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the employing railroad or its managers, su- 229.64 Plain bearings. pervisors, officers, or agents; and 229.65 Spring rigging. (9) Avoidance of abrupt changes in rest cy- 229.67 Trucks. cles for employees. 229.69 Side bearings. (c) Finally, if a railroad chooses to adopt a 229.71 Clearance above top of rail. fatigue management plan, FRA suggests 229.73 Wheel sets. that the railroad review the plan and update 229.75 Wheel and tire defects. it periodically as the railroad sees fit if changes are warranted. ELECTRICAL SYSTEM [76 FR 50400, Aug. 12, 2011] 229.77 Current collectors. 229.79 Third rail shoes. 229.81 Emergency pole; shoe insulation. PART 229—RAILROAD 229.83 Insulation or grounding of metal LOCOMOTIVE SAFETY STANDARDS parts. 229.85 High voltage markings: doors, cover Subpart A—General plates, or barriers. 229.87 Hand-operated switches. Sec. 229.89 Jumpers; cable connections. 229.1 Scope. 229.91 Motors and generators. 229.3 Applicability. 229.4 Information collection. INTERNAL COMBUSTION EQUIPMENT 229.5 Definitions. 229.7 Prohibited acts and penalties. 229.93 Safety cut-off device. 229.9 Movement of non-complying loco- 229.95 Venting. motives. 229.97 Grounding fuel tanks. 229.11 Locomotive identification. 229.99 Safety hangers. 229.13 Control of locomotives. 229.101 Engines. 229.14 Non-MU control cab locomotives. STEAM GENERATORS 229.15 Remote control locomotives. 229.17 Accident reports. 229.103 Safe working pressure; factor of 229.19 Prior waivers. safety. 229.20 Electronic recordkeeping. 229.105 Steam generator number. 229.107 Pressure gauge. Subpart B—Inspections and Tests 229.109 Safety valves. 229.111 Water-flow indicator. 229.21 Daily inspection. 229.113 Warning notice. 229.23 Periodic inspection: General. 229.114 Steam generator inspections and 229.25 Tests: Every periodic inspection. tests. 229.27 Annual tests. 229.29 Air brake system calibration, mainte- CABS AND CAB EQUIPMENT nance, and testing. 229.31 Main reservoir tests. 229.115 Slip/slide alarms. 229.33 Out-of-use credit. 229.117 Speed indicators. 229.119 Cabs, floors, and passageways. Subpart C—Safety Requirements 229.121 Locomotive cab noise. 229.123 Pilots, snowplows, end plates. GENERAL REQUIREMENTS 229.125 Headlights and auxiliary lights. 229.41 Protection against personal injury. 229.127 Cab lights. 229.43 Exhaust and battery gases. 229.129 Locomotive horn. 229.45 General condition. 229.131 Sanders. 229.133 Interim locomotive conspicuity BRAKE SYSTEM measures—auxiliary external lights. 229.135 Event recorders. 229.46 Brakes: General. 229.137 Sanitation, general requirements. 229.47 Emergency brake valve. 229.139 Sanitation, servicing requirements. 229.49 Main reservoir system. 229.140 Alerters. 229.51 Aluminum main reservoirs. 229.141 Body structure, MU locomotives. 229.53 Brake gauges. 229.55 Piston travel. 229.57 Foundation brake gear. Subpart D—Locomotive Crashworthiness 229.59 Leakage. Design Requirements

DRAFT SYSTEM 229.201 Purpose and scope. 229.203 Applicability. 229.61 Draft system. 229.205 General requirements. 229.206 Design requirements. SUSPENSION SYSTEM 229.207 New locomotive crashworthiness de- 229.63 Lateral motion. sign standards and changes to existing

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FRA-approved locomotive crash- (2) Rapid transit operations in an worthiness design standards. urban area that are not connected with 229.209 Alternative locomotive crash- the general railroad system of trans- worthiness designs. 229.211 Processing of petitions. portation. 229.213 Locomotive manufacturing informa- (c) Paragraphs (a) and (b) of § 229.125 tion. do not apply to Tier II passenger equip- 229.215 Retention and inspection of designs. ment as defined in § 238.5 of this chap- 229.217 Fuel tank. ter (i.e., passenger equipment operating at speeds exceeding 125 mph but not ex- Subpart E—Locomotive Electronics ceeding 150 mph). 229.301 Purpose and scope. (d) On or after November 8, 1999, 229.303 Applicability. paragraphs (a)(1) and (b)(1) of § 229.141 229.305 Definitions. do not apply to ‘‘passenger equipment’’ 229.307 Safety analysis. as defined in § 238.5 of this chapter, un- 229.309 Safety-critical changes and failures. 229.311 Review of SAs. less such equipment is excluded from 229.313 Product testing results and records. the requirements of §§ 238.203 through 229.315 Operations and maintenance man- 238.219, and § 238.223 of this chapter by ual. operation of § 238.201(a)(2) of this chap- 229.317 Training and qualification program. ter. 229.319 Operating Personnel Training. (e) Paragraphs (a)(2) through (a)(4), APPENDIX A TO PART 229—FORM FRA 6180– and (b)(2) through (b)(4) of § 229.141 do 49A [NOTE] not apply to ‘‘passenger equipment’’ as APPENDIX B TO PART 229—SCHEDULE OF CIVIL defined in § 238.5 of this chapter that is PENALTIES APPENDIX C TO PART 229—FRA LOCOMOTIVE placed in service for the first time on STANDARDS—CODE OF DEFECTS [NOTE] or after September 8, 2000, unless such APPENDIX D TO PART 229—CRITERIA FOR CER- equipment is excluded from the re- TIFICATION OF CRASHWORTHY EVENT RE- quirements of §§ 238.203 through 238.219, CORDER MEMORY MODULE and § 238.223 of this chapter by oper- APPENDIX E TO PART 229—PERFORMANCE CRI- ation of § 238.201(a)(2) of this chapter. TERIA FOR LOCOMOTIVE CRASHWORTHINESS APPENDIX F TO PART 229—RECOMMENDED [54 FR 33229, Aug. 14, 1989, as amended at 64 PRACTICES FOR DESIGN AND SAFETY ANAL- FR 25659, May 12, 1999] YSIS APPENDIX G TO PART 229 [RESERVED] § 229.4 Information collection. APPENDIX H TO PART 229—STATIC NOISE TEST PROTOCOLS—IN-CAB STATIC (a) The information collection re- quirements in this part have been re- AUTHORITY: 49 U.S.C. 20103, 20107, 20133, 20137–38, 20143, 20701–03, 21301–02, 21304; 28 viewed by the Office of Management U.S.C. 2401, note; and 49 CFR 1.49(c), (m). and Budget pursuant to the Paperwork Reduction Act of 1980, Public Law 96– SOURCE: 45 FR 21109, Mar. 31, 1980, unless 511, and have been assigned OMB con- otherwise noted. trol number 2130–0004. (b) The information collection re- Subpart A—General quirements are found in the following § 229.1 Scope. sections: §§ 229.9, 229.17, 229.21, 229.23, 229.25, 229.27, 229.29, 229.31, 229.33, 229.55, This part prescribes minimum Fed- 229.103, 229.105, 229.113, 229.121, 229.135, eral safety standards for all loco- and appendix H to part 229. motives except those propelled by steam power. [50 FR 6953, Feb. 19, 1985, as amended at 58 FR 36613, July 8, 1993; 71 FR 63136, Oct. 27, § 229.3 Applicability. 2006] (a) Except as provided in paragraphs § 229.5 Definitions. (b) through (e) of this section, this part applies to all standard gage railroads. As used in this part— (b) This part does not apply to: AAR means the Association of Amer- (1) A railroad that operates only on ican Railroads. track inside an installation which is Acceptable quality level (AQL). The not part of the general railroad system AQL is expressed in terms of percent of transportation; or defective or defects per 100 units. Lots

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having a quality level equal to a speci- ject penetrating the vehicle during a fied AQL will be accepted approxi- collision. mately 95 percent of the time when Controlling locomotive means a loco- using the sampling plans prescribed for motive from where the operator con- that AQL. trols the traction and braking func- Alerter means a device or system in- tions of the locomotive or locomotive stalled in the locomotive cab to pro- consist, normally the lead locomotive. mote continuous, active locomotive en- Corner posts means structural mem- gineer attentiveness by monitoring se- bers located at the intersection of the lect locomotive engineer-induced con- front or rear surface with the side sur- trol activities. If fluctuation of a mon- face of a rail vehicle and which extend itored locomotive engineer-induced vertically from the underframe to the control activity is not detected within roof. a predetermined time, a sequence of Commuter service means the type of audible and visual alarms is activated railroad service described under the so as to progressively prompt a re- heading ‘‘Commuter Operations’’ in 49 sponse by the locomotive engineer. CFR part 209, Appendix A. Failure by the locomotive engineer to Commuter work train is a non-revenue institute a change of state in a mon- service train used in the administra- itored control, or acknowledge the tion and upkeep service of a commuter alerter alarm activity through a man- railroad. ual reset provision, results in a penalty Control cab locomotive means a loco- brake application that brings the loco- motive without propelling motors but motive or train to a stop. with one or more control stands. Anti-climbers means the parts at the Controlling remote distributed power lo- ends of adjoining rail vehicles in a comotive means the locomotive in a dis- train that are designed to engage when tributed power consist that receives subjected to large buff loads to prevent the coded signal from the lead loco- the override of one vehicle by another. motive consist of the train whether Assignment address means a unique commanded automatically by the dis- identifier of the RCL that insures that tributed power system or manually by only the OCU’s linked to a specific RCL the locomotive engineer. can command that RCL. Associate Administrator for Safety Crack means a fracture without com- means the Associate Administrator for plete separation into parts, except that Safety, Federal Railroad Administra- castings with shrinkage cracks or hot tion, or that person’s delegate as des- tears that do not significantly dimin- ignated in writing. ish the strength of the member are not Break means a fracture resulting in considered to be cracked. complete separation into parts. Cruise control means a device that Build date means the date on which controls locomotive power output to the completed locomotive is shipped by obtain a targeted speed. A device that the manufacturer or remanufacturer to functions only at or below 30 miles per the customer, or if the railroad manu- hour is NOT considered a ‘‘cruise con- factures or remanufactures the loco- trol’’ for purposes of this part. motive itself, the date on which the lo- Data element means one or more data comotive is released from the manufac- point or value reflecting on-board train ture or remanufacture facility. operations at a particular time. Data Cab means that portion of the super- may be actual or ‘‘passed through’’ val- structure designed to be occupied by ues or may be derived from a combina- the crew operating the locomotive. tion of values from other sources. Carrier means railroad, as that term dB(A) means the sound pressure level is in this section. in decibels measured on the A-weighted Collision posts means structural mem- scale. bers of the end structures of a rail ve- Dead locomotive means— hicle that extend vertically from the (1) A locomotive, other than a con- underframe to which they are securely trol cab locomotive, that does not have attached and that provide protection any traction device supplying tractive to occupied compartments from an ob- power; or

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

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(3) Without propelling motors but Operator Control Unit (OCU) means a with one or more control stands. mobile unit that communicates via a Locomotive cab means the compart- radio link the commands for movement ment or space on board a locomotive (direction, speed, braking) or for oper- where the control stand is located and ations (bell, horn, sand) to an RCL. which is normally occupied by the en- Other short-haul passenger service gineer when the locomotive is oper- means the type of railroad service de- ated. scribed under the heading ‘‘Other Locomotive Control Unit (LCU) means short-haul passenger service’’ in 49 a system onboard an RCL that commu- CFR part 209, appendix A. nicates via a radio link which receives, Permanent deformation means the un- processes, and confirms commands dergoing of a permanent change in from the OCU, which directs the loco- shape of a structural member of a rail motive to execute them. vehicle. Longitudinal means in a direction Potable water means water that meets parallel to the normal direction of the requirements of 40 CFR part 141, travel. the Environmental Protection Agen- Lot means a collection of loco- cy’s Primary Drinking Water Regula- motives, equipped with the same horn tions, or water that has been approved model, configuration, and location, and for drinking and washing purposes by the same air pressure and delivery sys- the pertinent state or local authority tem, which has been manufactured or having jurisdiction. For purposes of processed under essentially the same this part, commercially available, bot- conditions. tled drinking water is deemed potable Mandatory directive means any move- water. ment authority or speed restriction that affects a railroad operation. Powered axle is an axle equipped with Manufacture means the act of con- a traction device. structing a locomotive. Power car means a rail vehicle that Modesty lock means a latch that can propels a Tier II passenger train or is be operated in the normal manner only the lead vehicle in a Tier II passenger from within the sanitary compartment, train, or both. that is designed to prevent entry of an- Qualified mechanical inspector means a other person when the sanitary com- person who has received instruction partment is in use. A modesty lock and training that includes ‘‘hands-on’’ may be designed to allow deliberate experience (under appropriate super- forced entry in the event of an emer- vision or apprenticeship) in one or gency. more of the following functions: trou- Monocoque design locomotive means a bleshooting, inspection, testing, main- locomotive design where the shell or tenance or repair of the specific loco- skin acts as a single unit with the sup- motive equipment for which the person porting frame to resist and transmit is assigned responsibility. This person the loads acting on the locomotive. shall also possess a current under- MU locomotive means a multiple unit standing of what is required to prop- operated electric locomotive— erly repair and maintain the loco- (1) With one or more propelling mo- motive equipment for which the person tors designed to carry freight or pas- is assigned responsibility. Further, the senger traffic or both; or qualified mechanical inspector shall be (2) Without propelling motors but a person whose primary responsibility with one or more control stands and a includes work generally consistent means of picking-up primary power with the functions listed in this defini- such as a pantograph or third rail. tion. Narrow-nose locomotive means a loco- Railroad means all forms of non-high- motive with a short hood that spans way ground transportation that run on substantially less than the full width rails or electromagnetic guideways, in- of the locomotive. cluding: Occupied service means the operation (1) Commuter or other short-haul rail of a locomotive when the cab is phys- passenger service in a metropolitan or ically occupied by a person. suburban area, and

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(2) High speed ground transportation in such a manner that a reasonable systems that connect metropolitan person would believe that the condition areas, without regard to whether they might constitute a health hazard; or of use new technologies not associated strong, persistent, chemical or human with traditional railroads. Such term waste odors sufficient to deter use of does not include rapid transit oper- the facility, or give rise to a reasonable ations within an urban area that are concern with respect to exposure to not connected to the general railroad hazardous fumes. Such conditions in- system of transportation. clude, but are not limited to, a toilet Remanufacture means the act of con- bowl filled with human waste, soiled structing a remanufactured loco- toilet paper, or other products used in motive. the toilet compartment, that are Remanufactured locomotive means a present due to a defective toilet facil- locomotive rebuilt or refurbished from ity that will not flush or otherwise re- a previously used or refurbished move waste; visible human waste res- underframe (‘‘deck’’), containing fewer idue on the floor or toilet seat that is than 25% previously used components present due to a toilet that overflowed; (measured by dollar value of the com- an accumulation of soiled paper towels ponents). For calculation purposes, the or soiled toilet paper on the floor, toi- percentage of previously used compo- let facility, or sink; an accumulation of nents is determined with equivalent visible dirt or human waste on the value of new parts and is calculated floor, toilet facility, or sink; and using dollar values from the same year strong, persistent chemical or human as the new parts used to remanufacture waste odors in the compartment. the locomotive. Sanitation compartment means an en- Remote Control Locomotive (RCL) closed compartment on a railroad loco- means a remote control locomotive motive that contains a toilet facility that, through use of a radio link can be for employee use. operated by a person not physically Self-monitoring event recorder means within the confines of the locomotive an event recorder that has the ability cab. For purposes of this part, the term to monitor its own operation and to RCL does not refer to a locomotive or display an indication to the locomotive group of locomotives remotely con- operator when any data required to be trolled from the lead locomotive of a stored are not stored or when the train, as in a distributed power ar- stored data do not match the data re- rangement. ceived from sensors or data collection Remote Control Operator (RCO) means a person who utilizes an OCU in con- points. nection with operations involving a Semi-monocoque design locomotive RCL with or without cars. means a locomotive design where the Remote Control Pullback Protection skin or shell acts, to some extent, as a means a function of a RCL that en- single unit with the supporting frame forces speeds and stops in the direction to resist and transmit the loads acting of pulling movement. on the locomotive. Roof rail means the longitudinal Semi-permanently coupled means cou- structural member at the intersection pled by means of a drawbar or other of the side wall and the roof sheathing. coupling mechanism that requires Sand delivery system means a perma- tools to perform the uncoupling oper- nently stationed or fixed device de- ation. signed to deliver sand to locomotive Serious injury means an injury that sand boxes that do not require the sand results in the amputation of any ap- to be manually delivered or loaded. A pendage, the loss of sight in an eye, the sand delivery system will be considered fracture of a bone, or confinement in a permanently stationed if it is at a loca- hospital for a period of more than 24 tion at least five days a week for at consecutive hours. least eight hours per day. Short hood means the part of the lo- Sanitary means lacking any condition comotive above the underframe located in which any significant amount of between the cab and the nearest end of filth, trash, or human waste is present the locomotive.

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Standards body means an industry ceeding 20 miles and that is not per- and/or professional organization or as- forming switching service. sociation which conducts research and Ultimate strength means the load at develops and/or issues policies, criteria, which a structural member fractures or principles, and standards related to the ceases to resist any load. rail industry. Unsanitary means having any condi- Switching service means the classifica- tion in which any significant amount tion of railroad freight and passenger of filth, trash, or human waste is cars according to commodity or des- present in such a manner that a rea- tination; assembling cars for train sonable person would believe that the movements; changing the position of condition might constitute a health cars for purposes of loading, unloading, hazard; or strong, persistent, chemical or weighing; placing locomotives and or human waste odors sufficient to cars for repair or storage; or moving deter use of the facility, or give rise to rail equipment in connection with a reasonable concern with respect to work service that does not constitute a exposure to hazardous fumes. Such train movement. conditions include, but are not limited Throttle position means any and all of to, a toilet bowl filled with human the discrete output positions indi- waste, soiled toilet paper, or other cating the speed/tractive effort char- products used in the toilet compart- acteristic requested by the operator of ment, that are present due to a defec- the locomotive on which the throttle is tive toilet facility that will not flush installed. Together, the discrete output or otherwise remove waste; visible positions shall cover the entire range human waste residue on the floor or of possible speed/tractive effort charac- toilet seat that is present due to a toi- teristics. If the throttle has continu- let that overflowed; an accumulation of ously variable segments, the event re- soiled paper towels or soiled toilet corder shall capture either: paper on the floor, toilet facility, or (1) The exact level of speed/tractive sink; an accumulation of visible dirt or effort characteristic requested, on a human waste on the floor, toilet facil- scale of zero (0) to one hundred percent ity, or sink; and strong, persistent (100%) of the output variable or chemical or human waste odors in the (2) A value converted from a percent- compartment. age to a comparable 0 to 8 digital sig- Upper 99% confidence limit means the nal. noise level below which 99% of all noise Tier II means operating at speeds ex- level measurements must lie. ceeding 125 mph but not exceeding 150 Washing system means a system for mph. use by railroad employees to maintain Time means either ‘‘time-of-day’’ or personal cleanliness that includes a se- ‘‘elapsed time’’ (from an arbitrarily de- cured sink or basin, water, anti- termined event) as determined by the bacterial soap, and paper towels; or manufacturer. In either case, the re- antibacterial waterless soap and paper corder must be able to convert to an towels; or antibacterial moist accurate time-of-day with the time towelettes and paper towels; or any zone stated unless it is Greenwich other combination of suitable anti- mean time (UTC). bacterial cleansing agents. Toilet facility means a system that Wide-nose locomotive means a loco- automatically or on command of the motive with a short hood that spans user removes human waste to a place the full width of the locomotive. where it is treated, eliminated, or re- [70 FR 37938, June 30, 2005, as amended at 71 tained such that no solid or non-treat- FR 36911, June 28, 2006; 71 FR 47666, Aug. 17, ed liquid waste is thereafter permitted 2006; 71 FR 61857, Oct. 19, 2006; 71 FR 63136, to be released into the bowl, urinal, or Oct. 27, 2006; 72 FR 59223, Oct. 19, 2007; 77 FR room and that prevents harmful dis- 21342, Apr. 9, 2012] charges of gases or persistent offensive odors. § 229.7 Prohibited acts and penalties. Transfer service means a freight train (a) Federal Rail Safety Laws (49 that travels between a point of origin U.S.C. 20701–20703) make it unlawful for and a point of final destination not ex- any carrier to use or permit to be used

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on its line any locomotive unless the (2)(i) The engineer in charge of the entire locomotive and its appur- movement of the locomotive shall be tenances— notified in writing and inform all other (1) Are in proper condition and safe crew members in the cab of the pres- to operate in the service to which they ence of the non-complying locomotive are put, without unnecessary peril to and the maximum speed and other re- life or limb; and strictions determined under paragraph (2) Have been inspected and tested as (a)(1)(ii) of this section. required by this part. (ii) A copy of the tag described in (b) Any person (including but not paragraph (a)(3) of this section may be limited to a railroad; any manager, su- used to provide the notification re- pervisor, official, or other employee or quired by paragraph (a)(2)(i) of this sec- agent of a railroad; any owner, manu- tion. facturer, lessor, or lessee of railroad (3) A tag bearing the words ‘‘non- equipment, track, or facilities; any em- complying locomotive’’ and containing ployee of such owner, manufacturer, the following information, shall be se- lessor, lessee, or independent con- curely attached to the control stand on tractor) who violates any requirement each MU or control cab locomotive and of this part or of the Federal Rail Safe- to the isolation switch or near the en- ty Laws or causes the violation of any gine start switch on every other type such requirement is subject to a civil of locomotive— penalty of at least $650, but not more (i) The locomotive number; than $25,000 per violation, except that: (ii) The name of the inspecting car- Penalties may be assessed against indi- rier; viduals only for willful violations, and, (iii) The inspection location and where a grossly negligent violation or date; a pattern of repeated violations has (iv) The nature of each defect; created an imminent hazard of death or (v) Movement restrictions, if any; injury to persons, or has caused death (vi) The destination; and or injury, a penalty not to exceed (vii) The signature of the person $105,000 per violation may be assessed. making the determinations required by Each day a violation continues shall this paragraph. constitute a separate offense. Appendix (b) A locomotive that develops a non- B of this part contains a statement of complying condition enroute may con- agency civil penalty policy. tinue to utilize its propelling motors, if (c) Any person who knowingly and the requirements of paragraph (a) are willfully falsifies a record or report re- otherwise fully met, until the earlier quired by this part is subject to crimi- of— nal penalties under 49 U.S.C. 21311. (1) The next calendar day inspection, [77 FR 21342, Apr. 9, 2012, as amended at 77 or FR 24421, Apr. 24, 2012] (2) The nearest forward point where the repairs necessary to bring it into § 229.9 Movement of non-complying lo- compliance can be made. comotives. (c) A non-complying locomotive may (a) Except as provided in paragraphs be moved lite or dead within a yard, at (b), (c), § 229.125(g), and § 229.131(b) and speeds not in excess of 10 miles per (c)(1), a locomotive with one or more hour, without meeting the require- conditions not in compliance with this ments of paragraph (a) of this section if part may be moved only as a lite loco- the movement is solely for the purpose motive or a dead locomotive after the of repair. The carrier is responsible to carrier has complied with the fol- insure that the movement may be safe- lowing: ly made. (1) A qualified person shall deter- (d) A dead locomotive may not con- mine— tinue in use following a calendar day (i) That it is safe to move the loco- inspection as a controlling locomotive motive; and or at the head of a train or locomotive (ii) The maximum speed and other re- consist. strictions necessary for safely con- (e) A locomotive does not cease to be ducting the movement; a locomotive because its propelling

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motor or motors are inoperative or be- § 229.15 Remote control locomotives. cause its control jumper cables are not (a) Design and operation. (1) Each lo- connected. comotive equipped with a locomotive (f) Nothing in this section authorizes control unit (LCU) shall respond only the movement of a locomotive subject to the operator control units (OCUs) to a Special Notice for Repair unless assigned to that receiver. the movement is made in accordance (2) If one or more OCUs are assigned with the restrictions contained in the to a LCU, the LCU shall respond only Special Notice. to the OCU that is in primary com- (g) Paragraphs (a), (b), and (c) of this mand. If a subsequent OCU is assigned section shall not apply to sanitation to a LCU, the previous assignment will conditions covered by §§ 229.137 and be automatically cancelled. 229.139. Sections 229.137 and 229.139 set (3) If more than one OCU is assigned forth specific requirements for the to a LCU, the secondary OCUs’ man movement and repair of locomotives down feature, bell, horn, and emer- with defective sanitation compart- gency brake application functions shall ments. remain active. The remote control sys- tem shall be designed so that if the sig- [45 FR 21109, Mar. 31, 1980, as amended at 61 nal from the OCU to the RCL is inter- FR 8887, Mar. 6, 1996; 67 FR 16050, Apr. 4, 2002; rupted for a set period not to exceed 72 FR 59223, Oct. 19, 2007] five seconds, the remote control sys- tem shall cause: § 229.11 Locomotive identification. (i) A full service application of the (a) The letter ‘‘F’’ shall be legibly locomotive and train brakes; and shown on each side of every locomotive (ii) The elimination of locomotive near the end which for identification tractive effort. purposes will be known as the front (4) Each OCU shall be designed to end. control only one RCL at a time. OCU’s (b) The locomotive number shall be having the capability to control more displayed in clearly legible numbers on than one RCL shall have a means to each side of each locomotive. lock in one RCL ‘‘assignment address’’ to prevent simultaneous control over § 229.13 Control of locomotives. more than one locomotive. Except when a locomotive is moved (5) If an OCU is equipped with an in accordance with § 229.9, whenever ‘‘on’’ and ‘‘off’’ switch, when the switch two or more locomotives are coupled in is moved from the ‘‘on’’ to the ‘‘off’’ position, the remote control system remote or multiple control, the propul- shall cause: sion system, the sanders, and the (i) A full service application of the power brake system of each locomotive locomotive train brakes; and shall respond to control from the cab of (ii) The elimination of locomotive the controlling locomotive. If a dy- tractive effort. namic brake or regenerative brake sys- (6) Each RCL shall have a distinct tem is in use, that portion of the sys- and unambiguous audible or visual tem in use shall respond to control warning device that indicates to near- from the cab of the controlling loco- by personnel that the locomotive is motive. under active remote control operation. (7) When the main reservoir pressure § 229.14 Non-MU control cab loco- motives. drops below 90 psi while the RCL is moving, the RCL shall initiate a full On each non-MU control cab loco- service application of the locomotive motive, only those components added and train brakes, and eliminate loco- to the passenger car that enable it to motive tractive effort. serve as a lead locomotive, control the (8) When the air valves and the elec- locomotive actually providing tractive trical selector switch on the RCL are power, and otherwise control the move- moved from manual to remote control ment of the train, are subject to this mode or from remote control to man- part. ual mode, an emergency application of

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the locomotive and train brakes shall (ii) An operator alertness device that be initiated. requires manual resetting or its equiv- (9) Operating control handles located alent. The alertness device shall incor- in the RCL cab shall be removed, porate a timing sequence not to exceed pinned in place, protected electroni- 60 seconds. Failure to reset the switch cally, or otherwise rendered inoperable within the timing sequence shall cause as necessary to prevent movement a service application of the locomotive caused by the RCL’s cab controls while and train brakes, and the elimination the RCL is being operated by remote of locomotive tractive effort; and, control. (iii) A tilt feature that, when tilted (10) The RCL system (both the OCU to a predetermined angle, shall cause: and LCU), shall be designed to perform a self diagnostic test of the electronic (A) An emergency application of the components of the system. The system locomotive and train brakes, and the shall be designed to immediately effect elimination of locomotive tractive ef- a full service application of the loco- fort; and motive and train brakes and the elimi- (B) If the OCU is equipped with a tilt nation of locomotive tractive effort in bypass system that permits the tilt the event a failure is detected. protection feature to be temporarily (11) Each RCL shall be tagged at the disabled, this bypass feature shall de- locomotive control stand throttle indi- activate within 60 seconds on the pri- cating the locomotive is being used in mary OCU and within 60 seconds for all a remote control mode. The tag shall secondary OCUs, unless reactivated by be removed when the locomotive is the RCO. placed back in manual mode. (14) Each OCU shall be equipped with (12) Each OCU shall have the fol- one of the following control systems: lowing controls and switches and shall (i) An automatic speed control sys- be capable of performing the following tem with a maximum 15 mph speed functions: limiter; or (i) Directional control; (ii) A graduated throttle and brake. (ii) Throttle or speed control; A graduated throttle and brake control (iii) Locomotive independent air brake application and release; system built after September 6, 2012, (iv) Automatic train air brake appli- shall be equipped with a speed limiter cation and release control; to a maximum of 15 mph. (v) Audible warning device control (15) RCL systems built after Sep- (horn); tember 6, 2012, shall be equipped to (vi) Audible bell control, if equipped; automatically notify the railroad in (vii) Sand control (unless automatic); the event the RCO becomes incapaci- (viii) Bi-directional headlight con- tated or OCU tilt feature is activated. trol; (16) RCL systems built prior to Sep- (ix) Emergency air brake application tember 6, 2012, not equipped with auto- switch; matic notification of operator inca- (x) Generator field switch or equiva- pacitated feature may not be utilized lent to eliminate tractive effort to the in one-person operation. locomotive; (b) Inspection, testing, and repair. (1) (xi) Audio/visual indication of wheel Each time an OCU is linked to a RCL, slip, only if an audio/visual indication and at the start of each shift, a rail- is not provided by the RCL; road shall test: (xii) Audio indication of movement of (i) The air brakes and the OCU’s safe- the RCL; and (xiii) [Reserved] ty features, including the tilt switch (xiv) Require at least two separate and alerter device; and actions by the RCO to begin movement (ii) The man down/tilt feature auto- of the RCL. matic notification. (13) Each OCU shall be equipped with (2) An OCU shall not continue in use the following features: with any defective safety feature iden- (i) A harness with a breakaway safe- tified in paragraph (b)(1) of this sec- ty feature; tion.

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(3) A defective OCU shall be tracked fied, or replaced, once the record is under its own identification number as- transmitted; signed by the railroad. Records of re- (3) Any amendment to a record shall pairs shall be maintained by the rail- be electronically stored apart from the road and made available to FRA upon record which it amends. Each amend- request. ment to a record shall uniquely iden- (4) Each time an RCL is placed in tify the person making the amend- service and at the start of each shift lo- ment; comotives that utilize a positive train (4) The electronic system shall pro- stop system shall perform a condi- vide for the maintenance of inspection tioning run over tracks that the posi- records as originally submitted with- tive train stop system is being utilized out corruption or loss of data; and on to ensure that the system functions (5) Policies and procedures shall be in as intended. place to prevent persons from altering electronic records, or otherwise inter- [77 FR 21342, Apr. 9, 2012] fering with the electronic system. § 229.19 Prior waivers. (c) Operational requirements. Any elec- tronic record system used to create, Waivers from any requirement of this maintain, or transfer a record required part, issued prior to June 8, 2012, shall to be maintained by this part shall terminate on the date specified in the meet the following operating require- letter granting the waiver. If no date is ments: specified, then the waiver shall auto- (1) The electronic storage of any matically terminate on June 8, 2017. record required by this part shall be [77 FR 21343, Apr. 9, 2012] initiated by the person performing the activity to which the record pertains § 229.20 Electronic recordkeeping. within 24 hours following the comple- (a) For purposes of compliance with tion of the activity; and the recordkeeping requirements of this (2) For each locomotive for which part, except for the daily inspection records of inspection or maintenance record maintained on the locomotive required by this part are maintained required by § 229.21, the cab copy of electronically, the electronic record Form FRA F 6180–49–A required by system shall automatically notify the § 229.23, the fragmented air brake main- railroad each time the locomotive is tenance record required by § 229.27, and due for an inspection, or maintenance records required under § 229.9, a rail- that the electronic system is tracking. road may create, maintain, and trans- The automatic notification tracking fer any of the records required by this requirement does not apply to daily in- part through electronic transmission, spections. storage, and retrieval provided that all (d) Accessibility and availability re- of the requirements contained in this quirements. Any electronic record sys- section are met. tem used to create, maintain, or trans- (b) Design requirements. Any elec- fer a record required to be maintained tronic record system used to create, by this part shall meet the following maintain, or transfer a record required access and availability requirements: to be maintained by this part shall (1) Except as provided in meet the following design require- § 229.313(c)(2), the carrier shall provide ments: FRA with all electronic records main- (1) The electronic record system shall tained for compliance with this part be designed such that the integrity of for any specific locomotives at any me- each record is maintained through ap- chanical department terminal upon re- propriate levels of security such as rec- quest; ognition of an electronic signature, or (2) Paper copies of electronic records other means, which uniquely identify and amendments to those records that the initiating person as the author of may be necessary to document compli- that record. No two persons shall have ance with this part, shall be provided the same electronic identity; to FRA for inspection and copying (2) The electronic system shall en- upon request http://web2.westlaw.com/ sure that each record cannot be modi- find/default.wl?DB=1000547&DocName=

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49CFRS213%2E305&FindType=L&AP= time of the inspection; the non-com- &mt=Westlaw&fn=ltop&sv=Split& plying conditions found; and the signa- vr=2.0&rs=. Paper copies shall be pro- ture of the inspector. Except as pro- vided to FRA no later than 15 days vided in §§ 229.9, 229.137, and 229.139, any from the date the request is made; and, conditions that constitute non-compli- (3) Inspection records required by ance with any requirement of this part this part shall be available to persons shall be repaired before the locomotive who performed the inspection and to is used. Except with respect to condi- persons performing subsequent inspec- tions that do not comply with § 229.137 tions on the same locomotive. or § 229.139, a notation shall be made on the report indicating the nature of the [77 FR 21343, Apr. 9, 2012] repairs that have been made. Repairs made for conditions that do not comply Subpart B—Inspections and Tests with § 229.137 or § 229.139 may be noted on the report, or in electronic form. A § 229.21 Daily inspection. notation shall be made on the report (a) Except for MU locomotives, each indicating the nature of the repairs locomotive in use shall be inspected at that have been made. The person mak- least once during each calendar day. A ing the repairs shall sign the report. written report of the inspection shall The report shall be filed in the office of be made. This report shall contain the the carrier at the place where the in- name of the carrier; the initials and spection is made or at one central loca- number of the locomotive; the place, tion and retained for at least 92 days. date and time of the inspection; a de- (c) Each carrier shall designate quali- scription of the non-complying condi- tions disclosed by the inspection; and fied persons to make the inspections the signature of the employee making required by this section. the inspection. Except as provided in [45 FR 21109, Mar. 31, 1980, as amended at 50 §§ 229.9, 229.137, and 229.139, any condi- FR 6953, Feb. 19, 1985; 67 FR 16050, Apr. 4, tions that constitute non-compliance 2002] with any requirement of this part shall be repaired before the locomotive is § 229.23 Periodic inspection: general. used. Except with respect to conditions (a) Each locomotive shall be in- that do not comply with § 229.137 or spected at each periodic inspection to § 229.139, a notation shall be made on determine whether it complies with the report indicating the nature of the this part. Except as provided in § 229.9, repairs that have been made. Repairs all non-complying conditions shall be made for conditions that do not comply repaired before the locomotive is used. with § 229.137 or § 229.139 may be noted Except as provided in § 229.33 and para- on the report, or in electronic form. graph (b) of this section, the interval The person making the repairs shall between any two periodic inspections sign the report. The report shall be may not exceed 92 days. Periodic in- filed and retained for at least 92 days in spections shall only be made where the office of the carrier at the terminal adequate facilities are available. At at which the locomotive is cared for. A each periodic inspection, a locomotive record shall be maintained on each lo- shall be positioned so that a person comotive showing the place, date and may safely inspect the entire under- time of the previous inspection. (b) Each MU locomotive in use shall neath portion of the locomotive. be inspected at least once during each (b) For each locomotive equipped calendar day and a written report of with advanced microprocessor-based the inspection shall be made. This re- on-board electronic condition moni- port may be part of a single master re- toring controls: port covering an entire group of MU’s. (1) The interval between periodic in- If any non-complying conditions are spections shall not exceed 184 days; and found, a separate, individual report (2) At least once each 31 days, the shall be made containing the name of daily inspection required by § 229.21, the carrier; the initials and number of shall be performed by a qualified me- the locomotive; the place, date, and chanical inspector as defined in § 229.5.

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A record of the inspection that con- maintain in his office a secondary tains the name of the person per- record of the information reported on forming the inspection and the date Form FRA F 6180–49A. The secondary that it was performed shall be main- record shall be retained until Form tained in the locomotive cab until the FRA F 6180–49A has been removed from next periodic inspection is performed. the locomotive and filed in the railroad (c) Each new locomotive shall receive office of the mechanical officer in an initial periodic inspection before it charge of the locomotive. If the Form is used. FRA F 6180–49A removed from the loco- (d) At the initial periodic inspection, motive is not clearly legible, the sec- the date and place of the last tests per- ondary record shall be retained until formed that are the equivalent of the the Form FRA F 6180–49A for the suc- tests required by §§ 229.27, 229.29, and ceeding year is filed. The Form F 6180– 229.31 shall be entered on Form FRA F 49A removed from a locomotive shall 6180–49A. These dates shall determine be retained until the Form FRA F 6180– when the tests first become due under 49A for the succeeding year is filed. §§ 229.27, 229.29, and 229.31. Out of use (h) The railroad shall maintain, and credit may be carried over from Form provide employees performing inspec- FRA F 6180–49 and entered on Form tions under this section with, a list of FRA F 6180–49A. the defects and repairs made on each (e) Each periodic inspection shall be locomotive over the last ninety-two recorded on Form FRA F 6180–49A. The days; form shall be signed by the person con- (i) The railroad shall provide employ- ducting the inspection and certified by ees performing inspections under this that person’s supervisor that the work section with a document containing all was done. The form shall be displayed tests conducted since the last periodic under a transparent cover in a con- inspection, and procedures needed to spicuous place in the cab of each loco- perform the inspection. motive. A railroad maintaining and [77 FR 21344, Apr. 9, 2012] transferring records as provided for in § 229.20 shall print the name of the per- § 229.25 Tests: Every periodic inspec- son who performed the inspections, re- tion. pairs, or certified work on the Form Each periodic inspection shall in- FRA F 6180–49A that is displayed in the clude the following: cab of each locomotive. (a) All mechanical gauges used by the (f) At the first periodic inspection in engineer to aid in the control or brak- each calendar year, the carrier shall re- ing of the train or locomotive, except move from each locomotive Form FRA load meters used in conjunction with F 6180–49A covering the previous cal- an auxiliary brake system, shall be endar year. If a locomotive does not re- tested by comparison with a dead- ceive its first periodic inspection in a weight tester or a test gauge designed calendar year before April 2, or July 3 for this purpose. if it’s a locomotive equipped with ad- (b) All electrical devices and visible vanced microprocessor-based on-board insulation shall be inspected. electronic condition monitoring con- (c) All cable connections between lo- trols, because it is out of use, the form comotives and jumpers that are de- shall be promptly replaced. The Form signed to carry 600 volts or more shall FRA F 6180–49A covering the preceding be thoroughly cleaned, inspected, and year for each locomotive, in or out of tested for continuity. use, shall be signed by the railroad offi- (d) Event recorder. A microprocessor- cial responsible for the locomotive and based self-monitoring event recorder, if filed as required in § 229.23(f). The date installed, is exempt from periodic in- and place of the last periodic inspec- spection under paragraphs (d)(1) tion and the date and place of the last through (5) of this section and shall be tests performed under §§ 229.27, 229.29, inspected annually as required by and 229.31 shall be transferred to the § 229.27(c). Other types of event record- replacement Form FRA F 6180–49A. ers, if installed, shall be inspected, (g) The railroad mechanical officer maintained, and tested in accordance who is in charge of a locomotive shall with instructions of the manufacturer,

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supplier, or owner thereof and in ac- (b) Load meters that indicate current cordance with the following criteria: (amperage) being applied to traction (1) A written or electronic copy of motors shall be tested. Each device the instructions in use shall be kept at used by the engineer to aid in the con- the point where the work is performed trol or braking of the train or loco- and a hard-copy version, written in the motive that provides an indication of English language, shall be made avail- air pressure electronically shall be able upon request to FRA. tested by comparison with a test gauge (2) The event recorder shall be tested or self-test designed for this purpose. before any maintenance work is per- An error greater than five percent or formed on it. At a minimum, the event greater than three pounds per square recorder test shall include cycling, as inch shall be corrected. The date and practicable, all required recording ele- place of the test shall be recorded on ments and determining the full range Form FRA F 6180–49A, and the person of each element by reading out re- conducting the test and that person’s corded data. supervisor shall sign the form. (3) If the pre-maintenance test re- (c) A microprocessor-based event re- veals that the device is not recording corder with a self-monitoring feature all the specified data and that all re- equipped to verify that all data ele- cordings are within the designed re- ments required by this part are re- cording elements, this fact shall be corded, requires further maintenance noted, and maintenance and testing and testing only if either of the fol- shall be performed as necessary until a lowing conditions exist: subsequent test is successful. (1) The self-monitoring feature dis- (4) When a successful test is accom- plays an indication of a failure. If a plished, a copy of the data-verification failure is displayed, further mainte- results shall be maintained in any me- nance and testing must be performed dium with the maintenance records for until a subsequent test is successful. the locomotive until the next one is When a successful test is accomplished, filed. a record, in any medium, shall be made (5) A railroad’s event recorder peri- of that fact and of any maintenance odic maintenance shall be considered work necessary to achieve the success- effective if 90 percent of the recorders ful result. This record shall be avail- on locomotives inbound for periodic in- able at the location where the loco- spection in any given calendar month motive is maintained until a record of are still fully functional; maintenance a subsequent successful test is filed; or, practices and test intervals shall be ad- (2) A download of the event recorder, justed as necessary to yield effective taken within the preceding 30 days and periodic maintenance. reviewed for the previous 48 hours of locomotive operation, reveals a failure (e) Remote control locomotive. Remote to record a regularly recurring data control locomotive system components element or reveals that any required that interface with the mechanical de- data element is not representative of vices of the locomotive shall be tested the actual operations of the locomotive including, but not limited to, air pres- during this time period. If the review is sure monitoring devices, pressure not successful, further maintenance switches, and speed sensors. and testing shall be performed until a (f) Alerters. The alerter shall be test- subsequent test is successful. When a ed, and all automatic timing resets successful test is accomplished, a shall function as intended. record, in any medium, shall be made [45 FR 21109, Mar. 31, 1980, as amended at 58 of that fact and of any maintenance FR 36614, July 8, 1993; 60 FR 27905, May 26, work necessary to achieve the success- 1995; 66 FR 4192, Jan. 17, 2001; 70 FR 37939, ful result. This record shall be kept at June 30, 2005; 77 FR 21344, Apr. 9, 2012] the location where the locomotive is maintained until a record of a subse- § 229.27 Annual tests. quent successful test is filed. The (a) All testing under this section download shall be taken from informa- shall be performed at intervals that do tion stored in the certified crash- not exceed 368 calendar days. worthy crash hardened event recorder

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memory module if the locomotive is so sealed against air leaks; all valves and equipped. valve portions; electric-pneumatic master controllers in the air brake sys- [77 FR 21345, Apr. 9, 2012] tem; and all air brake related filters § 229.29 Air brake system calibration, and dirt collectors. maintenance, and testing. (d) Except for MU locomotives cov- (a) A locomotive’s air brake system ered under § 238.309 of this chapter, all shall receive the calibration, mainte- locomotives shall receive level one air nance, and testing as prescribed in this brake maintenance and testing as de- section. The level of maintenance and scribed in this section at intervals that testing and the intervals for receiving do not exceed 368 days. such maintenance and testing of loco- (e) Locomotives equipped with an air motives with various types of air brake brake system not specifically identi- systems shall be conducted in accord- fied in paragraphs (f)(1) through (3) of ance with paragraphs (d) through (f) of this section shall receive level two air this section. Records of the mainte- brake maintenance and testing as de- nance and testing required in this sec- scribed in this section at intervals that tion shall be maintained in accordance do not exceed 368 days and level three with paragraph (g) of this section. air brake maintenance and testing at (b) Except for DMU or MU loco- intervals that do not exceed 736 days. motives covered under § 238.309 of this (f) Level two and level three air chapter, the air flow method (AFM) in- brake maintenance and testing shall be dicator shall be calibrated in accord- performed on each locomotive identi- ance with § 232.205(c)(1)(iii) at intervals fied in this paragraph at the following not to exceed 92 days, and records shall intervals: be maintained as prescribed paragraph (1) At intervals that do not exceed (g)(1) of this section. 1,104 days for a locomotive equipped (c) Except for DMU or MU loco- with a 26–L or equivalent brake sys- motives covered under § 238.309 of this tem; chapter, the extent of air brake system (2) At intervals that do not exceed maintenance and testing that is re- 1,472 days for locomotives equipped quired on a locomotive shall be in ac- with an air dryer and a 26–L or equiva- cordance with the following levels: lent brake system and for locomotives (1) Level one: Locomotives shall have not equipped with an air compressor the filtering devices or dirt collectors and that are semi-permanently coupled located in the main reservoir supply and dedicated to locomotives with an line to the air brake system cleaned, air dryer; or repaired, or replaced. (3) At intervals that do not exceed (2) Level two: Locomotives shall have 1,840 days for locomotives equipped the following components cleaned, re- with CCB–1, CCB–2, CCB–26, EPIC 1 paired, and tested: brake cylinder relay (formerly EPIC 3102), EPIC 3102D2, valve portions; main reservoir safety EPIC 2, KB–HS1, or Fastbrake brake valves; brake pipe vent valve portions; systems. and, feed and reducing valve portions (g) Records of the air brake system in the air brake system (including re- maintenance and testing required by lated dirt collectors and filters). this section shall be generated and (3) Level three: Locomotives shall maintained in accordance with the fol- have the components identified in this lowing: paragraph removed from the loco- (1) The date of AFM indicator cali- motive and disassembled, cleaned and bration shall be recorded and certified lubricated (if necessary), and tested. In in the remarks section of Form F6180– addition, all parts of such components 49A. that can deteriorate within the inspec- (2) The date and place of the clean- tion interval as defined in paragraphs ing, repairing and testing required by (d) through (f) of this section shall be this section shall be recorded on Form replaced and tested. The components FRA F 6180–49A, and the work shall be include: all pneumatic components of certified. A record of the parts of the the locomotive equipment’s brake sys- air brake system that are cleaned, re- tem that contain moving parts, and are paired, and tested shall be kept in the

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railroad’s files or in the cab of the loco- holes shall be spaced not more than 12 motive. inches apart, measured both longitu- (3) At its option, a railroad may frag- dinally and circumferentially, and ment the work required by this sec- drilled from the outer surface to an ex- tion. In that event, a separate record treme depth determined by the for- shall be maintained under a trans- mula— parent cover in the cab. The air record shall include: the locomotive number; D = (.6PR/S–0.6P) a list of the air brake components; and Where: the date and place of the inspection D = extreme depth of telltale holes in inches and testing of each component. The but in no case less than one-sixteenth signature of the person performing the inch; work and the signature of that person’s P = certified working pressure in pounds per supervisor shall be included for each square inch; component. A duplicate record shall be S = one-fifth of the minimum specified ten- maintained in the railroad’s files. sile strength of the material in pounds per square inch; and [77 FR 21345, Apr. 9, 2012] R = inside radius of the reservoir in inches. § 229.31 Main reservoir tests. One row of holes shall be drilled (a) Before it is placed in service, each lengthwise of the reservoir on a line main reservoir other than an alu- intersecting the drain opening. A res- minum reservoir shall be subjected to a ervoir so drilled does not have to meet pneumatic or hydrostatic pressure of the requirements of paragraphs (a) and at least 25 percent more than the max- (b) of this section, except the require- imum working pressure fixed by the ment for a pneumatic or hydrostatic chief mechanical officer. The test date, test before it is placed in use. When- place, and pressure shall be recorded on ever any such telltale hole shall have Form FRA F 6180–49A, block eighteen. penetrated the interior of any res- Except as provided in paragraph (c) of ervoir, the reservoir shall be perma- this section, at intervals that do not nently withdrawn from service. A res- exceed 736 calendar days, each main ervoir now in use may be drilled in lieu reservoir other than an aluminum res- ervoir shall be subjected to a hydro- of the tests provided for by paragraphs static pressure of at least 25 percent (a) and (b) of this section, but shall re- more than the maximum working pres- ceive a hydrostatic test before it is re- sure fixed by the chief mechanical offi- turned to use or may receive a pneu- cer. The test date, place, and pressure matic test if conducted by the manu- shall be recorded on Form FRA F 6180– facturer in an appropriately safe envi- 49A, and the person performing the test ronment. and that person’s supervisor shall sign (d) Each aluminum main reservoir the form. before being placed in use and at inter- (b) Except as provided in paragraph vals that do not exceed 736 calendar (c) of this section, each main reservoir days thereafter, shall be— other than an aluminum reservoir shall (1) Cleaned and given a thorough vis- be hammer tested over its entire sur- ual inspection of all internal and exter- face while the reservoir is empty at in- nal surfaces for evidence of defects or tervals that do not exceed 736 calendar deterioration; and days. The test date and place shall be (2) Subjected to a hydrostatic pres- recorded on Form FRA F 6180–49A, and sure at least twice the maximum work- the person performing the test and ing pressure fixed by the chief mechan- that person’s supervisor shall sign the ical officer, but not less than 250 p.s.i. form. The test date, place, and pressure shall (c) Each welded main reservoir origi- be recorded on Form FRA F 6180–49A, nally constructed to withstand at least and the person conducting the test and five times the maximum working pres- that person’s supervisor shall sign the sure fixed by the chief mechanical offi- cer may be drilled over its entire sur- form. face with telltale holes that are three- [45 FR 21109, Mar. 31, 1980, as amended at 71 sixteenths of an inch in diameter. The FR 61857, Oct. 19, 2006]

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§ 229.33 Out-of-use credit. beams, traction motors and motor gear When a locomotive is out of use for 30 cases, and fuel tanks; fuel, oil, water, or more consecutive days or is out of steam, and other leaks and accumula- use when it is due for any test or in- tions of oil on electrical equipment spection required by § 229.23, § 229.25, that create a personal injury hazard; § 229.27, § 229.29, or § 229.31, an out-of-use improper functioning of components, notation showing the number of out-of- including slack adjusters, pantograph use days shall be made on an inspec- operating cylinders, circuit breakers, tion line on Form FRA F 6180–49A. A contactors, relays, switches, and fuses; supervisory employee of the carrier and cracks, breaks, excessive wear and who is responsible for the locomotive other structural infirmities of compo- shall attest to the notation. If the loco- nents, including quill drives, axles, motive is out of use for one or more pe- gears, pinions, pantograph shoes and riods of at least 30 consecutive days horns, third rail beams, traction motor each, the interval prescribed for any gear cases, and fuel tanks. test or inspection under this part may BRAKE SYSTEM be extended by the number of days in each period the locomotive is out of § 229.46 Brakes: general. use since the last test or inspection in question. A movement made in accord- (a) Before each trip, the railroad ance with § 229.9 is not a use for pur- shall know the following: poses of determining the period of the (1) The locomotive brakes and de- out-of-use credit. vices for regulating pressures, includ- ing but not limited to the automatic Subpart C—Safety Requirements and independent brake control sys- tems, operate as intended; and GENERAL REQUIREMENTS (2) The water and oil have been drained from the air brake system of § 229.41 Protection against personal all locomotives in the consist. injury. (b) A locomotive with an inoperative Fan openings, exposed gears and pin- or ineffective automatic or inde- ions, exposed moving parts of mecha- pendent brake control system will be nisms, pipes carrying hot gases and considered to be operating as intended high-voltage equipment, switches, cir- for purposes of paragraph (a) of this cuit breakers, contactors, relays, grid section, if all of the following condi- resistors, and fuses shall be in non-haz- tions are met: ardous locations or equipped with (1) The locomotive is in a trailing po- guards to prevent personal injury. sition and is not the controlling loco- motive in a distributed power train § 229.43 Exhaust and battery gases. consist; (a) Products of combustion shall be (2) The railroad has previously deter- released entirely outside the cab and mined, in conjunction with the loco- other compartments. Exhaust stacks motive and/or airbrake manufacturer, shall be of sufficient height or other that placing such a locomotive in trail- means provided to prevent entry of ing position adequately isolates the products of combustion into the cab or non-functional valves so as to allow other compartments under usual oper- safe operation of the brake systems ating conditions. from the controlling locomotive; (b) Battery containers shall be vent- (3) If deactivation of the circuit ed and batteries kept from gassing ex- breaker for the air brake system is re- cessively. quired, it shall be specified in the rail- road’s operating rules; § 229.45 General condition. (4) A tag shall immediately be placed All systems and components on a lo- on the isolation switch of the loco- comotive shall be free of conditions motive giving the date and location that endanger the safety of the crew, and stating that the unit may only be locomotive or train. These conditions used in a trailing position and may not include: insecure attachment of compo- be used as a lead or controlling loco- nents, including third rail shoes or motive;

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(5) The tag required in paragraph complete operating cycles of control (b)(4) of this section remains attached equipment and be located where it is to the isolation switch of the loco- not exposed to damage. motive until repairs are made; and (b) A governor shall be provided that (6) The inoperative or ineffective stops and starts or unloads and loads brake control system is repaired prior the air compressor within 5 pounds per to or at the next periodic inspection. square inch above or below the max- imum working air pressure fixed by the [77 FR 21346, Apr. 9, 2012] carrier. § 229.47 Emergency brake valve. (c) Each compressor governor used in connection with the automatic air (a) Except for locomotives with cabs brake system shall be adjusted so that designed for occupancy by only one the compressor will start when the person, each road locomotive shall be main reservoir pressure is not less than equipped with a brake pipe valve that 15 pounds per square inch above the is accessible to a member of the crew, maximum brake pipe pressure fixed by other than the engineer, from that the carrier and will not stop the com- crew member’s position in the cab. On pressor until the reservoir pressure has car body type locomotives, a brake increased at least 10 pounds. pipe valve shall be attached to the wall adjacent to each end exit door. The § 229.51 Aluminum main reservoirs. words ‘‘Emergency Brake Valve’’ shall (a) Aluminum main reservoirs used be legibly stenciled or marked near on locomotives shall be designed and each brake pipe valve or shall be shown fabricated as follows: on an adjacent badge plate. (1) The heads and shell shall be made (b) DMU, MU, and control cab loco- of Aluminum Association Alloy No. motives operated in road service shall 5083–0, produced in accordance with be equipped with an emergency brake American Society of Mechnical Engi- valve that is accessible to another crew neers (ASME) Specification SB–209, as member in the passenger compartment defined in the ‘‘ASME Boiler and Pres- or vestibule. The words ‘‘Emergency sure Vessel Code’’ (1971 edition), sec- Brake Valve’’ shall be legibly stenciled tion II, Part B, page 123, with a min- or marked near each valve or shall be imum tensile strength of 40,000 p.s.i. (40 shown on an adjacent badge plate. k.s.i.). [45 FR 21109, Mar. 31, 1980, as amended at 71 (2) Each aluminum main reservoir FR 61857, Oct. 19, 2006] shall be designed and fabricated in ac- cordance with the ‘‘ASME Boiler and § 229.49 Main reservoir system. Pressure Vessel Code,’’ section VIII, (a)(1) The main reservoir system of Division I (1971 edition), except as oth- each locomotive shall be equipped with erwise provided in this part. at least one safety valve that shall pre- (3) An aluminum main reservoir shall vent an accumulation of pressure of be constructed to withstand at least more than 15 pounds per square inch five times its maximum working pres- above the maximum working air pres- sure or 800 p.s.i., whichever is greater. sure fixed by the chief mechanical offi- (4) Each aluminum main reservoir cer of the carrier operating the loco- shall have at least two inspection open- motive. ings to permit complete circumferen- (2) Except for non-equipped MU loco- tial visual observation of the interior motives built prior to January 1, 1981, surface. On reservoirs less than 18 each locomotive that has a pneumati- inches in diameter, the size of each in- cally actuated system of power con- spection opening shall be at least that trols shall be equipped with a separate of 11⁄2-inch threaded iron pipe, and on reservoir of air under pressure to be reservoirs 18 or more inches in diame- used for operating those power con- ter, the size of each opening shall be at trols. The reservoir shall be provided least that of 2-inch threaded iron pipe. with means to automatically prevent (b) The following publications, which the loss of pressure in the event of a contain the industry standards incor- failure of main air pressure, have stor- porated by reference in paragraph (a) of age capacity for not less than three this section, may be obtained from the

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publishers and are also on file in the than 30 percent of its cross-sectional Office of Safety of the Federal Railroad area, cracked, broken, or missing. All Administration, Washington, DC 20590. pins shall be secured in place with Sections II and VIII of the ‘‘ASME cotters, split keys, or nuts. Brake Boiler and Pressure Vessel Code’’ (1971 shoes shall be fastened with a brake edition) are published by the American shoe key and aligned in relation to the Society of Mechanical Engineers, wheel to prevent localized thermal United Engineering Center, 345 East stress in the edge of the rim or the 47th Street, New York, New York 10017. flange.

§ 229.53 Brake gauges. § 229.59 Leakage. All mechanical gauges and all de- (a) Leakage from the main air res- vices providing indication of air pres- ervoir and related piping may not ex- sure electronically that are used by the ceed an average of 3 pounds per square engineer to aid in the control or brak- inch per minute for 3 minutes after the ing of the train or locomotive shall be pressure has been reduced to 60 percent located so that they may be conven- of the maximum pressure. iently read from the engineer’s usual (b) Brake pipe leakage may not ex- position during operation of the loco- ceed 5 pounds per square inch per motive. A gauge or device shall not be minute. more than five percent or three pounds (c) With a full service application at per square inch in error, whichever is maximum brake pipe pressure and with less. communication to the brake cylinders [66 FR 4192, Jan. 17, 2001] closed, the brakes shall remain applied at least 5 minutes. § 229.55 Piston travel. (d) Leakage from control air res- (a) Brake cylinder piston travel shall ervoir, related piping, and pneumati- be sufficient to provide brake shoe cally operated controls may not exceed clearance when the brakes are released. an average of 3 pounds per square inch (b) When the brakes are applied on a per minute for 3 minutes. standing locomotive, the brake cyl- inder piston travel may not exceed 11⁄2 DRAFT SYSTEM inches less than the total possible pis- ton travel. The total possible piston § 229.61 Draft system. travel for each locomotive shall be en- (a) A coupler may not have any of tered on Form FRA F 6180–49A. the following conditions: (c) The minimum brake cylinder (1) A distance between the guard arm pressure shall be 30 pounds per square and the knuckle nose of more than 55⁄16 inch. inches on D&E couplers. (2) A crack or break in the side wall § 229.57 Foundation brake gear. or pin bearing bosses outside of the A lever, rod, brake beam, hanger, or shaded areas shown in Figure 1 or in pin may not be worn through more the pulling face of the knuckle.

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(3) A coupler assembly without anti- § 229.67 Trucks. creep protection. (a) The male center plate shall ex- (4) Free slack in the coupler or draw- tend into the female center plate at bar not absorbed by friction devices or 3 draft gears that exceeds one-half least ⁄4 inch. On trucks constructed to inches. transmit tractive effort through the (5) A broken or cracked coupler car- center plate or center pin, the male rier. center plate shall extend into the fe- (6) A broken or cracked yoke. male center plate at least 11⁄2 inches. (7) A broken draft gear. Maximum lost motion in a center plate (b) A device shall be provided under assemblage may not exceed 1⁄2 inch. the lower end of all drawbar pins and (b) Each locomotive shall have a de- articulated connection pins to prevent vice or securing arrangement to pre- the pin from falling out of place in case vent the truck and locomotive body of breakage. from separating in case of derailment. (c) A truck may not have a loose tie [77 FR 21346, Apr. 9, 2012] bar or a cracked or broken center cast- SUSPENSION SYSTEM ing, motor suspension lug, equalizer, hanger, gib or pin. A truck frame may § 229.63 Lateral motion. not be broken or have a crack in a (a) Except as provided in paragraph stress area that may affect its struc- (b), the total uncontrolled lateral mo- tural integrity. tion between the hubs of the wheels and boxes, between boxes and pedestals § 229.69 Side bearings. or both, on any pair of wheels may not (a) Friction side bearings with exceed 1 inch on non-powered axles and springs designed to carry weight may friction bearing powered axles, or 3⁄4 not have more than 25 percent of the inch on all other powered axles. springs in any one nest broken. (b) The total uncontrolled lateral (b) Friction side bearings may not be 1 motion may not exceed 1 ⁄4 inches on run in contact unless designed to carry the center axle of three-axle trucks. weight. Maximum clearance of side § 229.64 Plain bearings. bearings may not exceed one-fourth inch on each side or a total of one-half A plain bearing box shall contain inch on both sides, except where more visible free oil and may not be cracked than two side bearings are used under to the extent that it will leak oil. the same rigid superstructure. The § 229.65 Spring rigging. clearance on one pair of side bearings under the same rigid superstructure (a) Protective construction or safety shall not exceed one-fourth inch on hangers shall be provided to prevent each side or a total of one-half inch on spring planks, spring seats or bolsters both sides; the other side bearings from dropping to track structure in event of a hanger or spring failure. under the same rigid superstructure (b) An elliptical spring may not have may have one-half inch clearance on its top (long) leaf broken or any other each side or a total of 1 inch on both three leaves broken, except when that sides. These clearances apply where the spring is part of a nest of three or more spread of the side bearings is 50 inches springs and none of the other springs in or less; where the spread is greater, the the nest has its top leaf or any other side bearing clearance may only be in- three leaves broken. An outer coil creased proportionately. spring or saddle may not be broken. An equalizer, hanger, bolt, gib, or pin may § 229.71 Clearance above top of rail. not be cracked or broken. A coil spring No part or appliance of a locomotive may not be fully compressed when the except the wheels, flexible nonmetallic locomotive is at rest. sand pipe extension tips, and trip cock (c) A shock absorber may not be bro- arms may be less than 21⁄2 inches above ken or leaking clearly formed droplets the top of rail. of oil or other fluid.

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§ 229.73 Wheel sets. (h) A flange height of 11⁄2 inches or more measured from tread to the top of (a) The variation in the circum- the flange. ference of wheels on the same axle may (i) Tires less than 11⁄2 inches thick. not exceed 1⁄4 inch (two tape sizes) (j) Rims less than 1 inch thick on a when applied or turned. locomotive in road service or less than (b) The maximum variation in the di- 3⁄4 inch on a locomotive in yard service. ameter between any two wheel sets in (k) A crack or break in the flange, a three-powered-axle truck may not ex- tread, rim, plate, or hub. ceed 3⁄4 inch, except that when shims (l) A loose wheel or tire. are used at the journal box springs to (m) Fusion welding may not be used compensate for wheel diameter vari- on tires or steel wheels of locomotives, ation, the maximum variation may not except for the repair of flat spots and exceed 11⁄4 inch. The maximum vari- worn flanges on locomotives used ex- ation in the diameter between any two clusively in yard service. A wheel that wheel sets on different trucks on a lo- has been welded is a welded wheel for comotive that has three-powered-axle the life of the wheel. trucks may not exceed 11⁄4 inch. The di- ameter of a wheel set is the average di- ELECTRICAL SYSTEM ameter of the two wheels on an axle. (c) On standard gauge locomotives, § 229.77 Current collectors. the distance between the inside gauge (a) Pantographs shall be so arranged of the flanges on non-wide flange that they can be operated from the en- wheels may not be less than 53 inches gineer’s normal position in the cab. 1 or more than 53 ⁄2 inches. The distance Pantographs that automatically rise between the inside gauge of the flanges when released shall have an automatic on wide flange wheels may not be less locking device to secure them in the 1 than 53 inches or more than 53 ⁄4 inches. down position. (d) The distance back to back of (b) Each pantograph operating on an flanges of wheels mounted on the same overhead trolley wire shall have a de- axle shall not vary more than 1⁄4 inch. vice for locking and grounding it in the lowest position, that can be applied § 229.75 Wheels and tire defects. and released only from a position Wheels and tires may not have any of where the operator has a clear view of the following conditions: the pantograph and roof without (a) A single flat spot that is 21⁄2 mounting the roof. inches or more in length, or two ad- joining spots that are each two or more § 229.79 Third rail shoes. inches in length. When locomotives are equipped with (b) A gouge or chip in the flange that both third rail and overhead collectors, is more than 11⁄2 inches in length and 1⁄2 third-rail shoes shall be deenergized inch in width. while in yards and at stations when (c) A broken rim, if the tread, meas- current collection is exclusively from ured from the flange at a point five- the overhead conductor. eighths inch above the tread, is less than 33⁄4 inches in width. § 229.81 Emergency pole; shoe insula- (d) A shelled-out spot 21⁄2 inches or tion. more in length, or two adjoining spots (a) Each locomotive equipped with a that are each two or more inches in pantograph operating on an overhead length. trolley wire shall have an emergency (e) A seam running lengthwise that is pole suitable for operating the panto- within 33⁄4 inches of the flange. graph. Unless the entire pole can be (f) A flange worn to a 7⁄8 inch thick- safely handled, the part of the pole ness or less, gauged at a point 3⁄8 inch which can be safely handled shall be above the tread. marked to so indicate. This pole shall (g) A tread worn hollow 5⁄16 inch or be protected from moisture when not more on a locomotive in road service in use. or 3⁄8 inch or more on a locomotive in (b) Each locomotive equipped with switching service. third-rail shoes shall have a device for

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insulating the current collecting appa- INTERNAL COMBUSTION EQUIPMENT ratus from the third rail. § 229.93 Safety cut-off device. § 229.83 Insulation or grounding of metal parts. The fuel line shall have a safety cut- off device that— All unguarded noncurrent-carrying (a) Is located adjacent to the fuel metal parts subject to becoming supply tank or in another safe loca- charged shall be grounded or thor- tion; oughly insulated. (b) Closes automatically when § 229.85 High voltage markings: doors, tripped and can be reset without haz- cover plates, or barriers. ard; and All doors, cover plates, or barriers (c) Can be hand operated from clearly providing direct access to high voltage marked locations, one inside the cab equipment shall be marked ‘‘Danger- and one on each exterior side of the lo- High Voltage’’ or with the word ‘‘Dan- comotive. ger’’ and the normal voltage carried by the parts so protected. § 229.95 Venting. [77 FR 21346, Apr. 9, 2012] Fuel tank vent pipes may not dis- charge on the roof nor on or between § 229.87 Hand-operated switches. the rails. All hand-operated switches carrying currents with a potential of more than § 229.97 Grounding fuel tanks. 150 volts that may be operated while Fuel tanks and related piping shall under load shall be covered and shall be be electrically grounded. operative from the outside of the cover. Means shall be provided to show wheth- § 229.99 Safety hangers. er the switches are open or closed. Drive shafts shall have safety hang- Switches that should not be operated ers. while under load shall be legibly marked with the words ‘‘must not be § 229.101 Engines. operated under load’’ and the voltage carried. (a) The temperature and pressure alarms, controls and related switches § 229.89 Jumpers; cable connections. of internal combustion engines shall (a) Jumpers and cable connections function properly. between locomotives shall be so lo- (b) Whenever an engine has been shut cated and guarded to provide sufficient down due to mechanical or other prob- vertical clearance. They may not hang lems, a distinctive warning notice giv- with one end free. ing reason for the shut-down shall be (b) Cable and jumper connections be- conspicuously attached near the engine tween locomotive may not have any of starting control until repairs have been the following conditions: made. (1) Broken or badly chafed insulation. (c) Wheel slip/slide protection shall (2) Broken plugs, receptacles or ter- be provided on a locomotive with an minals. engine displaying a warning notice (3) Broken or protruding strands of whenever required by § 229.115(b). wire. STEAM GENERATORS § 229.91 Motors and generators. A motor or a generator may not have § 229.103 Safe working pressure; factor of safety. any of the following conditions: (a) Be shorted or grounded. The safe working pressure for each (b) Throw solder excessively. steam generator shall be fixed by the (c) Show evidence of coming apart. chief mechanical officer of the carrier. (d) Have an overheated support bear- The minimum factor of safety shall be ing. four. The fixed safe working pressure (e) Have an excessive accumulation shall be indicated on FRA Form F 6180– of oil. 49A.

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§ 229.105 Steam generator number. necessary repairs have been made. The locomotive in which the steam gener- An identification number shall be ator displaying a warning notice is lo- marked on the steam generator’s sepa- cated may continue in service until the rator and that number entered on FRA next periodic inspection. Form F 6180–49A. § 229.114 Steam generator inspections § 229.107 Pressure gauge. and tests. (a) Each steam generator shall have (a) Periodic steam generator inspection. an illuminated steam gauge that cor- Except as provided in § 229.33, each rectly indicates the pressure. The steam generator shall be inspected and steam pressure gauge shall be grad- tested in accordance with paragraph (d) uated to not less than one and one-half of this section at intervals not to ex- times the allowed working pressure of ceed 92 days, unless the steam gener- the steam generator. ator is isolated in accordance with (b) Each steam pressure gauge on a paragraph (b) of this section. All non- steam generator shall have a siphon complying conditions shall be repaired that prevents steam from entering the or the steam generator shall be iso- gauge. The pipe connection shall di- lated as prescribed in paragraph (b) of rectly enter the separator and shall be this section before the locomotive is steam tight between the separator and used. the gauge. (b) Isolation of a steam generator. A § 229.109 Safety valves. steam generator will be considered iso- lated if the water suction pipe to the Every steam generator shall be water pump and the leads to the main equipped with at least two safety switch (steam generator switch) are valves that have a combined capacity disconnected, and the train line shut- to prevent an accumulation of pressure off-valve is wired closed or a blind gas- of more than five pounds per square ket is applied. Before an isolated steam inch above the allowed working pres- generator is returned to use, it shall be sure. The safety valves shall be inde- inspected and tested pursuant to para- pendently connected to the separator graph (d) of this section. and located as closely to the separator (c) Forms. Each periodic steam gener- as possible without discharging inside ator inspection and test shall be re- of the generator compartment. The corded on Form FRA F 6180–49A re- ends of the safety valve discharge lines quired by paragraph § 229.23. When shall be located or protected so that Form FRA F 6180–49A for the loco- discharged steam does not create a haz- motive is replaced, data for the steam ard. generator inspections shall be trans- ferred to the new Form FRA F6180–49A. § 229.111 Water-flow indicator. (d) Tests and requirements. Each peri- (a) Steam generators shall be odic steam generator inspection and equipped with an illuminated visual re- test shall include the following tests turn water-flow indicator. and requirements: (b) Steam generators shall be (1) All electrical devices and visible equipped with an operable test valve or insulation shall be inspected. other means of determining whether (2) All automatic controls, alarms, the steam generator is filled with and protective devices shall be in- water. The fill test valve may not dis- spected and tested. charge steam or hot water into the (3) Steam pressure gauges shall be steam generator compartment. tested by comparison with a dead- weight tester or a test gauge designed § 229.113 Warning notice. for this purpose. The siphons to the Whenever any steam generator has steam gauges shall be removed and been shut down because of defects, a their connections examined to deter- distinctive warning notice giving rea- mine that they are open. sons for the shut-down shall be con- (4) Safety valves shall be set and spicuously attached near the steam tested under steam after the steam generator starting controls until the pressure gauge is tested.

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(e) Annual steam generator tests. Each (b) Each speed indicator required steam generator that is not isolated in shall be tested as soon as possible after accordance with paragraph (b) of this departure by means of speed test sec- section, shall be subjected to a hydro- tions or equivalent procedures. static pressure at least 25 percent above the working pressure and the § 229.119 Cabs, floors, and passage- visual return water-flow indicator shall ways. be removed and inspected. The testing (a) Cab seats shall be securely under this paragraph shall be per- mounted and braced. Cab doors shall be formed at intervals that do not exceed equipped with a secure and operable 368 calendar days. latching device. [77 FR 21346, Apr. 9, 2012] (b) Cab windows of the lead loco- motive shall provide an undistorted CABS AND CAB EQUIPMENT view of the right-of-way for the crew from their normal position in the cab. § 229.115 Slip/slide alarms. (See also, Safety Glazing Standards, 49 (a) Except for MU locomotives, each CFR part 223, 44 FR 77348, Dec. 31, 1979.) locomotive used in road service shall (c) Floors of cabs, passageways, and be equipped with a device that provides compartments shall be kept free from an audible or visual alarm in the cab of oil, water, waste or any obstruction either slipping or sliding wheels on that creates a slipping, tripping or fire powered axles under power. When two hazard. Floors shall be properly treated or more locomotives are coupled in to provide secure footing. multiple or remote control, the wheel slip/slide alarm of each locomotive (d) Any occupied locomotive cab shall be shown in the cab of the con- shall be provided with proper ventila- trolling locomotive. tion and with a heating arrangement (b) Except as provided in § 229.9, an that maintains a temperature of at equipped locomotive may not be dis- least 60 degrees Fahrenheit 6 inches patched in road service, or continue in above the center of each seat in the cab road service following a daily inspec- compartment. tion, unless the wheel slip/slide protec- (e) Similar locomotives with open- tive device of whatever type— end platforms coupled in multiple con- (1) Is functioning for each powered trol and used in road service shall have axle under power; and a means of safe passage between them; (2) Would function on each powered no passageway is required through the axle if it were under power. nose of car body locomotives. There (c) Effective January 1, 1981, all new shall be a continuous barrier across the locomotives capable of being used in full width of the end of a locomotive or road service shall be equipped with a a continuous barrier between loco- device that detects wheel slip/slide for motives. each powered axle when it is under (f) Containers shall be provided for power. The device shall produce an au- carrying fusees and torpedoes. A single dible or visual alarm in the cab. container may be used if it has a parti- tion to separate fusees from torpedoes. § 229.117 Speed indicators. Torpedoes shall be kept in a closed (a) After December 31, 1980, each lo- metal container. comotive used as a controlling loco- (g) Each locomotive or remanufac- motive at speeds in excess of 20 miles tured locomotive placed in service for per hour shall be equipped with a speed the first time on or after June 8, 2012, indicator which is— shall be equipped with an air condi- (1) Accurate within ±3 miles per hour tioning unit in the locomotive cab of actual speed at speeds of 10 to 30 compartment. miles per hour and accurate within ±5 (h) Each air conditioning unit in the miles per hour at speeds above 30 miles locomotive cab on a locomotive identi- per hour; and fied in paragraph (g) of this section (2) Clearly readable from the engi- shall be inspected and maintained to neer’s normal position under all light ensure that it operates properly and conditions. meets or exceeds the manufacturer’s

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minimum operating specifications dur- the noise is not required to be imme- ing the periodic inspection required for diately corrected under part 229, the the locomotive pursuant to § 229.23 of railroad shall maintain a record of the this part. report, and repair or replace the item (i) Each locomotive or remanufac- identified as substantially contributing tured locomotive ordered on or after to the noise: June 8, 2012, or placed in service for the (i) On or before the next periodic in- first time on or after December 10, 2012, spection required by § 229.23; or shall be equipped with a securement (ii) If the railroad determines that device on each exterior locomotive cab the repair or replacement of the item door that is capable of securing the requires significant shop or material door from inside of the cab. resources that are not readily avail- [45 FR 21109, Mar. 31, 1980, as amended at 77 able, at the time of the next major FR 21346, Apr. 9, 2012] equipment repair commonly used for the particular type of maintenance § 229.121 Locomotive cab noise. needed. (a) Performance standards for loco- (2) Conditions that may lead a loco- motives. (1) When tested for static noise motive cab occupant to file an exces- in accordance with paragraph (a)(3) of sive noise report include, but are not this section, all locomotives of each de- limited to: defective cab window seals; sign or model that are manufactured defective cab door seals; broken or in- after October 29, 2007, shall average less operative windows; deteriorated insula- than or equal to 85 dB(A), with an tion or insulation that has been re- upper 99% confidence limit of 87 dB(A). moved for other reasons; broken or in- The railroad may rely on certification operative doors; and air brakes that from the equipment manufacturer for a vent inside of the cab. production run that this standard is (3) A railroad has an obligation to re- met. The manufacturer may determine spond to an excessive noise report that the average by testing a representative a locomotive cab occupant files. The sample of locomotives or an initial se- railroad meets its obligation to re- ries of locomotives, provided that there spond to an excessive noise report, as are suitable manufacturing quality set forth in paragraph (b)(1) of this sec- controls and verification procedures in tion, if the railroad makes a good faith place to ensure product consistency. effort to identify the cause of the re- (2) In the maintenance of loco- ported noise, and where the railroad is motives that are manufactured in ac- successful in determining the cause, if cordance with paragraph (a)(1) of this the railroad repairs or replaces the section, a railroad shall not make any items cause the noise. alterations that cause the average (4) Recordkeeping. (i) A railroad shall sound level for that locomotive design maintain a written or electronic record or model to exceed: of any excessive noise report, inspec- (i) 82 dB(A) if the average sound level tion, test, maintenance, replacement, for a locomotive design or model is less or repair completed pursuant to than 82 dB(A); or § 229.121(b) and the date on which that (ii) 85 dB(A) if the average sound inspection, test, maintenance, replace- level for a locomotive design or model ment, or repair occurred. If a railroad is 82 dB(A) to 85 dB(A), inclusive, elects to maintain an electronic (3) The railroad or manufacturer record, the railroad must satisfy the shall follow the static test protocols conditions listed in § 227.121(a)(2)(i) set forth in appendix H of this part to through (v). determine compliance with paragraph (ii) The railroad shall retain these (a)(1) of this section; and, to the extent records for 92 days if they are made reasonably necessary to evaluate the pursuant to § 229.21, or for one year if effect of alterations during mainte- they are made pursuant to § 229.23. nance, to determine compliance with (iii) The railroad shall establish an paragraph (a)(2) of this section. internal, auditable, monitorable sys- (b) Maintenance of locomotives. (1) If a tem that contains these records. railroad receives an excessive noise re- port, and if the condition giving rise to [71 FR 63136, Oct. 27, 2006]

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§ 229.123 Pilots, snowplows, end plates. dela and produce at least 3,000 candela at an angle of 7.5 degrees and at least (a) Each lead locomotive shall be 400 candela at an angle of 20 degrees equipped with a pilot, snowplow, or end from the centerline of the locomotive plate that extends across both rails. when the light is aimed parallel to the The minimum clearance above the rail tracks. If a locomotive or locomotive of the pilot, snowplow or end plate consist in road service is regularly re- shall be 3 inches. Except as provided in quired to run backward for any portion paragraph (b) of this section, the max- of its trip other than to pick up a de- imum clearance shall be 6 inches. When tached portion of its train or to make the locomotive is equipped with a com- terminal movements, it shall also have bination of the equipment listed in this on its rear a headlight that meets the paragraph, each extending across both intensity requirements above. Each rails, only the lowest piece of that headlight shall be aimed to illuminate equipment must satisfy clearance re- a person at least 800 feet ahead and in quirements of this section. front of the headlight. For purposes of (b) To provide clearance for passing this section, a headlight shall be com- over retarders, locomotives utilized in prised of either one or two lamps. hump yard or switching service at (1) If a locomotive is equipped with a hump yard locations may have pilot, single-lamp headlight, the single lamp snowplow, or end plate maximum shall produce a peak intensity of at height of 9 inches. least 200,000 candela and shall produce (1) Each locomotive equipped with a at least 3,000 candela at an angle of 7.5 pilot, snowplow, or end plate with degrees and at least 400 candela at an clearance above 6 inches shall be angle of 20 degrees from the centerline prominently stenciled at each end of of the locomotive when the light is the locomotive with the words ‘‘9-inch aimed parallel to the tracks. The fol- Maximum End Plate Height, Yard or lowing operative lamps meet the stand- Trail Service Only.’’ ard set forth in this paragraph: a single (2) When operated in switching serv- incandescent PAR–56, 200-watt, 30-volt ice in a leading position, locomotives lamp; a single halogen PAR–56, 200- with a pilot, snowplow, or end plate watt, 30-volt lamp; a single halogen clearance above 6 inches shall be lim- PAR–56, 350-watt, 75-volt lamp, or a ited to 10 miles per hour over grade single lamp meeting the intensity re- crossings. quirements given above. (3) Train crews shall be notified in (2) If a locomotive is equipped with a writing of the restrictions on the loco- dual-lamp headlight, a peak intensity motive, by label or stencil in the cab, of at least 200,000 candela and at least or by written operating instruction 3,000 candela at an angle of 7.5 degrees given to the crew and maintained in and at least 400 candela at an angle of the cab of the locomotive. 20 degrees from the centerline of the (4) Pilot, snowplow, or end plate locomotive when the light is aimed clearance above 6 inches shall be noted parallel to the tracks shall be produced in the remarks section of Form FRA by the headlight based either on a sin- 6180–49a. gle lamp capable of individually pro- (5) Locomotives with a pilot, snow- ducing the required peak intensity or plow, or end plate clearance above 6 on the candela produced by the head- inches shall not be placed in the lead light with both lamps illuminated. If position when being moved under sec- both lamps are needed to produce the tion § 229.9. required peak intensity, then both [77 FR 21347, Apr. 9, 2012] lamps in the headlight shall be oper- ational. The following operative lamps § 229.125 Headlights and auxiliary meet the standard set forth in this lights. paragraph (a)(2): A single incandescent (a) Each lead locomotive used in road PAR–56, 200-watt, 30-volt lamp; a single service shall illuminate its headlight halogen PAR–56, 200-watt, 30-volt lamp; while the locomotive is in use. When il- a single halogen PAR–56, 350-watt, 75- luminated, the headlight shall produce volt lamp; two incandescent PAR–56, a peak intensity of at least 200,000 can- 350-watt, 75-volt lamps; or lamp(s)

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meeting the intensity requirements (ii) The auxiliary lights shall be given above. spaced at least 36 inches apart if the (i) A locomotive equipped with the vertical distance from the headlight to two incandescent PAR–56, 350-watt, 75 the horizontal axis of the auxiliary volt lamps which has an en route fail- lights is 60 inches or more. ure of one lamp in the headlight fix- (iii) The auxiliary lights shall be ture, may continue in service as a lead spaced at least 60 inches apart if the locomotive until its next daily inspec- vertical distance from the headlight to tion required by § 229.21 only if: the horizontal axis of the auxiliary (A) Auxiliary lights burn steadily; lights is less than 60 inches. (B) Auxiliary lights are aimed hori- (2) Each auxiliary light shall produce zontally parallel to the longitudinal a peak intensity of at least 200,000 can- centerline of the locomotive or aimed dela or shall produce at least 3,000 can- to cross no less than 400 feet in front of dela at an angle of 7.5 degrees and at the locomotive. least 400 candela at an angle of 20 de- grees from the centerline of the loco- (C) Second headlight lamp and both motive when the light is aimed parallel auxiliary lights continue to operate. to the tracks. Any of the following op- (ii) [Reserved] erative lamps meet the standard set (b) Each locomotive or locomotive forth in this paragraph: an incandes- consist used in yard service shall have cent PAR–56, 200-watt, 30-volt lamp; a two headlights, one located on the halogen PAR–56, 200-watt, 30-volt lamp; front of the locomotive or locomotive a halogen PAR–56, 350-watt, 75-volt consist and one on its rear. Each head- lamp; an incandescent PAR–56, 350- light shall produce at least 60,000 can- watt, 75-volt lamp; or a single lamp dela and shall be arranged to illu- having equivalent intensities at the minate a person at least 300 feet ahead specified angles. and in front of the headlight. (3) The auxiliary lights shall be (c) Headlights shall be provided with aimed horizontally within 15 degrees of a device to dim the light. the longitudinal centerline of the loco- (d) Effective December 31, 1997, each motive. lead locomotive operated at a speed (e) Auxiliary lights required by para- greater than 20 miles per hour over one graph (d) of this section may be ar- or more public highway-rail crossings ranged shall be equipped with operative auxil- (1) To burn steadily or iary lights, in addition to the headlight (2) Flash on approach to a crossing. required by paragraph (a) or (b) of this If the auxiliary lights are arranged to section. A locomotive equipped on flash; March 6, 1996 with auxiliary lights in (i) They shall flash alternately at a conformance with § 229.133 shall be rate of at least 40 flashes per minute deemed to conform to this section until and at most 180 flashes per minute, March 6, 2000. All locomotives in com- (ii) The railroad’s operating rules pliance with § 229.133(c) shall be deemed shall set a standard procedure for use to conform to this section. Auxiliary of flashing lights at public highway- lights shall be composed as follows: rail grade crossings, and (1) Two white auxiliary lights shall (iii) The flashing feature may be acti- be placed at the front of the loco- vated automatically, but shall be capa- motive to form a triangle with the ble of manual activation and deactiva- headlight. tion by the locomotive engineer. (i) The auxiliary lights shall be at (f) Auxiliary lights required by para- least 36 inches above the top of the graph (d) of this section shall be con- rail, except on MU locomotives and tinuously illuminated immediately control cab locomotives where such prior to and during movement of the placement would compromise the in- locomotive, except as provided by rail- tegrity of the car body or be otherwise road operating rules, timetable or spe- impractical. Auxiliary lights on such cial instructions, unless such exception MU locomotives and control cab loco- is disapproved by FRA. A railroad may motives shall be at least 24 inches except use of auxiliary lights at a spe- above the top of the rail. cific public highway-rail grade crossing

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by designating that exception in the lumination for them to read train or- railroad’s operating rules, timetable, ders and timetables. or a special order. Any exception from (b) Cab passageways and compart- use of auxiliary lights at a specific pub- ments shall have adequate illumina- lic grade crossing can be disapproved tion. for a stated cause by FRA’s Associate Administrator for Safety or any one of § 229.129 Locomotive horn. FRA’s Regional Administrators, after (a) Each lead locomotive shall be investigation by FRA and opportunity equipped with a locomotive horn that for response from the railroad. produces a minimum sound level of 96 (g) Movement of locomotives with de- dB(A) and a maximum sound level of fective auxiliary lights. 110 dB(A) at 100 feet forward of the lo- (1) A lead locomotive with only one comotive in its direction of travel. The failed auxiliary light must be repaired locomotive horn shall be arranged so or switched to a trailing position be- that it can be conveniently operated fore departure from the place where an from the engineer’s usual position dur- initial terminal inspection is required ing operation of the locomotive. for that train. (b)(1) Each locomotive built on or (2) A locomotive with only one auxil- after September 18, 2006 shall be tested iary light that has failed after depar- in accordance with this section to en- ture from an initial terminal, must be sure that the horn installed on such lo- repaired not later than the next cal- comotive is in compliance with para- endar inspection required by § 229.21. graph (a) of this section. Locomotives (3) A lead locomotive with two failed built on or after September 18, 2006 auxiliary lights may only proceed to may, however, be tested in accordance the next place where repairs can be with an acceptance sampling scheme made. This movement must be con- such that there is a probability of .05 sistent with § 229.9. or less of rejecting a lot with a propor- tion of defectives equal to an AQL of (h) Any locomotive subject to Part 1% or less, as set forth in 7 CFR part 229, that was built before December 31, 43. 1948, and that is not used regularly in (2) Each locomotive built before Sep- commuter or intercity passenger serv- tember 18, 2006 shall be tested in ac- ice, shall be considered historic equip- cordance with this section before June ment and excepted from the require- 24, 2010 to ensure that the horn in- ments of paragraphs (d) through (h) of stalled on such locomotive is in com- this section. pliance with paragraph (a) of this sec- [45 FR 21109, Mar. 31, 1980, as amended at 61 tion. FR 8887, Mar. 6, 1996; 68 FR 49717, Aug. 19, (3) Each remanufactured locomotive, 2003; 69 FR 12537, Mar. 16, 2004; 77 FR 21347, as determined pursuant to § 229.5 of this Apr. 9, 2012] part, shall be tested in accordance with this section to ensure that the horn in- § 229.127 Cab lights. stalled on such locomotive is in com- (a) Each locomotive shall have cab pliance with paragraph (a). lights which will provide sufficient il- (4)(i) Except as provided in paragraph lumination for the control instru- (b)(4)(ii) of this section, each loco- ments, meters, and gauges to enable motive equipped with a replacement lo- the engine crew to make accurate read- comotive horn shall be tested, in ac- ings from their normal positions in the cordance with paragraph (c) of this sec- cab. These lights shall be located, con- tion, before the next two annual tests structed, and maintained so that light required by § 229.27 of this part are shines only on those parts requiring il- completed. lumination and does not interfere with (ii) Locomotives that have already the crew’s vision of the track and sig- been tested individually or through ac- nals. Each controlling locomotive shall ceptance sampling, in accordance with also have a conveniently located light paragraphs (b)(1), (b)(2), or (b)(3) of this that can be readily turned on and off section, shall not be required to under- by the persons operating the loco- go sound level testing when equipped motive and that provides sufficient il- with a replacement locomotive horn,

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provided the replacement locomotive angle no greater than 20 degrees from horn is of the same model as the loco- the center line of the track, and ori- motive horn that was replaced and the ented with respect to the sound source mounting location and type of mount- according to the manufacturer’s rec- ing are the same. ommendations. The observer shall not (c) Testing of the locomotive horn stand between the microphone and the sound level shall be in accordance with horn. the following requirements: (8) Background noise shall be mini- (1) A properly calibrated sound level mal: the sound level at the test site im- meter shall be used that, at a min- mediately before and after each horn imum, complies with the requirements sounding event shall be at least 10 of International Electrotechnical Com- dB(A) below the level measured during mission (IEC) Standard 61672–1 (2002–05) the horn sounding. for a Class 2 instrument. (9) Measurement procedures. The sound (2) An acoustic calibrator shall be level meter shall be set for A-weighting used that, at a minimum, complies with slow exponential response and with the requirements of IEC standard shall be calibrated with the acoustic 60942 (1997–11) for a Class 2 instrument. calibrator immediately before and (3) The manufacturer’s instructions after compliance tests. Any change in pertaining to mounting and orienting the before and after calibration levels the microphone; positioning of the ob- shall be less than 0.5 dB. After the out- server; and periodic factory recalibra- put from the locomotive horn system tion shall be followed. has reached a stable level, the A- (4) A microphone windscreen shall be weighted equivalent sound level (slow used and tripods or similar microphone response) for a 10-second duration mountings shall be used that minimize (LAeq, 10s) shall be obtained either di- interference with the sound being rectly using an integrating-averaging measured. sound level meter, or recorded once per (5) The test site shall be free of large second and calculated indirectly. The reflective structures, such as barriers, arithmetic-average of a series of at hills, billboards, tractor trailers or least six such 10-second duration read- other large vehicles, locomotives or ings shall be used to determine compli- rail cars on adjacent tracks, bridges or ance. The standard deviation of the buildings, within 200 feet to the front readings shall be less than 1.5 dB. and sides of the locomotive. The loco- (10) Written reports of locomotive motive shall be positioned on straight, horn testing required by this part shall level track. be made and shall reflect horn type; (6) Measurements shall be taken only the date, place, and manner of testing; when ambient air temperature is be- and sound level measurements. These tween 32 degrees and 104 degrees Fahr- reports, which shall be signed by the enheit inclusively; relative humidity is person who performs the test, shall be between 20 percent and 95 percent in- retained by the railroad, at a location clusively; wind velocity is not more of its choice, until a subsequent loco- than 12 miles per hour and there is no motive horn test is completed and shall precipitation. be made available, upon request, to (7) With the exception of cab-mount- FRA as provided by 49 U.S.C. 20107. ed or low-mounted horns, the micro- (d) This section does not apply to lo- phone shall be located 100 feet forward comotives of rapid transit operations of the front knuckle of the locomotive, which are otherwise subject to this 15 feet above the top of the rail, at an part. angle no greater than 20 degrees from the center line of the track, and ori- [71 FR 47666, Aug. 17, 2006] ented with respect to the sound source according to the manufacturer’s rec- § 229.131 Sanders. ommendations. For cab-mounted and (a) Prior to departure from an initial low-mounted horns, the microphone terminal, each locomotive, except for shall be located 100 feet forward of the MU locomotives, shall be equipped front knuckle of the locomotive, four with operative sanders that deposit feet above the top of the rail, at an sand on each rail in front of the first

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power operated wheel set in the direc- handled in accordance with the re- tion of movement or shall be handled quirements contained in § 229.9. in accordance with the requirements (d) A locomotive being handled under contained in § 229.9. the provisions contained in paragraph (b) A locomotive being used in road (b) and (c)(1) of this section shall be service with sanders that become inop- tagged in accordance with § 229.9(a). erative after departure from an initial [72 FR 59223, Oct. 19, 2007] terminal shall be handled in accord- ance with the following: § 229.133 Interim locomotive con- (1) A lead locomotive being used in spicuity measures—auxiliary exter- road service that experiences inoper- nal lights. ative sanders after departure from an (a) A locomotive at the head of a initial terminal may continue in serv- train or other movement is authorized ice until the earliest of the following to be equipped with auxiliary external occurrences: lights, additional to the headlight re- (i) Arrival at the next initial ter- quired by § 229.125, for the purpose of minal; improved conspicuity. A locomotive (ii) Arrival at a location where it is that is equipped with auxiliary exter- placed in a facility with a sand delivery nal lights in conformance with the system; specifications or performance stand- (iii) The next periodic inspection ards set forth in paragraph (b) of this under § 229.23; or section on the date of issuance of a (iv) Fourteen calendar days from the final rule that requires additional or date the sanders are first discovered to other external lights on locomotives be inoperative; and for improved conspicuity, as required (2) A trailing locomotive being used by section 202(u) of the Federal Rail- in road service that experiences inoper- road Safety Act of 1970, shall be ative sanders after departure from an deemed to conform to the requirements initial terminal may continue in serv- of the final rule for four years fol- ice until the earliest of the following lowing the date of issuance of that occurrence: final rule. (b) Each qualifying arrangement of (i) Arrival at the next initial ter- auxiliary external lights shall conform minal; to one of the following descriptions: (ii) Arrival at a location where it is (1) Strobe lights. (i) Strobe lights shall placed in a facility with a sand delivery consist of two white stroboscopic system; or lights, each with ‘‘effective intensity,’’ (iii) The next periodic inspection as defined by the Illuminating Engi- under § 229.23. neering Society’s Guide for Calculating (c) A locomotive being used in the Effective Intensity of Flashing Sig- switching service shall be equipped nal Lights (November 1964), of at least with operative sanders that deposit 500 candela. sand on each rail in front of the first (ii) The flash rate of strobe lights power operated wheel set in the direc- shall be at least 40 flashes per minute tion of movement. If the sanders be- and at most 180 flashes per minute. come inoperative, the locomotive shall (iii) Strobe lights shall be placed at be handled in accordance with the fol- the front of the locomotive, at least 48 lowing: inches apart, and at least 36 inches (1) A locomotive being used in above the top of the rail. switching service at a location not (2) Oscillating light. (i) An oscillating equipped with a sand delivery system light shall consist of: may continue in service for seven cal- (A) One steadily burning white light endar days from the date the sanders producing at least 200,000 candela in a are first discovered inoperative or until moving beam that depicts a circle or a its next periodic inspection under horizontal figure ‘‘8’’ to the front, § 229.23, which ever occurs first; and about the longitudinal centerline of (2) A locomotive being used in the locomotive; or switching service at locations equipped (B) Two or more white lights pro- with a sand delivery system shall be ducing at least 200,000 candela each, at

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one location on the front of the loco- were ordered for installation on that motive, that flash alternately with locomotive prior to January 1, 1996, is beams within five degrees horizontally considered in compliance with to either side of the longitudinal cen- § 229.125(d)(1) through (3). terline of the locomotive. (2) Any lead locomotive equipped (ii) An oscillating light may incor- with strobe lights as described in para- porate a device that automatically ex- graph (b)(1) and operated at speeds no tinguishes the white light if display of greater than 40 miles per hour, is con- a light of another color is required to sidered in compliance with protect the safety of railroad oper- § 229.125(d)(1) through (3) until the loco- ations. motive is retired or rebuilt, whichever (3) Crossing lights. (i) Crossing lights comes first. shall consist of two white lights, placed (3) Any lead locomotive equipped at the front of the locomotive, at least with two white auxiliary lights spaced 36 inches above the top of the rail. at least 44 inches apart on at least one (ii) Crossing lights shall be spaced at axis which was equipped with these least 36 inches apart if the vertical dis- auxiliary lights before May 30, 1994, tance from the headlight to the hori- will be considered in compliance with zontal axis of the ditch lights is 60 § 229.125(d) (1) through (3) until the lo- inches or more. comotive is retired or rebuilt, which- (iii) Crossing lights shall be spaced at ever comes first. least 60 inches apart if the vertical dis- tance from the headlight to the hori- [58 FR 6902, Feb. 3, 1993, as amended at 59 FR zontal axis of the ditch lights is less 24963, May 13, 1994; 59 FR 39705, Aug. 4, 1994; than 60 inches. 61 FR 8887, Mar. 6, 1996; 77 FR 21348, Apr. 9, (iv) Each crossing light shall produce 2012] at least 200,000 candela, either steadily § 229.135 Event recorders. burning or alternately flashing. (v) The flash rate of crossing lights (a) Duty to equip and record. Except as shall be at least 40 flashes per minute provided in paragraphs (c) and (d) of and at most 180 flashes per minute. this section, a train operated faster (vi) Crossing lights shall be focused than 30 miles per hour shall have an in- horizontally within 15 degrees of the service event recorder, of the type de- longitudinal centerline of the loco- scribed in paragraph (b) of this section, motive. in the lead locomotive. The presence of (4) Oscillating light. (i) An oscillating the event recorder shall be noted on light shall consist of: Form FRA F6180–49A (by writing the (A) One steadily burning white light make and model of event recorder with producing at least 200,000 candela in a which the locomotive is equipped) moving beam that depicts a circle or a under the REMARKS section, except horizontal figure ‘‘8’’ to the front, that an event recorder designed to about the longitudinal centerline of allow the locomotive to assume the the locomotive; or lead position only if the recorder is (B) Two or more white lights pro- properly functioning is not required to ducing at least 200,000 candela each, at have its presence noted on Form FRA one location on the front of the loco- F6180–49A. For the purpose of this sec- motive, that flash alternately with tion, ‘‘train’’ includes a locomotive or beams within five degrees horizontally group of locomotives with or without to either side of the longitudinal cen- cars. The duty to equip the lead loco- terline of the locomotive. motive may be met with an event re- (ii) An oscillating light may incor- corder located elsewhere than the lead porate a device that automatically ex- locomotive provided that such event tinguishes the white light if display of recorder monitors and records the re- a light of another color is required to quired data as though it were located protect the safety of railroad oper- in the lead locomotive. The event re- ations. corder shall record the most recent 48 (c)(1) Any lead locomotive equipped hours of operation of the electrical sys- with oscillating lights as described in tem of the locomotive on which it is in- paragraph (b)(2) of this section that stalled.

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(b) Equipment requirements. Event re- module mounted behind and below the corders shall monitor and record data top of the collision posts and above the elements required by this paragraph platform level is deemed to be mounted with at least the accuracy required of ‘‘for its maximum protection.’’) The the indicators displaying any of the re- event recorder shall record, and the quired elements to the engineer. certified crashworthy event recorder (1) A lead locomotive originally or- memory module shall retain, the fol- dered before October 1, 2006, and placed lowing data elements: in service before October 1, 2009, includ- (i) Train speed; ing a controlling remote distributed (ii) Selected direction of motion; power locomotive, a lead manned help- (iii) Time; er locomotive, a DMU locomotive, and (iv) Distance; an MU locomotive, except as provided (v) Throttle position; in paragraphs (c) and (d) of this sec- (vi) Applications and operations of tion, shall have an in-service event re- the train automatic air brake, includ- corder that records the following data ing emergency applications. The sys- elements: tem shall record, or provide a means of (i) Train speed; determining, that a brake application (ii) Selected direction of motion; or release resulted from manipulation (iii) Time; of brake controls at the position nor- (iv) Distance; mally occupied by the locomotive engi- (v) Throttle position; neer. In the case of a brake application (vi) Applications and operations of or release that is responsive to a com- the train automatic air brake; mand originating from or executed by (vii) Applications and operations of an on-board computer (e.g., electronic the independent brake; braking system controller, locomotive (viii) Applications and operations of electronic control system, or train con- the dynamic brake, if so equipped; and trol computer), the system shall (ix) Cab signal aspect(s), if so record, or provide a means of deter- equipped and in use. mining, the involvement of any such (2) A locomotive originally manufac- computer; tured before October 1, 2006, and (vii) Applications and operations of equipped with an event recorder that the independent brake; uses magnetic tape as its recording me- (viii) Applications and operations of dium shall have the recorder removed the dynamic brake, if so equipped; from service on or before October 1, (ix) Cab signal aspect(s), if so 2009 and replaced with an event re- equipped and in use; corder with a certified crashworthy (x) End-of-train (EOT) device loss of event recorder memory module that communication front to rear and rear meets the requirements of appendix D to front; of this part and that records at least (xi) Electronic controlled pneumatic the same number of data elements as braking (ECP) message (and loss of the recorder it replaces. such message), if so equipped; (3) A lead locomotive, a lead manned (xii) EOT armed, emergency brake helper locomotive, and a controlling command, emergency brake applica- remotely distributed power loco- tion; motive, other than a DMU or MU loco- (xiii) Indication of EOT valve failure; motive, originally ordered on or after (xiv) EOT brake pipe pressure (EOT October 1, 2006 or placed in service on and ECP devices); or after October 1, 2009, shall be (xv) EOT marker light on/off; equipped with an event recorder with a (xvi) EOT ‘‘low battery’’ status; certified crashworthy event recorder (xvii) Position of on/off switch for memory module that meets the re- headlights on lead locomotive; quirements of Appendix D of this part. (xviii) Position of on/off switch for The certified event recorder memory auxiliary lights on lead locomotive; module shall be mounted for its max- (xix) Horn control handle activation; imum protection. (Although other (xx) Locomotive number; mounting standards may meet this (xxi) Locomotive automatic brake standard, an event recorder memory valve cut in;

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(xxii) Locomotive position in consist neer. In the case of a brake application (lead or trail); or release that is responsive to a com- (xxiii) Tractive effort; mand originating from or executed by (xxiv) Cruise control on/off, if so an on-board computer (e.g., electronic equipped and in use; and braking system controller, locomotive (xxv) Safety-critical train control electronic control system, or train con- data routed to the locomotive engi- trol computer), the system shall neer’s display with which the engineer record, or provide a means of deter- is required to comply, specifically in- mining, the involvement of any such cluding text messages conveying man- computer; datory directives and maximum au- (vii) Applications and operations of thorized speed. The format, content, the independent brake, if so equipped; and proposed duration for retention of (viii) Applications and operations of such data shall be specified in the the dynamic brake, if so equipped; Product Safety Plan or PTC Safety (ix) Cab signal aspect(s), if so Plan submitted for the train control equipped and in use; system under subparts H or I, respec- (x) Emergency brake application(s); tively, of part 236 of this chapter, sub- (xi) Wheel slip/slide alarm activation ject to FRA approval under this para- (with a property-specific minimum du- graph. If it can be calibrated against ration); other data required by this part, such (xii) Lead locomotive headlight acti- train control data may, at the election vation switch on/off; of the railroad, be retained in a sepa- (xiii) Lead locomotive auxiliary rate certified crashworthy memory lights activation switch on/off; module. (xiv) Horn control handle activation; (4) A DMU locomotive and an MU lo- (xv) Locomotive number; comotive originally ordered on or after (xvi) Locomotive position in consist October 1, 2006 or placed in service on (lead or trail); or after October 1, 2009, shall be (xvii) Tractive effort; equipped with an event recorder with a (xviii) Brakes apply summary train certified crashworthy event recorder line; memory module that meets the re- (xix) Brakes released summary train quirements of Appendix D of this part. line; The certified event recorder memory (xx) Cruise control on/off, if so module shall be mounted for its max- equipped and used; and imum protection. (Although other (xxi) Safety-critical train control mounting standards may meet this data routed to the locomotive engi- standard, an event recorder memory neer’s display with which the engineer module mounted behind the collision is required to comply, specifically in- posts and above the platform level is cluding text messages conveying man- deemed to be mounted ‘‘for its max- datory directives and maximum au- imum protection.’’) The event recorder thorized speed. The format, content, shall record, and the certified crash- and proposed duration for retention of worthy event recorder memory module such data shall be specified in the shall retain, the following data ele- Product Safety Plan or PTC Safety ments: Plan submitted for the train control (i) Train speed; system under subparts H or I, respec- (ii) Selected direction of motion; tively, of part 236 of this chapter, sub- (iii) Time; ject to FRA approval under this para- (iv) Distance; graph. If it can be calibrated against (v) Throttle position; other data required by this part, such (vi) Applications and operations of train control data may, at the election the train automatic air brake, includ- of the railroad, be retained in a sepa- ing emergency applications. The sys- rate certified crashworthy memory tem shall record, or provide a means of module. determining, that a brake application (5) A locomotive equipped with an or release resulted from manipulation event recorder that is remanufactured, of brake controls at the position nor- as defined in this part, on or after Oc- mally occupied by the locomotive engi- tober 1, 2007, shall be equipped with an

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event recorder with a certified crash- corder, or any other locomotive- worthy event recorder memory module mounted recording device or devices that meets the requirements of appen- designed to record information con- dix D to this part and is capable of re- cerning the functioning of a loco- cording, at a minimum, the same data motive or train, is involved in an acci- as the recorder that was on the loco- dent/incident that is required to be re- motive before it was remanufactured. ported to FRA under part 225 of this (6) An event recorder originally man- chapter, the railroad that was using ufactured after January 1, 2010, that is the locomotive at the time of the acci- installed on any locomotive identified dent shall, to the extent possible, and in paragraph (b)(1) of this section shall to the extent consistent with the safe- be an event recorder with a certified ty of life and property, preserve the crashworthy event recorder memory data recorded by each such device for module that meets the requirements of analysis by FRA. This preservation re- appendix D to this part and that is ca- quirement permits the railroad to ex- pable of recording, at a minimum, the tract and analyze such data, provided same data as the event recorder that was previously on the locomotive. the original downloaded data file, or an (c) Removal from service. Notwith- unanalyzed exact copy of it, shall be standing the duty established in para- retained in secure custody and shall graph (a) of this section to equip cer- not be utilized for analysis or any tain locomotives with an in-service other purpose except by direction of event recorder, a railroad may remove FRA or the National Transportation an event recorder from service and, if a Safety Board. This preservation re- railroad knows that an event recorder quirement shall expire one (1) year is not monitoring or recording required after the date of the accident unless data, shall remove the event recorder FRA or the Board notifies the railroad from service. When a railroad removes in writing that the data are desired for an event recorder from service, a quali- analysis. fied person shall record the date that (f) Relationship to other laws. Nothing the device was removed from service on in this section is intended to alter the Form FRA F6180–49A, under the RE- legal authority of law enforcement of- MARKS section, unless the event re- ficials investigating potential viola- corder is designed to allow the loco- tion(s) of State criminal law(s), and motive to assume the lead position nothing in this chapter is intended to only if the recorder is properly func- alter in any way the priority of Na- tioning. tional Transportation Safety Board in- (d) Response to defective equipment. vestigations under 49 U.S.C. 1131 and Notwithstanding the duty established 1134, nor the authority of the Secretary in paragraph (a) of this section to equip of Transportation to investigate rail- certain locomotives with an in-service road accidents under 49 U.S.C. 5121, event recorder, a locomotive on which 5122, 20107, 20111, 20112, 20505, 20702, the event recorder has been taken out 20703, and 20902. of service as provided in paragraph (c) (g) Disabling event recorders. Except as of this section may remain as the lead locomotive only until the next cal- provided in paragraph (c) of this sec- endar-day inspection. A locomotive tion, any individual who willfully dis- with an inoperative event recorder is ables an event recorder is subject to not deemed to be in improper condi- civil penalty and to disqualification tion, unsafe to operate, or a non-com- from performing safety-sensitive func- plying locomotive under §§ 229.7 and tions on a railroad as provided in 229.9, and, other than the requirements § 218.55 of this chapter, and any indi- of appendix D of this part, the inspec- vidual who tampers with or alters the tion, maintenance, and testing of event data recorded by such a device is sub- recorders are limited to the require- ject to a civil penalty as provided in ments set forth in §§ 229.25(e) and appendix B of part 218 of this chapter 229.27(d). and to disqualification from per- (e) Preserving accident data. If any lo- forming safety-sensitive functions on a comotive equipped with an event re- railroad if found unfit for such duties

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under the procedures in part 209 of this vals during the course of their work chapter. shift; [45 FR 21109, Mar. 31, 1980, as amended at 75 (iii) Locomotives engaged in transfer FR 2697, Jan. 15, 2010] service on which employees have ready access to railroad-provided sanitation § 229.137 Sanitation, general require- facilities outside of the locomotive, ments. that meet otherwise applicable sanita- (a) Sanitation compartment. Except as tion standards, at frequent intervals provided in paragraph (b) of this sec- during the course of their work shift; tion, all lead locomotives in use shall (iv) Locomotives of Class III rail- be equipped with a sanitation compart- roads engaged in operations other than ment. Each sanitation compartment switching service or transfer service, shall be: that are not equipped with a sanitation (1) Adequately ventilated; compartment as of June 3, 2002. Where (2) Equipped with a door that: an unequipped locomotive of a Class III (i) Closes, and railroad is engaged in operations other (ii) Possesses a modesty lock by [18 than switching or transfer service, em- months after publication of the final ployees shall have ready access to rail- rule]; road-provided sanitation facilities out- (3) Equipped with a toilet facility, as side of the locomotive that meet other- defined in this part; wise applicable sanitation standards, (4) Equipped with a washing system, at frequent intervals during the course as defined in this part, unless the rail- of their work shift, or the railroad road otherwise provides the washing shall arrange for enroute access to system to employees upon reporting such facilities; for duty or occupying the cab for duty, (v) Locomotives of tourist, scenic, or where the locomotive is equipped historic, or excursion railroad oper- with a stationary sink that is located ations, which are otherwise covered by outside of the sanitation compartment; this part because they are not pro- (5) Equipped with toilet paper in suf- pelled by steam power and operate on ficient quantity to meet employee the general railroad system of trans- needs, unless the railroad otherwise portation, but on which employees provides toilet paper to employees have ready access to railroad-provided upon reporting for duty or occupying sanitation facilities outside of the lo- the cab for duty; and comotive, that meet otherwise applica- (6) Equipped with a trash receptacle, ble sanitation standards, at frequent unless the railroad otherwise provides intervals during the course of their portable trash receptacles to employ- work shift; and ees upon reporting for duty or occu- (vi) Except as provided in § 229.14 of pying the cab for duty. this part, DMU, MU, and control cab (b) Exceptions. (1) Paragraph (a) of locomotives designed for passenger oc- this section shall not apply to: cupancy and used in intercity push-pull (i) Locomotives engaged in com- service that are not equipped with muter service or other short-haul pas- sanitation facilities, where employees senger service and commuter work have ready access to railroad-provided trains on which employees have ready sanitation in other passenger cars on access to railroad-provided sanitation the train at frequent intervals during facilities outside of the locomotive or the course of their work shift. elsewhere on the train, that meet oth- (2) Paragraph (a)(3) of this section erwise applicable sanitation standards, shall not apply to: at frequent intervals during the course (i) Locomotives of a Class I railroad of their work shift; which, prior to [the effective date of (ii) Locomotives engaged in switch- this section], were equipped with a toi- ing service on which employees have let facility in which human waste falls ready access to railroad-provided sani- via gravity to a holding tank where it tation facilities outside of the loco- is stored and periodically emptied, motive, that meet otherwise applicable which does not conform to the defini- sanitation standards, at frequent inter- tion of toilet facility set forth in this

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section. For these locomotives, the re- motive, since its last daily inspection quirements of this section pertaining required by this part; to the type of toilet facilities required (3) Upon reasonable request of a loco- shall be effective as these toilets be- motive crewmember operating a loco- come defective or are replaced with motive with a defective or unsanitary conforming units, whichever occurs toilet facility, the railroad arranges for first. All other requirements set forth access to a toilet facility outside the in this section shall apply to these lo- locomotive that meets otherwise appli- comotives as of June 3, 2002; and cable sanitation standards; (ii) With respect to the locomotives (4) If the sanitation compartment is of a Class I railroad which, prior to unsanitary, the sanitation compart- June 3, 2002, were equipped with a sani- tation system other than the units ad- ment door shall be closed and adequate dressed by paragraph (b)(2)(i) of this ventilation shall be provided in the cab section, that contains and removes so that it is habitable; and human waste by a method that does (5) The locomotive shall not continue not conform with the definition of toi- in service in the lead position beyond a let facility as set forth in this section, location where the defective or unsani- the requirements of this section per- tary condition can be corrected or re- taining to the type of toilet facilities placed with another compliant loco- shall apply on locomotives in use on motive, or the next daily inspection re- July 1, 2003. However, the Class I rail- quired by this part, whichever occurs road subject to this exception shall not first. deliver locomotives with such sanita- (d) Defective, unsanitary toilet facility; tion systems to other railroads for use, use in trailing position. If the railroad in the lead position, during the time determines during the daily inspection between June 3, 2002, and July 1, 2003. required by § 229.21 that a locomotive All other requirements set forth in this toilet facility is defective or is unsani- section shall apply to the locomotives tary, or both, the railroad may use the of this Class I railroad as of June 3, locomotive in trailing position. If the 2002. railroad places the locomotive in trail- (c) Defective, unsanitary toilet facility; ing position, they shall not haul em- prohibition in lead position. Except as ployees in the unit unless the sanita- provided in paragraphs (c)(1) through (5) of this section, if the railroad deter- tion compartment is made sanitary mines during the daily inspection re- prior to occupancy. If the toilet facil- quired by § 229.21 that a locomotive toi- ity is defective and the unit becomes let facility is defective or is unsani- occupied, the railroad shall clearly tary, or both, the railroad shall not use mark the defective toilet facility as the locomotive in the lead position. unavailable for use. The railroad may continue to use a (e) Defective, sanitary toilet facility; use lead locomotive with a toilet facility in switching, transfer service. If the rail- that is defective or unsanitary as of road determines during the daily in- the daily inspection only where all of spection required by § 229.21 that a lo- the following conditions are met: comotive toilet facility is defective, (1) The unsanitary or defective condi- but sanitary, the railroad may use the tion is discovered at a location where locomotive in switching service, as set there are no other suitable locomotives forth in paragraph (b)(1)(ii) of this sec- available for use, ie., where it is not tion, or in transfer service, as set forth possible to switch another locomotive in paragraph (b)(1)(iii) of this section into the lead position, or the location for a period not to exceed 10 days. In is not equipped to clean the sanitation this instance, the railroad shall clearly compartment if unsanitary or repair mark the defective toilet facility as the toilet facility if defective; unavailable for use. After expiration of (2) The locomotive, while noncompli- the 10-day period, the locomotive shall ant, did not pass through a location where it could have been cleaned if un- be repaired or used in the trailing posi- sanitary, repaired if defective, or tion. switched with another compliant loco-

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(f) Lack of toilet paper, washing system, (j) Newly manufactured units; in-cab trash receptacle. If the railroad deter- facilities. All locomotives manufactured mines during the daily inspection re- after June 3, 2002, except switching quired by § 229.21 that the lead loco- units built exclusively for switching motive is not equipped with toilet service and locomotives built exclu- paper in sufficient quantity to meet sively for commuter service, shall be employee needs, or a washing system equipped with a sanitation compart- as required by paragraph (a)(4) of this ment accessible to cab employees with- section, or a trash receptacle as re- out exiting to the out-of-doors for use. quired by paragraph (a)(6) of this sec- No railroad may use a locomotive built tion, the locomotive shall be equipped after June 3, 2002, that does not comply with these items prior to departure. with this subsection. (g) Inadequate ventilation. If the rail- (k) Potable water. The railroad shall road determines during the daily in- utilize potable water where the wash- spection required by § 229.21 that the ing system includes the use of water. sanitation compartment of the lead lo- [67 16050, Apr. 4, 2002, as amended at 71 FR comotive in use is not adequately ven- 61857, Oct. 19, 2006] tilated as required by paragraph (a)(1) of this section, the railroad shall repair § 229.139 Sanitation, servicing require- the ventilation prior to departure, or ments. place the locomotive in trailing posi- (a) The sanitation compartment of tion, in switching service as set forth each lead locomotive in use shall be in paragraph (b)(1)(ii) of this section, sanitary. or in transfer service as set forth in (b) All components required by paragraph (b)(1)(iii) of this section. § 229.137(a) for the lead locomotive in (h) Door closure and modesty lock. If use shall be present consistent with the the railroad determines during the requirements of this part, and shall op- daily inspection required by § 229.21 erate as intended such that: that the sanitation compartment on (1) All mechanical systems shall the lead locomotive is not equipped function; with a door that closes, as required by (2) Water shall be present in suffi- paragraph (a)(2)(i) of this section, the cient quantity to permit flushing; railroad shall repair the door prior to (3) For those systems that utilize departure, or place the locomotive in chemicals for treatment, the chemical trailing position, in switching service (chlorine or other comparable oxidizing as set forth in paragraph (b)(1)(ii) of agent) used to treat waste must be this section, or in transfer service as present; and set forth in paragraph (b)(1)(iii) of this (4) No blockage is present that pre- section. If the railroad determines dur- vents waste from evacuating the bowl. ing the daily inspection required by (c) The sanitation compartment of § 229.21 that the modesty lock required each occupied locomotive used in by paragraph (a)(2)(ii) of this section is switching service pursuant to defective, the modesty lock shall be re- § 229.137(b)(1)(ii), in transfer service paired pursuant to the requirements of pursuant to § 229.137(b)(1)(iii), or in a § 229.139(e). trailing position when the locomotive (i) Equipped units; retention and main- is occupied, shall be sanitary. tenance. Except where a railroad down- (d) Where the railroad uses a loco- grades a locomotive to service in which motive pursuant to § 229.137(e) in it will never be occupied, where a loco- switching or transfer service with a de- motive is equipped with a toilet facil- fective toilet facility, such use shall ity as of [the effective date of the final not exceed 10 calendar days from the rule], the railroad shall retain and date on which the defective toilet facil- maintain the toilet facility in the loco- ity became defective. The date on motive consistent with the require- which the toilet facility becomes defec- ments of this part, including loco- tive shall be entered on the daily in- motives used in switching service pur- spection report. suant to paragraph (b)(1)(ii) of this sec- (e) Where it is determined that the tion, and in transfer service pursuant modesty lock required by § 229.137(a)(2) to paragraph (b)(1)(iii) of this section. is defective, the railroad shall repair

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the modesty lock on or before the next functioning and operating as intended 92-day inspection required by this part. when the locomotive is used as a con- [67 16050, Apr. 4, 2002] trolling locomotive. (f) A controlling locomotive equipped § 229.140 Alerters. with an alerter shall be tested prior to (a) Except for locomotives covered by departure from each initial terminal, part 238 of this chapter, each of the fol- or prior to being coupled as the lead lo- lowing locomotives shall be equipped comotive in a locomotive consist by al- with a functioning alerter as described lowing the warning timing cycle to ex- in paragraphs (b) through (d) of this pire that results in an application of section: the locomotive brakes at a penalty (1) A locomotive that is placed in rate. service for the first time on or after [77 FR 21348, Apr. 9, 2012] June 10, 2013, when used as a control- ling locomotive and operated at speeds § 229.141 Body structure, MU loco- in excess of 25 mph. motives. (2) All controlling locomotives oper- ated at speeds in excess of 25 mph on or (a) MU locomotives built new after after January 1, 2017. April 1, 1956 that are operated in trains (b) The alerter on locomotives sub- having a total empty weight of 600,000 ject to paragraph (a) of this section pounds or more shall have a body shall be equipped with a manual reset structure designed to meet or exceed and the alerter warning timing cycle the following minimum specifications: shall automatically reset as the result (1) The body structure shall resist a of any of the following operations, and minimum static end load of 800,000 at least three of the following auto- pounds at the rear draft stops ahead of matic resets shall be functional at any the bolster on the center line of draft, given time: without developing any permanent de- (1) Movement of the throttle handle; formation in any member of the body (2) Movement of the dynamic brake structure. control handle; (2) An anti-climbing arrangement (3) Movement of the operator’s horn shall be applied at each end that is de- activation handle; signed so that coupled MU locomotives (4) Movement of the operator’s bell under full compression shall mate in a activation switch; manner that will resist one locomotive (5) Movement of the automatic brake from climbing the other. This arrange- valve handle; or ment shall resist a vertical load of (6) Bailing the independent brake by 100,000 pounds without exceeding the depressing the independent brake valve handle. yield point of its various parts or its (c) All alerters shall provide an audio attachments to the body structure. alarm upon expiration of the timing (3) The coupler carrier and its con- cycle interval. An alerter on a loco- nections to the body structure shall be motive that is placed in service for the designed to resist a vertical downward first time on or after June 10, 2013, thrust from the coupler shank of 100,000 shall display a visual indication to the pounds for any horizontal position of operator at least five seconds prior to the coupler, without exceeding the an audio alarm. The visual indication yield points of the materials used. on an alerter so equipped shall be visi- When yielding type of coupler carrier ble to the operator from their normal is used, an auxiliary arrangement shall position in the cab. be provided that complies with these (d) Alerter warning timing cycle in- requirements. terval shall be within 10 seconds of the (4) The outside end of each loco- calculated setting utilizing the for- motive shall be provided with two main mula (timing cycle specified in seconds vertical members, one at each side of = 2400 ÷ track speed specified in miles the diaphragm opening; each main per hour). member shall have an ultimate shear (e) Any locomotive that is equipped value of not less than 300,000 pounds at with an alerter shall have the alerter a point even with the top of the

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underframe member to which it is at- thrust from the coupled shank of 75,000 tached. The attachment of these mem- pounds for any horizontal position of bers at bottom shall be sufficient to de- the coupler, without exceeding the velop their full shear value. If rein- yield points of the materials used. forcement is used to provide the shear When a yielding type of coupler carrier value, the reinforcement shall have full is used, an auxiliary arrangement shall value for a distance of 18 inches up be provided that complies with these from the underframe connection and requirements. then taper to a point approximately 30 (4) The outside end of each MU loco- inches above the underframe connec- motive shall be provided with two main tion. vertical members, one at each side of (5) The strength of the means of lock- the diaphragm opening; each main ing the truck to the body shall be at member shall have an ultimate shear least the equivalent of an ultimate value of not less than 200,000 pounds at shear value of 250,000 pounds. a point even with the top of the (6) On or after November 8, 1999, para- graph (a)(1) of this section does not underframe member to which it is at- apply to ‘‘passenger equipment’’ as de- tached. The attachment of these mem- fined in § 238.5 of this chapter, unless bers at bottom shall be sufficient to de- such equipment is excluded from the velop their full shear value, the rein- requirements of §§ 238.203 through forcement shall have full value for a 238.219, and § 238.223 of this chapter by distance of 18 inches up from the operation of § 238.201(a)(2) of this chap- underframe connection and then taper ter. Paragraphs (a)(2) through (a)(4) of to a point approximately 30 inches this section do not apply to ‘‘passenger above the underframe connection. equipment’’ as defined in § 238.5 of this (5) The strength of the means of lock- chapter that is placed in service for the ing the truck to the body shall be at first time on or after September 8, 2000, least the equivalent of an ultimate unless such equipment is excluded from shear value of 250,000 pounds. the requirements of §§ 238.203 through (6) On or after November 8, 1999, para- 238.219, and § 238.223 of this chapter by graph (a)(1) of this section does not operation of § 238.201(a)(2) of this chap- apply to ‘‘passenger equipment’’ as de- ter. fined in § 238.5 of this chapter, unless (b) MU locomotives built new after such equipment is excluded from the April 1, 1956 that are operated in trains requirements of §§ 238.203 through having a total empty weight of less 238.219, and § 238.223 of this chapter by than 600,000 pounds shall have a body operation of § 238.201(a)(2) of this chap- structure designed to meet or exceed ter. Paragraphs (a)(2) through (a)(4) of the following minimum specifications: this section do not apply to ‘‘passenger (1) The body structure shall resist a equipment’’ as defined in § 238.5 of this minimum static end load of 400,000 chapter that is placed in service for the pounds at the rear draft stops ahead of first time on or after September 8, 2000, the bolster on the center line of draft, unless such equipment is excluded from without developing any permanent de- formation in any member of the body the requirements of §§ 238.203 through structure. 238.219, and § 238.223 of this chapter by (2) An anti-climbing arrangement operation of § 238.201(a)(2) of this chap- shall be applied at each end that is de- ter. signed so that coupled locomotives [45 FR 21109, Mar. 31, 1980, as amended at 71 under full compression shall mate in a FR 36912, June 28, 2006] manner that will resist one locomotive from climbing the other. This arrange- Subpart D—Locomotive Crash- ment shall resist a vertical load of 75,000 pounds without exceeding the worthiness Design Require- yield point of its various parts or its ments attachments to the body structure. (3) The coupler carrier and its con- § 229.201 Purpose and scope. nections to the body structure shall be (a) Purpose. The purpose of this sub- designed to resist a vertical downward part is to help protect locomotive cab

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occupants in the event that a loco- tain a copy of the incorporated stand- motive collides with another loco- ard from the Association of American motive or piece of on-track equipment, Railroads, 50 F Street NW, Washington, a shifted load on a freight car on an ad- DC 20001. You may inspect a copy of jacent parallel track, or a highway ve- the incorporated standard at the Fed- hicle at a highway-rail grade crossing. eral Railroad Administration, Docket (b) This subpart prescribes minimum Clerk, 1200 New Jersey Avenue, SE., crashworthiness standards for loco- Washington, DC 20590 or at the Na- motives. It also establishes the require- tional Archives and Records Adminis- ments for obtaining FRA approval of: tration (NARA). For information on new locomotive crashworthiness design the availability of this material at standards; changes to FRA-approved NARA, call 202–741–6030, or go to http:// locomotive crashworthiness design www.archives.gov/federal register/ standards; and alternative locomotive l crashworthiness designs. codeloflfederallregulations/ ibrllocations.html; [71 FR 36912, June 28, 2006] (2) Meeting new design standards and changes to existing design standards § 229.203 Applicability. approved by FRA pursuant to § 229.207; (a) Except as provided in paragraphs or (b) and (c) of this section, this subpart (3) Meeting an alternative crash- applies to all locomotives manufac- worthiness design approved by FRA tured or remanufactured on or after pursuant to § 229.209. January 1, 2009. (b) Cab cars and power cars. The re- (b) A monocoque or semi-monocoque quirements of this subpart do not apply design locomotive must be designed in to cab control cars, MU locomotives, accordance with the provisions of AAR DMU locomotives, and semi-perma- S–580, applicable to those types of loco- nently coupled power cars that are sub- motives, in accordance with ject to the design requirements for §§ 238.405(a), 238.409 and 238.411 of this such locomotives set forth in part 238 chapter, or in accordance with a stand- of this chapter. ard or design approved by FRA as pro- (c) Locomotives used in designated serv- viding at least equivalent safety. ice. Locomotives used in designated (c) A narrow-nose locomotive must service are exempt from the require- be designed in accordance with the pro- ments of this subpart, with the excep- visions of AAR S–580, applicable to tion of § 229.233 (minimum require- that type of locomotive (notwith- ments for fuel tank design), which re- standing any limitation of scope con- mains applicable to such locomotives. tained in that standard) or in accord- [71 FR 36912, June 28, 2006] ance with a standard or design ap- proved by FRA as providing at least § 229.205 General requirements. equivalent safety. (a) Each wide-nose locomotive used [71 FR 36912, June 28, 2006, as amended at 74 in occupied service must meet the min- FR 25173, May 27, 2009] imum crashworthiness performance re- quirements set forth in Appendix E of § 229.206 Design requirements. this part. Compliance with those per- formance criteria must be established Each locomotive used in occupied by: service must meet the minimum anti- (1) Meeting an FRA-approved crash- climber, emergency egress, emergency worthiness design standard (including interior lighting, and interior configu- AAR S–580, Locomotive Crash- ration design requirements set forth in worthiness Requirements). The Direc- AAR S–580 (incorporated by reference, tor of the Federal Register approves in- see § 229.205). corporation by reference of the AAR S– [71 FR 36912, June 28, 2006] 580 (revised July 2005), ‘‘Locomotive Crashworthiness Requirements,’’ in this section in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may ob-

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§ 229.207 New locomotive crash- Associate Administrator for Safety, worthiness design standards and Federal Railroad Administration, 1200 changes to existing FRA-approved New Jersey Avenue, SE., Mail Stop 25, locomotive crashworthiness design Washington, DC 20590, and must con- standards. tain the following: (a) General. The following procedures (1) The name, title, address, tele- govern consideration and action upon phone number and e-mail address of requests for FRA approval of new loco- the primary person to be contacted motive crashworthiness design stand- with regard to review of the petition; ards and changes to existing FRA-ap- (2) The proposed change, in detail; proved locomotive crashworthiness de- (3) The intended type of service for sign standards, including AAR S–580 locomotives built with the proposed (incorporated by reference, see change; and § 229.205). Only a standards body which (4) Appropriate data and analysis has adopted an FRA-approved loco- showing how the resulting standard ei- motive crashworthiness design stand- ther satisfies the requirements for the ard may initiate these procedures for type of locomotive set forth in § 229.205 FRA approval of changes to the stand- or provides at least an equivalent level ard. of safety. Types of data and analysis to (b) Petitions for FRA approval of new be considered are described in locomotive crashworthiness design stand- § 229.211(c)(1). ards. Each petition for FRA approval of (d) Petitions for FRA approval of non- a locomotive crashworthiness design substantive changes to the existing FRA- standard must be titled ‘‘Petition for approved crashworthiness design stand- FRA Approval of a New Locomotive ards. (1) Each petition for approval of a Crashworthiness Design Standard,’’ non-substantive change to an FRA-ap- must be submitted to the Associate Ad- proved locomotive crashworthiness de- ministrator for Safety, Federal Rail- sign standard must be titled ‘‘Petition road Administration, 1200 New Jersey for FRA Approval of Non-substantive Avenue, SE., Mail Stop 25, Washington, Changes to a Locomotive Crash- DC 20590, and must contain the fol- worthiness Design Standard,’’ must be lowing: submitted to the Associate Adminis- (1) The name, title, address, tele- trator for Safety, Federal Railroad Ad- phone number and e-mail address of ministration, 1200 New Jersey Avenue, the primary person to be contacted SE., Mail Stop 25, Washington, DC with regard to review of the petition; 20590, and must contain the following: (2) The proposed locomotive design (i) The name, title, address, tele- standard, in detail; phone number and e-mail address of (3) The intended type of service for the primary person to be contacted locomotives designed under the pro- with regard to review of the petition; posed standard; and (ii) The proposed change, in detail; (4) Appropriate data and analysis and showing how the proposed design (iii) Detailed explanation of how the standard either satisfies the require- proposed change results in a non-sub- ments of § 229.205 for the type of loco- stantive change to the existing FRA- motive design or provides at least an approved crashworthiness design stand- equivalent level of safety. Types of ard. data and analysis to be considered are (2) If FRA determines that the pro- described in § 229.211(c)(1). posed change is substantive, FRA will (c) Petitions for FRA approval of sub- process the petition in accordance with stantive changes to an FRA-approved lo- paragraph (c) of this section. comotive crashworthiness design stand- ard. Each petition for approval of a [71 FR 36912, June 28, 2006, as amended at 74 substantive change to an FRA-ap- FR 25173, May 27, 2009] proved locomotive crashworthiness de- sign standard must be titled ‘‘Petition § 229.209 Alternative locomotive crash- for FRA Approval of Changes to a Lo- worthiness designs. comotive Crashworthiness Design (a) General. The following procedures Standard,’’ must be submitted to the govern consideration and action upon

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requests for FRA approval of loco- ington, DC 20590, and must contain the motive crashworthiness designs which assigned docket number which ap- are not consistent with any FRA-ap- peared in the FEDERAL REGISTER for proved locomotive crashworthiness de- that proceeding. The form of such sub- sign standard. mission may be in written or electronic (b) Petitions for FRA approval of alter- form consistent with the standards and native locomotive crashworthiness de- requirements established by the Fed- signs. Each petition for FRA approval eral Docket Management System and of an alternative locomotive crash- posted on its Web site at http:// worthiness design must be titled ‘‘Pe- www.regulations.gov. tition for FRA Approval of Alternative (3) In the event FRA requires addi- Locomotive Crashworthiness Design,’’ tional information to appropriately must be submitted to the Associate Ad- consider the petition, FRA will con- ministrator for Safety, Federal Rail- duct a hearing on the petition in ac- road Administration, 1200 New Jersey cordance with the procedures provided Avenue, SE., Mail Stop 25, Washington, in § 211.25 of this chapter. DC 20590, and must contain the fol- (c) Disposition of petitions. (1) In order lowing: to determine compliance with the per- (1) The name, title, address, tele- formance criteria in appendix E of this phone number and e-mail address of part, FRA will consider proper docu- the primary person to be contacted mentation of competent engineering with regard to review of the petition; analysis, or practical demonstrations, (2) The proposed locomotive crash- or both which may include validated worthiness design, in detail; computer modeling, structural crush (3) The intended type of service for analysis, component testing, full scale locomotives built under the proposed crash testing in a controlled environ- design; and ment, or any combination of the fore- (4) Appropriate data and analysis going, together with evidence of effec- showing how the design either satisfies tive peer review. the requirements of § 229.205 for the (2) If FRA finds that the petition type of locomotive or provides at least complies with the requirements of this an equivalent level of safety. Types of subpart and that the proposed change data and analysis to be considered are or new design standard satisfies the re- described in § 229.211(c)(1). quirements of § 229.205 for the type of [71 FR 36913, June 28, 2006, as amended at 74 locomotive, the petition will be grant- FR 25173, May 27, 2009] ed, normally within 90 days of its re- ceipt. If the petition is neither granted § 229.211 Processing of petitions. nor denied within 90 days, the petition (a) Federal Register notice. FRA will remains pending for decision. FRA may publish in the FEDERAL REGISTER no- attach special conditions to the grant- tice of receipt of each petition sub- ing of the petition. Following the mitted under § 229.207(b), § 229.207(c), or granting of a petition, FRA may re- § 229.209. open consideration of the petition for (b) Comment. Not later than 60 days cause stated. Any decision granting or from the date of publication of the no- denying a petition is placed in the pub- tice in the FEDERAL REGISTER con- lic docket for the petition. cerning a petition submitted under (3) If FRA finds that the petition §§ 229.207(b), 229.207(c), or 229.209(b), any does not comply with the requirements person may comment on the petition. of this subpart, or that the proposed (1) Each comment must set forth spe- change or new design standard does not cifically the basis upon which it is satisfy the performance criteria con- made, and contain a concise statement tained in Appendix E of this part of the interest of the commenter in the (where applicable), the petition will be proceeding. denied, normally within 90 days of its (2) Each comment must be submitted receipt. If the petition is neither grant- to the U.S. Department of Transpor- ed nor denied within 90 days, the peti- tation Docket Operations (M–30), West tion remains pending for decision. FRA Building Ground Floor, Room W12–140, may re-open a denial of a petition for 1200 New Jersey Avenue, SE., Wash- cause stated.

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(4) When FRA grants or denies a peti- modification to crashworthiness fea- tion, or reopens consideration of the tures required by this subpart. These petition, written notice will be sent to records must be retained for the lesser the petitioner and other interested par- period of: ties and a copy of the notice will be (1) The life of such locomotive, ex- placed in the public docket of this pro- cept that records for a locomotive de- ceeding. stroyed in a rail equipment accident/ incident shall be retained for at least [71 FR 36913, June 28, 2006, as amended at 74 12 months following the accident/inci- FR 25173, May 27, 2009] dent, or § 229.213 Locomotive manufacturing (2) Twenty years after the date on information. which the repair or modification was performed. (a) Each railroad operating a loco- (c) Inspection of records. Each custo- motive subject to the requirements of dian of records referred to in para- this subpart must retain the following graphs (a) and (b) shall, upon request information: by FRA or an FRA-certified State in- (1) The date upon which the loco- spector, make available for inspection motive was manufactured or remanu- and duplication within 7 days, any factured; records referred to in paragraphs (a) (2) The name of the manufacturer or and (b) of this section. remanufacturer of the locomotive; and (d) Third party storage of records. Each (3) The design specification to which custodian of records referred to in the locomotive was manufactured or paragraphs (a) and (b) of this section remanufactured. may delegate storage duties to a third (b) The information required in para- party; however, the custodian retains graph (a) of this section must be lo- all responsibility for compliance with cated permanently in the locomotive this section. cab or be provided within two business days upon request of FRA or an FRA- [71 FR 36914, June 28, 2006] certified State inspector. § 229.217 Fuel tank. [71 FR 36914, June 28, 2006] (a) External fuel tanks. Locomotives equipped with external fuel tanks § 229.215 Retention and inspection of shall, at a minimum, comply with the designs. requirements of AAR S–5506, ‘‘Per- (a) Retention of records—original de- formance Requirements for Diesel signs. Each manufacturer or remanu- Electric Locomotive Fuel Tanks’’ (Oc- facturer of a locomotive subject to this tober 1, 2001), except for section 4.4. subpart shall retain all records of the This paragraph does not apply to loco- original locomotive designs, including motives subject to the fuel tank safety supporting calculations and drawings, requirements of § 238.223 or § 238.423 of pertaining to crashworthiness features this chapter. The Director of the Fed- required by this subpart. These records eral Register approves incorporation must be retained for the lesser period by reference of the AAR S–5506, ‘‘Per- of: formance Requirements for Diesel (1) The life of such locomotive, ex- Electric Locomotive Fuel Tanks’’ (Oc- cept that records for a locomotive de- tober 1, 2001) in this section in accord- stroyed in a rail equipment accident/ ance with 5 U.S.C. 552(a) and 1 CFR incident shall be retained for at least part 51. You may obtain a copy of the 12 months following the accident/inci- incorporated standard from the Asso- dent; or ciation of American Railroads, 50 F (2) Twenty years after the date of Street NW., Washington, DC 20001. You manufacture or, if remanufactured, may inspect a copy of the incorporated twenty years after the date of remanu- standard at the Federal Railroad Ad- facture. ministration, Docket Clerk, 1200 New (b) Retention of records—repairs and Jersey Avenue, SE., Washington, DC modifications. Each owner or lessee of a 20590 or at the National Archives and locomotive subject to this subpart Records Administration (NARA). For shall retain all records of repair or more information on the availability of

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this material at NARA, call 202–741– (i) Adequate information regarding 6030, or go to http://www.archives.gov/ the function and history of the product federallregister/ that it intends to use; codeloflfederallregulations/ (ii) The proposed tests; ibrllocations.html. (iii) The date, time and location of (b) Internal fuel tanks. Locomotives the tests; and equipped with internal fuel tanks shall, (iv) The potential safety con- at a minimum, comply with the re- sequences that will result from oper- quirements of § 238.223(b) of this chap- ating the product for purposes of test- ter. ing. [71 FR 36914, June 28, 2006, as amended at 74 (b) Railroads and vendors shall iden- FR 25173, May 27, 2009] tify all products that are under devel- opment to FRA by October 9, 2012. Subpart E—Locomotive Electronics (c) The exceptions provided in para- graph (a) of this section do not apply to products or product changes that re- SOURCE: 77 FR 21348, Apr. 9, 2012, unless sult in degradation of safety, or a ma- otherwise noted. terial increase in safety-critical functionality. § 229.301 Purpose and scope. (a) The purpose of this subpart is to § 229.305 Definitions. promote the safe design, operation, and As used in this subpart— maintenance of safety-critical, as de- Cohesion is a measure of how strong- fined in § 229.305, electronic locomotive ly-related or focused the responsibil- control systems, subsystems, and com- ities of a system, subsystem, or compo- ponents. nent are. (b) Locomotive control systems or Comingle refers to the act of creating their functions that comingle with systems, subsystems, or components safety critical processor based signal where the systems, subsystems, or and train control systems are regu- components are tightly coupled and lated under part 236 subparts H and I of with low cohesion. this chapter. Component means an electronic ele- ment, device, or appliance (including § 229.303 Applicability. hardware or software) that is part of a (a) The requirements of this subpart system or subsystem. apply to all safety-critical electronic Configuration management control plan locomotive control systems, sub- means a plan designed to ensure that systems, and components (i.e., ‘‘prod- the proper and intended product con- ucts’’ as defined in § 229.305), except for figuration, including the electronic the following: hardware components and software (1) Products that are in service prior version, is documented and maintained to June 8, 2012. through the life-cycle of the products (2) Products that are under develop- in use. ment as of October 9, 2012, and are Executive software means software placed in service prior to October 9, common to all installations of a given 2017. electronic product. It generally is used (3) Products that comingle loco- to schedule the execution of the site- motive control systems with safety specific application programs, run tim- critical processor based signal and ers, read inputs, drive outputs, perform train control systems; self-diagnostics, access and check (4) Products that are used during on- memory, and monitor the execution of track testing within a test facility; and the application software to detect un- (5) Products that are used during on- solicited changes in outputs. track testing outside a test facility, if Initialization refers to the startup approved by FRA. To obtain FRA ap- process when it is determined that a proval of on-track testing outside of a product has all required data input and test facility, a railroad shall submit a the product is prepared to function as request to FRA that provides: intended.

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Loosely coupled means an attribute of Subsystem means a defined portion of systems, referring to an approach to a system. designing interfaces across systems, System refers to any electronic loco- subsystems, or components to reduce motive control system and includes all the interdependencies between them— subsystems and components thereof, as in particular, reducing the risk that the context requires. changes within one system, subsystem, Test facility means a track that is not or component will create unanticipated part of the general railroad system of changes within other system, sub- transportation and is being used exclu- system, or component. sively for the purpose of testing equip- Materials handling refers to explicit ment and has all of its public grade instructions for handling safety-crit- crossings protected. ical components established to comply Tightly Coupled means an attribute of with procedures specified by the rail- systems, referring to an approach to road. designing interfaces across systems, New or next-generation locomotive con- subsystems, or components to maxi- trol system means a locomotive control mize the interdependencies between system using technologies or combina- them. In particular, increasing the risk tions of technologies that are not in that changes within one system, sub- use in revenue service, products that system, or component will create unan- are under development as of October 9, ticipated changes within other system, 2012, are placed into service prior to subsystem, or component. October 9, 2015, or products without es- tablished histories of safe practice. § 229.307 Safety analysis. Product means any safety critical (a) A railroad shall develop a Safety electronic locomotive control system, Analysis (SA) for each product subject subsystem, or component, not includ- to this subpart prior to the initial use ing safety critical processor based sig- of such product on their railroad. nal and train control systems, whose (b) The SA shall: functions are directly related to safe (1) establish and document the min- movement and stopping of the train as imum requirements that will govern well as the associated man-machine the development and implementation interfaces irrespective of the location of all products subject to this subpart, of the control system, subsystem, or and be based on good engineering prac- component. tice and should be consistent with the Revision control means a chain of cus- guidance contained in appendix F of tody regimen designed to positively this part in order to establish that a identify safety-critical components and product’s safety-critical functions will spare equipment availability, including operate with a high degree of con- repair/replacement tracking. fidence in a fail-safe manner; Safety Analysis refers to a formal set (2) Include procedures for immediate of documentation which describes in repair of safety-critical functions; and detail all of the safety aspects of the (3) Be made available to FRA upon product, including but not limited to request. procedures for its development, instal- (c) Each railroad shall comply with lation, implementation, operation, the SA requirements and procedures maintenance, repair, inspection, test- related to the development, implemen- ing, and modification, as well as anal- tation, and repair of a product subject yses supporting its safety claims. to this subpart. Safety-critical, as applied to a function, a system, or any portion thereof, means § 229.309 Safety-critical changes and the correct performance of which is es- failures. sential to safety of personnel or equip- (a) Whenever a planned safety-crit- ment, or both; or the incorrect per- ical design change is made to a product formance of which could cause a haz- that is in use by a railroad and subject ardous condition, or allow a hazardous to this subpart, the railroad shall: condition which was intended to be (1) Notify FRA’s Associate Adminis- prevented by the function or system to trator for Safety of the design changes exist. made by the product supplier;

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(2) Ensure that the SA is updated as (b) FRA may review or audit the SA required; within 60 days of receipt of the notifi- (3) Conduct all safety-critical cation or anytime after the product is changes in a manner that allows the placed in use. If FRA has not notified change to be audited; the railroad of its intent to review or (4) Specify all contractual arrange- audit the SA within the 60-day period, ments with suppliers and private equip- the railroad may assume that FRA ment owners for notification of any does not intend to review or audit, and and all electronic safety-critical place the product in use. FRA reserves changes as well as safety-critical fail- the right, however, to conduct a review ures in the suppliers and private equip- or audit at a later date. ment owners’ system, subsystem, or (c) A railroad shall maintain and components, and the reasons for that make available to FRA upon request change or failure from the suppliers or all railroad or vendor documentation equipment owners, whether or not the used to demonstrate that the product railroad has experienced a failure of meets the safety requirements of the that safety critical system, sub-sys- SA for the life-cycle of the product. tem, or component; (d) After a product is placed in serv- (5) Specify the railroad’s procedures ice, the railroad shall maintain a data- for action upon receipt of notification base of all safety-relevant hazards en- of a safety-critical change or failure of countered with the product. The data- an electronic system, sub-system, or component, and until the upgrade or base shall include all hazards identified revision has been installed; and in the SA and those that had not been (6) Identify all configuration/revision previously identified in the SA. If the control measures designed to ensure frequency of the safety-relevant haz- that safety-functional requirements ards exceeds the threshold set forth in and safety-critical hazard mitigation the SA, then the railroad shall: processes are not compromised as a re- (1) Report the inconsistency by mail, sult of any such change, and that any facsimile, email, or hand delivery to such change can be audited. the Director, Office of Safety Assur- (b) Product suppliers and private ance and Compliance, FRA, 1200 New equipment owners shall report any Jersey Ave. SE., Mail Stop 25, Wash- safety-critical changes and previously ington, DC 20590, within 15 days of dis- unidentified hazards to each railroad covery; using the product or equipment. (2) Take immediate countermeasures (c) Private equipment owners shall to reduce the frequency of the safety- establish configuration/revision con- relevant hazard(s) below the threshold trol measures for control of safety-crit- set forth in the SA; and ical changes and identification of pre- (3) Provide a final report to FRA’s viously unidentified hazards. Director, Office of Safety Assurance and Compliance, on the results of the § 229.311 Review of SAs. analysis and countermeasures taken to (a) Prior to the initial planned use of reduce the frequency of the safety-rel- a product subject to this subpart, a evant hazard(s) below the calculated railroad shall inform the Associate Ad- probability of failure threshold set ministrator for Safety/Chief Safety Of- forth in the SA when the problem is re- ficer, FRA, 1200 New Jersey Avenue solved. For hazards not identified in SE., Mail Stop 25, Washington, DC the SA the threshold shall be exceeded 20590 of the intent to place this product at one occurrence. in service. The notification shall pro- vide a description of the product, and § 229.313 Product testing results and identify the location where the com- records. plete SA documentation described in § 229.307, the testing records contained (a) Results of product testing con- in § 229.313, and the training and quali- ducted by a railroad as required by this fication program described in § 229.319 subpart shall be recorded on preprinted is maintained. forms provided by the railroad, or

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stored electronically. Electronic rec- Safety may prohibit or revoke a rail- ordkeeping or automated tracking sys- road’s authority to utilize an elec- tems, subject to the provisions con- tronic or automated tracking system tained in paragraph (e) of this section, in lieu of preprinted forms if FRA finds may be utilized to store and maintain that the electronic or automated any testing or training record required tracking system is not properly se- by this subpart. Results of product cured, is inaccessible to FRA, or rail- testing conducted by a vendor or pri- road employees requiring access to dis- vate equipment owner in support of a charge their assigned duties, or fails to SA shall be provided to the railroad as adequately track and monitor the part of the SA. equipment. The Associate Adminis- (b) The testing records shall contain trator for Safety will provide the af- all of the following: fected railroad with a written state- (1) The name of the railroad; ment of the basis for the decision pro- (2) The location and date that the hibiting or revoking the railroad from test was conducted; utilizing an electronic or automated (3) The equipment tested; tracking system. (4) The results of tests; (5) The repairs or replacement of § 229.315 Operations and maintenance equipment; manual. (6) Any preventative adjustments (a) The railroad shall maintain all made; and documents pertaining to the installa- (7) The condition in which the equip- tion, maintenance, repair, modifica- ment is left. tion, inspection, and testing of a prod- (c) Each record shall be: uct subject to this part in one Oper- (1) Signed by the employee con- ations and Maintenance Manual ducting the test, or electronically (OMM). coded, or identified by the automated (1) The OMM shall be legible and test equipment number; shall be readily available to persons (2) Filed in the office of a supervisory who conduct the installation, mainte- official having jurisdiction, unless oth- erwise noted; and nance, repair, modification, inspection, (3) Available for inspection and copy- and testing, and for inspection by FRA. ing by FRA. (2) At a minimum, the OMM shall (d) The results of the testing con- contain all product vendor operation ducted in accordance with this subpart and maintenance guidance. shall be retained as follows: (b) The OMM shall contain the plans (1) The results of tests that pertain and detailed information necessary for to installation or modification of a the proper maintenance, repair, inspec- product shall be retained for the life- tion, and testing of products subject to cycle of the product tested and may be this subpart. The plans shall identify kept in any office designated by the all software versions, revisions, and re- railroad; vision dates. (2) The results of periodic tests re- (c) Hardware, software, and firmware quired for the maintenance or repair of revisions shall be documented in the the product tested shall be retained OMM according to the railroad’s con- until the next record is filed and in no figuration management control plan. case less than one year; and (d) Safety-critical components, in- (3) The results of all other tests and cluding spare products, shall be posi- training shall be retained until the tively identified, handled, replaced, next record is filed and in no case less and repaired in accordance with the than one year. procedures specified in the railroad’s (e) Electronic or automated tracking configuration management control systems used to meet the requirements plan. contained in paragraph (a) of this sec- (e) A railroad shall determine that tion shall be capable of being reviewed the requirements of this section have and monitored by FRA at any time to been met prior to placing a product ensure the integrity of the system. subject to this subpart in use on their FRA’s Associate Administrator for property.

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§ 229.317 Training and qualification tured training designed to impart the program. knowledge, skills, and abilities identi- (a) A railroad shall establish and im- fied as necessary to perform each task. plement training and qualification pro- (e) All individuals identified in para- gram for products subject to this sub- graph (b) of this section shall success- part prior to the product being placed fully complete a training curriculum in use. These programs shall meet the and pass an examination that covers requirements set forth in this section the product and appropriate rules and and in § 229.319. tasks for which they are responsible (b) The program shall provide train- (however, such persons may perform ing for the individuals identified in such tasks under the direct onsite su- this paragraph to ensure that they pos- pervision of a qualified person prior to sess the necessary knowledge and skills completing such training and passing to effectively complete their duties re- the examination). lated to the product. These include: (f) A railroad shall conduct periodic (1) Individuals whose duties include refresher training at intervals to be installing, maintaining, repairing, formally specified in the program, ex- modifying, inspecting, and testing safe- cept with respect to basic skills for ty-critical elements of the product; which proficiency is known to remain (2) Individuals who operate trains or high as a result of frequent repetition serve as a train or engine crew member of the task. subject to instruction and testing (g) A railroad shall conduct regular under part 217 of this chapter; and periodic evaluations of the effec- (3) Roadway and maintenance-of-way tiveness of the training program, workers whose duties require them to verifying the adequacy of the training know and understand how the product material and its validity with respect affects their safety and how to avoid to the railroad’s products and oper- interfering with its proper functioning; ations. and (h) A railroad shall maintain records (4) Direct supervisors of the individ- that designate individuals who are uals identified in paragraphs (b)(1) qualified under this section until new through (3) of this section. designations are recorded or for at (c) When developing the training and least one year after such persons leave qualification program required in this applicable service. These records shall section, a railroad shall conduct a for- be maintained in a designated location mal task analysis. The task analysis and be available for inspection and rep- shall: (1) Identify the specific goals of the lication by FRA. program for each target population § 229.319 Operating Personnel Train- (craft, experience level, scope of work, ing. etc.), task(s), and desired success rate; (2) Identify the installation, mainte- (a) The training required under nance, repair, modification, inspection, § 229.317 for any locomotive engineer or testing, and operating tasks that will other person who participates in the be performed on the railroad’s prod- operation of a train using an onboard ucts, including but not limited to the electronic locomotive control system development of failure scenarios and shall address all of the following ele- the actions expected under such sce- ments and shall be specified in the narios; training program. (3) Develop written procedures for (1) Familiarization with the elec- the performance of the tasks identi- tronic control system equipment on- fied; and board the locomotive and the func- (4) Identify any additional knowl- tioning of that equipment as part of edge, skills, and abilities above those the system and in relation to other on- required for basic job performance nec- board systems under that person’s con- essary to perform each task. trol; (d) Based on the task analysis, a rail- (2) Any actions required of the oper- road shall develop a training cur- ating personnel to enable or enter data riculum that includes formally struc- into the system and the role of that

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function in the safe operation of the er functioning of onboard electronic train; control equipment. (3) Sequencing of interventions by (b) The training required under this the system, including notification, en- subpart for a locomotive engineer and forcement, penalty initiation and post conductor, together with required penalty application procedures as ap- records, shall be integrated into the plicable; program of training required by parts (4) Railroad operating rules applica- 240 and 242 of this chapter. ble to control systems, including provi- sions for movement and protection of APPENDIX A TO PART 229—FORM FRA any unequipped trains, or trains with 6180–49A failed or cut-out controls; (5) Means to detect deviations from EDITORIAL NOTE: Appendix A, published at 45 FR 21118, Mar. 31, 1980, as part of the origi- proper functioning of onboard elec- nal document, is not carried in the CFR. tronic control system equipment and Copies of Form FRA F6180–49A are available instructions explaining the proper re- by contacting the Federal Railroad Adminis- sponse to be taken regarding control of tration, Office of Standards and Procedures, the train and notification of designated 1200 New Jersey Avenue, SE., Washington, railroad personnel; and DC 20590. (6) Information needed to prevent un- [45 FR 21109, Mar. 31, 1980, as amended at 74 intentional interference with the prop- FR 25174, May 27, 2009]

APPENDIX B TO PART 229—SCHEDULE OF CIVIL PENALTIES 1

Willful viola- Section Violation tion

Subpart A—General

229.7 Prohibited acts: Safety deficiencies not governed by specific regulations: To be assessed on relevant facts ...... $1,000– $2,000– 5,000 7,500 229.9 Movement of noncomplying locomotives ...... (1) (1) 229.11 Locomotive identification ...... 1,000 2,000 229.13 Control of locomotives ...... 2,500 5,000 229.15 Remote control locomotives ...... 2,500 5,000 229.17 Accident reports ...... 2,500 5,000 229.19 Prior Waivers ...... (1) (1)

Subpart B—Inspection and tests

229.21 Daily inspection: (a)(b): (1) Inspection overdue ...... 2,000 4,000 (2) Inspection report not made, improperly executed, or not retained ...... 1,000 2,000 (c) Inspection not performed by a qualified person ...... 1,000 2,000 229.23 Periodic inspection General: (a)(1) Inspection overdue ...... 2,500 5,000 (a)(2) Inspection performed improperly or at a location where the underneath portion can- not be safely inspected ...... 2,500 5,000 (b)(1) Inspection overdue ...... 2,500 5,000 (b)(2) Inspection overdue ...... 2,500 5,000 (c) Inspection overdue ...... 2,500 5,000 (e): (1) Form missing ...... 1,000 2,000 (2) Form not properly displayed ...... 1,000 2,000 (3) Form improperly executed ...... 1,000 2,000 (f) Replace Form FRA F 6180.49A by April 2 or July 3 ...... (g) Secondary record of the information reported Form FRA F 6180.49A ...... 1,000 2,000 229.25 Tests: every periodic inspection: (a) through (d)(4) and (e) and (f) Tests ...... 2,500 5,000 (d)(5) Ineffective maintenance ...... 8,000 16,000 229.27 Annual tests ...... 2,500 5,000 229.29 Biennial tests ...... 2,500 5,000 229.31: (a) Biennial hydrostatic tests of main reservoirs ...... 2,500 5,000 (b) Biennial hammer tests of main reservoirs ...... 2,500 5,000 (c) Drilled telltale holes in welded main reservoirs ...... 2,500 5,000

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Willful viola- Section Violation tion

(d) Biennial tests of aluminum main reservoirs ...... 2,500 5,000 229.33 Out-of-use credit ...... 1,000 2,000

Subpart C—Safety Requirements

229.41 Protection against personal injury ...... 2,500 5,000 229.43 Exhaust and battery gases ...... 2,500 5,000 229.45 General condition: To be assessed based on relevant facts ...... 1,000–5,000 2,000–7,500 229.46 Brakes: General ...... 2,500 5,000 229.47 Emergency brake valve ...... 2,500 5,000 229.49 Main reservoir system: (a)(1) Main reservoir safety valve ...... 2,500 5,000 (2) Pneumatically actuated control reservoir ...... 2,500 5,000 (b)(c) Main reservoir governors ...... 2,500 5,000 229.51 Aluminum main reservoirs ...... 2,500 5,000 229.53 Brake gauges ...... 2,500 5,000 229.55 Piston travel ...... 2,500 5,000 229.57 Foundation brake gear ...... 2,500 5,000 229.59 Leakage ...... 2,500 5,000 229.61 Draft system ...... 2,500 5,000 229.63 Lateral motion ...... 2,500 5,000 229.64 Plain bearing ...... 2,500 5,000 229.65 Spring rigging ...... 2,500 5,000 229.67 Trucks ...... 2,500 5,000 229.69 Side bearings ...... 2,500 5,000 229.71 Clearance above top of rail ...... 2,500 5,000 229.73 Wheel sets ...... 2,500 5,000 229.75 Wheel and tire defects: (a),(d) Slid flat or shelled spot(s): (1) One spot 21⁄2″ or more but less than 3″ in length ...... 2,500 5,000 (2) One spot 3″ or more in length ...... 5,000 7,500 (3) Two adjoining spots each of which is 2″ or more in length but less than 21⁄2″ in length ...... 2,500 5,000 (4) Two adjoining spots each of which are at least 2″ in length, if either spot is 21⁄2″ or more in length ...... 5,000 7,500 (b) Gouge or chip in flange of: (1) more than 11⁄2″ but less than 15⁄8″ in length; and more than 1⁄2″ but less than 5⁄8″ in width ...... 2,500 5,000 (2) 15⁄8″ or more in length and 5⁄8″ or more in width ...... 5,000 7,500 (c) Broken rim ...... 5,000 7,500 (e) Seam in tread ...... 2,500 5,000 (f) Flange thickness of: (1) 7⁄8″ or less but more than 13⁄16″ ...... 2,500 5,000 (2) 13⁄16″ or less ...... 5,000 7,500 (g) Tread worn hollow ...... 2,500 5,000 (h) Flange height of: (1) 11⁄2″ or greater but less than 15⁄8″ ...... 2,500 5,000 (2) 15⁄8″ or more ...... 5,000 7,000 (i) Tire thickness ...... 2,500 5,000 (j) Rim thickness: (1) Less than 1″ in road service and 3⁄4″ in yard service ...... 2,500 5,000 (2) 15⁄16″ or less in road service and 11⁄16″ in yard service ...... 5,000 7,500 (k) Crack of less than 1″ ...... 5,000 7,500 (1) Crack of less than 1″ ...... 2,500 5,000 (2) Crack of 1″ or more ...... 5,000 7,500 (3) Break ...... 5,000 7,500 (l) Loose wheel or tire ...... 5,000 7,500 (m) Welded wheel or tire ...... 5,000 7,500 229.77 Current collectors ...... 2,500 5,000 229.79 Third rail shoes and beams ...... 2,000 4,000 229.81 Emergency pole; shoe insulation ...... 2,500 5,000 229.83 Insulation or grounding ...... 5,000 7,500 229.85 Door and cover plates marked ‘‘Danger’’ ...... 2,500 5,000 229.87 Hand operated switches ...... 2,500 5,000 229.89 Jumpers; cable connections: (a) Jumpers and cable connections; located and guarded ...... 2,500 5,000 (b) Condition of jumpers and cable connections ...... 2,500 5,000 229.91 Motors and generators ...... 2,500 5,000 229.93 Safety cut-off device ...... 2,500 5,000 229.95 Venting ...... 2,500 5,000 229.97 Grounding fuel tanks ...... 2,500 5,000 229.99 Safety hangers ...... 2,500 5,000 229.101 Engines: (a) Temperature and pressure alarms, controls, and switches ...... 2,500 5,000

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Willful viola- Section Violation tion

(b) Warning notice ...... 2,500 5,000 (c) Wheel slip/slide protection ...... 2,500 5,000 229.103 Safe working pressure; factor of safety ...... 2,500 5,000 229.105 Steam generator number ...... 1,000 1,500 229.107 Pressure gauge ...... 2,500 5,000 229.109 Safety valves ...... 2,500 5,000 229.111 Water-flow indicator ...... 2,500 5,000 229.113 Warning notice ...... 2,500 5,000 229.114 Steam generator inspections and tests ...... 2,500 5,000 229.115 Slip/slide alarms ...... 2,500 5,000 229.117 Speed indicators ...... 2,500 5,000 229.119 Cabs, floors, and passageways: (a)(1) Cab set not securely mounted or braced ...... 2,500 5,000 (2) Insecure or improper latching device ...... 2,500 5,000 (b) Cab windows of lead locomotive ...... 2,500 5,000 (c) Floors, passageways, and compartments ...... 2,500 5,000 (d) Ventilation and heating arrangement ...... 2,500 5,000 (e) Continuous barrier ...... 2,500 5,000 (f) Containers for fuses and torpedoes ...... 2,500 5,000 (g) Failure to equip ...... 2,500 5,000 (h) Failure to maintain ...... 2,500 5,000 (i) Failure to equip ...... 2,500 5,000 229.121 Locomotive Cab Noise: (a) Performance Standards (1) Failure to meet sound level ...... 5,000 7,500 (2) Improper maintenance alterations ...... 2,500 5,000 (3) Failure to comply with static test protocols ...... 2,500 5,000 (b) Maintenance of Locomotives (1) Failure to maintain excessive noise report record or respond to report as re- quired ...... 2,500 5,000 (3) Failure to make good faith effort as required ...... 2,500 5,000 (4) Failure to maintain record as required ...... 2,000 4,000 229.123 Pilots, snowplows, end plates ...... 2,500 5,000 229.125 (a) Headlights ...... 2,500 5,000 (d) Auxiliary lights ...... 2,500 5,000 229.127 Cab lights ...... 2,500 5,000 229.129 Locomotive horn: (a) Prescribed sound levels ...... 2,500 5,000 Arrangement of horn ...... 2,500 5,000 (b) Failure to perform sound level test ...... 2,500 5,000 (c) Sound level test improperly performed ...... 2,500 5,000 Record of sound level test improperly executed, or not retained ...... 1,000 4,000 229.131 Sanders ...... 1,000 2,000 229.135 Event Recorders: (a) Lead locomotive without in-service event recorder ...... 2,500 5,000 (b) Failure to meet equipment requirements ...... 2,500 5,000 (c) Unauthorized removal or failure to remove from service ...... 2,500 5,000 (d) Improper response to out of service event recorder ...... 2,500 5,000 (e) Failure to preserve data or unauthorized extraction of data ...... 2,500 5,000 (g) Tampering with device or data ...... 2,500 5,000 229.137 Sanitation, general: (a) Sanitation compartment in lead unit, complete failure to provide required items ...... $5,000 $10,000 (1) Ventilation ...... 2,500 5,000 (2) Door missing ...... 2,000 4,000 (2)(i) Door doesn’t close ...... 1,000 2,000 (2)(ii) No modesty lock ...... 1,000 2,000 (3) Not equipped with toilet in lead ...... 5,000 10,000 (4) Not equipped with washing system ...... 1,000 2,000 (5) Lack of paper ...... 1,000 2,000 (6) Lack of trash receptacle ...... 1,000 2,000 (b) Exceptions: (1)(i) Commuter service, failure to meet conditions of exception ...... 2,500 5,000 (1)(ii) Switching service, failure to meet conditions of exception ...... 2,500 5,000 (1)(iii) Transfer service, failure to meet conditions of exception ...... 2,500 5,000 (1)(iv) Class III, failure to meet conditions of exception ...... 2,500 5,000 (1)(v) Tourist, failure to meet conditions of exception ...... 2,500 5,000 (1)(vi) Control cab locomotive, failure to meet conditions of exception ...... 2,500 5,000 (2) Noncompliant toilet ...... 5,000 10,000 (c) Defective/unsanitary toilet in lead unit ...... 2,500 5,000 (1–5) Failure to meet conditions of exception ...... 2,500 5,000 (d) Defective/unsanitary unit; failure to meet conditions for trailing position ...... 2,500 5,000 (e) Defective/sanitary unit; failure to meet conditions for switching/transfer service ...... 2,500 5,000

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Willful viola- Section Violation tion

(f) Paper, washing, trash holder; failure to equip prior to departure ...... 2,500 5,000 (g) Inadequate ventilation; failure to repair or move prior to departure ...... 2,500 5,000 (h) Door closure/modesty lock; failure to repair or move ...... 1,000 2,000 (i) Failure to retain/maintain of equipped units ...... 2,500 5,000 (j) Failure to equip new units/in-cab facility ...... 2,500 5,000 (k) Failure to provide potable water ...... 2,500 5,000 229.139 Servicing requirements: (a) Lead occupied unit not sanitary ...... 2,500 5,000 (b) Components not present/operating ...... 2,500 5,000 (c) Occupied unit in switching, transfer service, in trailing position not sanitary ...... 2,500 5,000 (d) Defective unit used more than 10 days ...... 2,500 5,000 (e) Failure to repair defective modesty lock ...... 1,000 2,000 229.140 Alerters ...... 2,500 5,000 229.141 Body structure, MU locomotives ...... 2,500 5,000

Subpart D—Locomotive Crashworthiness Design Requirements

229.205 General requirements:. (a)(1) Wide-nose locomotive not designed in compliance with AAR S–580–2005 ...... $5,000 $7,500 (2) Wide-nose locomotive not designed in compliance with new approved design standard ...... 5,000 7,500 (3) Wide-nose locomotive not designed in compliance with alternate approved design standard ...... 5,000 7,500 (b) Monocoque or semi-monocoque locomotive not in compliance with design require- ments ...... 5,000 7,500 (c) Narrow-nose not in compliance with design requirements ...... 5,000 7,500 229.206 Design requirements: Locomotive fails to meet— (1) Emergency egress requirements ...... 2,500 5,000 (2) Emergency interior lighting requirements ...... 2,500 5,000 (3) Interior configuration requirements ...... 2,500 5,000 229.213 Locomotive manufacturing information: (a) Failure to retain required information ...... 2,500 5,000 (b) Failure to produce required information ...... 2,500 5,000 229.215 Retention and inspection of designs: (a) Failure to retain required design records ...... 2,500 5,000 (b) Failure to retain required repair or modification records ...... 2,500 5,000 (c) Failure to make records available when requested ...... 2,500 5,000 229.217 Fuel tank: (a) External fuel tank ...... 5,000 7,500 (b) Internal fuel tank ...... 5,000 7,500

Subpart E—Locomotive Electronics 229.307 Safety analysis: (a) Failure to establish and maintain a safety analysis ...... 5,000 10,000 (b) Failure to provide safety analysis upon request ...... 2,500 5,000 (c) Failure to comply with safety analysis ...... 5,000– 15,000 10,000 229.309 Safety-critical changes and failure: (a)(1) Failure to notify FRA ...... 1,000 2,000 (a)(2) Failure to update safety analysis ...... 3,500 7,000 (a)(4) Failure to notify manufacturer ...... 10,000 15,000 (b) Failure to notify railroad ...... 10,000 15,000 (c) Failure to establish and maintain program ...... 3,500 7,000 229.311 Review of SAs: (a) Failure to notify FRA ...... 1,000 2,000 (b) Failure to report ...... 1,000 2,000 (c) Failure to correct safety hazards ...... 5,000– 15,000 10,000 (d) Failure to final report ...... 1,000 2,000 229.313 Product testing results and records: (a) Failure to maintain records and database ...... 5,000 10,000 (b) Incomplete testing records ...... 3,500 7,000 (c) Improper signature ...... 3,500 7,000 229.315 Operations and maintenance manual: (a) Failure to implement and maintain manual ...... 5,000 10,000 (c) Failure to document revisions ...... 5,000 10,000 (d) Failure to follow plan ...... 5,000– 15,000 10,000 229.317 Training and qualification program: (a) Failure to establish and implement program ...... 5,000 10,000 (b) Failure to conduct training ...... 2,500 5,000 (g) Failure to evaluate program ...... 2,500 5,000

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Willful viola- Section Violation tion

(h) Failure to maintain records ...... 1,500 3,000 229.319 Operating personnel training ...... 2,500 5,000 1 A penalty may be assessed against an individual only for a willful violation. Generally, when two or more violations of these regulations are discovered with respect to a single locomotive that is used by a railroad, the appropriate penalties set forth above are aggregated up to a maximum of $16,000 per day. However, a failure to perform, with respect to a particular locomotive, any of the inspections and tests required under subpart B of this part will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on that locomotive. Moreover, the Administrator reserves the right to as- sess a penalty of up to $105,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Failure to observe any condition for movement set forth in § 229.9 will deprive the railroad of the benefit of the movement-for- repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive defect(s) present on the locomotive at the time of movement. Failure to comply with § 229.19 will re- sult in the lapse of any affected waiver.

[53 FR 52931, Dec. 29, 1988, as amended at 58 FR 36615, July 8, 1993; 61 FR 8888, Mar. 6, 1996; 63 FR 11622, Mar. 10, 199867 FR 16052, Apr. 4, 2002; 69 FR 30594, May 28, 2004; 70 FR 21920, Apr. 27, 2005; 70 FR 37942, June 30, 2005; 71 FR 36915, June 28, 2006; 71 FR 47667, Aug. 17, 2006; 71 FR 63136, Oct. 27, 2006; 72 FR 51197, Sept. 6, 2007; 73 FR 79703, Dec. 30, 2008; 77 FR 21351, Apr. 9, 2012; 77 FR 24421, Apr. 24, 2012]

APPENDIX C TO PART 229—FRA LOCO- 3. A crashworthy ERMM shall be marked MOTIVE STANDARDS—CODE OF DE- by its manufacturer as specified in Section B of this appendix. FECTS B. MARKING REQUIREMENTS EDITORIAL NOTE: Appendix C, published at 1. The outer surface of the event recorder 45 FR 21121, Mar. 31, 1980, as part of the origi- containing a certified crashworthy ERMM nal document, is not carried in the CFR. shall be colored international orange. In ad- dition, the outer surface shall be inscribed, APPENDIX D TO PART 229—CRITERIA FOR on the surface allowing the most visible CERTIFICATION OF CRASHWORTHY area, in black letters on an international or- EVENT RECORDER MEMORY MODULE ange background, using the largest type size that can be accommodated, with the words Section 229.135(b) requires that certain lo- CERTIFIED DOT CRASHWORTHY, followed comotives be equipped with an event re- by the ERMM model number (or other such corder that includes a certified crashworthy designation), and the name of the manufac- event recorder memory module. This appen- turer of the event recorder. This information dix prescribes the requirements for certi- may be displayed as follows: fying an event recorder memory module CERTIFIED DOT CRASHWORTHY (ERMM) as crashworthy, including the per- Event Recorder Memory Module Model Num- formance criteria and test sequence for es- ber tablishing the crashworthiness of the ERMM Manufacturer’s Name as well as the marking of the event recorder containing the crashworthy ERMM. Marking ‘‘CERTIFIED DOT CRASH- WORTHY’’ on an event recorder designed for A. GENERAL REQUIREMENTS installation in a railroad locomotive is the certification that all performance criteria 1. Each manufacturer that represents its contained in this appendix have been met ERMM as crashworthy shall, by marking it and all functions performed by, or on behalf as specified in Section B of this appendix, of, the manufacturer whose name appears as certify that the ERMM meets the perform- part of the marking, conform to the require- ance criteria contained in this appendix and ments specified in this appendix. that test verification data are available to a 2. Retro-reflective material shall be ap- railroad or to FRA upon request. plied to the edges of each visible external 2. The test verification data shall contain, surface of an event recorder containing a at a minimum, all pertinent original data certified crashworthy ERMM. logs and documentation that the test sample preparation, test set up, test measuring de- C. PERFORMANCE CRITERIA FOR THE ERMM vices and test procedures were performed by An ERMM is crashworthy if it has been designated, qualified personnel using recog- successfully tested for survival under condi- nized and acceptable practices. Test tions of fire, impact shock, static crush, verification data shall be retained by the fluid immersion, and hydro-static pressure manufacturer or its successor as long as the contained in one of the two tables shown in specific model of ERMM remains in service this section of appendix D. (See Tables 1 and on any locomotive. 2.) Each ERMM must meet the individual

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performance criteria in the sequence estab- quired by § 229.135(b). The following tables de- lished in Section D of this appendix. A per- scribe alternative performance criteria that formance criterion is deemed to be met if, may be used when testing an ERMM’s crash- after undergoing a test established in this worthiness. A manufacturer may utilize ei- appendix D for that criterion, the ERMM has ther table during its testing but may not preserved all of the data stored in it. The combine the criteria contained in the two ta- data set stored in the ERMM to be tested bles. shall include all the recording elements re-

TABLE 1—ACCEPTABLE PERFORMANCE CRITERIA—OPTION A

Parameter Value Duration Remarks

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

TABLE 2—ACCEPTABLE PERFORMANCE CRITERIA—OPTION B

Parameter Value Duration Remarks

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

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

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E. TESTING EXCEPTION lowing criteria describes a collision scenario and a given performance measure for protec- If a new model ERMM represents an evo- tion provided to cab occupants, normally lution or upgrade from an older model through structural design. Demonstration ERMM that was previously tested and cer- that these performance criteria have been tified as meeting the performance criteria satisfied may be accomplished through any contained in Section C of this appendix, the of the methods described in § 229.205. This new model ERMM need only be tested for performance criteria is intended to prevent compliance with those performance criteria intrusion into the cab seating area occupied contained in Section C of this appendix that by crews. This excludes inner and outer ves- are potentially affected by the upgrade or tibule areas. modification. FRA will consider a perform- (a) Front end structure (collision posts)—(1) ance criterion not to be potentially affected Objective. The front end structure of the loco- if a preliminary engineering analysis or motive must withstand a frontal impact other pertinent data establishes that the with a proxy object which is intended to sim- modification or upgrade will not change the ulate lading carried by a heavy highway ve- performance of the older model ERMM hicle (see figure 1). against the performance criterion in ques- (2) Proxy object characteristics and orienta- tion. The manufacturer shall retain and tion. The proxy object must have the fol- make available to FRA upon request any lowing characteristics: Cylindrical shape; 48- analysis or data relied upon to satisfy the re- inch diameter; 126-inch length; 65,000 pound quirements of this paragraph to sustain an minimum weight; and uniform density. The exception from testing. longitudinal axis of the proxy object must be [70 FR 37942, June 30, 2005] oriented horizontally perpendicular to the longitudinal axis of the locomotive. APPENDIX E TO PART 229—PERFORMANCE (3) Impact and result. The front end struc- CRITERIA FOR LOCOMOTIVE CRASH- ture of the locomotive must withstand a 30- WORTHINESS mph impact with the proxy object resulting in no more than 24 inches of crush along the This appendix provides performance cri- longitudinal axis of the locomotive, meas- teria for the crashworthiness evaluation of ured from the foremost point on the collision alternative locomotive designs, and design post, and with no more than 12 inches of in- standards for wide-nosed locomotives and trusion into the cab. The center of impact any for other locomotive, except monocoque/ must be 30 inches above the top of the loco- semi-monocoque design locomotives and nar- motive underframe along the longitudinal row-nose design locomotives. Each of the fol- centerline of the locomotive.

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(b) Front end structure (short hood) (1) Objec- oriented parallel to the longitudinal axis of tive. The front end structure of the loco- the locomotive. At impact, the proxy object motive must withstand an oblique impact must be oriented such that there are 12 with a proxy object intended to simulate an inches of lateral overlap and 30 inches from intermodal container offset from a freight the bottom of the proxy object to the top of car on an adjacent parallel track (see figure the locomotive underframe. 2). (3) Impact and results. The front end struc- (2) Proxy object characteristics and orienta- ture of the locomotive must withstand a 30- tion. The proxy object must have the fol- mph impact with the proxy object resulting lowing characteristics: Block shape; 36-inch in no more than 60 inches of crush along the width; 60-inch height; 108-inch length; cor- longitudinal axis of the locomotive, meas- ners having 3-inch radii corners; 65,000 pound ured from the first point of contact on the minimum weight; and uniform density. The short hood post, and with no more than 12 longitudinal axis of the proxy object must be inches of intrusion into the cab.

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[71 FR 36915, June 28, 2006] esses set forth in this appendix (or other technically equivalent criteria and processes APPENDIX F TO PART 229—REC- that may be recommended by industry) when OMMENDED PRACTICES FOR DESIGN evaluating analyses, assumptions, and con- AND SAFETY ANALYSIS clusions provided in the SA documents.

The purpose of this appendix is to provide DEFINITIONS recommended criteria for design and safety In addition to the definitions contained in analysis that will maximize the safety of § 229.305, the following definitions are appli- electronic locomotive control systems and cable to this Appendix: mitigate potential negative safety effects. It Hazard means an existing or potential con- seeks to promote full disclosure of potential dition that can result in an accident. safety risks to facilitate minimizing or High degree of confidence, as applied to the eliminating elements of risk where prac- highest level of aggregation, means there ex- ticable. It discuses critical elements of good engineering practice that the designer ists credible safety analysis supporting the should consider when developing safety crit- conclusion that the risks associated with the ical electronic locomotive control systems product have been adequately mitigated. to accomplish this objective. The criteria Human factors refers to a body of knowl- and processes specified this appendix is in- edge about human limitations, human abili- tended to minimize the probability of failure ties, and other human characteristics, such to an acceptable level within the limitations as behavior and motivation, that shall be of the available engineering science, cost, considered in product design. and other constraints. Railroads procuring Human-machine interface (HMI) means the safety critical electronic locomotive con- interrelated set of controls and displays that trols are encouraged to ensure that their allows humans to interact with the machine. vendor addresses each of the elements of this Risk means the expected probability of oc- appendix in the design of the product being currence for an individual accident event procured. FRA uses the criteria and proc- (probability) multiplied by the severity of

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

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

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

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Commission (FCC) regulations. The FCC HMI design should accommodate an opera- rules and regulations are codified in Title 47 tor’s expectation of logical and consistent of the Code of Federal Regulations (CFR). relationships between actions and results. The following documentation is applicable to Similar objects should behave consistently obtaining FCC Equipment Authorization: when an operator performs the same action (1) OET Bulletin Number 61 (October, 1992 Su- upon them. End users have a limited mem- persedes May, 1987 issue) FCC Equipment Au- ory and ability to process information. thorization Program for Radio Frequency De- Therefore, HMI design should also minimize vices. This document provides an overview of an operator’s information processing load. the equipment authorization program to (1) To minimize information processing control radio interference from radio trans- load, the designer should: mitters and certain other electronic prod- (i) Present integrated information that di- ucts and how to obtain an equipment author- rectly supports the variety and types of deci- ization. sions that an operator makes; (2) OET Bulletin 63: (October 1993) Under- (ii) Provide information in a format or rep- standing The FCC Part 15 Regulations for Low resentation that minimizes the time re- Power, Non-Licensed Transmitters. This docu- quired to understand and act; and ment provides a basic understanding of the (iii) Conduct utility tests of decision aids FCC regulations for low power, unlicensed to establish clear benefits such as processing transmitters, and includes answers to some time saved or improved quality of decisions. commonly-asked questions. This edition of (2) To minimize short-term memory load, the bulletin does not contain information the designer should integrate data or infor- concerning personal communication services mation from multiple sources into a single (PCS) transmitters operating under Part 15, format or representation (‘‘chunking’’) and Subpart D of the rules. design so that three or fewer ‘‘chunks’’ of in- (3) Title 47 Code of Federal Regulations Parts formation need to be remembered at any one 0 to 19. The FCC rules and regulations gov- time. To minimize long-term memory load, erning PCS transmitters may be found in 47 the designer should design to support rec- CFR, Parts 0 to 19. ognition memory, design memory aids to (4) OET Bulletin 62 (December 1993) Under- minimize the amount of information that standing The FCC Regulations for Computers should be recalled from unaided memory and other Digital Devices. This document has when making critical decisions, and promote been prepared to provide a basic under- active processing of the information. standing of the FCC regulations for digital (computing) devices, and includes answers to (3) When creating displays and controls, some commonly-asked questions. the designer shall consider user ergonomics II. Human factors issues designers should and should: consider with regard to the general func- (i) Locate displays as close as possible to tioning of a system include: the controls that affect them; (a) Reduced situational awareness and over- (ii) Locate displays and controls based on reliance. HMI design shall give an operator an operator’s position; active functions to perform, feedback on the (iii) Arrange controls to minimize the need results of the operator’s actions, and infor- for the operator to change position; mation on the automatic functions of the (iv) Arrange controls according to their ex- system as well as its performance. The oper- pected order of use; ator shall be ‘‘in-the loop.’’ Designers should (v) Group similar controls together; consider at minimum the following methods (vi) Design for high stimulus-response of maintaining an active role for human op- compatibility (geometric and conceptual); erators: (vii) Design safety-critical controls to re- (1) The system should require an operator quire more than one positive action to acti- to initiate action to operate the train and re- vate (e.g., auto stick shift requires two quire an operator to remain ‘‘in-the-loop’’ movements to go into reverse); for at least 30 minutes at a time; (viii) Design controls to allow easy recov- (2) The system should provide timely feed- ery from error; and back to an operator regarding the system’s (ix) Design display and controls to reflect automated actions, the reasons for such ac- specific gender and physical limitations of tions, and the effects of the operator’s man- the intended operators. ual actions on the system; (4) Detailed locomotive ergonomics human (3) The system should warn operators in machine interface guidance may be found in advance when they require an operator to ‘‘Human Factors Guidelines for Locomotive take action; Cabs’’ (FRA/ORD–98/03 or DOT–VNTSC–FRA– (4) HMI design should equalize an opera- 98–8). tor’s workload; and (5) The designer should also address infor- (5) HMI design should not distract from the mation management. To that end, HMI de- operator’s safety related duties. sign should: (b) Expectation of predictability and consist- (i) Display information in a manner which ency in product behavior and communications. emphasizes its relative importance;

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(ii) Comply with the ANSI/HFS 100–2007, or ments are not intended to establish manda- more recent standard; tory procedures; other methods and proce- (iii) Utilize a display luminance that has a dures may be acceptable if based on sound difference of at least 35cd/m2 between the engineering practice. foreground and background (the displays (i) OET Bulletin No. 65 (Edition 97–01, Au- should be capable of a minimum contrast 3:1 gust 1997), ‘‘Evaluating Compliance With with 7:1 preferred, and controls should be FCC Guidelines For Human Exposure To provided to adjust the brightness level and Radio frequency Electromagnetic Fields’’; contrast level); (ii) OET Bulletin No 65 Supplement A, (iv) Display only the information nec- (Edition 97–01, August 1997), OET Bulletin No essary to the user; 65 Supplement B (Edition 97–01, August 1997); (v) Where text is needed, use short, simple and sentences or phrases with wording that an (iii) OET Bulletin No 65 Supplement C operator will understand and appropriate to (Edition 01–01, June 2001). This bulletin pro- the educational and cognitive capabilities of vides assistance in determining whether pro- the intended operator; posed or existing transmitting facilities, op- (vi) Use complete words where possible; erations, or devices comply with limits for where abbreviations are necessary, choose a human exposure to radio frequency RF fields commonly accepted abbreviation or con- adopted by the FCC. sistent method and select commonly used terms and words that the operator will un- GUIDANCE FOR VERIFICATION AND VALIDATION derstand; OF PRODUCTS (vii) Adopt a consistent format for all dis- The goal of this assessment is to provide play screens by placing each design element an evaluation of the product manufacturer’s in a consistent and specified location; utilization of safety design practices during (viii) Display critical information in the the product’s development and testing center of the operator’s field of view by plac- phases, as required by the applicable rail- ing items that need to be found quickly in road’s requirements, the requirements of the upper left hand corner and items which this part, and any other previously agreed- are not time-critical in the lower right hand upon controlling documents or standards. corner of the field of view; The standards employed for verification or (ix) Group items that belong together; validation, or both, of products shall be suffi- (x) Design all visual displays to meet cient to support achievement of the applica- human performance criteria under mono- ble requirements of this part. chrome conditions and add color only if it (a) The latest version of the following will help the user in performing a task, and standards have been recognized by FRA as use color coding as a redundant coding tech- providing appropriate risk analysis processes nique; for incorporation into verification and vali- (xi) Limit the number of colors over a dation standards. group of displays to no more than seven; (1) U.S. Department of Defense Military (xii) Design warnings to match the level of Standard (MIL–STD) 882C, ‘‘System Safety risk or danger with the alerting nature of Program Requirements’’ (January 19, 1993); the signal; and (2) The most recent CENLE/IEC Standards (xiii) With respect to information entry, as follows: avoid full QWERTY keyboards for data (i) EN50126:/IEC 62278, Railway Applica- entry. tions: Communications, Signaling, and Proc- (6) With respect to problem management, essing Systems Specification and Dem- the HMI designer should ensure that the HMI onstration of Reliability, Availability, Main- design: tainability and Safety (RAMS); (i) enhances an operator’s situation aware- (ii) EN50128/IEC 62279, Railway Applica- ness; tions: Communications, Signaling, and Proc- (ii) supports response selection and sched- essing Systems Software for Railway Control uling; and and Protection Systems; (iii) supports contingency planning. (iii) EN50129, Railway Applications: Com- (7) Designers should comply with FCC re- munications, Signaling, and Processing Sys- quirements for Maximum Permissible Expo- tems-Safety Related Electronic Systems for sure limits for field strength and power den- Signaling; and sity for the transmitters operating at fre- (iv) EN50155, Railway Applications: Elec- quencies of 300 kHz to 100 GHz and specific tronic Equipment Used in Rolling Stock. absorption rate (SAR) limits for devices op- (3) ATCS Specification 140, Recommended erating within close proximity to the body. Practices for Safety and Systems Assurance. The Commission’s requirements are detailed (4) ATCS Specification 130, Software Qual- in Parts 1 and 2 of the FCC’s Rules and Regu- ity Assurance. lations (47 CFR 1.1307(b), 1.1310, 2.1091, 2.1093). (5) Safety of High Speed Ground Transpor- The FCC has a number of bulletins and sup- tation Systems. Analytical Methodology for plements that offer guidelines and sugges- Safety Validation of Computer Controlled tions for evaluating compliance. These docu- Subsystems. Volume II: Development of a

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

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the correction of these deficiencies and con- Jersey Avenue, SE., Washington, DC 20950, or firms that they are corrected?); at the National Archives and Records Ad- (3) A clear statement of position for all ministration (NARA). For information on parties involved for each product vulner- the availability of this material at NARA, ability cited by the reviewer; call 202–741–6030, or go to http:// (4) Identification of any documentation or www.archives.gov/federallregister/ information sought by the reviewer that was codeloflfederallregulations/ denied, incomplete, or inadequate; ibrllocations.html (5) A listing of each design procedure or process which was not properly followed; II. TEST SITE REQUIREMENTS (6) Identification of the software The test site shall meet the following re- verification and validation procedures for quirements: the product’s safety-critical applications, (1) The locomotive to be tested should not and the reviewer’s evaluation of the ade- be positioned where large reflective surfaces quacy of these procedures; are directly adjacent to or within 25 feet of (7) Methods employed by the product man- the locomotive cab. ufacturer to develop safety-critical software, (2) The locomotive to be tested should not such as use of structured language, code be positioned where other locomotives or checks, modularity, or other similar gen- rail cars are present on directly adjacent erally acceptable techniques; and tracks next to or within 25 feet of the loco- (8) Methods by which the supplier or rail- motive cab. road addresses comprehensiveness of the (3) All windows, doors, cabinets seals, etc., product design which considers the safety must be installed in the locomotive cab and elements. be closed. [77 FR 21352, Apr. 9, 2012] (4) The locomotive must be running for suf- ficient time before the test to be at normal APPENDIX G TO PART 229 [RESERVED] operating temperature. (5) The heating, ventilation and air condi- APPENDIX H TO PART 229—STATIC NOISE tioning (HVAC) system or a dedicated heat- TEST PROTOCOLS—IN-CAB STATIC ing or air conditioner system must be oper- ating on high, and the vents must be open This appendix prescribes the procedures for and unobstructed. the in-cab static measurements of loco- (6) The locomotive shall not be tested in motives. any site specifically designed to artificially lower in-cab noise levels. I. MEASUREMENT INSTRUMENTATION III. PROCEDURES FOR MEASUREMENT The instrumentation used should conform to the following: An integrating-averaging (1) LAeq, T is defined as the A-weighted, sound level meter shall meet all the require- equivalent sound level for a duration of T ments of ANSI S1.43–1997 (Reaffirmed 2002), seconds, and the sound level meter shall be ‘‘Specifications for Integrating-Averaging set for A-weighting with slow response. Sound Level Meters,’’ for a Type 1 Instru- (2) The sound level meter shall be cali- ment. In the event that a Type 1 instrument brated with the acoustic calibrator imme- is not available, the measurements may be diately before and after the in-cab static conducted with a Type 2 instrument. The tests. The calibration levels shall be re- acoustic calibrator shall meet the require- corded. ment of the ANSI S1.40–1984 (Reaffirmed (3) Any change in the before and after cali- 2001), ‘‘Specification for Acoustical Cali- bration level(s) shall be less than 0.5 dB. brators.’’ The Director of the Federal Reg- (4) The sound level meter shall be meas- ister approves the incorporation by reference ured at each of the following locations: of ANSI S1.43–1997 (Reaffirmed 2002) and (A) 30 inches above the center of the left ANSI S1.40–1984 (Reaffirmed 2001) in this sec- seat; tion in accordance with 5 U.S.C. 552(a) and 1 (B) Centered in the middle of the cab be- CFR part 51. You may obtain a copy of the tween the right and left seats, and 56 inches incorporated standards from the American above the floor; National Standards Institute at 1819 L (C) 30 inches above the center of the right Street, NW., Washington, DC 20036 or http:// seat; and www.ansi.org. You may inspect a copy of the (D) One foot (0.3 meters) from the center of incorporated standards at the Federal Rail- the back interior wall of the cab and 56 road Administration, Docket Room, 1200 New inches above the floor. See Figure 1.

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

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