49 C.F.R. Subpart A—General
Title 49 - Transportation
This part prescribes minimum Federal safety standards for all locomotives except those propelled by steam power. (a) Except as provided in paragraphs (b) through (e) of this section, this part applies to all standard gage railroads. (b) This part does not apply to: (1) A railroad that operates only on track inside an installation which is not part of the general railroad system of transportation; or (2) Rapid transit operations in an urban area that are not connected with the general railroad system of transportation. (c) Paragraphs (a) and (b) of §229.125 do not apply to Tier II passenger equipment as defined in §238.5 of this chapter (i.e., passenger equipment operating at speeds exceeding 125 mph but not exceeding 150 mph). (d) On or after November 8, 1999, paragraphs (a)(1) and (b)(1) of §229.141 do not apply to “passenger equipment” as defined in §238.5 of this chapter, unless such equipment is excluded from the requirements of §§238.203 through 238.219, and §238.223 of this chapter by operation of §238.201(a)(2) of this chapter. (e) Paragraphs (a)(2) through (a)(4), and (b)(2) through (b)(4) of §229.141 do not apply to “passenger equipment” as defined in §238.5 of this chapter that is placed in service for the first time on or after September 8, 2000, unless such equipment is excluded from the requirements of §§238.203 through 238.219, and §238.223 of this chapter by operation of §238.201(a)(2) of this chapter. [54 FR 33229, Aug. 14, 1989, as amended at 64 FR 25659, May 12, 1999] (a) The information collection requirements in this part have been reviewed by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1980, Public Law 96–511, and have been assigned OMB control number 2130–0004. (b) The information collection requirements are found in the following sections: (1) Section 229.9. (2) Section 229.17. (3) Section 229.21. (4) Section 229.23. (5) Section 229.25. (6) Section 229.27. (7) Section 229.29. (8) Section 229.31. (9) Section 229.33. (10) Section 229.55. (11) Section 229.103. (12) Section 229.105. (13) Section 229.113. (14) Section 229.135. [50 FR 6953, Feb. 19, 1985, as amended at 58 FR 36613, July 8, 1993]
Link to an amendment published at 71 FR 36911, June 28, 2006.
Link to an amendment published at 71 FR 47666, Aug. 17, 2006. As used in this part— Break means a fracture resulting in complete separation into parts. Cab means that portion of the superstructure designed to be occupied by the crew operating the locomotive. Carrier means railroad, as that term is in this section. Commuter service means the type of railroad service described under the heading “Commuter Operations” in 49 CFR part 209, Appendix A. Commuter work train is a non-revenue service train used in the administration and upkeep service of a commuter railroad. Control cab locomotive means a locomotive without propelling motors but with one or more control stands. Controlling remote distributed power locomotive means the locomotive in a distributed power consist that receives the coded signal from the lead locomotive consist of the train whether commanded automatically by the distributed power system or manually by the locomotive engineer. Crack means a fracture without complete separation into parts, except that castings with shrinkage cracks or hot tears that do not significantly diminish the strength of the member are not considered to be cracked. Cruise control means a device that controls locomotive power output to obtain a targeted speed. A device that functions only at or below 30 miles per hour is NOT considered a “cruise control” for purposes of this part. Data element means one or more data point or value reflecting on-board train operations at a particular time. Data may be actual or “passed through” values or may be derived from a combination of values from other sources. Dead locomotive means— (1) A locomotive, other than a control cab locomotive, that does not have any traction device supplying tractive power; or (2) A control cab locomotive that has a locked and unoccupied cab. Distributed power system means a system that provides control of a number of locomotives dispersed throughout a train from a controlling locomotive located in the lead position. The system provides control of the rearward locomotives by command signals originating at the lead locomotive and transmitted to the remote (rearward) locomotives. DMU locomotive means a diesel-powered multiple unit operated locomotive with one or more propelling motors designed to carry passenger traffic. Electronic air brake means a brake system controlled by a computer which provides the means for control of the locomotive brakes or train brakes or both. Event recorder means a device, designed to resist tampering, that monitors and records data, as detailed in §229.135(b), over the most recent 48 hours of operation of the electrical system of the locomotive on which the device is installed. However, a device, designed to resist tampering, that monitors and records the specified data only when the locomotive is in motion meets this definition if the device was installed prior to November 5, 1993 and if it records the specified data for the last eight hours the locomotive was in motion. Event recorder memory module means that portion of the event recorder used to retain the recorded data as detailed in §229.135(b). High voltage means an electrical potential of more than 150 volts. In-service event recorder means an event recorder that was successfully tested as prescribed in §229.27(d) and whose subsequent failure to operate as intended, if any, is not actually known by the railroad operating the locomotive on which it is installed. Lead locomotive means the first locomotive proceeding in the direction of movement. Lite locomotive means a locomotive or a consist of locomotives not attached to any piece of equipment or attached only to a caboose. Locomotive means a piece of on-track equipment other than hi-rail, specialized maintenance, or other similar equipment— (1) With one or more propelling motors designed for moving other equipment; (2) With one or more propelling motors designed to carry freight or passenger traffic or both; or (3) Without propelling motors but with one or more control stands. Mandatory directive means any movement authority or speed restriction that affects a railroad operation. Modesty lock means a latch that can be operated in the normal manner only from within the sanitary compartment, that is designed to prevent entry of another person when the sanitary compartment is in use. A modesty lock may be designed to allow deliberate forced entry in the event of an emergency. MU locomotive means a multiple unit operated electric locomotive— (1) With one or more propelling motors designed to carry freight or passenger traffic or both; or (2) Without propelling motors but with one or more control stands. Other short-haul passenger service means the type of railroad service described under the heading “Other short-haul passenger service” in 49 CFR part 209, Appendix A. Potable water means water that meets the requirements of 40 CFR part 141, the Environmental Protection Agency's Primary Drinking Water Regulations, or water that has been approved for drinking and washing purposes by the pertinent state or local authority having jurisdiction. For purposes of this part, commercially available, bottled drinking water is deemed potable water. Powered axle is an axle equipped with a traction device. Railroad means all forms of non-highway ground transportation that run on rails or electromagnetic guideways, including: (1) Commuter or other short-haul rail passenger service in a metropolitan or suburban area, and (2) High speed ground transportation systems that connect metropolitan areas, without regard to whether they use new technologies not associated with traditional railroads. Such term does not include rapid transit operations within an urban area that are not connected to the general railroad system of transportation. Remanufactured locomotive means a locomotive rebuilt or refurbished from a previously used or refurbished underframe (“deck”), containing fewer than 25 percent previously used components (weighted by dollar value of the components). Sanitary means lacking any condition in which any significant amount of filth, trash, or human waste is present in such a manner that a reasonable person would believe that the condition might constitute a health hazard; or of strong, persistent, chemical or human waste odors sufficient to deter use of the facility, or give rise to a reasonable concern with respect to exposure to hazardous fumes. Such conditions include, but are not limited to, a toilet bowl filled with human waste, soiled toilet paper, or other products used in the toilet compartment, that are present due to a defective toilet facility that will not flush or otherwise remove waste; visible human waste residue on the floor or toilet seat that is present due to a toilet that overflowed; an accumulation of soiled paper towels or soiled toilet paper on the floor, toilet facility, or sink; an accumulation of visible dirt or human waste on the floor, toilet facility, or sink; and strong, persistent chemical or human waste odors in the compartment. Sanitation compartment means an enclosed compartment on a railroad locomotive that contains a toilet facility for employee use. Self-monitoring event recorder means an event recorder that has the ability to monitor its own operation and to display an indication to the locomotive operator when any data required to be stored are not stored or when the stored data do not match the data received from sensors or data collection points. Serious injury means an injury that results in the amputation of any appendage, the loss of sight in an eye, the fracture of a bone, or confinement in a hospital for a period of more than 24 consecutive hours. Switching service means the classification of railroad freight and passenger cars according to commodity or destination; assembling cars for train movements; changing the position of cars for purposes of loading, unloading, or weighing; placing locomotives and cars for repair or storage; or moving rail equipment in connection with work service that does not constitute a train movement. Throttle position means any and all of the discrete output positions indicating the speed/tractive effort characteristic requested by the operator of the locomotive on which the throttle is installed. Together, the discrete output positions shall cover the entire range of possible speed/tractive effort characteristics. If the throttle has continuously variable segments, the event recorder shall capture either: (1) The exact level of speed/tractive effort characteristic requested, on a scale of zero (0) to one hundred percent (100%) of the output variable or (2) A value converted from a percentage to a comparable 0 to 8 digital signal. Time means either “time-of-day” or “elapsed time” (from an arbitrarily determined event) as determined by the manufacturer. In either case, the recorder must be able to convert to an accurate time-of-day with the time zone stated unless it is Greenwich mean time (UTC). Toilet facility means a system that automatically or on command of the user removes human waste to a place where it is treated, eliminated, or retained such that no solid or non-treated liquid waste is thereafter permitted to be released into the bowl, urinal, or room and that prevents harmful discharges of gases or persistent offensive odors. Transfer service means a freight train that travels between a point of origin and a point of final destination not exceeding 20 miles and that is not performing switching service. Unsanitary means having any condition in which any significant amount of filth, trash, or human waste is present in such a manner that a reasonable person would believe that the condition might constitute a health hazard; or strong, persistent, chemical or human waste odors sufficient to deter use of the facility, or give rise to a reasonable concern with respect to exposure to hazardous fumes. Such conditions include, but are not limited to, a toilet bowl filled with human waste, soiled toilet paper, or other products used in the toilet compartment, that are present due to a defective toilet facility that will not flush or otherwise remove waste; visible human waste residue on the floor or toilet seat that is present due to a toilet that overflowed; an accumulation of soiled paper towels or soiled toilet paper on the floor, toilet facility, or sink; an accumulation of visible dirt or human waste on the floor, toilet facility, or sink; and strong, persistent chemical or human waste odors in the compartment. Washing system means a system for use by railroad employees to maintain personal cleanliness that includes a secured sink or basin, water, antibacterial soap, and paper towels; or antibacterial waterless soap and paper towels; or antibacterial moist towelettes and paper towels; or any other combination of suitable antibacterial cleansing agents. [70 FR 37938, June 30, 2005] (a) The Locomotive Inspection Act (45 U.S.C. 22–34) makes it unlawful for any carrier to use or permit to be used on its line any locomotive unless the entire locomotive and its appurtenances— (1) Are in proper condition and safe to operate in the service to which they are put, without unnecessary peril to life or limb; and (2) Have been inspected and tested as required by this part. (b) Any person (an entity of any type covered under 1 U.S.C. 1, including but not limited to the following: a railroad; a manager, supervisor, official, or other employee or agent of a railroad; any owner, manufacturer, lessor, or lessee of railroad equipment, track, or facilities; any independent contractor providing goods or services to a railroad; and any employee of such owner, manufacturer, lessor, lessee, or independent contractor) who violates any requirement of this part or of the Locomotive Inspection Act or causes the violation of any such requirement is subject to a civil penalty of at least $550 and not more than $11,000 per violation, except that: Penalties may be assessed against individuals only for willful violations, and, where a grossly negligent violation or a pattern of repeated violations has created an imminent hazard of death or injury to persons, or has caused death or injury, a penalty not to exceed $27,000 per violation may be assessed. Each day a violation continues shall constitute a separate offense. See appendix B to this part for a statement of agency civil penalty policy. [45 FR 21109, Mar. 31, 1980, as amended at 53 FR 28601, July 28, 1988; 53 FR 52931, Dec. 29, 1988; 63 FR 11622, Mar. 10, 1998; 69 FR 30594, May 28, 2004] (a) Except as provided in paragraphs (b), (c) and §229.125(h), a locomotive with one or more conditions not in compliance with this part may be moved only as a lite locomotive or a dead locomotive after the carrier has complied with the following: (1) A qualified person shall determine— (i) That it is safe to move the locomotive; and (ii) The maximum speed and other restrictions necessary for safely conducting the movement; (2)(i) The engineer in charge of the movement of the locomotive shall be notified in writing and inform all other crew members in the cab of the presence of the non-complying locomotive and the maximum speed and other restrictions determined under paragraph (a)(1)(ii) of this section. (ii) A copy of the tag described in paragraph (a)(3) of this section may be used to provide the notification required by paragraph (a)(2)(i) of this section. (3) A tag bearing the words “non-complying locomotive” and containing the following information, shall be securely attached to the control stand on each MU or control cab locomotive and to the isolation switch or near the engine start switch on every other type of locomotive— (i) The locomotive number; (ii) The name of the inspecting carrier; (iii) The inspection location and date; (iv) The nature of each defect; (v) Movement restrictions, if any; (vi) The destination; and (vii) The signature of the person making the determinations required by this paragraph. (b) A locomotive that develops a non-complying condition enroute may continue to utilize its propelling motors, if the requirements of paragraph (a) are otherwise fully met, until the earlier of— (1) The next calendar day inspection, or (2) The nearest forward point where the repairs necessary to bring it into compliance can be made. (c) A non-complying locomotive may be moved lite or dead within a yard, at speeds not in excess of 10 miles per hour, without meeting the requirements of paragraph (a) of this section if the movement is solely for the purpose of repair. The carrier is responsible to insure that the movement may be safely made. (d) A dead locomotive may not continue in use following a calendar day inspection as a controlling locomotive or at the head of a train or locomotive consist. (e) A locomotive does not cease to be a locomotive because its propelling motor or motors are inoperative or because its control jumper cables are not connected. (f) Nothing in this section authorizes the movement of a locomotive subject to a Special Notice for Repair unless the movement is made in accordance with the restrictions contained in the Special Notice. (g) Paragraphs (a), (b), and (c) of this section shall not apply to sanitation conditions covered by §§229.137 and 229.139. Sections 229.137 and 229.139 set forth specific requirements for the movement and repair of locomotives with defective sanitation compartments. [45 FR 21109, Mar. 31, 1980, as amended at 61 FR 8887, Mar. 6, 1996; 67 FR 16050, Apr. 4, 2002] (a) The letter “F” shall be legibly shown on each side of every locomotive near the end which for identification purposes will be known as the front end. (b) The locomotive number shall be displayed in clearly legible numbers on each side of each locomotive. Except when a locomotive is moved in accordance with §229.9, whenever two or more locomotives are coupled in remote or multiple control, the propulsion system, the sanders, and the power brake system of each locomotive shall respond to control from the cab of the controlling locomotive. If a dynamic brake or regenerative brake system is in use, that portion of the system in use shall respond to control from the cab of the controlling locomotive. On each non-MU control cab locomotive, only those components added to the passenger car that enable it to serve as a lead locomotive, control the locomotive actually providing tractive power, and otherwise control the movement of the train, are subject to this part. (a) In the case of an accident due to a failure from any cause of a locomotive or any part or appurtenance of a locomotive, or a person coming in contact with an electrically energized part or appurtenance, that results in serious injury or death of one or more persons, the carrier operating the locomotive shall immediately report the accident by toll free telephone, Area Code 800–424–0201. The report shall state the nature of the accident, number of persons killed or seriously injured, the place at which it occurred, the location at which the locomotive or the affected parts may be inspected by the FRA, and the name, title and phone number of the person making the call. The locomotive or the part or parts affected by the accident shall be preserved intact by the carrier until after the FRA inspection. (b) Written confirmation of the oral report required by paragraph (a) of this section shall be immediately mailed to the Federal Railroad Administration, RRS–25, Washington, DC 20590, and contain a detailed description of the accident, including to the extent known, the causes and the number of persons killed and injured. The written report required by this paragraph is in addition to the reporting requirements of 49 CFR part 225. All waivers of every form and type from any requirement of any order or regulation implementing the Locomotive Inspection Act, applicable to one or more locomotives except those propelled by steam power, shall lapse on August 31, 1980, unless a copy of the grant of waiver is filed prior to that date with the Office of Safety (RRS–23), Federal Railroad Administration, Washington, DC 20590.
Title 49: Transportation
PART 229—RAILROAD LOCOMOTIVE SAFETY STANDARDS
Subpart A—General
§ 229.1 Scope.
§ 229.3 Applicability.
§ 229.4 Information collection.
§ 229.5 Definitions.
§ 229.7 Prohibited acts.
§ 229.9 Movement of non-complying locomotives.
§ 229.11 Locomotive identification.
§ 229.13 Control of locomotives.
§ 229.14 Non-MU control cab locomotives.
§ 229.17 Accident reports.
§ 229.19 Prior waivers.
