Federal Railroad Administration, DOT § 229.5

(b) The information collection re- the manufacturer or remanufacturer to quirements are found in the following the customer, or if the railroad manu- sections: §§ 229.9, 229.17, 229.21, 229.23, factures or remanufactures the loco- 229.25, 229.27, 229.29, 229.31, 229.33, 229.55, motive itself, the date on which the lo- 229.103, 229.105, 229.113, 229.121, 229.135, comotive is released from the manufac- and appendix H to part 229. ture or remanufacture facility. [50 FR 6953, Feb. 19, 1985, as amended at 58 Cab means that portion of the super- FR 36613, July 8, 1993; 71 FR 63136, Oct. 27, structure designed to be occupied by 2006] the crew operating the locomotive. Carrier means railroad, as that term § 229.5 Definitions. is in this section. As used in this part— Collision posts means structural mem- AAR means the Association of Amer- bers of the end structures of a rail ve- ican Railroads. hicle that extend vertically from the Acceptable quality level (AQL). The underframe to which they are securely AQL is expressed in terms of percent attached and that provide protection defective or defects per 100 units. Lots to occupied compartments from an ob- having a quality level equal to a speci- ject penetrating the vehicle during a fied AQL will be accepted approxi- collision. mately 95 percent of the time when Controlling locomotive means a loco- using the sampling plans prescribed for motive from where the operator con- that AQL. trols the traction and braking func- Alerter means a device or system in- tions of the locomotive or locomotive stalled in the locomotive cab to pro- consist, normally the lead locomotive. mote continuous, active locomotive en- Corner posts means structural mem- gineer attentiveness by monitoring se- bers located at the intersection of the lect locomotive engineer-induced con- front or rear surface with the side sur- trol activities. If fluctuation of a mon- face of a rail vehicle and which extend itored locomotive engineer-induced vertically from the underframe to the control activity is not detected within roof. a predetermined time, a sequence of Commuter service means the type of audible and visual alarms is activated railroad service described under the so as to progressively prompt a re- heading ‘‘Commuter Operations’’ in 49 sponse by the locomotive engineer. CFR part 209, Appendix A. Failure by the locomotive engineer to Commuter work train is a non-revenue institute a change of state in a mon- service train used in the administra- itored control, or acknowledge the tion and upkeep service of a commuter alerter alarm activity through a man- railroad. ual reset provision, results in a penalty Control cab locomotive means a loco- brake application that brings the loco- motive without propelling motors but motive or train to a stop. with one or more control stands. Anti-climbers means the parts at the Controlling remote distributed power lo- ends of adjoining rail vehicles in a comotive means the locomotive in a dis- train that are designed to engage when tributed power consist that receives subjected to large buff loads to prevent the coded signal from the lead loco- the override of one vehicle by another. motive consist of the train whether Assignment address means a unique commanded automatically by the dis- identifier of the RCL that insures that tributed power system or manually by only the OCU’s linked to a specific RCL the locomotive engineer. can command that RCL. Crack means a fracture without com- Associate Administrator for Safety plete separation into parts, except that means the Associate Administrator for castings with shrinkage cracks or hot Safety, Federal Railroad Administra- tears that do not significantly dimin- tion, or that person’s delegate as des- ish the strength of the member are not ignated in writing. considered to be cracked. Break means a fracture resulting in Cruise control means a device that complete separation into parts. controls locomotive power output to Build date means the date on which obtain a targeted speed. A device that the completed locomotive is shipped by functions only at or below 30 miles per

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

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Lead locomotive means the first loco- porting frame to resist and transmit motive proceeding in the direction of the loads acting on the locomotive. movement. MU locomotive means a multiple unit Lite locomotive means a locomotive or operated electric locomotive— a consist of locomotives not attached (1) With one or more propelling mo- to any piece of equipment or attached tors designed to carry freight or pas- only to a caboose. senger traffic or both; or Locomotive means a piece of on-track (2) Without propelling motors but equipment other than hi-rail, special- with one or more control stands and a ized maintenance, or other similar means of picking-up primary power equipment— such as a pantograph or third rail. (1) With one or more propelling mo- Narrow-nose locomotive means a loco- tors designed for moving other equip- motive with a short hood that spans ment; substantially less than the full width (2) With one or more propelling mo- of the locomotive. tors designed to carry freight or pas- Occupied service means the operation senger traffic or both; or of a locomotive when the cab is phys- (3) Without propelling motors but ically occupied by a person. with one or more control stands. Operator Control Unit (OCU) means a 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 Powered axle is an axle equipped with that affects a railroad operation. a traction device. Manufacture means the act of con- Power car means a rail vehicle that structing a locomotive. propels a Tier II passenger train or is Modesty lock means a latch that can the lead vehicle in a Tier II passenger be operated in the normal manner only train, or both. from within the sanitary compartment, Qualified mechanical inspector means a that is designed to prevent entry of an- person who has received instruction other person when the sanitary com- and training that includes ‘‘hands-on’’ partment is in use. A modesty lock experience (under appropriate super- may be designed to allow deliberate vision or apprenticeship) in one or forced entry in the event of an emer- more of the following functions: trou- gency. bleshooting, inspection, testing, main- Monocoque design locomotive means a tenance or repair of the specific loco- locomotive design where the shell or motive equipment for which the person skin acts as a single unit with the sup- is assigned responsibility. This person

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shall also possess a current under- forces speeds and stops in the direction standing of what is required to prop- of pulling movement. erly repair and maintain the loco- Roof rail means the longitudinal motive equipment for which the person structural member at the intersection is assigned responsibility. Further, the of the side wall and the roof sheathing. qualified mechanical inspector shall be Sand delivery system means a perma- a person whose primary responsibility nently stationed or fixed device de- includes work generally consistent signed to deliver sand to locomotive with the functions listed in this defini- sand boxes that do not require the sand tion. to be manually delivered or loaded. A Railroad means all forms of non-high- sand delivery system will be considered way ground transportation that run on permanently stationed if it is at a loca- rails or electromagnetic guideways, in- tion at least five days a week for at cluding: least eight hours per day. (1) Commuter or other short-haul rail Sanitary means lacking any condition passenger service in a metropolitan or in which any significant amount of suburban area, and filth, trash, or human waste is present (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 locomotive rebuilt or refurbished from present due to a defective toilet facil- a previously used or refurbished ity that will not flush or otherwise re- underframe (‘‘deck’’), containing fewer move waste; visible human waste res- than 25% previously used components idue on the floor or toilet seat that is (measured by dollar value of the com- present due to a toilet that overflowed; ponents). For calculation purposes, the an accumulation of soiled paper towels percentage of previously used compo- or soiled toilet paper on the floor, toi- nents is determined with equivalent let facility, or sink; an accumulation of value of new parts and is calculated visible dirt or human waste on the using dollar values from the same year floor, toilet facility, or sink; and as the new parts used to remanufacture strong, persistent chemical or human the locomotive. waste odors in the compartment. Remote Control Locomotive (RCL) Sanitation compartment means an en- means a remote control locomotive closed compartment on a railroad loco- that, through use of a radio link can be motive that contains a toilet facility operated by a person not physically for employee use. within the confines of the locomotive Self-monitoring event recorder means cab. For purposes of this part, the term an event recorder that has the ability RCL does not refer to a locomotive or to monitor its own operation and to group of locomotives remotely con- display an indication to the locomotive trolled from the lead locomotive of a operator when any data required to be train, as in a distributed power ar- stored are not stored or when the rangement. stored data do not match the data re- Remote Control Operator (RCO) means ceived from sensors or data collection 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

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to resist and transmit the loads acting corder must be able to convert to an on the locomotive. accurate time-of-day with the time Semi-permanently coupled means cou- zone stated unless it is Greenwich pled by means of a drawbar or other mean time (UTC). coupling mechanism that requires Toilet facility means a system that tools to perform the uncoupling oper- automatically or on command of the ation. user removes human waste to a place Serious injury means an injury that where it is treated, eliminated, or re- results in the amputation of any ap- tained such that no solid or non-treat- pendage, the loss of sight in an eye, the ed liquid waste is thereafter permitted fracture of a bone, or confinement in a to be released into the bowl, urinal, or hospital for a period of more than 24 room and that prevents harmful dis- consecutive hours. charges of gases or persistent offensive Short hood means the part of the lo- odors. comotive above the underframe located Transfer service means a freight train between the cab and the nearest end of that travels between a point of origin the locomotive. and a point of final destination not ex- 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

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towels; or antibacterial moist § 229.9 Movement of non-complying lo- towelettes and paper towels; or any comotives. other combination of suitable anti- (a) Except as provided in paragraphs bacterial cleansing agents. (b), (c), § 229.125(g), and § 229.131(b) and Wide-nose locomotive means a loco- (c)(1), a locomotive with one or more motive with a short hood that spans conditions not in compliance with this the full width of the locomotive. part may be moved only as a lite loco- [70 FR 37938, June 30, 2005, as amended at 71 motive or a dead locomotive after the FR 36911, June 28, 2006; 71 FR 47666, Aug. 17, carrier has complied with the fol- 2006; 71 FR 61857, Oct. 19, 2006; 71 FR 63136, lowing: Oct. 27, 2006; 72 FR 59223, Oct. 19, 2007; 77 FR 21342, Apr. 9, 2012] (1) A qualified person shall deter- mine— § 229.7 Prohibited acts and penalties. (i) That it is safe to move the loco- (a) Federal Rail Safety Laws (49 motive; and U.S.C. 20701–20703) make it unlawful for (ii) The maximum speed and other re- any carrier to use or permit to be used strictions necessary for safely con- on its line any locomotive unless the ducting the movement; entire locomotive and its appur- (2)(i) The engineer in charge of the tenances— movement of the locomotive shall be (1) Are in proper condition and safe notified in writing and inform all other to operate in the service to which they crew members in the cab of the pres- are put, without unnecessary peril to ence of the non-complying locomotive life or limb; and and the maximum speed and other re- (2) Have been inspected and tested as strictions determined under paragraph required by this part. (a)(1)(ii) of this section. (b) Any person (including but not (ii) A copy of the tag described in limited to a railroad; any manager, su- paragraph (a)(3) of this section may be pervisor, official, or other employee or used to provide the notification re- agent of a railroad; any owner, manu- quired by paragraph (a)(2)(i) of this sec- facturer, lessor, or lessee of railroad tion. equipment, track, or facilities; any em- (3) A tag bearing the words ‘‘non- ployee of such owner, manufacturer, complying locomotive’’ and containing lessor, lessee, or independent con- the following information, shall be se- tractor) who violates any requirement curely attached to the control stand on of this part or of the Federal Rail Safe- each MU or control cab locomotive and ty Laws or causes the violation of any to the isolation switch or near the en- such requirement is subject to a civil gine start switch on every other type penalty of at least $853, but not more of locomotive— than $27,904 per violation, except that: (i) The locomotive number; Penalties may be assessed against indi- viduals only for willful violations, and, (ii) The name of the inspecting car- where a grossly negligent violation or rier; a pattern of repeated violations has (iii) The inspection location and created an imminent hazard of death or date; injury to persons, or has caused death (iv) The nature of each defect; or injury, a penalty not to exceed (v) Movement restrictions, if any; $111,616 per violation may be assessed. (vi) The destination; and Each day a violation continues shall (vii) The signature of the person constitute a separate offense. Appendix making the determinations required by B of this part contains a statement of this paragraph. agency civil penalty policy. (b) A locomotive that develops a non- (c) Any person who knowingly and complying condition enroute may con- willfully falsifies a record or report re- tinue to utilize its propelling motors, if quired by this part is subject to crimi- the requirements of paragraph (a) are nal penalties under 49 U.S.C. 21311. otherwise fully met, until the earlier [77 FR 21342, Apr. 9, 2012, as amended at 77 of— FR 24421, Apr. 24, 2012; 81 FR 43111, July 1, (1) The next calendar day inspection, 2016; 82 FR 16134, Apr. 3, 2017] or

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