Federal Railroad Administration, DOT § 228.3 Willful Section Violation violation (a) Failure to institute a training program as required ............................................................ 5,000 7,500 (b) Failure to provide training within required time frame ...................................................... 2,500 5,000 (c) Failure of program and/or training materials to include required information ................... 2,500 5,000 227.121 Recordkeeping: (a) General Requirements: (1) Failure to make record available as required ..................................................... 2,500 5,000 (3) Failure to transfer or retain records as required ................................................ 2,000 4,000 (b)–(f) Records: (1) Failure to maintain record or failure to maintain record with required informa- tion ........................................................................................................................ 2,000 4,000 (2) Failure to retain records for required time period ............................................... 2,000 4,000 1 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. [71 FR 63123, Oct. 27, 2006, as amended at 73 FR 79703, Dec. 30, 2008] PART 228—HOURS OF SERVICE OF AUTHORITY: 49 U.S.C. 20103, 20107, 21101– 21109; Sec. 108, Div. A, Public Law 110–432, 122 RAILROAD EMPLOYEES Stat. 4860–4866; 49 U.S.C. 21301, 21303, 21304, 21311; 28 U.S.C. 2461, note; 49 CFR 1.49; and 49 Subpart A—General U.S.C. 103. Sec. SOURCE: 37 FR 12234, June 21, 1972, unless 228.1 Scope. otherwise noted. 228.3 Application. 228.5 Definitions. Subpart A—General Subpart B—Records and Reporting § 228.1 Scope. 228.7 Hours of duty. This part— 228.9 Records; general. 228.11 Hours of duty records. (a) Prescribes reporting and record- 228.13 Preemptive effect. keeping requirements with respect to 228.17 Dispatcher’s record of train move- the hours of service of certain railroad ments. employees and certain employees of 228.19 Monthly reports of excess service. railroad contractors and subcontrac- 228.21 Civil penalty. tors; and 228.23 Criminal penalty. (b) Establishes standards and proce- Subpart C—Construction of Employee dures concerning the construction or Sleeping Quarters reconstruction of employee sleeping quarters. 228.101 Distance requirement; definitions. 228.103 Approval procedure: construction [43 FR 31012, July 19, 1978, as amended at 74 within one-half mile (2,640 feet) (804 me- FR 25345, May 27, 2009] ters). 228.105 Additional requirements; construc- § 228.3 Application. tion within one-third mile (1,760 feet) (536 (a) Except as provided in paragraph meters) of certain switching. 228.107 Action on petition. (b) of this section, this part applies to all railroads and contractors and sub- Subpart D—Electronic Recordkeeping contractors of railroads. (b) This part does not apply to: 228.201 Electronic recordkeeping; general. (1) A railroad or a contractor or sub- 228.203 Program components. 228.205 Access to electronic records. contractor of a railroad that operates 228.207 Training. only on track inside an installation APPENDIX A TO PART 228—REQUIREMENTS OF which is not part of the general rail- THE HOURS OF SERVICE ACT: STATEMENT road system of transportation; or OF AGENCY POLICY AND INTERPRETATION (2) Rapid transit operations in an APPENDIX B TO PART 228—SCHEDULE OF CIVIL urban area that are not connected with PENALTIES the general railroad system of trans- APPENDIX C TO PART 228—GUIDELINES FOR portation. CLEAN, SAFE, AND SANITARY RAILROAD PROVIDED CAMP CARS [74 FR 25345, May 27, 2009] 417 VerDate Mar<15>2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00427 Fmt 8010 Sfmt 8010 Y:\SGML\220215.XXX 220215 jdjones on DSK8KYBLC1PROD with CFR § 228.5 49 CFR Ch. II (10–1–10 Edition) § 228.5 Definitions. suant to 49 U.S.C. 21103(b)(3) (for train As used in this part— employees) or 49 U.S.C. 21104(b)(2) (for Actual time means either the specific signal employees). time of day, to the hour and minute, or (2) For a dispatching service em- the precise amount of time spent in an ployee, any non-covered service man- activity, in hours and minutes, that dated by the railroad and performed for must be included in the hours of duty the railroad within any 24-hour period record, including, where appropriate, containing covered service. Such com- reference to the applicable time zone mingled service is counted as time on and either standard time or daylight duty pursuant to 49 U.S.C. 21105(c). savings time. Commuting means— Administrator means the Adminis- (1) For a train employee, the time trator of the Federal Railroad Admin- spent in travel— istration or any person to whom the (i) Between the employee’s residence Administrator has delegated authority and the employee’s regular reporting in the matter concerned. point, and Administrative duties means any ac- (ii) In railroad-provided or authorized tivities required by the railroad as a transportation to and from the lodging condition of employment, related to re- facility at the away-from-home ter- porting, recording, or providing an oral or written statement related to a cur- minal (excluding travel for purposes of rent, previous, or future duty tour. an interim release), where such time Such activities are considered service (including travel delays and room for the railroad, and time spent in availability) does not exceed 30 min- these activities must be included in the utes. total time on duty for any duty tour with (2) For a signal employee, the time which it may commingle. spent in travel between the employee’s At the behest of the employee refers to residence and the employee’s head- time spent by an employee in a rail- quarters. road-related activity that is not re- (3) For a dispatching service em- quired by the railroad as a condition of ployee, the time spent in travel be- employment, in which the employee tween the employee’s residence and voluntarily participates. any reporting point. At the behest of the railroad refers to Consecutive service is a period of un- time spent by an employee in a rail- broken total time on duty during a duty road-required activity that compels an tour. employee to perform service for the Covered service means— railroad as a condition of employment. (1) For a train employee, the portion Broken (aggregate) service means one of the employee’s time on duty during or more periods of time on duty within which the employee is engaged in, or a single duty tour separated by one or connected with, the movement of a more qualifying interim releases. train. Call and release occurs when an em- (2) For a dispatching service em- ploying railroad issues an employee a ployee, the portion of the employee’s report-for-duty time, and then releases the employee from the requirement to time on duty during which the em- report prior to the report-for-duty time. ployee, by the use of an electrical or Carrier, common carrier, and common mechanical device, dispatches, reports, carrier engaged in interstate or foreign transmits, receives, or delivers an commerce by railroad mean railroad. order related to or affecting the move- Commingled service means— ment of a train. (1) For a train employee or a signal (3) For a signal employee, the portion employee, any non-covered service at of the employee’s time on duty during the behest of the railroad and per- which the employee is engaged in in- formed for the railroad that is not sep- stalling, repairing, or maintaining a arated from covered service by a quali- signal system. fying statutory off-duty period of 8 or Covered service assignment means— 10 hours or more. Such commingled (1) For a train employee, each unique service is counted as time on duty pur- assignment of the employee during a 418 VerDate Mar<15>2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00428 Fmt 8010 Sfmt 8010 Y:\SGML\220215.XXX 220215 jdjones on DSK8KYBLC1PROD with CFR Federal Railroad Administration, DOT § 228.5 period of covered service that is associ- (3) Is engaged in installing, repairing, ated with either a specific train or a or maintaining a signal system. specific yard job. Final release is the time that a train (2) For a signal employee, the as- employee or a signal employee is re- signed duty hours of the employee, in- leased from all activities at the behest cluding overtime, or unique trouble of the railroad and begins his or her call assignments occurring outside the statutory off-duty period. employee’s assigned duty hours. Headquarters means the regular as- (3) For a dispatching service em- signed on-duty location for signal em- ployee, each unique assignment for the ployees, or the lodging facility or crew employee that occurs within any 24- quarters where traveling signal gangs hour period in which the employee, by reside when working at various system the use of an electrical or mechanical locations. device, dispatches, reports, transmits, Interim release means an off-duty pe- receives, or delivers orders related to riod applied to train employees only, of or affecting train movements. at least 4 hours but less than the re- Deadheading means the physical relo- quired statutory off-duty period at a des- cation of a train employee from one ignated terminal, which off-duty period point to another as a result of a rail- temporarily suspends the accumulation road-issued verbal or written directive. of time on duty, but does not start a Designated terminal means the home new duty tour. or away-from-home terminal for the Limbo time means a period of time assignment of a particular train crew.