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[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2003]
[CITE: 49CFR229]

[Page 302-331]
 

TITLE 49--TRANSPORTATION
CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
PART 229--RAILROAD LOCOMOTIVE SAFETY STANDARDS



                           Subpart A--General

Sec.
229.1 Scope.

[[Page 303]]

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.

                    Subpart B--Inspections and Tests

229.21 Daily inspection.
229.23 Periodic inspection: General.
229.25 Tests: Every periodic inspection.
229.27 Annual tests.
229.29 Biennial tests.
229.31 Main reservoir tests.
229.33 Out-of-use credit.

                     Subpart C--Safety Requirements

                          General Requirements

229.41 Protection against personal injury.
229.43 Exhaust and battery gases.
229.45 General condition.

                              Brake System

229.46 Brakes: General.
229.47 Emergency brake valve.
229.49 Main reservoir system.
229.51 Aluminum main reservoirs.
229.53 Brake gauges.
229.55 Piston travel.
229.57 Foundation brake gear.
229.59 Leakage.

                              Draft System

229.61 Draft system.

                            Suspension System

229.63 Lateral motion.
229.64 Plain bearings.
229.65 Spring rigging.
229.67 Trucks.
229.69 Side bearings.
229.71 Clearance above top of rail.
229.73 Wheel sets.
229.75 Wheel and tire defects.

                            Electrical System

229.77 Current collectors.
229.79 Third rail shoes.
229.81 Emergency pole; shoe insulation.
229.83 Insulation or grounding of metal parts.
229.85 Doors and cover plates marked ``Danger''.
229.87 Hand-operated switches.
229.89 Jumpers; cable connections.
229.91 Motors and generators.

                      Internal Combustion Equipment

229.93 Safety cut-off device.
229.95 Venting.
229.97 Grounding fuel tanks.
229.99 Safety hangers.
229.101 Engines.

                            Steam Generators

229.103 Safe working pressure; factor of safety.
229.105 Steam generator number.
229.107 Pressure gauge.
229.109 Safety valves.
229.111 Water-flow indicator.
229.113 Warning notice.

                         Cabs and Cab Equipment

229.115 Slip/slide alarms.
229.117 Speed indicators.
229.119 Cabs, floors, and passageways.
229.121 Locomotive cab noise.
229.123 Pilots, snowplows, end plates.
229.125 Headlights and auxiliary lights.
229.127 Cab lights.
229.129 Audible warning device.
229.131 Sanders.
229.133 Interim locomotive conspicuity measures--auxiliary external 
          lights.
229.135 Event recorders.
229.137 Sanitation, general requirements.
229.139 Sanitation, servicing requirements.

                     Subpart D--Design Requirements

229.141 Body structure, MU locomotives.

Appendix A to Part 229--Form FRA 6180-49A [Note]
Appendix B to Part 229--Schedule of Civil Penalties
Appendix C to Part 229--FRA Locomotive Standards--Code of Defects [Note]

    Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20137-20138, 20143, 
20701-20703, 21301-21302, 21304; 49 CFR 1.49(c), (m).

    Source: 45 FR 21109, Mar. 31, 1980, unless otherwise noted.

                           Subpart A--General

Sec. 229.1  Scope.

    This part prescribes minimum Federal safety standards for all 
locomotives except those propelled by steam power.

Sec. 229.3  Applicability.

    (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

[[Page 304]]

    (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 Sec. 229.125 do not apply to Tier II 
passenger equipment as defined in Sec. 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 
Sec. 229.141 do not apply to ``passenger equipment'' as defined in 
Sec. 238.5 of this chapter, unless such equipment is excluded from the 
requirements of Secs. 238.203 through 238.219, and Sec. 238.223 of this 
chapter by operation of Sec. 238.201(a)(2) of this chapter.
    (e) Paragraphs (a)(2) through (a)(4), and (b)(2) through (b)(4) of 
Sec. 229.141 do not apply to ``passenger equipment'' as defined in 
Sec. 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 Secs. 238.203 through 238.219, and Sec. 238.223 of 
this chapter by operation of Sec. 238.201(a)(2) of this chapter.

[54 FR 33229, Aug. 14, 1989, as amended at 64 FR 25659, May 12, 1999]

Sec. 229.4  Information collection.

    (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]

Sec. 229.5  Definitions.

    As used in this part--
    (a) Break means a fracture resulting in complete separation into 
parts.
    (b) Cab means that portion of the superstructure designed to be 
occupied by the crew operating the locomotive.
    (c) Carrier means railroad, as that term is defined below.
    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 the commuter railroad.
    (d) Control cab locomotive means a locomotive without propelling 
motors but with one or more control stands.
    (e) 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.
    (f) 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.
    (g) Event recorder means a device, designed to resist tampering, 
that monitors and records data on train speed, direction of motion, 
time, distance, throttle position, brake applications and operations 
(including train brake, independent brake, and, if so equipped, dynamic 
brake applications and operations) and, where the locomotive is so 
equipped, cab signal aspect(s), over the most recent 48 hours of 
operation of the electrical system of the locomotive on which it is 
installed. A device, designed to resist tampering, that monitors and 
records the specified data only when the locomotive is in motion shall 
be deemed to meet this definition provided the device was installed 
prior to [insert the effective date of the rule] and records the 
specified data for the last eight hours the locomotive was in motion.
    (h) High voltage means an electrical potential of more than 150 
volts.
    (i) In-service event recorder means an event recorder that was 
successfully

[[Page 305]]

tested as prescribed in Sec. 229.25(e) 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.
    (j) Lite locomotive means a locomotive or a consist of locomotives 
not attached to any piece of equipment or attached only to a caboose.
    (k) 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.
    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.
    (l) MU locomotive means a multiple operated electric locomotive 
described in paragraph (i)(2) or (3) of this section.
    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 section, commercially available, bottled drinking 
water is deemed potable water.
    (m) Powered axle is an axle equipped with a traction device.
    (n) 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.
    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 the waste; visible human waste residue on the floor 
or toilet seat that is present due to a toilet facility 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.
    (o) 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 
the 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.
    Toilet facility means a system that automatically or on command of 
the user removes human waste to a place

[[Page 306]]

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 to 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 the waste; visible human waste residue on the floor 
or toilet seat that is present due to a toilet facility 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.
    (p) 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.

[45 FR 21109, Mar. 31, 1980, as amended at 54 FR 33229, Aug. 14, 1989; 
58 FR 36613, July 8, 1993; 60 FR 27905, May 26, 1995; 66 FR 4192, Jan. 
17, 2001; 67 FR 16049, Apr. 4, 2002]

Sec. 229.7  Prohibited acts.

    (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 $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.

[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]

Sec. 229.9  Movement of non-complying locomotives.

    (a) Except as provided in paragraphs (b), (c) and Sec. 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--

[[Page 307]]

    (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 Secs. 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]

Sec. 229.11  Locomotive identification.

    (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.

Sec. 229.13  Control of locomotives.

    Except when a locomotive is moved in accordance with Sec. 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.

Sec. 229.14  Non-MU control cab locomotives.

    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

[[Page 308]]

power, and otherwise control the movement of the train, are subject to 
this part.

Sec. 229.17  Accident reports.

    (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.

Sec. 229.19  Prior waivers.

    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.

                    Subpart B--Inspections and Tests

Sec. 229.21  Daily inspection.

    (a) Except for MU locomotives, each locomotive in use shall be 
inspected at least once during each calendar day. A written report of 
the inspection shall be made. This report shall contain the name of the 
carrier; the initials and number of the locomotive; the place, date and 
time of the inspection; a description of the non-complying conditions 
disclosed by the inspection; and the signature of the employee making 
the inspection. Except as provided in Secs. 229.9, 229.137, and 229.139, 
any conditions that constitute non-compliance with any requirement of 
this part shall be repaired before the locomotive is used. Except with 
respect to conditions that do not comply with Sec. 229.137 or 
Sec. 229.139, a notation shall be made on the report indicating the 
nature of the repairs that have been made. Repairs made for conditions 
that do not comply with Sec. 229.137 or Sec. 229.139 may be noted on the 
report, or in electronic form. The person making the repairs shall sign 
the report. The report shall be filed and retained for at least 92 days 
in the office of the carrier at the terminal at which the locomotive is 
cared for. A record shall be maintained on each locomotive showing the 
place, date and time of the previous inspection.
    (b) Each MU locomotive in use shall be inspected at least once 
during each calendar day and a written report of the inspection shall be 
made. This report may be part of a single master report covering an 
entire group of MU's. If any non-complying conditions are found, a 
separate, individual report shall be made containing the name of the 
carrier; the initials and number of the locomotive; the place, date, and 
time of the inspection; the non-complying conditions found; and the 
signature of the inspector. Except as provided in Secs. 229.9, 229.137, 
and 229.139, any conditions that constitute non-compliance with any 
requirement of this part shall be repaired before the locomotive is 
used. Except with respect to conditions that do not comply with 
Sec. 229.137 or Sec. 229.139, a notation shall be made on the report 
indicating the nature of the repairs that have been made. Repairs made 
for conditions that do not comply with Sec. 229.137 or Sec. 229.139 may 
be noted on the report, or in electronic form. A notation shall be made 
on the report indicating the nature of the repairs that have been made. 
The person making the repairs shall sign the report.

[[Page 309]]

The report shall be filed in the office of the carrier at the place 
where the inspection is made or at one central location and retained for 
at least 92 days.
    (c) Each carrier shall designate qualified persons to make the 
inspections required by this section.

[45 FR 21109, Mar. 31, 1980, as amended at 50 FR 6953, Feb. 19, 1985; 67 
FR 16050, Apr. 4, 2002]

Sec. 229.23  Periodic inspection: General.

    (a) Each locomotive and steam generator shall be inspected at each 
periodic inspection to determine whether it complies with this part. 
Except as provided in Sec. 229.9, all non-complying conditions shall be 
repaired before the locomotive or the steam generator is used. Except as 
provided in Sec. 229.33, the interval between any two periodic 
inspections may not exceed 92 days. Periodic inspections shall only be 
made where adequate facilities are available. At each periodic 
inspection, a locomotive shall be positioned so that a person may safely 
inspect the entire underneath portion of the locomotive.
    (b) The periodic inspection of the steam generator may be postponed 
indefinitely if the water suction pipe to the water pump and the leads 
to the main switch (steam generator switch) are disconnected, and the 
train line shut-off-valve is wired closed or a blind gasket applied. 
However, the steam generator shall be so inspected before it is returned 
to use.
    (c) After April 30, 1980, each new locomotive shall receive an 
initial periodic inspection before it is used. Except as provided in 
Sec. 229.33, each locomotive in use on or before April 30, 1980, shall 
receive an initial periodic inspection within 92 days of the last 30-day 
inspection performed under the prior rules (49 CFR 230.331 and 230.451). 
At the initial periodic inspection, the date and place of the last tests 
performed that are the equivalent of the tests required by Secs. 229.27, 
229.29, and 229.31 shall be entered on Form FRA F 6180-49A. These dates 
shall determine when the tests first become due under Secs. 229.27, 
229.29, and 229.31. Out of use credit may be carried over from Form FRA 
F 6180-49 and entered on Form FRA F 6180-49A.
    (d) Each periodic inspection shall be recorded on Form FRA F 6180-
49A. The form shall be signed by the person conducting the inspection 
and certified by that person's supervisor that the work was done. The 
form shall be displayed under a transparent cover in a conspicuous place 
in the cab of each locomotive.
    (e) At the first periodic inspection in each calendar year the 
carrier shall remove from each locomotive Form FRA F 6180-49A covering 
the previous calendar year. If a locomotive does not receive its first 
periodic inspection in a calendar year before April 2 because it is out 
of use, the form shall be promptly replaced. The Form FRA F 6180-49A 
covering the preceding year for each locomotive, in or out of use, shall 
be signed by the railroad official responsible for the locomotive and 
filed as required in Sec. 229.23(f). The date and place of the last 
periodic inspection and the date and place of the last test performed 
under Secs. 229.27, 229.29, and 229.31 shall be transferred to the 
replacement Form FRA F 6180-49A.
    (f) The mechanical officer of each railroad who is in charge of a 
locomotive shall maintain in his office a secondary record of the 
information reported on Form FRA F 6180-49A under this part. The 
secondary record shall be retained until Form FRA F 6180-49A has been 
removed from the locomotive and filed in the railroad office of the 
mechanical officer in charge of the locomotive. If the Form FRA F 6180-
49A removed from the locomotive is not clearly legible, the secondary 
record shall be retained until the Form FRA F 6180-49A for the 
succeeding year is filed. The Form F 6180-49A removed from a locomotive 
shall be retained until the Form FRA F 6180-49A for the succeeding year 
is filed.

[45 FR 21109, Mar. 31, 1980, as amended at 45 FR 39852, June 12, 1980; 
50 FR 6953, Feb. 19, 1985]

Sec. 229.25  Tests: Every periodic inspection.

    Each periodic inspection shall include the following:
    (a) All mechanical gauges used by the engineer to aid in the control 
or braking of the train or locomotive, except load meters used in 
conjunction with an auxiliary brake system, shall be tested by 
comparison with a dead-

[[Page 310]]

weight tester or a test gauge designed for this purpose.
    (b) All electrical devices and visible insulation shall be 
inspected.
    (c) All cable connections between locomotives and jumpers that are 
designed to carry 600 volts or more shall be thoroughly cleaned, 
inspected, and tested for continuity.
    (d) Each steam generator that is not isolated as prescribed in 
Sec. 229.23(b) shall be inspected and tested as follows:
    (1) All automatic controls, alarms and protective devices shall be 
inspected and tested.
    (2) Steam pressure gauges shall be tested by comparison with a dead-
weight tester or a test gauge designed for this purpose. The siphons to 
the steam gauges shall be removed and their connections examined to 
determine that they are open.
    (3) Safety valves shall be set and tested under steam after the 
steam pressure gauge is tested.
    (e) The event recorder, if installed, shall be inspected, 
maintained, and tested in accordance with the instructions of the 
manufacturer, supplier, or owner thereof and in accordance with the 
following criteria:
    (1) A written copy of the instructions in use shall be kept at the 
point where the work is performed.
    (2) The event recorder shall be tested prior to performing any 
maintenance work on it. At a minimum, the event recorder test shall 
include cycling all required recording parameters and determining the 
full range of each parameter by reading out recorded data. A micro-
processor based event recorder, equipped to perform self-tests, has 
passed the pre-maintenance inspection requirement if it has not 
indicated a failure.
    (3) If this test does not reveal that the device is recording all 
the specified data and that all recordings are within the designed 
recording parameters, this fact shall be noted on the data verification 
result required to be maintained by this section and maintenance and 
testing shall be performed as necessary until a subsequent test is 
successful.
    (4) When a successful test is accomplished, a copy of those data 
verification results shall be maintained with the locomotive's 
maintenance records until the next one is filed.
    (5) A railroad's event recorder periodic maintenance shall be 
considered effective if ninety percent (90%) of the recorders inbound in 
any given month for periodic inspection are still fully functional; 
maintenance practices and test intervals shall be adjusted as necessary 
to yield effective periodic maintenance.

[45 FR 21109, Mar. 31, 1980, as amended at 58 FR 36614, July 8, 1993; 60 
FR 27905, May 26, 1995; 66 FR 4192, Jan. 17, 2001]

Sec. 229.27  Annual tests.

    Each locomotive shall be subjected to the tests and inspections 
included in paragraphs (b) and (c) of this section, and each non-MU 
locomotive shall also be subjected to the tests and inspections included 
in paragraph (a) of this section, at intervals that do not exceed 368 
calendar days:
    (a)(1) The filtering devices or dirt collectors located in the main 
reservoir supply line to the air brake system shall be cleaned, 
repaired, or replaced.
    (2) Brake cylinder relay valve portions, main reservoir safety 
valves, brake pipe vent valve portions, feed and reducing valve portions 
in the air brake system (including related dirt collectors and filters) 
shall be cleaned, repaired, and tested.
    (3) The date and place of the cleaning, repairing, and testing shall 
be recorded on Form FRA F 6180-49A and the person performing the work 
and that person's supervisor shall sign the form. A record of the parts 
of the air brake system that are cleaned, repaired, and tested shall be 
kept in the carrier's files or in the cab of the locomotive.
    (4) At its option, a carrier may fragment the work required by this 
paragraph. In that event, a separate air record shall be maintained 
under a transparent cover in the cab. The air record shall include the 
locomotive number, a list of the air brake components, and the date and 
place of the last inspection and test of each component. The signature 
of the person performing the work and the signature of that person's 
supervisor shall be included for each component. A duplicate

[[Page 311]]

record shall be maintained in the carrier's files.
    (b) The load meter shall be tested. Each device used by the engineer 
to aid in the control or braking of the train or locomotive that 
provides an indication of air pressure electronically shall be tested by 
comparison with a test gauge or self-test designed for this purpose. An 
error of greater than five percent or three pounds per square inch shall 
be corrected. The date and place of the test shall be recorded on Form 
FRA F 6180-49A, and the person conducting the test and that person's 
supervisor shall sign the form.
    (c) Each steam generator that is not isolated as prescribed in 
Sec. 229.23(b), shall be subjected to a hydrostatic pressure at least 25 
percent above the working pressure and the visual return water-flow 
indicator shall be removed and inspected.

[45 FR 21109, Mar. 31, 1980, as amended at 66 FR 4192, Jan. 17, 2001]

Sec. 229.29  Biennial tests.

    (a) Except for the valves and valve portions on non-MU locomotives 
that are cleaned, repaired, and tested as prescribed in Sec. 229.27(a), 
all valves, valve portions, MU locomotive brake cylinders and electric-
pneumatic master controllers in the air brake system (including related 
dirt collectors and filters) shall be cleaned, repaired, and tested at 
intervals that do not exceed 736 calendar days. The date and place of 
the cleaning, repairing, and testing shall be recorded on Form FRA F 
6180-49A, and the person performing the work and that person's 
supervisor shall sign the form. A record of the parts of the air brake 
system that are cleaned, repaired, and tested shall be kept in the 
carrier's files or in the cab of the locomotive.
    (b) At its option, a carrier may fragment the work required by this 
section. In that event, a separate air record shall be maintained under 
a transparent cover in the cab. The air record shall include the 
locomotive number, a list of the air brake components, and the date and 
place of the inspection and test of each component. The signature of the 
person performing the work and the signature of that person's supervisor 
shall be included for each component. A duplicate record shall be 
maintained in the carrier's files.

Sec. 229.31  Main reservoir tests.

    (a) Except as provided in paragraph (c) of this section, before it 
is put in service and at intervals that do not exceed 736 calendar days, 
each main reservoir other than an aluminum reservoir shall be subjected 
to a hydrostatic pressure of at least 25 percent more than the maximum 
working pressure fixed by the chief mechanical officer. The test date, 
place, and pressure shall be recorded on Form FRA F 6180-49A, and the 
person performing the test and that person's supervisor shall sign the 
form.
    (b) Except as provided in paragraph (c) of this section, each main 
reservoir other than an aluminum reservoir shall be hammer tested over 
its entire surface while the reservoir is empty at intervals that do not 
exceed 736 calendar days. The test date and place shall be recorded on 
Form FRA F 6180-49A, and the person performing the test and that 
person's supervisor shall sign the form.
    (c) Each welded main reservoir originally constructed to withstand 
at least five times the maximum working pressure fixed by the chief 
mechanical officer may be drilled over its entire surface with telltale 
holes that are three-sixteenths of an inch in diameter. The holes shall 
be spaced not more than 12 inches apart, measured both longitudinally 
and circumferentially, and drilled from the outer surface to an extreme 
depth determined by the formula--

D=(.6PR/(S-0.6P))

where:
D=extreme depth of telltale holes in inches but in no case less than 
one-sixteenth inch;
P=certified working pressure in pounds per square inch;
S=one-fifth of the minimum specified tensile strength of the material in 
pounds per square inch; and
R=inside radius of the reservoir in inches.


One row of holes shall be drilled lengthwise of the reservoir on a line 
intersecting the drain opening. A reservoir so drilled does not have to 
meet the requirements of paragraphs (a) and

[[Page 312]]

(b) of this section, except the requirement for a hydrostatic test 
before it is placed in use. Whenever any such telltale hole shall have 
penetrated the interior of any reservoir, the reservoir shall be 
permanently withdrawn from service. A reservoir now in use may be 
drilled in lieu of the tests provided for by paragraphs (a) and (b) of 
this section, but it shall receive a hydrostatic test before it is 
returned to use.
    (d) Each aluminum main reservoir before being placed in use and at 
intervals that do not exceed 736 calendar days thereafter, shall be--
    (1) Cleaned and given a thorough visual inspection of all internal 
and external surfaces for evidence of defects or deterioration; and
    (2) Subjected to a hydrostatic pressure at least twice the maximum 
working pressure fixed by the chief mechanical officer, but not less 
than 250 p.s.i. The test date, place, and pressure shall be recorded on 
Form FRA F 6180-49A, and the person conducting the test and that 
person's supervisor shall sign the form.

Sec. 229.33  Out-of-use credit.

    When a locomotive is out of use for 30 or more consecutive days or 
is out of use when it is due for any test or inspection required by 
Sec. 229.23, 229.25, 229.27, 229.29, or 229.31, an out-of-use notation 
showing the number of out-of-use days shall be made on an inspection 
line on Form FRA F 6180-49A. A supervisory employee of the carrier who 
is responsible for the locomotive shall attest to the notation. If the 
locomotive is out of use for one or more periods of at least 30 
consecutive days each, the interval prescribed for any test or 
inspection under this part may be extended by the number of days in each 
period the locomotive is out of use since the last test or inspection in 
question. A movement made in accordance with Sec. 229.9 is not a use for 
purposes of determining the period of the out-of-use credit.

                     Subpart C--Safety Requirements

                          General Requirements

Sec. 229.41  Protection against personal injury.

    Fan openings, exposed gears and pinions, exposed moving parts of 
mechanisms, pipes carrying hot gases and high-voltage equipment, 
switches, circuit breakers, contactors, relays, grid resistors, and 
fuses shall be in non-hazardous locations or equipped with guards to 
prevent personal injury.

Sec. 229.43  Exhaust and battery gases.

    (a) Products of combustion shall be released entirely outside the 
cab and other compartments. Exhaust stacks shall be of sufficient height 
or other means provided to prevent entry of products of combustion into 
the cab or other compartments under usual operating conditions.
    (b) Battery containers shall be vented and batteries kept from 
gassing excessively.

Sec. 229.45  General condition.

    All systems and components on a locomotive shall be free of 
conditions that endanger the safety of the crew, locomotive or train. 
These conditions include: insecure attachment of components, including 
third rail shoes or beams, traction motors and motor gear cases, and 
fuel tanks; fuel, oil, water, steam, and other leaks and accumulations 
of oil on electrical equipment that create a personal injury hazard; 
improper functioning of components, including slack adjusters, 
pantograph operating cylinders, circuit breakers, contactors, relays, 
switches, and fuses; and cracks, breaks, excessive wear and other 
structural infirmities of components, including quill drives, axles, 
gears, pinions, pantograph shoes and horns, third rail beams, traction 
motor gear cases, and fuel tanks.

[[Page 313]]

                              Brake System

Sec. 229.46  Brakes: General.

    The carrier shall know before each trip that the locomotive brakes 
and devices for regulating all pressures, including but not limited to 
the automatic and independent brake valves, operate as intended and that 
the water and oil have been drained from the air brake system.

Sec. 229.47  Emergency brake valve.

    (a) Except for locomotives with cabs designed for occupancy by only 
one person, each road locomotive shall be equipped with a brake pipe 
valve that is accessible to a member of the crew, other than the 
engineer, from that crew member's position in the cab. On car body type 
locomotives, a brake pipe valve shall be attached to the wall adjacent 
to each end exit door. The words ``Emergency Brake Valve'' shall be 
legibly stenciled or marked near each brake pipe valve or shall be shown 
on an adjacent badge plate.
    (b) MU and control cab locomotives operated in road service shall be 
equipped with an emergency brake valve that is accessible to another 
crew member in the passenger compartment or vestibule. The words 
``Emergency Brake Valve'' shall be legibly stenciled or marked near each 
valve or shall be shown on an adjacent badge plate.

Sec. 229.49  Main reservoir system.

    (a)(1) The main reservoir system of each locomotive shall be 
equipped with at least one safety valve that shall prevent an 
accumulation of pressure of more than 15 pounds per square inch above 
the maximum working air pressure fixed by the chief mechanical officer 
of the carrier operating the locomotive.
    (2) Except for non-equipped MU locomotives built prior to January 1, 
1981, each locomotive that has a pneumatically actuated system of power 
controls shall be equipped with a separate reservoir of air under 
pressure to be used for operating those power controls. The reservoir 
shall be provided with means to automatically prevent the loss of 
pressure in the event of a failure of main air pressure, have storage 
capacity for not less than three complete operating cycles of control 
equipment and be located where it is not exposed to damage.
    (b) A governor shall be provided that stops and starts or unloads 
and loads the air compressor within 5 pounds per square inch above or 
below the maximum working air pressure fixed by the carrier.
    (c) Each compressor governor used in connection with the automatic 
air brake system shall be adjusted so that the compressor will start 
when the main reservoir pressure is not less than 15 pounds per square 
inch above the maximum brake pipe pressure fixed by the carrier and will 
not stop the compressor until the reservoir pressure has increased at 
least 10 pounds.

Sec. 229.51  Aluminum main reservoirs.

    (a) Aluminum main reservoirs used on locomotives shall be designed 
and fabricated as follows:
    (1) The heads and shell shall be made of Aluminum Association Alloy 
No. 5083-0, produced in accordance with American Society of Mechnical 
Engineers (ASME) Specification SB-209, as defined in the ``ASME Boiler 
and Pressure Vessel Code'' (1971 edition), section II, Part B, page 123, 
with a minimum tensile strength of 40,000 p.s.i. (40 k.s.i.).
    (2) Each aluminum main reservoir shall be designed and fabricated in 
accordance with the ``ASME Boiler and Pressure Vessel Code,'' section 
VIII, Division I (1971 edition), except as otherwise provided in this 
part.
    (3) An aluminum main reservoir shall be constructed to withstand at 
least five times its maximum working pressure or 800 p.s.i., whichever 
is greater.
    (4) Each aluminum main reservoir shall have at least two inspection 
openings to permit complete circumferential visual observation of the 
interior surface. On reservoirs less than 18 inches in diameter, the 
size of each inspection opening shall be at least that of 1\1/2\-inch 
threaded iron pipe, and on reservoirs 18 or more inches in diameter, the 
size of each opening shall be at least that of 2-inch threaded iron 
pipe.
    (b) The following publications, which contain the industry standards 
incorporated by reference in paragraph (a) of this section, may be 
obtained from the

[[Page 314]]

publishers and are also on file in the Office of Safety of the Federal 
Railroad Administration, Washington, DC 20590. Sections II and VIII of 
the ``ASME Boiler and Pressure Vessel Code'' (1971 edition) are 
published by the American Society of Mechanical Engineers, United 
Engineering Center, 345 East 47th Street, New York, New York 10017.

Sec. 229.53  Brake gauges.

    All mechanical gauges and all devices providing indication of air 
pressure electronically that are used by the engineer to aid in the 
control or braking of the train or locomotive shall be located so that 
they may be conveniently read from the engineer's usual position during 
operation of the locomotive. A gauge or device shall not be more than 
five percent or three pounds per square inch in error, whichever is 
less.

[66 FR 4192, Jan. 17, 2001]

Sec. 229.55  Piston travel.

    (a) Brake cylinder piston travel shall be sufficient to provide 
brake shoe clearance when the brakes are released.
    (b) When the brakes are applied on a standing locomotive, the brake 
cylinder piston travel may not exceed 1\1/2\ inches less than the total 
possible piston travel. The total possible piston travel for each 
locomotive shall be entered on Form FRA F 6180-49A.
    (c) The minimum brake cylinder pressure shall be 30 pounds per 
square inch.

Sec. 229.57  Foundation brake gear.

    A lever, rod, brake beam, hanger, or pin may not be worn through 
more than 30 percent of its cross-sectional area, cracked, broken, or 
missing. All pins shall be secured in place with cotters, split keys, or 
nuts. Brake shoes shall be fastened with a brake shoe key and aligned in 
relation to the wheel to prevent localized thermal stress in the edge of 
the rim or the flange.

Sec. 229.59  Leakage.

    (a) Leakage from the main air reservoir and related piping may not 
exceed an average of 3 pounds per square inch per minute for 3 minutes 
after the pressure has been reduced to 60 percent of the maximum 
pressure.
    (b) Brake pipe leakage may not exceed 5 pounds per square inch per 
minute.
    (c) With a full service application at maximum brake pipe pressure 
and with communication to the brake cylinders closed, the brakes shall 
remain applied at least 5 minutes.
    (d) Leakage from control air reservoir, related piping, and 
pneumatically operated controls may not exceed an average of 3 pounds 
per square inch per minute for 3 minutes.

                              Draft System

Sec. 229.61  Draft system.

    (a) A coupler may not have any of the following conditions:
    (1) A distance between the guard arm and the knuckle nose of more 
than 5\1/8\ inches on standard type couplers (MCB contour 1904) or more 
than 5\5/16\ inches on D&E couplers.
    (2) A crack or break in the side wall or pin bearing bosses outside 
of the shaded areas shown in Figure 1 or in the pulling face of the 
knuckle.

[[Page 315]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.004

    (3) A coupler assembly without anti-creep protection.
    (4) Free slack in the coupler or drawbar not absorbed by friction 
devices or draft gears that exceeds one-half inches.
    (5) A broken or cracked coupler carrier.
    (6) A broken or cracked yoke.
    (7) A broken draft gear.
    (b) A device shall be provided under the lower end of all drawbar 
pins and articulated connection pins to prevent the pin from falling out 
of place in case of breakage.

                            Suspension System

Sec. 229.63  Lateral motion.

    (a) Except as provided in paragraph (b), the total uncontrolled 
lateral motion between the hubs of the wheels and boxes, between boxes 
and pedestals or both, on any pair of wheels may not exceed 1 inch on 
non-powered axles and friction bearing powered axles, or \3/4\ inch on 
all other powered axles.
    (b) The total uncontrolled lateral motion may not exceed 1\1/4\ 
inches on the center axle of three-axle trucks.

Sec. 229.64  Plain bearings.

    A plain bearing box shall contain visible free oil and may not be 
cracked to the extent that it will leak oil.

Sec. 229.65  Spring rigging.

    (a) Protective construction or safety hangers shall be provided to 
prevent spring planks, spring seats or bolsters from dropping to track 
structure in event of a hanger or spring failure.
    (b) An elliptical spring may not have its top (long) leaf broken or 
any other three leaves broken, except when that spring is part of a nest 
of three or more springs and none of the other springs in the nest has 
its top leaf or any other three leaves broken. An outer coil spring or 
saddle may not be broken. An equalizer, hanger, bolt, gib, or pin may 
not be cracked or broken. A coil spring may not be fully compressed when 
the locomotive is at rest.
    (c) A shock absorber may not be broken or leaking clearly formed 
droplets of oil or other fluid.

Sec. 229.67  Trucks.

    (a) The male center plate shall extend into the female center plate 
at least \3/4\ inch. On trucks constructed to transmit tractive effort 
through the center plate or center pin, the male center plate shall 
extend into the female center plate at least 1\1/2\ inches. Maximum lost 
motion in a center plate assemblage may not exceed \1/2\ inch.
    (b) Each locomotive shall have a device or securing arrangement to 
prevent the truck and locomotive body from separating in case of 
derailment.
    (c) A truck may not have a loose tie bar or a cracked or broken 
center casting, motor suspension lug, equalizer, hanger, gib or pin. A 
truck frame may not be broken or have a crack in a stress area that may 
affect its structural integrity.

[[Page 316]]

Sec. 229.69  Side bearings.

    (a) Friction side bearings with springs designed to carry weight may 
not have more than 25 percent of the springs in any one nest broken.
    (b) Friction side bearings may not be run in contact unless designed 
to carry weight. Maximum clearance of side bearings may not exceed one-
fourth inch on each side or a total of one-half inch on both sides, 
except where more than two side bearings are used under the same rigid 
superstructure. The clearance on one pair of side bearings under the 
same rigid superstructure shall not exceed one-fourth inch on each side 
or a total of one-half inch on both sides; the other side bearings under 
the same rigid superstructure may have one-half inch clearance on each 
side or a total of 1 inch on both sides. These clearances apply where 
the spread of the side bearings is 50 inches or less; where the spread 
is greater, the side bearing clearance may only be increased 
proportionately.

Sec. 229.71  Clearance above top of rail.

    No part or appliance of a locomotive except the wheels, flexible 
nonmetallic sand pipe extension tips, and trip cock arms may be less 
than 2\1/2\ inches above the top of rail.

Sec. 229.73  Wheel sets.

    (a) The variation in the circumference of wheels on the same axle 
may not exceed \1/4\ inch (two tape sizes) when applied or turned.
    (b) The maximum variation in the diameter between any two wheel sets 
in a three-powered-axle truck may not exceed \3/4\ inch, except that 
when shims are used at the journal box springs to compensate for wheel 
diameter variation, the maximum variation may not exceed 1\1/4\ inch. 
The maximum variation in the diameter between any two wheel sets on 
different trucks on a locomotive that has three-powered-axle trucks may 
not exceed 1\1/4\ inch. The diameter of a wheel set is the average 
diameter of the two wheels on an axle.
    (c) On standard gauge locomotives, the distance between the inside 
gauge of the flanges on non-wide flange wheels may not be less than 53 
inches or more than 53\1/2\ inches. The distance between the inside 
gauge of the flanges on wide flange wheels may not be less than 53 
inches or more than 53\1/4\ inches.
    (d) The distance back to back of flanges of wheels mounted on the 
same axle shall not vary more than \1/4\ inch.

Sec. 229.75  Wheels and tire defects.

    Wheels and tires may not have any of the following conditions:
    (a) A single flat spot that is 2\1/2\ inches or more in length, or 
two adjoining spots that are each two or more inches in length.
    (b) A gouge or chip in the flange that is more than 1\1/2\ inches in 
length and \1/2\ inch in width.
    (c) A broken rim, if the tread, measured from the flange at a point 
five-eighths inch above the tread, is less than 3\3/4\ inches in width.
    (d) A shelled-out spot 2\1/2\ inches or more in length, or two 
adjoining spots that are each two or more inches in length.
    (e) A seam running lengthwise that is within 3\3/4\ inches of the 
flange.
    (f) A flange worn to a \7/8\ inch thickness or less, gauged at a 
point \3/8\ inch above the tread.
    (g) A tread worn hollow \5/16\ inch or more on a locomotive in road 
service or \3/8\ inch or more on a locomotive in switching service.
    (h) A flange height of 1\1/2\ inches or more measured from tread to 
the top of the flange.
    (i) Tires less than 1\1/2\ inches thick.
    (j) Rims less than 1 inch thick on a locomotive in road service or 
less than \3/4\ inch on a locomotive in yard service.
    (k) A crack or break in the flange, tread, rim, plate, or hub.
    (l) A loose wheel or tire.
    (m) Fusion welding may not be used on tires or steel wheels of 
locomotives, except for the repair of flat spots and worn flanges on 
locomotives used exclusively in yard service. A wheel that has been 
welded is a welded wheel for the life of the wheel.

                            Electrical System

Sec. 229.77  Current collectors.

    (a) Pantographs shall be so arranged that they can be operated from 
the engineer's normal position in the cab. Pantographs that 
automatically rise when released shall have an automatic

[[Page 317]]

locking device to secure them in the down position.
    (b) Each pantograph operating on an overhead trolley wire shall have 
a device for locking and grounding it in the lowest position, that can 
be applied and released only from a position where the operator has a 
clear view of the pantograph and roof without mounting the roof.

Sec. 229.79  Third rail shoes.

    When locomotives are equipped with both third rail and overhead 
collectors, third-rail shoes shall be deenergized while in yards and at 
stations when current collection is exclusively from the overhead 
conductor.

Sec. 229.81  Emergency pole; shoe insulation.

    (a) Each locomotive equipped with a pantograph operating on an 
overhead trolley wire shall have an emergency pole suitable for 
operating the pantograph. Unless the entire pole can be safely handled, 
the part of the pole which can be safely handled shall be marked to so 
indicate. This pole shall be protected from moisture when not in use.
    (b) Each locomotive equipped with third-rail shoes shall have a 
device for insulating the current collecting apparatus from the third 
rail.

Sec. 229.83  Insulation or grounding of metal parts.

    All unguarded noncurrent-carrying metal parts subject to becoming 
charged shall be grounded or thoroughly insulated.

Sec. 229.85  Doors and cover plates marked ``Danger''.

    All doors and cover plates guarding high voltage equipment shall be 
marked ``Danger--High Voltage'' or with the word ``Danger'' and the 
normal voltage carried by the parts so protected.

Sec. 229.87  Hand-operated switches.

    All hand-operated switches carrying currents with a potential of 
more than 150 volts that may be operated while under load shall be 
covered and shall be operative from the outside of the cover. Means 
shall be provided to show whether the switches are open or closed. 
Switches that should not be operated while under load shall be legibly 
marked with the words ``must not be operated under load'' and the 
voltage carried.

Sec. 229.89  Jumpers; cable connections.

    (a) Jumpers and cable connections between locomotives shall be so 
located and guarded to provide sufficient vertical clearance. They may 
not hang with one end free.
    (b) Cable and jumper connections between locomotive may not have any 
of the following conditions:
    (1) Broken or badly chafed insulation.
    (2) Broken plugs, receptacles or terminals.
    (3) Broken or protruding strands of wire.

Sec. 229.91  Motors and generators.

    A motor or a generator may not have any of the following conditions:
    (a) Be shorted or grounded.
    (b) Throw solder excessively.
    (c) Show evidence of coming apart.
    (d) Have an overheated support bearing.
    (e) Have an excessive accumulation of oil.

                      Internal Combustion Equipment

Sec. 229.93  Safety cut-off device.

    The fuel line shall have a safety cut-off device that--
    (a) Is located adjacent to the fuel supply tank or in another safe 
location;
    (b) Closes automatically when tripped and can be reset without 
hazard; and
    (c) Can be hand operated from clearly marked locations, one inside 
the cab and one on each exterior side of the locomotive.

Sec. 229.95  Venting.

    Fuel tank vent pipes may not discharge on the roof nor on or between 
the rails.

Sec. 229.97  Grounding fuel tanks.

    Fuel tanks and related piping shall be electrically grounded.

[[Page 318]]

Sec. 229.99  Safety hangers.

    Drive shafts shall have safety hangers.

Sec. 229.101  Engines.

    (a) The temperature and pressure alarms, controls and related 
switches of internal combustion engines shall function properly.
    (b) Whenever an engine has been shut down due to mechanical or other 
problems, a distinctive warning notice giving reason for the shut-down 
shall be conspicuously attached near the engine starting control until 
repairs have been made.
    (c) Wheel slip/slide protection shall be provided on a locomotive 
with an engine displaying a warning notice whenever required by 
Sec. 229.115(b).

                            Steam Generators

Sec. 229.103  Safe working pressure; factor of safety.

    The safe working pressure for each steam generator shall be fixed by 
the chief mechanical officer of the carrier. The minimum factor of 
safety shall be four. The fixed safe working pressure shall be indicated 
on FRA Form F 6180-49A.

Sec. 229.105  Steam generator number.

    An identification number shall be marked on the steam generator's 
separator and that number entered on FRA Form F 6180-49A.

Sec. 229.107  Pressure gauge.

    (a) Each steam generator shall have an illuminated steam gauge that 
correctly indicates the pressure. The steam pressure gauge shall be 
graduated to not less than one and one-half times the allowed working 
pressure of the steam generator.
    (b) Each steam pressure gauge on a steam generator shall have a 
siphon that prevents steam from entering the gauge. The pipe connection 
shall directly enter the separator and shall be steam tight between the 
separator and the gauge.

Sec. 229.109  Safety valves.

    Every steam generator shall be equipped with at least two safety 
valves that have a combined capacity to prevent an accumulation of 
pressure of more than five pounds per square inch above the allowed 
working pressure. The safety valves shall be independently connected to 
the separator and located as closely to the separator as possible 
without discharging inside of the generator compartment. The ends of the 
safety valve discharge lines shall be located or protected so that 
discharged steam does not create a hazard.

Sec. 229.111  Water-flow indicator.

    (a) Steam generators shall be equipped with an illuminated visual 
return water-flow indicator.
    (b) Steam generators shall be equipped with an operable test valve 
or other means of determining whether the steam generator is filled with 
water. The fill test valve may not discharge steam or hot water into the 
steam generator compartment.

Sec. 229.113  Warning notice.

    Whenever any steam generator has been shut down because of defects, 
a distinctive warning notice giving reasons for the shut-down shall be 
conspicuously attached near the steam generator starting controls until 
the necessary repairs have been made. The locomotive in which the steam 
generator displaying a warning notice is located may continue in service 
until the next periodic inspection.

                         Cabs and Cab Equipment

Sec. 229.115  Slip/slide alarms.

    (a) Except for MU locomotives, each locomotive used in road service 
shall be equipped with a device that provides an audible or visual alarm 
in the cab of either slipping or sliding wheels on powered axles under 
power. When two or more locomotives are coupled in multiple or remote 
control, the wheel slip/slide alarm of each locomotive shall be shown in 
the cab of the controlling locomotive.
    (b) Except as provided in Sec. 229.9, an equipped locomotive may not 
be dispatched in road service, or continue in road service following a 
daily inspection, unless the wheel slip/slide protective device of 
whatever type--

[[Page 319]]

    (1) Is functioning for each powered axle under power; and
    (2) Would function on each powered axle if it were under power.
    (c) Effective January 1, 1981, all new locomotives capable of being 
used in road service shall be equipped with a device that detects wheel 
slip/slide for each powered axle when it is under power. The device 
shall produce an audible or visual alarm in the cab.

Sec. 229.117  Speed indicators.

    (a) After December 31, 1980, each locomotive used as a controlling 
locomotive at speeds in excess of 20 miles per hour shall be equipped 
with a speed indicator which is--
    (1) Accurate within [plusmn]3 miles per hour of actual speed at 
speeds of 10 to 30 miles per hour and accurate within [plusmn]5 miles 
per hour at speeds above 30 miles per hour; and
    (2) Clearly readable from the engineer's normal position under all 
light conditions.
    (b) Each speed indicator required shall be tested as soon as 
possible after departure by means of speed test sections or equivalent 
procedures.

Sec. 229.119  Cabs, floors, and passageways.

    (a) Cab seats shall be securely mounted and braced. Cab doors shall 
be equipped with a secure and operable latching device.
    (b) Cab windows of the lead locomotive shall provide an undistorted 
view of the right-of-way for the crew from their normal position in the 
cab. (See also, Safety Glazing Standards, 49 CFR part 223, 44 FR 77348, 
Dec. 31, 1979.)
    (c) Floors of cabs, passageways, and compartments shall be kept free 
from oil, water, waste or any obstruction that creates a slipping, 
tripping or fire hazard. Floors shall be properly treated to provide 
secure footing.
    (d) The cab shall be provided with proper ventilation and with a 
heating arrangement that maintains a temperature of at least 50 degrees 
Fahrenheit 6 inches above the center of each seat in the cab.
    (e) Similar locomotives with open end platforms coupled in multiple 
control and used in road service shall have a means of safe passage 
between them; no passageway is required through the nose of car body 
locomotives. There shall be a continuous barrier across the full width 
of the end of a locomotive or a continuous barrier between locomotives.
    (f) Containers shall be provided for carrying fusees and torpedoes. 
A single container may be used if it has a partition to separate fusees 
from torpedoes. Torpedoes shall be kept in a closed metal container.

Sec. 229.121  Locomotive cab noise.

    (a) After August 31, 1980, the permissible exposure to a continuous 
noise in a locomotive cab shall not exceed an eight-hour time-weighted 
average of 90dB(A), with a doubling rate of 5dB(A) as indicated in the 
table. Continuous noise is any sound with a rise time of more than 35 
milliseconds to peak intensity and a duration of more than 500 
milliseconds to the time when the level is 20dB below the peak.

------------------------------------------------------------------------
                                                                 Sound
                 Duration permitted (hours)                      level
                                                                (dB(A))
------------------------------------------------------------------------
12..........................................................          87
8...........................................................          90
6...........................................................          92
4...........................................................          95
2...........................................................         100
1\1/2\......................................................         102
1...........................................................         105
\1/2\.......................................................         110
\1/4\ or less...............................................         115
------------------------------------------------------------------------

    (b) When the continuous noise exposure is composed of two or more 
periods of noise exposure of different levels, their combined effect 
shall be considered. Exposure to different levels for various periods of 
time shall be computed according to the following formula:

D=T<INF>1</INF>/L<INF>1+</INF> T<INF>2</INF>/L<INF>2</INF>+. . . . 
    T<INF>n</INF>/L<INF>n</INF>

where:

D = noise dose.
T = the duration of exposure (in hours) at a given continuous noise 
level.
L = the limit (in hours) for the level present during the time T (from 
the table).
If the value of D exceeds 1, the exposure exceeds permissible levels.

    (c) Exposure to continuous noise shall not exceed 115dB(A).

[[Page 320]]

    (d) Noise measurements shall be made under typical operating 
conditions using a sound level meter conforming, at a minimum, to the 
requirements of ANSI S1.4-1971, Type 2, and set to an A-weighted slow 
response or with an audiodosimeter of equivalent accuracy and precision.
    (e) In conducting sound level measurements with a sound level meter, 
the microphone shall be oriented vertically and positioned approximately 
15 centimeters from and on axis with the crew member's ear. Measurements 
with an audiodosimeter shall be conducted in accordance with 
manufacturer's procedures as to microphone placement and orientation.

Sec. 229.123  Pilots, snowplows, end plates.

    After January 1, 1981, each lead locomotive shall be equipped with 
an end plate that extends across both rails, a pilot, or a snowplow. The 
minimum clearance above the rail of the pilot, snowplow or end plate 
shall be 3 inches, and the maximum clearance 6 inches.

Sec. 229.125  Headlights and auxiliary lights.

    (a) Each lead locomotive used in road service shall have a headlight 
that produces a peak intensity of at least 200,000 candela. If a 
locomotive or locomotive consist in road service is regularly required 
to run backward for any portion of its trip other than to pick up a 
detached portion of its train or to make terminal movements, it shall 
also have on its rear a headlight that produces at least 200,000 
candela. Each headlight shall be arranged to illuminate a person at 
least 800 feet ahead and in front of the headlight. For purposes of this 
section, a headlight shall be comprised of either one or two lamps.
    (1) If a locomotive is equipped with a single lamp headlight, the 
single lamp shall produce a peak intensity of at least 200,000 candela. 
The following meet the standard set forth in this paragraph (a)(1): a 
single PAR-56, 200-watt, 30-volt lamp; or a lamp of equivalent design 
and intensity.
    (2) If a locomotive is equipped with a dual-lamp headlight, a peak 
intensity of 200,000 candela shall be produced by the headlight based 
either on a single lamp capable of individually producing the required 
peak intensity or on the candela produced by the headlight with both 
lamps illuminated. If both lamps are needed to produce the required peak 
intensity, then both lamps in the headlight shall be operational. The 
following meet the standard set forth in this paragraph (a)(2): a single 
PAR-56, 200-watt, 30-volt lamp; two operative PAR-56, 350-watt, 75-volt 
lamps; or a lamp(s) of equivalent design and intensity.
    (b) Each locomotive or locomotive consist used in yard service shall 
have two headlights, one located on the front of the locomotive or 
locomotive consist and one on its rear. Each headlight shall produce at 
least 60,000 candela and shall be arranged to illuminate a person at 
least 300 feet ahead and in front of the headlight.
    (c) Headlights shall be provided with a device to dim the light.
    (d) Effective December 31, 1997, each lead locomotive operated at a 
speed greater than 20 miles per hour over one or more public highway-
rail crossings shall be equipped with operative auxiliary lights, in 
addition to the headlight required by paragraph (a) or (b) of this 
section. A locomotive equipped on March 6, 1996 with auxiliary lights in 
conformance with Sec. 229.133 shall be deemed to conform to this section 
until March 6, 2000. All locomotives in compliance with Sec. 229.133(c) 
shall be deemed to conform to this section. Auxiliary lights shall be 
composed as follows:
    (1) Two white auxiliary lights shall be placed at the front of the 
locomotive to form a triangle with the headlight.
    (i) The auxiliary lights shall be at least 36 inches above the top 
of the rail, except on MU locomotives and control cab locomotives where 
such placement would compromise the integrity of the car body or be 
otherwise impractical. Auxiliary lights on such MU locomotives and 
control cab locomotives shall be at least 24 inches above the top of the 
rail.
    (ii) The auxiliary lights shall be spaced at least 36 inches apart 
if the vertical distance from the headlight to the horizontal axis of 
the auxiliary lights is 60 inches or more.

[[Page 321]]

    (iii) The auxiliary lights shall be spaced at least 60 inches apart 
if the vertical distance from the headlight to the horizontal axis of 
the auxiliary lights is less than 60 inches.
    (2) Each auxiliary light shall produce a peak intensity of at least 
200,000 candela or shall produce at least 3,000 candela at an angle of 
7.5 degrees and 400 candela at an angle of 20 degrees from the 
centerline of the locomotive when the light is aimed parallel to the 
tracks. Any of the following meet the standard set forth in this 
paragraph (d)(2): a PAR-56, 200-watt, 30-volt lamp; a PAR-56, 350-watt, 
75-volt lamp; or a lamp of equivalent design and intensity.
    (3) The auxiliary lights shall be focused horizontally within 15 
degrees of the longitudinal centerline of the locomotive.
    (e) Auxiliary lights required by paragraph (d) of this section may 
be arranged
    (1) to burn steadily or
    (2) flash on approach to a crossing.
    If the auxiliary lights are arranged to flash;
    (i) they shall flash alternately at a rate of at least 40 flashes 
per minute and at most 180 flashes per minute,
    (ii) the railroad's operating rules shall set a standard procedure 
for use of flashing lights at public highway-rail grade crossings, and
    (iii) the flashing feature may be activated automatically, but shall 
be capable of manual activation and deactivation by the locomotive 
engineer.
    (f) Auxiliary lights required by paragraph (d) of this section shall 
be continuously illuminated immediately prior to and during movement of 
the locomotive, except as provided by railroad operating rules, 
timetable or special instructions, unless such exception is disapproved 
by FRA. A railroad may except use of auxiliary lights at a specific 
public highway-rail grade crossing by designating that exception in the 
railroad's operating rules, timetable, or a special order. Any exception 
from use of auxiliary lights at a specific public grade crossing can be 
disapproved for a stated cause by FRA's Associate Administrator for 
Safety or any one of FRA's Regional Administrators, after investigation 
by FRA and opportunity for response from the railroad.
    (g) Movement of locomotives with defective auxiliary lights.
    (1) A lead locomotive with only one failed auxiliary light must be 
repaired or switched to a trailing position before departure from the 
place where an initial terminal inspection is required for that train.
    (2) A locomotive with only one auxiliary light that has failed after 
departure from an initial terminal, must be repaired not later than the 
next calendar inspection required by Sec. 229.21.
    (3) A lead locomotive with two failed auxiliary lights may only 
proceed to the next place where repairs can be made. This movement must 
be consistent with Sec. 229.9.
    (h) Any locomotive subject to Part 229, that was built before 
December 31, 1948, and that is not used regularly in commuter or 
intercity passenger service, shall be considered historic equipment and 
excepted from the requirements of paragraphs (d) through (h) of this 
section.

[45 FR 21109, Mar. 31, 1980, as amended at 61 FR 8887, Mar. 6, 1996; 68 
FR 49717, Aug. 19, 2003]

Sec. 229.127  Cab lights.

    (a) Each locomotive shall have cab lights which will provide 
sufficient illumination for the control instruments, meters, and gauges 
to enable the engine crew to make accurate readings from their normal 
positions in the cab. These lights shall be located, constructed, and 
maintained so that light shines only on those parts requiring 
illumination and does not interfere with the crew's vision of the track 
and signals. Each controlling locomotive shall also have a conveniently 
located light that can be readily turned on and off by the persons 
operating the locomotive and that provides sufficient illumination for 
them to read train orders and timetables.
    (b) Cab passageways and compartments shall have adequate 
illumination.

Sec. 229.129  Audible warning device.

    (a) After August 31, 1980, each lead locomotive shall be provided 
with an audible warning device that produces a

[[Page 322]]

minimum sound level of 96db(A) at 100 feet forward of the locomotive in 
its direction of travel. The device shall be arranged so that it can be 
conveniently operated from the engineer's normal position in the cab.
    (b) Measurement of the sound level shall be made using a sound level 
meter conforming, at a minimum, to the requirements of ANSI S1.4-1971, 
Type 2, and set to an A-weighted slow response. While the locomotive is 
on level tangent track, the microphone shall be positioned 4 feet above 
the ground at the center line of the track, and shall be oriented with 
respect to the sound source in accordance with the manufacturer's 
recommendations.
    (c) A 4dB(A) measurement tolerance is allowable for a given 
measurement.

Sec. 229.131  Sanders.

    Except for MU locomotives, each locomotive shall be equipped with 
operable sanders that deposit sand on each rail in front of the first 
power operated wheel set in the direction of movement.

Sec. 229.133  Interim locomotive conspicuity measures--auxiliary 
          external lights.

    (a) A locomotive at the head of a train or other movement is 
authorized to be equipped with auxiliary external lights, additional to 
the headlight required by Sec. 229.125, for the purpose of improved 
conspicuity. A locomotive that is equipped with auxiliary external 
lights in conformance with the specifications or performance standards 
set forth in paragraph (b) of this section on the date of issuance of a 
final rule that requires additional or other external lights on 
locomotives for improved conspicuity, as required by section 202(u) of 
the Federal Railroad Safety Act of 1970, shall be deemed to conform to 
the requirements of the final rule for four years following the date of 
issuance of that final rule.
    (b) Each qualifying arrangement of auxiliary external lights shall 
conform to one of the following descriptions:
    (1) Ditch lights. (i) Ditch lights shall consist of two white 
lights, each producing a steady beam of at least 200,000 candela, placed 
at the front of the locomotive, at least 36 inches above the top of the 
rail.
    (ii) Ditch lights shall be spaced at least 36 inches apart if the 
vertical distance from the headlight to the horizontal axis of the ditch 
lights is 60 inches or more.
    (iii) Ditch lights shall be spaced at least 60 inches apart if the 
vertical distance from the headlight to the horizontal axis of the ditch 
lights is less than 60 inches.
    (iv) Ditch lights shall be focused horizontally within 45 degrees of 
the longitudinal centerline of the locomotive.
    (2) Strobe lights. (i) Strobe lights shall consist of two white 
stroboscopic lights, each with ``effective intensity,'' as defined by 
the Illuminating Engineering Society's Guide for Calculating the 
Effective Intensity of Flashing Signal Lights (November 1964), of at 
least 500 candela.
    (ii) The flash rate of strobe lights shall be at least 40 flashes 
per minute and at most 180 flashes per minute.
    (iii) Strobe lights shall be placed at the front of the locomotive, 
at least 48 inches apart, and at least 36 inches above the top of the 
rail.
    (3) Crossing lights. (i) Crossing lights shall consist of two white 
lights, placed at the front of the locomotive, at least 36 inches above 
the top of the rail.
    (ii) Crossing lights shall be spaced at least 36 inches apart if the 
vertical distance from the headlight to the horizontal axis of the ditch 
lights is 60 inches or more.
    (iii) Crossing lights shall be spaced at least 60 inches apart if 
the vertical distance from the headlight to the horizontal axis of the 
ditch lights is less than 60 inches.
    (iv) Each crossing light shall produce at least 200,000 candela, 
either steadily burning or alternately flashing.
    (v) The flash rate of crossing lights shall be at least 40 flashes 
per minute and at most 180 flashes per minute.
    (vi) Crossing lights shall be focused horizontally within 15 degrees 
of the longitudinal centerline of the locomotive.
    (4) Oscillating light. (i) An oscillating light shall consist of:
    (A) One steadily burning white light producing at least 200,000 
candela in a

[[Page 323]]

moving beam that depicts a circle or a horizontal figure ``8'' to the 
front, about the longitudinal centerline of the locomotive; or
    (B) Two or more white lights producing at least 200,000 candela 
each, at one location on the front of the locomotive, that flash 
alternately with beams within five degrees horizontally to either side 
of the longitudinal centerline of the locomotive.
    (ii) An oscillating light may incorporate a device that 
automatically extinguishes the white light if display of a light of 
another color is required to protect the safety of railroad operations.
    (c)(1) Any lead locomotive equipped with oscillating lights as 
described in paragraph (b)(4) that were ordered for installation on that 
locomotive prior to January 1, 1996, is considered in compliance with 
Sec. 229.125(d) (1) through (3).
    (2) Any lead locomotive equipped with strobe lights as described in 
paragraph (b)(2) and operated at speeds no greater than 40 miles per 
hour, is considered in compliance with Sec. 229.125(d) (1) through (3) 
until the locomotive is retired or rebuilt, whichever comes first.
    (3) Any lead locomotive equipped with two white auxiliary lights 
spaced at least 44 inches apart on at least one axis which was equipped 
with these auxiliary lights before May 30, 1994, will be considered in 
compliance with Sec. 229.125(d) (1) through (3) until the locomotive is 
retired or rebuilt, whichever comes first.

[58 FR 6902, Feb. 3, 1993, as amended at 59 FR 24963, May 13, 1994; 59 
FR 39705, Aug. 4, 1994; 61 FR 8887, Mar. 6, 1996]

Sec. 229.135  Event recorders.

    (a) Duty to equip. Effective May 5, 1995, and except as provided in 
paragraph (b) of this section, any train operated faster than 30 miles 
per hour shall have an in-service event recorder in the lead locomotive. 
The presence of the event recorder shall be noted on Form FRA F6180-49A, 
under the REMARKS section, except that an event recorder designed to 
allow the locomotive to assume the lead position only if the recorder is 
properly functioning is not required to have its presence noted on Form 
FRA F6180-49A. For the purpose of this section, ``train'' includes a 
locomotive or group of locomotives with or without cars, and ``lead 
locomotive'' means the locomotive from whose cab the crew is operating 
the train and, when cab control locomotives and/or MU locomotives are 
coupled together, is the first locomotive proceeding in the direction of 
movement. The duty to equip the lead locomotive may be met with an event 
recorder located elsewhere than the lead locomotive provided that such 
event recorder monitors and records the required data as though it were 
located in the lead locomotive.
    (b) Response to defective equipment. A locomotive on which the event 
recorder has been taken out of service as provided in paragraph (c) of 
this section may remain as the lead locomotive only until the next 
calendar-day inspection. A locomotive with an inoperative event recorder 
is not deemed to be in improper condition, unsafe to operate, or a non-
complying locomotive under Secs. 229.7 and 229.9, and notwithstanding 
any other requirements in this chapter, inspection, maintenance, and 
testing of event recorders is limited to the requirements set forth in 
Sec. 229.25(e).
    (c) Removal from service. A railroad may remove an event recorder 
from service and, if a railroad knows that an event recorder is not 
monitoring or recording the data specified in Sec. 229.5(g), shall 
remove the event recorder from service. When a railroad removes an event 
recorder from service, a qualified person shall cause to be recorded the 
date the device was removed from service on Form FRA F6180-49A, under 
the REMARKS section. An event recorder designed to allow the locomotive 
to assume the lead position only if the recorder is properly functioning 
is not required to have its removal from service noted on Form FRA 
F6180-49A.
    (d) Preserving accident data. For the purposes of this section, the 
term ``event recorder'' includes all locomotive-mounted recording 
devices designed to record information concerning the functioning of a 
locomotive or train regardless of whether the device meets the 
definition of ``event recorder'' in Sec. 229.5.

[[Page 324]]

    (1) Accidents required to be reported to the Federal Railroad 
Administration. If any locomotive equipped with an event recorder is 
involved in an accident that is required to be reported to FRA, the 
railroad using the locomotive shall, to the extent possible, and to the 
extent consistent with the safety of life and property, preserve the 
data recorded by the device for analysis by FRA. This preservation 
requirement permits the railroad to extract and analyze such data; 
provided the original or a first-order accurate copy of the data shall 
be retained in secure custody and shall not be utilized for analysis or 
any other purpose except by direction of FRA or the National 
Transportation Safety Board. This preservation requirement shall expire 
30 days after the date of the accident unless FRA or the Board notifies 
the railroad in writing that the data are desired for analysis.
    (2) Relationship to other laws. Nothing in this section is intended 
to alter the legal authority of law enforcement officials investigating 
potential violation(s) of State criminal law(s) and nothing in this 
chapter is intended to alter in any way the priority of National 
Transportation Safety Board investigations under 49 U.S.C. 1131 and 
1134, nor the authority of the Secretary of Transportation to 
investigate railroad accidents under 49 U.S.C. 5121, 5122, 20107, 20111, 
20112, 20505, 20702, 20703, and 20902.
    (e) Disabling event recorders. Except as provided in paragraph (c) 
of this section, any individual who willfully disables an event recorder 
is subject to civil penalty and to disqualification from performing 
safety-sensitive functions on a railroad as provided in Sec. 218.55 of 
this chapter and any individual who tampers with or alters the data 
recorded by such a device is subject to a civil penalty as provided in 
appendix B of this part and to disqualification from performing safety-
sensitive functions on a railroad if found unfit for such duties under 
the procedures in 49 CFR part 209.

[58 FR 36614, July 8, 1993, as amended at 60 FR 27905, May 26, 1995]

Sec. 229.137  Sanitation, general requirements.

    (a) Sanitation compartment. Except as provided in paragraph (b) of 
this section, all lead locomotives in use shall be equipped with a 
sanitation compartment. Each sanitation compartment shall be:
    (1) Adequately ventilated;
    (2) Equipped with a door that:
    (i) Closes, and
    (ii) Possesses a modesty lock by [18 months after publication of the 
final rule];
    (3) Equipped with a toilet facility, as defined in this part;
    (4) Equipped with a washing system, as defined in this part, unless 
the railroad otherwise provides the washing system to employees upon 
reporting for duty or occupying the cab for duty, or where the 
locomotive is equipped with a stationary sink that is located outside of 
the sanitation compartment;
    (5) Equipped with toilet paper in sufficient quantity to meet 
employee needs, unless the railroad otherwise provides toilet paper to 
employees upon reporting for duty or occupying the cab for duty; and
    (6) Equipped with a trash receptacle, unless the railroad otherwise 
provides portable trash receptacles to employees upon reporting for duty 
or occupying the cab for duty.
    (b) Exceptions. (1) Paragraph (a) of this section shall not apply 
to:
    (i) Locomotives engaged in commuter service or other short-haul 
passenger service and commuter work trains on which employees have ready 
access to railroad-provided sanitation facilities outside of the 
locomotive or elsewhere on the train, that meet otherwise applicable 
sanitation standards, at frequent intervals during the course of their 
work shift;
    (ii) Locomotives engaged in switching service on which employees 
have ready access to railroad-provided sanitation facilities outside of 
the locomotive, that meet otherwise applicable sanitation standards, at 
frequent intervals during the course of their work shift;
    (iii) Locomotives engaged in transfer service on which employees 
have ready access to railroad-provided sanitation

[[Page 325]]

facilities outside of the locomotive, that meet otherwise applicable 
sanitation standards, at frequent intervals during the course of their 
work shift;
    (iv) Locomotives of Class III railroads engaged in operations other 
than switching service or transfer service, that are not equipped with a 
sanitation compartment as of June 3, 2002. Where an unequipped 
locomotive of a Class III railroad is engaged in operations other than 
switching or transfer service, employees shall have ready access to 
railroad-provided sanitation facilities outside of the locomotive that 
meet otherwise applicable sanitation standards, at frequent intervals 
during the course of their work shift, or the railroad shall arrange for 
enroute access to such facilities;
    (v) Locomotives of tourist, scenic, historic, or excursion railroad 
operations, which are otherwise covered by this part because they are 
not propelled by steam power and operate on the general railroad system 
of transportation, but on which employees have ready access to railroad-
provided sanitation facilities outside of the locomotive, that meet 
otherwise applicable sanitation standards, at frequent intervals during 
the course of their work shift; and
    (vi) Except as provided in Sec. 229.14 of this part, control cab 
locomotives designed for passenger occupancy and used in intercity push-
pull service that are not equipped with sanitation facilities, where 
employees have ready access to railroad-provided sanitation in other 
passenger cars on the train at frequent intervals during the course of 
their work shift.
    (2) Paragraph (a)(3) of this section shall not apply to:
    (i) Locomotives of a Class I railroad which, prior to [the effective 
date of this section], were equipped with a toilet facility in which 
human waste falls via gravity to a holding tank where it is stored and 
periodically emptied, which does not conform to the definition of toilet 
facility set forth in this section. For these locomotives, the 
requirements of this section pertaining to the type of toilet facilities 
required shall be effective as these toilets become defective or are 
replaced with conforming units, whichever occurs first. All other 
requirements set forth in this section shall apply to these locomotives 
as of June 3, 2002; and
    (ii) With respect to the locomotives of a Class I railroad which, 
prior to June 3, 2002, were equipped with a sanitation system other than 
the units addressed by paragraph (b)(2)(i) of this section, that 
contains and removes human waste by a method that does not conform with 
the definition of toilet facility as set forth in this section, the 
requirements of this section pertaining to the type of toilet facilities 
shall apply on locomotives in use on July 1, 2003. However, the Class I 
railroad subject to this exception shall not deliver locomotives with 
such sanitation systems to other railroads for use, in the lead 
position, during the time between June 3, 2002, and July 1, 2003. All 
other requirements set forth in this section shall apply to the 
locomotives of this Class I railroad as of June 3, 2002.
    (c) Defective, unsanitary toilet facility; prohibition in lead 
position. Except as provided in paragraphs (c)(1) through (5) of this 
section, if the railroad determines during the daily inspection required 
by Sec. 229.21 that a locomotive toilet facility is defective or is 
unsanitary, or both, the railroad shall not use the locomotive in the 
lead position. The railroad may continue to use a lead locomotive with a 
toilet facility that is defective or unsanitary as of the daily 
inspection only where all of the following conditions are met:
    (1) The unsanitary or defective condition is discovered at a 
location where there are no other suitable locomotives available for 
use, ie., where it is not possible to switch another locomotive into the 
lead position, or the location is not equipped to clean the sanitation 
compartment if unsanitary or repair the toilet facility if defective;
    (2) The locomotive, while noncompliant, did not pass through a 
location where it could have been cleaned if unsanitary, repaired if 
defective, or switched with another compliant locomotive, since its last 
daily inspection required by this part;
    (3) Upon reasonable request of a locomotive crewmember operating a 
locomotive with a defective or unsanitary toilet facility, the railroad 
arranges for

[[Page 326]]

access to a toilet facility outside the locomotive that meets otherwise 
applicable sanitation standards;
    (4) If the sanitation compartment is unsanitary, the sanitation 
compartment door shall be closed and adequate ventilation shall be 
provided in the cab so that it is habitable; and
    (5) The locomotive shall not continue in service in the lead 
position beyond a location where the defective or unsanitary condition 
can be corrected or replaced with another compliant locomotive, or the 
next daily inspection required by this part, whichever occurs first.
    (d) Defective, unsanitary toilet facility; use in trailing position. 
If the railroad determines during the daily inspection required by 
Sec. 229.21 that a locomotive toilet facility is defective or is 
unsanitary, or both, the railroad may use the locomotive in trailing 
position. If the railroad places the locomotive in trailing position, 
they shall not haul employees in the unit unless the sanitation 
compartment is made sanitary prior to occupancy. If the toilet facility 
is defective and the unit becomes occupied, the railroad shall clearly 
mark the defective toilet facility as unavailable for use.
    (e) Defective, sanitary toilet facility; use in switching, transfer 
service. If the railroad determines during the daily inspection required 
by Sec. 229.21 that a locomotive toilet facility is defective, but 
sanitary, the railroad may use the locomotive in switching service, as 
set forth in paragraph (b)(1)(ii) of this section, or in transfer 
service, as set forth in paragraph (b)(1)(iii) of this section for a 
period not to exceed 10 days. In this instance, the railroad shall 
clearly mark the defective toilet facility as unavailable for use. After 
expiration of the 10-day period, the locomotive shall be repaired or 
used in the trailing position.
    (f) Lack of toilet paper, washing system, trash receptacle. If the 
railroad determines during the daily inspection required by Sec. 229.21 
that the lead locomotive is not equipped with toilet paper in sufficient 
quantity to meet employee needs, or a washing system as required by 
paragraph (a)(4) of this section, or a trash receptacle as required by 
paragraph (a)(6) of this section, the locomotive shall be equipped with 
these items prior to departure.
    (g) Inadequate ventilation. If the railroad determines during the 
daily inspection required by Sec. 229.21 that the sanitation compartment 
of the lead locomotive in use is not adequately ventilated as required 
by paragraph (a)(1) of this section, the railroad shall repair the 
ventilation prior to departure, or place the locomotive in trailing 
position, in switching service as set forth in paragraph (b)(1)(ii) of 
this section, or in transfer service as set forth in paragraph 
(b)(1)(iii) of this section.
    (h) Door closure and modesty lock. If the railroad determines during 
the daily inspection required by Sec. 229.21 that the sanitation 
compartment on the lead locomotive is not equipped with a door that 
closes, as required by paragraph (a)(2)(i) of this section, the railroad 
shall repair the door prior to departure, or place the locomotive in 
trailing position, in switching service as set forth in paragraph 
(b)(1)(ii) of this section, or in transfer service as set forth in 
paragraph (b)(1)(iii) of this section. If the railroad determines during 
the daily inspection required by Sec. 229.21 that the modesty lock 
required by paragraph (a)(2)(ii) of this section is defective, the 
modesty lock shall be repaired pursuant to the requirements of 
Sec. 229.139(e).
    (i) Equipped units; retention and maintenance. Except where a 
railroad downgrades a locomotive to service in which it will never be 
occupied, where a locomotive is equipped with a toilet facility as of 
[the effective date of the final rule], the railroad shall retain and 
maintain the toilet facility in the locomotive consistent with the 
requirements of this part, including locomotives used in switching 
service pursuant to paragraph (b)(1)(ii) of this section, and in 
transfer service pursuant to paragraph (b)(1)(iii) of this section.
    (j) Newly manufactured units; in-cab facilities. All locomotives 
manufactured after June 3, 2002, except switching units built 
exclusively for switching service and locomotives built exclusively for 
commuter service, shall be equipped with a sanitation compartment 
accessible to cab employees without exiting to the out-of-doors for use. 
No railroad may use a locomotive built

[[Page 327]]

after June 3, 2002, that does not comply with this subsection.
    (k) Potable water. The railroad shall utilize potable water where 
the washing system includes the use of water.

[67 16050, Apr. 4, 2002]

Sec. 229.139  Sanitation, servicing requirements.

    (a) The sanitation compartment of each lead locomotive in use shall 
be sanitary.
    (b) All components required by Sec. 229.137(a) for the lead 
locomotive in use shall be present consistent with the requirements of 
this part, and shall operate as intended such that:
    (1) All mechanical systems shall function;
    (2) Water shall be present in sufficient quantity to permit 
flushing;
    (3) For those systems that utilize chemicals for treatment, the 
chemical (chlorine or other comparable oxidizing agent) used to treat 
waste must be present; and
    (4) No blockage is present that prevents waste from evacuating the 
bowl.
    (c) The sanitation compartment of each occupied locomotive used in 
switching service pursuant to Sec. 229.137(b)(1)(ii), in transfer 
service pursuant to Sec. 229.137(b)(1)(iii), or in a trailing position 
when the locomotive is occupied, shall be sanitary.
    (d) Where the railroad uses a locomotive pursuant to Sec. 229.137(e) 
in switching or transfer service with a defective toilet facility, such 
use shall not exceed 10 calendar days from the date on which the 
defective toilet facility became defective. The date on which the toilet 
facility becomes defective shall be entered on the daily inspection 
report.
    (e) Where it is determined that the modesty lock required by 
Sec. 229.137(a)(2) is defective, the railroad shall repair the modesty 
lock on or before the next 92-day inspection required by this part.

[67 16050, Apr. 4, 2002]

                     Subpart D--Design Requirements

Sec. 229.141  Body structure, MU locomotives.

    (a) MU locomotives built new after April 1, 1956 that are operated 
in trains having a total empty weight of 600,000 pounds or more shall 
have a body structure designed to meet or exceed the following minimum 
specifications:
    (1) The body structure shall resist a minimum static end load of 
800,000 pounds at the rear draft stops ahead of the bolster on the 
center line of draft, without developing any permanent deformation in 
any member of the body structure.
    (2) An anti-climbing arrangement shall be applied at each end that 
is designed so that coupled MU locomotives under full compression shall 
mate in a manner that will resist one locomotive from climbing the 
other. This arrangement shall resist a vertical load of 100,000 pounds 
without exceeding the yield point of its various parts or its 
attachments to the body structure.
    (3) The coupler carrier and its connections to the body structure 
shall be designed to resist a vertical downward thrust from the coupler 
shank of 100,000 pounds for any horizontal position of the coupler, 
without exceeding the yield points of the materials used. When yielding 
type of coupler carrier is used, an auxiliary arrangement shall be 
provided that complies with these requirements.
    (4) The outside end of each locomotive shall be provided with two 
main vertical members, one at each side of the diaphragm opening; each 
main member shall have an ultimate shear value of not less than 300,000 
pounds at a point even with the top of the underframe member to which it 
is attached. The attachment of these members at bottom shall be 
sufficient to develop their full shear value. If reinforcement is used 
to provide the shear value, the reinforcement shall have full value for 
a distance of 18 inches up from the underframe connection and then taper 
to a point approximately 30 inches above the underframe connection.
    (5) The strength of the means of locking the truck to the body shall 
be at least the equivalent of an ultimate shear value of 250,000 pounds.
    (b) MU locomotives built new after April 1, 1956 that are operated 
in trains having a total empty weight of less than 600,000 pounds shall 
have a body

[[Page 328]]

structure designed to meet or exceed the following minimum 
specifications:
    (1) The body structure shall resist a minimum static end load of 
400,000 pounds at the rear draft stops ahead of the bolster on the 
center line of draft, without developing any permanent deformation in 
any member of the body structure.
    (2) An anti-climbing arrangement shall be applied at each end that 
is designed so that coupled locomotives under full compression shall 
mate in a manner that will resist one locomotive from climbing the 
other. This arrangement shall resist a vertical load of 75,000 pounds 
without exceeding the yield point of its various parts or its 
attachments to the body structure.
    (3) The coupler carrier and its connections to the body structure 
shall be designed to resist a vertical downward thrust from the coupled 
shank of 75,000 pounds for any horizontal position of the coupler, 
without exceeding the yield points of the materials used. When a 
yielding type of coupler carrier is used, an auxiliary arrangement shall 
be provided that complies with these requirements.
    (4) The outside end of each MU locomotive shall be provided with two 
main vertical members, one at each side of the diaphragm opening; each 
main member shall have an ultimate shear value of not less than 200,000 
pounds at a point even with the top of the underframe member to which it 
is attached. The attachment of these members at bottom shall be 
sufficient to develop their full shear value, the reinforcement shall 
have full value for a distance of 18 inches up from the underframe 
connection and then taper to a point approximately 30 inches above the 
underframe connection.
    (5) The strength of the means of locking the truck to the body shall 
be at least the equivalent of an ultimate shear value of 250,000 pounds.

                Appendix A to Part 229--Form FRA 6180-49A

    Editorial Note: Appendix A, published at 45 FR 21118, Mar. 31, 1980, 
as part of the original document, is not carried in the CFR. Copies of 
Form FRA F6180-49A are available by contacting the Federal Railroad 
Administration, Office of Standards and Procedures, 400 7th St., SW., 
Washington, DC 20590.

         Appendix B To Part 229--Schedule of Civil Penalties\1\

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
                           Subpart A--General
------------------------------------------------------------------------
229.7 Prohibited acts: Safety deficiencies not      $1,000-      $2,000-
 governed by specific regulations: To be              5,000        7,500
 assessed on relevant facts...................
229.9 Movement of noncomplying locomotives....        (\1\)        (\1\)
229.11 Locomotive identification..............        1,000        2,000
229.13 Control of locomotives.................        2,500        5,000
229.17 Accident reports.......................        2,500        5,000
229.19 Prior Waivers..........................        (\1\)        (\1\)
-----------------------------------------------
                     Subpart B--Inspection and tests

------------------------------------------------------------------------
229.21 Daily inspection:
    (a)(b):
        (1) Inspection overdue................        2,000        4,000
        (2) Inspection report not made,               1,000        2,000
         improperly executed, or not retained.
    (c) Inspection not performed by a                 1,000        2,000
     qualified person.........................
229.23 Periodic inspection General
    (a)(b):
        (1) Inspection overdue................        2,500        5,000
        (2) Inspection performed improperly or        2,500        5,000
         at a location where the underneath
         portion cannot be safely inspected...
    (c)(d):
        (1) Form missing......................        1,000        2,000
        (2) Form not properly displayed.......        1,000        2,000
        (3) Form improperly executed..........        1,000        2,000
    (e) Replace Form FRA F 6180-49A by April 2        1,000        2,000
    (f) Secondary record of the information           1,000        2,000
     reported on Form FRA F 6180.49A..........

[[Page 329]]


229.25
  (a) through (e)(4) Tests: Every periodic            2,500        5,000
   inspection.................................
  (e)(5) Ineffective maintenance..............        8,000       16,000
229.27 Annual tests...........................        2,500        5,000
229.29 Biennial tests.........................        2,500        5,000
229.31:
    (a) Biennial hydrostatic tests of main            2,500        5,000
     reservoirs...............................
    (b) Biennial hammer tests of main                 2,500        5,000
     reservoirs...............................
    (c) Drilled telltale holes in welded main         2,500        5,000
     reservoirs...............................
    (d) Biennial tests of aluminum main               2,500        5,000
     reservoirs...............................
229.33 Out-of-use credit......................        1,000        2,000
-----------------------------------------------
                     Subpart C--Safety Requirements

------------------------------------------------------------------------
229.41 Protection against personal injury.....        2,500        5,000
229.43 Exhaust and battery gases..............        2,500        5,000
229.45 General condition: To be assessed based  1,000-5,000  2,000-7,500
 on relevant facts............................
229.46 Brakes: General........................        2,500        5,000
229.47 Emergency brake valve..................        2,500        5,000
229.49 Main reservoir system:
    (a)(1) Main reservoir safety valve........        2,500        5,000
    (2) Pneumatically actuated control                2,500        5,000
     reservoir................................
    (b)(c) Main reservoir governors...........        2,500        5,000
229.51 Aluminum main reservoirs...............        2,500        5,000
229.53 Brake gauges...........................        2,500        5,000
229.55 Piston travel..........................        2,500        5,000
229.57 Foundation brake gear..................        2,500        5,000
229.59 Leakage................................        2,500        5,000
229.61 Draft system...........................        2,500        5,000
229.63 Lateral motion.........................        2,500        5,000
229.64 Plain bearing..........................        2,500        5,000
229.65 Spring rigging.........................        2,500        5,000
229.67 Trucks.................................        2,500        5,000
229.69 Side bearings..........................        2,500        5,000
229.71 Clearance above top of rail............        2,500        5,000
229.73 Wheel sets.............................        2,500        5,000
229.75 Wheel and tire defects:
    (a),(d) Slid flat or shelled spot(s):
        (1) One spot 2\1/2\<gr-thn-eq> or more        2,500        5,000
         but less than 3<gr-thn-eq> in length.
        (2) One spot 3<gr-thn-eq> or more in          5,000        7,500
         length...............................
        (3) Two adjoining spots each of which         2,500        5,000
         is 2<gr-thn-eq> or more in length but
         less than 2\1/2\<gr-thn-eq> in length
        (4) Two adjoining spots each of which         5,000        7,500
         are at least 2<gr-thn-eq> in length,
         if either spot is 2\1/2\<gr-thn-eq>
         or more in length....................
    (b) Gouge or chip in flange of:
        (1) more than 1\1/2\<gr-thn-eq> but           2,500        5,000
         less than 1\5/8\<gr-thn-eq> in
         length; and more than \1/2\<gr-thn-
         eq> but less than \5/8\<gr-thn-eq> in
         width................................
        (2) 1\5/8\<gr-thn-eq> or more in              5,000        7,500
         length and \5/8\<gr-thn-eq> or more
         in width.............................
    (c) Broken rim............................        5,000        7,500
    (e) Seam in tread.........................        2,500        5,000
    (f) Flange thickness of:
        (1) \7/8\<gr-thn-eq> or less but more         2,500        5,000
         than \13/16\<gr-thn-eq>..............
        (2) \13/16\<gr-thn-eq> or less........        5,000        7,500
    (g) Tread worn hollow.....................        2,500        5,000
    (h) Flange height of:
        (1) 1\1/2\<gr-thn-eq> or greater but          2,500        5,000
         less than 1\5/8\<gr-thn-eq>..........
        (2) 1\5/8\<gr-thn-eq> or more.........        5,000        7,000
    (i) Tire thickness........................        2,500        5,000
    (j) Rim thickness:
        (1) Less than 1<gr-thn-eq> in road            2,500        5,000
         service and \3/4\<gr-thn-eq> in yard
         service..............................
        (2) \15/16\<gr-thn-eq> or less in road        5,000        7,500
         service and \11/16\<gr-thn-eq> in
         yard service.........................
    (k) Crack of less than 1<gr-thn-eq>.......        5,000        7,500
        (1) Crack of less than 1<gr-thn-eq>...        2,500        5,000
        (2) Crack of 1<gr-thn-eq> or more.....        5,000        7,500
        (3) Break.............................        5,000        7,500
    (l) Loose wheel or tire...................        5,000        7,500
    (m) Welded wheel or tire..................        5,000        7,500
229.77 Current collectors.....................        2,500        5,000
229.79 Third rail shoes and beams.............        2,000        4,000
229.81 Emergency pole; shoe insulation........        2,500        5,000
229.83 Insulation or grounding................        5,000        7,500
229.85 Door and cover plates marked ``Danger''        2,500        5,000
229.87 Hand operated switches.................        2,500        5,000
229.89 Jumpers; cable connections:
    (a) Jumpers and cable connections; located        2,500        5,000
     and guarded..............................

[[Page 330]]


    (b) Condition of jumpers and cable                2,500        5,000
     connections..............................
229.91 Motors and generators..................        2,500        5,000
229.93 Safety cut-off device..................        2,500        5,000
229.95 Venting................................        2,500        5,000
229.97 Grounding fuel tanks...................        2,500        5,000
229.99 Safety hangers.........................        2,500        5,000
229.101 Engines:
    (a) Temperature and pressure alarms,              2,500        5,000
     controls, and switches...................
    (b) Warning notice........................        2,500        5,000
    (c) Wheel slip/slide protection...........        2,500        5,000
229.103 Safe working pressure; factor of              2,500        5,000
 safety.......................................
229.105 Steam generator number................          500        1,000
229.107 Pressure gauge........................        2,500        5,000
229.109 Safety valves.........................        2,500        5,000
229.111 Water-flow indicator..................        2,500        5,000
229.113 Warning notice........................        2,500        5,000
229.115 Slip/slide alarms.....................        2,500        5,000
229.117 Speed indicators......................        2,500        5,000
229.119 Cabs, floors, and passageways:
    (a)(1) Cab set not securely mounted or            2,500        5,000
     braced...................................
        (2) Insecure or improper latching             2,500        5,000
         device...............................
    (b) Cab windows of lead locomotive........        2,500        5,000
    (c) Floors, passageways, and compartments.        2,500        5,000
    (d) Ventilation and heating arrangement...        2,500        5,000
    (e) Continuous barrier....................        2,500        5,000
    (f) Containers for fuses and torpedoes....        2,500        5,000
229.121 Locomotive cab noise..................        2,500        5,000
229.123 Pilots, snowplows, end plates.........        2,500        5,000
229.125
  (a) Headlights..............................        2,500        5,000
  (d) Auxiliary lights........................        2,500        5,000
229.127 Cab lights............................        2,500        5,000
229.129 Audible warning device................        2,500        5,000
229.131 Sanders...............................        1,000        2,000
229.135
  (a) Lead locomotive without in-service event        2,500        5,000
   recorder...................................
  (b) Improper response to out of service             2,500        5,000
   event recorder.............................
  (c) Unauthorized removal from service.......        2,500        5,000
  Failure to remove from service a recorder           2,500        5,000
   known to have failed.......................
  (d) Failure to preserve data or unauthorized        2,500        5,000
   extraction of data.........................
  (e) Tampering with device or data...........        2,500        7,500
-----------------------------------------------
                     Subpart D--Design Requirements

------------------------------------------------------------------------
229.141 Body structure, MU locomotives........        2,500        5,000
229.137 Sanitation, general:
    (a) Sanitation compartment in lead unit,         $5,000      $10,000
     complete failure to provide required
     items....................................
        (1) Ventilation.......................        2,500        5,000
        (2) Door missing......................        2,000        4,000
        (2)(i) Door doesn't close.............        1,000        2,000
        (2)(ii) No modesty lock...............        1,000        2,000
        (3) Not equipped with toilet in lead..        5,000       10,000
        (4) Not equipped with washing system..        1,000        2,000
        (5) Lack of paper.....................        1,000        2,000
        (6) Lack of trash receptacle..........        1,000        2,000
    (b) Exceptions:
        (1)(i) Commuter service, failure to           2,500        5,000
         meet conditions of exception.........
        (1)(ii) Switching service, failure to         2,500        5,000
         meet conditions of exception.........
        (1)(iii) Transfer service, failure to         2,500        5,000
         meet conditions of exception.........
        (1)(iv) Class III, failure to meet            2,500        5,000
         conditions of exception..............
        (1)(v) Tourist, failure to meet               2,500        5,000
         conditions of exception..............
        (1)(vi) Control cab locomotive,               2,500        5,000
         failure to meet conditions of
         exception............................
        (2) Noncompliant toilet...............        5,000       10,000
    (c) Defective/unsanitary toilet in lead           2,500        5,000
     unit.....................................
        (1-5) Failure to meet conditions of           2,500        5,000
         exception............................
    (d) Defective/unsanitary unit; failure to         2,500        5,000
     meet conditions for trailing position....
    (e) Defective/sanitary unit; failure to           2,500        5,000
     meet conditions for switching/transfer
     service..................................
    (f) Paper, washing, trash holder; failure         2,500        5,000
     to equip prior to departure..............
    (g) Inadequate ventilation; failure to            2,500        5,000
     repair or move prior to departure........
    (h) Door closure/modesty lock; failure to         1,000        2,000
     repair or move...........................
    (i) Failure to retain/maintain of equipped        2,500        5,000
     units....................................
    (j) Failure to equip new units/in-cab             2,500        5,000
     facility.................................
    (k) Failure to provide potable water......        2,500        5,000

[[Page 331]]


229.139 Servicing requirements:
    (a) Lead occupied unit not sanitary.......        2,500        5,000
    (b) Components not present/operating......        2,500        5,000
    (c) Occupied unit in switching, transfer          2,500        5,000
     service, in trailing position not
     sanitary.................................
    (d) Defective unit used more than 10 days.        2,500        5,000
    (e) Failure to repair defective modesty           1,000        2,000
     lock.....................................
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. Generally, when two or more violations of these regulations
  are discovered with respect to a single locomotive that is used by a
  railroad, the appropriate penalties set forth above are aggregated up
  to a maximum of $10,000 per day. However, a failure to perform, with
  respect to a particular locomotive, any of the inspections and tests
  required under subpart B of this part will be treated as a violation
  separate and distinct from, and in addition to, any substantive
  violative conditions found on that locomotive. Moreover, 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.
Failure to observe any condition for movement set forth in Sec.  229.9
  will deprive the railroad of the benefit of the movement-for-repair
  provision and make the railroad and any responsible individuals liable
  for penalty under the particular regulatory section(s) concerning the
  substantive defect(s) present on the locomotive at the time of
  movement. Failure to comply with Sec.  229.19 will result in the lapse
  of any affected waiver.


[53 FR 52931, Dec. 29, 1988, as amended at 58 FR 36615, July 8, 1993; 61 
FR 8888, Mar. 6, 1996; 63 FR 11622, Mar. 10, 199867 FR 16052, Apr. 4, 
2002]

    Appendix C to Part 229--FRA Locomotive Standards--Code of Defects

    Editorial Note: Appendix C, published at 45 FR 21121, Mar. 31, 1980, 
as part of the original document, is not carried in the CFR.



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