) Each locomotive shall be in- pairs, or certified work on the Form spected at each periodic inspection to FRA F 6180–49A that is displayed in the determine whether it complies with cab of each locomotive. this part. Except as provided in § 229.9, (f) At the first periodic inspection in all non-complying conditions shall be each calendar year, the carrier shall re- repaired before the locomotive is used. move from each locomotive Form FRA Except as provided in § 229.33 and para- F 6180–49A covering the previous cal- graph (b) of this section, the interval endar year. If a locomotive does not re- between any two periodic inspections ceive its first periodic inspection in a may not exceed 92 days. Periodic in- calendar year before April 2, or July 3 spections shall only be made where if it’s a locomotive equipped with ad- adequate facilities are available. At vanced microprocessor-based on-board each periodic inspection, a locomotive electronic condition monitoring con- shall be positioned so that a person trols, because it is out of use, the form may safely inspect the entire under- shall be promptly replaced. The Form neath portion of the locomotive. FRA F 6180–49A covering the preceding (b) For each locomotive equipped year for each locomotive, in or out of with advanced microprocessor-based use, shall be signed by the railroad offi- on-board electronic condition moni- cial responsible for the locomotive and toring controls: filed as required in § 229.23(f). The date

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and place of the last periodic inspec- (d) Event recorder. A microprocessor- tion and the date and place of the last based self-monitoring event recorder, if tests performed under §§ 229.27, 229.29, installed, is exempt from periodic in- and 229.31 shall be transferred to the spection under paragraphs (d)(1) replacement Form FRA F 6180–49A. through (5) of this section and shall be (g) The railroad mechanical officer inspected annually as required by who is in charge of a locomotive shall § 229.27(c). Other types of event record- maintain in his office a secondary ers, if installed, shall be inspected, record of the information reported on maintained, and tested in accordance Form FRA F 6180–49A. The secondary with instructions of the manufacturer, record shall be retained until Form supplier, or owner thereof and in ac- FRA F 6180–49A has been removed from cordance with the following criteria: the locomotive and filed in the railroad (1) A written or electronic copy of office of the mechanical officer in the instructions in use shall be kept at charge of the locomotive. If the Form FRA F 6180–49A removed from the loco- the point where the work is performed motive is not clearly legible, the sec- and a hard-copy version, written in the ondary record shall be retained until English language, shall be made avail- the Form FRA F 6180–49A for the suc- able upon request to FRA. ceeding year is filed. The Form F 6180– (2) The event recorder shall be tested 49A removed from a locomotive shall before any maintenance work is per- be retained until the Form FRA F 6180– formed on it. At a minimum, the event 49A for the succeeding year is filed. recorder test shall include cycling, as (h) The railroad shall maintain, and practicable, all required recording ele- provide employees performing inspec- ments and determining the full range tions under this section with, a list of of each element by reading out re- the defects and repairs made on each corded data. locomotive since the date that the last (3) If the pre-maintenance test re- inspection required by this section was veals that the device is not recording performed; all the specified data and that all re- (i) The railroad shall provide employ- cordings are within the designed re- ees performing inspections under this cording elements, this fact shall be section with a document containing all noted, and maintenance and testing tests conducted since the last periodic shall be performed as necessary until a inspection, and procedures needed to subsequent test is successful. perform the inspection. (4) When a successful test is accom- [77 FR 21344, Apr. 9, 2012, as amended at 77 plished, a copy of the data-verification FR 75056, Dec. 19, 2012] results shall be maintained in any me- dium with the maintenance records for § 229.25 Tests: Every periodic inspec- the locomotive until the next one is tion. filed. Each periodic inspection shall in- (5) A railroad’s event recorder peri- clude the following: odic maintenance shall be considered (a) All mechanical gauges used by the effective if 90 percent of the recorders engineer to aid in the control or brak- on locomotives inbound for periodic in- ing of the train or locomotive, except spection in any given calendar month load meters used in conjunction with are still fully functional; maintenance an auxiliary brake system, shall be practices and test intervals shall be ad- tested by comparison with a dead- justed as necessary to yield effective weight tester or a test gauge designed periodic maintenance. for this purpose. (e) Remote control locomotive. Remote (b) All electrical devices and visible control locomotive system components insulation shall be inspected. that interface with the mechanical de- (c) All cable connections between lo- comotives and jumpers that are de- vices of the locomotive shall be tested signed to carry 600 volts or more shall including, but not limited to, air pres- be thoroughly cleaned, inspected, and sure monitoring devices, pressure tested for continuity. switches, and speed sensors.

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(f) Alerters. The alerter shall be test- subsequent test is successful. When a ed, and all automatic timing resets successful test is accomplished, a shall function as intended. record, in any medium, shall be made [45 FR 21109, Mar. 31, 1980, as amended at 58 of that fact and of any maintenance FR 36614, July 8, 1993; 60 FR 27905, May 26, work necessary to achieve the success- 1995; 66 FR 4192, Jan. 17, 2001; 70 FR 37939, ful result. This record shall be kept at June 30, 2005; 77 FR 21344, Apr. 9, 2012] the location where the locomotive is maintained until a record of a subse- § 229.27 Annual tests. quent successful test is filed. The (a) All testing under this section download shall be taken from informa- shall be performed at intervals that do tion stored in the certified crash- not exceed 368 calendar days. worthy crash hardened event recorder (b) Load meters that indicate current memory module if the locomotive is so (amperage) being applied to traction equipped. motors shall be tested. Each device [77 FR 21345, Apr. 9, 2012] used by the engineer to aid in the con- trol or braking of the train or loco- § 229.29 Air brake system calibration, motive that provides an indication of maintenance, and testing. air pressure electronically shall be tested by comparison with a test gauge (a) A locomotive’s air brake system or self-test designed for this purpose. shall receive the calibration, mainte- An error greater than five percent or nance, and testing as prescribed in this greater than three pounds per square section. The level of maintenance and inch shall be corrected. The date and testing and the intervals for receiving place of the test shall be recorded on such maintenance and testing of loco- Form FRA F 6180–49A, and the person motives with various types of air brake conducting the test and that person’s systems shall be conducted in accord- supervisor shall sign the form. ance with paragraphs (d) through (f) of (c) A microprocessor-based event re- this section. Records of the mainte- corder with a self-monitoring feature nance and testing required in this sec- equipped to verify that all data ele- tion shall be maintained in accordance ments required by this part are re- with paragraph (g) of this section. corded, requires further maintenance (b) Except for DMU or MU loco- and testing only if either of the fol- motives covered under § 238.309 of this lowing conditions exist: chapter, the air flow method (AFM) in- (1) The self-monitoring feature dis- dicator shall be calibrated in accord- plays an indication of a failure. If a ance with § 232.205(c)(1)(iii) at intervals failure is displayed, further mainte- not to exceed 92 days, and records shall nance and testing must be performed be maintained as prescribed paragraph until a subsequent test is successful. (g)(1) of this section. When a successful test is accomplished, (c) Except for DMU or MU loco- a record, in any medium, shall be made motives covered under § 238.309 of this of that fact and of any maintenance chapter, the extent of air brake system work necessary to achieve the success- maintenance and testing that is re- ful result. This record shall be avail- quired on a locomotive shall be in ac- able at the location where the loco- cordance with the following levels: motive is maintained until a record of (1) Level one: Locomotives shall have a subsequent successful test is filed; or, the filtering devices or dirt collectors (2) A download of the event recorder, located in the main reservoir supply taken within the preceding 30 days and line to the air brake system cleaned, reviewed for the previous 48 hours of repaired, or replaced. locomotive operation, reveals a failure (2) Level two: Locomotives shall have to record a regularly recurring data the following components cleaned, re- element or reveals that any required paired, and tested: brake cylinder relay data element is not representative of valve portions; main reservoir safety the actual operations of the locomotive valves; brake pipe vent valve portions; during this time period. If the review is and, feed and reducing valve portions not successful, further maintenance in the air brake system (including re- and testing shall be performed until a lated dirt collectors and filters).

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(3) Level three: Locomotives shall maintained in accordance with the fol- have the components identified in this lowing: paragraph removed from the loco- (1) The date of AFM indicator cali- motive and disassembled, cleaned and bration shall be recorded and certified lubricated (if necessary), and tested. In on Form F6180–49A. addition, all parts of such components (2) The date and place of the clean- that can deteriorate within the inspec- ing, repairing and testing required by tion interval as defined in paragraphs this section shall be recorded on Form (d) through (f) of this section shall be FRA F 6180–49A, and the work shall be replaced and tested. The components certified. A record of the parts of the include: all pneumatic components of air brake system that are cleaned, re- the locomotive equipment’s brake sys- paired, and tested shall be kept in the tem that contain moving parts, and are railroad’s files or in the cab of the loco- sealed against air leaks; all valves and motive. valve portions; electric-pneumatic (3) At its option, a railroad may frag- master controllers in the air brake sys- ment the work required by this sec- tem; and all air brake related filters tion. In that event, a separate record and dirt collectors. (d) Except for MU locomotives cov- shall be maintained under a trans- ered under § 238.309 of this chapter, all parent cover in the cab. The air record locomotives shall receive level one air shall include: the locomotive number; brake maintenance and testing as de- a list of the air brake components; and scribed in this section at intervals that the date and place of the inspection do not exceed 368 days. and testing of each component. The (e) Locomotives equipped with an air signature of the person performing the brake system not specifically identi- work and the signature of that person’s fied in paragraphs (f)(1) through (3) of supervisor shall be included for each this section shall receive level two air component. A duplicate record shall be brake maintenance and testing as de- maintained in the railroad’s files. scribed in this section at intervals that [77 FR 21345, Apr. 9, 2012, as amended at 77 do not exceed 368 days and level three FR 75057, Dec. 19, 2012] air brake maintenance and testing at intervals that do not exceed 736 days. § 229.31 Main reservoir tests. (f) Level two and level three air (a) Before it is placed in service, each brake maintenance and testing shall be main reservoir other than an alu- performed on each locomotive identi- fied in this paragraph at the following minum reservoir shall be subjected to a intervals: pneumatic or hydrostatic pressure of (1) At intervals that do not exceed at least 25 percent more than the max- 1,104 days for a locomotive equipped imum working pressure fixed by the with a 26–L or equivalent brake sys- chief mechanical officer. The test date, tem; place, and pressure shall be recorded on (2) At intervals that do not exceed Form FRA F 6180–49A, block eighteen. 1,472 days for locomotives equipped Except as provided in paragraph (c) of with an air dryer and a 26–L or equiva- this section, at intervals that do not lent brake system and for locomotives exceed 736 calendar days, each main not equipped with an air compressor reservoir other than an aluminum res- and that are semi-permanently coupled ervoir shall be subjected to a hydro- and dedicated to locomotives with an static pressure of at least 25 percent air dryer; or more than the maximum working pres- (3) At intervals that do not exceed sure fixed by the chief mechanical offi- 1,840 days for locomotives equipped cer. The test date, place, and pressure with CCB–1, CCB–2, CCB–26, EPIC 1 shall be recorded on Form FRA F 6180– (formerly EPIC 3102), EPIC 3102D2, 49A, and the person performing the test EPIC 2, KB–HS1, or Fastbrake brake and that person’s supervisor shall sign systems. the form. (g) Records of the air brake system (b) Except as provided in paragraph maintenance and testing required by (c) of this section, each main reservoir this section shall be generated and other than an aluminum reservoir shall

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be hammer tested over its entire sur- nal surfaces for evidence of defects or face while the reservoir is empty at in- deterioration; and tervals that do not exceed 736 calendar (2) Subjected to a hydrostatic pres- days. The test date and place shall be sure at least twice the maximum work- recorded on Form FRA F 6180–49A, and ing pressure fixed by the chief mechan- the person performing the test and ical officer, but not less than 250 p.s.i. that person’s supervisor shall sign the The test date, place, and pressure shall form. be recorded on Form FRA F 6180–49A, (c) Each welded main reservoir origi- and the person conducting the test and nally constructed to withstand at least that person’s supervisor shall sign the five times the maximum working pres- form. sure fixed by the chief mechanical offi- [45 FR 21109, Mar. 31, 1980, as amended at 71 cer may be drilled over its entire sur- FR 61857, Oct. 19, 2006] face with telltale holes that are three- sixteenths of an inch in diameter. The § 229.33 Out-of-use credit. holes shall be spaced not more than 12 When a locomotive is out of use for 30 inches apart, measured both longitu- or more consecutive days or is out of dinally and circumferentially, and use when it is due for any test or in- drilled from the outer surface to an ex- spection required by § 229.23, § 229.25, treme depth determined by the for- § 229.27, § 229.29, or § 229.31, an out-of-use mula— notation showing the number of out-of- D = (.6PR/S–0.6P) use days shall be made on an inspec- tion line on Form FRA F 6180–49A. A Where: supervisory employee of the carrier D = extreme depth of telltale holes in inches who is responsible for the locomotive but in no case less than one-sixteenth shall attest to the notation. If the loco- inch; motive is out of use for one or more pe- P = certified working pressure in pounds per riods of at least 30 consecutive days square inch; each, the interval prescribed for any S = one-fifth of the minimum specified ten- test or inspection under this part may sile strength of the material in pounds per square inch; and be extended by the number of days in R = inside radius of the reservoir in inches. each period the locomotive is out of use since the last test or inspection in One row of holes shall be drilled question. A movement made in accord- lengthwise of the reservoir on a line ance with § 229.9 is not a use for pur- intersecting the drain opening. A res- poses of determining the period of the ervoir so drilled does not have to meet out-of-use credit. the requirements of paragraphs (a) and (b) of this section, except the require- Subpart C—Safety Requirements ment for a pneumatic or hydrostatic test before it is placed in use. When- GENERAL REQUIREMENTS ever any such telltale hole shall have penetrated the interior of any res- § 229.41 Protection against personal ervoir, the reservoir shall be perma- injury. nently withdrawn from service. A res- Fan openings, exposed gears and pin- ervoir now in use may be drilled in lieu ions, exposed moving parts of mecha- of the tests provided for by paragraphs nisms, pipes carrying hot gases and (a) and (b) of this section, but shall re- high-voltage equipment, switches, cir- ceive a hydrostatic test before it is re- cuit breakers, contactors, relays, grid turned to use or may receive a pneu- resistors, and fuses shall be in non-haz- matic test if conducted by the manu- ardous locations or equipped with facturer in an appropriately safe envi- guards to prevent personal injury. ronment. (d) Each aluminum main reservoir § 229.43 Exhaust and battery gases. before being placed in use and at inter- (a) Products of combustion shall be vals that do not exceed 736 calendar released entirely outside the cab and days thereafter, shall be— other compartments. Exhaust stacks (1) Cleaned and given a thorough vis- shall be of sufficient height or other ual inspection of all internal and exter- means provided to prevent entry of

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products of combustion into the cab or non-functional valves so as to allow other compartments under usual oper- safe operation of the brake systems ating conditions. from the controlling locomotive; (b) Battery containers shall be vent- (3) If deactivation of the circuit ed and batteries kept from gassing ex- breaker for the air brake system is re- cessively. quired, it shall be specified in the rail- road’s operating rules; § 229.45 General condition. (4) A tag shall immediately be placed All systems and components on a lo- on the isolation switch of the loco- comotive shall be free of conditions motive giving the date and location that endanger the safety of the crew, and stating that the unit may only be locomotive or train. These conditions used in a trailing position and may not include: insecure attachment of compo- be used as a lead or controlling loco- nents, including third rail shoes or motive; beams, traction motors and motor gear (5) The tag required in paragraph cases, and fuel tanks; fuel, oil, water, (b)(4) of this section remains attached steam, and other leaks and accumula- to the isolation switch of the loco- tions of oil on electrical equipment that create a personal injury hazard; motive until repairs are made; and improper functioning of components, (6) The inoperative or ineffective including slack adjusters, pantograph brake control system is repaired prior operating cylinders, circuit breakers, to or at the next periodic inspection. contactors, relays, switches, and fuses; [77 FR 21346, Apr. 9, 2012] and cracks, breaks, excessive wear and other structural infirmities of compo- § 229.47 Emergency brake valve. nents, including quill drives, axles, (a) Except for locomotives with cabs gears, pinions, pantograph shoes and designed for occupancy by only one horns, third rail beams, traction motor person, each road locomotive shall be gear cases, and fuel tanks. equipped with a brake pipe valve that BRAKE SYSTEM is accessible to a member of the crew, other than the engineer, from that § 229.46 Brakes: general. crew member’s position in the cab. On (a) Before each trip, the railroad car body type locomotives, a brake shall know the following: pipe valve shall be attached to the wall (1) The locomotive brakes and de- adjacent to each end exit door. The vices for regulating pressures, includ- words ‘‘Emergency Brake Valve’’ shall ing but not limited to the automatic be legibly stenciled or marked near and independent brake control sys- each brake pipe valve or shall be shown tems, operate as intended; and on an adjacent badge plate. (2) The water and oil have been (b) DMU, MU, and control cab loco- drained from the air brake system of motives operated in road service shall all locomotives in the consist. be equipped with an emergency brake (b) A locomotive with an inoperative valve that is accessible to another crew or ineffective automatic or inde- member in the passenger compartment pendent brake control system will be or vestibule. The words ‘‘Emergency considered to be operating as intended Brake Valve’’ shall be legibly stenciled for purposes of paragraph (a) of this or marked near each valve or shall be section, if all of the following condi- shown on an adjacent badge plate. tions are met: (1) The locomotive is in a trailing po- [45 FR 21109, Mar. 31, 1980, as amended at 71 sition and is not the controlling loco- FR 61857, Oct. 19, 2006] motive in a distributed power train § 229.49 Main reservoir system. consist; (2) The railroad has previously deter- (a)(1) The main reservoir system of mined, in conjunction with the loco- each locomotive shall be equipped with motive and/or airbrake manufacturer, at least one safety valve that shall pre- that placing such a locomotive in trail- vent an accumulation of pressure of ing position adequately isolates the more than 15 pounds per square inch

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above the maximum working air pres- five times its maximum working pres- sure fixed by the chief mechanical offi- sure or 800 p.s.i., whichever is greater. cer of the carrier operating the loco- (4) Each aluminum main reservoir motive. shall have at least two inspection open- (2) Except for non-equipped MU loco- ings to permit complete circumferen- motives built prior to January 1, 1981, tial visual observation of the interior each locomotive that has a pneumati- surface. On reservoirs less than 18 cally actuated system of power con- inches in diameter, the size of each in- trols shall be equipped with a separate spection opening shall be at least that reservoir of air under pressure to be of 11⁄2-inch threaded iron pipe, and on used for operating those power con- reservoirs 18 or more inches in diame- trols. The reservoir shall be provided ter, the size of each opening shall be at with means to automatically prevent least that of 2-inch threaded iron pipe. the loss of pressure in the event of a (b) The following publications, which failure of main air pressure, have stor- contain the industry standards incor- age capacity for not less than three porated by reference in paragraph (a) of complete operating cycles of control this section, may be obtained from the equipment and be located where it is publishers and are also on file in the not exposed to damage. Office of Safety of the Federal Railroad (b) A governor shall be provided that Administration, Washington, DC 20590. stops and starts or unloads and loads Sections II and VIII of the ‘‘ASME the air compressor within 5 pounds per Boiler and Pressure Vessel Code’’ (1971 square inch above or below the max- edition) are published by the American imum working air pressure fixed by the carrier. Society of Mechanical Engineers, United Engineering Center, 345 East (c) Each compressor governor used in connection with the automatic air 47th Street, New York, New York 10017. brake system shall be adjusted so that § 229.53 Brake gauges. the compressor will start when the main reservoir pressure is not less than All mechanical gauges and all de- 15 pounds per square inch above the vices providing indication of air pres- maximum brake pipe pressure fixed by sure electronically that are used by the the carrier and will not stop the com- engineer to aid in the control or brak- pressor until the reservoir pressure has ing of the train or locomotive shall be increased at least 10 pounds. located so that they may be conven- iently read from the engineer’s usual § 229.51 Aluminum main reservoirs. position during operation of the loco- (a) Aluminum main reservoirs used motive. A gauge or device shall not be on locomotives shall be designed and more than five percent or three pounds fabricated as follows: per square inch in error, whichever is (1) The heads and shell shall be made less. of Aluminum Association Alloy No. [66 FR 4192, Jan. 17, 2001] 5083–0, produced in accordance with American Society of Mechnical Engi- § 229.55 Piston travel. neers (ASME) Specification SB–209, as defined in the ‘‘ASME Boiler and Pres- (a) Brake cylinder piston travel shall sure Vessel Code’’ (1971 edition), sec- be sufficient to provide brake shoe tion II, Part B, page 123, with a min- clearance when the brakes are released. imum tensile strength of 40,000 p.s.i. (40 (b) When the brakes are applied on a k.s.i.). standing locomotive, the brake cyl- (2) Each aluminum main reservoir inder piston travel may not exceed 11⁄2 shall be designed and fabricated in ac- inches less than the total possible pis- cordance with the ‘‘ASME Boiler and ton travel. The total possible piston Pressure Vessel Code,’’ section VIII, travel for each locomotive shall be en- Division I (1971 edition), except as oth- tered on Form FRA F 6180–49A. erwise provided in this part. (c) The minimum brake cylinder (3) An aluminum main reservoir shall pressure shall be 30 pounds per square be constructed to withstand at least inch.

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§ 229.57 Foundation brake gear. (3) A coupler assembly without anti- creep protection. A lever, rod, brake beam, hanger, or (4) Free slack in the coupler or draw- pin may not be worn through more bar not absorbed by friction devices or than 30 percent of its cross-sectional draft gears that exceeds one-half area, cracked, broken, or missing. All inches. pins shall be secured in place with cotters, split keys, or nuts. Brake (5) A broken or cracked coupler car- shoes shall be fastened with a brake rier. shoe key and aligned in relation to the (6) A broken or cracked yoke. wheel to prevent localized thermal (7) A broken draft gear. stress in the edge of the rim or the (b) A device shall be provided under flange. the lower end of all drawbar pins and articulated connection pins to prevent § 229.59 Leakage. the pin from falling out of place in case of breakage. (a) Leakage from the main air res- ervoir and related piping may not ex- [77 FR 21346, Apr. 9, 2012] ceed an average of 3 pounds per square inch per minute for 3 minutes after the SUSPENSION SYSTEM pressure has been reduced to 60 percent of the maximum pressure. § 229.63 Lateral motion. (b) Brake pipe leakage may not ex- (a) Except as provided in paragraph ceed 5 pounds per square inch per (b), the total uncontrolled lateral mo- minute. tion between the hubs of the wheels (c) With a full service application at and boxes, between boxes and pedestals maximum brake pipe pressure and with or both, on any pair of wheels may not communication to the brake cylinders exceed 1 inch on non-powered axles and closed, the brakes shall remain applied friction bearing powered axles, or 3⁄4 at least 5 minutes. inch on all other powered axles. (d) Leakage from control air res- (b) The total uncontrolled lateral ervoir, related piping, and pneumati- motion may not exceed 11⁄4 inches on cally operated controls may not exceed the center axle of three-axle trucks. an average of 3 pounds per square inch per minute for 3 minutes. § 229.64 Plain bearings. A plain bearing box shall contain DRAFT SYSTEM visible free oil and may not be cracked to the extent that it will leak oil. § 229.61 Draft system. (a) A coupler may not have any of § 229.65 Spring rigging. the following conditions: (a) Protective construction or safety (1) A distance between the guard arm hangers shall be provided to prevent and the knuckle nose of more than 55⁄16 spring planks, spring seats or bolsters inches on D&E couplers. from dropping to track structure in (2) A crack or break in the side wall event of a hanger or spring failure. or pin bearing bosses outside of the (b) An elliptical spring may not have shaded areas shown in Figure 1 or in its top (long) leaf broken or any other the pulling face of the knuckle. 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 bro- ken or leaking clearly formed droplets of oil or other fluid.

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§ 229.67 Trucks. § 229.73 Wheel sets. (a) The male center plate shall ex- (a) The variation in the circum- tend into the female center plate at ference of wheels on the same axle may 1 least 3⁄4 inch. On trucks constructed to not exceed ⁄4 inch (two tape sizes) transmit tractive effort through the when applied or turned. center plate or center pin, the male (b) The maximum variation in the di- center plate shall extend into the fe- ameter between any two wheel sets in male center plate at least 11⁄2 inches. a three-powered-axle truck may not ex- 3 Maximum lost motion in a center plate ceed ⁄4 inch, except that when shims are used at the journal box springs to assemblage may not exceed 1⁄2 inch. compensate for wheel diameter vari- (b) Each locomotive shall have a de- ation, the maximum variation may not vice or securing arrangement to pre- exceed 11⁄4 inch. The maximum vari- vent the truck and locomotive body ation in the diameter between any two from separating in case of derailment. wheel sets on different trucks on a lo- (c) A truck may not have a loose tie comotive that has three-powered-axle bar or a cracked or broken center cast- trucks may not exceed 11⁄4 inch. The di- ing, motor suspension lug, equalizer, ameter of a wheel set is the average di- hanger, gib or pin. A truck frame may ameter of the two wheels on an axle. not be broken or have a crack in a (c) On standard gauge locomotives, stress area that may affect its struc- the distance between the inside gauge tural integrity. of the flanges on non-wide flange wheels may not be less than 53 inches § 229.69 Side bearings. or more than 531⁄2 inches. The distance (a) Friction side bearings with between the inside gauge of the flanges springs designed to carry weight may on wide flange wheels may not be less not have more than 25 percent of the than 53 inches or more than 531⁄4 inches. springs in any one nest broken. (d) The distance back to back of (b) Friction side bearings may not be flanges of wheels mounted on the same 1 run in contact unless designed to carry axle shall not vary more than ⁄4 inch. weight. Maximum clearance of side § 229.75 Wheels and tire defects. bearings may not exceed one-fourth inch on each side or a total of one-half Wheels and tires may not have any of inch on both sides, except where more the following conditions: 1 than two side bearings are used under (a) A single flat spot that is 2 ⁄2 inches or more in length, or two ad- the same rigid superstructure. The joining spots that are each two or more clearance on one pair of side bearings inches in length. under the same rigid superstructure (b) A gouge or chip in the flange that shall not exceed one-fourth inch on is more than 11⁄2 inches in length and 1⁄2 each side or a total of one-half inch on inch in width. both sides; the other side bearings (c) A broken rim, if the tread, meas- under the same rigid superstructure ured from the flange at a point five- may have one-half inch clearance on eighths inch above the tread, is less each side or a total of 1 inch on both than 33⁄4 inches in width. sides. These clearances apply where the (d) A shelled-out spot 21⁄2 inches or spread of the side bearings is 50 inches more in length, or two adjoining spots or less; where the spread is greater, the that are each two or more inches in side bearing clearance may only be in- length. creased proportionately. (e) A seam running lengthwise that is within 33⁄4 inches of the flange. § 229.71 Clearance above top of rail. (f) A flange worn to a 7⁄8 inch thick- No part or appliance of a locomotive ness or less, gauged at a point 3⁄8 inch except the wheels, flexible nonmetallic above the tread. sand pipe extension tips, and trip cock (g) A tread worn hollow 5⁄16 inch or arms may be less than 21⁄2 inches above more on a locomotive in road service 3 the top of rail. or ⁄8 inch or more on a locomotive in switching service.

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(h) A flange height of 11⁄2 inches or insulating the current collecting appa- more measured from tread to the top of ratus from the third rail. the flange. (i) Tires less than 11⁄2 inches thick. § 229.83 Insulation or grounding of (j) Rims less than 1 inch thick on a metal parts. locomotive in road service or less than All unguarded noncurrent-carrying 3⁄4 inch on a locomotive in yard service. metal parts subject to becoming (k) A crack or break in the flange, charged shall be grounded or thor- tread, rim, plate, or hub. oughly insulated. (l) A loose wheel or tire. (m) Fusion welding may not be used § 229.85 High voltage markings: doors, on tires or steel wheels of locomotives, cover plates, or barriers. except for the repair of flat spots and All doors, cover plates, or barriers worn flanges on locomotives used ex- providing direct access to high voltage clusively in yard service. A wheel that equipment shall be marked ‘‘Danger- has been welded is a welded wheel for High Voltage’’ or with the word ‘‘Dan- the life of the wheel. ger’’ and the normal voltage carried by the parts so protected. ELECTRICAL SYSTEM [77 FR 21346, Apr. 9, 2012]

§ 229.77 Current collectors. § 229.87 Hand-operated switches. (a) Pantographs shall be so arranged All hand-operated switches carrying that they can be operated from the en- currents with a potential of more than gineer’s normal position in the cab. 150 volts that may be operated while Pantographs that automatically rise under load shall be covered and shall be when released shall have an automatic operative from the outside of the cover. locking device to secure them in the Means shall be provided to show wheth- down position. er the switches are open or closed. (b) Each pantograph operating on an Switches that should not be operated overhead trolley wire shall have a de- while under load shall be legibly vice for locking and grounding it in the marked with the words ‘‘must not be lowest position, that can be applied operated under load’’ and the voltage and released only from a position carried. where the operator has a clear view of the pantograph and roof without § 229.89 Jumpers; cable connections. mounting the roof. (a) Jumpers and cable connections between locomotives shall be so lo- § 229.79 Third rail shoes. cated and guarded to provide sufficient When locomotives are equipped with vertical clearance. They may not hang both third rail and overhead collectors, with one end free. third-rail shoes shall be deenergized (b) Cable and jumper connections be- while in yards and at stations when tween locomotive may not have any of current collection is exclusively from the following conditions: the overhead conductor. (1) Broken or badly chafed insulation. (2) Broken plugs, receptacles or ter- § 229.81 Emergency pole; shoe insula- minals. tion. (3) Broken or protruding strands of (a) Each locomotive equipped with a wire. pantograph operating on an overhead trolley wire shall have an emergency § 229.91 Motors and generators. pole suitable for operating the panto- A motor or a generator may not have graph. Unless the entire pole can be any of the following conditions: safely handled, the part of the pole (a) Be shorted or grounded. which can be safely handled shall be (b) Throw solder excessively. marked to so indicate. This pole shall (c) Show evidence of coming apart. be protected from moisture when not (d) Have an overheated support bear- in use. ing. (b) Each locomotive equipped with (e) Have an excessive accumulation third-rail shoes shall have a device for of oil.

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INTERNAL COMBUSTION EQUIPMENT § 229.105 Steam generator number. An identification number shall be § 229.93 Safety cut-off device. marked on the steam generator’s sepa- The fuel line shall have a safety cut- rator and that number entered on FRA off device that— Form F 6180–49A. (a) Is located adjacent to the fuel supply tank or in another safe loca- § 229.107 Pressure gauge. tion; (a) Each steam generator shall have (b) Closes automatically when an illuminated steam gauge that cor- tripped and can be reset without haz- rectly indicates the pressure. The ard; and steam pressure gauge shall be grad- (c) Can be hand operated from clearly uated to not less than one and one-half marked locations, one inside the cab times the allowed working pressure of and one on each exterior side of the lo- the steam generator. comotive. (b) Each steam pressure gauge on a steam generator shall have a siphon § 229.95 Venting. that prevents steam from entering the Fuel tank vent pipes may not dis- gauge. The pipe connection shall di- charge on the roof nor on or between rectly enter the separator and shall be the rails. steam tight between the separator and the gauge. § 229.97 Grounding fuel tanks. § 229.109 Safety valves. Fuel tanks and related piping shall Every steam generator shall be be electrically grounded. equipped with at least two safety § 229.99 Safety hangers. valves that have a combined capacity to prevent an accumulation of pressure Drive shafts shall have safety hang- of more than five pounds per square ers. inch above the allowed working pres- sure. The safety valves shall be inde- § 229.101 Engines. pendently connected to the separator (a) The temperature and pressure and located as closely to the separator alarms, controls and related switches as possible without discharging inside of internal combustion engines shall of the generator compartment. The function properly. ends of the safety valve discharge lines (b) Whenever an engine has been shut shall be located or protected so that down due to mechanical or other prob- discharged steam does not create a haz- lems, a distinctive warning notice giv- ard. ing reason for the shut-down shall be conspicuously attached near the engine § 229.111 Water-flow indicator. starting control until repairs have been (a) Steam generators shall be made. equipped with an illuminated visual re- (c) Wheel slip/slide protection shall turn water-flow indicator. be provided on a locomotive with an (b) Steam generators shall be engine displaying a warning notice equipped with an operable test valve or whenever required by § 229.115(b). other means of determining whether the steam generator is filled with STEAM GENERATORS water. The fill test valve may not dis- charge steam or hot water into the § 229.103 Safe working pressure; factor steam generator compartment. of safety. The safe working pressure for each § 229.113 Warning notice. steam generator shall be fixed by the Whenever any steam generator has chief mechanical officer of the carrier. been shut down because of defects, a The minimum factor of safety shall be distinctive warning notice giving rea- four. The fixed safe working pressure sons for the shut-down shall be con- shall be indicated on FRA Form F 6180– spicuously attached near the steam 49A. generator starting controls until the

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necessary repairs have been made. The (e) Annual steam generator tests. Each locomotive in which the steam gener- steam generator that is not isolated in ator displaying a warning notice is lo- accordance with paragraph (b) of this cated may continue in service until the section, shall be subjected to a hydro- next periodic inspection. static pressure at least 25 percent above the working pressure and the § 229.114 Steam generator inspections visual return water-flow indicator shall and tests. be removed and inspected. The testing (a) Periodic steam generator inspection. under this paragraph shall be per- Except as provided in § 229.33, each formed at intervals that do not exceed steam generator shall be inspected and 368 calendar days. tested in accordance with paragraph (d) [77 FR 21346, Apr. 9, 2012] of this section at intervals not to ex- ceed 92 days, unless the steam gener- CABS AND CAB EQUIPMENT ator is isolated in accordance with paragraph (b) of this section. All non- § 229.115 Slip/slide alarms. complying conditions shall be repaired (a) Except for MU locomotives, each or the steam generator shall be iso- locomotive used in road service shall lated as prescribed in paragraph (b) of be equipped with a device that provides this section before the locomotive is an audible or visual alarm in the cab of used. either slipping or sliding wheels on (b) Isolation of a steam generator. A powered axles under power. When two steam generator will be considered iso- or more locomotives are coupled in lated if the water suction pipe to the multiple or remote control, the wheel water pump and the leads to the main slip/slide alarm of each locomotive switch (steam generator switch) are shall be shown in the cab of the con- disconnected, and the train line shut- trolling locomotive. off-valve is wired closed or a blind gas- (b) Except as provided in § 229.9, an ket is applied. Before an isolated steam equipped locomotive may not be dis- generator is returned to use, it shall be patched in road service, or continue in inspected and tested pursuant to para- road service following a daily inspec- graph (d) of this section. tion, unless the wheel slip/slide protec- (c) Forms. Each periodic steam gener- tive device of whatever type— ator inspection and test shall be re- (1) Is functioning for each powered corded on Form FRA F 6180–49A re- axle under power; and quired by paragraph § 229.23. When (2) Would function on each powered Form FRA F 6180–49A for the loco- axle if it were under power. motive is replaced, data for the steam (c) Effective January 1, 1981, all new generator inspections shall be trans- locomotives capable of being used in ferred to the new Form FRA F6180–49A. road service shall be equipped with a (d) Tests and requirements. Each peri- device that detects wheel slip/slide for odic steam generator inspection and each powered axle when it is under test shall include the following tests power. The device shall produce an au- and requirements: dible or visual alarm in the cab. (1) All electrical devices and visible insulation shall be inspected. § 229.117 Speed indicators. (2) All automatic controls, alarms, (a) After December 31, 1980, each lo- and protective devices shall be in- comotive used as a controlling loco- spected and tested. motive at speeds in excess of 20 miles (3) Steam pressure gauges shall be per hour shall be equipped with a speed tested by comparison with a dead- indicator which is— weight tester or a test gauge designed (1) Accurate within ±3 miles per hour for this purpose. The siphons to the of actual speed at speeds of 10 to 30 steam gauges shall be removed and miles per hour and accurate within ±5 their connections examined to deter- miles per hour at speeds above 30 miles mine that they are open. per hour; and (4) Safety valves shall be set and (2) Clearly readable from the engi- tested under steam after the steam neer’s normal position under all light pressure gauge is tested. conditions.

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(b) Each speed indicator required ing the periodic inspection required for shall be tested as soon as possible after the locomotive pursuant to § 229.23 of departure by means of speed test sec- this part. tions or equivalent procedures. (i) Each locomotive or remanufac- tured locomotive ordered on or after § 229.119 Cabs, floors, and passage- June 8, 2012, or placed in service for the ways. first time on or after December 10, 2012, (a) Cab seats shall be securely shall be equipped with a securement mounted and braced. Cab doors shall be device on each exterior locomotive cab equipped with a secure and operable door that is capable of securing the latching device. door from inside of the cab. (b) Cab windows of the lead loco- motive shall provide an undistorted [45 FR 21109, Mar. 31, 1980, as amended at 77 FR 21346, Apr. 9, 2012] view of the right-of-way for the crew from their normal position in the cab. § 229.121 Locomotive cab noise. (See also, Safety Glazing Standards, 49 CFR part 223, 44 FR 77348, Dec. 31, 1979.) (a) Performance standards for loco- (c) Floors of cabs, passageways, and motives. (1) When tested for static noise compartments shall be kept free from in accordance with paragraph (a)(3) of oil, water, waste or any obstruction this section, all locomotives of each de- that creates a slipping, tripping or fire sign or model that are manufactured hazard. Floors shall be properly treated after October 29, 2007, shall average less to provide secure footing. than or equal to 85 dB(A), with an (d) Any occupied locomotive cab upper 99% confidence limit of 87 dB(A). shall be provided with proper ventila- The railroad may rely on certification tion and with a heating arrangement from the equipment manufacturer for a that maintains a temperature of at production run that this standard is least 60 degrees Fahrenheit 6 inches met. The manufacturer may determine above the center of each seat in the cab the average by testing a representative compartment. sample of locomotives or an initial se- (e) Similar locomotives with open- ries of locomotives, provided that there end platforms coupled in multiple con- are suitable manufacturing quality trol and used in road service shall have controls and verification procedures in a means of safe passage between them; place to ensure product consistency. no passageway is required through the (2) In the maintenance of loco- nose of car body locomotives. There motives that are manufactured in ac- shall be a continuous barrier across the cordance with paragraph (a)(1) of this full width of the end of a locomotive or section, a railroad shall not make any a continuous barrier between loco- alterations that cause the average motives. sound level for that locomotive design (f) Containers shall be provided for or model to exceed: carrying fusees and torpedoes. A single (i) 82 dB(A) if the average sound level container may be used if it has a parti- for a locomotive design or model is less tion to separate fusees from torpedoes. than 82 dB(A); or Torpedoes shall be kept in a closed (ii) 85 dB(A) if the average sound metal container. level for a locomotive design or model (g) Each locomotive or remanufac- is 82 dB(A) to 85 dB(A), inclusive, tured locomotive placed in service for (3) The railroad or manufacturer the first time on or after June 8, 2012, shall follow the static test protocols shall be equipped with an air condi- set forth in appendix H of this part to tioning unit in the locomotive cab determine compliance with paragraph compartment. (a)(1) of this section; and, to the extent (h) Each air conditioning unit in the reasonably necessary to evaluate the locomotive cab on a locomotive identi- effect of alterations during mainte- fied in paragraph (g) of this section nance, to determine compliance with shall be inspected and maintained to paragraph (a)(2) of this section. ensure that it operates properly and (b) Maintenance of locomotives. (1) If a meets or exceeds the manufacturer’s railroad receives an excessive noise re- minimum operating specifications dur- port, and if the condition giving rise to

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the noise is not required to be imme- § 229.123 Pilots, snowplows, end plates. diately corrected under part 229, the (a) Each lead locomotive shall be railroad shall maintain a record of the equipped with a pilot, snowplow, or end report, and repair or replace the item identified as substantially contributing plate that extends across both rails. to the noise: The minimum clearance above the rail of the pilot, snowplow or end plate (i) On or before the next periodic in- shall be 3 inches. Except as provided in spection required by § 229.23; or paragraph (b) of this section, the max- (ii) If the railroad determines that imum clearance shall be 6 inches. When the repair or replacement of the item the locomotive is equipped with a com- requires significant shop or material bination of the equipment listed in this resources that are not readily avail- paragraph, each extending across both able, at the time of the next major rails, only the lowest piece of that equipment repair commonly used for equipment must satisfy clearance re- the particular type of maintenance quirements of this section. needed. (b) To provide clearance for passing (2) Conditions that may lead a loco- motive cab occupant to file an exces- over retarders, locomotives utilized in sive noise report include, but are not hump yard or switching service at limited to: defective cab window seals; hump yard locations may have pilot, defective cab door seals; broken or in- snowplow, or end plate maximum operative windows; deteriorated insula- height of 9 inches. tion or insulation that has been re- (1) Each locomotive equipped with a moved for other reasons; broken or in- pilot, snowplow, or end plate with operative doors; and air brakes that clearance above 6 inches shall be vent inside of the cab. prominently stenciled at each end of (3) A railroad has an obligation to re- the locomotive with the words ‘‘9-inch spond to an excessive noise report that Maximum End Plate Height, Yard or a locomotive cab occupant files. The Trail Service Only.’’ railroad meets its obligation to re- (2) When operated in switching serv- spond to an excessive noise report, as ice in a leading position, locomotives set forth in paragraph (b)(1) of this sec- with a pilot, snowplow, or end plate tion, if the railroad makes a good faith clearance above 6 inches shall be lim- effort to identify the cause of the re- ited to 10 miles per hour over grade ported noise, and where the railroad is crossings. successful in determining the cause, if (3) Train crews shall be notified in the railroad repairs or replaces the writing of the restrictions on the loco- items cause the noise. motive, by label or stencil in the cab, (4) Recordkeeping. (i) A railroad shall or by written operating instruction maintain a written or electronic record given to the crew and maintained in of any excessive noise report, inspec- the cab of the locomotive. tion, test, maintenance, replacement, (4) Pilot, snowplow, or end plate or repair completed pursuant to clearance above 6 inches shall be noted § 229.121(b) and the date on which that in the remarks section of Form FRA inspection, test, maintenance, replace- 6180–49a. ment, or repair occurred. If a railroad (5) Locomotives with a pilot, snow- elects to maintain an electronic plow, or end plate clearance above 6 record, the railroad must satisfy the inches shall not be placed in the lead conditions listed in § 227.121(a)(2)(i) position when being moved under sec- through (v). tion § 229.9. (ii) The railroad shall retain these [77 FR 21347, Apr. 9, 2012] records for 92 days if they are made pursuant to § 229.21, or for one year if § 229.125 Headlights and auxiliary they are made pursuant to § 229.23. lights. (iii) The railroad shall establish an (a) Each lead locomotive used in road internal, auditable, monitorable sys- service shall illuminate its headlight tem that contains these records. while the locomotive is in use. When il- [71 FR 63136, Oct. 27, 2006] luminated, the headlight shall produce

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a peak intensity of at least 200,000 can- 350-watt, 75-volt lamps; or lamp(s) dela and produce at least 3,000 candela meeting the intensity requirements at an angle of 7.5 degrees and at least given above. 400 candela at an angle of 20 degrees (i) A locomotive equipped with the from the centerline of the locomotive two incandescent PAR–56, 350-watt, 75 when the light is aimed parallel to the volt lamps which has an en route fail- tracks. If a locomotive or locomotive ure of one lamp in the headlight fix- consist in road service is regularly re- ture, may continue in service as a lead quired to run backward for any portion locomotive until its next daily inspec- of its trip other than to pick up a de- tion required by § 229.21 only if: tached portion of its train or to make (A) Auxiliary lights burn steadily; terminal movements, it shall also have (B) Auxiliary lights are aimed hori- on its rear a headlight that meets the zontally parallel to the longitudinal intensity requirements above. Each centerline of the locomotive or aimed headlight shall be aimed to illuminate to cross no less than 400 feet in front of a person at least 800 feet ahead and in the locomotive. front of the headlight. For purposes of (C) Second headlight lamp and both this section, a headlight shall be com- auxiliary lights continue to operate. prised of either one or two lamps. (ii) [Reserved] (1) If a locomotive is equipped with a (b) Each locomotive or locomotive single-lamp headlight, the single lamp consist used in yard service shall have shall produce a peak intensity of at two headlights, one located on the least 200,000 candela and shall produce front of the locomotive or locomotive at least 3,000 candela at an angle of 7.5 consist and one on its rear. Each head- degrees and at least 400 candela at an light shall produce at least 60,000 can- angle of 20 degrees from the centerline dela and shall be arranged to illu- of the locomotive when the light is minate a person at least 300 feet ahead aimed parallel to the tracks. The fol- and in front of the headlight. lowing operative lamps meet the stand- (c) Headlights shall be provided with ard set forth in this paragraph: a single a device to dim the light. incandescent PAR–56, 200-watt, 30-volt (d) Effective December 31, 1997, each lamp; a single halogen PAR–56, 200- lead locomotive operated at a speed watt, 30-volt lamp; a single halogen greater than 20 miles per hour over one PAR–56, 350-watt, 75-volt lamp, or a or more public highway-rail crossings single lamp meeting the intensity re- shall be equipped with operative auxil- quirements given above. iary lights, in addition to the headlight (2) If a locomotive is equipped with a required by paragraph (a) or (b) of this dual-lamp headlight, a peak intensity section. A locomotive equipped on of at least 200,000 candela and at least March 6, 1996 with auxiliary lights in 3,000 candela at an angle of 7.5 degrees conformance with § 229.133 shall be and at least 400 candela at an angle of deemed to conform to this section until 20 degrees from the centerline of the March 6, 2000. All locomotives in com- locomotive when the light is aimed pliance with § 229.133(c) shall be deemed parallel to the tracks shall be produced to conform to this section. Auxiliary by the headlight based either on a sin- lights shall be composed as follows: gle lamp capable of individually pro- (1) Two white auxiliary lights shall ducing the required peak intensity or be placed at the front of the loco- on the candela produced by the head- motive to form a triangle with the light with both lamps illuminated. If headlight. both lamps are needed to produce the (i) The auxiliary lights shall be at required peak intensity, then both least 36 inches above the top of the lamps in the headlight shall be oper- rail, except on MU locomotives and ational. The following operative lamps control cab locomotives where such meet the standard set forth in this placement would compromise the in- paragraph (a)(2): A single incandescent tegrity of the car body or be otherwise PAR–56, 200-watt, 30-volt lamp; a single impractical. Auxiliary lights on such halogen PAR–56, 200-watt, 30-volt lamp; MU locomotives and control cab loco- a single halogen PAR–56, 350-watt, 75- motives shall be at least 24 inches volt lamp; two incandescent PAR–56, above the top of the rail.

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(ii) The auxiliary lights shall be by designating that exception in the spaced at least 36 inches apart if the railroad’s operating rules, timetable, vertical distance from the headlight to or a special order. Any exception from the horizontal axis of the auxiliary use of auxiliary lights at a specific pub- lights is 60 inches or more. lic grade crossing can be disapproved (iii) The auxiliary lights shall be for a stated cause by FRA’s Associate spaced at least 60 inches apart if the Administrator for Safety or any one of vertical distance from the headlight to FRA’s Regional Administrators, after the horizontal axis of the auxiliary investigation by FRA and opportunity lights is less than 60 inches. for response from the railroad. (2) Each auxiliary light shall produce (g) Movement of locomotives with de- a peak intensity of at least 200,000 can- fective auxiliary lights. dela or shall produce at least 3,000 can- dela at an angle of 7.5 degrees and at (1) A lead locomotive with only one least 400 candela at an angle of 20 de- failed auxiliary light must be repaired grees from the centerline of the loco- or switched to a trailing position be- motive when the light is aimed parallel fore departure from the place where an to the tracks. Any of the following op- initial terminal inspection is required erative lamps meet the standard set for that train. forth in this paragraph: an incandes- (2) A locomotive with only one auxil- cent PAR–56, 200-watt, 30-volt lamp; a iary light that has failed after depar- halogen PAR–56, 200-watt, 30-volt lamp; ture from an initial terminal, must be a halogen PAR–56, 350-watt, 75-volt repaired not later than the next cal- lamp; an incandescent PAR–56, 350- endar inspection required by § 229.21. watt, 75-volt lamp; or a single lamp (3) A lead locomotive with two failed having equivalent intensities at the auxiliary lights may only proceed to specified angles. the next place where repairs can be (3) The auxiliary lights shall be made. This movement must be con- aimed horizontally within 15 degrees of sistent with § 229.9. the longitudinal centerline of the loco- (h) Any locomotive subject to Part motive. 229, that was built before December 31, (e) Auxiliary lights required by para- 1948, and that is not used regularly in graph (d) of this section may be ar- ranged commuter or intercity passenger serv- (1) To burn steadily or ice, shall be considered historic equip- (2) Flash on approach to a crossing. ment and excepted from the require- If the auxiliary lights are arranged to ments of paragraphs (d) through (h) of flash; this section. (i) They shall flash alternately at a [45 FR 21109, Mar. 31, 1980, as amended at 61 rate of at least 40 flashes per minute FR 8887, Mar. 6, 1996; 68 FR 49717, Aug. 19, and at most 180 flashes per minute, 2003; 69 FR 12537, Mar. 16, 2004; 77 FR 21347, (ii) The railroad’s operating rules Apr. 9, 2012] shall set a standard procedure for use of flashing lights at public highway- § 229.127 Cab lights. rail grade crossings, and (a) Each locomotive shall have cab (iii) The flashing feature may be acti- lights which will provide sufficient il- vated automatically, but shall be capa- lumination for the control instru- ble of manual activation and deactiva- ments, meters, and gauges to enable tion by the locomotive engineer. (f) Auxiliary lights required by para- the engine crew to make accurate read- graph (d) of this section shall be con- ings from their normal positions in the tinuously illuminated immediately cab. These lights shall be located, con- prior to and during movement of the structed, and maintained so that light locomotive, except as provided by rail- shines only on those parts requiring il- road operating rules, timetable or spe- lumination and does not interfere with cial instructions, unless such exception the crew’s vision of the track and sig- is disapproved by FRA. A railroad may nals. Each controlling locomotive shall except use of auxiliary lights at a spe- also have a conveniently located light cific public highway-rail grade crossing that can be readily turned on and off

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by the persons operating the loco- go sound level testing when equipped motive and that provides sufficient il- with a replacement locomotive horn, lumination for them to read train or- provided the replacement locomotive ders and timetables. horn is of the same model as the loco- (b) Cab passageways and compart- motive horn that was replaced and the ments shall have adequate illumina- mounting location and type of mount- tion. ing are the same. (c) Testing of the locomotive horn § 229.129 Locomotive horn. sound level shall be in accordance with (a) Each lead locomotive shall be the following requirements: equipped with a locomotive horn that (1) A properly calibrated sound level produces a minimum sound level of 96 meter shall be used that, at a min- dB(A) and a maximum sound level of imum, complies with the requirements 110 dB(A) at 100 feet forward of the lo- of International Electrotechnical Com- comotive in its direction of travel. The mission (IEC) Standard 61672–1 (2002–05) locomotive horn shall be arranged so for a Class 2 instrument. that it can be conveniently operated (2) An acoustic calibrator shall be from the engineer’s usual position dur- used that, at a minimum, complies ing operation of the locomotive. with the requirements of IEC standard (b)(1) Each locomotive built on or 60942 (1997–11) for a Class 2 instrument. after September 18, 2006 shall be tested (3) The manufacturer’s instructions in accordance with this section to en- pertaining to mounting and orienting sure that the horn installed on such lo- the microphone; positioning of the ob- comotive is in compliance with para- server; and periodic factory recalibra- graph (a) of this section. Locomotives tion shall be followed. built on or after September 18, 2006 (4) A microphone windscreen shall be may, however, be tested in accordance used and tripods or similar microphone with an acceptance sampling scheme mountings shall be used that minimize such that there is a probability of .05 interference with the sound being or less of rejecting a lot with a propor- measured. tion of defectives equal to an AQL of (5) The test site shall be free of large 1% or less, as set forth in 7 CFR part reflective structures, such as barriers, 43. hills, billboards, tractor trailers or (2) Each locomotive built before Sep- other large vehicles, locomotives or tember 18, 2006 shall be tested in ac- rail cars on adjacent tracks, bridges or cordance with this section before June buildings, within 200 feet to the front 24, 2010 to ensure that the horn in- and sides of the locomotive. The loco- stalled on such locomotive is in com- motive shall be positioned on straight, pliance with paragraph (a) of this sec- level track. tion. (6) Measurements shall be taken only (3) Each remanufactured locomotive, when ambient air temperature is be- as determined pursuant to § 229.5 of this tween 32 degrees and 104 degrees Fahr- part, shall be tested in accordance with enheit inclusively; relative humidity is this section to ensure that the horn in- between 20 percent and 95 percent in- stalled on such locomotive is in com- clusively; wind velocity is not more pliance with paragraph (a). than 12 miles per hour and there is no (4)(i) Except as provided in paragraph precipitation. (b)(4)(ii) of this section, each loco- (7) With the exception of cab-mount- motive equipped with a replacement lo- ed or low-mounted horns, the micro- comotive horn shall be tested, in ac- phone shall be located 100 feet forward cordance with paragraph (c) of this sec- of the front knuckle of the locomotive, tion, before the next two annual tests 15 feet above the top of the rail, at an required by § 229.27 of this part are angle no greater than 20 degrees from completed. the center line of the track, and ori- (ii) Locomotives that have already ented with respect to the sound source been tested individually or through ac- according to the manufacturer’s rec- ceptance sampling, in accordance with ommendations. For cab-mounted and paragraphs (b)(1), (b)(2), or (b)(3) of this low-mounted horns, the microphone section, shall not be required to under- shall be located 100 feet forward of the

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front knuckle of the locomotive, four sand on each rail in front of the first feet above the top of the rail, at an power operated wheel set in the direc- angle no greater than 20 degrees from tion of movement or shall be handled the center line of the track, and ori- in accordance with the requirements ented with respect to the sound source contained in § 229.9. according to the manufacturer’s rec- (b) A locomotive being used in road ommendations. The observer shall not service with sanders that become inop- stand between the microphone and the erative after departure from an initial horn. terminal shall be handled in accord- (8) Background noise shall be mini- ance with the following: mal: the sound level at the test site im- (1) A lead locomotive being used in mediately before and after each horn road service that experiences inoper- sounding event shall be at least 10 ative sanders after departure from an dB(A) below the level measured during initial terminal may continue in serv- the horn sounding. ice until the earliest of the following (9) Measurement procedures. The sound occurrences: level meter shall be set for A-weighting (i) Arrival at the next initial ter- with slow exponential response and minal; shall be calibrated with the acoustic (ii) Arrival at a location where it is calibrator immediately before and placed in a facility with a sand delivery after compliance tests. Any change in system; the before and after calibration levels (iii) The next periodic inspection shall be less than 0.5 dB. After the out- under § 229.23; or put from the locomotive horn system (iv) Fourteen calendar days from the has reached a stable level, the A- date the sanders are first discovered to weighted equivalent sound level (slow be inoperative; and response) for a 10-second duration (2) A trailing locomotive being used (LAeq, 10s) shall be obtained either di- in road service that experiences inoper- rectly using an integrating-averaging ative sanders after departure from an sound level meter, or recorded once per initial terminal may continue in serv- second and calculated indirectly. The ice until the earliest of the following arithmetic-average of a series of at occurrence: least six such 10-second duration read- (i) Arrival at the next initial ter- ings shall be used to determine compli- minal; ance. The standard deviation of the (ii) Arrival at a location where it is readings shall be less than 1.5 dB. placed in a facility with a sand delivery (10) Written reports of locomotive system; or horn testing required by this part shall (iii) The next periodic inspection be made and shall reflect horn type; under § 229.23. the date, place, and manner of testing; (c) A locomotive being used in and sound level measurements. These switching service shall be equipped reports, which shall be signed by the with operative sanders that deposit person who performs the test, shall be sand on each rail in front of the first retained by the railroad, at a location power operated wheel set in the direc- of its choice, until a subsequent loco- tion of movement. If the sanders be- motive horn test is completed and shall come inoperative, the locomotive shall be made available, upon request, to be handled in accordance with the fol- FRA as provided by 49 U.S.C. 20107. lowing: (d) This section does not apply to lo- (1) A locomotive being used in comotives of rapid transit operations switching service at a location not which are otherwise subject to this equipped with a sand delivery system part. may continue in service for seven cal- [71 FR 47666, Aug. 17, 2006] endar days from the date the sanders are first discovered inoperative or until § 229.131 Sanders. its next periodic inspection under (a) Prior to departure from an initial § 229.23, which ever occurs first; and terminal, each locomotive, except for (2) A locomotive being used in MU locomotives, shall be equipped switching service at locations equipped with operative sanders that deposit with a sand delivery system shall be

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handled in accordance with the re- one location on the front of the loco- quirements contained in § 229.9. motive, that flash alternately with (d) A locomotive being handled under beams within five degrees horizontally the provisions contained in paragraph to either side of the longitudinal cen- (b) and (c)(1) of this section shall be terline of the locomotive. tagged in accordance with § 229.9(a). (ii) An oscillating light may incor- [72 FR 59223, Oct. 19, 2007] porate a device that automatically ex- tinguishes the white light if display of § 229.133 Interim locomotive con- a light of another color is required to spicuity measures—auxiliary exter- protect the safety of railroad oper- nal lights. ations. (a) A locomotive at the head of a (3) Crossing lights. (i) Crossing lights train or other movement is authorized shall consist of two white lights, placed to be equipped with auxiliary external at the front of the locomotive, at least lights, additional to the headlight re- 36 inches above the top of the rail. quired by § 229.125, for the purpose of (ii) Crossing lights shall be spaced at improved conspicuity. A locomotive least 36 inches apart if the vertical dis- that is equipped with auxiliary exter- tance from the headlight to the hori- nal lights in conformance with the zontal axis of the ditch lights is 60 specifications or performance stand- inches or more. ards set forth in paragraph (b) of this (iii) Crossing lights shall be spaced at section on the date of issuance of a least 60 inches apart if the vertical dis- final rule that requires additional or tance from the headlight to the hori- other external lights on locomotives zontal axis of the ditch lights is less for improved conspicuity, as required than 60 inches. by section 202(u) of the Federal Rail- (iv) Each crossing light shall produce road Safety Act of 1970, shall be at least 200,000 candela, either steadily deemed to conform to the requirements burning or alternately flashing. of the final rule for four years fol- (v) The flash rate of crossing lights lowing the date of issuance of that shall be at least 40 flashes per minute final rule. and at most 180 flashes per minute. (b) Each qualifying arrangement of (vi) Crossing lights shall be focused auxiliary external lights shall conform horizontally within 15 degrees of the to one of the following descriptions: longitudinal centerline of the loco- (1) Strobe lights. (i) Strobe lights shall motive. consist of two white stroboscopic (4) Oscillating light. (i) An oscillating lights, each with ‘‘effective intensity,’’ light shall consist of: as defined by the Illuminating Engi- (A) One steadily burning white light neering Society’s Guide for Calculating producing at least 200,000 candela in a the Effective Intensity of Flashing Sig- moving beam that depicts a circle or a nal Lights (November 1964), of at least horizontal figure ‘‘8’’ to the front, 500 candela. about the longitudinal centerline of (ii) The flash rate of strobe lights the locomotive; or shall be at least 40 flashes per minute (B) Two or more white lights pro- and at most 180 flashes per minute. ducing at least 200,000 candela each, at (iii) Strobe lights shall be placed at one location on the front of the loco- the front of the locomotive, at least 48 motive, that flash alternately with inches apart, and at least 36 inches beams within five degrees horizontally above the top of the rail. to either side of the longitudinal cen- (2) Oscillating light. (i) An oscillating terline of the locomotive. light shall consist of: (ii) An oscillating light may incor- (A) One steadily burning white light porate a device that automatically ex- producing at least 200,000 candela in a tinguishes the white light if display of moving beam that depicts a circle or a a light of another color is required to horizontal figure ‘‘8’’ to the front, protect the safety of railroad oper- about the longitudinal centerline of ations. the locomotive; or (c)(1) Any lead locomotive equipped (B) Two or more white lights pro- with oscillating lights as described in ducing at least 200,000 candela each, at paragraph (b)(2) of this section that

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were ordered for installation on that (b) Equipment requirements. Event re- locomotive prior to January 1, 1996, is corders shall monitor and record data considered in compliance with elements required by this paragraph § 229.125(d)(1) through (3). with at least the accuracy required of (2) Any lead locomotive equipped the indicators displaying any of the re- with strobe lights as described in para- quired elements to the engineer. graph (b)(1) and operated at speeds no (1) A lead locomotive originally or- greater than 40 miles per hour, is con- dered before October 1, 2006, and placed sidered in compliance with in service before October 1, 2009, includ- § 229.125(d)(1) through (3) until the loco- ing a controlling remote distributed motive is retired or rebuilt, whichever power locomotive, a lead manned help- comes first. er locomotive, a DMU locomotive, and (3) Any lead locomotive equipped an MU locomotive, except as provided with two white auxiliary lights spaced in paragraphs (c) and (d) of this sec- at least 44 inches apart on at least one tion, shall have an in-service event re- axis which was equipped with these corder that records the following data auxiliary lights before May 30, 1994, elements: will be considered in compliance with (i) Train speed; § 229.125(d) (1) through (3) until the lo- (ii) Selected direction of motion; comotive is retired or rebuilt, which- (iii) Time; ever comes first. (iv) Distance; (v) Throttle position; [58 FR 6902, Feb. 3, 1993, as amended at 59 FR (vi) Applications and operations of 24963, May 13, 1994; 59 FR 39705, Aug. 4, 1994; the train automatic air brake; 61 FR 8887, Mar. 6, 1996; 77 FR 21348, Apr. 9, (vii) Applications and operations of 2012] the independent brake; (viii) Applications and operations of § 229.135 Event recorders. the dynamic brake, if so equipped; and (a) Duty to equip and record. Except as (ix) Cab signal aspect(s), if so provided in paragraphs (c) and (d) of equipped and in use. this section, a train operated faster (2) A locomotive originally manufac- than 30 miles per hour shall have an in- tured before October 1, 2006, and service event recorder, of the type de- equipped with an event recorder that scribed in paragraph (b) of this section, uses magnetic tape as its recording me- in the lead locomotive. The presence of dium shall have the recorder removed the event recorder shall be noted on from service on or before October 1, Form FRA F6180–49A (by writing the 2009 and replaced with an event re- make and model of event recorder with corder with a certified crashworthy which the locomotive is equipped) event recorder memory module that under the REMARKS section, except meets the requirements of appendix D that an event recorder designed to of this part and that records at least allow the locomotive to assume the the same number of data elements as lead position only if the recorder is the recorder it replaces. properly functioning is not required to (3) A lead locomotive, a lead manned have its presence noted on Form FRA helper locomotive, and a controlling F6180–49A. For the purpose of this sec- remotely distributed power loco- tion, ‘‘train’’ includes a locomotive or motive, other than a DMU or MU loco- group of locomotives with or without motive, originally ordered on or after cars. The duty to equip the lead loco- October 1, 2006 or placed in service on motive may be met with an event re- or after October 1, 2009, shall be corder located elsewhere than the lead equipped with an event recorder with a locomotive provided that such event certified crashworthy event recorder recorder monitors and records the re- memory module that meets the re- quired data as though it were located quirements of Appendix D of this part. in the lead locomotive. The event re- The certified event recorder memory corder shall record the most recent 48 module shall be mounted for its max- hours of operation of the electrical sys- imum protection. (Although other tem of the locomotive on which it is in- mounting standards may meet this stalled. standard, an event recorder memory

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module mounted behind and below the (xxii) Locomotive position in consist top of the collision posts and above the (lead or trail); platform level is deemed to be mounted (xxiii) Tractive effort; ‘‘for its maximum protection.’’) The (xxiv) Cruise control on/off, if so event recorder shall record, and the equipped and in use; and certified crashworthy event recorder (xxv) Safety-critical train control memory module shall retain, the fol- data routed to the locomotive engi- lowing data elements: neer’s display with which the engineer (i) Train speed; is required to comply, specifically in- (ii) Selected direction of motion; cluding text messages conveying man- (iii) Time; datory directives and maximum au- (iv) Distance; thorized speed. The format, content, (v) Throttle position; (vi) Applications and operations of and proposed duration for retention of the train automatic air brake, includ- such data shall be specified in the ing emergency applications. The sys- Product Safety Plan or PTC Safety tem shall record, or provide a means of Plan submitted for the train control determining, that a brake application system under subparts H or I, respec- or release resulted from manipulation tively, of part 236 of this chapter, sub- of brake controls at the position nor- ject to FRA approval under this para- mally occupied by the locomotive engi- graph. If it can be calibrated against neer. In the case of a brake application other data required by this part, such or release that is responsive to a com- train control data may, at the election mand originating from or executed by of the railroad, be retained in a sepa- an on-board computer (e.g., electronic rate certified crashworthy memory braking system controller, locomotive module. electronic control system, or train con- (4) A DMU locomotive and an MU lo- trol computer), the system shall comotive originally ordered on or after record, or provide a means of deter- October 1, 2006 or placed in service on mining, the involvement of any such or after October 1, 2009, shall be computer; equipped with an event recorder with a (vii) Applications and operations of certified crashworthy event recorder the independent brake; memory module that meets the re- (viii) Applications and operations of quirements of Appendix D of this part. the dynamic brake, if so equipped; The certified event recorder memory (ix) Cab signal aspect(s), if so module shall be mounted for its max- equipped and in use; imum protection. (Although other (x) End-of-train (EOT) device loss of mounting standards may meet this communication front to rear and rear standard, an event recorder memory to front; module mounted behind the collision (xi) Electronic controlled pneumatic posts and above the platform level is braking (ECP) message (and loss of deemed to be mounted ‘‘for its max- such message), if so equipped; imum protection.’’) The event recorder (xii) EOT armed, emergency brake shall record, and the certified crash- command, emergency brake applica- worthy event recorder memory module tion; shall retain, the following data ele- (xiii) Indication of EOT valve failure; ments: (xiv) EOT brake pipe pressure (EOT (i) Train speed; and ECP devices); (ii) Selected direction of motion; (xv) EOT marker light on/off; (xvi) EOT ‘‘low battery’’ status; (iii) Time; (xvii) Position of on/off switch for (iv) Distance; headlights on lead locomotive; (v) Throttle position; (xviii) Position of on/off switch for (vi) Applications and operations of auxiliary lights on lead locomotive; the train automatic air brake, includ- (xix) Horn control handle activation; ing emergency applications. The sys- (xx) Locomotive number; tem shall record, or provide a means of (xxi) Locomotive automatic brake determining, that a brake application valve cut in; or release resulted from manipulation

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of brake controls at the position nor- as defined in this part, on or after Oc- mally occupied by the locomotive engi- tober 1, 2007, shall be equipped with an neer. In the case of a brake application event recorder with a certified crash- or release that is responsive to a com- worthy event recorder memory module mand originating from or executed by that meets the requirements of appen- an on-board computer (e.g., electronic dix D to this part and is capable of re- braking system controller, locomotive cording, at a minimum, the same data electronic control system, or train con- as the recorder that was on the loco- trol computer), the system shall motive before it was remanufactured. record, or provide a means of deter- (6) An event recorder originally man- mining, the involvement of any such ufactured after January 1, 2010, that is computer; installed on any locomotive identified (vii) Applications and operations of in paragraph (b)(1) of this section shall the independent brake, if so equipped; be an event recorder with a certified (viii) Applications and operations of crashworthy event recorder memory the dynamic brake, if so equipped; module that meets the requirements of (ix) Cab signal aspect(s), if so appendix D to this part and that is ca- equipped and in use; pable of recording, at a minimum, the (x) Emergency brake application(s); same data as the event recorder that (xi) Wheel slip/slide alarm activation was previously on the locomotive. (with a property-specific minimum du- (c) Removal from service. Notwith- ration); standing the duty established in para- (xii) Lead locomotive headlight acti- graph (a) of this section to equip cer- vation switch on/off; tain locomotives with an in-service (xiii) Lead locomotive auxiliary event recorder, a railroad may remove lights activation switch on/off; an event recorder from service and, if a (xiv) Horn control handle activation; railroad knows that an event recorder (xv) Locomotive number; is not monitoring or recording required (xvi) Locomotive position in consist data, shall remove the event recorder (lead or trail); from service. When a railroad removes (xvii) Tractive effort; an event recorder from service, a quali- (xviii) Brakes apply summary train fied person shall record the date that line; the device was removed from service on (xix) Brakes released summary train Form FRA F6180–49A, under the RE- line; MARKS section, unless the event re- (xx) Cruise control on/off, if so corder is designed to allow the loco- equipped and used; and motive to assume the lead position (xxi) Safety-critical train control only if the recorder is properly func- data routed to the locomotive engi- tioning. neer’s display with which the engineer (d) Response to defective equipment. is required to comply, specifically in- Notwithstanding the duty established cluding text messages conveying man- in paragraph (a) of this section to equip datory directives and maximum au- certain locomotives with an in-service thorized speed. The format, content, event recorder, a locomotive on which and proposed duration for retention of the event recorder has been taken out such data shall be specified in the of service as provided in paragraph (c) Product Safety Plan or PTC Safety of this section may remain as the lead Plan submitted for the train control locomotive only until the next cal- system under subparts H or I, respec- endar-day inspection. A locomotive tively, of part 236 of this chapter, sub- with an inoperative event recorder is ject to FRA approval under this para- not deemed to be in improper condi- graph. If it can be calibrated against tion, unsafe to operate, or a non-com- other data required by this part, such plying locomotive under §§ 229.7 and train control data may, at the election 229.9, and, other than the requirements of the railroad, be retained in a sepa- of appendix D of this part, the inspec- rate certified crashworthy memory tion, maintenance, and testing of event module. recorders are limited to the require- (5) A locomotive equipped with an ments set forth in §§ 229.25(e) and event recorder that is remanufactured, 229.27(d).

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(e) Preserving accident data. If any lo- under the procedures in part 209 of this comotive equipped with an event re- chapter. corder, or any other locomotive- mounted recording device or devices [70 FR 37940, June 30, 2005, as amended at 75 FR 2697, Jan. 15, 2010] designed to record information con- cerning the functioning of a loco- § 229.137 Sanitation, general require- motive or train, is involved in an acci- ments. dent/incident that is required to be re- ported to FRA under part 225 of this (a) Sanitation compartment. Except as chapter, the railroad that was using provided in paragraph (b) of this sec- the locomotive at the time of the acci- tion, all lead locomotives in use shall dent shall, to the extent possible, and be equipped with a sanitation compart- to the extent consistent with the safe- ment. Each sanitation compartment ty of life and property, preserve the shall be: data recorded by each such device for (1) Adequately ventilated; analysis by FRA. This preservation re- (2) Equipped with a door that: quirement permits the railroad to ex- (i) Closes, and tract and analyze such data, provided (ii) Possesses a modesty lock by [18 the original downloaded data file, or an months after publication of the final unanalyzed exact copy of it, shall be rule]; retained in secure custody and shall (3) Equipped with a toilet facility, as not be utilized for analysis or any defined in this part; other purpose except by direction of (4) Equipped with a washing system, FRA or the National Transportation as defined in this part, unless the rail- Safety Board. This preservation re- road otherwise provides the washing quirement shall expire one (1) year system to employees upon reporting after the date of the accident unless for duty or occupying the cab for duty, FRA or the Board notifies the railroad or where the locomotive is equipped in writing that the data are desired for with a stationary sink that is located analysis. outside of the sanitation compartment; (f) Relationship to other laws. Nothing (5) Equipped with toilet paper in suf- in this section is intended to alter the ficient quantity to meet employee legal authority of law enforcement of- needs, unless the railroad otherwise ficials investigating potential viola- provides toilet paper to employees tion(s) of State criminal law(s), and upon reporting for duty or occupying nothing in this chapter is intended to the cab for duty; and alter in any way the priority of Na- tional Transportation Safety Board in- (6) Equipped with a trash receptacle, vestigations under 49 U.S.C. 1131 and unless the railroad otherwise provides 1134, nor the authority of the Secretary portable trash receptacles to employ- of Transportation to investigate rail- ees upon reporting for duty or occu- road accidents under 49 U.S.C. 5121, pying the cab for duty. 5122, 20107, 20111, 20112, 20505, 20702, (b) Exceptions. (1) Paragraph (a) of 20703, and 20902. this section shall not apply to: (g) Disabling event recorders. Except as (i) Locomotives engaged in com- provided in paragraph (c) of this sec- muter service or other short-haul pas- tion, any individual who willfully dis- senger service and commuter work ables an event recorder is subject to trains on which employees have ready civil penalty and to disqualification access to railroad-provided sanitation from performing safety-sensitive func- facilities outside of the locomotive or tions on a railroad as provided in elsewhere on the train, that meet oth- § 218.55 of this chapter, and any indi- erwise applicable sanitation standards, vidual who tampers with or alters the at frequent intervals during the course data recorded by such a device is sub- of their work shift; ject to a civil penalty as provided in (ii) Locomotives engaged in switch- appendix B of part 218 of this chapter ing service on which employees have and to disqualification from per- ready access to railroad-provided sani- forming safety-sensitive functions on a tation facilities outside of the loco- railroad if found unfit for such duties motive, that meet otherwise applicable

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sanitation standards, at frequent inter- section. For these locomotives, the re- vals during the course of their work quirements of this section pertaining shift; to the type of toilet facilities required (iii) Locomotives engaged in transfer shall be effective as these toilets be- service on which employees have ready come defective or are replaced with access to railroad-provided sanitation conforming units, whichever occurs facilities outside of the locomotive, first. All other requirements set forth that meet otherwise applicable sanita- in this section shall apply to these lo- tion standards, at frequent intervals comotives as of June 3, 2002; and during the course of their work shift; (ii) With respect to the locomotives (iv) Locomotives of Class III rail- of a Class I railroad which, prior to roads engaged in operations other than June 3, 2002, were equipped with a sani- switching service or transfer service, tation system other than the units ad- that are not equipped with a sanitation dressed by paragraph (b)(2)(i) of this compartment as of June 3, 2002. Where section, that contains and removes an unequipped locomotive of a Class III human waste by a method that does railroad is engaged in operations other not conform with the definition of toi- than switching or transfer service, em- let facility as set forth in this section, ployees shall have ready access to rail- the requirements of this section per- road-provided sanitation facilities out- taining to the type of toilet facilities side of the locomotive that meet other- shall apply on locomotives in use on wise applicable sanitation standards, July 1, 2003. However, the Class I rail- at frequent intervals during the course road subject to this exception shall not of their work shift, or the railroad deliver locomotives with such sanita- shall arrange for enroute access to tion systems to other railroads for use, such facilities; in the lead position, during the time (v) Locomotives of tourist, scenic, between June 3, 2002, and July 1, 2003. historic, or excursion railroad oper- All other requirements set forth in this ations, which are otherwise covered by section shall apply to the locomotives this part because they are not pro- of this Class I railroad as of June 3, pelled by steam power and operate on 2002. the general railroad system of trans- portation, but on which employees (c) Defective, unsanitary toilet facility; have ready access to railroad-provided prohibition in lead position. Except as sanitation facilities outside of the lo- provided in paragraphs (c)(1) through comotive, that meet otherwise applica- (5) of this section, if the railroad deter- ble sanitation standards, at frequent mines during the daily inspection re- intervals during the course of their quired by § 229.21 that a locomotive toi- work shift; and let facility is defective or is unsani- (vi) Except as provided in § 229.14 of tary, or both, the railroad shall not use this part, DMU, MU, and control cab the locomotive in the lead position. locomotives designed for passenger oc- The railroad may continue to use a cupancy and used in intercity push-pull lead locomotive with a toilet facility service that are not equipped with that is defective or unsanitary as of sanitation facilities, where employees the daily inspection only where all of have ready access to railroad-provided the following conditions are met: sanitation in other passenger cars on (1) The unsanitary or defective condi- the train at frequent intervals during tion is discovered at a location where the course of their work shift. there are no other suitable locomotives (2) Paragraph (a)(3) of this section available for use, ie., where it is not shall not apply to: possible to switch another locomotive (i) Locomotives of a Class I railroad into the lead position, or the location which, prior to [the effective date of is not equipped to clean the sanitation this section], were equipped with a toi- compartment if unsanitary or repair let facility in which human waste falls the toilet facility if defective; via gravity to a holding tank where it (2) The locomotive, while noncompli- is stored and periodically emptied, ant, did not pass through a location which does not conform to the defini- where it could have been cleaned if un- tion of toilet facility set forth in this sanitary, repaired if defective, or

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switched with another compliant loco- quired by § 229.21 that the lead loco- motive, since its last daily inspection motive is not equipped with toilet required by this part; paper in sufficient quantity to meet (3) Upon reasonable request of a loco- employee needs, or a washing system motive crewmember operating a loco- as required by paragraph (a)(4) of this motive with a defective or unsanitary section, or a trash receptacle as re- toilet facility, the railroad arranges for quired by paragraph (a)(6) of this sec- access to a toilet facility outside the tion, the locomotive shall be equipped locomotive that meets otherwise appli- with these items prior to departure. cable sanitation standards; (g) Inadequate ventilation. If the rail- (4) If the sanitation compartment is road determines during the daily in- unsanitary, the sanitation compart- spection required by § 229.21 that the ment door shall be closed and adequate sanitation compartment of the lead lo- ventilation shall be provided in the cab comotive in use is not adequately ven- so that it is habitable; and tilated as required by paragraph (a)(1) (5) The locomotive shall not continue of this section, the railroad shall repair in service in the lead position beyond a the ventilation prior to departure, or location where the defective or unsani- place the locomotive in trailing posi- tary condition can be corrected or re- tion, in switching service as set forth placed with another compliant loco- in paragraph (b)(1)(ii) of this section, motive, or the next daily inspection re- or in transfer service as set forth in quired by this part, whichever occurs paragraph (b)(1)(iii) of this section. first. (h) Door closure and modesty lock. If (d) Defective, unsanitary toilet facility; the railroad determines during the use in trailing position. If the railroad daily inspection required by § 229.21 determines during the daily inspection that the sanitation compartment on required by § 229.21 that a locomotive the lead locomotive is not equipped toilet facility is defective or is unsani- with a door that closes, as required by tary, or both, the railroad may use the paragraph (a)(2)(i) of this section, the locomotive in trailing position. If the railroad shall repair the door prior to railroad places the locomotive in trail- departure, or place the locomotive in ing position, they shall not haul em- trailing position, in switching service ployees in the unit unless the sanita- as set forth in paragraph (b)(1)(ii) of tion compartment is made sanitary this section, or in transfer service as prior to occupancy. If the toilet facil- set forth in paragraph (b)(1)(iii) of this ity is defective and the unit becomes section. If the railroad determines dur- occupied, the railroad shall clearly ing the daily inspection required by mark the defective toilet facility as § 229.21 that the modesty lock required unavailable for use. by paragraph (a)(2)(ii) of this section is (e) Defective, sanitary toilet facility; use defective, the modesty lock shall be re- in switching, transfer service. If the rail- paired pursuant to the requirements of road determines during the daily in- § 229.139(e). spection required by § 229.21 that a lo- (i) Equipped units; retention and main- comotive toilet facility is defective, tenance. Except where a railroad down- but sanitary, the railroad may use the grades a locomotive to service in which locomotive in switching service, as set it will never be occupied, where a loco- forth in paragraph (b)(1)(ii) of this sec- motive is equipped with a toilet facil- tion, or in transfer service, as set forth ity as of [the effective date of the final in paragraph (b)(1)(iii) of this section rule], the railroad shall retain and for a period not to exceed 10 days. In maintain the toilet facility in the loco- this instance, the railroad shall clearly motive consistent with the require- mark the defective toilet facility as ments of this part, including loco- unavailable for use. After expiration of motives used in switching service pur- the 10-day period, the locomotive shall suant to paragraph (b)(1)(ii) of this sec- be repaired or used in the trailing posi- tion, and in transfer service pursuant tion. to paragraph (b)(1)(iii) of this section. (f) Lack of toilet paper, washing system, (j) Newly manufactured units; in-cab trash receptacle. If the railroad deter- facilities. All locomotives manufactured mines during the daily inspection re- after June 3, 2002, except switching

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units built exclusively for switching § 229.140 Alerters. service and locomotives built exclu- (a) Except for locomotives covered by sively for commuter service, shall be part 238 of this chapter, each of the fol- equipped with a sanitation compart- lowing locomotives shall be equipped ment accessible to cab employees with- with a functioning alerter as described out exiting to the out-of-doors for use. No railroad may use a locomotive built in paragraphs (b) through (d) of this after June 3, 2002, that does not comply section: with this subsection. (1) A locomotive that is placed in (k) Potable water. The railroad shall service for the first time on or after utilize potable water where the wash- June 10, 2013, when used as a control- ing system includes the use of water. ling locomotive and operated at speeds in excess of 25 mph. [67 FR 16050, Apr. 4, 2002, as amended at 71 (2) All controlling locomotives oper- FR 61857, Oct. 19, 2006] ated at speeds in excess of 25 mph on or § 229.139 Sanitation, servicing require- after January 1, 2017. ments. (b) The alerter on locomotives sub- ject to paragraph (a) of this section (a) The sanitation compartment of shall be equipped with a manual reset each lead locomotive in use shall be and the alerter warning timing cycle sanitary. shall automatically reset as the result (b) All components required by § 229.137(a) for the lead locomotive in of any of the following operations, and use shall be present consistent with the at least three of the following auto- requirements of this part, and shall op- matic resets shall be functional at any erate as intended such that: given time: (1) All mechanical systems shall (1) Movement of the throttle handle; function; (2) Movement of the dynamic brake (2) Water shall be present in suffi- control handle; cient quantity to permit flushing; (3) Movement of the operator’s horn (3) For those systems that utilize activation handle; chemicals for treatment, the chemical (4) Movement of the operator’s bell (chlorine or other comparable oxidizing activation switch; agent) used to treat waste must be (5) Movement of the automatic brake present; and valve handle; or (4) No blockage is present that pre- (6) Bailing the independent brake by vents waste from evacuating the bowl. depressing the independent brake valve (c) The sanitation compartment of handle. each occupied locomotive used in (c) All alerters shall provide an audio switching service pursuant to alarm upon expiration of the timing § 229.137(b)(1)(ii), in transfer service cycle interval. An alerter on a loco- pursuant to § 229.137(b)(1)(iii), or in a motive that is placed in service for the trailing position when the locomotive first time on or after June 10, 2013, is occupied, shall be sanitary. shall display a visual indication to the (d) Where the railroad uses a loco- operator at least five seconds prior to motive pursuant to § 229.137(e) in an audio alarm. The visual indication switching or transfer service with a de- on an alerter so equipped shall be visi- fective toilet facility, such use shall ble to the operator from their normal not exceed 10 calendar days from the position in the cab. date on which the defective toilet facil- (d) Alerter warning timing cycle in- ity became defective. The date on terval shall be within 10 seconds of the which the toilet facility becomes defec- calculated setting utilizing the for- tive shall be entered on the daily in- mula (timing cycle specified in seconds spection report. = 2400 ÷ track speed specified in miles (e) Where it is determined that the per hour). For locomotives operating at modesty lock required by § 229.137(a)(2) speeds below 20 mph, the interval shall is defective, the railroad shall repair be between 110 seconds and 130 seconds. the modesty lock on or before the next (e) Any locomotive that is equipped 92-day inspection required by this part. with an alerter shall have the alerter [67 FR 16050, Apr. 4, 2002] functioning and operating as intended

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when the locomotive is used as a con- bers at bottom shall be sufficient to de- trolling locomotive. velop their full shear value. If rein- (f) A controlling locomotive equipped forcement is used to provide the shear with an alerter shall be tested prior to value, the reinforcement shall have full departure from each initial terminal, value for a distance of 18 inches up or prior to being coupled as the lead lo- from the underframe connection and comotive in a locomotive consist by al- then taper to a point approximately 30 lowing the warning timing cycle to ex- inches above the underframe connec- pire that results in an application of tion. the locomotive brakes at a penalty (5) The strength of the means of lock- rate. ing the truck to the body shall be at [77 FR 21348, Apr. 9, 2012, as amended at 77 least the equivalent of an ultimate FR 75057, Dec. 19, 2012] shear value of 250,000 pounds. (6) On or after November 8, 1999, para- § 229.141 Body structure, MU loco- graph (a)(1) of this section does not motives. apply to ‘‘passenger equipment’’ as de- (a) MU locomotives built new after fined in § 238.5 of this chapter, unless April 1, 1956 that are operated in trains such equipment is excluded from the having a total empty weight of 600,000 requirements of §§ 238.203 through pounds or more shall have a body 238.219, and § 238.223 of this chapter by structure designed to meet or exceed operation of § 238.201(a)(2) of this chap- the following minimum specifications: ter. Paragraphs (a)(2) through (a)(4) of (1) The body structure shall resist a this section do not apply to ‘‘passenger minimum static end load of 800,000 equipment’’ as defined in § 238.5 of this pounds at the rear draft stops ahead of chapter that is placed in service for the the bolster on the center line of draft, first time on or after September 8, 2000, without developing any permanent de- unless such equipment is excluded from formation in any member of the body the requirements of §§ 238.203 through structure. 238.219, and § 238.223 of this chapter by (2) An anti-climbing arrangement operation of § 238.201(a)(2) of this chap- shall be applied at each end that is de- ter. signed so that coupled MU locomotives (b) MU locomotives built new after under full compression shall mate in a April 1, 1956 that are operated in trains manner that will resist one locomotive having a total empty weight of less from climbing the other. This arrange- than 600,000 pounds shall have a body ment shall resist a vertical load of structure designed to meet or exceed 100,000 pounds without exceeding the the following minimum specifications: yield point of its various parts or its (1) The body structure shall resist a attachments to the body structure. minimum static end load of 400,000 (3) The coupler carrier and its con- pounds at the rear draft stops ahead of nections to the body structure shall be the bolster on the center line of draft, designed to resist a vertical downward without developing any permanent de- thrust from the coupler shank of 100,000 formation in any member of the body pounds for any horizontal position of structure. the coupler, without exceeding the (2) An anti-climbing arrangement yield points of the materials used. shall be applied at each end that is de- When yielding type of coupler carrier signed so that coupled locomotives is used, an auxiliary arrangement shall under full compression shall mate in a be provided that complies with these manner that will resist one locomotive requirements. from climbing the other. This arrange- (4) The outside end of each loco- ment shall resist a vertical load of motive shall be provided with two main 75,000 pounds without exceeding the vertical members, one at each side of yield point of its various parts or its the diaphragm opening; each main attachments to the body structure. member shall have an ultimate shear (3) The coupler carrier and its con- value of not less than 300,000 pounds at nections to the body structure shall be a point even with the top of the designed to resist a vertical downward underframe member to which it is at- thrust from the coupled shank of 75,000 tached. The attachment of these mem- pounds for any horizontal position of

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the coupler, without exceeding the jacent parallel track, or a highway ve- yield points of the materials used. hicle at a highway-rail grade crossing. When a yielding type of coupler carrier (b) This subpart prescribes minimum is used, an auxiliary arrangement shall crashworthiness standards for loco- be provided that complies with these motives. It also establishes the require- requirements. ments for obtaining FRA approval of: (4) The outside end of each MU loco- new locomotive crashworthiness design motive shall be provided with two main standards; changes to FRA-approved vertical members, one at each side of locomotive crashworthiness design the diaphragm opening; each main standards; and alternative locomotive member shall have an ultimate shear crashworthiness designs. value of not less than 200,000 pounds at [71 FR 36912, June 28, 2006] a point even with the top of the underframe member to which it is at- § 229.203 Applicability. tached. The attachment of these mem- (a) Except as provided in paragraphs bers at bottom shall be sufficient to de- (b) and (c) of this section, this subpart velop their full shear value, the rein- applies to all locomotives manufac- forcement shall have full value for a tured or remanufactured on or after distance of 18 inches up from the January 1, 2009. underframe connection and then taper (b) Cab cars and power cars. The re- to a point approximately 30 inches quirements of this subpart do not apply above the underframe connection. to cab control cars, MU locomotives, (5) The strength of the means of lock- DMU locomotives, and semi-perma- ing the truck to the body shall be at nently coupled power cars that are sub- least the equivalent of an ultimate ject to the design requirements for shear value of 250,000 pounds. such locomotives set forth in part 238 (6) On or after November 8, 1999, para- of this chapter. graph (a)(1) of this section does not (c) Locomotives used in designated serv- apply to ‘‘passenger equipment’’ as de- ice. Locomotives used in designated fined in § 238.5 of this chapter, unless service are exempt from the require- such equipment is excluded from the ments of this subpart, with the excep- requirements of §§ 238.203 through tion of § 229.233 (minimum require- 238.219, and § 238.223 of this chapter by ments for fuel tank design), which re- operation of § 238.201(a)(2) of this chap- mains applicable to such locomotives. ter. Paragraphs (a)(2) through (a)(4) of this section do not apply to ‘‘passenger [71 FR 36912, June 28, 2006] equipment’’ as defined in § 238.5 of this chapter that is placed in service for the § 229.205 General requirements. first time on or after September 8, 2000, (a) Each wide-nose locomotive used unless such equipment is excluded from in occupied service must meet the min- the requirements of §§ 238.203 through imum crashworthiness performance re- 238.219, and § 238.223 of this chapter by quirements set forth in Appendix E of operation of § 238.201(a)(2) of this chap- this part. Compliance with those per- ter. formance criteria must be established by: [45 FR 21109, Mar. 31, 1980, as amended at 71 (1) Meeting an FRA-approved crash- FR 36912, June 28, 2006] worthiness design standard (including AAR S–580, Locomotive Crash- Subpart D—Locomotive Crash- worthiness Requirements). The Direc- worthiness Design Require- tor of the Federal Register approves in- ments corporation by reference of the AAR S– 580 (revised July 2005), ‘‘Locomotive § 229.201 Purpose and scope. Crashworthiness Requirements,’’ in (a) Purpose. The purpose of this sub- this section in accordance with 5 U.S.C. part is to help protect locomotive cab 552(a) and 1 CFR part 51. You may ob- occupants in the event that a loco- tain a copy of the incorporated stand- motive collides with another loco- ard from the Association of American motive or piece of on-track equipment, Railroads, 50 F Street NW, Washington, a shifted load on a freight car on an ad- DC 20001. You may inspect a copy of

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the incorporated standard at the Fed- proved locomotive crashworthiness de- eral Railroad Administration, Docket sign standards, including AAR S–580 Clerk, 1200 New Jersey Avenue, SE., (incorporated by reference, see Washington, DC 20590 or at the Na- § 229.205). Only a standards body which tional Archives and Records Adminis- has adopted an FRA-approved loco- tration (NARA). For information on motive crashworthiness design stand- the availability of this material at ard may initiate these procedures for NARA, call 202–741–6030, or go to http:// FRA approval of changes to the stand- www.archives.gov/federallregister/ ard. codeloflfederallregulations/ (b) Petitions for FRA approval of new ibrllocations.html; locomotive crashworthiness design stand- (2) Meeting new design standards and ards. Each petition for FRA approval of changes to existing design standards a locomotive crashworthiness design approved by FRA pursuant to § 229.207; standard must be titled ‘‘Petition for or FRA Approval of a New Locomotive (3) Meeting an alternative crash- Crashworthiness Design Standard,’’ worthiness design approved by FRA must be submitted to the Associate Ad- pursuant to § 229.209. ministrator for Safety, Federal Rail- (b) A monocoque or semi-monocoque road Administration, 1200 New Jersey design locomotive must be designed in Avenue, SE., Mail Stop 25, Washington, accordance with the provisions of AAR DC 20590, and must contain the fol- S–580, applicable to those types of loco- lowing: motives, in accordance with (1) The name, title, address, tele- §§ 238.405(a), 238.409 and 238.411 of this phone number and e-mail address of chapter, or in accordance with a stand- the primary person to be contacted ard or design approved by FRA as pro- with regard to review of the petition; viding at least equivalent safety. (2) The proposed locomotive design (c) A narrow-nose locomotive must standard, in detail; be designed in accordance with the pro- (3) The intended type of service for visions of AAR S–580, applicable to locomotives designed under the pro- that type of locomotive (notwith- posed standard; and standing any limitation of scope con- (4) Appropriate data and analysis tained in that standard) or in accord- showing how the proposed design ance with a standard or design ap- standard either satisfies the require- proved by FRA as providing at least ments of § 229.205 for the type of loco- equivalent safety. motive design or provides at least an [71 FR 36912, June 28, 2006, as amended at 74 equivalent level of safety. Types of FR 25173, May 27, 2009] data and analysis to be considered are described in § 229.211(c)(1). § 229.206 Design requirements. (c) Petitions for FRA approval of sub- Each locomotive used in occupied stantive changes to an FRA-approved lo- service must meet the minimum anti- comotive crashworthiness design stand- climber, emergency egress, emergency ard. Each petition for approval of a interior lighting, and interior configu- substantive change to an FRA-ap- ration design requirements set forth in proved locomotive crashworthiness de- AAR S–580 (incorporated by reference, sign standard must be titled ‘‘Petition see § 229.205). for FRA Approval of Changes to a Lo- [71 FR 36912, June 28, 2006] comotive Crashworthiness Design Standard,’’ must be submitted to the § 229.207 New locomotive crash- Associate Administrator for Safety, worthiness design standards and Federal Railroad Administration, 1200 changes to existing FRA-approved New Jersey Avenue, SE., Mail Stop 25, locomotive crashworthiness design Washington, DC 20590, and must con- standards. tain the following: (a) General. The following procedures (1) The name, title, address, tele- govern consideration and action upon phone number and e-mail address of requests for FRA approval of new loco- the primary person to be contacted motive crashworthiness design stand- with regard to review of the petition; ards and changes to existing FRA-ap- (2) The proposed change, in detail;

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(3) The intended type of service for Locomotive Crashworthiness Design,’’ locomotives built with the proposed must be submitted to the Associate Ad- change; and ministrator for Safety, Federal Rail- (4) Appropriate data and analysis road Administration, 1200 New Jersey showing how the resulting standard ei- Avenue, SE., Mail Stop 25, Washington, ther satisfies the requirements for the DC 20590, and must contain the fol- type of locomotive set forth in § 229.205 lowing: or provides at least an equivalent level (1) The name, title, address, tele- of safety. Types of data and analysis to phone number and e-mail address of be considered are described in the primary person to be contacted § 229.211(c)(1). with regard to review of the petition; (d) Petitions for FRA approval of non- (2) The proposed locomotive crash- substantive changes to the existing FRA- worthiness design, in detail; approved crashworthiness design stand- (3) The intended type of service for ards. (1) Each petition for approval of a locomotives built under the proposed non-substantive change to an FRA-ap- design; and proved locomotive crashworthiness de- (4) Appropriate data and analysis sign standard must be titled ‘‘Petition showing how the design either satisfies for FRA Approval of Non-substantive the requirements of § 229.205 for the Changes to a Locomotive Crash- type of locomotive or provides at least worthiness Design Standard,’’ must be an equivalent level of safety. Types of submitted to the Associate Adminis- data and analysis to be considered are trator for Safety, Federal Railroad Ad- described in § 229.211(c)(1). ministration, 1200 New Jersey Avenue, SE., Mail Stop 25, Washington, DC [71 FR 36913, June 28, 2006, as amended at 74 20590, and must contain the following: FR 25173, May 27, 2009] (i) The name, title, address, tele- phone number and e-mail address of § 229.211 Processing of petitions. the primary person to be contacted (a) Federal Register notice. FRA will with regard to review of the petition; publish in the FEDERAL REGISTER no- (ii) The proposed change, in detail; tice of receipt of each petition sub- and mitted under § 229.207(b), § 229.207(c), or (iii) Detailed explanation of how the § 229.209. proposed change results in a non-sub- (b) Comment. Not later than 60 days stantive change to the existing FRA- from the date of publication of the no- approved crashworthiness design stand- tice in the FEDERAL REGISTER con- ard. cerning a petition submitted under (2) If FRA determines that the pro- §§ 229.207(b), 229.207(c), or 229.209(b), any posed change is substantive, FRA will person may comment on the petition. process the petition in accordance with (1) Each comment must set forth spe- paragraph (c) of this section. cifically the basis upon which it is [71 FR 36912, June 28, 2006, as amended at 74 made, and contain a concise statement FR 25173, May 27, 2009] of the interest of the commenter in the proceeding. § 229.209 Alternative locomotive crash- (2) Each comment must be submitted worthiness designs. to the U.S. Department of Transpor- (a) General. The following procedures tation Docket Operations (M–30), West govern consideration and action upon Building Ground Floor, Room W12–140, requests for FRA approval of loco- 1200 New Jersey Avenue, SE., Wash- motive crashworthiness designs which ington, DC 20590, and must contain the are not consistent with any FRA-ap- assigned docket number which ap- proved locomotive crashworthiness de- peared in the FEDERAL REGISTER for sign standard. that proceeding. The form of such sub- (b) Petitions for FRA approval of alter- mission may be in written or electronic native locomotive crashworthiness de- form consistent with the standards and signs. Each petition for FRA approval requirements established by the Fed- of an alternative locomotive crash- eral Docket Management System and worthiness design must be titled ‘‘Pe- posted on its Web site at http:// tition for FRA Approval of Alternative www.regulations.gov.

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(3) In the event FRA requires addi- § 229.213 Locomotive manufacturing tional information to appropriately information. consider the petition, FRA will con- (a) Each railroad operating a loco- duct a hearing on the petition in ac- motive subject to the requirements of cordance with the procedures provided this subpart must retain the following in § 211.25 of this chapter. information: (c) Disposition of petitions. (1) In order (1) The date upon which the loco- to determine compliance with the per- motive was manufactured or remanu- formance criteria in appendix E of this factured; part, FRA will consider proper docu- (2) The name of the manufacturer or mentation of competent engineering remanufacturer of the locomotive; and analysis, or practical demonstrations, (3) The design specification to which or both which may include validated the locomotive was manufactured or computer modeling, structural crush remanufactured. analysis, component testing, full scale (b) The information required in para- crash testing in a controlled environ- graph (a) of this section must be lo- ment, or any combination of the fore- cated permanently in the locomotive going, together with evidence of effec- cab or be provided within two business tive peer review. days upon request of FRA or an FRA- (2) If FRA finds that the petition certified State inspector. complies with the requirements of this subpart and that the proposed change [71 FR 36914, June 28, 2006] or new design standard satisfies the re- § 229.215 Retention and inspection of quirements of § 229.205 for the type of designs. locomotive, the petition will be grant- (a) ed, normally within 90 days of its re- Retention of records—original de- Each manufacturer or remanu- ceipt. If the petition is neither granted signs. facturer of a locomotive subject to this nor denied within 90 days, the petition subpart shall retain all records of the remains pending for decision. FRA may original locomotive designs, including attach special conditions to the grant- supporting calculations and drawings, ing of the petition. Following the pertaining to crashworthiness features granting of a petition, FRA may re- required by this subpart. These records open consideration of the petition for must be retained for the lesser period cause stated. Any decision granting or of: denying a petition is placed in the pub- lic docket for the petition. (1) The life of such locomotive, ex- cept that records for a locomotive de- (3) If FRA finds that the petition stroyed in a rail equipment accident/ does not comply with the requirements incident shall be retained for at least of this subpart, or that the proposed 12 months following the accident/inci- change or new design standard does not dent; or satisfy the performance criteria con- (2) Twenty years after the date of tained in Appendix E of this part manufacture or, if remanufactured, (where applicable), the petition will be twenty years after the date of remanu- denied, normally within 90 days of its facture. receipt. If the petition is neither grant- (b) Retention of records—repairs and ed nor denied within 90 days, the peti- modifications. Each owner or lessee of a tion remains pending for decision. FRA locomotive subject to this subpart may re-open a denial of a petition for shall retain all records of repair or cause stated. modification to crashworthiness fea- (4) When FRA grants or denies a peti- tures required by this subpart. These tion, or reopens consideration of the records must be retained for the lesser petition, written notice will be sent to period of: the petitioner and other interested par- (1) The life of such locomotive, ex- ties and a copy of the notice will be cept that records for a locomotive de- placed in the public docket of this pro- stroyed in a rail equipment accident/ ceeding. incident shall be retained for at least [71 FR 36913, June 28, 2006, as amended at 74 12 months following the accident/inci- FR 25173, May 27, 2009] dent, or

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(2) Twenty years after the date on quirements of § 238.223(b) of this chap- which the repair or modification was ter. performed. [71 FR 36914, June 28, 2006, as amended at 74 (c) Inspection of records. Each custo- FR 25173, May 27, 2009] dian of records referred to in para- graphs (a) and (b) shall, upon request Subpart E—Locomotive Electronics by FRA or an FRA-certified State in- spector, make available for inspection and duplication within 7 days, any SOURCE: 77 FR 21348, Apr. 9, 2012, unless otherwise noted. records referred to in paragraphs (a) and (b) of this section. § 229.301 Purpose and scope. (d) Third party storage of records. Each (a) The purpose of this subpart is to custodian of records referred to in promote the safe design, operation, and paragraphs (a) and (b) of this section maintenance of safety-critical, as de- may delegate storage duties to a third fined in § 229.305, electronic locomotive party; however, the custodian retains control systems, subsystems, and com- all responsibility for compliance with ponents. this section. (b) Locomotive control systems or [71 FR 36914, June 28, 2006] their functions that comingle with safety critical processor based signal § 229.217 Fuel tank. and train control systems are regu- lated under part 236 subparts H and I of (a) External fuel tanks. Locomotives this chapter. equipped with external fuel tanks shall, at a minimum, comply with the § 229.303 Applicability. requirements of AAR S–5506, ‘‘Per- formance Requirements for Diesel (a) The requirements of this subpart apply to all safety-critical electronic Electric Locomotive Fuel Tanks’’ (Oc- locomotive control systems, sub- tober 1, 2001), except for section 4.4. systems, and components (i.e., ‘‘prod- This paragraph does not apply to loco- ucts’’ as defined in § 229.305), except for motives subject to the fuel tank safety the following: requirements of § 238.223 or § 238.423 of (1) Products that are fully developed this chapter. The Director of the Fed- prior to June 8, 2012. eral Register approves incorporation (2) Products that are under develop- by reference of the AAR S–5506, ‘‘Per- ment as of October 9, 2012, and are fully formance Requirements for Diesel developed prior to October 9, 2017. Electric Locomotive Fuel Tanks’’ (Oc- (3) Products that comingle loco- tober 1, 2001) in this section in accord- motive control systems with safety ance with 5 U.S.C. 552(a) and 1 CFR critical processor based signal and part 51. You may obtain a copy of the train control systems; incorporated standard from the Asso- (4) Products that are used during on- ciation of American Railroads, 50 F track testing within a test facility; and Street NW., Washington, DC 20001. You (5) Products that are used during on- may inspect a copy of the incorporated track testing outside a test facility, if standard at the Federal Railroad Ad- approved by FRA. To obtain FRA ap- ministration, Docket Clerk, 1200 New proval of on-track testing outside of a Jersey Avenue, SE., Washington, DC test facility, a railroad shall submit a 20590 or at the National Archives and request to FRA that provides: Records Administration (NARA). For (i) Adequate information regarding more information on the availability of the function and history of the product this material at NARA, call 202–741– that it intends to use; 6030, or go to http://www.archives.gov/ (ii) The proposed tests; federallregister/ (iii) The date, time and location of codeloflfederallregulations/ the tests; and ibrllocations.html. (iv) The potential safety con- (b) Internal fuel tanks. Locomotives sequences that will result from oper- equipped with internal fuel tanks shall, ating the product for purposes of test- at a minimum, comply with the re- ing.

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(b) Railroads and vendors shall iden- changes within other system, sub- tify all products identified in para- system, or component. graph (a)(2) of this section to FRA by Materials handling refers to explicit February 9, 2013. instructions for handling safety-crit- (c) The exceptions provided in para- ical components established to comply graph (a) of this section do not apply to with procedures specified by the rail- products or product changes that re- road. sult in degradation of safety, or a ma- Product means any safety critical terial increase in safety-critical electronic locomotive control system, functionality. subsystem, or component, not includ- [77 FR 21348, Apr. 9, 2012, as amended at 77 ing safety critical processor based sig- FR 75057, Dec. 19, 2012] nal and train control systems, whose functions are directly related to safe § 229.305 Definitions. movement and stopping of the train as As used in this subpart— well as the associated man-machine Cohesion is a measure of how strong- interfaces irrespective of the location ly-related or focused the responsibil- of the control system, subsystem, or ities of a system, subsystem, or compo- component. nent are. Revision control means a chain of cus- Comingle refers to the act of creating tody regimen designed to positively systems, subsystems, or components identify safety-critical components and where the systems, subsystems, or spare equipment availability, including components are tightly coupled and repair/replacement tracking. with low cohesion. Safety Analysis refers to a formal set Component means an electronic ele- of documentation which describes in ment, device, or appliance (including detail all of the safety aspects of the hardware or software) that is part of a product, including but not limited to system or subsystem. procedures for its development, instal- Configuration management control plan lation, implementation, operation, means a plan designed to ensure that maintenance, repair, inspection, test- the proper and intended product con- ing, and modification, as well as anal- figuration, including the electronic yses supporting its safety claims. hardware components and software Safety-critical, as applied to a function, version, is documented and maintained a system, or any portion thereof, means through the life-cycle of the products the correct performance of which is es- in use. sential to safety of personnel or equip- Executive software means software ment, or both; or the incorrect per- common to all installations of a given formance of which could cause a haz- electronic product. It generally is used ardous condition, or allow a hazardous to schedule the execution of the site- condition which was intended to be specific application programs, run tim- prevented by the function or system to ers, read inputs, drive outputs, perform exist. self-diagnostics, access and check Subsystem means a defined portion of memory, and monitor the execution of a system. the application software to detect un- System refers to any electronic loco- solicited changes in outputs. motive control system and includes all Initialization refers to the startup subsystems and components thereof, as process when it is determined that a the context requires. product has all required data input and Test facility means a track that is not the product is prepared to function as part of the general railroad system of intended. transportation and is being used exclu- Loosely coupled means an attribute of sively for the purpose of testing equip- systems, referring to an approach to ment and has all of its public grade designing interfaces across systems, crossings protected. subsystems, or components to reduce Tightly Coupled means an attribute of the interdependencies between them— systems, referring to an approach to in particular, reducing the risk that designing interfaces across systems, changes within one system, subsystem, subsystems, or components to maxi- or component will create unanticipated mize the interdependencies between

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them. In particular, increasing the risk railroad has experienced a failure of that changes within one system, sub- that safety critical system, sub-sys- system, or component will create unan- tem, or component; ticipated changes within other system, (5) Specify the railroad’s procedures subsystem, or component. for action upon receipt of notification [77 FR 21348, Apr. 9, 2012, as amended at 77 of a safety-critical change or failure of FR 75057, Dec. 19, 2012] an electronic system, sub-system, or component, and until the upgrade or § 229.307 Safety analysis. revision has been installed; and (a) A railroad shall develop a Safety (6) Identify all configuration/revision Analysis (SA) for each product subject control measures designed to ensure to this subpart prior to the initial use that safety-functional requirements of such product on their railroad. and safety-critical hazard mitigation (b) The SA shall: processes are not compromised as a re- (1) establish and document the min- sult of any such change, and that any imum requirements that will govern such change can be audited. the development and implementation (b) Product suppliers and private of all products subject to this subpart, equipment owners shall report any and be based on good engineering prac- safety-critical changes and previously tice and should be consistent with the unidentified hazards to each railroad guidance contained in appendix F of using the product or equipment. this part in order to establish that a (c) Private equipment owners shall product’s safety-critical functions will establish configuration/revision con- operate with a high degree of con- trol measures for control of safety-crit- fidence in a fail-safe manner; ical changes and identification of pre- (2) Include procedures for immediate viously unidentified hazards. repair of safety-critical functions; and (3) Be made available to FRA upon § 229.311 Review of SAs. request. (c) Each railroad shall comply with (a) Prior to the initial planned use of the SA requirements and procedures a product subject to this subpart, a related to the development, implemen- railroad shall inform the Associate Ad- tation, and repair of a product subject ministrator for Safety/Chief Safety Of- to this subpart. ficer, FRA, 1200 New Jersey Avenue SE., Mail Stop 25, Washington, DC § 229.309 Safety-critical changes and 20590 of the intent to place this product failures. in service. The notification shall pro- (a) Whenever a planned safety-crit- vide a description of the product, and ical design change is made to a product identify the location where the com- that is in use by a railroad and subject plete SA documentation described in to this subpart, the railroad shall: § 229.307, the testing records contained (1) Notify FRA’s Associate Adminis- in § 229.313, and the training and quali- trator for Safety of the design changes fication program described in § 229.319 made by the product supplier; is maintained. (2) Ensure that the SA is updated as (b) FRA may review or audit the SA required; within 60 days of receipt of the notifi- (3) Conduct all safety-critical cation or anytime after the product is changes in a manner that allows the placed in use. If FRA has not notified change to be audited; the railroad of its intent to review or (4) Specify all contractual arrange- audit the SA within the 60-day period, ments with suppliers and private equip- the railroad may assume that FRA ment owners for notification of any does not intend to review or audit, and and all electronic safety-critical place the product in use. FRA reserves changes as well as safety-critical fail- the right, however, to conduct a review ures in the suppliers and private equip- or audit at a later date. ment owners’ system, subsystem, or (c) A railroad shall maintain and components, and the reasons for that make available to FRA upon request change or failure from the suppliers or all railroad or vendor documentation equipment owners, whether or not the used to demonstrate that the product

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meets the safety requirements of the (5) The repairs or replacement of SA for the life-cycle of the product. equipment; (d) After a product is placed in serv- (6) Any preventative adjustments ice, the railroad shall maintain a data- made; and base of all safety-relevant hazards en- (7) The condition in which the equip- countered with the product. The data- ment is left. base shall include all hazards identified (c) Each record shall be: in the SA and those that had not been (1) Signed by the employee con- previously identified in the SA. If the ducting the test, or electronically frequency of the safety-relevant haz- coded, or identified by the automated ards exceeds the threshold set forth in test equipment number; the SA, then the railroad shall: (2) Filed in the office of a supervisory (1) Report the inconsistency by mail, official having jurisdiction, unless oth- facsimile, email, or hand delivery to erwise noted; and the Director, Office of Safety Assur- ance and Compliance, FRA, 1200 New (3) Available for inspection and copy- Jersey Ave. SE., Mail Stop 25, Wash- ing by FRA. ington, DC 20590, within 15 days of dis- (d) The results of the testing con- covery; ducted in accordance with this subpart (2) Take immediate countermeasures shall be retained as follows: to reduce the frequency of the safety- (1) The results of tests that pertain relevant hazard(s) below the threshold to installation or modification of a set forth in the SA; and product shall be retained for the life- (3) Provide a final report to FRA’s cycle of the product tested and may be Director, Office of Safety Assurance kept in any office designated by the and Compliance, on the results of the railroad; analysis and countermeasures taken to (2) The results of periodic tests re- reduce the frequency of the safety-rel- quired for the maintenance or repair of evant hazard(s) below the calculated the product tested shall be retained probability of failure threshold set until the next record is filed and in no forth in the SA when the problem is re- case less than one year; and solved. For hazards not identified in (3) The results of all other tests and the SA the threshold shall be exceeded training shall be retained until the at one occurrence. next record is filed and in no case less than one year. § 229.313 Product testing results and (e) Electronic or automated tracking records. systems used to meet the requirements (a) Results of product testing con- contained in paragraph (a) of this sec- ducted by a railroad as required by this tion shall be capable of being reviewed subpart shall be recorded on preprinted and monitored by FRA at any time to forms provided by the railroad, or ensure the integrity of the system. stored electronically. Electronic rec- FRA’s Associate Administrator for ordkeeping or automated tracking sys- Safety may prohibit or revoke a rail- tems, subject to the provisions con- road’s authority to utilize an elec- tained in paragraph (e) of this section, tronic or automated tracking system may be utilized to store and maintain in lieu of preprinted forms if FRA finds any testing or training record required that the electronic or automated by this subpart. Results of product tracking system is not properly se- testing conducted by a vendor or pri- cured, is inaccessible to FRA, or rail- vate equipment owner in support of a road employees requiring access to dis- SA shall be provided to the railroad as charge their assigned duties, or fails to part of the SA. adequately track and monitor the (b) The testing records shall contain equipment. The Associate Adminis- all of the following: trator for Safety will provide the af- (1) The name of the railroad; fected railroad with a written state- (2) The location and date that the ment of the basis for the decision pro- test was conducted; hibiting or revoking the railroad from (3) The equipment tested; utilizing an electronic or automated (4) The results of tests; tracking system.

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§ 229.315 Operations and maintenance modifying, inspecting, and testing safe- manual. ty-critical elements of the product; (a) The railroad shall maintain all (2) Individuals who operate trains or documents pertaining to the installa- serve as a train or engine crew member tion, maintenance, repair, modifica- subject to instruction and testing tion, inspection, and testing of a prod- under part 217 of this chapter; uct subject to this part in one Oper- (3) Roadway and maintenance-of-way ations and Maintenance Manual workers whose duties require them to (OMM). know and understand how the product (1) The OMM shall be legible and affects their safety and how to avoid shall be readily available to persons interfering with its proper functioning; who conduct the installation, mainte- and nance, repair, modification, inspection, (4) Direct supervisors of the individ- and testing, and for inspection by FRA. uals identified in paragraphs (b)(1) (2) At a minimum, the OMM shall through (3) of this section. contain all product vendor operation (c) When developing the training and and maintenance guidance. qualification program required in this (b) The OMM shall contain the plans section, a railroad shall conduct a for- and detailed information necessary for mal task analysis. The task analysis the proper maintenance, repair, inspec- shall: tion, and testing of products subject to (1) Identify the specific goals of the this subpart. The plans shall identify program for each target population all software versions, revisions, and re- (craft, experience level, scope of work, vision dates. etc.), task(s), and desired success rate; (c) Hardware, software, and firmware (2) Identify the installation, mainte- revisions shall be documented in the nance, repair, modification, inspection, OMM according to the railroad’s con- testing, and operating tasks that will figuration management control plan. be performed on the railroad’s prod- (d) Safety-critical components, in- ucts, including but not limited to the cluding spare products, shall be posi- development of failure scenarios and tively identified, handled, replaced, the actions expected under such sce- and repaired in accordance with the narios; procedures specified in the railroad’s (3) Develop written procedures for configuration management control the performance of the tasks identi- plan. fied; and (e) A railroad shall determine that (4) Identify any additional knowl- the requirements of this section have edge, skills, and abilities above those been met prior to placing a product required for basic job performance nec- subject to this subpart in use on their essary to perform each task. property. (d) Based on the task analysis, a rail- road shall develop a training cur- § 229.317 Training and qualification riculum that includes formally struc- program. tured training designed to impart the (a) A railroad shall establish and im- knowledge, skills, and abilities identi- plement training and qualification pro- fied as necessary to perform each task. gram for products subject to this sub- (e) All individuals identified in para- part prior to the product being placed graph (b) of this section shall success- in use. These programs shall meet the fully complete a training curriculum requirements set forth in this section and pass an examination that covers and in § 229.319. the product and appropriate rules and (b) The program shall provide train- tasks for which they are responsible ing for the individuals identified in (however, such persons may perform this paragraph to ensure that they pos- such tasks under the direct onsite su- sess the necessary knowledge and skills pervision of a qualified person prior to to effectively complete their duties re- completing such training and passing lated to the product. These include: the examination). (1) Individuals whose duties include (f) A railroad shall conduct periodic installing, maintaining, repairing, refresher training at intervals to be

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formally specified in the program, ex- the train and notification of designated cept with respect to basic skills for railroad personnel; and which proficiency is known to remain (6) Information needed to prevent un- high as a result of frequent repetition intentional interference with the prop- of the task. er functioning of onboard electronic (g) A railroad shall conduct regular control equipment. and periodic evaluations of the effec- (b) The training required under this tiveness of the training program, subpart for a locomotive engineer and verifying the adequacy of the training conductor, together with required material and its validity with respect records, shall be integrated into the to the railroad’s products and oper- program of training required by parts ations. 240 and 242 of this chapter. (h) A railroad shall maintain records that designate individuals who are qualified under this section until new designations are recorded or for at APPENDIX A TO PART 229—FORM FRA least one year after such persons leave 6180–49A applicable service. These records shall be maintained in a designated location EDITORIAL NOTE: Appendix A, published at and be available for inspection and rep- 45 FR 21118, Mar. 31, 1980, as part of the origi- lication by FRA. nal document, is not carried in the CFR. Copies of Form FRA F6180–49A are available § 229.319 Operating Personnel Train- by contacting the Federal Railroad Adminis- ing. tration, Office of Standards and Procedures, 1200 New Jersey Avenue, SE., Washington, (a) The training required under DC 20590. § 229.317 for any locomotive engineer or [45 FR 21109, Mar. 31, 1980, as amended at 74 other person who participates in the FR 25174, May 27, 2009] operation of a train using an onboard electronic locomotive control system APPENDIX B TO PART 229 [RESERVED] shall address all of the following ele- ments and shall be specified in the APPENDIX C TO PART 229—FRA LOCO- training program. MOTIVE STANDARDS—CODE OF DE- (1) Familiarization with the elec- FECTS tronic control system equipment on- board the locomotive and the func- EDITORIAL NOTE: Appendix C, published at tioning of that equipment as part of 45 FR 21121, Mar. 31, 1980, as part of the origi- the system and in relation to other on- nal document, is not carried in the CFR. board systems under that person’s con- APPENDIX D TO PART 229—CRITERIA FOR trol; CERTIFICATION OF CRASHWORTHY (2) Any actions required of the oper- EVENT RECORDER MEMORY MODULE ating personnel to enable or enter data into the system and the role of that Section 229.135(b) requires that certain lo- function in the safe operation of the comotives be equipped with an event re- train; corder that includes a certified crashworthy (3) Sequencing of interventions by event recorder memory module. This appen- dix prescribes the requirements for certi- the system, including notification, en- fying an event recorder memory module forcement, penalty initiation and post (ERMM) as crashworthy, including the per- penalty application procedures as ap- formance criteria and test sequence for es- plicable; tablishing the crashworthiness of the ERMM (4) Railroad operating rules applica- as well as the marking of the event recorder ble to control systems, including provi- containing the crashworthy ERMM.

sions for movement and protection of A. GENERAL REQUIREMENTS any unequipped trains, or trains with failed or cut-out controls; 1. Each manufacturer that represents its (5) Means to detect deviations from ERMM as crashworthy shall, by marking it as specified in Section B of this appendix, proper functioning of onboard elec- certify that the ERMM meets the perform- tronic control system equipment and ance criteria contained in this appendix and instructions explaining the proper re- that test verification data are available to a sponse to be taken regarding control of railroad or to FRA upon request.

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2. The test verification data shall contain, installation in a railroad locomotive is the at a minimum, all pertinent original data certification that all performance criteria logs and documentation that the test sample contained in this appendix have been met preparation, test set up, test measuring de- and all functions performed by, or on behalf vices and test procedures were performed by of, the manufacturer whose name appears as designated, qualified personnel using recog- part of the marking, conform to the require- nized and acceptable practices. Test ments specified in this appendix. verification data shall be retained by the 2. Retro-reflective material shall be ap- manufacturer or its successor as long as the plied to the edges of each visible external specific model of ERMM remains in service surface of an event recorder containing a on any locomotive. 3. A crashworthy ERMM shall be marked certified crashworthy ERMM. by its manufacturer as specified in Section B C. PERFORMANCE CRITERIA FOR THE ERMM of this appendix. An ERMM is crashworthy if it has been B. MARKING REQUIREMENTS successfully tested for survival under condi- 1. The outer surface of the event recorder tions of fire, impact shock, static crush, containing a certified crashworthy ERMM fluid immersion, and hydro-static pressure shall be colored international orange. In ad- contained in one of the two tables shown in dition, the outer surface shall be inscribed, this section of appendix D. (See Tables 1 and on the surface allowing the most visible 2.) Each ERMM must meet the individual area, in black letters on an international or- performance criteria in the sequence estab- ange background, using the largest type size lished in Section D of this appendix. A per- that can be accommodated, with the words formance criterion is deemed to be met if, CERTIFIED DOT CRASHWORTHY, followed after undergoing a test established in this by the ERMM model number (or other such appendix D for that criterion, the ERMM has designation), and the name of the manufac- preserved all of the data stored in it. The turer of the event recorder. This information data set stored in the ERMM to be tested may be displayed as follows: shall include all the recording elements re- CERTIFIED DOT CRASHWORTHY quired by § 229.135(b). The following tables de- scribe alternative performance criteria that Event Recorder Memory Module Model Num- may be used when testing an ERMM’s crash- ber worthiness. A manufacturer may utilize ei- Manufacturer’s Name ther table during its testing but may not Marking ‘‘CERTIFIED DOT CRASH- combine the criteria contained in the two ta- WORTHY’’ on an event recorder designed for bles.

TABLE 1—ACCEPTABLE PERFORMANCE CRITERIA—OPTION A

Parameter Value Duration Remarks

Fire, High Temperature ...... 750 °C (1400 °F) ...... 60 minutes ...... Heat source: Oven. Fire, Low Temperature ...... 260 °C (500 °F) ...... 10 hours. Impact Shock ...... 55g ...... 100 ms ...... 1⁄2 sine crash pulse. Static Crush ...... 110kN (25,000 lbf) ...... 5 minutes. Fluid Immersion ...... #1 Diesel, #2 Diesel, Water, Any single fluid, 48 hours. Salt Water, Lube Oil...... Fire Fighting Fluid ...... 10 minutes, following immer- Immersion followed by 48 sion above. hours in a dry location with- out further disturbance. Hydrostatic Pressure ...... Depth equivalent = 15 m. (50 48 hours at nominal tempera- ft.). ture of 25 °C (77 °F).

TABLE 2—ACCEPTABLE PERFORMANCE CRITERIA—OPTION B

Parameter Value Duration Remarks

Fire, High Temperature ...... 1000 °C (1832 °F) ...... 60 minutes ...... Heat source: Open flame. Fire, Low Temperature ...... 260 °C (500 °F) ...... 10 hours ...... Heat source: Oven. Impact Shock—Option 1 ...... 23gs ...... 250 ms. Impact Shock—Option 2 ...... 55gs ...... 100 ms ...... 1⁄2 sine crash pulse. Static Crush ...... 111.2kN (25,000 lbf) ...... 5 minutes. 44.5kN (10,000 lbf) ...... (single ‘‘squeeze’’) ...... Applied to 25% of surface of largest face. Fluid Immersion ...... #1 Diesel, #2 Diesel, Water, 48 hours each. Salt Water, Lube Oil, Fire Fighting Fluid. Hydrostatic Pressure ...... 46.62 psig (= 30.5 m. or 100 48 hours at nominal tempera- ft.). ture of 25 °C (77 °F).

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D. TESTING SEQUENCE utilized throughout. If a manufacturer opts for split branch testing, each branch of the In order to reasonably duplicate the condi- test must be conducted using an ERMM of tions an event recorder may encounter, the the same design type as used for the other ERMM shall meet the various performance branch. Both alternatives are deemed equiv- criteria, described in Section C of this appen- alent, and the choice of single branch testing dix, in a set sequence. (See Figure 1). If all or split branch testing may be determined by tests are done in the set sequence (single the party representing that the ERMM branch testing), the same ERMM must be meets the standard.

E. TESTING EXCEPTION APPENDIX E TO PART 229—PERFORMANCE If a new model ERMM represents an evo- CRITERIA FOR LOCOMOTIVE CRASH- lution or upgrade from an older model WORTHINESS ERMM that was previously tested and cer- tified as meeting the performance criteria This appendix provides performance cri- contained in Section C of this appendix, the teria for the crashworthiness evaluation of new model ERMM need only be tested for alternative locomotive designs, and design compliance with those performance criteria standards for wide-nosed locomotives and contained in Section C of this appendix that any for other locomotive, except monocoque/ are potentially affected by the upgrade or semi-monocoque design locomotives and nar- modification. FRA will consider a perform- row-nose design locomotives. Each of the fol- ance criterion not to be potentially affected lowing criteria describes a collision scenario if a preliminary engineering analysis or and a given performance measure for protec- other pertinent data establishes that the tion provided to cab occupants, normally modification or upgrade will not change the through structural design. Demonstration performance of the older model ERMM that these performance criteria have been against the performance criterion in ques- satisfied may be accomplished through any tion. The manufacturer shall retain and of the methods described in § 229.205. This make available to FRA upon request any performance criteria is intended to prevent analysis or data relied upon to satisfy the re- intrusion into the cab seating area occupied quirements of this paragraph to sustain an by crews. This excludes inner and outer ves- exception from testing. tibule areas. [70 FR 37942, June 30, 2005]

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(a) Front end structure (collision posts)—(1) oriented horizontally perpendicular to the Objective. The front end structure of the loco- longitudinal axis of the locomotive. motive must withstand a frontal impact (3) Impact and result. The front end struc- with a proxy object which is intended to sim- ture of the locomotive must withstand a 30- ulate lading carried by a heavy highway ve- mph impact with the proxy object resulting hicle (see figure 1). in no more than 24 inches of crush along the (2) Proxy object characteristics and orienta- longitudinal axis of the locomotive, meas- tion. The proxy object must have the fol- ured from the foremost point on the collision post, and with no more than 12 inches of in- lowing characteristics: Cylindrical shape; 48- trusion into the cab. The center of impact inch diameter; 126-inch length; 65,000 pound must be 30 inches above the top of the loco- minimum weight; and uniform density. The motive underframe along the longitudinal longitudinal axis of the proxy object must be centerline of the locomotive.

(b) Front end structure (short hood) (1) Objec- width; 60-inch height; 108-inch length; cor- tive. The front end structure of the loco- ners having 3-inch radii corners; 65,000 pound motive must withstand an oblique impact minimum weight; and uniform density. The with a proxy object intended to simulate an longitudinal axis of the proxy object must be intermodal container offset from a freight oriented parallel to the longitudinal axis of car on an adjacent parallel track (see figure the locomotive. At impact, the proxy object 2). must be oriented such that there are 12 (2) Proxy object characteristics and orienta- inches of lateral overlap and 30 inches from tion. The proxy object must have the fol- the bottom of the proxy object to the top of lowing characteristics: Block shape; 36-inch the locomotive underframe.

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(3) Impact and results. The front end struc- longitudinal axis of the locomotive, meas- ture of the locomotive must withstand a 30- ured from the first point of contact on the mph impact with the proxy object resulting short hood post, and with no more than 12 in no more than 60 inches of crush along the inches of intrusion into the cab.

[71 FR 36915, June 28, 2006] and other constraints. Railroads procuring safety critical electronic locomotive con- APPENDIX F TO PART 229—REC- trols are encouraged to ensure that their OMMENDED PRACTICES FOR DESIGN vendor addresses each of the elements of this AND SAFETY ANALYSIS appendix in the design of the product being procured. FRA uses the criteria and proc- The purpose of this appendix is to provide esses set forth in this appendix (or other recommended criteria for design and safety technically equivalent criteria and processes analysis that will maximize the safety of that may be recommended by industry) when electronic locomotive control systems and evaluating analyses, assumptions, and con- mitigate potential negative safety effects. It clusions provided in the SA documents. seeks to promote full disclosure of potential safety risks to facilitate minimizing or DEFINITIONS eliminating elements of risk where prac- In addition to the definitions contained in ticable. It discuses critical elements of good § 229.305, the following definitions are appli- engineering practice that the designer cable to this Appendix: should consider when developing safety crit- Hazard means an existing or potential con- ical electronic locomotive control systems dition that can result in an accident. to accomplish this objective. The criteria High degree of confidence, as applied to the and processes specified this appendix is in- highest level of aggregation, means there ex- tended to minimize the probability of failure ists credible safety analysis supporting the to an acceptable level within the limitations conclusion that the risks associated with the of the available engineering science, cost, product have been adequately mitigated.

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Human factors refers to a body of knowl- product, including maximum threshold lim- edge about human limitations, human abili- its for each hazard (for unidentified hazards, ties, and other human characteristics, such the threshold shall be exceeded at one occur- as behavior and motivation, that shall be rence); considered in product design. (f) A risk assessment and analysis. Human-machine interface (HMI) means the (1) The risk metric for the proposed prod- interrelated set of controls and displays that uct should describe with a high degree of allows humans to interact with the machine. confidence the accumulated risk of a loco- Risk means the expected probability of oc- motive control system that operates over currence for an individual accident event the intended product life. Each risk metric (probability) multiplied by the severity of for the proposed product should be expressed the expected consequences associated with with an upper bound, as estimated with a the accident (severity). sensitivity analysis, and the risk value se- Risk assessment means the process of deter- lected is demonstrated to have a high degree mining, either quantitatively or quali- of confidence. tatively, the measure of risk associated with (2) Each risk calculation should consider use of the product under all intended oper- the totality of the locomotive control sys- ating conditions. tem and its method of operation. The failure System Safety Precedence means the order of modes of each subsystem or component, or precedence in which methods used to elimi- both, should be determined for the inte- nate or control identified hazards within a grated hardware/software (where applicable) system are implemented. as a function of the Mean Time to Hazardous Validation means the process of deter- Events (MTTHE), failure restoration rates, mining whether a product’s design require- and the integrated hardware/software cov- ments fulfill its intended design objectives erage of all processor based subsystems or during its development and life-cycle. The goal of the validation process is to determine components, or both. Train operating and ‘‘whether the correct product was built.’’ movement rules, along with components Verification means the process of deter- that are layered in order to enhance safety- mining whether the results of a given phase critical behavior, should also be considered. of the development cycle fulfill the validated (3) An MTTHE value should be calculated requirements established at the start of that for each subsystem or component, or both, phase. The goal of the verification process is indicating the safety-critical behavior of the to determine ‘‘whether the product was built integrated hardware/software subsystem or correctly.’’ component, or both. The human factor im- pact should be included in the assessment, SAFETY ASSESSMENTS—RECOMMENDED whenever applicable, to provide an inte- CONTENTS grated MTTHE value. The MTTHE calcula- tion should consider the rates of failures The safety-critical assessment of each caused by permanent, transient, and inter- product should include all of its inter- connected subsystems and components and, mittent faults accounting for the fault cov- where applicable, the interaction between erage of the integrated hardware/software such subsystems. FRA recommends that subsystem or component, phased-interval such assessments contain the following: maintenance, and restoration of the detected (a) A complete description of the product, failures. including a list of all product components (4) The analysis should clearly document: and their physical relationship in the sub- (i) Any assumptions regarding the reli- system or system; ability or availability of mechanical, elec- (b) A description of the railroad operation tric, or electronic components. Such assump- or categories of operations on which the tions include MTTF projections, as well as product is designed to be used; Mean Time To Repair (MTTR) projections, (c) An operational concepts document, in- unless the risk assessment specifically ex- cluding a complete description of the prod- plains why these assumptions are not rel- uct functionality and information flows; as evant. The analysis should document these well as identifying which functions are in- assumptions in such a form as to permit tended to enhance or preserve safety and the later comparisons with in-service experience manner in which the product architecture (e.g., a spreadsheet). The analysis should implements these functions; also document any assumptions regarding (d) A safety requirements document, in- human performance. The documentation cluding a list with complete descriptions of should be in a form that facilitates later all functions, which the product performs to comparisons with in-service experience. enhance or preserve safety, and that de- (ii) Any assumptions regarding software scribes the manner in which product archi- defects. These assumptions should be in a tecture satisfies safety requirements; form which permits the railroad to project (e) A hazard log consisting of a comprehen- the likelihood of detecting an in-service soft- sive description of all safety relevant haz- ware defect and later comparisons with in- ards addressed during the life cycle of the service experience.

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(iii) All of the identified safety-critical procedures will not prevent the system from fault paths leading to a mishap as predicted operating safely. Hazards categorized as un- by the SA. The documentation should be in acceptable should be eliminated by design. a form that facilitates later comparisons Best effort should also be made by the de- with in-service faults. signer to eliminate hazards that are undesir- (4) MTTHE compliance verification and able. Those undesirable hazards that cannot validation should be based on the assessment be eliminated must be mitigated to an ac- of the design for verification and validation ceptable level. process, historical performance data, analyt- (2) Systematic failure. It should be shown ical methods and experimental safety crit- how the product is designed to mitigate or ical performance testing performed on the eliminate unsafe systematic failures—those subsystem or component. The compliance conditions which can be attributed to human process shall be demonstrated to be compli- error that could occur at various stages ant and consistent with the MTTHE metric throughout product development. This in- and demonstrated to have a high degree of cludes unsafe errors in the software due to confidence. human error in the software specification, (5) The safety-critical behavior of all non- design or coding phase, or both; human er- processor based components, which are part rors that could impact hardware design; un- of a processor-based system or subsystem, safe conditions that could occur because of should be quantified with an MTTHE metric. an improperly designed human-machine The MTTHE assessment methodology should interface; installation and maintenance er- consider failures caused by permanent, tran- rors; and errors associated with making sient, and intermittent faults, phase interval modifications. maintenance and restoration of failures and the effect of fault coverage of each non-proc- (3) Random failure. The product should be essor-based subsystem or component. The shown to operate safely under conditions of MTTHE compliance verification and valida- random hardware failure. This includes sin- tion should be based on the assessment of gle as well as multiple hardware failures, the design for verification and validation particularly in instances where one or more process, historical performance data, analyt- failures could occur, remain undetected (la- ical methods and experimental safety crit- tent) and react in combination with a subse- ical performance testing performed on the quent failure at a later time to cause an un- subsystem or component. The non-processor safe operating situation. In instances involv- based quantification compliance should also ing a latent failure, a subsequent failure is be demonstrated to have a high degree of similar to there being a single failure. In the confidence. event of a transient failure, and if so de- (g) A hazard mitigation analysis, including signed, the system should restart itself if it a complete and comprehensive description of is safe to do so. Frequency of attempted re- all hazards to be addressed in the system de- starts should be considered in the hazard sign and development, mitigation techniques analysis. There should be no single point used, and system safety precedence followed; failures in the product that can result in (h) A complete description of the safety as- hazards categorized as unacceptable or unde- sessment and verification and validation sirable. Occurrence of credible single point processes applied to the product and the re- failures that can result in hazards shall be sults of these processes; detected and the product shall be detected (i) A complete description of the safety as- and the product should achieve a known surance concepts used in the product design, state that eliminates the possibility of false including an explanation of the design prin- activation of any physical appliance. If one ciples and assumptions; the designer should non-self-revealing failure combined with a address each of the following safety consid- second failure can cause a hazard that is cat- erations when designing and demonstrating egorized as unacceptable or undesirable, then the safety of products covered by this part. the second failure should be detected and the In the event that any of these principles are product must achieve a known safe state not followed, the analysis should describe that eliminates the possibility of false acti- both the reason(s) for departure and the al- vation. ternative(s) utilized to mitigate or eliminate (4) Common Mode failure. Another concern the hazards associated with the design prin- of multiple failures involves common mode ciple not followed. failure in which two or more subsystems or (1) Normal operation. The system (including components intended to compensate one an- all hardware and software) should dem- other to perform the same function all fail onstrate safe operation with no hardware by the same mode and result in unsafe condi- failures under normal anticipated operating tions. This is of particular concern in in- conditions with proper inputs and within the stances in which two or more elements expected range of environmental conditions. (hardware or software, or both) are used in All safety-critical functions should be per- combination to ensure safety. If a common formed properly under these normal condi- mode failure exists, then any analysis can- tions. Absence of specific operator actions or not rely on the assumption that failures are

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independent. Examples include: the use of re- (m) A complete description of the nec- dundancy in which two or more elements essary security measures for the product perform a given function in parallel and over its life-cycle; when one (hardware or software) element (n) A complete description of each warning checks/monitors another element (of hard- to be placed in the Operations and Mainte- ware or software) to help ensure its safe op- nance Manual and of all warning labels re- eration. Common mode failure relates to quired to be placed on equipment as nec- independence, which shall be ensured in essary to ensure safety; these instances. When dealing with the ef- (o) A complete description of all initial im- fects of hardware failure, the designer should plementation testing procedures necessary address the effects of the failure not only on to establish that safety-functional require- other hardware, but also on the execution of ments are met and safety-critical hazards the software, since hardware failures can are appropriately mitigated; greatly affect how the software operates. (p) A complete description of all post-im- (5) External influences. The product should plementation testing (validation) and moni- operate safely when subjected to different toring procedures, including the intervals external influences, including: necessary to establish that safety-functional (i) Electrical influences such as power sup- requirements, safety-critical hazard mitiga- ply anomalies/transients, abnormal/improper tion processes, and safety-critical tolerances input conditions (e.g., outside of normal are not compromised over time, through use, range inputs relative to amplitude and fre- or after maintenance (repair, replacement, quency, unusual combinations of inputs) in- adjustment) is performed; and cluding those related to a human operator, (q) A complete description of each record and others such as electromagnetic inter- necessary to ensure the safety of the system ference or electrostatic discharges, or both; that is associated with periodic mainte- (ii) Mechanical influences such as vibra- nance, inspections, tests, repairs, replace- tion and shock; and climatic conditions such ments, adjustments, and the system’s result- as temperature and humidity. ing conditions, including records of compo- (6) Modifications. Safety must be ensured nent failures resulting in safety relevant following modifications to the hardware or hazards; software, or both. All or some of the con- (r) A complete description of any safety- cerns previously identified may be applicable critical assumptions regarding availability depending upon the nature and extent of the of the product, and a complete description of modifications. all backup methods of operation; and (7) Software. Software faults should not (s) The configuration/revision control cause hazards categorized as unacceptable or measures designed to ensure that safety- undesirable. functional requirements and safety-critical (8) Closed Loop Principle. The product de- hazard mitigation processes are not com- sign should require positive action to be promised as a result of any change. Changes taken in a prescribed manner to either begin classified as maintenance require validation. product operation or continue product oper- ation. GUIDANCE REGARDING THE APPLICATION OF (j) A human factors analysis, including a HUMAN FACTORS IN THE DESIGN OF PRODUCTS complete description of all human-machine The product design should sufficiently in- interfaces, a complete description of all corporate human factors engineering that is functions performed by humans in connec- appropriate to the complexity of the prod- tion with the product to enhance or preserve uct; the gender, educational, mental, and safety, and an analysis of the physical physical capabilities of the intended opera- ergonomics of the product on the operators tors and maintainers; the degree of required and the safe operation of the system; human interaction with the component; and (k) A complete description of the specific the environment in which the product will be training of railroad and contractor employ- used. HMI design criteria minimize negative ees and supervisors necessary to ensure the safety effects by causing designers to con- safe and proper installation, implementa- sider human factors in the development of tion, operation, maintenance, repair, inspec- HMIs. As used in this discussion, ‘‘designer’’ tion, testing, and modification of the prod- means anyone who specifies requirements uct; for—or designs a system or subsystem, or (l) A complete description of the specific both, for—a product subject to this part, and procedures and test equipment necessary to ‘‘operator’’ means any human who is in- ensure the safe and proper installation, im- tended to receive information from, provide plementation, operation, maintenance, re- information to, or perform repairs or main- pair, inspection, test, and modification of tenance on a safety critical locomotive con- the product. These procedures, including trol product subject to this part. calibration requirements, should be con- I. FRA recommends that system designers sistent with or explain deviations from the should: equipment manufacturer’s recommenda- (a) Design systems that anticipate possible tions; user errors and include capabilities to catch

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errors before they propagate through the tions, and the effects of the operator’s man- system; ual actions on the system; (b) Conduct cognitive task analyses prior (3) The system should warn operators in to designing the system to better understand advance when they require an operator to the information processing requirements of take action; operators when making critical decisions; (4) HMI design should equalize an opera- (c) Present information that accurately tor’s workload; and represents or predicts system states; and (5) HMI design should not distract from the (d) Ensure that electronics equipment operator’s safety related duties. radio frequency emissions are compliant (b) Expectation of predictability and consist- with appropriate Federal Communications ency in product behavior and communications. Commission (FCC) regulations. The FCC HMI design should accommodate an opera- rules and regulations are codified in Title 47 tor’s expectation of logical and consistent of the Code of Federal Regulations (CFR). relationships between actions and results. The following documentation is applicable to Similar objects should behave consistently obtaining FCC Equipment Authorization: when an operator performs the same action (1) OET Bulletin Number 61 (October, 1992 Su- upon them. End users have a limited mem- persedes May, 1987 issue) FCC Equipment Au- ory and ability to process information. thorization Program for Radio Frequency De- Therefore, HMI design should also minimize vices. This document provides an overview of an operator’s information processing load. the equipment authorization program to (1) To minimize information processing control radio interference from radio trans- load, the designer should: mitters and certain other electronic prod- (i) Present integrated information that di- ucts and how to obtain an equipment author- rectly supports the variety and types of deci- ization. sions that an operator makes; (2) OET Bulletin 63: (October 1993) Under- (ii) Provide information in a format or rep- standing The FCC Part 15 Regulations for Low resentation that minimizes the time re- Power, Non-Licensed Transmitters. This docu- quired to understand and act; and ment provides a basic understanding of the (iii) Conduct utility tests of decision aids FCC regulations for low power, unlicensed to establish clear benefits such as processing transmitters, and includes answers to some time saved or improved quality of decisions. commonly-asked questions. This edition of (2) To minimize short-term memory load, the bulletin does not contain information the designer should integrate data or infor- concerning personal communication services mation from multiple sources into a single (PCS) transmitters operating under Part 15, format or representation (‘‘chunking’’) and Subpart D of the rules. design so that three or fewer ‘‘chunks’’ of in- (3) Title 47 Code of Federal Regulations Parts formation need to be remembered at any one 0 to 19. The FCC rules and regulations gov- time. To minimize long-term memory load, erning PCS transmitters may be found in 47 the designer should design to support rec- CFR, Parts 0 to 19. ognition memory, design memory aids to (4) OET Bulletin 62 (December 1993) Under- minimize the amount of information that standing The FCC Regulations for Computers should be recalled from unaided memory and other Digital Devices. This document has when making critical decisions, and promote been prepared to provide a basic under- active processing of the information. standing of the FCC regulations for digital (3) When creating displays and controls, (computing) devices, and includes answers to the designer shall consider user ergonomics some commonly-asked questions. and should: II. Human factors issues designers should (i) Locate displays as close as possible to consider with regard to the general func- the controls that affect them; tioning of a system include: (ii) Locate displays and controls based on (a) Reduced situational awareness and over- an operator’s position; reliance. HMI design shall give an operator (iii) Arrange controls to minimize the need active functions to perform, feedback on the for the operator to change position; results of the operator’s actions, and infor- (iv) Arrange controls according to their ex- mation on the automatic functions of the pected order of use; system as well as its performance. The oper- (v) Group similar controls together; ator shall be ‘‘in-the loop.’’ Designers should (vi) Design for high stimulus-response consider at minimum the following methods compatibility (geometric and conceptual); of maintaining an active role for human op- (vii) Design safety-critical controls to re- erators: quire more than one positive action to acti- (1) The system should require an operator vate (e.g., auto stick shift requires two to initiate action to operate the train and re- movements to go into reverse); quire an operator to remain ‘‘in-the-loop’’ (viii) Design controls to allow easy recov- for at least 30 minutes at a time; ery from error; and (2) The system should provide timely feed- (ix) Design display and controls to reflect back to an operator regarding the system’s specific gender and physical limitations of automated actions, the reasons for such ac- the intended operators.

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(4) Detailed locomotive ergonomics human sity for the transmitters operating at fre- machine interface guidance may be found in quencies of 300 kHz to 100 GHz and specific ‘‘Human Factors Guidelines for Locomotive absorption rate (SAR) limits for devices op- Cabs’’ (FRA/ORD–98/03 or DOT–VNTSC–FRA– erating within close proximity to the body. 98–8). The Commission’s requirements are detailed (5) The designer should also address infor- in Parts 1 and 2 of the FCC’s Rules and Regu- mation management. To that end, HMI de- lations (47 CFR 1.1307(b), 1.1310, 2.1091, 2.1093). sign should: The FCC has a number of bulletins and sup- (i) Display information in a manner which plements that offer guidelines and sugges- emphasizes its relative importance; tions for evaluating compliance. These docu- (ii) Comply with the ANSI/HFS 100–2007, or ments are not intended to establish manda- more recent standard; tory procedures; other methods and proce- (iii) Utilize a display luminance that has a dures may be acceptable if based on sound difference of at least 35cd/m2 between the engineering practice. foreground and background (the displays (i) OET Bulletin No. 65 (Edition 97–01, Au- should be capable of a minimum contrast 3:1 gust 1997), ‘‘Evaluating Compliance With with 7:1 preferred, and controls should be FCC Guidelines For Human Exposure To provided to adjust the brightness level and Radio frequency Electromagnetic Fields’’; contrast level); (ii) OET Bulletin No 65 Supplement A, (iv) Display only the information nec- (Edition 97–01, August 1997), OET Bulletin No essary to the user; 65 Supplement B (Edition 97–01, August 1997); (v) Where text is needed, use short, simple and sentences or phrases with wording that an (iii) OET Bulletin No 65 Supplement C operator will understand and appropriate to (Edition 01–01, June 2001). This bulletin pro- the educational and cognitive capabilities of vides assistance in determining whether pro- the intended operator; posed or existing transmitting facilities, op- (vi) Use complete words where possible; erations, or devices comply with limits for where abbreviations are necessary, choose a human exposure to radio frequency RF fields commonly accepted abbreviation or con- adopted by the FCC. sistent method and select commonly used terms and words that the operator will un- GUIDANCE FOR VERIFICATION AND VALIDATION derstand; OF PRODUCTS (vii) Adopt a consistent format for all dis- The goal of this assessment is to provide play screens by placing each design element an evaluation of the product manufacturer’s in a consistent and specified location; utilization of safety design practices during (viii) Display critical information in the the product’s development and testing center of the operator’s field of view by plac- phases, as required by the applicable rail- ing items that need to be found quickly in road’s requirements, the requirements of the upper left hand corner and items which this part, and any other previously agreed- are not time-critical in the lower right hand upon controlling documents or standards. corner of the field of view; The standards employed for verification or (ix) Group items that belong together; validation, or both, of products shall be suffi- (x) Design all visual displays to meet cient to support achievement of the applica- human performance criteria under mono- ble requirements of this part. chrome conditions and add color only if it (a) The latest version of the following will help the user in performing a task, and standards have been recognized by FRA as use color coding as a redundant coding tech- providing appropriate risk analysis processes nique; for incorporation into verification and vali- (xi) Limit the number of colors over a dation standards. group of displays to no more than seven; (1) U.S. Department of Defense Military (xii) Design warnings to match the level of Standard (MIL–STD) 882C, ‘‘System Safety risk or danger with the alerting nature of Program Requirements’’ (January 19, 1993); the signal; and (2) The most recent CENLE/IEC Standards (xiii) With respect to information entry, as follows: avoid full QWERTY keyboards for data (i) EN50126:/IEC 62278, Railway Applica- entry. tions: Communications, Signaling, and Proc- (6) With respect to problem management, essing Systems Specification and Dem- the HMI designer should ensure that the HMI onstration of Reliability, Availability, Main- design: tainability and Safety (RAMS); (i) enhances an operator’s situation aware- (ii) EN50128/IEC 62279, Railway Applica- ness; tions: Communications, Signaling, and Proc- (ii) supports response selection and sched- essing Systems Software for Railway Control uling; and and Protection Systems; (iii) supports contingency planning. (iii) EN50129, Railway Applications: Com- (7) Designers should comply with FCC re- munications, Signaling, and Processing Sys- quirements for Maximum Permissible Expo- tems-Safety Related Electronic Systems for sure limits for field strength and power den- Signaling; and

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(iv) EN50155, Railway Applications: Elec- (1) The reviewer should not engage in de- tronic Equipment Used in Rolling Stock. sign efforts, in order to preserve the review- (3) ATCS Specification 140, Recommended er’s independence and maintain the sup- Practices for Safety and Systems Assurance. plier’s proprietary right to the product. The (4) ATCS Specification 130, Software Qual- supplier should provide the reviewer access ity Assurance. to any, and all, documentation that the re- (5) Safety of High Speed Ground Transpor- viewer requests and attendance at any de- tation Systems. Analytical Methodology for sign review or walk through that the re- Safety Validation of Computer Controlled viewer determines as necessary to complete Subsystems. Volume II: Development of a and accomplish the third party assessment. Safety Validation Methodology. Final Re- Representatives from FRA or the railroad port September 1995. Author: Jonathan F. might accompany the reviewer. Luedeke, Battelle. DOT/FRA/ORD–95/10.2. (2) Third party reviews can occur at a pre- (6) IEC 61508 (International Electro-tech- liminary level, a functional level, or imple- nical Commission), Functional Safety of mentation level. At the preliminary level, Electrical/Electronic/Programmable/Elec- the reviewer should evaluate with respect to tronic Safety (E/E/P/ES) Related Systems, safety and comment on the adequacy of the Parts 1–7 as follows: processes, which the supplier applies to the (i) IEC 61508–1 (1998–12) Part 1: General re- design, and development of the product. At a quirements and IEC 61508–1 Corr. (1999–05) minimum, the reviewer should compare the Corrigendum 1–Part 1: General Require- supplier processes with industry best prac- ments; tices to determine if the vendor methodology is acceptable and employ any other such (ii) IEC 61508–2 (2000–05) Part 2: Require- tests or comparisons if they have been ments for electrical/electronic/program- agreed to previously with the railroad or mable electronic safety-related systems; FRA. Based on these analyses, the reviewer (iii) IEC 61508–3 (1998–12) Part 3: Software shall identify and document any significant requirements and IEC 61508–3 Corr.1(1999–04) safety vulnerabilities that are not ade- Corrigendum 1–Part3: Software require- quately mitigated by the supplier’s (or ments; user’s) processes. At the functional level, the (iv) IEC 61508–4 (1998–12) Part 4: Definitions reviewer evaluates the adequacy, and com- and abbreviations and IEC 61508–4 prehensiveness, of the safety analysis, and Corr.1(1999–04) Corrigendum 1–Part 4: Defini- any other documents pertinent to the prod- tions and abbreviations; uct being assessed for completeness, correct- (v) IEC 61508–5 (1998–12) Part 5: Examples of ness, and compliance with applicable stand- methods for the determination of safety in- ards. This includes, but is not limited to the tegrity levels and IEC 61508–5 Corr.1 (1999–04) Preliminary Hazard Analysis (PHA), the Corrigendum 1 Part 5: Examples of methods Hazard Log (HL), all Fault Tree Analyses for determination of safety integrity levels; (FTA), all Failure Mode and Effects Criti- (vi) 1IEC 61508–6 (2000–04) Part 6: Guidelines cality Analysis (FMECA), and other hazard on the applications of IEC 61508–2 and –3; analyses. At the implementation level, the and, reviewer randomly selects various safety- (vii) IEC 61508–7 (2000–03) Part 7: Overview critical software modules for audit to verify of techniques and measures. whether the system process and design re- (7) ANSI/GEIA–STD–0010: Standard Best quirements were followed. The number of Practices for System Safety Program Devel- modules audited shall be determined as a opment and Execution representative number sufficient to provide (b) When using unpublished standards, in- confidence that all un-audited modules were cluding proprietary standards, the standards developed in similar manner as the audited should be available for inspection and rep- module. During this phase the reviewer lication by the railroad and FRA and should would also evaluate and comment on the be available for public examination. adequacy of the plan for installation and test (c) Third party assessments. The railroad, of the product for revenue service. the supplier, or FRA may conclude it is nec- (d) Reviewer Report. Upon completion of an essary for a third party assessment of the assessment, the reviewer prepares a final re- system. A third party assessor should be port of the assessment. The report should ‘‘independent’’. An ‘‘independent third contain the following information: party’’ means a technically competent enti- (1) The reviewer’s evaluation of the ade- ty responsible to and compensated by the quacy of the risk analysis, including the sup- railroad (or an association on behalf of one plier’s MTTHE and risk estimates for the or more railroads) that is independent of the product, and the supplier’s confidence inter- supplier of the product. An entity that is val in these estimates; owned or controlled by the supplier, that is (2) Product vulnerabilities which the re- under common ownership or control with the viewer felt were not adequately mitigated, supplier, or that is otherwise involved in the including the method by which the railroad development of the product would not be would assure product safety in the event of a considered ‘‘independent’’. hardware or software failure (i.e., how does

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the railroad or vendor assure that all poten- Street, NW., Washington, DC 20036 or http:// tially hazardous failure modes are identi- www.ansi.org. You may inspect a copy of the fied?) and the method by which the railroad incorporated standards at the Federal Rail- or vendor addresses comprehensiveness of road Administration, Docket Room, 1200 New the product design for the requirements of Jersey Avenue, SE., Washington, DC 20950, or the operations it will govern (i.e., how does at the National Archives and Records Ad- the railroad and/or vendor assure that all po- ministration (NARA). For information on tentially hazardous operating circumstances the availability of this material at NARA, are identified? Who records any deficiencies call 202–741–6030, or go to http:// identified in the design process? Who tracks www.archives.gov/federallregister/ the correction of these deficiencies and con- codeloflfederallregulations/ firms that they are corrected?); ibrllocations.html (3) A clear statement of position for all parties involved for each product vulner- II. TEST SITE REQUIREMENTS ability cited by the reviewer; (4) Identification of any documentation or The test site shall meet the following re- information sought by the reviewer that was quirements: denied, incomplete, or inadequate; (1) The locomotive to be tested should not (5) A listing of each design procedure or be positioned where large reflective surfaces process which was not properly followed; are directly adjacent to or within 25 feet of (6) Identification of the software the locomotive cab. verification and validation procedures for (2) The locomotive to be tested should not the product’s safety-critical applications, be positioned where other locomotives or and the reviewer’s evaluation of the ade- rail cars are present on directly adjacent quacy of these procedures; tracks next to or within 25 feet of the loco- (7) Methods employed by the product man- motive cab. ufacturer to develop safety-critical software, (3) All windows, doors, cabinets seals, etc., such as use of structured language, code must be installed in the locomotive cab and checks, modularity, or other similar gen- be closed. erally acceptable techniques; and (4) The locomotive must be running for suf- (8) Methods by which the supplier or rail- ficient time before the test to be at normal road addresses comprehensiveness of the operating temperature. product design which considers the safety (5) The heating, ventilation and air condi- elements. tioning (HVAC) system or a dedicated heat- [77 FR 21352, Apr. 9, 2012] ing or air conditioner system must be oper- ating on high, and the vents must be open APPENDIX G TO PART 229 [RESERVED] and unobstructed. (6) The locomotive shall not be tested in APPENDIX H TO PART 229—STATIC NOISE any site specifically designed to artificially TEST PROTOCOLS—IN-CAB STATIC lower in-cab noise levels.

This appendix prescribes the procedures for III. PROCEDURES FOR MEASUREMENT the in-cab static measurements of loco- (1) L is defined as the A-weighted, motives. Aeq, T equivalent sound level for a duration of T I. MEASUREMENT INSTRUMENTATION seconds, and the sound level meter shall be set for A-weighting with slow response. The instrumentation used should conform (2) The sound level meter shall be cali- to the following: An integrating-averaging brated with the acoustic calibrator imme- sound level meter shall meet all the require- diately before and after the in-cab static ments of ANSI S1.43–1997 (Reaffirmed 2002), tests. The calibration levels shall be re- ‘‘Specifications for Integrating-Averaging corded. Sound Level Meters,’’ for a Type 1 Instru- (3) Any change in the before and after cali- ment. In the event that a Type 1 instrument bration level(s) shall be less than 0.5 dB. is not available, the measurements may be conducted with a Type 2 instrument. The (4) The sound level meter shall be meas- acoustic calibrator shall meet the require- ured at each of the following locations: ment of the ANSI S1.40–1984 (Reaffirmed (A) 30 inches above the center of the left 2001), ‘‘Specification for Acoustical Cali- seat; brators.’’ The Director of the Federal Reg- (B) Centered in the middle of the cab be- ister approves the incorporation by reference tween the right and left seats, and 56 inches of ANSI S1.43–1997 (Reaffirmed 2002) and above the floor; ANSI S1.40–1984 (Reaffirmed 2001) in this sec- (C) 30 inches above the center of the right tion in accordance with 5 U.S.C. 552(a) and 1 seat; and CFR part 51. You may obtain a copy of the (D) One foot (0.3 meters) from the center of incorporated standards from the American the back interior wall of the cab and 56 National Standards Institute at 1819 L inches above the floor. See Figure 1.

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(5) The observer shall stand as far from the (2) Description of locomotive being tested, microphone as possible. No more than two including: make, model number, serial num- people (tester, observers or crew members) ber, and date of manufacture. shall be inside the cab during measurements. (3) Description of sound level meter and (6) The locomotive shall be tested under calibrator, including: make, model, type, se- self-loading conditions if so equipped. If the rial number, and manufacturer’s calibration locomotive is not equipped with self load, date. the locomotive shall be tested with no-load (4) The recorded measurement during cali- (No-load defined as maximum RPM—no elec- bration and for each microphone location tric load) and an adjustment of 3 dB added to during operating conditions. the measured level. (5) Other information as appropriate to de- scribe the testing conditions and procedure, (7) The sound level shall be recorded at the including whether or not the locomotive was highest horsepower or throttle setting. tested under self-loading conditions, or not. (8) After the engine speed has become con- (6) Where a locomotive fails a test and is stant and the in-cab noise is continuous, re-tested under the provisions of § III(9) of LAeq, T shall be measured, either directly or this appendix, the suspected reason(s) for the using a 1 second sampling interval, for a failure. minimum duration of 30 seconds at each [71 FR 63136, Oct. 27, 2006, as amended at 74 measurement position (LAeq, 30s). FR 25174, May 27, 2009] (9) The highest LAeq, 30s of the 4 measure- ment positions shall be used for determining compliance with § 229.121(a). PART 230—STEAM LOCOMOTIVE (10) A locomotive that has failed to meet INSPECTION AND MAINTENANCE the static test requirements of this regula- STANDARDS tion may be re-tested in accordance with the requirements in section II of this appendix. Subpart A—General IV. RECORDKEEPING Sec. To demonstrate compliance, the entity 230.1 Purpose and scope. conducting the test shall maintain records of 230.2 Applicability. the following data. The records created 230.3 Implementation. under this procedure shall be retained and 230.4 Penalties. made readily accessible for review for a min- 230.5 Preemptive effect. imum of three years. All records may be 230.6 Waivers. maintained in either written or electronic 230.7 Responsibility for compliance. form. 230.8 Definitions. (1) Name(s) of persons conducting the test, 230.9 Information collection. and the date of the test. 230.10 [Reserved]

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