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[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2003]
[CITE: 49CFR223]

[Page 261-266]
 

TITLE 49--TRANSPORTATION
CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
PART 223--SAFETY GLAZING STANDARDS--LOCOMOTIVES, PASSENGER CARS AND CABOOSES


                           Subpart A--General

Sec.
223.1 Scope.
223.3 Application.
223.5 Definitions.
223.7 Responsibility.

                    Subpart B--Specific Requirements

223.8 Additional requirements for passenger equipment.
223.9 Requirements for new or rebuilt equipment.
223.11 Requirements for existing locomotives.
223.13 Requirements for existing cabooses.
223.15 Requirements for existing passenger cars.
223.17 Identification of equipped locomotives, passenger cars and 
          cabooses.

Appendix A to Part 223--Certification of Glazing Materials
Appendix B to Part 223--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20102-03, 20133, 20701-20702, 21301-02, 21304; 
49 CFR 1.49(c), (m).

                           Subpart A--General

Sec. 223.1  Scope.

    This part provides minimum requirements for glazing materials in 
order to protect railroad employees and railroad passengers from injury 
as a result of objects striking the windows of locomotives, caboose and 
passenger cars.

[44 FR 77352, Dec. 31, 1979]

Sec. 223.3  Application.

    (a) This part applies to railroads that operate rolling equipment on 
standard gauge track that is a part of the general railroad system of 
transportation.
    (b) This part does not apply to--
    (1) Locomotives, cabooses, and passenger cars that operate only on 
track inside an installation that is not part of the general railroad 
system of transportation;
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (3) Locomotives, passenger cars and cabooses that are historical or 
antiquated equipment and are used only for excursion, educational, 
recreational purposes or private transportation purposes.
    (4) Locomotives that are used exclusively in designated service as 
defined in Sec. 223.5(m).

[44 FR 77352, Dec. 31, 1979, as amended at 53 FR 28600, July 28, 1988]

Sec. 223.5  Definitions.

    As used in this part--
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Caboose means a car in a freight train intended to provide 
transportation for crewmembers.
    Certified glazing means a glazing material that has been certified 
by the manufacturer as having met the testing requirements set forth in 
Appendix A of this part and that has been installed in such a manner 
that it will perform its intended function.
    Designated service means exclusive operation of a locomotive under 
the following conditions:
    (1) The locomotive is not used as an independent unit or the 
controlling unit is a consist of locomotives except when moving for the 
purpose of servicing or repair within a single yard area;
    (2) The locomotive is not occupied by operating or deadhead crews 
outside a single yard area; and
    (3) The locomotive is stenciled ``Designated Service--DO NOT 
OCCUPY''.

[[Page 262]]

    Emergency responder means a member of a police or fire department, 
or other organization involved with public safety charged with providing 
or coordinating emergency services, who responds to a passenger train 
emergency.
    Emergency window means that segment of a side facing glazing 
location which has been designed to permit rapid and easy removal during 
a crisis situation.
    End facing glazing location means any location where a line 
perpendicular to the plane of the glazing material makes a horizontal 
angle of 50 degrees or less with the centerline of the locomotive, 
caboose or passenger car. Any location which, due to curvature of the 
glazing material, can meet the criteria for either a front facing 
location or a side facing location shall be considered a front facing 
location.
    FRA means the Federal Railroad Administration.
    Locomotive means a self-propelled unit of equipment designed 
primarily for moving other equipment. It does not include self-propelled 
passenger cars.
    Locomotive cab means that portion of the superstructure designed to 
be occupied by the crew while operating the locomotive.
    Passenger car means a unit of rail rolling equipment intended to 
provide transportation for members of the general public and includes 
self-propelled cars designed to carry baggage, mail, express or 
passengers. This term includes a passenger coach, cab car, and an MU 
locomotive. This term does not include a private car.
    Passenger train service means the transportation of persons (other 
than employees, contractors, or persons riding equipment to observe or 
monitor railroad operations) in intercity passenger service or commuter 
or other short-haul passenger service in a metropolitan or suburban 
area.
    Person includes all categories of entities covered under 1 U.S.C. 1, 
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 passenger, any trespasser or nontrespasser; any 
independent contractor providing goods or services to a railroad; and 
any employee of such owner, manufacturer, lessor, lessee, or independent 
contractor.
    Railroad means:
    (1) Any form of non-highway ground transportation that runs on rails 
or electromagnetic guideways, including
    (i) Commuter or other short-haul rail passenger service in a 
metropolitan or suburban area and commuter railroad service that was 
operated by the Consolidated Rail Corporation on January 1, 1979, and
    (ii) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads, but does not 
include rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation and
    (2) A person that provides railroad transportation, whether directly 
or by contracting out operation of the railroad to another person.
    Rebuilt locomotive, caboose or passenger car means a locomotive, 
caboose or passenger car that has undergone overhaul which has been 
identified by the railroad as a capital expense under Surface 
Transportation Board accounting standards.
    Side facing glazing location means any location where a line 
perpendicular to the plane of the glazing material makes an angle of 
more than 50 degrees with the centerline of the locomotive, caboose or 
passenger car.
    Windshield means the combination of individual units of glazing 
material of the locomotive, passenger car, or caboose that are 
positioned in an end facing glazing location.
    Yard is a system of auxiliary tracks used exclusively for the 
classification of passenger or freight cars according to commodity or 
destination; assembling of cars for train movement; storage of cars; or 
repair of equipment.
    Yard caboose means a caboose that is used exclusively in a single 
yard area.
    Yard locomotive means a locomotive that is operated only to perform 
switching functions within a single yard area.

[63 FR 24675, May 4, 1998; 63 FR 36376, July 6, 1998]

[[Page 263]]

Sec. 223.7  Responsibility.

    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 B to this part for a 
statement of agency civil penalty policy.

[53 FR 28601, July 28, 1988, as amended at 53 FR 52930, Dec. 29, 1988; 
63 FR 11621, Mar. 10, 1998]

                    Subpart B--Specific Requirements

Sec. 223.8  Additional requirements for passenger equipment.

    In addition to the requirements contained in this part, requirements 
for emergency window exits and window safety glazing on passenger 
equipment, as defined in Sec. 238.5 of this chapter, are also found in 
part 238 of this chapter.

[64 FR 25659, May 12, 1999]

Sec. 223.9  Requirements for new or rebuilt equipment.

    (a) Locomotives, including yard locomotives, built or rebuilt after 
June 30, 1980, must be equipped with certified glazing in all locomotive 
cab windows.
    (b) Cabooses, including yard cabooses, built or rebuilt after June 
30, 1980, must be equipped with certified glazing in all windows.
    (c) Passenger cars, including self-propelled passenger cars, built 
or rebuilt after June 30, 1980, must be equipped with certified glazing 
in all windows and at least four emergency opening windows.
    (d) Marking. Each railroad providing passenger train service shall 
ensure that for each passenger car, except for self-propelled cars 
designed to carry baggage, mail, or express:
    (1) Each emergency window is conspicuously and legibly marked with 
luminescent material on the inside of each car to facilitate passenger 
egress. Each such railroad shall post clear and legible operating 
instructions at or near each such exit.
    (2) Each window intended for emergency access by emergency 
responders for extrication of passengers is marked with a 
retroreflective, unique, and easily recognizable symbol or other clear 
marking. Each such railroad shall post clear and understandable window-
access instructions either at each such window or at each end of the 
car.

[44 FR 77352, Dec. 31, 1979, as amended at 45 FR 49271, July 24, 1980; 
63 FR 24675, May 4, 1998]

Sec. 223.11  Requirements for existing locomotives.

    (a) Locomotives, other than yard locomotives, built or rebuilt prior 
to July 1, 1980, which are equipped in the forward and rearward end 
facing glazing locations of the locomotive cab windshield with a glazing 
material that meets the criteria for either portion of the impact 
testing required for a Type I test under the provisions of appendix A of 
this part, will not require the installation of certified glazing in the 
windshield location except to replace windshield glazing material that 
is broken or damaged.
    (b) Locomotives, other than yard locomotives, built or rebuilt prior 
to July 1, 1980, which are equipped in all locomotive cab side facing 
glazing locations with a glazing material that meets the criteria for 
either portion of the impact testing required for a Type II test under 
the provisions of appendix A of this part, will not require the 
installation of certified glazing in the sidefacing glazing location 
except to replace sidefacing glazing material that is broken or damaged.

[[Page 264]]

    (c) Except for yard locomotives and locomotives equipped as 
described in paragraphs (a) and (b), of this section, locomotives built 
or rebuilt prior to July 1, 1980, shall be equipped with certified 
glazing in all locomotive cab windows after June 30, 1984.
    (d) Each locomotive subject to the provisions of paragraph (c) of 
this section which, as a result of an act of vandalism has a locomotive 
cab window that is broken or damaged so that the window fails to permit 
good visibility--
    (1) Shall be placed in Designated Service within 48 hours of the 
time of breakage or damage or
    (2) Shall be removed from service until equipped with certified 
glazing in the following manner:
    (i) If the broken or damaged window is a part of the windshield of 
the locomotive cab, all of the forward and rearward end facing glazing 
locations of the locomotive cab must be replaced with certified glazing.
    (ii) If the broken or damaged window is a part of the sidefacing 
window of the locomotive cab, all of the sidefacing glazing locations of 
the locomotive cab must be replaced with certified glazing.

(Sec. 209 of the Federal Railroad Safety Act, 94 Stat. 957 (45 U.S.C. 
438); sec. 1.49(m) of the regulations of the Office of the Secretary of 
Transportation, 49 CFR 1.49(m))

[45 FR 49271, July 24, 1980, as amended at 48 FR 24083, May 31, 1983; 48 
FR 56956, Dec. 27, 1983]

Sec. 223.13  Requirements for existing cabooses.

    (a) Cabooses, other than yard cabooses, built or rebuilt prior to 
July 1, 1980, which are equipped in the forward and rearward end facing 
glazing locations of the windshield with a glazing material that meets 
the criteria for either portion of the impact testing required for a 
Type I test under the provisions of appendix A of this part, will not 
require the installation of certified glazing in the windshield location 
except to replace windshield glazing material that is broken or damaged.
    (b) Cabooses, other than yard cabooses, built or rebuilt prior to 
July 1, 1980, which are equipped in all side facing glazing locations 
with a glazing material that meets the criteria for either portion of 
the impact testing required for a Type II test under the provisions of 
appendix A of this part, will not require the installation of certified 
glazing in the sidefacing glazing locations except to replace sidefacing 
glazing material that is broken or damaged.
    (c) Except for yard cabooses and cabooses equipped as described in 
paragraphs (a) and (b), cabooses built or rebuilt prior to July 1, 1980, 
shall be equipped with certified glazing in all windows after June 30, 
1984.
    (d) Each caboose subject to the provision of paragraph (c) of this 
section, which, as a result of an act of vandalism, has a window that is 
broken or damaged so that the window fails to permit good visibility 
shall be equipped with certified glazing in the following manner:
    (1) If the broken window is a part of the windshield, all of the 
forward and rearward end facing glazing locations must be replaced with 
certified glazing within 30 days of the date of breakage or damage.
    (2) If the broken window is a part of the sidefacing window, all of 
the sidefacing glazing locations must be replaced with certified glazing 
within 30 days of the date of breakage.

(Sec. 209 of the Federal Railroad Safety Act, 94 Stat. 957 (45 U.S.C. 
438); Sec. 1.49(m) of the regulations of the Office of the Secretary of 
Transportation, 49 CFR 1.49(m))

[44 FR 77352, Dec. 31, 1979, as amended at 48 FR 24083, May 31, 1983; 48 
FR 56956, Dec. 27, 1983]

Sec. 223.15  Requirements for existing passenger cars.

    (a) Passenger cars built or rebuilt prior to July 1, 1980, which are 
equipped in the forward and rearward end facing glazing locations of the 
windshield with a glazing material that meets the criteria for either 
portion of the impact testing required for a Type I test under the 
provisions of appendix A of this part will not require the installation 
of certified glazing in the windshield location except to replace 
windshield glazing material that is broken or damaged.
    (b) Passenger cars built or rebuilt prior to July 1, 1980, which are

[[Page 265]]

equipped in the sidefacing glazing locations with a glazing material 
that meets the criteria for either portion of the impact testing 
required for a Type II test under the provisions of appendix A of this 
part, will not require the installation of certified glazing except to 
replace sidefacing glazing material that is broken or damaged.
    (c) Except for passenger cars described in paragraphs (a) and (b), 
passenger cars built or rebuilt prior to July 1, 1980, shall be equipped 
with certified glazing in all windows and a minimum of four emergency 
windows after June 30, 1984.
    (d) Each passenger car subject to the provisions of paragraph (c) of 
this section which as a result of an act of vandalism, has a window that 
is broken or damaged so that the window fails to permit good visibility 
shall be equipped with certified glazing in the following manner:
    (1) When the broken window is a part of the windshield, all of the 
forward and rearward end facing glazing locations shall be replaced with 
certified glazing within 30 days of breakage.
    (2) When the broken window is a part of the sidefacing window, the 
glazing in that individual sidefacing glazing location shall be replaced 
with certified glazing within 30 days of the date of breakage.

(Sec. 209 of the Federal Railroad Safety Act, 94 Stat. 957 (45 U.S.C. 
438); sec. 1.49(m) of the regulations of the Office of the Secretary of 
Transportation, 49 CFR 1.49(m))

[44 FR 77352, Dec. 31, 1979, as amended at 48 FR 24083, May 31, 1983; 48 
FR 56956, Dec. 27, 1983]

Sec. 223.17  Identification of equipped locomotives, passenger cars and 
          cabooses.

    Each locomotive, passenger car and caboose that is fully equipped 
with glazing materials that meet the requirements of this part shall be 
stencilled on an interior wall as follows:

``Fully Equipped FRA Part 223 glazing'' or similar words conveying that 
meaning in letters at least \3/8\ inch high.

[45 FR 49271, July 24, 1980]

       Appendix A to Part 223--Certification of Glazing Materials

    As provided in this part, certified glazing materials installed in 
locomotives, passenger cars, or cabooses must be certified by the 
glazing manufacturer in accordance with the following procedures:
    a. General Requirements
    (1) Each manufacturer that provides glazing materials, intended by 
the manufacturer for use in achieving compliance with the requirements 
of this part, shall certify that each type of glazing material being 
supplied for this purpose has been succcessfully tested in accordance 
with this appendix and that test verification data is available to a 
railroad or to FRA upon request.
    (2) The test verification data shall contain all pertinent original 
data logs and documentation that the selection of material samples, test 
set-ups, test measuring devices, and test procedures were performed by 
qualified personnel using recognized and acceptable practices and in 
accordance with this appendix.
    b. Testing Requirements
    (1) The material to be tested (Target Material) shall be a full 
scale sample of the largest dimension intended to be produced and 
installed.
    (2) The Target Material shall be representative of production 
material and shall be selected on a documented random choice basis.
    (3) The Target Material shall be securely and rigidly attached in a 
fixture so that the fixture's own characteristics will not induce test 
errors.
    (4) The Target Material so selected and attached shall constitute a 
Test Specimen.
    (5) The Test Specimen will then be equipped with a Witness Plate 
that shall be mounted parallel to and at a distance of six inches in 
back of the Target Material. The Witness Plate shall have at least an 
area which will cover the full map of the Target Material.
    (6) The Witness Plate shall be an unbacked sheet of maximum 0.006 
inch, alloy 1100 temper O, aluminum stretched within the perimeter of a 
suitable frame to provide a taut surface.
    (7) The Test Specimen will be positioned so that the defined 
projectile impacts it at an angle of 90 degrees to the Test Specimen 
surface.
    (8) The point of impact of the defined projectile will be within a 
radius of 3<gr-thn-eq> of the centroid of the Target Material.
    (9) Velocity screens or other suitable velocity measuring devices 
will be positioned so as to measure the impact velocity of the defined 
projectile within a 10% accuracy tolerance, with test modifications made 
to guarantee that the stipulated minimum velocity requirements are met.

[[Page 266]]

    (10) The Test Specimen for glazing material that is intended for use 
in end facing glazing locations shall be subjected to a Type I test 
regimen consisting of the following tests:
    (i) Ballistic Impact in which a standard 22 caliber long rifle lead 
bullet of 40 grains in weight impacts at a minimum of 960 feet per 
second velocity.
    (ii) Large Object Impact in which a cinder block of 24 lbs minimum 
weight with dimensions of 8 inches by 8 inches by 16 inches nominally 
impacts at the corner of the block at a minimum of 44 feet per second 
velocity. The cinder block must be of composition referenced in American 
Society for Testing and Materials (ASTM) Specification C33L or ASTM C90.
    (11) The Test Specimen for glazing material that is intended for use 
only in side facing glazing locations shall be subjected to a Type II 
test regimen consisting of the following tests:
    (i) Ballistic Impact in which a standard 22 caliber long rifle lead 
bullet of 40 grains in weight impacts at a minimum of 960 feet per 
second velocity.
    (ii) Large Object Impact in which a cinder block of 24 lbs minimum 
weight with dimensions of 8 inches by 8 inches by 16 inches nominally 
impacts at the corner of the block at a minimum of 12 feet per second 
velocity. The cinder block must be of the composition referenced in ASTM 
C33L or ASTM C90.
    (12) Three different test specimens must be subjected to the 
ballistic impact portion of these tests.
    (13) Two different test specimens must be subjected to the large 
object impact portion of these tests.
    (14) A material so tested must perform so that:
    (i) there shall be no penetration of the back surfaces (side closest 
to Witness Plate) of the Target Material by the projectile. Partial 
penetration of the impact (front) surface of the Target Material does 
not constitute a failure; and
    (ii) there shall be no penetration of particles from the back side 
of the Target Material through the back side of the prescribed Witness 
Plate.
    (15) Test specimens must consecutively pass the required number of 
tests at the required minimum velocities. Individual tests resulting in 
failures at greater than the required minimum velocities may be repeated 
but a failure of an individual test at less than the minimum velocity 
shall result in termination of the total test and failure of the 
material.
    (16) After successful completion of the prescribed set of required 
consecutive tests, a manufacturer may certify in writing that a 
particular glazing material meets the requirements of these standards.
    c. Material Identification
    (1) Each individual unit of glazing material shall be permanently 
marked, prior to installation, to indicate that this type of material 
has been successfully tested as set forth in this appendix and that 
marking shall be done in such a manner that it is clearly visible after 
the material has been installed.
    (2) Each individual unit of a glazing material that has successfully 
passed the Type I testing regimen shall be marked to indicate:
    (i) ``FRA Type I'' material;
    (ii) the manufacturer of the material;
    (iii) the type or brand identification of the material.
    (3) Each individual unit of a glazing material that has successfully 
passed the Type II testing regimen shall be marked to indicate:
    (i) ``FRA Type II'' material;
    (ii) the manufacturer of the material;
    (iii) the type or brand identification of the material.

         Appendix B to Part 223--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 $22,000 for any violation where circumstances warrant. 
See 49 U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. Further 
designations, not found in the CFR citation for certain provisions are 
FRA Office of Chief Counsel computer codes added as a suffix to the CFR 
citation and used to expedite imposition of civil penalties for 
violations. FRA reserves the right, should litigation become necessary, 
to substitute in its complaint the CFR citation in place of the combined 
designation cited in the penalty demand letter.

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
223.9 New or rebuilt Equipment:
    (a) Locomotives...........................       $2,500       $5,000
    (b) Cabooses..............................        2,500        5,000
    (c) Passenger cars........................        2,500        5,000
    (d) (1), (d)(2):..........................
        (i) Window not marked or instructions         2,500        5,000
         not posted...........................
        (ii) Window improperly marked or              1,000        2,000
         instructions improperly posted.......
223.11(c) Existing locomotives................        2,500        5,000
(d) Repair of window..........................        1,000        2,000
223.13(c) Existing cabooses...................        2,500        5,000
(d) Repair of window..........................        1,000        2,000
223.15(c) Existing passenger cars.............        2,500        5,000
(d) Repair of window..........................        1,000        2,000
223.17 Identification of units................        1,000        1,500
------------------------------------------------------------------------


[63 FR 24676, May 4, 1998]

[[Page 267]]



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