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[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2003]
[CITE: 49CFR221]

[Page 256-261]
 

TITLE 49--TRANSPORTATION
CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
PART 221--REAR END MARKING DEVICE--PASSENGER, COMMUTER AND FREIGHT TRAINS


                           Subpart A--General

Sec.
221.1 Scope.
221.3 Application.
221.5 Definitions.
221.7 Civil penalty
221.9 Waivers.
221.11 State regulation.

                       Subpart B--Marking Devices

221.13 Marking device display.
221.14 Marking devices.
221.15 Marking device inspection.
221.16 Inspection procedure.
221.17 Movement of defective equipment.

Appendix A to Part 221--Procedures for Approval of Rear End Marking 
          Devices
Appendix B to Part 221--Approved Rear End Marking Devices
Appendix C to Part 221--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 42 FR 2321, Jan. 11, 1977, unless otherwise noted.

                           Subpart A--General

Sec. 221.1  Scope.

    This part prescribes minimum requirements governing highly visible 
marking devices for the trailing end of the rear car of all passenger, 
commuter and freight trains. So long as these minimum requirements are 
met, railroads may adopt additional or more stringent requirements for 
rear end marking devices.

Sec. 221.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to passenger, commuter and freight trains when operated on a 
standard gage main track which is part of the general railroad system of 
transportation.
    (b) This part does not apply to:
    (1) A railroad that operates only trains consisting of historical or 
antiquated equipment for excursion, educational, or recreational 
purposes;
    (2) A train that operates only on track inside an installation which 
is not part of the general railroad system of transportation;
    (3) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (4) A railroad that operates only one train at any given time.

[42 FR 2321, Jan. 11, 1977, as amended at 53 FR 28600, July 28, 1988]

Sec. 221.5  Definitions.

    As used in this part:
    (a) Train means a locomotive unit or locomotive units coupled, with 
or without cars, involved in a railroad operation conducted on a main 
track. It does not include yard movements.
    (b) Commuter train means a short haul passenger train operating on 
track which is part of the general railroad system of transportation, 
within an urban, suburban or metropolitan area. It includes a passenger 
train provided by an instrumentality of a State or political subdivision 
thereof.
    (c) Locomotive means a self-propelled unit of equipment designed for 
moving other equipment in revenue service and includes a self-propelled 
unit designed to carry freight or passenger traffic, or both.
    (d) Main track means a track, other than an auxiliary track, 
extending through yards or between stations, upon which trains are 
operated by timetable or train order or both, or the use of which is 
governed by a signal system.
    (e) Train order means mandatory directives issued as authority for 
the conduct of a railroad operation outside of yard limits.
    (f) Red-orange-amber color range means those colors defined by 
chromaticity coordinates, as expressed in terms of the International 
Commission on Illumination's 1931 Colormetric System, which lie within 
the region bounded by the spectrum locus and lines defined by the 
following equations:

                        X+Y=.97 (white boundary)

                        Y=X--.12 (green boundary)

    (g) Administrator means the Federal Railroad Administrator, the 
Deputy Administrator, or any official of the Federal Railroad 
Administration to

[[Page 257]]

whom the Administrator has delegated his authority under this part.
    (h) Effective intensity means that intensity of a light in candela 
as defined by the Illuminating Engineering Society's Guide for 
Calculating the Effective Intensity of Flashing Signal Lights, November, 
1964.
    (i) Qualified person means any person who has the skill to perform 
the task and has received adequate instruction.

[42 FR 2321, Jan. 11, 1977; 42 FR 3843, Jan. 21, 1977, as amended at 51 
FR 25185, July 10, 1986]

Sec. 221.7  Civil penalty.

    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 
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, 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 $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix C to this part for a 
statement of agency civil penalty policy.

[53 FR 28600, July 28, 1988, as amended at 53 FR 52930, Dec. 29, 1988; 
63 FR 11621, Mar. 10, 1998]

Sec. 221.9  Waivers.

    (a) A railroad may petition the Federal Railroad Administrator for a 
waiver of compliance with any requirement prescribed in this part.
    (b) Each petition for a waiver under this section 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, he may grant the 
waiver subject to any condition he deems necessary. Notice of each 
waiver granted, including a statement of the reasons therefor, will be 
published in the Federal Register.

Sec. 221.11  State regulation.

    Notwithstanding the provisions of this part, a State may continue in 
force any law, rule, regulation, order, or standard that was in effect 
on July 8, 1976, relating to lighted marking devices on the rear car of 
freight trains except to the extent that such law, rule, regulation, 
order, or standard would cause such cars to be in violation of this 
part.

                       Subpart B--Marking Devices

Sec. 221.13  Marking device display.

    (a) During the periods prescribed in paragraph (b) of this section, 
each train to which this part applies that occupies or operates on main 
track shall (1) be equipped with, (2) display on the trailing end of the 
rear car of that train, and (3) continuously illuminate or flash a 
marking device prescribed in this subpart.
    (b) Unless equipped with a functioning photoelectric cell activation 
mechanism complying with paragraph (c) of this section, the marking 
devices prescribed by this subpart shall be illuminated continuously or 
flash during the period between one hour before sunset and one hour 
after sunrise, and during all other hours when weather conditions so 
restrict visibility that the end silhouette of a standard box car cannot 
be seen from \1/2\ mile on tangent track by a person having 20/20 
corrected vision.
    (c) Marking devices prescribed by this part and equipped with a 
functioning photoelectric cell activation mechanism shall illuminate or 
flash the device continuously when there is less than 1.0 candela per 
square meter of ambient light.

[[Page 258]]

    (d) The centroid of the marking device must be located at a minimum 
of 48 inches above the top of the rail.

[51 FR 25185, July 10, 1986]

Sec. 221.14  Marking devices.

    (a) As prescribed in Sec. 221.13, passenger, commuter and freight 
trains shall be equipped with at least one marking device, which has 
been approved by the Federal Railroad Adminstrator in accordance with 
the procedures included in appendix A of this part, and which has the 
following characteristics:
    (1) An intensity of not less than 100 candela nor more than 1000 
candela (or an effective intensity of not less than 100 candela nor more 
than 1000 candela for flashing lights) as measured at the center of the 
beam width;
    (2) A horizontal beam with a minimum arc width of fifteen (15) 
degrees each side of the vertical center line, and a vertical beam with 
a minimum arc width of five (5) degrees each side of the horizontal 
center line as defined in terms of the 50 candela intensity points;
    (3) A color defined by the red-orange-amber color range; and
    (4) If a flashing light is used, a flash rate of not less than once 
every 1.3 seconds nor more than once every .7 seconds.
    (b) Marking devices used on passenger and commuter trains in 
compliance with paragraph (a) of this section shall be lighted under the 
conditions prescribed in Sec. 221.13 (b) and (c).
    (c) When a locomotive is operated singly, or at the rear of a train, 
highly visible marking devices may be provided by the use of:
    (1) At least one marking device that complies with paragraph (a) of 
this section; or
    (2) At least one illuminated red or amber classification light on 
the rear of the locomotive, provided it complies with paragraph (a) of 
this section; or
    (3) The rear headlight of the locomotive illuminated on low beam.

[51 FR 25185, July 10, 1986]

Sec. 221.15  Marking device inspection.

    (a) Each marking device displayed in compliance with this part shall 
be examined at each crew change point to assure that the device is in 
proper operating condition.
    (b) This examination shall be accomplished either by visually 
observing that the device is functioning as required or that the device 
will function when required by either (1) repositioning the activation 
switch or (2) covering the photoelectric cell.
    (c) This examination shall be conducted either by the train crew or 
some other qualified person, Provided that, if a non-train crewmember 
performs the examination, that person shall communicate his or her 
findings to the locomotive engineer of the new train crew.
    (d) When equipped with a radio telemetry capability, a marker 
displayed in accordance with this part may be examined by observing the 
readout information displayed in the cab of the controlling locomotive 
demonstrating that the light is functioning as required in lieu of 
conducting a visual observation.

[51 FR 25185, July 10, 1986]

Sec. 221.16  Inspection procedure.

    (a) Prior to operating the activation switch or covering the 
photoelectric cell when conducting this test, a non-train crew person 
shall determine that he is being protected against the unexpected 
movement of the train either under the procedures established in part 
218 of this chapter or under the provisions of paragraph (b) of this 
section.
    (b) In order to establish the alternative means of protection under 
this section, (1) the train to be inspected shall be standing on a main 
track; (2) the inspection task shall be limited to ascertaining that the 
marker is in proper operating condition; and (3) prior to performing the 
inspection procedure, the inspector shall personally contact the 
locomotive engineer or hostler and be advised by that person that they 
are occupying the cab of the controlling locomotive and that the train 
is and will remain secure against movement until the inspection has been 
completed.

[51 FR 25185, July 10, 1986]

[[Page 259]]

Sec. 221.17  Movement of defective equipment.

    (a) Whenever the marking device prescribed in this part becomes 
inoperative enroute, the train may be moved to the next forward location 
where the marking device can be repaired or replaced.
    (b) Defective rolling equipment which, because of the nature of the 
defect, can be placed only at the rear of a train for movement to the 
next forward location at which repairs can be made need not be equipped 
with marking devices prescribed in this part.
    (c) When a portion of a train has derailed, and a portable marking 
device is not available, the remainder of the train may be moved to the 
nearest terminal without being equipped with the marking device 
prescribed in this part.

  Appendix A to Part 221--Procedures for Approval of Rear End Marking 
                                 Devices

    As provided in Sec. 221.15 of this part, marking devices must be 
approved by the Administrator, Approval shall be issued in accordance 
with the following procedures:
    (a) Each submission for approval of a marking device consisting of 
lighted elements only shall contain the following information:
    (1) A detailed description of the device including the type, 
luminance description, size of lens, manufacturer and catalog number, 
lamp manufacturer, lamp type and model number, and any auxiliary optics 
used.
    (2) A certification, signed by the chief operating officer of the 
railroad, that--
    (i) The device described in the submission has been tested in 
accordance with the current ``Guidelines for Testing of FRA Rear End 
Marking Devices,'' copies of which may be obtained from the Office of 
Safety, Federal Railroad Administration, 2100 Second Street SW., 
Washington, DC 20590;
    (ii) The results of the tests performed under paragraph (i) of this 
subsection demonstrate marking device performance in compliance with the 
standard perscribed in 49 CFR 221.15;
    (iii) Detailed test records, including as a minimum the name and 
address of the testing organizations, the name of the individual in 
charge of the tests, a narrative description of the test procedures, the 
number of samples tested, and for each sample tested, the on-axis beam 
candela, the beam candela at the [plusmn]15 degree points in the 
horizontal plane, the beam candela at the [plusmn]5 degree points in the 
vertical plane, and the chromaticity coordinates, are maintained by the 
railroad and are available for inspection by the FRA at a designated 
location which is identified in the submission;
    (iv) Marking devices of this type installed in the operating 
environment shall consist of the same type and model of components as 
were used in the samples tested for purposes of this approval 
submission.
    (3) Unless otherwise qualified, acknowledgement of the receipt of 
the submission required by this section shall constitute approval of the 
device. The FRA reserves the right to review the test records maintained 
by the railroad, or to test independently any device submitted for 
approval under these procedures, and to withdraw the approval of such 
device at any time, after notice and opportunity for oral comment, if 
its performance in the operating environment fails to substantiate the 
rest results or to comply with 49 CFR 221.15.
    (b)(1) Each submission for approval of a marking device consisting 
of non-lighted elements or a combination of lighted and non-lighted 
elements shall contain the following information:
    (i) A detailed description of the device including the type of 
material, the reflectance factor, the size of the device, and the 
manufacturer and catalogue number;
    (ii) A detailed description of the external litht source including 
the intensity throughout its angle of coverage, and the manufacturer and 
catalogue number;
    (iii) A detailed description of the proposed test procedure to be 
used to demonstrate marking device compliance with the standard 
prescribed in 49 CFR 221.15, including any detailed mathematical data 
reflecting expected performance.
    (2) FRA will review the data submitted under subsection (1) of this 
section, and in those instances in which compliance with 49 CFR 221.15 
appears possible from a theoretical analysis, the FRA will authorize and 
may take part in testing to demonstrate such compliance.
    (3) Where authorized testing has demonstrated compliance with 49 CFR 
221.15, a railroad shall submit a certification, signed by the chief 
operating officer of the railroad, that--
    (i) The device described in the original submission has been tested 
in accordance with the procedures described therein;
    (ii) The results of the tests peformed under paragraph (i) of this 
subsection demonstrate marking device performance in compliance with the 
standard prescribed in 49 CFR 221.15;
    (iii) Detailed test records, including as a minimum the name and 
address of the testing organization, the name of the individual in 
charge of the tests, a narrative description of the test procedure, a 
description of the external light source used, the number of samples 
tested, and for each sample tested,

[[Page 260]]

the on-axis beam candela, the beam candela at the [plusmn]15 degree 
points in the horizontal plane, the beam candela at the [plusmn]15 
degree point in the vertical plane, and the chromaticity coordinates, 
are maintained by the railroad and are available for inspection by the 
FRA at a designated location which is identified in the submission;
    (iv) Marking devices of this type installed in the operating 
environment and the external light source used to illuminate them shall 
consist of the same type and model of components as were used in the 
samples tested for purposes of this approval submission.
    (4) Unless otherwise qualified, acknowledgement of the receipt of 
the submission required by this subsection shall constitute approval of 
the device. The FRA reserves the right to review the test records 
maintained by the railroad, or to test independently any device 
submitted for approval under these procedures, and to disapprove the use 
of such device at any time if its performance fails to comply with 49 
CFR 221.15.
    (c) Whenever a railroad elects to use a marking device which has 
been previously approved by the FRA, and is included in the current list 
in appendix B to this part, the submission shall contain the following 
information:
    (1) The marking device model designation as it appears in appendix 
B.
    (2) A certification, signed by the chief operating officer of the 
railroad that--
    (i) Marking devices of this type installed in the operating 
environment shall consist of the same type and model of components as 
were used in the samples tested for the original approval.
    (d) Each submission for approval of a marking device shall be filed 
in triplicate with the Office of Standards and Procedures, Office of 
Safety, Federal Railroad Administration, 2100 Second Street SW., 
Washington, DC 20590.

[42 FR 62004, Dec. 8, 1977]

        Appendix B to Part 221--Approved Rear End Marking Devices

         part i--approved devices tested for or by manufacturers

    1. Manufacturer: Star Headlight & Lantern Co., 168 West Main Street, 
Honeoye Falls, NY 14472.
    FRA identification Nos. FRA-PLE-STAR-845-F (flasher) and FRA-PLE-
STAR-845-C (steady burn).
    2. Manufacturer: Julian A. McDermott Corp., 1639 Stephen Street, 
Ridgewood, Long Island, NY 11227.
    FRA identification Nos. FRA-MEC-MCD-100-C (steady burn), FRA-MEC-
MCD-100-F (flasher), FRA-MEC-MCD-300-C (steady burn), and FRA-MEC-MCD-
300-F (flasher).
    3. Manufacturer: American Electronics, Inc., \1\ 40 Essex Street, 
Hackensack, NJ 07601.
---------------------------------------------------------------------------

    \1\ Note: Yankee Metal Products Corp. previously produced these 
devices.
---------------------------------------------------------------------------

    FRA identification Nos. FRA-DRGW-YANK-300 (portable strobe), FRA-WP-
YANK-301R (flashing), FRA-WP-YANK-305R (flashing), and FRA-WP-YANK-306R 
(steady burn).

        part ii--approved devices tested for or by rail carriers

    1. Carrier: Atchison, Topeka & Santa Fe Railway Co., Technical 
Research & Development Department, 1001 Northeast Atchison Street, 
Topeka, Kans. 66616.
    Manufacturer: Trans-Lite, Inc., P.O. Box 70, Milford, Conn. 06460.
    FRA identification Nos. FRA-ATSF-TL-875-150, FRA-ATSF-TL-875-60, 
FRA-ATSF-TL-875-4412, and FRA-ATSF-TL-200.
    2. Carrier: Amtrak--National Railroad Passenger Corporation, 400 
North Capitol Street NW., Washington, DC 20001.
    Manufacturer: (a) Trans-Lite, Inc., P.O. Box 70, Milford, Conn. 
06460.
    FRA identification Nos. FRA-ATK-TL-3895-1, FRA-ATK-TL-4491-2, FRA-
ATK-TL-4491-3, and FRA-ATK-TL-FM-4491-1.
    Manufacturer: (b) Luminator Division of Gulfton Industries, Inc., 
1200 East Dallas North Parkway, Plano, Tex. 75074.
    FRA identification No. FRA-ATK-LUM-0101890-001.
    Manufacturer: (c) Whelen Engineering Co., Inc., Deep River, Conn. 
06417.
    FRA identification No. FRA-ATK-WHE-WERT-12.

[43 FR 36447, Aug. 17, 1978]

         Appendix C to Part 221--Schedule of Civil Penalties \1\
---------------------------------------------------------------------------

    \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 $20,000 for any violation where circumstances warrant. 
See 49 CFR part 209, appendix A. Where the conditions for movement of 
defective equipment set forth in Sec. 221.17 of this part are not met, 
the movement constitutes a violation of Sec. 221.13 of this part.

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
221.13 Marking device display:
    (a) device not present, not displayed, or        $5,000       $7,500
     not properly illuminated.................
    (d) device too close to rail..............        1,000        2,000
221.14 Marking devices: Use of unapproved or          2,500        5,000
 noncomplying device..........................

[[Page 261]]


221.15 Marking device inspection:
    (a) Failure to inspect at crew change.....        2,500        5,000
    (b), (c) improper inspection..............        2,500        5,000
221.16 Inspection procedure:
    (a) Failure to obtain protection..........        5,000        7,500
    (b) Improper protection...................        2,500        5,000
221.17 Movement of defective equipment........        (\1\)        (\1\)
------------------------------------------------------------------------


[53 FR 52930, Dec. 29, 1988]




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