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[Code of Federal Regulations] [Title 49, Volume 4] [Revised as of October 1, 2003] [CITE: 49CFR220] [Page 248-255] TITLE 49--TRANSPORTATION CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION PART 220--RAILROAD COMMUNICATIONS Subpart A--General Sec. 220.1 Scope. 220.2 Preemptive effect. 220.3 Application. 220.5 Definitions. 220.7 Penalty. 220.8 Waivers. 220.9 Requirements for trains. 220.11 Requirements for roadway workers. 220.13 Reporting emergencies. Subpart B--Radio and Wireless Communication Procedures 220.21 Railroad operating rules; radio communications; recordkeeping. 220.23 Publication of radio information. 220.25 Instruction and operational testing of employees. 220.27 Identification. 220.29 Statement of letters and numbers in radio communications. 220.31 Initiating a radio transmission. 220.33 Receiving a radio transmission. 220.35 Ending a radio transmission. 220.37 Testing radio and wireless communication equipment. 220.38 Communication equipment failure. 220.39 Continuous radio monitoring. 220.41 [Reserved] 220.43 Radio communications consistent with federal regulations and railroad operating rules. 220.45 Radio communication shall be complete. 220.47 Emergency radio transmissions. 220.49 Radio communication used in shoving, backing or pushing movements. 220.51 Radio communications and signal indications. 220.61 Radio transmission of mandatory directives. Appendix A to Part 220--Recommended Phonetic Alphabet Appendix B to Part 220--Recommended Pronunciation of Numerals Appendix C to Part 220--Schedule of Civil Penalties Authority: 49 U.S.C. 20102-20103, 20107, 21301-21302, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49. Source: 63 FR 47195, Sept. 4, 1998, unless otherwise noted. Subpart A--General Sec. 220.1 Scope. This part prescribes minimum requirements governing the use of wireless communications in connection with railroad operations. So long as these minimum requirements are met, railroads may adopt additional or more stringent requirements. Sec. 220.2 Preemptive effect. Under 49 U.S.C. 20106 (formerly section 205 of the Federal Railroad Safety Act of 1970, 45 U.S.C. 434), issuance of the regulations in this part preempts any State law, rule, regulation, order, or standard covering the same subject matter, except a provision necessary to eliminate or reduce an essentially local safety hazard that is not incompatible with this part and that does not unreasonably burden interstate commerce. Sec. 220.3 Application. (a) Except as provided in paragraph (b) of this section, this part applies to railroads that operate trains or other rolling equipment on standard gage track which is part of the general railroad system of transportation. (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. Sec. 220.5 Definitions. As used in this part, the term: Adjacent tracks means two or more tracks with track centers spaced less than 25 feet apart. Control center means the locations on a railroad from which the railroad issues instructions governing railroad operations. Division headquarters means the location designated by the railroad where a high-level operating manager (e.g., a superintendent, division manager, or equivalent), who has jurisdiction over a portion of the railroad, has an office. Employee means an individual who is engaged or compensated by a railroad or by a contractor to a railroad, who is authorized by a railroad to use its wireless communications in connection with railroad operations. [[Page 249]] Immediate access to a radio means a radio on the employee's person, or sufficiently close to the employee to allow the employee to make and receive radio transmissions. Joint operations means rail operations conducted by more than one railroad on the track of a railroad subject to the requirements of Sec. 220.9(a), except as necessary for the purpose of interchange. 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. Lone worker means an individual roadway worker who is not being afforded on-track safety by another roadway worker, who is not a member of a roadway work group, and who is not engaged in a common task with another roadway worker. Mandatory directive means any movement authority or speed restriction that affects a railroad operation. Railroad operation means any activity which affects the movement of a train, locomotive, on-track equipment, or track motor car, singly or in combination with other equipment, on the track of a railroad. Roadway worker means any employee of a railroad, or of a contractor to a railroad, whose duties include inspection, construction, maintenance or repair of railroad track, bridges, roadway, signal and communication systems, electric traction systems, roadway facilities or roadway maintenance machinery on or near track or with the potential of fouling a track, and flagmen and watchmen/lookouts. System headquarters means the location designated by the railroad as the general office for the railroad system. Train means one or more locomotives coupled with or without cars, requiring an air brake test in accordance with 49 CFR part 232 or part 238, except during switching operations or where the operation is that of classifying and assembling rail cars within a railroad yard for the purpose of making or breaking up trains. Working radio means a radio that can communicate with the control center of the railroad (through repeater stations, if necessary to reach the center) from any location within the rail system, except: (1) Tunnels or other localized places of extreme topography, and (2) Temporary lapses of coverage due to atmospheric or topographic conditions. In the case of joint operations on another railroad, the radio must be able to reach the control center of the host railroad. Working wireless communications means the capability to communicate with either a control center or the emergency responder of a railroad through such means as radio, portable radio, cellular telephone, or other means of two-way communication, from any location within the rail system, except: (1) Tunnels or other localized places of extreme topography, and (2) Temporary lapses of coverage due to atmospheric or topographic conditions. In the case of joint operations on another railroad, the radio must be able to reach the control center of the host railroad. [63 FR 47195, Sept. 4, 1998, as amended at 65 FR 41305, July 3, 2000] Sec. 220.7 Penalty. Any person (including but not limited to a railroad; any 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 causes the violation of any such requirement is subject to a civil penalty of at least $500 and not more than $11,000 per violation, except that: Penalties may be assessed against individuals only for willful violations; where a grossly negligent violation or a pattern of repeated violations has created an imminent hazard of death or injury, or has caused death or injury, a [[Page 250]] penalty not to exceed $22,000 per violation may be assessed; and the standard of liability for a railroad will vary depending upon the requirement involved. Each day a violation continues shall constitute a separate offense. (See appendix C to this part for a statement of agency civil penalty policy.) Sec. 220.8 Waivers. (a) Any person subject to a requirement of this part may petition the Administrator for a waiver of compliance with such requirement. The filing of such a petition does not affect that person's responsibility for compliance with that requirement while the petition is being considered. (b) Each petition for waiver must be filed in the manner and contain the information required by part 211 of this chapter. (c) If the Administrator finds that a waiver of compliance is in the public interest and is consistent with railroad safety, the Administrator may grant the waiver subject to any conditions the Administrator deems necessary. Sec. 220.9 Requirements for trains. (a) Except as provided for in paragraphs (b)(1) through (4) of this section, on and after July 1, 1999, each occupied controlling locomotive in a train shall have a working radio, and each train shall also have communications redundancy. For purposes of this section, ``communications redundancy'' means a working radio on another locomotive in the consist or other means of working wireless communications. (b) On and after July 1, 2000, the following requirements apply to a railroad that has fewer than 400,000 annual employee work hours: (1) Any train that transports passengers shall be equipped with a working radio in the occupied controlling locomotive and with redundant working wireless communications capability in the same manner as provided in paragraph (a) of this section. (2) Any train that operates at greater than 25 miles per hour; or engages in joint operations on track where the maximum authorized speed for freight trains exceeds 25 miles per hour; or engages in joint operations on a track that is adjacent to and within 30 feet measured between track center lines of another track on which the maximum authorized speed for passenger trains exceeds 40 miles per hour, shall be equipped with a working radio in the occupied controlling locomotive. (3) Any train that engages in joint operations, where the maximum authorized speed of the track is 25 miles per hour or less, shall be equipped with working wireless communications in the occupied controlling locomotive. (4) Any train not described in paragraph (b) of this section that transports hazardous material required to be placarded under the provisions of part 172 of this title shall be equipped with working wireless communications in the occupied controlling locomotive. Sec. 220.11 Requirements for roadway workers. (a) On and after July 1, 1999, the following requirements apply to a railroad that has 400,000 or more annual employee work hours: (1) Maintenance-of-way equipment operating without locomotive assistance between work locations shall have a working radio on at least one such unit in each multiple piece of maintenance-of-way equipment traveling together under the same movement authority. The operators of each additional piece of maintenance-of-way equipment shall have communications capability with each other. (2) Each maintenance-of-way work group shall have intra-group communications capability upon arriving at a work site. (b) On and after July 1, 1999, each employee designated by the employer to provide on-track safety for a roadway work group or groups, and each lone worker, shall be provided, and where practicable, shall maintain immediate access to a working radio. When immediate access to a working radio is not available, the employee responsible for on-track safety or lone worker shall be equipped with a radio capable of monitoring transmissions from train movements in the vicinity. A railroad with fewer than 400,000 annual employee work hours may provide immediate access to working wireless communications as an alternative to a working radio. [[Page 251]] (c) This section does not apply to: (1) Railroads which have fewer than 400,000 annual employee work hours, and which do not operate trains in excess of 25 miles per hour; or (2) Railroad operations where the work location of the roadway work group or lone worker: (i) Is physically inaccessible to trains; or (ii) Has no through traffic or traffic on adjacent tracks during the period when roadway workers will be present. Sec. 220.13 Reporting emergencies. (a) Employees shall immediately report by the quickest means available derailments, collisions, storms, wash-outs, fires, obstructions to tracks, and other hazardous conditions which could result in death or injury, damage to property or serious disruption of railroad operations. (b) In reporting emergencies, employees shall follow: (1) The procedures of Sec. 220.47 when using a radio; or (2) The procedures specified for reporting emergencies in the railroad's timetables or timetable special instructions, when using another means of wireless communications. (c) Employees shall describe as completely as possible the nature, degree and location of the hazard. (d) An alternative means of communications capability shall be provided whenever the control center is unattended or unable to receive radio transmissions during a period in which railroad operations are conducted. Subpart B--Radio and Wireless Communication Procedures Sec. 220.21 Railroad operating rules; radio communications; recordkeeping. (a) The operating rules of each railroad with respect to radio communications shall conform to the requirements of this part. (b) Thirty days before commencing to use radio communications in connection with railroad operations each railroad shall retain one copy of its current operating rules with respect to radio communications at the locations prescribed in paragraphs (b) (1) and (b)(2) of this section. Each amendment to these operating rules shall be filed at such locations within 30 days after it is issued. These records shall be made available to representatives of the Federal Railroad Administration for inspection and photocopying during normal business hours. (1) Each Class I railroad, each Class II railroad, each railroad providing intercity rail passenger service, and each railroad providing commuter service in a metropolitan or suburban area shall retain such rules at each of its division headquarters and at its system headquarters; and (2) Each Class III railroad and any other railroad subject to this part but not subject to paragraph (b)(1) of this section shall retain such rules at the system headquarters of the railroad. (c) For purposes of this section, the terms Class I railroad, Class II railroad, and Class III railroad have the meaning given these terms in 49 CFR Part 1201. Sec. 220.23 Publication of radio information. Each railroad shall designate where radio base stations are installed, where wayside stations may be contacted, and the appropriate radio channels used by these stations in connection with railroad operations by publishing them in a timetable or special instruction. The publication shall indicate the periods during which base and wayside radio stations are operational. Sec. 220.25 Instruction and operational testing of employees. Each employee who a railroad authorizes to use a radio in connection with a railroad operation, shall be: (a) Provided with a copy of the railroad's operating rules governing the use of radio communication in a railroad operation; (b) Instructed in the proper use of radio communication as part of the program of instruction prescribed in Sec. 217.11 of this chapter; and (c) Periodically tested under the operational testing requirements in Sec. 217.9 of this chapter. [[Page 252]] Sec. 220.27 Identification. (a) Except as provided in paragraph (c) of this section, the identification of each wayside, base or yard station shall include at least the following minimum elements, stated in the order listed: (1) Name of railroad. An abbreviated name or initial letters of the railroad may be used where the name or initials are in general usage and are understood in the railroad industry; and (2) Name and location of office or other unique designation. (b) Except as provided in paragraph (c) of this section, the identification of each mobile station shall consist of the following elements, stated in the order listed: (1) Name of railroad. An abbreviated name or initial letters of the railroad may be used where the name or initial letters are in general usage and are understood in the railroad industry; (2) Train name (number), if one has been assigned, or other appropriate unit designation; and (3) When necessary, the word ``locomotive'', ``motorcar'', or other unique identifier which indicates to the listener the precise mobile transmitting station. (c) If positive identification is achieved in connection with switching, classification, and similar operations wholly within a yard, fixed and mobile units may use short identification after the initial transmission and acknowledgment consistent with applicable Federal Communications Commission regulations governing ``Station Identification''. Sec. 220.29 Statement of letters and numbers in radio communications. (a) If necessary for clarity, a phonetic alphabet shall be used to pronounce any letter used as an initial, except initial letters of railroads. See appendix A of this part for the recommended phonetic alphabet. (b) A word which needs to be spelled for clarity, such as a station name, shall first be pronounced, and then spelled. If necessary, the word shall be spelled again, using a phonetic alphabet. (c) Numbers shall be spoken by digit, except that exact multiples of hundreds and thousands may be stated as such. A decimal point shall be indicated by the words ``decimal,'' ``dot,'' or ``point.'' (See appendix B to this part, for a recommended guide to the pronunciation of numbers.) Sec. 220.31 Initiating a radio transmission. Before transmitting by radio, an employee shall: (a) Listen to ensure that the channel on which the employee intends to transmit is not already in use; (b) Identify the employee's station in accordance with the requirements of Sec. 220.27; and (c) Verify that the employee has made radio contact with the person or station with whom the employee intends to communicate by listening for an acknowledgment. If the station acknowledging the employee's transmission fails to identify itself properly, the employee shall require a proper identification before proceeding with the transmission. Sec. 220.33 Receiving a radio transmission. (a) Upon receiving a radio call, an employee shall promptly acknowledge the call, identifying the employee's station in accordance with the requirements of Sec. 220.27 and stand by to receive. An employee need not attend the radio during the time that this would interfere with other immediate duties relating to the safety of railroad operations. (b) An employee who receives a transmission shall repeat it to the transmitting party unless the communication: (1) Relates to yard switching operations; (2) Is a recorded message from an automatic alarm device; or (3) Is general in nature and does not contain any information, instruction or advice which could affect the safety of a railroad operation. Sec. 220.35 Ending a radio transmission. (a) Except for transmissions relating to yard switching operations, at the close of each transmission to which a response is expected, the transmitting [[Page 253]] employee shall say ``over'' to indicate to the receiving employee that the transmission is ended. (b) Except for transmissions relating to yard switching operations, at the close of each transmission to which no response is expected, the transmitting employee shall state the employee's identification followed by the word ``out'' to indicate to the receiving employee that the exchange of transmissions is complete. Sec. 220.37 Testing radio and wireless communication equipment. (a) Each radio, and all primary and redundant wireless communication equipment used under Secs. 220.9 and 220.11, shall be tested as soon as practicable to ensure that the equipment functions as intended prior to the commencement of the work assignment. (b) The test of a radio shall consist of an exchange of voice transmissions with another radio. The employee receiving the transmission shall advise the employee conducting the test of the clarity of the transmission. Sec. 220.38 Communication equipment failure. (a) Any radio or wireless communication device found not to be functioning as intended when tested pursuant to Sec. 220.37 shall be removed from service and the dispatcher or other employee designated by the railroad shall be so notified as soon as practicable. (b) If a radio or wireless communication device fails on the controlling locomotive en route, the train may continue until the earlier of-- (1) The next calendar day inspection, or (2) The nearest forward point where the radio or wireless communication device can be repaired or replaced. Sec. 220.39 Continuous radio monitoring. Each radio used in a railroad operation shall be turned on to the appropriate channel as designated in Sec. 220.23 and adjusted to receive communications. Sec. 220.41 [Reserved] Sec. 220.43 Radio communications consistent with federal regulations and railroad operating rules. Radio communication shall not be used in connection with a railroad operation in a manner which conflicts with the requirements of this part, Federal Communication Commission regulations, or the railroad's operating rules. The use of citizen band radios for railroad operating purposes is prohibited. Sec. 220.45 Radio communication shall be complete. Any radio communication which is not fully understood or completed in accordance with the requirements of this part and the operating rules of the railroad, shall not be acted upon and shall be treated as though not sent. Sec. 220.47 Emergency radio transmissions. An initial emergency radio transmission shall be preceded by the word ``emergency,'' repeated three times. An emergency transmission shall have priority over all other transmissions and the frequency or channel shall be kept clear of non-emergency traffic for the duration of the emergency communication. Sec. 220.49 Radio communication used in shoving, backing or pushing movements. When radio communication is used in connection with the shoving, backing or pushing of a train, locomotive, car, or on-track equipment, the employee directing the movement shall specify the distance of the movement, and the movement shall stop in one-half the remaining distance unless additional instructions are received. If the instructions are not understood, the movement shall be stopped immediately and may not be resumed until the misunderstanding has been resolved, radio contact has been restored, or communication has been achieved by hand signals or other procedures in accordance with the operating rules of the railroad. [[Page 254]] Sec. 220.51 Radio communications and signal indications. (a) No information may be given by radio to a train or engine crew about the position or aspect displayed by a fixed signal. However, a radio may be used by a train crew member to communicate information about the position or aspect displayed by a fixed signal to other members of the same crew. (b) Except as provided in the railroad's operating rules, radio communication shall not be used to convey instructions which would have the effect of overriding the indication of a fixed signal. Sec. 220.61 Radio transmission of mandatory directives. (a) Each mandatory directive may be transmitted by radio only when authorized by the railroad's operating rules. The directive shall be transmitted in accordance with the railroad's operating rules and the requirements of this part. (b) The procedure for transmission of a mandatory directive is as follows: (1) The train dispatcher or operator shall call the addressees of the mandatory directive and state the intention to transmit the mandatory directive. (2) Before the mandatory directive is transmitted, the employee to receive and copy shall state the employee's name, identification, location, and readiness to receive and copy. An employee operating the controls of moving equipment shall not receive and copy mandatory directives. A mandatory directive shall not be transmitted to employees on moving equipment, if such directive cannot be received and copied without impairing safe operation of the equipment. (3) A mandatory directive shall be copied in writing by the receiving employee in the format prescribed in the railroad's operating rules. (4) After the mandatory directive has been received and copied, it shall be immediately repeated in its entirety. After verifying the accuracy of the repeated mandatory directive, the train dispatcher or operator shall then state the time and name of the employee designated by the railroad who is authorized to issue mandatory directives. An employee copying a mandatory directive shall then acknowledge by repeating the time and name of the employee so designated by the railroad. (5)(i) For train crews, before a mandatory directive is acted upon, the conductor and engineer shall each have a written copy of the mandatory directive and make certain that the mandatory directive is read and understood by all members of the crew who are responsible for the operation of the train. Mandatory directives which have been fulfilled or canceled shall be marked with an ``X'' or in accordance with the railroad's operating rules, and retained for the duration of the train crew's work assignment. (ii) For on-track equipment, before a mandatory directive is acted upon, the employee responsible for on-track safety shall have a written copy of the mandatory directive, and make certain that the mandatory directive is acknowledged by all employees who are responsible for executing that mandatory directive. The employee responsible for on- track safety shall retain a copy of the mandatory directive while it is in effect. (6) A mandatory directive which has not been completed or which does not comply with the requirements of the railroad's operating rules and this part, may not be acted upon and shall be treated as though not sent. Information contained in a mandatory directive may not be acted upon by persons other than those to whom the mandatory directive is addressed. Appendix A to Part 220--Recommended Phonetic Alphabet A--ALFA B--BRAVO C--CHARLIE D--DELTA E--ECHO F--FOXTROT G--GOLF H--HOTEL I--INDIA J--JULIET K--KILO L--LIMA M--MIKE N--NOVEMBER O--OSCAR P--PAPA Q--QUEBEC R--ROMEO S--SIERRA [[Page 255]] T--TANGO U--UNIFORM V--VICTOR W--WHISKEY X--XRAY Y--YANKEE Z--ZULU The letter ``ZULU'' should be written as ``Z'' to distinguish it from the numeral ``2''. Editorial Note: At 63 FR 11621, Mar. 10, 1998, an amendment was published amending footnote 1 to appendix A of part 220. The amendment could not be incorporated because footnote 1 to appendix A of part 220 does not exist in 49 CFR parts 200 to 399, revised as of Oct. 1, 1997. Appendix B to Part 220--Recommended Pronunciation of Numerals To distinguish numbers from similar sounding words, the word ``figures''should be used preceding such numbers. Numbers should be pronounced as follows: ------------------------------------------------------------------------ Number Spoken ------------------------------------------------------------------------ 0........................................ ZERO. 1........................................ WUN. 2........................................ TOO. 3........................................ THUH-REE-. 4........................................ FO-WER. 5........................................ FI-YIV. 6........................................ SIX. 7........................................ SEVEN. 8........................................ ATE. 9........................................ NINER. ------------------------------------------------------------------------ (The figure ZERO should be written as ``0'' to distinguish it from the letter ``O''. The figure ONE should be underlined to distinguish it from the letter ``I''. When railroad rules require that numbers be spelled, these principles do not apply.) The following examples illustrate the recommended pronunciation of numerals: ------------------------------------------------------------------------ Number Spoken ------------------------------------------------------------------------ 44..................................... FO-WER FO-WER. 500.................................... FI-YIV HUNDRED. 1000................................... WUN THOUSAND. 1600................................... WUN SIX HUNDRED. 14899.................................. WUN FO-WER ATE NINER NINER. 20.3................................... TOO ZERO DECIMAL THUH-REE. ------------------------------------------------------------------------ Appendix C to Part 220--Schedule of Civil Penalties \1\ --------------------------------------------------------------------------- \1\ A penalty may be assessed against and only for a willful violation. The Administrator reserves the right to assess a penalty of up to $22,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. ------------------------------------------------------------------------ Willful Section Violation violation ------------------------------------------------------------------------ 220.9 Requirements for trains................. $5,000 $7,500 220.11 Requirements for roadway workers....... 5,000 7,500 220.21 Railroad Operating rules; radio communications............................... (a)........................................... 5,000 7,500 (b)........................................... 2,500 5,000 220.23 Publication of radio information....... 2,500 5,000 220.25 Instruction of employees............... 5,000 7,500 220.27 Identification......................... 1,000 2,000 220.29 Statement of letters and numbers....... 1,000 2,000 220.31 Initiating a transmission.............. 1,000 2,000 220.33 Receiving a transmission............... 1,000 2,000 220.35 Ending a transmission.................. 1,000 2,000 220.37 Voice test............................. 5,000 7,500 220.39 Continuous monitoring.................. 2,500 5,000 220.41 [Reserved]............................. ........... ........... 220.43 Communication consistent with the rules 2,500 5,000 220.45 Complete communications................ 2,500 5,000 220.47 Emergencies............................ 2,500 5,000 220.49 Switching, backing or pushing.......... 5,000 7,500 220.51 Signal indications..................... 5,000 7,500 220.61 Radio transmission of mandatory 5,000 7,500 directives................................... ------------------------------------------------------------------------ [[Page 256]]
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