417 Part 228—Hours of Service of Railroad

Federal Railroad Administration, DOT § 228.3

Willful Section Violation violation

(a) Failure to institute a training program as required ...... 5,000 7,500 (b) Failure to provide training within required time frame ...... 2,500 5,000 (c) Failure of program and/or training materials to include required information ...... 2,500 5,000 227.121 Recordkeeping: (a) General Requirements: (1) Failure to make record available as required ...... 2,500 5,000 (3) Failure to transfer or retain records as required ...... 2,000 4,000 (b)–(f) Records: (1) Failure to maintain record or failure to maintain record with required information ...... 2,000 4,000 (2) Failure to retain records for required time period ...... 2,000 4,000 1 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

[71 FR 63123, Oct. 27, 2006, as amended at 73 FR 79703, Dec. 30, 2008]

PART 228—HOURS OF SERVICE OF AUTHORITY: 49 U.S.C. 20103, 20107, 21101– 21109; Sec. 108, Div. A, Public Law 110–432, 122 RAILROAD EMPLOYEES Stat. 4860–4866; 49 U.S.C. 21301, 21303, 21304, 21311; 28 U.S.C. 2461, note; 49 CFR 1.49; and 49 Subpart A—General U.S.C. 103.

Sec. SOURCE: 37 FR 12234, June 21, 1972, unless 228.1 Scope. otherwise noted. 228.3 Application. 228.5 Definitions. Subpart A—General Subpart B—Records and Reporting § 228.1 Scope. 228.7 Hours of duty. This part— 228.9 Records; general. 228.11 Hours of duty records. (a) Prescribes reporting and record- 228.13 Preemptive effect. keeping requirements with respect to 228.17 Dispatcher’s record of train move- the hours of service of certain railroad ments. employees and certain employees of 228.19 Monthly reports of excess service. railroad contractors and subcontrac- 228.21 Civil penalty. tors; and 228.23 Criminal penalty. (b) Establishes standards and proce- Subpart C—Construction of Employee dures concerning the construction or Sleeping Quarters reconstruction of employee sleeping quarters. 228.101 Distance requirement; definitions. 228.103 Approval procedure: construction [43 FR 31012, July 19, 1978, as amended at 74 within one-half mile (2,640 feet) (804 me- FR 25345, May 27, 2009] ters). 228.105 Additional requirements; construc- § 228.3 Application. tion within one-third mile (1,760 feet) (536 (a) Except as provided in paragraph meters) of certain switching. 228.107 Action on petition. (b) of this section, this part applies to all railroads and contractors and sub- Subpart D—Electronic Recordkeeping contractors of railroads. (b) This part does not apply to: 228.201 Electronic recordkeeping; general. (1) A railroad or a contractor or sub- 228.203 Program components. 228.205 Access to electronic records. contractor of a railroad that operates 228.207 Training. only on track inside an installation APPENDIX A TO PART 228—REQUIREMENTS OF which is not part of the general rail- THE HOURS OF SERVICE ACT: STATEMENT road system of transportation; or OF AGENCY POLICY AND INTERPRETATION (2) Rapid transit operations in an APPENDIX B TO PART 228—SCHEDULE OF CIVIL urban area that are not connected with PENALTIES the general railroad system of trans- APPENDIX C TO PART 228—GUIDELINES FOR portation. CLEAN, SAFE, AND SANITARY RAILROAD PROVIDED CAMP CARS [74 FR 25345, May 27, 2009]

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§ 228.5 Definitions. suant to 49 U.S.C. 21103(b)(3) (for train As used in this part— employees) or 49 U.S.C. 21104(b)(2) (for Actual time means either the specific signal employees). time of day, to the hour and minute, or (2) For a dispatching service em- the precise amount of time spent in an ployee, any non-covered service man- activity, in hours and minutes, that dated by the railroad and performed for must be included in the hours of duty the railroad within any 24-hour period record, including, where appropriate, containing covered service. Such com- reference to the applicable time zone mingled service is counted as time on and either standard time or daylight duty pursuant to 49 U.S.C. 21105(c). savings time. Commuting means— Administrator means the Adminis- (1) For a train employee, the time trator of the Federal Railroad Admin- spent in travel— istration or any person to whom the (i) Between the employee’s residence Administrator has delegated authority and the employee’s regular reporting in the matter concerned. point, and Administrative duties means any ac- (ii) In railroad-provided or authorized tivities required by the railroad as a transportation to and from the lodging condition of employment, related to re- facility at the away-from-home ter- porting, recording, or providing an oral or written statement related to a cur- minal (excluding travel for purposes of rent, previous, or future duty tour. an interim release), where such time Such activities are considered service (including travel delays and room for the railroad, and time spent in availability) does not exceed 30 min- these activities must be included in the utes. total time on duty for any duty tour with (2) For a signal employee, the time which it may commingle. spent in travel between the employee’s At the behest of the employee refers to residence and the employee’s head- time spent by an employee in a rail- quarters. road-related activity that is not re- (3) For a dispatching service em- quired by the railroad as a condition of ployee, the time spent in travel be- employment, in which the employee tween the employee’s residence and voluntarily participates. any reporting point. At the behest of the railroad refers to Consecutive service is a period of un- time spent by an employee in a rail- broken total time on duty during a duty road-required activity that compels an tour. employee to perform service for the Covered service means— railroad as a condition of employment. (1) For a train employee, the portion Broken (aggregate) service means one of the employee’s time on duty during or more periods of time on duty within which the employee is engaged in, or a single duty tour separated by one or connected with, the movement of a more qualifying interim releases. train. Call and release occurs when an em- (2) For a dispatching service em- ploying railroad issues an employee a ployee, the portion of the employee’s report-for-duty time, and then releases the employee from the requirement to time on duty during which the em- report prior to the report-for-duty time. ployee, by the use of an electrical or Carrier, common carrier, and common mechanical device, dispatches, reports, carrier engaged in interstate or foreign transmits, receives, or delivers an commerce by railroad mean railroad. order related to or affecting the move- Commingled service means— ment of a train. (1) For a train employee or a signal (3) For a signal employee, the portion employee, any non-covered service at of the employee’s time on duty during the behest of the railroad and per- which the employee is engaged in in- formed for the railroad that is not sep- stalling, repairing, or maintaining a arated from covered service by a quali- signal system. fying statutory off-duty period of 8 or Covered service assignment means— 10 hours or more. Such commingled (1) For a train employee, each unique service is counted as time on duty pur- assignment of the employee during a

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period of covered service that is associ- (3) Is engaged in installing, repairing, ated with either a specific train or a or maintaining a signal system. specific yard job. Final release is the time that a train (2) For a signal employee, the as- employee or a signal employee is re- signed duty hours of the employee, in- leased from all activities at the behest cluding overtime, or unique trouble of the railroad and begins his or her call assignments occurring outside the statutory off-duty period. employee’s assigned duty hours. Headquarters means the regular as- (3) For a dispatching service em- signed on-duty location for signal employee, each unique assignment for the ployees, or the lodging facility or crew employee that occurs within any 24- quarters where traveling signal gangs hour period in which the employee, by reside when working at various system the use of an electrical or mechanical locations. device, dispatches, reports, transmits, Interim release means an off-duty pe- receives, or delivers orders related to riod applied to train employees only, of or affecting train movements. at least 4 hours but less than the re- Deadheading means the physical relo- quired statutory off-duty period at a des- cation of a train employee from one ignated terminal, which off-duty period point to another as a result of a rail- temporarily suspends the accumulation road-issued verbal or written directive. of time on duty, but does not start a Designated terminal means the home new duty tour. or away-from-home terminal for the Limbo time means a period of time assignment of a particular train crew. treated as neither time on duty nor Dispatching service employee means an operator, train dispatcher, or other time off duty in 49 U.S.C. 21103 and train employee who by the use of an 21104, and any other period of service electrical or mechanical device dis- for the railroad that does not qualify patches, reports, transmits, receives, as either covered service or commin- or delivers orders related to or affect- gled service. ing train movements. On-duty time means the actual time Duty location for a signal employee is that an employee reports for duty to the employee’s headquarters or the pre- begin a covered service assignment. cise location where the employee is ex- Other-than-regular reporting point pected to begin performing service for means any location where a train em- the railroad as defined in 49 U.S.C. ployee reports to begin or restart a 21104(b)(1) and (2). duty tour, that is not the employee’s Duty tour means— regular reporting point. (1) The total of all periods of covered Prior time off means the amount of service and commingled service for a train time that an employee has been off duty employee or a signal employee occur- between identifiable periods of service ring between two statutory off-duty peri- at the behest of the railroad. ods (i.e., off-duty periods of a minimum Program edits are filters contained in of 8 or 10 hours); or the logic of an hours of service record- (2) The total of all periods of covered keeping program that detect identifi- service and commingled service for a dis- able reporting errors made by a report- patching service employee occurring in ing employee at the time of data entry, any 24-hour period. and prevent the employee from submit- Employee means an individual em- ting a record without first correcting ployed by a railroad or a contractor or or explaining any identified errors or subcontractor to a railroad who— anomalies. (1) Is actually engaged in or con- Quick tie-up is a data entry process nected with the movement of any used only when an employee is within train, including a person who performs 3 minutes of, or is beyond, his or her the duties of a hostler; statutory maximum on-duty period, (2) Dispatches, reports, transmits, re- which process allows an employee to ceives, or delivers an order pertaining enter only the basic information nec- to a train movement by the use of tele- essary for the railroad to identify the graph, telephone, radio, or any other beginning of an employee’s statutory electrical or mechanical device; or off-duty period, to avoid the excess

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service that would otherwise be in- (iii) The time that an employee com- curred in completing the full record for pletes a covered service assignment to the duty tour. The information per- begin another activity that counts as mitted in a quick tie-up process is lim- time on duty (including waiting for ited to, at a maximum: deadhead transportation to another (1) Board placement time; duty location at which the employee (2) Relieved location, date, and time; will perform covered service, (3) Final release location, date, and deadheading to duty, or any other com- time; mingled service). (4) Contact information for the em- (2) For a signal employee, the time ployee during the statutory off-duty within a duty tour that the employee— period; (i) Completes his or her regular as- (5) Request for rest in addition to the signed hours and begins an off-duty pe- statutory minimum, if provided by col- riod of at least one hour but less than lective bargaining agreement or local a statutory off-duty period; or practice; (ii) Completes his or her return trav- (6) The employee may be provided an el from a trouble call or other unsched- option to enter basic payroll informa- uled duty and begins an off-duty period tion, related only to the duty tour of at least one hour, but less than a being tied up; and statutory off-duty period. (7) Employee certification of the tie- (3) For a dispatching service em- up information provided. ployee, when he or she stops per- Railroad means a person providing forming covered service and commingled railroad transportation. service within any 24-hour period and Railroad transportation means any begins an off-duty period of at least one form of non-highway ground transpor- hour. tation that runs on rails or electro- Relieved time means— magnetic guideways, including com- (1) The actual time that a train em- muter or other short-haul rail pas- ployee stops performing a covered serv- senger service in a metropolitan or ice assignment or commingled service. suburban area, and high speed ground (2) The actual time that a signal em- transportation systems that connect ployee: metropolitan areas, without regard to (i) Completes his or her assigned duty whether they use new technologies not hours, or stops performing covered serv- associated with traditional railroads. ice or commingled service, whichever is Such term does not include rapid tran- later; or sit operations within an urban area (ii) Stops performing covered service that are not connected to the general associated with a trouble call or other railroad system of transportation. unscheduled duty outside of normally Regular reporting point means the per- assigned duty hours. manent on-duty location of a train em- Reports for duty means that an employee’s regular assignment that is es- ployee— tablished through a job bulletin assign- (i) Presents himself or herself at the ment (either a job award or a forced as- location established by the railroad at signment) or through an employee’s ex- the time the railroad established for ercise of seniority to be placed in an the employee to be present; and assignment. The assigned regular re- (ii) Is ready to perform covered serv- porting point is a single fixed location ice. identified by the railroad, even for Report-for-duty time means— extra board and pool crew employees. (1) For a train employee, the actual Release means— time that the employee is required to (1) For a train employee, be present at a reporting point and pre- (i) The time within the duty tour that pared to start a covered service assign- the employee begins an interim release; ment. (ii) The time that an employee com- (2) For a signal employee, the as- pletes a covered service assignment and signed starting time of an employee’s begins another covered service assign- scheduled shift, or the time that he or ment on a different train or job, or she receives a trouble call or a call for

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any other unscheduled duty during an which limbo time is not counted to- off-duty period. ward the calculation of total time on (3) For a dispatching service em- duty. ployee, when the employee begins the Train employee means an individual turn-over process at or before the be- engaged in or connected with the ginning of his or her assigned shift, or movement of a train, including a hos- begins any other activity at the behest tler. of the railroad during any 24-hour pe- Travel time means— riod in which covered service is per- (1) For a signal employee, the time formed. spent in transportation between the Reporting point means any location employee’s headquarters and an out- where an employee is required to begin lying duty point or between the em- or restart a duty tour. ployee’s residence and an outlying duty Seniority move means a repositioning point, or, between duty locations, in- at the behest of the employee, usually a cluding both on-track and on-highway repositioning from a regular assign- vehicular travel. ment or extra board to a different regu- (2) For a dispatching service em- larly assigned position or extra board, ployee, the time spent in travel be- as the result of the employee’s selec- tween stations, offices, or towers during tion of a bulletin assignment or the the employee’s time on duty. employee’s exercise of seniority over a junior employee. [74 FR 25346, May 27, 2009] Signal employee means an individual who is engaged in installing, repairing, Subpart B—Records and Reporting or maintaining signal systems. Station, office or tower means the pre- § 228.7 Hours of duty. cise location where a dispatching serv- (a) For purposes of this part, time on ice employee is expected to perform duty of an employee actually engaged service for the railroad as defined in 49 in or connected with the movement of U.S.C. 21105(b) and (c). any train, including a hostler, begins Statutory off-duty period means the when he reports for duty and ends when period of 8 or 10 consecutive hours or he is finally released from duty, and in- more time, that is the minimum off- cludes— duty period required under the hours of (1) Time engaged in or connected service laws for a train employee or a with the movement of any train; signal employee to begin a new 24-hour (2) Any interim period available for period for the purposes of calculating rest at a location that is not a des- his or her total time on duty. ignated terminal; Total off-duty period means the actual (3) Any interim period of less than 4 amount of time that a train employee hours available for rest at a designated or a signal employee is off duty be- terminal; tween duty tours after the previous (4) Time spent in deadhead transpor- final release and before the beginning tation en route to a duty assignment; of the next duty tour. This time may and differ from the expected prior time off (5) Time engaged in any other service that will be generated by the record- for the carrier. keeping system, if the employee performed service at the behest of the rail- Time spent in deadhead transportation road between the duty tours. by an employee returning from duty to Total time on duty (TTOD) means the his point of final release may not be total accumulation of time spent in pe- counted in computing time off duty or riods of covered service and commingled time on duty. service between qualifying statutory off- (b) For purposes of this part, time on duty periods of 8 or 10 hours or more. duty of an employee who dispatches, Mandatory activities that do not con- reports, transmits, receives, or delivers stitute covered service, such as rules orders pertaining to train movements classes, when they may not attach to by use of telegraph, telephone, radio, covered service, are counted as limbo or any other electrical or mechanical time, rather than commingled service, device includes all time on duty in

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other service performed for the com- contractor or subcontractor of a rail- mon carrier during the 24-hour period road shall also record the name of the involved. railroad for whom its employee per- (c) For purposes of this part, time on formed covered service during the duty duty of an employee who is engaged in tour covered by the record. Employees installing, repairing or maintaining who perform covered service assign- signal systems includes all time on ments in a single duty tour that are duty in other service performed for a subject to the recordkeeping require- common carrier during the 24-hour pe- ments of more than one paragraph of riod involved. this section, must complete the record applicable to the covered service posi- [37 FR 12234, June 21, 1972, as amended at 43 FR 3124, Jan. 23, 1978] tion for which they were called, and record other covered service as an ac- § 228.9 Records; general. tivity constituting other service at the (a) Each manual record maintained behest of the railroad. under this part shall be— (b) For train employees. Except as pro- (1) Signed by the employee whose vided by paragraph (c) of this section, time on duty is being recorded or, in each hours of duty record for a train the case of a train and engine crew or employee shall include the following a signal employee gang, signed by the information about the employee: ranking crewmember; (1) Identification of the employee (2) Retained for two years at loca- (initials and last name; or if last name tions identified by the carrier; and is not the employee’s surname, provide (3) Available upon request at the the employee’s initials and surname). identified location for inspection and (2) Each covered service position in a copying by the Administrator during duty tour. regular business hours. (3) Amount of time off duty before (b) Each electronic record main- beginning a new covered service assign- tained under this part shall be— ment or resuming a duty tour. (1) Certified by the employee whose (4) Train ID for each assignment re- time on duty is being recorded or, in quired to be reported by this part, ex- the case of a train and engine crew or cept for the following employees, who a signal employee gang, certified by may instead report the unique job or the reporting employee who is a mem- train ID identifying their assignment: ber of the train crew or signal gang (i) Utility employees assigned to per- whose time is being recorded; form covered service, who are identi- (2) Electronically stamped with the fied as such by a unique job or train ID; certifying employee’s name and the (ii) Employees assigned to yard jobs, date and time of certification; except that employees assigned to per- (3) Retained for 2 years in a secured form yard jobs on all or parts of con- file that prevents alteration after cer- secutive shifts must at least report the tification; yard assignment for each shift; (4) Accessible by the Administrator (iii) Assignments, either regular or through a computer terminal of the extra, that are specifically established railroad, using a railroad-provided to shuttle trains into and out of a ter- identification code and a unique pass- minal during a single duty tour that word. are identified by a unique job or train (5) Reproducible using the printing symbol as such an assignment. capability at the location where (5) Location, date, and beginning records are accessed. time of the first assignment in a duty tour, and, if the duty tour exceeds 12 [74 FR 25348, May 27, 2009] hours and includes a qualifying period of interim release as provided by 49 § 228.11 Hours of duty records. U.S.C. 21103(b), the location, date, and (a) In general. Each railroad, or a con- beginning time of the assignment im- tractor or a subcontractor of a rail- mediately following the interim re- road, shall keep a record, either manu- lease. ally or electronically, concerning the (6) Location, date, and time relieved hours of duty of each employee. Each for the last assignment in a duty tour,

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and, if the duty tour exceeds 12 hours (16) Number of consecutive days in and includes a qualifying period of in- which a period of time on duty was ini- terim release as provided by 49 U.S.C. tiated. 21103(b), the location, date, and time (c) Exceptions to requirements for train relieved for the assignment imme- employees. Paragraphs (b)(13) through diately preceding the interim release. (b)(16) of this section do not apply to (7) Location, date, and time released the hours of duty records of train em- from the last assignment in a duty ployees providing commuter rail pas- tour, and, if the duty tour exceeds 12 senger transportation or intercity rail hours and includes a qualifying period passenger transportation. of interim release as provided by 49 (d) For dispatching service employees. U.S.C. 21103(b), the location, date, and Each hours of duty record for a dis- time released from the assignment im- patching service employee shall in- mediately preceding the interim re- clude the following information about lease. the employee: (8) Beginning and ending location, (1) Identification of the employee date, and time for periods spent in (initials and last name; or if last name transportation, other than personal is not the employee’s surname, provide commuting, if any, to the first assign- the employee’s initials and surname). ment in a duty tour, from an assign- (2) Each covered service position in a ment to the location of a period of in- duty tour. terim release, from a period of interim (3) Amount of time off duty before release to the next assignment, or from going on duty or returning to duty in a the last assignment in a duty tour to duty tour. the point of final release, including the (4) Location, date, and beginning mode of transportation (train, track time of each assignment in a duty tour. car, railroad-provided motor vehicle, (5) Location, date, and time released personal automobile, etc.). from each assignment in a duty tour. (9) Beginning and ending location, (6) Beginning and ending location, date, and time of any other service per- date, and time of any other service performed at the behest of the railroad. formed at the behest of the railroad. (10) Identification (code) of service (7) Total time on duty for the duty type for any other service performed at tour. the behest of the railroad. (e) For signal employees. Each hours of (11) Total time on duty for the duty duty record for a signal employee shall tour. include the following information (12) Reason for any service that ex- about the employee: ceeds 12 hours total time on duty for (1) Identification of the employee the duty tour. (initials and last name; or if last name (13) The total amount of time by is not the employee’s surname, provide which the sum of total time on duty the employee’s initials and surname). and time spent awaiting or in deadhead (2) Each covered service position in a transportation to the point of final re- duty tour. lease exceeds 12 hours. (3) Headquarters location for the em- (14) The cumulative total for the cal- ployee. endar month of— (4) Amount of time off duty before (i) Time spent in covered service; going on duty or resuming a duty tour. (ii) Time spent awaiting or in (5) Location, date, and beginning deadhead transportation from a duty time of each covered service assign- assignment to the place of final re- ment in a duty tour. lease; and (6) Location, date, and time relieved (iii) Time spent in any other service for each covered service assignment in at the behest of the railroad. a duty tour. (15) The cumulative total for the cal- (7) Location, date, and time released endar month of time spent awaiting or from each covered service assignment in deadhead transportation from a duty in a duty tour. assignment to the place of final release (8) Beginning and ending location, following a period of 12 consecutive date, and time for periods spent in hours on duty. transportation, other than personal

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commuting, to or from a duty assign- (4) Weather conditions at 6-hour in- ment, and mode of transportation tervals. (train, track car, railroad-provided (5) Identification of enginemen and motor vehicle, personal automobile, conductors and their times on duty. etc.). (6) Identification of trains and en- (9) Beginning and ending location, gines. date, and time of any other service per- (7) Station names and office designa- formed at the behest of the railroad. tions. (10) Total time on duty for the duty (8) Distances between stations. tour. (11) Reason for any service that ex- (9) Direction of movement and the ceeds 12 hours total time on duty for time each train passes all reporting the duty tour. stations. (10) Arrival and departure times of [74 FR 25348, May 27, 2009] trains at all reporting stations. § 228.13 Preemptive effect. (11) Unusual events affecting movement of trains and identification of Under 49 U.S.C. 20106, issuance of the trains affected. regulations in this part preempts any (b) [Reserved] State law, regulation, or order cov- ering the same subject matter, except § 228.19 Monthly reports of excess for a provision necessary to eliminate service. or reduce an essentially local safety hazard if that provision is not incom- (a) In general. Except as provided in patible with a law, regulation, or order paragraph (h) of this section, each rail- of the United States government and road, or a contractor or a subcon- does not unreasonably burden inter- tractor of a railroad, shall report to state commerce. Nothing in this para- the Associate Administrator for Rail- graph shall be construed to preempt an road Safety/Chief Safety Officer, Fed- action under State law seeking dam- eral Railroad Administration, Wash- ages for personal injury, death, or ington, DC 20590, each instance of ex- property damage alleging that a party cess service listed in paragraphs (b) has failed to comply with the Federal through (e) of this section, in the man- standard of care established by this ner provided by paragraph (f) of this part, has failed to comply with its own section, within 30 days after the cal- plan, rule, or standard that it created endar month in which the instance oc- pursuant to this part, or has failed to curs. comply with a State law, regulation, or (b) For train employees. Except as pro- order that is not incompatible with the vided in paragraph (c) of this section, first sentence of this paragraph. the following instances of excess serv- [74 FR 25349, May 27, 2009] ice by train employees must be reported to FRA as required by this sec- § 228.17 Dispatcher’s record of train tion: movements. (1) A train employee is on duty for (a) Each carrier shall keep, for each more than 12 consecutive hours. dispatching district, a record of train (2) A train employee continues on movements made under the direction duty without at least 10 consecutive and control of a dispatcher who uses hours off duty during the preceding 24 telegraph, telephone, radio, or any hours. Instances involving duty tours other electrical or mechanical device that are broken by less than 10 con- to dispatch, report, transmit, receive, secutive hours off duty which duty or deliver orders pertaining to train tours constitute more than a total of 12 movements. The following information hours time on duty must be reported.1 shall be included in the record: (1) Identification of timetable in ef- (3) A train employee returns to duty fect. without at least 10 consecutive hours (2) Location and date. off duty during the preceding 24 hours. (3) Identification of dispatchers and Instances involving duty tours that are their times on duty. broken by less than 10 consecutive

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hours off duty which duty tours con- (iii) 15 hours in the transition period stitute more than a total of 12 hours from October 16, 2009–October 31, 2009; time on duty must be reported.1 and (4) A train employee returns to duty (iv) 30 hours in any calendar month without additional time off duty, equal completed after October 31, 2009. to the total amount of time by which (c) Exception to requirements for train the employee’s sum of total time on employees. For train employees who duty and time spent awaiting or in provide commuter rail passenger trans- deadhead transportation to the point of portation or intercity rail passenger final release exceeds 12 hours. transportation during a duty tour, the (5) A train employee exceeds a cumu- following instances of excess service lative total of 276 hours in the fol- must be reported to FRA as required lowing activities in a calendar month: by this section: (i) Time spent in covered service; (1) A train employee is on duty for (ii) Time spent awaiting or in more than 12 consecutive hours. deadhead transportation from a duty (2) A train employee returns to duty assignment to the place of final re- after 12 consecutive hours of service lease; and without at least 10 consecutive hours (iii) Time spent in any other service off duty. at the behest of the railroad. (3) A train employee continues on (6) A train employee initiates an on- duty without at least 8 consecutive duty period on more than 6 consecutive hours off duty during the preceding 24 days, when the on-duty period on the hours. Instances involving duty tours sixth consecutive day ended at the em- that are broken by less than 8 consecu- ployee’s home terminal, and the sev- tive hours off duty which duty tours enth consecutive day is not allowed constitute more than a total of 12 pursuant to a collective bargaining hours time on duty must be reported.2 agreement or pilot project. (4) A train employee returns to duty (7) A train employee returns to duty without at least 8 consecutive hours off after initiating an on-duty period on 6 duty during the preceding 24 hours. In- consecutive days, without 48 consecu- stances involving duty tours that are tive hours off duty at the employee’s broken by less than 8 consecutive home terminal. (8) A train employee initiates an on- hours off duty which duty tours constitute more than a total of 12 hours duty period on more than 7 consecutive 2 days. time on duty must be reported. (9) A train employee returns to duty (d) For dispatching service employees. after initiating an on-duty period on 7 The following instances of excess serv- consecutive days, without 72 consecu- ice by dispatching service employees tive hours off duty at the employee’s must be reported to FRA as required home terminal. by this section: (10) A train employee exceeds the fol- (1) A dispatching service employee is lowing limitations on time spent on duty for more than 9 hours in any awaiting or in deadhead transportation 24-hour period at an office where two or from a duty assignment to the place of more shifts are employed. final release following a period of 12 (2) A dispatching service employee is consecutive hours on duty: on duty for more than 12 hours in any (i) 40 hours in any calendar month 24-hour period at any office where one completed prior to October 1, 2009; shift is employed. (ii) 20 hours in the transition period (e) For signal employees. The following from October 1, 2009–October 15, 2009; instances of excess service by signal

1 Instances involving duty tours that are 2 Instances involving duty tours that are broken by four or more consecutive hours of broken by four or more consecutive hours of off duty time at a designated terminal which off-duty time at a designated terminal which duty tours do not constitute more than a duty tours do not constitute more than a total of 12 hours time on duty are not re- total of 12 hours time on duty are not required to be reported, provided such duty quired to be reported, provided such duty tours are immediately preceded by 10 or tours are immediately preceded by 8 or more more consecutive hours of off-duty time. consecutive hours of off-duty time.

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employees must be reported to FRA as (6) Persons using electronic signa- required by this section: tures shall, upon agency request, pro- (1) A signal employee is on duty for vide additional certification or testi- more than 12 consecutive hours. mony that a specific electronic signa- (2) A signal employee continues on ture is the legally binding equivalent duty without at least 10 consecutive of the signer’s handwritten signature. hours off duty during the preceding 24 (h) Exception. A railroad, or a con- hours. tractor or subcontractor to a railroad, (3) A signal employee returns to duty is excused from the requirements of without at least 10 consecutive hours paragraphs (a) and (f) of this section as off duty during the preceding 24 hours. to any employees for which— (f) Except as provided in paragraph (1) The railroad, or a contractor or (h) of this section, reports required by subcontractor to a railroad, maintains paragraphs (b) through (e) of this sec- hours of service records using an elec- tion shall be filed in writing on FRA tronic recordkeeping system that com- 3 Form F–6180–3 with the Office of Rail- plies with the requirements of subpart road Safety, Federal Railroad Adminis- D of this part; and tration, Washington, DC 20590. A sepa- (2) The electronic recordkeeping sys- rate form shall be used for each in- tem referred to in paragraph (h)(1) of stance reported. this section requires— (g) Use of electronic signature. For the (i) The employee to enter an expla- purpose of complying with paragraph nation for any excess service certified (f) of this section, the signature re- by the employee; and quired on Form FRA F–6180–3 may be provided to FRA by means of an elec- (ii) The railroad, or a contractor or tronic signature provided that: subcontractor of a railroad, to analyze (1) The record contains the printed each instance of excess service cer- name of the signer and the date and ac- tified by one of its employees, make a tual time that the signature was exe- determination as to whether each in- cuted, and the meaning (such as au- stance of excess service would be re- thorship, review, or approval), associ- portable under the provisions of para- ated with the signature; graphs (b) through (e) of this section, (2) Each electronic signature shall be and allows the railroad, or a contractor unique to one individual and shall not or subcontractor to a railroad, to ap- be used by, or assigned to, anyone else; pend its analysis to its employee’s (3) Before a railroad, or a contractor electronic record; and or subcontractor to a railroad, estab- (iii) Allows FRA inspectors and State lishes, assigns, certifies, or otherwise inspectors participating under 49 CFR sanctions an individual’s electronic part 212 access to employee reports of signature, or any element of such elec- excess service and any explanations tronic signature, the organization shall provided. verify the identity of the individual; [74 FR 25349, May 27, 2009] (4) Persons using electronic signatures shall, prior to or at the time of § 228.21 Civil penalty. such use, certify to the agency that the electronic signatures in their system, Any person (an entity of any type used on or after the effective date of covered under 1 U.S.C. 1, including but this regulation, are the legally binding not limited to the following: a railroad; equivalent of traditional handwritten a manager, supervisor, official, or signatures; other employee or agent of a railroad; (5) The certification shall be sub- any owner, manufacturer, lessor, or mitted, in paper form and signed with lessee of railroad equipment, track, or a traditional handwritten signature, to facilities; any independent contractor the Associate Administrator for Rail- providing goods or services to a railroad Safety/Chief Safety Officer; and road; and any employee of such owner, manufacturer, lessor, lessee, or inde- 3 Form may be obtained from the Office of pendent contractor) who violates any Railroad Safety, Federal Railroad Adminis- requirement of this part or causes the tration, Washington, DC 20590. Reproduction violation of any such requirement is is authorized. subject to a civil penalty of at least

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$650 and not more than $25,000 per vio- of Transportation) of any area where lation, except that: Penalties may be railroad switching or humping oper- assessed against individuals only for ations are performed.’’ 45 U.S.C. willful violations, and, where a grossly 62(a)(4). This subpart sets forth (1) a negligent violation or a pattern of re- general definition of ‘‘immediate vicin- peated violations has created an immi- ity’’ (§ 228.101(b)), (2) procedures under nent hazard of death or injury to per- which a carrier may request a deter- sons, or has caused death or injury, a mination by the Federal Railroad Ad- penalty not to exceed $100,000 per viola- ministration that a particular proposed tion may be assessed. Each day a viola- site is not within the ‘‘immediate vi- tion continues shall constitute a sepa- cinity’’ of railroad switching or hump- rate offense. See appendix B to this ing operations (§§ 228.103 and 228.105), part for a statement of agency civil and (3) the basic criteria utilized in penalty policy. Violations of the Hours evaluating proposed sites (§ 228.107). of Service Act itself (e.g., requiring an (b) Except as determined in accord- employee to work excessive hours or ance with the provisions of this sub- beginning construction of a sleeping part. ‘‘The immediate vicinity’’ shall quarters subject to approval under sub- mean the area within one-half mile part C of this part without prior ap- (2,640 feet) (804 meters) of switching or proval) are subject to penalty under humping operations as measured from that Act’s penalty provision, 45 U.S.C. the nearest rail of the nearest trackage 64a. where switching or humping operations are performed to the point on the site [53 FR 52931, Dec. 29, 1988, as amended at 63 FR 11622, Mar. 10, 1998; 69 FR 30594, May 28, where the carrier proposes to construct 2004; 72 FR 51197, Sept. 6, 2007; 73 FR 79703, or reconstruct the exterior wall of the Dec. 30, 2008] structure, or portion of such wall, which is closest to such operations. § 228.23 Criminal penalty. (c) As used in this subpart— Any person who knowingly and will- (1) Construction shall refer to the— fully falsifies a report or record re- (i) Creation of a new facility; quired to be kept under this part or (ii) Expansion of an existing facility; otherwise knowingly and willfully vio- (iii) Placement of a mobile or mod- lates any requirement of this part may ular facility; or be liable for criminal penalties of a fine (iv) Acquisition and use of an exist- up to $5,000, imprisonment for up to ing building. two years, or both, in accordance with (2) Reconstruction shall refer to the— 49 U.S.C. 21311(a). (i) Replacement of an existing facility with a new facility on the same [74 FR 25350, May 27, 2009] site; or (ii) Rehabilitation or improvement of Subpart C—Construction of an existing facility (normal periodic Employee Sleeping Quarters maintenance excepted) involving the expenditure of an amount representing SOURCE: 43 FR 31012, July 19, 1978, unless more than 50 percent of the cost of re- otherwise noted. placing such facility on the same site at the time the work of rehabilitation § 228.101 Distance requirement; defini- or improvement began, the replace- tions. ment cost to be estimated on the basis (a) The Hours of Service Act, as of contemporary construction methods amended (45 U.S.C. 61–64b), makes it and materials. unlawful for any common carrier en- (3) Switching or humping operations in- gaged in interstate or foreign com- cludes the classification of placarded merce by railroad to begin, on or after railroad cars according to commodity July 8, 1976, the construction or recon- or destination, assembling of placarded struction of sleeping quarters for em- cars for train movements, changing the ployees who perform duties covered by position of placarded cars for purposes the act ‘‘within or in the immediate vi- of loading, unloading, or weighing, and cinity (as determined in accordance the placing of placarded cars for repair. with rules prescribed by the Secretary However, the term does not include the

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moving of rail equipment in connection ceding the date construction or recon- with work service, the moving of a struction is commenced or if such oper- train or part of a train within yard ations are to be permitted on such limits by a road locomotive or placing trackage after such date. If the carrier locomotives or cars in a train or re- does not have reliable records con- moving them from a train by a road lo- cerning the traffic handled on the comotive while en route to the train’s trackage within the specified period, it destination. The term does include op- shall be presumed that switching of erations within this definition which placarded cars is conducted at the loca- are conducted by any railroad; it is not tion and construction or reconstruc- limited to the operations of the carrier tion of sleeping quarters within one- contemplating construction or recon- half mile shall be subject to the ap- struction of railroad employee sleeping proval procedures of this subpart. quarters. (c) A petition shall be filed in accord- (4) Placarded car shall mean a rail- ance with the requirements of road car required to be placarded by § 211.7(b)(1) of this chapter and shall the Department of Transportation haz- contain the following: ardous materials regulations (49 CFR (1) A brief description of the type of 172.504). construction planned, including mate- (5) The term Leq (8) shall mean the rials to be employed, means of egress equivalent steady state sound level from the quarters, and actual and pro- which in 8 hours would contain the jected exterior noise levels and pro- same acoustic energy as the time-vary- jected interior noise levels; ing sound level during the same time (2) The number of employees ex- period. pected to utilize the quarters at full ca- pacity; § 228.103 Approval procedure: con- (3) A brief description of the site, in- struction within one-half mile (2,640 cluding: feet) (804 meters). (i) Distance from trackage where (a) A common carrier that has devel- switching or humping operations are oped plans for the construction or re- performed, specifying distances from construction of sleeping quarters sub- particular functions such as classifica- ject to this subpart and which is con- tion, repair, assembling of trains from sidering a site less than one-half mile large groups of cars, etc. cetera; (2,640 feet) (804 meters) from any area (ii) Topography within a general area where switching or humping operations consisting of the site and all of the rail are performed, measured from the facilities close to the site; nearest rail of the nearest trackage (iii) Location of other physical im- utilized on a regular or intermittent provements situated between the site basis for switching or humping oper- and areas where railroad operations are ations to the point on the site where conducted; the carrier proposes to construct or re- (4) A blueprint or other drawing construct the exterior wall of the showing the relationship of the site to structure, or portion of such wall, trackage and other planned and exist- which is closest to such operations, ing facilities; must obtain the approval of the Fed- (5) The proposed or estimated date eral Railroad Administration before for commencement of construction; commencing construction or recon- (6) A description of the average num- struction on that site. Approval may ber and variety of rail operations in be requested by filing a petition con- the areas within one-half mile (2,640 forming to the requirements of this feet) (804 meters) of the site (e.g., num- subpart. ber of cars classified in 24-hour period; (b) A carrier is deemed to have con- number of train movements); ducted switching or humping oper- (7) An estimate of the average daily ations on particular trackage within number of placarded rail cars trans- the meaning of this subpart if plac- porting hazardous materials through arded cars are subjected to the oper- the railroad facility (where prac- ations described in § 228.101(c)(3) within ticable, based on a 365-day period sam- the 365-day period immediately pre- ple, that period not having ended more

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than 120 days prior to the date of filing point for the employees who are to be the petition), specifying the— housed in the sleeping quarters; (i) Number of such cars transporting (2) Natural or other barriers exist or class A explosives and poison gases; will be created prior to occupancy of and the proposed facility between the pro- (ii) Number of DOT Specification posed site and any areas in which 112A and 114A tank cars transporting switching or humping operations are flammable gas subject to FRA emer- performed which will be adequate to gency order No. 5; shield the facility from the direct and (8) A statement certified by a cor- severe effects of a hazardous materials porate officer of the carrier possessing accident/incident arising in an area of authority over the subject matter ex- switching or humping operations; plaining any plans of that carrier for (3) The topography of the property is utilization of existing trackage, or for such as most likely to cause any haz- the construction of new trackage, ardous materials unintentionally re- which may impact on the location of leased during switching or humping to switching or humping operations with- flow away from the proposed site; and in one-half mile of the proposed site (if (4) Precautions for ensuring em- there are no plans, the carrier official ployee safety from toxic gases or explo- must so certify); and sions such as employee training and (9) Any further information which is evacuation plans, availability of appro- necessary for evaluation of the site. priate respiratory protection, and (d) A petition filed under this section measures for fire protection, have been must contain a statement that the pe- considered. tition has been served on the recog- (b) In the absence of reliable records nized representatives of the railroad concerning traffic handled on trackage employees who will be utilizing the within the one-third mile area, it shall proposed sleeping quarters, together be presumed that the types of cars enu- with a list of the employee representa- merated in paragraph (a) of this sec- tives served. tion are switched on that trackage; and the additional requirements of this sec- [43 FR 31012, July 19, 1978, as amended at 74 tion shall be met by the petitioning FR 25173, May 27, 2009] carrier, unless the carrier establishes that the switching of the enumerated § 228.105 Additional requirements; construction within one-third mile cars will be effectively barred from the (1,760 feet) (536 meters) of certain trackage if the petition is approved. switching. § 228.107 Action on petition. (a) In addition to providing the information specified by § 228.103, a carrier (a) Each petition for approval filed seeking approval of a site located with- under § 228.103 is referred to the Rail- in one-third mile (1,760 feet) (536 me- road Safety Board for action in accord- ters) of any area where railroad switch- ance with the provisions of part 211, ing or humping operations are per- title 49, CFR, concerning the proc- formed involving any cars required to essing of requests for special approvals. be placarded ‘‘EXPLOSIVES A’’ or (b) In considering a petition for ap- ‘‘POISON GAS’’ or any DOT Specifica- proval filed under this subpart, the tion 112A or 114A tank cars trans- Railroad Safety Board evaluates the porting flammable gas subject to FRA material factors bearing on— emergency order No. 5 shall establish (1) The safety of employees utilizing by a supplementary statement certified the proposed facility in the event of a by a corporate officer possessing au- hazardous materials accident/incident thority over the subject matter that— and in light of other relevant safety (1) No feasible alternate site located factors; and at or beyond one-third mile from (2) Interior noise levels in the facil- switching or humping operations is ei- ity. ther presently available to the railroad (c) The Railroad Safety Board will or is obtainable within 3 miles (15,840 not approve an application submitted feet) (4,827 meters) of the reporting under this subpart if it appears from

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the available information that the pro- (5) The railroad, or contractor or sub- posed sleeping quarters will be so situ- contractor to the railroad, maintains ated and constructed as to permit inte- an information technology security rior noise levels due to noise under the program adequate to ensure the integ- control of the railroad to exceed an rity of the system, including the pre- Leq(8) value of 55dB(A). If individual air vention of unauthorized access to the conditioning and heating systems are program logic or individual records. to be utilized, projections may relate (6) FRA’s Associate Administrator to noise levels with such units turned for Railroad Safety/Chief Safety Officer off. may prohibit or revoke the authority (d) Approval of a petition filed under to use an electronic system if FRA this subpart may be withdrawn or finds the system is not properly secure, modified at any time if it is is inaccessible to FRA, or fails to ascertained, after opportunity for a record and store the information ade- hearing, that any representation of quately and accurately. FRA will fact or intent made by a carrier in ma- record such a determination in writing, terials submitted in support of a peti- including the basis for such action, and tion was not accurate or truthful at will provide a copy of its determina- the time such representation was tion to the affected railroad, or con- made. tractor or subcontractor to a railroad.

Subpart D—Electronic § 228.203 Program components. Recordkeeping (a) System security. The integrity of the program and database must be protected by a security system that uti- SOURCE: 74 FR 25350, May 27, 2009, unless lizes an employee identification num- otherwise noted. ber and password, or a comparable method, to establish appropriate levels § 228.201 Electronic recordkeeping; general. of program access meeting all of the following standards: For purposes of compliance with the (1) Data input is restricted to the em- recordkeeping requirements of subpart ployee or train crew or signal gang B, a railroad, or a contractor or a sub- whose time is being recorded, with the contractor to a railroad may create following exceptions: and maintain any of the records re- (i) A railroad, or a contractor or sub- quired by subpart B through electronic contractor to a railroad, may allow its transmission, storage, and retrieval recordkeeping system to pre-populate provided that all of the following con- fields of the hours of service record ditions are met: provided that— (1) The system used to generate the (A) The recordkeeping system pre- electronic record meets all require- populates fields of the hours of service ments of this subpart; record with information known to the (2) The electronically generated railroad, or contractor or subcon- record contains the information re- tractor to the railroad, to be factually quired by § 228.11; accurate for a specific employee. (3) The railroad, or contractor or sub- (B) The recordkeeping system may contractor to the railroad, monitors its also provide the ability for employees electronic database of employee hours to copy data from one field of a record of duty records through sufficient num- into another field, where applicable. ber of monitoring indicators to ensure (C) Estimated, historical, or arbi- a high degree of accuracy of these trary data are not used to pre-populate records; and any field of an hours of service record. (4) The railroad, or contractor or sub- (D) A railroad, or a contractor or a contractor to the railroad, trains its subcontractor to a railroad, is not in employees on the proper use of the violation of this paragraph if it makes electronic recordkeeping system to a good faith judgment as to the factual enter the information necessary to cre- accuracy of the data for a specific em- ate their hours of service record, as re- ployee but nevertheless errs in pre- quired by § 228.207. populating a data field.

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(E) The employee may make any nec- (1) Calculate the total time on duty essary changes to the data by typing for each employee, using data entered into the field, without having to access by the employee and treating each another screen or obtain clearance identified period as defined in § 228.5; from the railroad, or a contractor or (2) Identify input errors through the subcontractor to a railroad. use of program edits; (ii) A railroad, or a contractor or a (3) Require records, including out- subcontractor to a railroad, shall allow standing records, the completion of employees to complete a verbal quick which was delayed, to be completed in tie-up, or to transmit by facsimile or chronological order; other electronic means the information (4) Require reconciliation when the necessary for a quick tie-up, if— known (system-generated) prior time (A) The employee is released from off differs from the prior time off re- duty at a location at which there is no ported by an employee; terminal available; (5) Require explanation if the total (B) Computer systems are unavail- time on duty reflected in the certified able as a result of technical issues; or record exceeds the statutory maximum (C) Access to computer terminals is for the employee; delayed and the employee has exceeded (6) Require the use of a quick tie-up his or her maximum allowed time on process when the employee has exceed- duty. ed or is within three minutes of his or (2) No two individuals have the same her statutory maximum time on duty; electronic identity. (7) Require that the employee’s cer- (3) A record cannot be deleted or al- tified final release be not more than tered by any individual after the record three minutes in the future, and that is certified by the employee who cre- the employee may not certify a final ated the record. release time for a current duty tour (4) Any amendment to a record is ei- that is in the past, compared to the ther— clock time of the computer system at (i) Electronically stored apart from the time that the record is certified, al- the record that it amends, or lowing for changes in time zones; (ii) Electronically attached to the (8) Require automatic modification record as information without chang- to prevent miscalculation of an em- ing the original record. ployee’s total time on duty for a duty (5) Each amendment to a record tour that spans changes from and to uniquely identifies the individual mak- daylight savings time; ing the amendment. (9) For train employees, require com- (6) The electronic system provides for pletion of a full record at the end of a the maintenance of inspection records duty tour when the employee initiates as originally submitted without cor- a tie-up with less than the statutory ruption or loss of data. maximum time on duty and a quick (7) Supervisors and crew management tie-up is not mandated; officials can access, but cannot delete (10) For train employees, disallow use or alter the records of any employee of a quick tie-up when the employee after the report-for-duty time of the has time remaining to complete a full employee or after the record has been record, except as provided in paragraph certified by the reporting employee. (a)(1)(ii) of this section. (b) Identification of the individual en- (11) Disallow any manipulation of the tering data. The program must be capa- tie-up process that precludes compli- ble of identifying each individual who ance with any of the requirements entered data for a given record. If a specified by paragraphs (c)(1) through given record contains data entered by (c)(10) of this section. more than one individual, the program (d) Search capabilities. The program must be capable of identifying each in- must contain sufficient search criteria dividual who entered specific informa- to allow any record to be retrieved tion within the record. through a search of any one or more of (c) Capabilities of program logic. The the following data fields, by specific program logic must have the ability date or by a date range not exceeding to— 30 days for the data fields specified by

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paragraphs (d)(1) and (d)(2) of this sec- displayed together, and the record will tion, and not exceeding one day for the include all of the assignments and ac- data fields specified by paragraphs tivities of a given duty tour that are (d)(3) through (d)(7) of this section: required to be recorded by this part. (1) Employee, by name or identification number; § 228.207 Training. (2) Train or job symbol; (a) In general. A railroad, or a con- (3) Origin location, either yard or tractor or subcontractor to a railroad, station; shall provide its train employees, sig- (4) Released location, either yard or nal employees, and dispatching service station; employees and its supervisors of these (5) Operating territory (i.e., division employees with initial training and re- or service unit, subdivision, or rail- fresher training as provided in this sec- road-identified line segment); tion. (6) Certified records containing one (b) Initial training. (1) Initial training or more instances of excess service; and shall include the following: (7) Certified records containing duty (i) Instructional components pre- tours in excess of 12 hours. sented in a classroom setting or by (e) The program must display indi- electronic means; and vidually each train or job assignment (ii) Experiential (‘‘hands-on’’) compo- within a duty tour that is required to nents; and be reported by this part. (iii) Training on— (A) The aspects of the hours of serv- § 228.205 Access to electronic records. ice laws relevant to the employee’s po- (a) FRA inspectors and State inspec- sition that are necessary to under- tors participating under 49 CFR Part standing the proper completion of the 212 must have access to hours of serv- hours of service record required by this ice records created and maintained part, and electronically that is obtained as re- (B) The entry of hours of service quired by § 228.9(b)(4). data, into the electronic system or on (b) Railroads must establish and the appropriate paper records used by comply with procedures for providing the railroad or contractor or subcon- an FRA inspector or participating tractor to a railroad for whom the em- State inspector with an identification ployee performs covered service; and number and temporary password for (iv) Testing to ensure that the objec- access to the system upon request, tives of training are met. which access will be valid for a period (2) Initial training shall be provided— not to exceed seven days. Access to the (i) To each current employee and su- system must be provided as soon as pervisor of an employee as soon after possible and no later than 24 hours May 27, 2009 as practicable; and after a request for access. (ii) To new employees and super- (c) The inspection screen provided to visors prior to the time that they will FRA inspectors and participating State be required to complete an hours of inspectors for searching employee service record or supervise an em- hours of duty records must be for- ployee required to complete an hours of matted so that— service record. (1) Each data field entered by an em- (c) Refresher training. (1) The content ployee on the input screen is visible to and level of formality of refresher the FRA inspector or participating training should be tailored to the needs State inspector; and of the location and employees involved, (2) The data fields are searchable as except that the training shall— described in § 228.203(d) and yield access (i) Emphasize any relevant changes to all records matching criteria speci- to the hours of service laws, the report- fied in a search. ing requirements in this part, or the (3) Records are displayed in a manner carrier’s electronic or other record- that is both crew-based and duty tour keeping system since the employee last oriented, so that the data pertaining to received training; and all employees who worked together as (ii) Cover any areas in which super- part of a crew or signal gang will be visors or other railroad managers are

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finding recurrent errors in the employ- tive hours off duty before being permitted to ees’ records through the monitoring in- return to work. dicators. Second, no employee engaged in train or (2) Refresher training shall be pro- engine service may be required or permitted to continue on duty or go on duty unless he vided to each employee any time that has had at least eight consecutive hours off recurrent errors in records prepared by duty within the preceding twenty-four hours. the employee, discovered through the This latter limitation, when read in conjunc- monitoring indicators, suggest, for ex- tion with the requirements with respect to ample, the employee’s lack of under- computation of duty time (discussed below) standing of how to complete hours of results in several conclusions: service records. (1) When an employee’s work tour is broken or interrupted by a valid period of interim release (4 hours or more at a des- APPENDIX A TO PART 228—REQUIRE- ignated terminal), he may return to duty for MENTS OF THE HOURS OF SERVICE the balance of the total 12-hour work tour ACT: STATEMENT OF AGENCY POLICY during a 24-hour period. AND INTERPRETATION (2) After completing the 12 hours of broken duty, or at the end of the 24-hour period, First enacted in 1907, the Hours of Service whichever occurs first, the employee may Act was substantially revised in 1969 by Pub- not be required or permitted to continue on lic Law 91–169. Further amendments were en- duty or to go on duty until he has had at acted as part of the Federal Railroad Safety least 8 consecutive hours off duty. Authorization Act of 1976, Public Law 94–348 (3) The 24-hour period referred to in para- and by the Rail Safety Improvement Act of graphs 1 and 2 above shall begin upon the 1988, Public Law 100–342. The purpose of the commencement of a work tour by the em- law is ‘‘to promote the safety of employees ployee immediately after his having received and travelers upon railroads by limiting the a statutory off-duty period of 8 or 10 hours as hours of service of employees * * *.’’ This ap- appropriate. pendix is designed to explain the effect of the Duty time and effective periods of release. On- law in commonly-encountered situations. duty time commences when an employee re- The Act governs the maximum work hours ports at the time and place specified by the of employees engaged in one or more of the railroad and terminates when the employee basic categories of covered service treated is finally released of all responsibilities. below. If an individual performs more than (Time spent in deadhead transportation to a one kind of covered service during a tour of duty assignment is also counted as time on duty, then the most restrictive of the appli- duty. See discussion below.) Any period cable limitations control. available for rest that is of four or more The act applies to any railroad, as that hours and is at a designated terminal is off- term is defined in 45 U.S.C. 431(e). It governs duty time. All other periods available for the carrier’s operations over its own railroad rest must be counted as time on duty under and all lines of road which it uses. the law, regardless of their duration. The term ‘‘designated terminal’’ means a TRAIN AND ENGINE SERVICE terminal (1) which is designated in or under Covered Service. Train or engine service re- a collective bargaining agreement as the fers to the actual assembling or operation of ‘‘home’’ or ‘‘away-from-home’’ terminal for a trains. Employees who perform this type of particular crew assignment and (2) which has service commonly include locomotive engi- suitable facilities for food and lodging. Car- neers, firemen, conductors, trainmen, rier and union representatives may agree to switchmen, switchtenders (unless their du- establish additional designated terminals ties come under the provisions of section 3) having such facilities as points of effective and hostlers. With the passage of the 1976 release under the Act. Agreements to des- amendments, both inside and outside hos- ignate additional terminals for purposes of tlers are considered to be connected with the release under the Act should be reduced to movement of trains. Previously, only outside writing and should make reference to the hostlers were covered. Any other employee particular assignments affected and to the who is actually engaged in or connected with Hours of Service Act. The following are com- the movement of any train is also covered, mon situations illustrating the designated regardless of his job title. terminal concept: Limitations on Hours. The Act establishes (1) A freight or passenger road crew oper- two limitations on hours of service. First, no ates a train from home terminal ‘‘A’’ to employee engaged in train or engine service away-from-home terminal ‘‘B’’ (or the re- may be required or permitted to work in ex- verse). Terminals ‘‘A’’ and ‘‘B’’ would nor- cess of twelve consecutive hours. After work- mally be the designated terminals for this ing a full twelve consecutive hours, an em- specific crew assignment. However, carrier ployee must be given at least ten consecu- and employee representatives may agree to

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designate additional terminals having suit- point in lieu of deadhead transportation pro- able facilities for food and lodging as appro- vided by the carrier, such actual travel time priate points of release under the Hours of is considered as deadheading time. However, Service Act. if the actual travel time from his home to (2) A road crew operates a train in turn- the point of duty assignment exceeds a rea- around service from home terminal ‘‘A’’ to sonable travel time from the regular report- turn-around point ‘‘B’’ and back to ‘‘A’’. Ter- ing point to the point of duty assignment, minal ‘‘A’’ is the only designated terminal then only the latter period is counted. Of for this specific crew assignment, unless car- course, actual travel time must be reason- rier and employee representatives have able and must not include diversions for per- agreed to designate additional terminals sonal reasons. having suitable facilities for food and lodging. Example: Employee A receives an assign- (3) A crew is assigned to operate a mainte- ment from an ‘‘extra board’’ located at his nance-of-way work train from home ter- home terminal to protect a job one hour’s minal ‘‘A’’, work on line of road and tie up drive from the home terminal. In lieu of for rest along the line of road at point ‘‘B’’. transporting the employee by carrier con- Home terminal ‘‘A’’ and tie-up point ‘‘B’’ veyance, the railroad pays the employee a both qualify as designated terminals for this fixed amount to provide his own transpor- specific work train crew assignment. Of tation to and from the outlying point. The course, suitable facilities for food and lodg- employee is permitted to go directly from ing must be available at tie-up point ‘‘B’’. his home to the outlying point, a drive which Deadheading. Under the Act time spent in takes 40 minutes. The normal driving time deadhead transportation receives special between his regular reporting point at his treatment. Time spent in deadhead transpor- home terminal and the outlying point is 60 tation to a duty assignment by a train or en- minutes. The actual driving time, 40 minutes gine service employee is considered on-duty is considered deadhead time and is counted time. Time spent in deadhead transportation as time on duty under the Act. from the final duty assignment of the work Employee A performs local switching serv- tour to the point of final release is not com- ice at the outlying point. When the employee puted as either time on duty or time off returns from the outlying point that duty. Thus, the period of deadhead transpor- evening, and receives an ‘‘arbitrary’’ pay- tation to point of final release may not be ment for his making the return trip by pri- included in the required 8- or 10-hour off- vate automobile, 40 minutes of his time in duty period. Time spent in deadhead trans- transportation home is considered portation to a duty assignment is calculated deadheading to point of final release and is from the time the employee reports for not counted as either time on duty or time deadhead until he reaches his duty assign- off duty. ment. All time spent awaiting the arrival of a Wreck and relief trains. Prior to the 1976 deadhead vehicle for transportation from the amendments, crews of wreck and relief final duty assignment of the work tour to trains were exempted entirely from the limi- the point of final release is considered limbo tations on hours of service. Under present time, i.e., neither time on duty nor time off law that is no longer the case. The crew of a duty, provided that the employee is given no wreck or relief train may be permitted to be specific responsibilities to perform during on duty for not to exceed 4 additional hours this time. However, if an employee is re- in any period of 24 consecutive hours when- quired to perform service of any kind during ever an actual emergency exists and the that period (e.g., protecting the train against work of the crew is related to that emer- vandalism, observing passing trains for any gency. Thus, a crew could work up to 16 defects or unsafe conditions, flagging, shut- hours, rather than 12. The Act specifies that ting down locomotives, checking fluid levels, an emergency ceases to exist for purposes of or communicating train consist information this provision when the track is cleared and via radio), he or she will be considered as on the line is open for traffic. An ‘‘emergency’’ duty until all such service is completed. Of for purposes of wreck or relief service may be course, where a railroad carrier’s operating a less extraordinary or catastrophic event rules clearly relieve the employee of all du- than an ‘‘unavoidable accident or Act of ties during the waiting period and no duties God’’ under section 5(d) of the Act. are specifically assigned, the waiting time is Example: The crew of a wreck train is dis- not computed as either time on duty or time patched to clear the site of a derailment off duty. which has just occurred on a main line. The Transit time from the employee’s resi- wreck crew re-rails or clears the last car and dence to his regular reporting point is not the maintenance of way department releases considered deadhead time. the track to the operating department 14 If an employee utilizes personal auto- hours and 30 minutes into the duty tour. mobile transportation to a point of duty as- Since the line is not clear until the wreck signment other than the regular reporting train is itself out of the way, the crew may

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operate the wreck train to its terminal, pro- tional administrative interpretation of sec- vided this can be accomplished within the tion 3, other periods of transportation are total of 16 hours on duty. viewed as personal commuting and, thus, off- Emergencies. The Act contains no general duty time. exception using the term ‘‘emergency’’ with A release period is considered off-duty respect to train or engine service or related time if it provides a meaningful period of re- work. See ‘‘casualties,’’ etc., under ‘‘General laxation and if the employee is free of all re- Provisions’’. sponsibilities to the carrier. One hour is the minimum acceptable release period for this COMMUNICATION OF TRAIN ORDERS type of covered service. Covered Service. The handling of orders gov- Emergencies. The section of the Act dealing erning the movement of trains is the second with dispatchers, operators, and others who type of covered service. This provision of the transmit or receive train orders contains its Act applies to any operator, train dispatcher own emergency provision. In case of emer- or other employee who by the use of the tele- gency, an employee subject to the 9 or 12- graph, telephone, radio, or any other hour limitation is permitted to work an ad- electical or mechanical device dispatches, ditional four hours in any 24-hour period, but reports, transmits, receives, or delivers or- only for a maximum of three days in any pe- ders pertaining to or affecting train move- riod of seven consecutive days. However, ments. even in an emergency situation the carrier The approach of the law is functional. must make reasonable efforts to relieve the Thus, though a yardmaster normally is not employee. covered by this provision, a yardmaster or other employee who performs any of the GENERAL PROVISIONS specified service during a duty tour is subject to the limitations on service for that en- (APPLICABLE TO ALL COVERED SERVICE) tire tour. Commingled Service. All duty time for a Limitations on hours. No employee who per- railroad even though not otherwise subject forms covered service involving communica- to the Act must be included when computing tion of train orders may be required or per- total on-duty time of an individual who permitted to remain on duty for more than nine forms one or more of the type of service cov- hours, whether consecutive or in the aggre- ered by the Act. This is known as the prin- gate, in any 24-hour period in any office, ciple of ‘‘commingled service’’. tower, station or place where two or more For example, if an employee performs duty shifts are employed. Where only one shift is for 8 hours as a trainman and then is used as employed, the employee is restricted to 12 a trackman (not covered by the law) in the hours consecutively or in the aggregate dur- same 24-hour period, total on-duty time is ing any 24-hour period. determined by adding the duty time as The provision on emergencies, discussed trackman to that as trainman. The law does below, may extend the permissible hours of not distinguish treatment of situations in employees performing this type of service. which non-covered service follows, rather Shifts. The term ‘‘shift’’ is not defined by than precedes, covered service. The limita- the Act, but the legislative history of the tions on total hours apply on both cases. It 1969 amendments indicates that it means a should be remembered that attendance at re- tour of duty constituting a day’s work for quired rules classes is duty time subject to one or more employee performing the same the provisions on ‘‘commingling’’. Similarly, class of work at the same station who are where a carrier compels attendance at a dis- scheduled to begin and end work at the same ciplinary proceeding, time spent in attend- time. The following are examples of this ance is subject to the provisions on commin- principle: gling. Scheduled Hours Classification When an employee performs service covered by more than one restrictive provision, 7 a.m. to 3 p.m ...... 1 shift. the most restrictive provision determines 7 a.m. to 12:30 p.m. 1:30 p.m. to 8 p.m. Do. the total lawful on-duty time. Thus, when an (Schedule for one employee including employee performs duty in train or engine one hour lunch period). 7 a.m. to 3 p.m. 7 a.m. to 3 p.m. (Two Do. service and also as an operator, the provi- employees scheduled). sions of the law applicable to operators apply 7 a.m. to 3 p.m. 8 a.m. to 4 p.m. (Two 2 shifts. to all on-duty and off-duty periods during employees scheduled). such aggregate time. However, an employee subject to the 12 hour provision of section 2 Duty time and effective periods of release. If, of the law does not become subject to the 9 after reporting to his place of duty, an em- or 12-hour provisions of section 3 merely be- ployee is required to perform duties at other cause he receives, transmits or delivers or- places during this same tour of duty, the ders pertaining to or affecting the movement time spent traveling between such places is of his train in the course of his duties as a considered as time on duty. Under the tradi- trainman.

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Casualties, Unavoidable Accidents, Acts of ‘‘sanitary’’ to camp cars provided by rail- God. Section 5(d) of the Act states the fol- roads for the use of employees covered by lowing: ‘‘The provisions of this Act shall not section 2(a)(3) of the Act. Failure to adhere apply in any case of casualty or unavoidable to these guidelines might interfere with the accident or the Act of God; nor where the ordinary person’s ability to rest. delay was the result of a cause not known to Collective Bargaining. The Hours of Service the carrier or its officer or agent in charge of Act prescribes the maximum permissible the employee at the time said employee left hours of service consistent with safety. How- a terminal, and which could not have been ever, the Act does not prohibit collective foreseen.’’ This passage is commonly re- bargaining for shorter hours of service and ferred to as the ‘‘emergency provision’’. Ju- time on duty. dicial construction of this sentence has lim- Penalty. As amended by the Rail Safety ited the relief which it grants to situations Improvement Act of 1988 and the Rail Safety which are truly unusual and exceptional. Enforcement and Review Act of 1992, the The courts have recognized that delays and penalty provisions of the law apply to any operational difficulties are common in the person (an entity of any type covered under industry and must be regarded as entirely 1 U.S.C. 1, including but not limited to the foreseeable; otherwise, the Act will provide following: a railroad; a manager, supervisor, no protection whatsoever. Common oper- official, or other employee or agent of a rail- ational difficulties which do not provide re- road; any owner, manufacturer, lessor, or lief from the Act include, but are not limited lessee of railroad equipment, track, or facili- to, broken draw bars, locomotive malfunc- ties; any independent contractor providing tions, equipment failures, brake system fail- goods or services to a railroad; and any em- ures, hot boxes, unexpected switching, dou- ployee of such owner, manufacturer, lessor, bling hills and meeting trains. Nor does the lessee, or independent contractor), except need to clear a main line or cut a crossing that a penalty may be assessed against an justify disregard of the limitations of the individual only for a willful violation. See Act. Such contingencies must normally be appendix A to 49 CFR part 209. For violations anticipated and met within the 12 hours. that occurred on September 3, 1992, a person Even where an extraordinary event or com- who violates the Act is liable for a civil pen- bination of events occurs which, by itself, alty, as the Secretary of Transportation would be sufficient to permit excess service, deems reasonable, in an amount not less the carrier must still employ due diligence than $500 nor more than $11,000, except that to avoid or limit such excess service. The where a grossly negligent violation or a pat- burden of proof rests with the carrier to es- tern of repeated violations has created an tablish that excess service could not have imminent hazard of death or injury to per- been avoided. sons, or has caused death or injury, a penalty Sleeping Quarters. Under the 1976 amend- not to exceed $22,000 may be assessed. The ments to the Act it is unlawful for any com- Federal Civil Penalties Inflation Adjustment mon carrier to provide sleeping quarters for Act of 1990 as amended by the Debt Collec- persons covered by the Hours of Service Act tion Improvement Act of 1996 required agen- which do not afford such persons an oppor- cies to increase the maximum civil mone- tunity for rest, free from interruptions tary penalty for inflation. The amounts in- caused by noise under the control of the rail- creased from $10,000 to $11,000 and from road, in clean, safe, and sanitary quarters. $20,000 to $22,000 respectively. According to Such sleeping quarters include crew quar- the same law, in 2004, the minimum penalty ters, camp or bunk cars, and trailers. of $500 was raised to $550, and the maximum Sleeping quarters are not considered to be penalty for a grossly negligent violation or a ‘‘free from interruptions caused by noise pattern of repeated violations that has under the control of the railroad’’ if noise caused an imminent hazard of death or in- levels attributable to noise sources under the jury to individuals or has caused death or in- control of the railroad exceed an Leq(8) value jury, was increased from $22,000 to $27,000. of 55dB(A). The $11,000 maximum penalty was not ad- FRA recognizes that camp cars, either be- justed. Effective October 9, 2007, the ordinary cause of express limitations of local codes or maximum penalty of $11,000 was raised to by virtue of their physical mobility, cannot, $16,000 as required under law. Effective for practical purposes, be subject to state or March 2, 2009, the minimum penalty, ordi- local housing, sanitation, health, electrical, nary maximum penalty and aggravated max- or fire codes. Therefore, FRA is unable to imum penalty were raised again. The min- rely upon state or local authorities to ensure imum penalty was increased from $550 to $650 that persons covered by the Act who reside pursuant to the law’s requirement. Mean- in railroad-provided camp cars are afforded while, the ordinary maximum penalty was an opportunity for rest in ‘‘clean, safe, and increased from $16,000 to $25,000 and the ag- sanitary’’ conditions. Accordingly, the gravated maximum was increased from guidelines in appendix C to this part 228 will $27,000 to $100,000 in accordance with the au- be considered by FRA as factors to be used in thority provided under the Rail Safety Im- applying the concepts of ‘‘clean,’’ ‘‘safe,’’ and provement Act of 2008.

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Each employee who is required or per- Section Violation Willful viola- mitted to be on duty for a longer period than tion prescribed by law or who does not receive a 228.19 Monthly reports required period of rest represents a separate of excess service ..... 1,000 2,000 and distinct violation and subjects the rail- 1 A penalty may be assessed against an individual only for road to a separate civil penalty. In the case a willful violation. The Administrator reserves the right to as- of a violation of section 2(a)(3) or (a)(4) of the sess a penalty of up to $100,000 for any violation where cir- Act, each day a facility is in noncompliance cumstances warrant. See 49 CFR part 209, appendix A. constitutes a separate offense and subjects the railroad to a separate civil penalty. [53 FR 52931, Dec. 29, 1988, as amended at 69 In compromising a civil penalty assessed FR 30594, May 28, 2004; 73 FR 79703, Dec. 30, 2008] under the Act, FRA takes into account the nature, circumstances, extent, and gravity of APPENDIX C TO PART 228—GUIDELINES the violation committed, and, with respect FOR CLEAN, SAFE, AND SANITARY to the person found to have committed such violation, the degree of culpability, any his- RAILROAD PROVIDED CAMP CARS tory of prior or subsequent offenses, ability 1. Definitions applicable to these Guidelines. to pay, effect on ability to continue to do (a) Camp Cars mean trailers and on-track business and such other matters as justice vehicles, including outfit, camp, or bunk may require. cars or modular homes mounted on flat cars, Statute of limitations. No suit may be used to house or accommodate railroad em- brought after the expiration of two years ployees. Wreck trains are not included. from the date of violation unless administra- (b) Employee means any worker whose serv- tive notification of the violation has been ice is covered by the Hours of Service Act or provided to the person to be charged within who is defined as an employee for purposes of that two year period. In no event may a suit section 2(a)(3) of that Act. be brought after expiration of the period (c) Lavatory means a basin or similar ves- specified in 28 U.S.C. 2462. sel used primarily for washing of the hands, Exemptions. A railroad which employs not arms, face, and head. more than 15 persons covered by the Hours of (d) Nonwater carriage toilet facility means a Service Act (including signalmen and hos- toilet facility not connected to a sewer. (e) Number of employees means the number tlers) may be exempted from the law’s re- of employees assigned to occupy the camp quirements by the FRA after hearing and for cars. good cause shown. The exemption must be (f) Personal service room means a room used supported by a finding that it is in the public for activities not directly connected with the interest and will not adversely affect safety. production or service function performed by The exemption need not relate to all carrier the carrier establishment. Such activities in- employees. In no event may any employee of clude, but are not limited to, first-aid, med- an exempt railroad be required or permitted ical services, dressing, showering, toilet use, to work beyond 16 hours continuously or in washing, and eating. the aggregate within any 24-hour period. Any (g) Potable water means water that meets exemption is subject to review at least annu- the quality standards prescribed in the U.S. ally. Public Health Service Drinking Water Standards, published at 42 CFR part 72, or is [42 FR 27596, May 31, 1977, as amended at 43 approved for drinking purposes by the State FR 30804, July 18, 1978; 53 FR 28601, July 28, or local authority having jurisdiction. 1988; 55 FR 30893, July 27, 1990; 58 FR 18165, (h) Toilet facility means a fixture main- Apr. 8, 1993; 61 FR 20495, May 7, 1996; 63 FR tained within a toilet room for the purpose 11622, Mar. 10, 1998; 69 FR 30594, May 28, 2004; of defecation or urination, or both. 72 FR 51197, Sept. 6, 2007; 73 FR 79703, Dec. 30, (i) Toilet room means a room maintained 2008] within or on the premises containing toilet facilities for use by employees. APPENDIX B TO PART 228—SCHEDULE OF (j) Toxic material means a material in con- CIVIL PENALTIES 1 centration or amount of such toxicity as to constitute a recognized hazard that is caus- Section Violation Willful viola- ing or is likely to cause death or serious tion physical harm. (k) Urinal means a toilet facility main- Subpart B—Records and Re- porting: tained within a toilet room for the sole pur- 228.9 Railroad records $650 $1,000 pose of urination. 228.11 Hours of duty (l) Water closet means a toilet facility records ...... 650 1,000 maintained within a toilet room for the pur- 228.17 Dispatcher’s pose of both defecation and urination and record ...... 650 1,000 which is flushed with water.

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(m) Leq (8) means the equivalent steady housed in the camp car should be provided in sound level which in 8 hours would contain convenient and safe location(s), and separate the same acoustic energy as the time-vary- toilet rooms for each sex should be provided ing sound level during the same time period. in accordance with table l of this paragraph. 2. Housekeeping. The number of facilities to be provided for (a) All camp cars should be kept clean to each sex should be based on the number of the extent that the nature of the work al- employees of that sex for whom the facilities lows. are furnished. Where toilet rooms will be oc- (b) To facilitate cleaning, every floor, cupied by no more than one person at a time, working place, and passageway should be can be locked from the inside, and contain at kept free from protruding nails, splinters, least one water closet or nonwater carriage loose boards, and unnecessary holes and toilet facility, separate toilet rooms for each openings. sex need not be provided. Where such single- 3. Waste Disposal. occupancy rooms have more than one toilet (a) Any exterior receptacle used for putres- facility, only one such facility in each toilet cible solid or liquid waste or refuse should be room should be counted for the purpose of so constructed that it does not leak and may table 1. be thoroughly cleaned and maintained in a sanitary condition. Such a receptacle should TABLE 1 be equipped with a solid tight-fitting cover, unless it can be maintained in a sanitary Minimum condition without a cover. This requirement No. of employees No. of toi- does not prohibit the use of receptacles de- let facilities 1 signed to permit the maintenance of a sanitary condition without regard to the afore- 1 to 10 ...... 1 mentioned requirements. 11 to 25 ...... 2 (b) All sweepings, solid or liquid wastes, 26 to 49 ...... 3 refuse, and garbage should be removed in 50 to 100 ...... 5 such a manner as to avoid creating a menace Over 100 ...... 2 to health and as often as necessary or appro- 1 Where toilet facilities will not be used by women, urinals priate to maintain a sanitary condition. may be provided instead of water closets or nonwater car- 4. Vermin Control. riage toilet facilities, except that the number of water closets (a) Camp cars should be so constructed, or facilities in such cases should not be reduced to less than 2⁄3 of the minimum specified. equipped, and maintained, so far as reason- 2 One additional fixture for each additional 25 employees. ably practicable, as to prevent the entrance or harborage of rodents, insects, or other (2) When toilet facilities are provided in vermin. A continuing and effective extermi- separate cars, toilet rooms should have a nation program should be instituted where window space of not less than 6 square feet their presence is detected. in area opening directly to the outside area 5. Water Supply. or otherwise be satisfactorily ventilated. All (a) Potable water. (1) Potable water should outside openings should be screened with be adequately and conveniently provided to material that is equivalent to or better than all employees in camp cars for drinking, 16-mesh. No fixture, water closet, nonwater washing of the person, cooking, washing of carriage toilet facility or urinal should be lo- foods, washing of cooking or eating utensils, cated in a compartment used for other than washing of food preparation or processing toilet purposes. premises, and personal service rooms where (3) The sewage disposal method should not such facilities are provided. endanger the health of employees. (2) Potable drinking water dispensers (b) Construction of toilet rooms. (1) Each should be designed, constructed, and serviced water closet should occupy a separate com- so that sanitary conditions are maintained, partment with a door and walls or partitions should be capable of being closed, and should between fixtures sufficiently high to assure be equipped with a tap. privacy. (3) Open containers such as barrels, pails, (2) Nonwater carriage toilet facilities or tanks for drinking water from which the should be located within 50 feet, but as far as water must be dipped or poured, whether or practical on the same side of the track on not they are fitted with a cover, should not which camp cars are sited. be used. (3) Each toilet facility should be lighted (4) A common drinking cup and other com- naturally, or artificially by a safe type of mon utensils should not be used. lighting available at all hours of the day and (b) The distribution lines should be capable night. Flashlights can be substituted by the of supplying water at sufficient operating railroad when nonwater carriage toilet fa- pressures to all taps for normal simulta- cilities are used. neous operation. (4) An adequate supply of toilet paper 6. Toilet facilities. should be provided in each water closet, or (a) Toilet facilities. (1) Toilet facilities nonwater carriage toilet facility, unless pro- adequate for the number of employees vided to the employees individually.

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(5) Toilet facilities should be kept in a (c) Sewage disposal facilities. All sewer lines clean and sanitary condition. They should be and floor drains from camp cars should be cleaned regularly when occupied. In the case connected to public sewers where available of nonwater carriage toilet facilities, they and practical, unless the cars are equipped should be cleaned and changed regularly. with holding tanks that are emptied in a 7. Lavatories. sanitary manner. (a) Lavatories should be made available to (d) Waste disposal containers provided for the all rail employees housed in camp cars. interior of camp cars. An adequate number of (b) Each lavatory should be provided with receptacles constructed of smooth, corrosion either hot and cold running water or tepid resistant, easily cleanable, or disposable ma- running water. terials, should be provided and used for the (c) Unless otherwise provided by agree- disposal of waste food. Receptacles should be ment, hand soap or similar cleansing agents provided with a solid tightfitting cover un- should be provided. less sanitary conditions can be maintained (d) Unless otherwise provided by agree- without use of a cover. The number, size and ment, individual hand towels or sections location of such receptacles should encour- thereof, of cloth or paper, warm air blowers age their use and not result in overfilling. or clean individual sections of continuous They should be emptied regularly and main- cloth toweling, convenient to the lavatories, tained in a clean and sanitary condition. should be provided. (e) Sanitary storage. No food or beverages (e) One lavatory basin per six employees should be stored in toilet rooms or in an area should be provided in shared facilities. exposed to a toxic material. 8. Showering facilities. (f) Food handling. (1) All employee food (a) Showering facilities should be provided service facilities and operations should be in the following ratio: one shower should be carried out in accordance with sound hygien- provided for each 10 employees of each sex, ic principles. In all places of employment or numerical fraction thereof, who are re- where all or part of the food service is pro- quired to shower during the same shift. vided, the food dispensed should be whole- (b) Shower floors should be constructed of some, free from spoilage, and should be proc- non-slippery materials. Floor drains should essed, prepared, handled, and stored in such be provided in all shower baths and shower a manner as to be protected against con- rooms to remove waste water and facilitate tamination. cleaning. All junctions of the curbing and (2) No person with any disease commu- the floor should be sealed. The walls and par- nicable through contact with food or food titions of shower rooms should be smooth preparation items should be employed or and impervious to the height of splash. permitted to work in the preparation, cook- (c) An adequate supply of hot and cold run- ing, serving, or other handling of food, food- ning water should be provided for showering stuffs, or materials used therein, in a kitch- purposes. Facilities for heating water should en or dining facility operated in or in con- be provided. nection with camp cars. (d) Showers. 1. Unless otherwise provided 11. Lighting. Each habitable room in a by agreement, body soap or other appro- camp car should be provided with adequate priate cleansing agent convenient to the lighting. showers should be provided. 12. First Aid. Adequate first aid kits should 2. Showers should be provided with hot and be maintained and made available for rail- cold water feeding a common discharge line. way employees housed in camp cars for the 3. Unless otherwise provided by agreement, emergency treatment of injured persons. employees who use showers should be pro- 13. Shelter. vided with individual clean towels. (a) Every camp car should be constructed 9. Kitchens, dining hall and feeding facilities. in a manner that will provide protection (a) In all camp cars where central dining against the elements. operations are provided, the food handling (b) All steps, entry ways, passageways and facilities should be clean and sanitary. corridors providing normal entry to or be- (b) When separate kitchen and dining hall tween camp cars should be constructed of du- cars are provided, there should be a closable rable weather resistant material and prop- door between the living or sleeping quarters erly maintained. Any broken or unsafe fix- into a kitchen or dining hall car. tures or components in need of repair should 10. Consumption of food and beverages on the be repaired or replaced promptly. premises. (c) Each camp car used for sleeping pur- (a) Application. This paragraph should poses should contain at least 48 square feet apply only where employees are permitted to of floor space for each occupant. At least a 7- consume food or beverages, or both, on the foot ceiling measured at the entrance to the premises. car should be provided. (b) Eating and drinking areas. No employee (d) Beds, cots, or bunks and suitable stor- should be allowed to consume food or bev- age facilities such as wall lockers or space erages in a toilet room or in any area ex- for foot lockers for clothing and personal ar- posed to a toxic material. ticles should be provided in every room used

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for sleeping purposes. Except where parti- made to locate these camp cars at least one- tions are provided, such beds or similar fa- half mile (2,640 feet) from where such switch- cilities should be spaced not closer than 36 ing or humping occurs. In the event employ- inches laterally (except in modular units ees housed in camp cars located closer than which cannot be spaced closer than 30 one-half mile (2,640 feet) from where such inches) and 30 inches end to end, and should switching or humping of cars takes place are be elevated at least 12 inches from the floor. exposed to an unusual hazard at such loca- If double-deck bunks are used, they should tion, the employees involved should be be spaced not less than 48 inches both lat- housed in other suitable accommodations. erally and end to end. The minimum clear An unusual hazard means an unsafe condi- space between the lower and upper bunk tion created by an occurrence other than should be not less than 27 inches. Triple-deck normal switching or humping. bunks should not be used. 15. General provisions. (a) Sleeping quarters (e) Floors should be of smooth and tight are not considered to be ‘‘free of interrup- construction and should be kept in good re- tions caused by noise under the control of pair. (f) All living quarters should be provided the railroad’’ if noise levels attributable to with windows the total of which should be noise sources under the control of the rail- not less than 10 percent of the floor area. At road exceed an Leq (8) value of 55 dB(A), with least one-half of each window designed to be windows closed and exclusive of cooling, opened should be so constructed that it can heating, and ventilating equipment. be opened for purposes of ventilation. Dura- (b) A railroad should, within 48 hours after ble opaque window coverings should be pro- notice of noncompliance with these rec- vided to reduce the entrance of light during ommendations, fix the deficient condition(s). sleeping hours. Where holidays or weekends intervene, the (g) All exterior openings should be effec- railroad should fix the condition within 8 tively screened with 16-mesh material. All hours after the employees return to work. In screen doors should be equipped with self- the event such condition(s) affects the safety closing devices. or health of the employees, such as water, (h) In a facility where workers cook, live, cooling, heating or eating facilities, the rail- and sleep, a minimum of 90 square feet per road should provide alternative arrange- person should be provided. Sanitary facili- ments for housing and eating until the non- ties should be provided for storing and pre- complying condition is fixed. paring food. (i) In camp cars where meals are provided, [55 FR 30893, July 27, 1990] adequate facilities to feed employees within a 60-minute period should be provided. PART 229—RAILROAD (j) All heating, cooking, ventilation, air conditioning and water heating equipment LOCOMOTIVE SAFETY STANDARDS should be installed in accordance with applicable local regulations governing such in- Subpart A—General stallations. (k) Every camp car should be provided with Sec. equipment capable of maintaining a tem- 229.1 Scope. perature of at least 68 degrees F. during nor- 229.3 Applicability. mal cold weather and no greater than 78 de- 229.4 Information collection. grees F., or 20 degrees below ambient, which- 229.5 Definitions. ever is warmer, during normal hot weather. 229.7 Prohibited acts. (l) Existing camp cars may be grand- 229.9 Movement of non-complying loco- fathered so as to only be subject to subpara- motives. graphs (c), (d), (f), (h), and (k), in accordance 229.11 Locomotive identification. with the following as recommended maxi- mums: 229.13 Control of locomotives. 229.14 Non-MU control cab locomotives. 13 (c), (d), and (h)—by January 1, 1994. 13(f)—Indefinitely insofar as the ten percent 229.17 Accident reports. (10%) requirement for window spacing is 229.19 Prior waivers. concerned. 13(k)—by January 1, 1992. Subpart B—Inspections and Tests 14. Location. Camp cars occupied exclu- 229.21 Daily inspection. sively by individuals employed for the pur- 229.23 Periodic inspection: General. pose of maintaining the right-of-way of a railroad should be located as far as practical 229.25 Tests: Every periodic inspection. from where ‘‘switching or humping oper- 229.27 Annual tests. ations’’ of ‘‘placarded cars’’ occur, as defined 229.29 Biennial tests. in 49 CFR 228.101 (c)(3) and (c)(4), respec- 229.31 Main reservoir tests. tively. Every reasonable effort should be 229.33 Out-of-use credit.

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