Federal Railroad Administration, DOT § 232.5

(8) A locomotive used in hauling a ible in daylight and darkness from the train referred to in paragraph (c)(7) of engineer’s normal operating position. this subsection when the locomotive The indicator face displays: and cars of the train are used only to (1) Markings from 10 cubic feet per transport logs. minute (CFM) to 80 CFM, in incre- (d) The provisions formerly contained ments of 10 CFM or less; and in Interstate Commerce Commission (2) Numerals indicating 20, 40, 60, and Order 13528, of May 30, 1945, as amend- 80 CFM for continuous monitoring of ed, now revoked, are codified in this air flow. paragraph. This part is not applicable Bind means restrict the intended to the following equipment: movement of one or more brake system (1) Scale test weight cars. components by reduced clearance, by (2) Locomotive cranes, steam shovels, obstruction, or by increased friction. pile drivers, and machines of similar Brake, dynamic means a train braking construction, and maintenance ma- system whereby the kinetic energy of a chines built prior to September 21, 1945. moving train is used to generate elec- (3) Export, industrial, and other cars tric current at the locomotive traction not owned by a railroad which are not motors, which is then dissipated to be used in service, except for move- through resistor grids or into the cat- ment as shipments on their own wheels enary or third rail system. to given destinations. Such cars shall Brake, effective means a brake that is be properly identified by a card at- capable of producing its nominally de- tached to each side of the car, signed signed retarding force on the train. A by the shipper, stating that such move- car’s air brake is not considered effec- ment is being made under the author- tive if it is not capable of producing its ity of this paragraph. nominally designed retarding force or (4) Industrial and other than rail- if its piston travel exceeds: road-owned cars which are not to be (1) 101⁄2 inches for cars equipped with used in service except for movement nominal 12-inch stroke brake cylinders; within the limits of a single switching or district (i.e., within the limits of an in- (2) The piston travel limit indicated dustrial facility). on the stencil, sticker, or badge plate (5) Narrow-gage cars. for that brake cylinder. (6) Cars used exclusively in switching Brake, hand means a brake that can operations and not used in train move- be applied and released by hand to pre- ments within the meaning of the Fed- vent or retard the movement of a loco- eral safety appliance laws (49 U.S.C. motive. 20301–20306). Brake indicator means a device which indicates the brake application range § 232.5 Definitions. and indicates whether brakes are ap- The definitions in this section are in- plied and released. tended to clarify the meaning of terms Brake, inoperative means a primary used in this part as it becomes applica- brake that, for any reason, no longer ble pursuant to § 232.1(b) and (c). applies or releases as intended. AAR means the Association of Amer- Brake, inoperative dynamic means a ican Railroads. dynamic brake that, for any reason, no Air brake means a combination of de- longer provides its designed retarding vices operated by compressed air, ar- force on the train. ranged in a system, and controlled Brake, parking means a brake that manually, electrically, electronically, can be applied by means other than by or pneumatically, by means of which hand, such as spring, hydraulic, or air the motion of a railroad car or loco- pressure when the brake pipe air is de- motive is retarded or arrested. pleted, or by an electrical motor. Air Flow Indicator, AFM means a spe- Brake pipe means the system of pip- cific air flow indicator required by the ing (including branch pipes, angle air flow method of qualifying train air cocks, cutout cocks, dirt collectors, brakes (AFM). The AFM Air Flow Indi- hoses, and hose couplings) used for con- cator is a calibrated air flow measuring necting locomotives and all railroad device which is clearly visible and leg- cars for the passage of compressed air.

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Brake, primary means those compo- valve while in a conventionally braked nents of the train brake system nec- train. essary to stop the train within the sig- End-of-train device, one-way means nal spacing distance without thermal two pieces of equipment linked by damage to friction braking surfaces. radio that meet the requirements of Brake, secondary means those compo- § 232.403. nents of the train brake system which End-of-train device, two-way means develop supplemental brake retarding two pieces of equipment linked by force that is not needed to stop the radio that meet the requirements of train within signal spacing distances or §§ 232.403 and 232.405. to prevent thermal damage to wheels. Foul means any condition which re- Car control device (CCD) means an stricts the intended movement of one electronic control device that replaces or more brake system components be- the function of the conventional pneu- cause the component is snagged, entan- matic service and emergency portions gled, or twisted. of a car’s air brake control valve dur- Freight car means a vehicle designed ing electronic braking and provides for to carry freight, or railroad personnel, electronically controlled service and by rail and a vehicle designed for use in emergency brake applications. a work or wreck train or other non- Dual mode ECP brake system means an passenger train. ECP brake system that is equipped Initial terminal means the location with either an emulator CCD or an where a train is originally assembled. overlay ECP brake system on each car Locomotive means a piece of railroad which can be operated in either ECP on-track equipment, other than hi-rail, brake mode or conventional pneumatic specialized maintenance, or other simi- brake mode. lar equipment, which may consist of ECP means ‘‘electronically con- one or more units operated from a sin- trolled pneumatic’’ when applied to a gle control stand— brake or brakes. (1) With one or more propelling mo- ECP brake mode means operating a tors designed for moving other railroad car or an entire train using an ECP equipment; brake system. (2) With one or more propelling mo- ECP brake system means a train power tors designed to transport freight or braking system actuated by com- passenger traffic or both; or pressed air and controlled by electronic signals from the locomotive or an ECP– (3) Without propelling motors but EOT to the cars in the consist for serv- with one or more control stands. ice and emergency applications in Locomotive cab means that portion of which the brake pipe is used to provide the superstructure designed to be occu- a constant supply of compressed air to pied by the crew operating the loco- the reservoirs on each car but does not motive. convey braking signals to the car. ECP Locomotive, controlling means the lo- brake systems include dual mode and comotive from which the engineer ex- stand-alone ECP brake systems. ercises control over the train. ECP–EOT device means an end-of- Mechanical securement device means a train device for an ECP brake system device, other than the air brake, that that is physically the last network provides at least the equivalent secure- node in the train, pneumatically and ment that a sufficient number of hand electrically connected at the end of the brakes would provide in the same situ- train to the train line cable operating ation. Current examples include with an ECP brake system. skates, retarders, and inert retarders. Emergency application means an irre- Off air means not connected to a con- trievable brake application resulting in tinuous source of compressed air of at the maximum retarding force available least 60 pounds per square inch (psi). from the train brake system. Ordered date or date ordered means the Emulator CCD means a CCD that is date on which notice to proceed is capable of optionally emulating the given by a procuring railroad to a con- function of the pneumatic control tractor or supplier for new equipment.

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Overlay ECP brake system means a qualified mechanical inspector shall be brake system that has both conven- a person whose primary responsibility tional pneumatic brake valves and ECP includes work generally consistent brake components, making it capable with the functions listed in this defini- of operating as either a conventional tion. pneumatic brake system or an ECP Qualified person means a person who brake system. This brake system can has received, as a part of the training, operate in either a conventionally qualification, and designation program braked train using the conventional required under § 232.203, instruction and pneumatic control valve or in an ECP training necessary to perform one or braked train using the ECP brake sys- more functions required under this tem’s CCD. part. The railroad is responsible for de- Piston travel means the amount of lin- termining that the person has the ear movement of the air brake hollow knowledge and skills necessary to per- rod (or equivalent) or piston rod when form the required function for which forced outward by movement of the the person is assigned responsibility. piston in the brake cylinder or actu- The railroad determines the qualifica- ator and limited by the brake shoes tions and competencies for employees being forced against the wheel or disc. designated to perform various func- Pre-revenue service acceptance testing tions in the manner set forth in this plan means a document, as further part. Although the rule uses the term specified in § 232.505, prepared by a rail- ‘‘qualified person’’ to describe a person road that explains in detail how pre- responsible for performing various revenue service tests of certain equip- functions required under this part, a ment demonstrate that the equipment person may be deemed qualified to per- meets Federal safety standards and the form some functions but not qualified railroad’s own safety design require- to perform other functions. For exam- ments. ple, although a person may be deemed means Previously tested equipment qualified to perform the Class II/inter- equipment that has received a Class I mediate brake test required by this brake test pursuant to § 232.205 and has part, that same person may or may not not been off air for more than four be deemed qualified to perform the hours. Class I/initial Terminal brake test or Primary responsibility means the task authorize the movement of defective that a person performs at least 50 per- equipment under this part. The rail- cent of the time. The totality of the road will determine the required func- circumstances will be considered on a tions for which an individual will be case-by-case basis in circumstances deemed a ‘‘qualified person’’ based where an individual does not spend 50 percent of the day engaged in any one upon the instruction and training the readily identifiable type of activity. individual has received pursuant to Qualified mechanical inspector means a § 232.203 concerning a particular func- qualified person who has received, as a tion. part of the training, qualification, and Railroad means any form of non-high- designation program required under way ground transportation that runs § 232.203, instruction and training that on rails or electromagnetic guideways, includes ‘‘hands-on’’ experience (under including: appropriate supervision or apprentice- (1) Commuter or short-haul railroad ship) in one or more of the following passenger service in a metropolitan or functions: troubleshooting, inspection, suburban area and commuter railroad testing, maintenance or repair of the service that was operated by the Con- specific train brake components and solidated Rail Corporation on January systems for which the person is as- 1, 1979; and signed responsibility. This person shall (2) High speed ground transportation also possess a current understanding of systems that connect metropolitan what is required to properly repair and areas, without regard to whether those maintain the safety-critical brake systems use new technologies not asso- components for which the person is as- ciated with traditional railroads. The signed responsibility. Further, the term ‘‘railroad’’ is also intended to

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mean a person that provides transpor- stopped the train because the percent- tation by railroad, whether directly or age of operative brakes fell below 85%. by contracting out operation of the Many of the ECP brake system’s fault railroad to another person. The term detection/response procedures are sus- does not include rapid transit oper- pended during Switch Mode. ations in an urban area that are not Switching service means the classifica- connected to the general railroad sys- tion of freight cars according to com- tem of transportation. modity or destination; assembling of Rebuilt equipment means equipment cars for train movements; changing the that has undergone overhaul identified position of cars for purposes of loading, by the railroad as a capital expense unloading, or weighing; placing of loco- under the Surface Transportation motives and cars for repair or storage; Board’s accounting standards. or moving of rail equipment in connec- Refresher training means periodic re- tion with work service that does not training required for employees or con- constitute a train movement. tractors to remain qualified to perform specific equipment troubleshooting, in- Tourist, scenic, historic, or excursion spection, testing, maintenance, or re- operations are railroad operations that pair functions. carry passengers, often using anti- Respond as intended means to produce quated equipment, with the convey- the result that a device or system is ance of the passengers to a particular designed to produce. destination not being the principal pur- ‘‘Roll-by’’ inspection means an inspec- pose. tion performed while equipment is Train means one or more locomotives moving. coupled with one or more freight cars, Service application means a brake ap- except during switching service. plication that results from one or more Train line means the brake pipe or service reductions or the equivalent. any non-pneumatic system used to Service reduction means a decrease in transmit the signal that controls the brake pipe pressure, usually from 5 to locomotive and freight car brakes. 25 psi at a rate sufficiently rapid to Train line cable is a two-conductor move the operating valve to service po- electric wire spanning the train and sition, but at a rate not rapid enough carrying both electrical power to oper- to move the operating valve to emer- ate all CCDs and ECP–EOT devices and gency position. communications network signals. Solid block of cars means two or more Train, unit or train, cycle means a freight cars coupled together and added train that, except for the changing of to or removed from a train as a single locomotive power or for the removal or unit. replacement of defective equipment, Stand-alone CCD means a CCD that remains coupled as a consist and oper- can operate properly only in a train op- ates in a continuous loop or continuous erating in ECP brake mode and cannot loops without destination. operate in a conventional pneumati- Transfer train means a train that cally braked train. travels between a point of origin and a Stand-alone ECP brake system means a brake system equipped with a CCD that point of final destination not exceeding can only operate the brakes on the car 20 miles. Such trains may pick up or in ECP brake mode. deliver freight equipment while en State inspector means an inspector of route to destination. a participating State rail safety pro- Unattended equipment means equip- gram under part 212 of this chapter. ment left standing and unmanned in Switch Mode means a mode of oper- such a manner that the brake system ation of the ECP brake system that al- of the equipment cannot be readily lows operation of that train at 20 miles controlled by a qualified person. per hour or less when the train’s ECP– Yard means a system of tracks, not EOT device is not communicating with including main tracks and sidings, used the lead locomotive’s HEU, the train is for classifying cars, making-up and in- separated during road switching oper- specting trains, or storing cars and ations, or the ECP brake system has equipment.

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Yard air means a source of com- inspection of the person’s operation to pressed air other than from a loco- the extent necessary to determine motive. whether the function or task is being performed in accordance with the re- [66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17580, Apr. 10, 2002; 73 FR 61552, Oct. 16, quirements of this part. 2008; 80 FR 47834, Aug. 6, 2015] § 232.11 Penalties. § 232.7 Waivers. (a) Any person (including but not (a) Any person subject to a require- limited to a railroad; any manager, su- ment of this part may petition the Ad- pervisor, official, or other employee or ministrator for a waiver of compliance agent of a railroad; any owner, manu- with such requirement. The filing of facturer, lessor, or lessee of railroad such a petition does not affect that equipment, track, or facilities; any em- person’s responsibility for compliance ployee of such owner, manufacturer, with that requirement while the peti- lessor, lessee, or independent con- tion is being considered. tractor) who violates any requirement (b) Each petition for waiver must be of this part or causes the violation of filed in the manner and contain the in- any such requirement is subject to a formation required by part 211 of this civil penalty of at least $853, but not chapter. more than $27,904 per violation, except (c) If the Administrator finds that a that: Penalties may be assessed against waiver of compliance is in the public individuals only for willful violations, interest and is consistent with railroad and, where a grossly negligent viola- safety, the Administrator may grant tion or a pattern of repeated violations the waiver subject to any conditions has created an imminent hazard of the Administrator deems necessary. If death or injury to persons, or has a waiver is granted, the Administrator caused death or injury, a penalty not publishes a notice in the FEDERAL REG- to exceed $111,616 per violation may be ISTER containing the reasons for grant- assessed. Each day a violation con- ing the waiver. tinues shall constitute a separate of- fense. Appendix A to this part contains § 232.9 Responsibility for compliance. a schedule of civil penalty amounts (a) A railroad subject to this part used in connection with this rule. shall not use, haul, permit to be used (b) Any person who knowingly and or hauled on its line, offer in inter- willfully falsifies a record or report re- change, or accept in interchange any quired by this part is subject to crimi- train, railroad car, or locomotive with nal penalties under 49 U.S.C. 21311. one or more conditions not in compli- [66 FR 4193, Jan. 17, 2001, as amended at 69 ance with this part; however, a railroad FR 30594, May 28, 2004; 72 FR 51197, Sept. 6, shall not be liable for a civil penalty 2007; 73 FR 79703, Dec. 30, 2008; 77 FR 24421, for such action if such action is in ac- Apr. 24, 2012; 81 FR 43111, July 1, 2016; 82 FR cordance with § 232.15. For purposes of 16134, Apr. 3, 2017] this part, a train, railroad car, or loco- motive will be considered in use prior § 232.13 Preemptive effect. to departure but after it has received, (a) Under 49 U.S.C. 20106, issuance of or should have received, the inspection the regulations in this part preempts required for movement and is deemed any State law, rule, regulation, order ready for service. or standard covering the same subject (b) Although many of the require- matter, except for a provision nec- ments of this part are stated in terms essary to eliminate or reduce a local of the duties of a railroad, when any safety hazard if that provision is not person performs any function required incompatible with this part and does by this part, that person (whether or not impose an undue burden on inter- not a railroad) is required to perform state commerce. Nothing in this para- that function in accordance with this graph shall be construed to preempt an part. action under State law seeking dam- (c) Any person performing any func- ages for personal injury, death, or tion or task required by this part shall property damage alleging that a party be deemed to have consented to FRA has failed to comply with the Federal

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