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[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2003]
[CITE: 49CFR232]

[Page 439-483]
 

TITLE 49--TRANSPORTATION
CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
PART 232--BRAKE SYSTEM SAFETY STANDARDS for FREIGHT and OTHER NON-PASSENGER TRAINS and EQUIPMENT; END-of-TRAIN DEVICES



                           Subpart A--General

Sec.
232.1 Scope.
232.3 Applicability.
232.5 Definitions.
232.7 Waivers.
232.9 Responsibility for compliance.
232.11 Penalties.
232.13 Preemptive effect.
232.15 Movement of defective equipment.
232.17 Special approval procedure.
232.19 Availability of records.
232.21 Information collection.

                     Subpart B--General Requirements

232.101 Scope.
232.103 General requirements for all train brake systems.
232.105 General requirements for locomotives.
232.107 Air source requirements and cold weather operations.
232.109 Dynamic brake requirements.
232.111 Train handling information.

             Subpart C--Inspection and Testing Requirements

232.201 Scope.
232.203 Training requirements.
232.205 Class I brake tests--initial terminal inspection.
232.207 Class IA brake tests--1,000-mile inspection.
232.209 Class II brake tests--intermediate inspection.
232.211 Class III brake tests--trainline continuity inspection.
232.213 Extended haul trains.
232.215 Transfer train brake tests.
232.217 Train brake tests conducted using yard air.
232.219 Double heading and helper service.

        Subpart D--Periodic Maintenance and Testing Requirements

232.301 Scope.
232.303 General requirements.
232.305 Single car air brake tests.
232.307 Modification of the single car air brake test procedures.
232.309 Equipment and devices used to perform single car air brake 
          tests.

                     Subpart E--End-of-Train Devices

232.401 Scope.
232.403 Design standards for one-way end-of-train devices.
232.405 Design and performance standards for two-way end-of-train 
          devices.
232.407 Operations requiring use of two-way end-of-train devices; 
          prohibition on purchase of nonconforming devices.
232.409 Inspection and testing of end-of-train devices.

         Subpart F--Introduction of New Brake System Technology

232.501 Scope.
232.503 Process to introduce new brake system technology.
232.505 Pre-revenue service acceptance testing plan.

Appendix A--Schedule of Civil Penalties
Appendix B--Part 232 prior to May 31, 2001 as clarified effective April 
          10, 2002

    Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20301-20303, 
20306, 21301-21302, 21304; 49 CFR 1.49(c), (m).

    Source: 66 FR 4193, Jan. 17, 2001, unless otherwise noted.

                           Subpart A--General

Sec. 232.1  Scope.

    (a) This part prescribes Federal safety standards for freight and 
other non-passenger train brake systems and equipment. Subpart E of this 
part prescribes Federal safety standards not only for freight and other 
non-passenger train brake systems and equipment, but also for passenger 
train brake systems. This part does not restrict a railroad from 
adopting or enforcing additional or more stringent requirements not 
inconsistent with this part.
    (b) Except as otherwise specifically provided in this paragraph or 
in this part, railroads to which this part applies shall comply with all 
the requirements contained in subparts A through C and subpart F of this 
part beginning on April 1, 2004. Sections 232.1 through 232.13 and 
232.17 through 232.21 of this part will become applicable to all 
railroads to which this part applies beginning on May 31, 2001. Subpart 
D of this part will become applicable to all railroads to which this 
part applies beginning on August 1, 2001. Subpart E of this part will 
become applicable to all trains operating on track which is part of the 
general railroad system of transportation beginning on May 31, 2001.

[[Page 440]]

    (c) A railroad may request earlier application of the requirements 
contained in subparts A through C and subpart F of this part upon 
written notification to FRA's Associate Administrator for Safety. Such a 
request shall indicate the railroad's readiness and ability to comply 
with all of the requirements contained in those subparts.
    (d) Except for operations identified in Sec. 232.3(c)(1), (c)(4), 
and (c)(6) through (c)(8), all railroads which are part of the general 
railroad system of transportation shall operate pursuant to the 
requirements contained in this part 232 as it existed on May 31, 2001 
and included as Appendix B to this part until they are either required 
to operate pursuant to the requirements contained in this part or the 
requirements contained in part 238 of this chapter or they elect to 
comply earlier than otherwise required with the requirements contained 
in this part or the requirements contained in part 238 of this chapter.

[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 9906, Feb. 12, 2001]

Sec. 232.3  Applicability.

    (a) Except as provided in paragraphs (b) and (c) of this section, 
this part applies to all railroads that operate freight or other non-
passenger train service on standard gage track which is part of the 
general railroad system of transportation. This includes the operation 
of circus trains and private cars when hauled on such railroads.
    (b) Subpart E of this part, ``End-of-Train Devices,'' applies to all 
trains operating on track which is part of the general railroad system 
of transportation unless specifically excepted in that subpart.
    (c) Except as provided in Sec. 232.1(d) and paragraph (b) of this 
section, this part does not apply to:
    (1) A railroad that operates only on track inside an installation 
that is not part of the general railroad system of transportation.
    (2) Intercity or commuter passenger train operations on standard 
gage track which is part of the general railroad system of 
transportation;
    (3) Commuter or other short-haul rail passenger train operations in 
a metropolitan or suburban area (as described by 49 U.S.C. 20102(1)), 
including public authorities operating passenger train service;
    (4) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation;
    (5) Tourist, scenic, historic, or excursion operations, whether on 
or off the general railroad system;
    (6) Freight and other non-passenger trains of four-wheel coal cars;
    (7) Freight and other non-passenger trains of eight-wheel standard 
logging cars if the height of each car from the top of the rail to the 
center of the coupling is not more than 25 inches; or
    (8) A locomotive used in hauling a train referred to in paragraph 
(c)(7) of this subsection when the locomotive and cars of the train are 
used only to transport logs.
    (d) The provisions formerly contained in Interstate Commerce 
Commission Order 13528, of May 30, 1945, as amended, now revoked, are 
codified in this paragraph. This part is not applicable to the following 
equipment:
    (1) Scale test weight cars.
    (2) Locomotive cranes, steam shovels, pile drivers, and machines of 
similar construction, and maintenance machines built prior to September 
21, 1945.
    (3) Export, industrial, and other cars not owned by a railroad which 
are not to be used in service, except for movement as shipments on their 
own wheels to given destinations. Such cars shall be properly identified 
by a card attached to each side of the car, signed by the shipper, 
stating that such movement is being made under the authority of this 
paragraph.
    (4) Industrial and other than railroad-owned cars which are not to 
be used in service except for movement within the limits of a single 
switching district (i.e., within the limits of an industrial facility).
    (5) Narrow-gage cars.
    (6) Cars used exclusively in switching operations and not used in 
train movements within the meaning of the Federal safety appliance laws 
(49 U.S.C. 20301-20306).

[[Page 441]]

Sec. 232.5  Definitions.

    The definitions in this section are intended to clarify the meaning 
of terms used in this part as it becomes applicable pursuant to 
Sec. 232.1(b) and (c).
    AAR means the Association of American Railroads.
    Air brake means a combination of devices operated by compressed air, 
arranged in a system, and controlled manually, electrically, 
electronically, or pneumatically, by means of which the motion of a 
railroad car or locomotive is retarded or arrested.
    Air Flow Indicator, AFM means a specific air flow indicator required 
by the air flow method of qualifying train air brakes (AFM). The AFM Air 
Flow Indicator is a calibrated air flow measuring device which is 
clearly visible and legible in daylight and darkness from the engineer's 
normal operating position. The indicator face displays:
    (1) Markings from 10 cubic feet per minute (CFM) to 80 CFM, in 
increments of 10 CFM or less; and
    (2) Numerals indicating 20, 40, 60, and 80 CFM for continuous 
monitoring of air flow.
    Bind means restrict the intended movement of one or more brake 
system components by reduced clearance, by obstruction, or by increased 
friction.
    Brake, dynamic means a train braking system whereby the kinetic 
energy of a moving train is used to generate electric current at the 
locomotive traction motors, which is then dissipated through resistor 
grids or into the catenary or third rail system.
    Brake, effective means a brake that is capable of producing its 
nominally designed retarding force on the train. A car's air brake is 
not considered effective if it is not capable of producing its nominally 
designed retarding force or if its piston travel exceeds:
    (1) 10\1/2\ inches for cars equipped with nominal 12-inch stroke 
brake cylinders; or
    (2) The piston travel limit indicated on the stencil, sticker, or 
badge plate for that brake cylinder.
    Brake, hand means a brake that can be applied and released by hand 
to prevent or retard the movement of a locomotive.
    Brake indicator means a device which indicates the brake application 
range and indicates whether brakes are applied and released.
    Brake, inoperative means a primary brake that, for any reason, no 
longer applies or releases as intended.
    Brake, inoperative dynamic means a dynamic brake that, for any 
reason, no longer provides its designed retarding force on the train.
    Brake, parking means a brake that can be applied by means other than 
by hand, such as spring, hydraulic, or air pressure when the brake pipe 
air is depleted, or by an electrical motor.
    Brake pipe means the system of piping (including branch pipes, angle 
cocks, cutout cocks, dirt collectors, hoses, and hose couplings) used 
for connecting locomotives and all railroad cars for the passage of 
compressed air.
    Brake, primary means those components of the train brake system 
necessary to stop the train within the signal spacing distance without 
thermal damage to friction braking surfaces.
    Brake, secondary means those components of the train brake system 
which develop supplemental brake retarding force that is not needed to 
stop the train within signal spacing distances or to prevent thermal 
damage to wheels.
    Emergency application means an irretrievable brake application 
resulting in the maximum retarding force available from the train brake 
system.
    End-of-train device, one-way means two pieces of equipment linked by 
radio that meet the requirements of Sec. 232.403.
    End-of-train device, two-way means two pieces of equipment linked by 
radio that meet the requirements of Secs. 232.403 and 232.405.
    Foul means any condition which restricts the intended movement of 
one or more brake system components because the component is snagged, 
entangled, or twisted.
    Freight car means a vehicle designed to carry freight, or railroad 
personnel, by rail and a vehicle designed for use in a work or wreck 
train or other non-passenger train.
    Initial terminal means the location where a train is originally 
assembled.
    Locomotive means a piece of railroad on-track equipment, other than 
hi-rail, specialized maintenance, or other similar equipment, which may 
consist of

[[Page 442]]

one or more units operated from a single control stand--
    (1) With one or more propelling motors designed for moving other 
railroad equipment;
    (2) With one or more propelling motors designed to transport freight 
or passenger traffic or both; or
    (3) Without propelling motors but with one or more control stands.
    Locomotive cab means that portion of the superstructure designed to 
be occupied by the crew operating the locomotive.
    Locomotive, controlling means the locomotive from which the engineer 
exercises control over the train.
    Off air means not connected to a continuous source of compressed air 
of at least 60 pounds per square inch (psi).
    Ordered date or date ordered means the date on which notice to 
proceed is given by a procuring railroad to a contractor or supplier for 
new equipment.
    Piston travel means the amount of linear movement of the air brake 
hollow rod (or equivalent) or piston rod when forced outward by movement 
of the piston in the brake cylinder or actuator and limited by the brake 
shoes being forced against the wheel or disc.
    Pre-revenue service acceptance testing plan means a document, as 
further specified in Sec. 232.505, prepared by a railroad that explains 
in detail how pre-revenue service tests of certain equipment demonstrate 
that the equipment meets Federal safety standards and the railroad's own 
safety design requirements.
    Previously tested equipment means equipment that has received a 
Class I brake test pursuant to Sec. 232.205 and has not been off air for 
more than four hours.
    Primary responsibility means the task that a person performs at 
least 50 percent of the time. The totality of the circumstances will be 
considered on a case-by-case basis in circumstances where an individual 
does not spend 50 percent of the day engaged in any one readily 
identifiable type of activity.
    Qualified mechanical inspector means a qualified person who has 
received, as a part of the training, qualification, and designation 
program required under Sec. 232.203, instruction and training that 
includes ``hands-on'' experience (under appropriate supervision or 
apprenticeship) in one or more of the following functions: 
troubleshooting, inspection, testing, maintenance or repair of the 
specific train brake components and systems for which the person is 
assigned responsibility. This person shall also possess a current 
understanding of what is required to properly repair and maintain the 
safety-critical brake components for which the person is assigned 
responsibility. Further, the qualified mechanical inspector shall be a 
person whose primary responsibility includes work generally consistent 
with the functions listed in this definition.
    Qualified person means a person who has received, as a part of the 
training, qualification, and designation program required under 
Sec. 232.203, instruction and training necessary to perform one or more 
functions required under this part. The railroad is responsible for 
determining that the person has the knowledge and skills necessary to 
perform the required function for which the person is assigned 
responsibility. The railroad determines the qualifications and 
competencies for employees designated to perform various functions in 
the manner set forth in this part. Although the rule uses the term 
``qualified person'' to describe a person responsible for performing 
various functions required under this part, a person may be deemed 
qualified to perform some functions but not qualified to perform other 
functions. For example, although a person may be deemed qualified to 
perform the Class II/intermediate brake test required by this part, that 
same person may or may not be deemed qualified to perform the Class I/
initial Terminal brake test or authorize the movement of defective 
equipment under this part. The railroad will determine the required 
functions for which an individual will be deemed a ``qualified person'' 
based upon the instruction and training the individual has received 
pursuant to Sec. 232.203 concerning a particular function.
    Railroad means any form of non-highway ground transportation that 
runs on rails or electromagnetic guideways, including:

[[Page 443]]

    (1) Commuter or short-haul railroad passenger service in a 
metropolitan or suburban area and commuter railroad service that was 
operated by the Consolidated Rail Corporation on January 1, 1979; and
    (2) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads. The term 
``railroad'' is also intended to mean a person that provides 
transportation by railroad, whether directly or by contracting out 
operation of the railroad to another person. The term does not include 
rapid transit operations in an urban area that are not connected to the 
general railroad system of transportation.
    Rebuilt equipment means equipment that has undergone overhaul 
identified by the railroad as a capital expense under the Surface 
Transportation Board's accounting standards.
    Refresher training means periodic retraining required for employees 
or contractors to remain qualified to perform specific equipment 
troubleshooting, inspection, testing, maintenance, or repair functions.
    Respond as intended means to produce the result that a device or 
system is designed to produce.
    ``Roll-by'' inspection means an inspection performed while equipment 
is moving.
    Service application means a brake application that results from one 
or more service reductions or the equivalent.
    Service reduction means a decrease in brake pipe pressure, usually 
from 5 to 25 psi at a rate sufficiently rapid to move the operating 
valve to service position, but at a rate not rapid enough to move the 
operating valve to emergency position.
    Solid block of cars means two or more freight cars coupled together 
and added to or removed from a train as a single unit.
    State inspector means an inspector of a participating State rail 
safety program under part 212 of this chapter.
    Switching service means the classification of freight cars according 
to commodity or destination; assembling of cars for train movements; 
changing the position of cars for purposes of loading, unloading, or 
weighing; placing of locomotives and cars for repair or storage; or 
moving of rail equipment in connection with work service that does not 
constitute a train movement.
    Tourist, scenic, historic, or excursion operations are railroad 
operations that carry passengers, often using antiquated equipment, with 
the conveyance of the passengers to a particular destination not being 
the principal purpose.
    Train means one or more locomotives coupled with one or more freight 
cars, except during switching service.
    Train line means the brake pipe or any non-pneumatic system used to 
transmit the signal that controls the locomotive and freight car brakes.
    Train, unit or train, cycle means a train that, except for the 
changing of locomotive power and the removal or replacement of defective 
equipment, remains coupled as a consist and continuously operates from 
location A to location B and back to location A.
    Transfer train means a train that travels between a point of origin 
and a point of final destination not exceeding 20 miles. Such trains may 
pick up or deliver freight equipment while en route to destination.
    Yard air means a source of compressed air other than from a 
locomotive.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17580, Apr. 10, 2002]

Sec. 232.7  Waivers.

    (a) Any person subject to a requirement of this part may petition 
the Administrator for a waiver of compliance with such requirement. The 
filing of such a petition does not affect that person's responsibility 
for compliance with that requirement while the petition is being 
considered.
    (b) Each petition for waiver must be filed in the manner and contain 
the information required by part 211 of this chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary. If a waiver is granted, the Administrator

[[Page 444]]

publishes a notice in the Federal Register containing the reasons for 
granting the waiver.

Sec. 232.9  Responsibility for compliance.

    (a) A railroad subject to this part shall not use, haul, permit to 
be used or hauled on its line, offer in interchange, or accept in 
interchange any train, railroad car, or locomotive with one or more 
conditions not in compliance with this part; however, a railroad shall 
not be liable for a civil penalty for such action if such action is in 
accordance with Sec. 232.15. For purposes of this part, a train, 
railroad car, or locomotive will be considered in use prior to departure 
but after it has received, or should have received, the inspection 
required for movement and is deemed ready for service.
    (b) Although many of the requirements of this part are stated in 
terms of the duties of a railroad, when any person performs any function 
required by this part, that person (whether or not a railroad) is 
required to perform that function in accordance with this part.
    (c) Any person performing any function or task required by this part 
shall be deemed to have consented to FRA inspection of the person's 
operation to the extent necessary to determine whether the function or 
task is being performed in accordance with the requirements of this 
part.

Sec. 232.11  Penalties.

    (a) Any person (including but not limited to a railroad; any 
manager, supervisor, official, or other employee or agent of a railroad; 
any owner, manufacturer, lessor, or lessee of railroad equipment, track, 
or facilities; any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500, but 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. Appendix A to this part 
contains a schedule of civil penalty amounts used in connection with 
this rule.
    (b) Any person who knowingly and willfully falsifies a record or 
report required by this part is subject to criminal penalties under 49 
U.S.C. 21311.

Sec. 232.13  Preemptive effect.

    (a) Under 49 U.S.C. 20106, issuance of the regulations in this part 
preempts any State law, rule, regulation, order, or standard covering 
the same subject matter, except for a provision necessary to eliminate 
or reduce a local safety hazard if that provision is not incompatible 
with this part and does not impose an undue burden on interstate 
commerce.
    (b) Preemption should also be considered pursuant to the Locomotive 
Boiler Inspection Act (now codified at 49 U.S.C. 20701-20703), the 
Safety Appliance Acts (now codified at 49 U.S.C. 20301-20304), and the 
Commerce Clause based on the relevant case law pertaining to preemption 
under those provisions.
    (c) FRA does not intend by issuance of the regulations in this part 
to preempt provisions of State criminal law that impose sanctions for 
reckless conduct that leads to actual loss of life, injury, or damage to 
property, whether such provisions apply specifically to railroad 
employees or generally to the public at large.

Sec. 232.15  Movement of defective equipment.

    (a) General provision. Except as provided in paragraph (c) of this 
section, a railroad car or locomotive with one or more conditions not in 
compliance with this part may be used or hauled without civil penalty 
liability under this part only if all of the following conditions are 
met:
    (1) The defective car or locomotive is properly equipped in 
accordance with the applicable provisions of 49 U.S.C. chapter 203 and 
the requirements of this part.
    (2) The car or locomotive becomes defective while it is being used 
by the

[[Page 445]]

railroad on its line or becomes defective on the line of a connecting 
railroad and is properly accepted in interchange for repairs in 
accordance with paragraph (a)(7) of this section.
    (3) The railroad first discovers the defective condition of the car 
or locomotive prior to moving it for repairs.
    (4) The movement of the defective car or locomotive for repairs is 
from the location where the car or locomotive is first discovered 
defective by the railroad.
    (5) The defective car or locomotive cannot be repaired at the 
location where the railroad first discovers it to be defective.
    (6) The movement of the car or locomotive is necessary to make 
repairs to the defective condition.
    (7) The location to which the car or locomotive is being taken for 
repair is the nearest available location where necessary repairs can be 
performed on the line of the railroad where the car or locomotive was 
first found to be defective or is the nearest available location where 
necessary repairs can be performed on the line of a connecting railroad 
if:
    (i) The connecting railroad elects to accept the defective car or 
locomotive for such repair; and
    (ii) The nearest available location where necessary repairs can be 
performed on the line of the connecting railroad is no farther than the 
nearest available location where necessary repairs can be performed on 
the line of the railroad where the car or locomotive was found 
defective.
    (8) The movement of the defective car or locomotive for repairs is 
not by a train required to receive a Class I brake test at that location 
pursuant to Sec. 232.205.
    (9) The movement of the defective car or locomotive for repairs is 
not in a train in which less than 85 percent of the cars have operative 
and effective brakes.
    (10) The defective car or locomotive is tagged, or information is 
recorded, as prescribed in paragraph (b) of this section.
    (11) Except for cars or locomotives with brakes cut out en route, 
the following additional requirements are met:
    (i) A qualified person shall determine--
    (A) That it is safe to move the car or locomotive; and
    (B) The maximum safe speed and other restrictions necessary for 
safely conducting the movement.
    (ii) The person in charge of the train in which the car or 
locomotive is to be moved shall be notified in writing and inform all 
other crew members of the presence of the defective car or locomotive 
and the maximum speed and other restrictions determined under paragraph 
(a)(11)(i)(B) of this section. A copy of the tag or card described in 
paragraph (b) of this section may be used to provide the notification 
required by this paragraph.
    (iii) The defective car or locomotive is moved in compliance with 
the maximum speed and other restrictions determined under paragraph 
(a)(11)(i)(B) of this section.
    (12) The defective car or locomotive is not subject to a Special 
Notice for Repair under part 216 of this chapter, unless the movement of 
the defective car is made in accordance with the restrictions contained 
in the Special Notice.
    (b) Tagging of defective equipment. (1) At the place where the 
railroad first discovers the defect, a tag or card shall be placed on 
both sides of the defective equipment, except that defective locomotives 
may have the tag or card placed in the cab of the locomotive. In lieu of 
a tag or card, an automated tracking system approved for use by FRA 
shall be provided. The tag, card, or automated tracking system shall 
contain the following information about the defective equipment:
    (i) The reporting mark and car or locomotive number;
    (ii) The name of the inspecting railroad;
    (iii) The name and job title of the inspector;
    (iv) The inspection location and date;
    (v) The nature of each defect;
    (vi) A description of any movement restrictions;
    (vii) The destination where the equipment will be repaired; and
    (viii) The signature, or electronic identification, of the person 
reporting the defective condition.

[[Page 446]]

    (2) The tag or card required by paragraph (b)(1) of this section 
shall remain affixed to the defective equipment until the necessary 
repairs have been performed.
    (3) An electronic or written record or a copy of each tag or card 
attached to or removed from a car or locomotive shall be retained for 90 
days and, upon request, shall be made available within 15 calendar days 
for inspection by FRA or State inspectors.
    (4) Each tag or card removed from a car or locomotive shall contain 
the date, location, reason for its removal, and the signature of the 
person who removed it from the piece of equipment.
    (5) Any automated tracking system approved by FRA to meet the 
tagging requirements contained in paragraph (b)(1) of this section shall 
be capable of being reviewed and monitored by FRA at any time to ensure 
the integrity of the system. FRA's Associate Administrator for Safety 
may prohibit or revoke a railroad's authority to utilize an approved 
automated tracking system in lieu of tagging if FRA finds that the 
automated tracking system is not properly secure, is inaccessible to FRA 
or a railroad's employees, or fails to adequately track and monitor the 
movement of defective equipment. FRA will record such a determination in 
writing, include a statement of the basis for such action, and provide a 
copy of the document to the railroad.
    (c) Movement for unloading or purging of defective cars. If a 
defective car is loaded with a hazardous material or contains residue of 
a hazardous material, the car may not be placed for unloading or purging 
unless unloading or purging is consistent with determinations made and 
restrictions imposed under paragraph (a)(11)(i) of this section and the 
unloading or purging is necessary for the safe repair of the car.
    (d) Computation of percent operative power brakes. (1) The 
percentage of operative power brakes in a train shall be based on the 
number of control valves in the train. The percentage shall be 
determined by dividing the number of control valves that are cut-in by 
the total number of control valves in the train. A control valve shall 
not be considered cut-in if the brakes controlled by that valve are 
inoperative. Both cars and locomotives shall be considered when making 
this calculation.
    (2) The following brake conditions not in compliance with this part 
are not considered inoperative power brakes for purposes of this 
section:
    (i) Failure or cutting out of secondary brake systems;
    (ii) Inoperative or otherwise defective handbrakes or parking 
brakes;
    (iii) Piston travel that is in excess of the Class I brake test 
limits required in Sec. 232.205 but that does not exceed the outside 
limits contained on the stencil, sticker, or badge plate required by 
Sec. 232.103(g) for considering the power brakes to be effective; and
    (iv) Power brakes overdue for inspection, testing, maintenance, or 
stenciling under this part.
    (e) Placement of equipment with inoperative brakes. (1) A freight 
car or locomotive with inoperative brakes shall not be placed as the 
rear car of the train.
    (2) No more than two freight cars with either inoperative brakes or 
not equipped with power brakes shall be consecutively placed in the same 
train.
    (3) Multi-unit articulated equipment shall not be placed in a train 
if the equipment has more than two consecutive individual control valves 
cut-out or if the brakes controlled by the valves are inoperative.
    (f) Guidelines for determining locations where necessary repairs can 
be performed. The following guidelines will be considered by FRA when 
determining whether a location is a location where repairs to a car's 
brake system or components can be performed and whether a location is 
the nearest location where the needed repairs can be effectuated.
    (1) The following general factors and guidelines will be considered 
when making determinations as to whether a location is a location where 
brake repairs can be performed:
    (i) The accessibility of the location to persons responsible for 
making repairs;
    (ii) The presence of hazardous conditions that affect the ability to 
safely make repairs of the type needed at the location;
    (iii) The nature of the repair necessary to bring the car into 
compliance;

[[Page 447]]

    (iv) The need for railroads to have in place an effective means to 
ensure the safe and timely repair of equipment;
    (v) The relevant weather conditions at the location that affect 
accessibility or create hazardous conditions;
    (vi) A location need not have the ability to effectuate every type 
of brake system repair in order to be considered a location where some 
brake repairs can be performed;
    (vii) A location need not be staffed continuously in order to be 
considered a location where brake repairs can be performed;
    (viii) The ability of a railroad to perform repair track brake tests 
or single car tests at a location shall not be considered; and
    (ix) The congestion of work at a location shall not be considered
    (2) The general factors and guidelines outlined in paragraph (f)(1) 
of this section should be applied to the following locations:
    (i) A location where a mobile repair truck is used on a regular 
basis;
    (ii) A location where a mobile repair truck originates or is 
permanently stationed;
    (iii) A location at which a railroad performs mechanical repairs 
other than brake system repairs; and
    (iv) A location that has an operative repair track or repair shop;
    (3) In determining whether a location is the nearest location where 
the necessary brake repairs can be made, the distance to the location is 
a key factor but should not be considered the determining factor. The 
distance to a location must be considered in conjunction with the 
factors and guidance outlined in paragraphs (f)(1) and (f)(2) of this 
section. In addition, the following safety factors must be considered in 
order to optimize safety:
    (i) The safety of the employees responsible for getting the 
equipment to or from a particular location; and
    (ii) The potential safety hazards involved with moving the equipment 
in the direction of travel necessary to get the equipment to a 
particular location.
    (g) Designation of repair locations. Based on the guidance detailed 
in paragraph (f) of this section and consistent with other requirements 
contained in this part, a railroad may submit a detailed petition, 
pursuant to the special approval procedures contained in Sec. 232.17, 
containing a plan designating locations where brake system repairs will 
be performed. Approval of such plans shall be made accordance with the 
procedures contained in Sec. 232.17, and shall be subject to any 
modifications determined by FRA to be necessary to ensure consistency 
with the requirements and guidance contained in this part.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17580, Apr. 10, 2002]

Sec. 232.17  Special approval procedure.

    (a) General. The following procedures govern consideration and 
action upon requests for special approval of a plan under 
Sec. 232.15(g), an alternative standard under Sec. 232.305, and for 
special approval of pre-revenue service acceptance testing plans under 
subpart F of this part.
    (b) Petitions for special approval of a plan or an alternative 
standard. Each petition for special approval of a plan under 
Sec. 232.15(g) or an alternative standard shall contain:
    (1) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the petition;
    (2) The proposed plan pursuant to Sec. 232.15(g) or the proposed 
alternative standard, in detail, to be substituted for the particular 
requirement of this part;
    (3) Appropriate data or analysis, or both, for FRA to consider in 
determining whether the plan is consistent with the guidance contained 
in Sec. 232.15(f) and the requirements of this part or whether the 
alternative standard will provide at least an equivalent level of 
safety; and
    (4) A statement affirming that the railroad has served a copy of the 
petition on designated representatives of its employees, together with a 
list of the names and addresses of the persons served.
    (c) Petitions for special approval of pre-revenue service acceptance 
testing plan. Each petition for special approval of a pre-revenue 
service acceptance testing plan shall contain:
    (1) The name, title, address, and telephone number of the primary 
person to

[[Page 448]]

be contacted with regard to review of the petition; and
    (2) The elements prescribed in Sec. 232.505.
    (d) Service. (1) Each petition for special approval under paragraph 
(b) or (c) of this section shall be submitted in triplicate to the 
Associate Administrator for Safety, Federal Railroad Administration, 400 
7th Street, SW., Washington, DC 20590.
    (2) Service of each petition for special approval of a plan or an 
alternative standard submitted under paragraph (b) of this section shall 
be made on the following:
    (i) Designated representatives of the employees of the railroad 
submitting a plan pursuant to Sec. 232.15(g) or designated 
representatives of the employees responsible for the equipment's 
operation, inspection, testing, and maintenance under this part;
    (ii) Any organizations or bodies that either issued the standard 
incorporated in the section(s) of the rule to which the special approval 
pertains or issued the alternative standard that is proposed in the 
petition; and
    (iii) Any other person who has filed with FRA a current statement of 
interest in reviewing special approvals under the particular requirement 
of this part at least 30 days but not more than 5 years prior to the 
filing of the petition. If filed, a statement of interest shall be filed 
with FRA's Associate Administrator for Safety and shall reference the 
specific section(s) of this part in which the person has an interest.
    (e) Federal Register notice. FRA will publish a notice in the 
Federal Register concerning each petition under paragraph (b) of this 
section.
    (f) Comment. Not later than 30 days from the date of publication of 
the notice in the Federal Register concerning a petition under paragraph 
(b) of this section, any person may comment on the petition.
    (1) A comment shall set forth specifically the basis upon which it 
is made, and contain a concise statement of the interest of the 
commenter in the proceeding.
    (2) The comment shall be submitted in triplicate to the Associate 
Administrator for Safety, Federal Railroad Administration, 400 7th 
Street, SW., Washington, DC 20590.
    (3) The commenter shall certify that a copy of the comment was 
served on each petitioner.
    (g) Disposition of petitions. (1) If FRA finds that the petition 
complies with the requirements of this section and that the proposed 
plan under Sec. 232.15(g), the alternative standard, or the pre-revenue 
service plan is acceptable and justified, the petition will be granted, 
normally within 90 days of its receipt. If the petition is neither 
granted nor denied within 90 days, the petition remains pending for 
decision. FRA may attach special conditions to the approval of any 
petition. Following the approval of a petition, FRA may reopen 
consideration of the petition for cause.
    (2) If FRA finds that the petition does not comply with the 
requirements of this section and that the proposed plan under 
Sec. 232.15(g), the alternative standard, or the pre-revenue service 
plan is not acceptable or justified, the petition will be denied, 
normally within 90 days of its receipt.
    (3) When FRA grants or denies a petition, or reopens consideration 
of the petition, written notice is sent to the petitioner and other 
interested parties.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17580, Apr. 10, 2002]

Sec. 232.19  Availability of records.

    Except as otherwise provided, the records and plans required by this 
part shall be made available to representatives of FRA and States 
participating under part 212 of this chapter for inspection and copying 
upon request.

Sec. 232.21  Information Collection.

    (a) The information collection requirements of this part were 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) and are 
assigned OMB control number 2130-0008.
    (b) The information collection requirements are found in the 
following sections: Secs. 229.27, 231.31, 232.1, 232.3, 232.7, 232.11, 
232.15, 232.17, 232.103, 232.105, 232.107, 232.109, 232.111, 232.203, 
232.205, 232.207, 232.209, 232.211, 232.213,

[[Page 449]]

232.303, 232.307, 232.309, 232.403, 232.405, 232.407, 232.409, 232.503, 
232.505.

                     Subpart B--General Requirements

Sec. 232.101  Scope.

    This subpart contains general operating, performance, and design 
requirements for each railroad that operates freight or other non-
passenger trains and for specific equipment used in those operations.

Sec. 232.103  General requirements for all train brake systems.

    (a) The primary brake system of a train shall be capable of stopping 
the train with a service application from its maximum operating speed 
within the signal spacing existing on the track over which the train is 
operating.
    (b) If the integrity of the train line of a train brake system is 
broken, the train shall be stopped. If a train line uses other than 
solely pneumatic technology, the integrity of the train line shall be 
monitored by the brake control system.
    (c) A train brake system shall respond as intended to signals from 
the train line.
    (d) One hundred percent of the brakes on a train shall be effective 
and operative brakes prior to use or departure from any location where a 
Class I brake test is required to be performed on the train pursuant to 
Sec. 232.205.
    (e) A train shall not move if less than 85 percent of the cars in 
that train have operative and effective brakes.
    (f) Each car in a train shall have its air brakes in effective 
operating condition unless the car is being moved for repairs in 
accordance with Sec. 232.15. The air brakes on a car are not in 
effective operating condition if its brakes are cut-out or otherwise 
inoperative or if the piston travel exceeds:
    (1) 10\1/2\ inches for cars equipped with nominal 12-inch stroke 
brake cylinders; or
    (2) The piston travel limits indicated on the stencil, sticker, or 
badge plate for the brake cylinder with which the car is equipped.
    (g) Except for cars equipped with nominal 12-inch stroke (8\1/2\ and 
10-inch diameters) brake cylinders, all cars shall have a legible decal, 
stencil, or sticker affixed to the car or shall be equipped with a badge 
plate displaying the permissible brake cylinder piston travel range for 
the car at Class I brake tests and the length at which the piston travel 
renders the brake ineffective, if different from Class I brake test 
limits. The decal, stencil, sticker, or badge plate shall be located so 
that it may be easily read and understood by a person positioned safely 
beside the car.
    (h) All equipment ordered on or after August 1, 2002, or placed in 
service for the first time on or after April 1, 2004, shall have train 
brake systems designed so that an inspector can observe from a safe 
position either the piston travel, an accurate indicator which shows 
piston travel, or any other means by which the brake system is actuated. 
The design shall not require the inspector to place himself or herself 
on, under, or between components of the equipment to observe brake 
actuation or release.
    (i) All trains shall be equipped with an emergency application 
feature that produces an irretrievable stop, using a brake rate 
consistent with prevailing adhesion, train safety, and brake system 
thermal capacity. An emergency application shall be available at all 
times, and shall be initiated by an unintentional parting of the train 
line or loss of train brake communication.
    (j) A railroad shall set the maximum main reservoir working 
pressure.
    (k) The maximum brake pipe pressure shall not be greater than 15 psi 
less than the air compressor governor starting or loading pressure.
    (l) Except as otherwise provided in this part, all equipment used in 
freight or other non-passenger trains shall, at a minimum, meet the 
Association of American Railroads (AAR) Standard S-469-47, ``Performance 
Specification for Freight Brakes,'' contained in the AAR Manual of 
Standards and Recommended Practices, Section E (April 1, 1999). The 
incorporation by reference of this AAR standard was approved by the 
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 
1 CFR part 51. You may obtain a copy of the incorporated document from 
the Association of American Railroads, 50 F Street, NW, Washington, DC. 
20001. You may

[[Page 450]]

inspect a copy of the document at the Federal Railroad Administration, 
Docket Clerk, 1120 Vermont Avenue, NW, Suite 7000, Washington, DC or at 
the Office of the Federal Register, 800 North Capitol Street, NW, Suite 
700, Washington, DC 20408.
    (m) If a train qualified by the Air Flow Method as provided for in 
subpart C of this part experiences a brake pipe air flow of greater than 
60 CFM or brake pipe gradient of greater than 15 psi while en route and 
the movable pointer does not return to those limits within a reasonable 
time, the train shall be stopped at the next available location and be 
inspected for leaks in the brake system.
    (n) Securement of unattended equipment. A train's air brake shall 
not be depended upon to hold equipment standing unattended on a grade 
(including a locomotive, a car, or a train whether or not locomotive is 
attached). For purposes of this section, ``unattended equipment'' means 
equipment left standing and unmanned in such a manner that the brake 
system of the equipment cannot be readily controlled by a qualified 
person. Unattended equipment shall be secured in accordance with the 
following requirements:
    (1) A sufficient number of hand brakes shall be applied to hold the 
equipment. Railroads shall develop and implement a process or procedure 
to verify that the applied hand brakes will sufficiently hold the 
equipment with the air brakes released.
    (2) Except for equipment connected to a source of compressed air 
(e.g., locomotive or ground air source), prior to leaving equipment 
unattended, the brake pipe shall be reduced to zero at a rate that is no 
less than a service rate reduction, and the brake pipe vented to 
atmosphere by leaving the angle cock in the open position on the first 
unit of the equipment left unattended.
    (3) Except for distributed power units, the following requirements 
apply to unattended locomotives:
    (i) All hand brakes shall be fully applied on all locomotives in the 
lead consist of an unattended train.
    (ii) All hand brakes shall be fully applied on all locomotives in an 
unattended locomotive consist outside of yard limits.
    (iii) At a minimum, the hand brake shall be fully applied on the 
lead locomotive in an unattended locomotive consist within yard limits.
    (iv) A railroad shall develop, adopt, and comply with procedures for 
securing any unattended locomotive required to have a hand brake applied 
pursuant to paragraph (n)(3)(i) through (n)(3)(iii) when the locomotive 
is not equipped with an operative hand brake.
    (4) A railroad shall adopt and comply with a process or procedures 
to verify that the applied hand brakes will sufficiently hold an 
unattended locomotive consist. A railroad shall also adopt and comply 
with instructions to address throttle position, status of the reverse 
lever, position of the generator field switch, status of the independent 
brakes, position of the isolation switch, and position of the automatic 
brake valve on all unattended locomotives. The procedures and 
instruction required in this paragraph shall take into account winter 
weather conditions as they relate to throttle position and reverser 
handle.
    (5) Any hand brakes applied to hold unattended equipment shall not 
be released until it is known that the air brake system is properly 
charged.
    (o) Air pressure regulating devices shall be adjusted for the 
following pressures:

------------------------------------------------------------------------
                       Locomotives                              PSI
------------------------------------------------------------------------
(1) Minimum brake pipe air pressure:
    Road Service........................................              90
    Switch Service......................................              60
(2) Minimum differential between brake pipe and main                  15
 reservoir air pressures, with brake valve in running
 position...............................................
(3) Safety valve for straight air brake.................           30-55
(4) Safety valve for LT, ET, No. 8-EL, No. 14 EI, No. 6-           30-68
 DS, No. 6-BL and No. 6-SL equipment....................
(5) Safety valve for HSC and No. 24-RL equipment........           30-75
(6) Reducing valve for independent or straight air brake           30-50
(7) Self-lapping portion for electro-pneumatic brake                  50
 (minimum full application pressure)....................
(8) Self-lapping portion for independent air brake (full           30-50
 application pressure)..................................
(9) Reducing valve for high-speed brake (minimum).......              50
------------------------------------------------------------------------


[[Page 451]]


[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17581, Apr. 10, 2002]

Sec. 232.105  General requirements for locomotives.

    (a) The air brake equipment on a locomotive shall be in safe and 
suitable condition for service.
    (b) All locomotives ordered on or after August 1, 2002, or placed in 
service for the first time on or after April 1, 2004, shall be equipped 
with a hand or parking brake that is:
    (1) Capable of application or activation by hand;
    (2) Capable of release by hand; and
    (3) Capable of holding the unit on a three (3) percent grade.
    (c) On locomotives so equipped, the hand or parking brake as well as 
its parts and connections shall be inspected, and necessary repairs 
made, as often as service requires but no less frequently than every 368 
days. The date of the last inspection shall be either entered on Form 
FRA F 6180-49A or suitably stenciled or tagged on the locomotive.
    (d) The amount of leakage from the equalizing reservoir on 
locomotives and related piping shall be zero, unless the system is 
capable of maintaining the set pressure at any service application with 
the brakes control valve in the freight position. If such leakage is 
detected en route, the train may be moved only to the nearest forward 
location where the equalizing-reservoir leakage can be corrected. On 
locomotives equipped with electronic brakes, if the system logs or 
displays a fault related to equalizing reservoir leakage, the train may 
be moved only to the nearest forward location where the necessary 
repairs can be made.
    (e) Use of the feed or regulating valve to control braking is 
prohibited.
    (f) The passenger position on the locomotive brake control stand 
shall be used only if the trailing equipment is designed for graduated 
brake release or if equalizing reservoir leakage occurs en route and its 
use is necessary to safely control the movement of the train until it 
reaches the next forward location where the reservoir leakage can be 
corrected.
    (g) When taking charge of a locomotive or locomotive consist, an 
engineer must know that the brakes are in operative condition.

Sec. 232.107  Air source requirements and cold weather operations.

    (a) Monitoring plans for yard air sources. (1)A railroad shall adopt 
and comply with a written plan to monitor all yard air sources, other 
than locomotives, to determine that they operate as intended and do not 
introduce contaminants into the brake system of freight equipment.
    (2) This plan shall require the railroad to:
    (i) Inspect each yard air source at least two times per calendar 
year, no less than five months apart, to determine it operates as 
intended and does not introduce contaminants into the brake system of 
the equipment it services.
    (ii) Identify yard air sources found not to be operating as intended 
or found introducing contaminants into the brake system of the equipment 
it services.
    (iii) Repair or take other remedial action regarding any yard air 
source identified under paragraph (a)(2)(ii) of this section.
    (3) A railroad shall maintain records of the information and actions 
required by paragraph (a)(2). These records shall be maintained for a 
period of at least one year from the date of creation and may be 
maintained either electronically or in writing.
    (b) Condensation and other contaminants shall be blown from the pipe 
or hose from which compressed air is taken prior to connecting the yard 
air line or motive power to the train.
    (c) No chemicals which are known to degrade or harm brake system 
components shall be placed in the train air brake system.
    (d) Yard air reservoirs shall either be equipped with an operable 
automatic drain system or be manually drained at least once each day 
that the devices are used or more often if moisture is detected in the 
system.
    (e) A railroad shall adopt and comply with detailed written 
operating procedures tailored to the equipment and territory of that 
railroad to cover safe train operations during cold weather. For 
purposes of this provision, ``cold

[[Page 452]]

weather'' means when the ambient temperature drops below 10 degrees 
Fahrenheit (F) (minus 12.2 degrees Celsius).

Sec. 232.109  Dynamic brake requirements.

    (a) Except as provided in paragraph (i) of this section, a 
locomotive engineer shall be informed of the operational status of the 
dynamic brakes on all locomotive units in the consist at the initial 
terminal for a train and at other locations where a locomotive engineer 
first begins operation of a train. The information required by this 
paragraph may be provided to the locomotive engineer by any means 
determined to be appropriate by the railroad; however, a written or 
electronic record of the information shall be maintained in the cab of 
the controlling locomotive.
    (b) Except as provided in paragraph (e) of this section, all 
inoperative dynamic brakes shall be repaired within 30 calendar days of 
becoming inoperative or at the locomotive's next periodic inspection 
pursuant to Sec. 229.23 of this chapter, whichever occurs first.
    (c) Except as provided in paragraph (e) of this section, a 
locomotive discovered with inoperative dynamic brakes shall have a tag 
bearing the words ``inoperative dynamic brake'' securely attached and 
displayed in a conspicuous location in the cab of the locomotive. This 
tag shall contain the following information:
    (1) The locomotive number;
    (2) The name of the discovering carrier;
    (3) The location and date where condition was discovered; and
    (4) The signature of the person discovering the condition.
    (d) An electronic or written record of repairs made to a 
locomotive's dynamic brakes shall be retained for 92 days.
    (e) A railroad may elect to declare the dynamic brakes on a 
locomotive deactivated without removing the dynamic brake components 
from the locomotive, only if all of the following conditions are met:
    (1) The locomotive is clearly marked with the words ``dynamic brake 
deactivated'' in a conspicuous location in the cab of the locomotive; 
and
    (2) The railroad has taken appropriate action to ensure that the 
deactivated locomotive is incapable of utilizing dynamic brake effort to 
retard or control train speed.
    (f) If a locomotive consist is intended to have its dynamic brakes 
used while in transit, a locomotive with inoperative or deactivated 
dynamic brakes or a locomotive not equipped with dynamic brakes shall 
not be placed in the controlling (lead) position of a consist unless the 
locomotive has the capability of:
    (1) Controlling the dynamic braking effort in trailing locomotives 
in the consist that are so equipped; and
    (2) Displaying to the locomotive engineer the deceleration rate of 
the train or the total train dynamic brake retarding force.
    (g) All locomotives equipped with dynamic brakes and ordered on or 
after April 1, 2006, or placed in service for the first time on or after 
October 1, 2007, shall be designed to:
    (1) Conduct an electrical integrity test of the dynamic brake to 
determine if electrical current is being received at the grids on the 
system; and
    (2) Display in real-time in the cab of the controlling (lead) 
locomotive the total train dynamic brake retarding force available in 
the train.
    (h) All rebuilt locomotives equipped with dynamic brakes and placed 
in service on or after April 1, 2004, shall be designed to:
    (1) Conduct an electrical integrity test of the dynamic brake to 
determine if electrical current is being received at the grids on the 
system; and
    (2) Display either the train deceleration rate or in real-time in 
the cab of the controlling (lead) locomotive the total train dynamic 
brake retarding force available in the train.
    (i) The information required by paragraph (a) of this section is not 
required to be provided to the locomotive engineer if all of the 
locomotives in the lead consist of a train are equipped in accordance 
with paragraph (g) of this section.
    (j) A railroad operating a train with a brake system that includes 
dynamic brakes shall adopt and comply with

[[Page 453]]

written operating rules governing safe train handling procedures using 
these dynamic brakes under all operating conditions, which shall be 
tailored to the specific equipment and territory of the railroad. The 
railroad's operating rules shall:
    (1) Ensure that the friction brakes are sufficient by themselves, 
without the aid of dynamic brakes, to stop the train safely under all 
operating conditions.
    (2) Include a ``miles-per-hour-overspeed-stop'' rule. At a minimum, 
this rule shall require that any train when descending a section of 
track with an average grade of one percent or greater over a distance of 
three continuous miles shall be immediately brought to a stop, by an 
emergency brake application if necessary, when the train's speed exceeds 
the maximum authorized speed for that train by more than 5 miles per 
hour. A railroad shall reduce the 5-miles-per-hour-overspeed-stop 
restriction if validated research indicates the need for such a 
reduction. A railroad may increase the 5-miles-per-hour-overspeed 
restriction only with approval of FRA and based upon verifiable data and 
research.
    (k) A railroad operating a train with a brake system that includes 
dynamic brakes shall adopt and comply with specific knowledge, skill, 
and ability criteria to ensure that its locomotive engineers are fully 
trained in the operating rules prescribed by paragraph (j) of this 
section. The railroad shall incorporate such criteria into its 
locomotive engineer certification program pursuant to Part 240 of this 
chapter.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17581, Apr. 10, 2002]

Sec. 232.111  Train handling information.

    (a) A railroad shall adopt and comply with written procedures to 
ensure that a train crew employed by the railroad is given accurate 
information on the condition of the train brake system and train factors 
affecting brake system performance and testing when the crew takes over 
responsibility for the train. The information required by this paragraph 
may be provided to the locomotive engineer by any means determined 
appropriate by the railroad; however, a written or electronic record of 
the information shall be maintained in the cab of the controlling 
locomotive.
    (b) The procedures shall require that each train crew taking charge 
of a train be informed of:
    (1) The total weight and length of the train, based on the best 
information available to the railroad;
    (2) Any special weight distribution that would require special train 
handling procedures;
    (3) The number and location of cars with cut-out or otherwise 
inoperative brakes and the location where they will be repaired;
    (4) If a Class I or Class IA brake test is required prior to the 
next crew change point, the location at which that test shall be 
performed; and
    (5) Any train brake system problems encountered by the previous crew 
of the train.

             Subpart C--Inspection and Testing Requirements

Sec. 232.201  Scope.

    This subpart contains the inspection and testing requirements for 
brake systems used in freight and other non-passenger trains. This 
subpart also contains general training requirements for railroad and 
contract personnel used to perform the required inspections and tests.

Sec. 232.203  Training requirements.

    (a) Each railroad and each contractor shall adopt and comply with a 
training, qualification, and designation program for its employees that 
perform brake system inspections, tests, or maintenance. For purposes of 
this section, a ``contractor'' is defined as a person under contract 
with the railroad or car owner. The records required by this section may 
be maintained either electronically or in writing.
    (b) As part of this program, the railroad or contractor shall:
    (1) Identify the tasks related to the inspection, testing, and 
maintenance of the brake system required by this part that must be 
performed by the railroad or contractor and identify the skills and 
knowledge necessary to perform each task.

[[Page 454]]

    (2) Develop or incorporate a training curriculum that includes both 
classroom and ``hands-on'' lessons designed to impart the skills and 
knowledge identified as necessary to perform each task. The developed or 
incorporated training curriculum shall specifically address the Federal 
regulatory requirements contained in this part that are related to the 
performance of the tasks identified.
    (3) Require all employees to successfully complete a training 
curriculum that covers the skills and knowledge the employee will need 
to possess in order to perform the tasks required by this part that the 
employee will be responsible for performing, including the specific 
Federal regulatory requirements contained in this part related to the 
performance of a task for which the employee will be responsible;
    (4) Require all employees to pass a written or oral examination 
covering the skills and knowledge the employee will need to possess in 
order to perform the tasks required by this part that the employee will 
be responsible for performing, including the specific Federal regulatory 
requirements contained in this part related to the performance of a task 
for which the employee will be responsible for performing;
    (5) Require all employees to individually demonstrate ``hands-on'' 
capability by successfully applying the skills and knowledge the 
employee will need to possess in order to perform the tasks required by 
this part that the employee will be responsible for performing to the 
satisfaction of the employee's supervisor or designated instructor;
    (6) An employee hired or working prior to June 1, 2001, for a 
railroad or contractor covered by this part will be considered to have 
met the requirements, or a portion of the requirements, contained in 
paragraphs (b)(3) through (b)(5) of this section if the employee 
receives training and testing on the specific Federal regulatory 
requirements contained in this part related to the performance of the 
tasks which the employee will be responsible for performing; and if:
    (i) The training or testing, including efficiency testing, 
previously received by the employee is determined by the railroad or 
contractor to meet the requirements, or a portion of the requirements, 
contained in paragraphs (b)(3) through (b)(5) of this section and such 
training or testing can be documented as required in paragraphs (e)(1) 
through (e)(4) of this section;
    (ii) The employee passes an oral, written, or practical, ``hands-
on'' test developed or adopted by the railroad or contractor which is 
determined by the railroad or contractor to ensure that the employee 
possesses the skills and knowledge, or a portion of the skills or 
knowledge, required in paragraphs (b)(3) through (b)(5) of this section 
and the test is documented as required in paragraph (e) of this section; 
or
    (iii) The railroad or contractor certifies that a group or segment 
of its employees has previously received training or testing determined 
by the railroad or contractor to meet the requirements, or a portion of 
the requirements, contained in paragraphs (b)(3) through (b)(5) of this 
section and complete records of such training are not available, 
provided the following conditions are satisfied:
    (A) The certification is placed in the employee's training records 
required in paragraph (e) of this section;
    (B) The certification contains a brief description of the training 
provided and the approximate date(s) on which the training was provided; 
and
    (C) Any employee determined to be trained pursuant to this paragraph 
is given a diagnostic oral, written, or ``hands-on'' test covering that 
training for which this paragraph is relied upon at the time the 
employee receives his or her first periodic refresher training under 
paragraph (b)(8) of this section.
    (iv) Any combination of the training or testing contained in 
paragraphs (b)(6)(i) through (b)(6)(iii) of this section and paragraphs 
(b)(3) through (b)(5) of this section.
    (7) Require supervisors to exercise oversight to ensure that all the 
identified tasks are performed in accordance with the railroad's written 
procedures and the specific Federal regulatory requirements contained in 
this part;
    (8) Require periodic refresher training, at an interval not to 
exceed three years, that includes classroom and ``hands-on'' training, 
as well as testing;

[[Page 455]]

except that employees that have completed their initial training under 
paragraphs (b)(3) through (b)(6) of this part prior to April 1, 2004, 
shall not be required to complete their first periodic refresher 
training until four years after the completion of their initial 
training, and every three years thereafter. Observation and evaluation 
of actual performance of duties may be used to meet the ``hands-on'' 
portion of this requirement, provided that such testing is documented as 
required in paragraph (e) of this section; and
    (9) Add new brake systems to the training, qualification and 
designation program prior to its introduction to revenue service.
    (c) A railroad that operates trains required to be equipped with a 
two-way end-of-train telemetry device pursuant to Subpart E of this 
part, and each contractor that maintains such devices shall adopt and 
comply with a training program which specifically addresses the testing, 
operation, and maintenance of two-way end-of-train devices for employees 
who are responsible for the testing, operation, and maintenance of the 
devices.
    (d) A railroad that operates trains under conditions that require 
the setting of air brake pressure retaining valves shall adopt and 
comply with a training program which specifically addresses the proper 
use of retainers for employees who are responsible for using or setting 
retainers.
    (e) A railroad or contractor shall maintain adequate records to 
demonstrate the current qualification status of all of its personnel 
assigned to inspect, test, or maintain a train brake system. The records 
required by this paragraph may be maintained either electronically or in 
writing and shall be provided to FRA upon request. These records shall 
include the following information concerning each such employee:
    (1) The name of the employee;
    (2) The dates that each training course was completed;
    (3) The content of each training course successfully completed;
    (4) The employee's scores on each test taken to demonstrate 
proficiency;
    (5) A description of the employee's ``hands-on'' performance 
applying the skills and knowledge the employee needs to possess in order 
to perform the tasks required by this part that the employee will be 
responsible for performing and the basis for finding that the skills and 
knowledge were successfully demonstrated;
    (6) The tasks required to be performed under this part which the 
employee is deemed qualified to perform; and
    (7) Identification of the person(s) determining that the employee 
has successfully completed the training necessary to be considered 
qualified to perform the tasks identified in paragraph (e)(7) of this 
section.
    (8) The date that the employee's status as qualified to perform the 
tasks identified in paragraph (e)(7) of this section expires due to the 
need for refresher training.
    (f) A railroad or contractor shall adopt and comply with a plan to 
periodically assess the effectiveness of its training program. One 
method of validation and assessment could be through the use of 
efficiency tests or periodic review of employee performance.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17581, Apr. 10, 2002]

Sec. 232.205  Class I brake test-initial terminal inspection.

    (a) Each train and each car in the train shall receive a Class I 
brake test as described in paragraph (c) of this section by a qualified 
person, as defined in Sec. 232.5, at the following points:
    (1) The location where the train is originally assembled (``initial 
terminal'');
    (2) A location where the train consist is changed other than by:
    (i) Adding a single car or a solid block of cars, except as provided 
in paragraph (b)(2) of this section;
    (ii) Removing a single car or a solid block of cars;
    (iii) Removing cars determined to be defective under this chapter; 
or
    (iv) A combination of the changes listed in paragraphs (a)(2)(i) 
through (a)(2)(iii) of this section (See Secs. 232.209 and 232.211 for 
requirements related to the pick-up of cars and solid blocks of cars en 
route.);

[[Page 456]]

    (3) A location where the train is off air for a period of more than 
four hours;
    (4) A location where a unit or cycle train has traveled 3,000 miles 
since its last Class I brake test; and
    (5) A location where the train is received in interchange if the 
train consist is changed other than by:
    (i) Removing a car or a solid block of cars from the train;
    (ii) Adding a previously tested car or a previously tested solid 
block of cars to the train;
    (iii) Changing motive power;
    (iv) Removing or changing the caboose; or
    (v) Any combination of the changes listed in paragraphs (a)(5) of 
this section.
    (A) If changes other than those contained in paragraph (a)(5)(i)-
(a)(5)(v) of this section are made to the train consist when it is 
received in interchange and the train will move 20 miles or less, then 
the railroad may conduct a brake test pursuant to Sec. 232.209 on those 
cars added to the train.
    (B) [Reserved]
    (b) Except as provided in Sec. 232.209, each car and each solid 
block of cars added to a train shall receive a Class I brake test as 
described in paragraph (c) of this section at the location where it is 
added to a train unless:
    (1) The solid block of cars is comprised of cars from a single 
previous train, the cars of which have previously received a Class I 
brake test and have remained continuously and consecutively coupled 
together with the train line remaining connected, other than for 
removing defective equipment, since being removed from its previous 
train and have not been off air for more than four hours; or
    (2) The solid block of cars is comprised of cars from a single 
previous train, the cars of which were required to be separated into 
multiple solid blocks of cars due to space or trackage constraints at a 
particular location when removed from the previous train, provided the 
cars have previously received a Class I brake test, have not been off 
air more than four hours, and the cars in each of the multiple blocks of 
cars have remained continuously and consecutively coupled together with 
the train line remaining connected, except for the removal of defective 
equipment. Furthermore, these multiple solid blocks of cars shall be 
added to a train in the same relative order (no reclassification) as 
when removed from the previous train, except for the removal of 
defective equipment.
    (c) A Class I brake test of a train shall consist of the following 
tasks and requirements:
    (1) Brake pipe leakage shall not exceed 5 psi per minute or air flow 
shall not exceed 60 cubic feet per minute (CFM).
    (i) Leakage Test. The brake pipe leakage test shall be conducted as 
follows:
    (A) Charge the air brake system to the pressure at which the train 
will be operated, and the pressure at the rear of the train shall be 
within 15 psi of the pressure at which the train will be operated, but 
not less than 75 psi, as indicated by an accurate gauge or end-of-train 
device at the rear end of train;
    (B) Upon receiving the signal to apply brakes for test, make a 20-
psi brake pipe service reduction;
    (C) If the locomotive used to perform the leakage test is equipped 
with a means for maintaining brake pipe pressure at a constant level 
during a 20-psi brake pipe service reduction, this feature shall be cut 
out during the leakage test; and
    (D) With the brake valve lapped and the pressure maintaining feature 
cut out (if so equipped) and after waiting 45-60 seconds, note the brake 
pipe leakage as indicated by the brake-pipe gauge in the locomotive, 
which shall not exceed 5 psi per minute.
    (ii) Air Flow Method Test. When a locomotive is equipped with a 26-L 
brake valve or equivalent pressure maintaining locomotive brake valve, a 
railroad may use the Air Flow Method Test as an alternate to the brake 
pipe leakage test. The Air Flow Method (AFM) Test shall be performed as 
follows:
    (A) Charge the air brake system to the pressure at which the train 
will be operated, and the pressure at the rear of the train shall be 
within 15 psi of the pressure at which the train will be operated, but 
not less than 75 psi, as indicated by an accurate gauge or end-of-train 
device at the rear end of train; and

[[Page 457]]

    (B) Measure air flow as indicated by a calibrated AFM indicator, 
which shall not exceed 60 cubic feet per minute (CFM).
    (iii) The AFM indicator shall be calibrated for accuracy at periodic 
intervals not to exceed 92 days. The AFM indicator calibration test 
orifices shall be calibrated at temperatures of not less than 20 degrees 
Fahrenheit. AFM indicators shall be accurate to within [plusmn] 3 
standard cubic feet per minute (CFM).
    (2) The inspector(s) shall take a position on each side of each car 
sometime during the inspection process so as to be able to examine and 
observe the functioning of all moving parts of the brake system on each 
car in order to make the determinations and inspections required by this 
section. A ``roll-by'' inspection of the brake release as provided for 
in paragraph (b)(8) of this section shall not constitute an inspection 
of that side of the train for purposes of this requirement;
    (3) The train brake system shall be charged to the pressure at which 
the train will be operated, and the pressure at the rear of the train 
shall be within 15 psi of the pressure at which the train will be 
operated, but not less than 75 psi, angle cocks and cutout cocks shall 
be properly positioned, air hoses shall be properly coupled and shall 
not kink, bind, or foul or be in any other condition that restricts air 
flow. An examination must be made for leaks and necessary repairs made 
to reduce leakage to the required minimum. Retaining valves and 
retaining valve pipes shall be inspected and known to be in proper 
condition for service;
    (4) The brakes on each car shall apply in response to a 20-psi brake 
pipe service reduction and shall remain applied until a release of the 
air brakes has been initiated by the controlling locomotive or yard test 
device. The brakes shall not be applied or released until the proper 
signal is given. A car found with brakes that fail to apply or remain 
applied may be retested and remain in the train if the retest is 
conducted at an air pressure that is within 15 psi of the air pressure 
at which the train will be operated. The retest may be conducted from 
either the controlling locomotive, the head-end of the consist, or with 
a suitable test device, as described in Sec. 232.217(a), positioned at 
one end of the car(s) being retested, and the brakes shall remain 
applied until a release is initiated after a period which is no less 
than three minutes. If the retest is performed at the car(s) being 
retested with a suitable device, the compressed air in the car(s) shall 
be depleted prior to disconnecting the hoses between the car(s) to 
perform the retest;
    (5) For cars equipped with 8\1/2\-inch or 10-inch diameter brake 
cylinders, piston travel shall be within 7 to 9 inches. If piston travel 
is found to be less than 7 inches or more than 9 inches, it must be 
adjusted to nominally 7\1/2\ inches. For cars not equipped with 8\1/2\-
inch or 10-inch diameter brake cylinders, piston travel shall be within 
the piston travel stenciled or marked on the car or badge plate. Minimum 
brake cylinder piston travel of truck-mounted brake cylinders must be 
sufficient to provide proper brake shoe clearance when the brakes are 
released. Piston travel must be inspected on each freight car while the 
brakes are applied;
    (6) Brake rigging shall be properly secured and shall not bind or 
foul or otherwise adversely affect the operation of the brake system;
    (7) All parts of the brake equipment shall be properly secured. On 
cars where the bottom rod passes through the truck bolster or is secured 
with cotter keys equipped with a locking device to prevent their 
accidental removal, bottom rod safety supports are not required; and
    (8) When the release is initiated by the controlling locomotive or 
yard test device, the brakes on each freight car shall be inspected to 
verify that it did release; this may be performed by a ``roll-by'' 
inspection. If a ``roll-by'' inspection of the brake release is 
performed, train speed shall not exceed 10 MPH and the qualified person 
performing the ``roll-by'' inspection shall communicate the results of 
the inspection to the operator of the train. The operator of the train 
shall note successful completion of the release portion of the 
inspection on the record required in paragraph (d) of this section.

[[Page 458]]

    (d) Where a railroad's collective bargaining agreement provides that 
a carman is to perform the inspections and tests required by this 
section, a carman alone will be considered a qualified person. In these 
circumstances, the railroad shall ensure that the carman is properly 
trained and designated as a qualified person or qualified mechanical 
inspector pursuant to the requirements of this part.
    (e) A railroad shall notify the locomotive engineer that the Class I 
brake test was satisfactorily performed and provide the information 
required in this paragraph to the locomotive engineer or place the 
information in the cab of the controlling locomotive following the test. 
The information required by this paragraph may be provided to the 
locomotive engineer by any means determined appropriate by the railroad; 
however, a written or electronic record of the information shall be 
retained in the cab of the controlling locomotive until the train 
reaches its destination. The written or electronic record shall contain 
the date, time, number of freight cars inspected, and identify the 
qualified person(s) performing the test and the location where the Class 
I brake test was performed.
    (f) Before adjusting piston travel or working on brake rigging, 
cutout cock in brake pipe branch must be closed and air reservoirs must 
be voided of all compressed air. When cutout cocks are provided in brake 
cylinder pipes, these cutout cocks only may be closed and air reservoirs 
need not be voided of all compressed air.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17582, Apr. 10, 2002]

Sec. 232.207  Class IA brake tests--1,000-mile inspection.

    (a) Except as provided in Sec. 232.213, each train shall receive a 
Class IA brake test performed by a qualified person, as defined in 
Sec. 232.5, at a location that is not more than 1,000 miles from the 
point where any car in the train last received a Class I or Class IA 
brake test. The most restrictive car or block of cars in the train shall 
determine the location of this test.
    (b) A Class IA brake test of a train shall consist of the following 
tasks and requirements:
    (1) Brake pipe leakage shall not exceed 5 psi per minute, or air 
flow shall not exceed 60 cubic feet per minute (CFM). The brake pipe 
leakage test or air flow method test shall be conducted pursuant to the 
requirements contained in Sec. 232.205(c)(1);
    (2) The inspector shall position himself/herself, taking positions 
on each side of each car sometime during the inspection process, so as 
to be able to examine and observe the functioning of all moving parts of 
the brake system on each car in order to make the determinations and 
inspections required by this section;
    (3) The air brake system shall be charged to the pressure at which 
the train will be operated, and the pressure at the rear of the train 
shall be within 15 psi of the pressure at which the train will be 
operated, but not less than 75 psi, as indicated by an accurate gauge or 
end-of-train device at rear end of train;
    (4) The brakes on each car shall apply in response to a 20-psi brake 
pipe service reduction and shall remain applied until the release is 
initiated by the controlling locomotive. A car found with brakes that 
fail to apply or remain applied may be retested and remain in the train 
if the retest is conducted as prescribed in Sec. 232.205(c)(4); 
otherwise, the defective equipment may only be moved pursuant to the 
provisions contained in Sec. 232.15, if applicable;
    (5) Brake rigging shall be properly secured and shall not bind or 
foul or otherwise adversely affect the operation of the brake system; 
and
    (6) All parts of the brake equipment shall be properly secured.
    (c) A railroad shall designate the locations where Class IA brake 
tests will be performed, and the railroad shall furnish to the Federal 
Railroad Administration upon request a description of each location 
designated. A railroad shall notify FRA's Associate Administrator for 
Safety in writing 30 days prior to any change in the locations 
designated for such tests and inspections.

[[Page 459]]

    (1) Failure to perform a Class IA brake test on a train at a 
location designated pursuant to this paragraph constitutes a failure to 
perform a proper Class IA brake test if the train is due for such a test 
at that location.
    (2) In the event of an emergency that alters normal train 
operations, such as a derailment or other unusual circumstance that 
adversely affects the safe operation of the train, the railroad is not 
required to provide prior written notification of a change in the 
location where a Class IA brake test is performed to a location not on 
the railroad's list of designated locations for performing Class IA 
brake tests, provided that the railroad notifies FRA's Associate 
Administrator for Safety and the pertinent FRA Regional Administrator 
within 24 hours after the designation has been changed and the reason 
for that change.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17582, Apr. 10, 2002]

Sec. 232.209  Class II brake tests--intermediate inspection.

    (a) At a location other than the initial terminal of a train, a 
Class II brake test shall be performed by a qualified person, as defined 
in Sec. 232.5, on the following equipment when added to a train:
    (1) Each car or solid block of cars, as defined in Sec. 232.5, that 
has not previously received a Class I brake test or that has been off 
air for more than four hours;
    (2) Each solid block of cars, as defined in Sec. 232.5, that is 
comprised of cars from more than one previous train; and
    (3) Except as provided in paragraph (a)(4) of this section, each 
solid block of cars that is comprised of cars from only one previous 
train, the cars of which have not remained continuously and 
consecutively coupled together with the train line remaining connected 
since being removed from the previous train. A solid block of cars is 
considered to have remained continuously and consecutively coupled 
together with the train line remaining connected since being removed 
from the previous train if it has been changed only by removing 
defective equipment.
    (4) Each solid block of cars that is comprised of cars from a single 
previous train, the cars of which were required to be separated into 
multiple solid blocks of cars due to space or trackage constraints at a 
particular location when removed from the previous train, if they are 
not added in the same relative order as when removed from the previous 
train or if the cars in each of the multiple blocks of cars have not 
remained continuously and consecutively coupled together with the train 
line remaining connected, except for the removal of defective equipment.
    (b) A Class II brake test shall consist of the following tasks and 
requirements:
    (1) Brake pipe leakage shall not exceed 5 psi per minute, or air 
flow shall not exceed 60 cubic feet per minute (CFM). The brake pipe 
leakage test or air flow method test shall be conducted on the entire 
train pursuant to the requirements contained in Sec. 232.205(c)(1);
    (2) The air brake system shall be charged to the pressure at which 
the train will be operated, and the pressure at the rear of the train 
shall be within 15 psi of the pressure at which the train will be 
operated, but not less than 75 psi, as indicated by an accurate gauge or 
end-of-train device at the rear end of train;
    (3) The brakes on each car added to the train and on the rear car of 
the train shall be inspected to ensure that they apply in response to a 
20-psi brake pipe service reduction and remain applied until the release 
is initiated from the controlling locomotive. A car found with brakes 
that fail to apply or remain applied may be retested and remain in the 
train if the retest is conducted as prescribed in Sec. 232.205(c)(4); 
otherwise, the defective equipment may only be moved pursuant to the 
provisions of Sec. 232.15, if applicable;
    (4) When the release is initiated, the brakes on each car added to 
the train and on the rear car of the train shall be inspected to verify 
that they did release; this may be performed by a ``roll-by'' 
inspection. If a ``roll-by'' inspection of the brake release is 
performed, train speed shall not exceed 10 MPH, and the qualified person 
performing the ``roll-by'' inspection shall

[[Page 460]]

communicate the results of the inspection to the operator of the train; 
and
    (5) Before the train proceeds the operator of the train shall know 
that the brake pipe pressure at the rear of the train is being restored.
    (c) As an alternative to the rear car brake application and release 
portion of the test, the operator of the train shall determine that 
brake pipe pressure of the train is being reduced, as indicated by a 
rear car gauge or end-of-train telemetry device, and then that the brake 
pipe pressure of the train is being restored, as indicated by a rear car 
gauge or end-of-train telemetry device. (When an end-of-train telemetry 
device is used to comply with any test requirement in this part, the 
phrase ``brake pipe pressure of the train is being reduced'' means a 
pressure reduction of at least 5 psi, and the phrase ``brake pipe 
pressure of the train is being restored'' means a pressure increase of 
at least 5 psi). If an electronic communication link between a 
controlling locomotive and a remotely controlled locomotive attached to 
the rear end of a train is utilized to determine that brake pipe 
pressure is being restored, the operator of the train shall know that 
the air brakes function as intended on the remotely controlled 
locomotive.
    (d) Each car or solid block of cars that receives a Class II brake 
test pursuant to this section when added to the train shall receive a 
Class I brake test at the next forward location where facilities are 
available for performing such a test.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]

Sec. 232.211  Class III brake tests-trainline continuity inspection.

    (a) A Class III brake test shall be performed on a train by a 
qualified person, as defined in Sec. 232.5, to test the train brake 
system when the configuration of the train has changed in certain ways. 
In particular, a Class III brake test shall be performed at the location 
where any of the following changes in the configuration of the train 
occur:
    (1) Where a locomotive or a caboose is changed;
    (2) Where a car or a block of cars is removed from the train with 
the consist otherwise remaining intact;
    (3) At a point other than the initial terminal for the train, where 
a car or a solid block of cars that is comprised of cars from only one 
previous train the cars of which have remained continuously and 
consecutively coupled together with the trainline remaining connected, 
other than for removing defective equipment, since being removed from 
its previous train that has previously received a Class I brake test and 
that has not been off air for more than four hours is added to a train;
    (4) At a point other than the initial terminal for the train, where 
a solid block of cars that is comprised of cars from a single previous 
train is added to a train, provided that the solid block of cars was 
required to be separated into multiple solid blocks of cars due to space 
or trackage constraints at a particular location when removed from the 
previous train, and the cars have previously received a Class I brake 
test, have not been off air more than four hours, and the cars in each 
of the multiple blocks of cars have remained continuously and 
consecutively coupled together with the train line remaining connected, 
except for the removal of defective equipment. Furthermore, these 
multiple solid blocks of cars must be added to the train in the same 
relative order (no reclassification) as when removed from the previous 
train, except for the removal of defective equipment; or
    (5) At a point other than the initial terminal for the train, where 
a car or a solid block of cars that has received a Class I or Class II 
brake test at that location, prior to being added to the train, and that 
has not been off air for more than four hours is added to a train.
    (b) A Class III brake test shall consist of the following tasks and 
requirements:
    (1) The train brake system shall be charged to the pressure at which 
the train will be operated, and the pressure at the rear of the train 
shall not be less than 60 psi, as indicated at the rear of the train by 
an accurate gauge or end-of-train device;

[[Page 461]]

    (2) The brakes on the rear car of the train shall apply in response 
to a 20-psi brake pipe service reduction and shall remain applied until 
the release is initiated by the controlling locomotive;
    (3) When the release is initiated, the brakes on the rear car of the 
train shall be inspected to verify that it did release; and
    (4) Before proceeding the operator of the train shall know that the 
brake pipe pressure at the rear of freight train is being restored.
    (c) As an alternative to the rear car brake application and release 
portion of the test, it shall be determined that the brake pipe pressure 
of the train is being reduced, as indicated by a rear car gauge or end-
of-train telemetry device, and then that the brake pipe pressure of the 
train is being restored, as indicated by a rear car gauge or end-of-
train telemetry device. If an electronic or radio communication link 
between a controlling locomotive and a remotely controlled locomotive 
attached to the rear end of a train is utilized to determine that brake 
pipe pressure is being restored, the operator of the train shall know 
that the air brakes function as intended on the remotely controlled 
locomotive.
    (d) Whenever the continuity of the brake pipe is broken or 
interrupted with the train consist otherwise remaining unchanged, it 
must be determined that the brake pipe pressure of the train is being 
restored as indicated by a rear car gauge or end-of-train device prior 
to proceeding. In the absence of an accurate rear car gauge or end-of-
train telemetry device, it must be determined that the brakes on the 
rear car of the train apply and release in response to air pressure 
changes made in the controlling locomotive.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]

Sec. 232.213  Extended haul trains.

    (a) A railroad may be permitted to move a train up to, but not 
exceeding, 1,500 miles between brake tests and inspections if the 
railroad designates a train as an extended haul train. In order for a 
railroad to designate a train as an extended haul train, all of the 
following requirements must be met:
    (1) The railroad must designate the train in writing to FRA's 
Associate Administrator for Safety. This designation must include the 
following:
    (i) The train identification symbol or identification of the 
location where extended haul trains will originate and a description of 
the trains that will be operated as extended haul trains from those 
locations;
    (ii) The origination and destination points for the train;
    (iii) The type or types of equipment the train will haul; and
    (iv) The locations where all train brake and mechanical inspections 
and tests will be performed.
    (2) A Class I brake test pursuant to Sec. 232.205 shall be performed 
at the initial terminal for the train by a qualified mechanical 
inspector as defined in Sec. 232.5.
    (3) A freight car inspection pursuant to part 215 of this chapter 
shall be performed at the initial terminal for the train and shall be 
performed by an inspector designated under Sec. 215.11 of this chapter.
    (4) All cars having conditions not in compliance with part 215 of 
this chapter at the initial terminal for the train shall be either 
repaired or removed from the train. Except for a car developing such a 
condition en route, no car shall be moved pursuant to the provisions of 
Sec. 215.9 of this chapter in the train.
    (5) The train shall have no more than one pick-up and one set-out en 
route, except for the set-out of defective equipment pursuant to the 
requirements of this chapter.
    (i) Cars added to the train en route shall be inspected pursuant to 
the requirements contained in paragraphs (a)(2) through (a)(5) of this 
section at the location where they are added to the train.
    (ii) Cars set out of the train en route shall be inspected pursuant 
to the requirements contained in paragraph (a)(6) of this section at the 
location where they are set out of the train.
    (6) At the point of destination, if less than 1,500 miles from the 
train's initial terminal, or at the point designated by the railroad 
pursuant to paragraph (a)(1)(iv) of this section, not to exceed 1,500 
miles, an inbound inspection of

[[Page 462]]

the train shall be conducted by a qualified mechanical inspector to 
identify any defective, inoperative, or ineffective brakes or any other 
condition not in compliance with this part as well as any conditions not 
in compliance with part 215 and part 231 of this chapter. After April 1, 
2007, the inbound inspection described in this paragraph shall not be 
required unless FRA provides notification to the industry extending the 
requirement to perform inbound inspections on extended haul trains. 
FRA's determination to extend the inbound inspection requirement will be 
based on the records required to be maintained pursuant to paragraph 
(a)(7) of this section and any other relevant safety data. FRA's 
notification will be published in the Federal Register and will contain 
the basis of any determination.
    (7) The railroad shall maintain a record of all defective, 
inoperative, or ineffective brakes as well as any conditions not in 
compliance with part 215 and part 231 of this chapter discovered at 
anytime during the movement of the train. These records shall be 
retained for a period of one year and made available to FRA upon 
request. The records required by this section may be maintained either 
electronically or in writing. After April 1, 2007, the records described 
in this paragraph need not be maintained unless FRA provides the 
notification required in paragraph (a)(6) of this section extending the 
requirement to conduct inbound inspections on extended haul trains.
    (8) In order for an extended haul train to proceed beyond 1,500 
miles, the following requirements shall be met:
    (i) If the train will move 1,000 miles or less from that location 
before receiving a Class IA brake test or reaching destination, a Class 
I brake test shall be conducted pursuant to Sec. 232.205 to ensure 100 
percent effective and operative brakes. The inbound inspection required 
by paragraph (a)(6) of this section may be used to meet this requirement 
provided it encompasses all the inspection elements contained in 
Sec. 232.205.
    (ii) If the train will move greater than 1,000 miles from that 
location without another brake inspection, the train must be identified 
as an extended haul train for that movement and shall meet all the 
requirements contained in paragraphs (a)(1) through (a)(7) of this 
section. Such trains shall receive a Class I brake test pursuant to 
Sec. 232.205 by a qualified mechanical inspector to ensure 100 percent 
effective and operative brakes, a freight car inspection pursuant to 
part 215 of this chapter by an inspector designated under Sec. 215.11 of 
this chapter, and all cars containing non-complying conditions under 
part 215 of this chapter shall either be repaired or removed from the 
train. The inbound inspection required by paragraph (a)(6) of this 
section may be used to meet these inspection requirements provided it 
encompasses all the inspection elements contained paragraphs (a)(2) 
through (a)(4) of this section.
    (9) FRA inspectors shall have physical access to visually observe 
all brake and freight car inspections and tests required by this 
section.
    (b) Failure to comply with any of the requirements contained in 
paragraph (a) of this section will be considered an improper movement of 
a designated priority train for which appropriate civil penalties may be 
assessed as outlined in Appendix A to this part. Furthermore, FRA's 
Associate Administrator for Safety may revoke a railroad's ability to 
designate any or all trains as extended haul trains for repeated or 
willful noncompliance with any of the requirements contained in this 
section. Such a determination will be made in writing and will state the 
basis for such action.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]

Sec. 232.215  Transfer train brake tests.

    (a) A transfer train, as defined in Sec. 232.5, shall receive a 
brake test performed by a qualified person, as defined in Sec. 232.5, 
that includes the following:
    (1) The air brake hoses shall be coupled between all freight cars;
    (2) After the brake system is charged to not less than 60 psi as 
indicated by an accurate gauge or end-of-train device at the rear of the 
train, a 15-psi service brake pipe reduction shall be made; and
    (3) An inspection shall be made to determine that the brakes on each 
car

[[Page 463]]

apply and remain applied until the release is initiated by the 
controlling locomotive. A car found with brakes that fail to apply or 
remain applied may be retested and remain in the train if the retest is 
conducted as prescribed in Sec. 232.205(c)(4); otherwise, the defective 
equipment may be moved only pursuant to the provisions contained in 
Sec. 232.15, if applicable;
    (b) Cars added to transfer trains en route shall be inspected 
pursuant to the requirements contained in paragraph (a) of this section 
at the location where the cars are added to the train.
    (c) If a train's movement will exceed 20 miles or is not a transfer 
train as defined in Sec. 232.5, the train shall receive a Class I brake 
test in accordance with Sec. 232.205 prior to departure.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]

Sec. 232.217  Train brake tests conducted using yard air.

    (a) When a train air brake system is tested from a yard air source, 
an engineer's brake valve or a suitable test device shall be used to 
provide any increase or reduction of brake pipe air pressure at the 
same, or slower, rate as an engineer's brake valve.
    (b) The yard air test device must be connected to the end of the 
train or block of cars that will be nearest to the controlling 
locomotive. However, if the railroad adopts and complies with written 
procedures to ensure that potential overcharge conditions to the train 
brake system are avoided, the yard air test device may be connected to 
other than the end nearest to the controlling locomotive.
    (c) Except as provided in this section, when yard air is used the 
train air brake system must be charged and tested as prescribed by 
Sec. 232.205(c) and when practicable should be kept charged until road 
motive power is coupled to train, after which, a Class III brake test 
shall be performed as prescribed by Sec. 232.211.
    (1) If the cars are off air for more than four hours, the cars shall 
be retested in accordance with Sec. 232.205(c) through (f).
    (2) At a minimum, yard air pressure shall be 60 psi at the end of 
the consist or block of cars opposite from the yard test device and 
shall be within 15 psi of the regulator valve setting on yard test 
device.
    (3) If the air pressure of the yard test device is less than 80 psi, 
then a brake pipe leakage or air flow test shall be conducted at the 
operating pressure of the train when the locomotives are attached in 
accordance with Sec. 232.205(c)(1).
    (d) Mechanical yard air test devices and gauges shall be calibrated 
every 92 days. Electronic yard test devices and gauges shall be 
calibrated annually. Mechanical and electronic yard air test devices and 
gauges shall be calibrated so that they are accurate to within [plusmn] 
3 psi.
    (e) If used to test a train, a yard air test device and any yard air 
test equipment shall be accurate and function as intended.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17583, Apr. 10, 2002]

Sec. 232.219  Double heading and helper service.

    (a) When more than one locomotive is attached to a train, the 
engineer of the controlling locomotive shall operate the brakes. In case 
it becomes necessary for the controlling locomotive to give up control 
of the train short of the destination of the train, a Class III brake 
test pursuant to Sec. 232.211 shall be made to ensure that the brakes 
are operative from the automatic brake valve of the locomotive taking 
control of the train.
    (b) When one or more helper locomotives are placed in a train, a 
visual inspection shall be made of each helper locomotive brake system 
to determine that the brake system operates as intended in response to a 
20-psi reduction initiated from the controlling locomotive of the train. 
A helper locomotive with inoperative or ineffective brakes shall be 
repaired prior to use or removed from the train.
    (c) If a helper locomotive utilizes a Helper Link device or a 
similar technology, the locomotive and device shall be equipped, 
designed, and maintained as follows:
    (1) The locomotive engineer shall be notified by a distinctive alarm 
of any

[[Page 464]]

loss of communication between the device and the two-way end-of-train 
device of more than 25 seconds;
    (2) A method to reset the device shall be provided in the cab of the 
helper locomotive that can be operated from the engineer's usual 
position during operation of the locomotive. Alternatively, the helper 
locomotive or the device shall be equipped with a means to automatically 
reset the device, provided that the automatic reset occurs within the 
period time permitted for manual reset of the device; and
    (3) The device shall be tested for accuracy and calibrated if 
necessary according to the manufacturer's specifications and procedures 
every 365 days. This shall include testing radio frequencies and 
modulation of the device. A legible record of the date and location of 
the last test or calibration shall be maintained with the device.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17584, Apr. 10, 2002]

        Subpart D--Periodic Maintenance and Testing Requirements

Sec. 232.301  Scope.

    This subpart contains the periodic brake system maintenance and 
testing requirements for equipment used in freight and other non-
passenger trains.

Sec. 232.303  General requirements.

    (a) Definitions. The following definitions are intended solely for 
the purpose of identifying what constitutes a shop or repair track under 
this subpart.
    (1) Shop or repair track means:
    (i) A fixed repair facility or track designated by the railroad as a 
shop or repair track;
    (ii) A fixed repair facility or track which is regularly and 
consistently used to perform major repairs;
    (iii) track which is used at a location to regularly and 
consistently perform both minor and major repairs where the railroad has 
not designated a certain portion of that trackage as a repair track;
    (iv) A track designated by a railroad as a track where minor repairs 
will be conducted or used by a railroad to regularly and consistently 
perform minor repairs during the period when the track is used to 
conduct major repairs; however, such trackage is considered a shop or 
repair track only for each car receiving major repairs on such trackage 
and not for a car receiving only minor repairs; and
    (v) The facilities and tracks identified in paragraphs (a)(1)(i) 
through (a)(1)(iv) shall be considered shop or repair tracks regardless 
of whether a mobile repair vehicle is used to conduct the repairs.
    (2) Major repair means a repair that normally would require greater 
than four person-hours to accomplish or would involve the use of 
specialized tools and equipment. Major repairs include such activities 
as coupler replacement, draft gear repair, and repairs requiring the use 
of an air jack but exclude changing wheels on intermodal loading ramps 
either with or without an air jack.
    (3) Minor repair means repairs, other than major repairs, that can 
be accomplished in a short period of time with limited tools and 
equipment. Minor repairs would include such things as safety appliance 
straightening, handhold replacement, air hose replacement, lading 
adjustment, and coupler knuckle or knuckle pin replacement.
    (b) A car on a shop or repair track shall be tested to determine 
that the air brakes apply and remain applied until a release is 
initiated.
    (c) A car on a shop or repair track shall have its piston travel 
inspected. For cars equipped with 8\1/2\-inch or 10-inch diameter brake 
cylinders, piston travel shall be within 7 to 9 inches. If piston travel 
is found to be less than 7 inches or more than 9 inches, it must be 
adjusted to nominally 7\1/2\ inches. For cars not equipped with 8\1/2\-
inch or 10-inch diameter brake cylinders, piston travel shall be within 
the piston travel stenciled or marked on the car or badge plate.
    (d) Before a car is released from a shop or repair track, a 
qualified person shall ensure:
    (1) The brake pipe is securely clamped;
    (2) Angle cocks are properly located with suitable clearance and 
properly positioned to allow maximum air flow;

[[Page 465]]

    (3) Valves, reservoirs, and cylinders are tight on supports and the 
supports are securely attached to the car;
    (4) Hand brakes are tested, inspected, and operate as intended; and
    (5) Brake indicators, on cars so equipped, are accurate and operate 
as intended.
    (e) If the single car air brake test required by Sec. 232.305 cannot 
be conducted at the point where repairs can be made to the car, the car 
may be moved after the repairs are made to the next forward location 
where the test can be performed. Inability to perform a single car air 
brake test does not constitute an inability to make the necessary 
repairs.
    (1) If it is necessary to move a car from the location where the 
repairs are performed in order to perform a single car air brake test 
required by this part, a tag or card shall be placed on both sides of 
the equipment, or an automated tracking system approved for use by FRA, 
shall contain the following information about the equipment:
    (i) The reporting mark and car number;
    (ii) The name of the inspecting railroad;
    (iii) The location where repairs were performed and date;
    (iv) Indication whether the car requires a single car air brake 
test;
    (v) The location where the appropriate test is to be performed; and
    (vi) The name, signature, if possible, and job title of the 
qualified person approving the move.
    (2) The tag or card required by paragraph (e)(1) of this section 
shall remain affixed to the equipment until the necessary test has been 
performed.
    (3) An electronic or written record or copy of each tag or card 
attached to or removed from a car or locomotive shall be retained for 90 
days and, upon request, shall be made available within 15 calendar days 
for inspection by FRA or State inspectors.
    (4) The record or copy of each tag or card removed from a car or 
locomotive shall contain the date, location, and the signature or 
identification of the qualified person removing it from the piece of 
equipment.
    (f) The location and date of the last single car air brake test 
required by Sec. 232.305 shall be clearly stenciled, marked, or labeled 
in two-inch high letters or numerals on the side of the equipment. 
Alternatively, the railroad industry may use an electronic or automated 
tracking system to track the required information and the performance of 
the test required by Sec. 232.305.
    (1) Electronic or automated tracking systems used to meet the 
requirement contained in this paragraph shall be capable of being 
reviewed and monitored by FRA at any time to ensure the integrity of the 
system. FRA's Associate Administrator for Safety may prohibit or revoke 
the railroad industry's authority to utilize an electronic or automated 
tracking system in lieu of stenciling or marking if FRA finds that the 
electronic or automated tracking system is not properly secure, is 
inaccessible to FRA or railroad employees, or fails to adequately track 
and monitor the equipment. FRA will record such a determination in 
writing, include a statement of the basis for such action, and will 
provide a copy of the document to the affected railroads.
    (2) [Reserved]

[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 39687, Aug. 1, 2001; 67 
FR 17584, Apr. 10, 2002]

Sec. 232.305  Single car air brake tests.

    (a) Single car air brake tests shall be performed by a qualified 
person in accordance with either Section 3.0, ``Tests-Standard Freight 
Brake Equipment,'' and Section 4.0, ``Special Tests,'' of the 
Association of American Railroads Standard S-486-01, ``Code of Air Brake 
System Tests for Freight Equipment,'' contained in the AAR Manual of 
Standards and Recommended Practices, Section E (January 1, 2001); an 
alternative procedure approved by FRA pursuant to Sec. 232.17; or a 
modified procedure approved in accordance with the provisions contained 
in Sec. 232.307. The incorporation by reference of these two sections of 
this AAR standard was approved by the Director of the Federal Register 
in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a 
copy of the incorporated document from the Association of American

[[Page 466]]

Railroads, 50 F Street, NW., Washington, DC 20001. You may inspect a 
copy of the document at the Federal Railroad Administration, Docket 
Clerk, 1120 Vermont Avenue, NW., Suite 7000, Washington, DC or at the 
Office of the Federal Register, 800 North Capitol Street, NW., Suite 
700, Washington, DC.
    (b) Except as provided in Sec. 232.303(e), a railroad shall perform 
a single car air brake test on a car when:
    (1) A car has its brakes cut-out or inoperative when removed from a 
train or when placed on a shop or repair track, as defined in 
Sec. 232.303(a);
    (2) A car is on a shop or repair track, as defined in 
Sec. 232.303(a), for any reason and has not received a single car air 
brake test within the previous 12-month period;
    (3) A car is found with missing or incomplete single car air brake 
test information;
    (4) One or more of the following conventional air brake equipment 
items is removed, repaired, or replaced:
    (i) Brake reservoir;
    (ii) Control valve mounting gasket;
    (iii) Pipe bracket stud;
    (iv) Service portion;
    (v) Emergency portion; or
    (vi) Pipe bracket.
    (5) A car is found with one or more of the following wheel defects:
    (i) Built-up tread, unless known to be caused by hand brake left 
applied;
    (ii) Slid flat wheel, unless known to be caused by hand brake left 
applied; or
    (iii) Thermal cracks.
    (c) Except as provided in paragraph (d) of this section, each car 
shall receive a single car air brake test no less than every 5 years.
    (d) Each car shall receive a single car air brake test no less than 
8 years from the date the car was built or rebuilt.
    (e) A single car air brake test shall be performed on each new or 
rebuilt car prior to placing or using the car in revenue service.
    (f) For purposes of paragraphs (b)(2), (b)(3), and (c) of this 
section, if a single car test or repair track air brake test is 
conducted on a car prior to January 1, 2001, pursuant to the then 
existing AAR standards, it shall be considered the last single car air 
brake test for that car, if necessary.

[66 FR 39688, Aug. 1, 2001]

Sec. 232.307  Modification of the single car air brake test procedures.

    (a) Request. The AAR or other authorized representative of the 
railroad industry may seek modification of the single car air brake test 
procedures prescribed in Sec. 232.305(a). The request for modification 
shall be submitted in triplicate to the Associate Administrator for 
Safety, Federal Railroad Administration, 400 7th Street, S.W., 
Washington, D.C. 20590 and shall contain:
    (1) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the modification;
    (2) The modification, in detail, to be substituted for a particular 
procedure prescribed in Sec. 232.305(a);
    (3) Appropriate data or analysis, or both, for FRA to consider in 
determining whether the modification will provide at least an equivalent 
level of safety; and
    (4) A statement affirming that the railroad industry has served a 
copy of the request on the designated representatives of the employees 
responsible for the equipment's operation, inspection, testing, and 
maintenance under this part, together with a list of the names and 
addresses of the persons served.
    (b) Federal Register document. Upon receipt of a request for 
modification, FRA will publish a document in the Federal Register 
containing the requested modification. The document will permit 
interested parties 60 days to comment on any requested modification.
    (c) FRA review. During the 60 days provided for public comment, FRA 
will review the petition. If FRA objects to the requested modification, 
written notification will be provided, within this 60-day period, to the 
party requesting the modification detailing FRA's objection.
    (d) Disposition. (1) If no comment objecting to the requested 
modification is received during the 60-day comment period, provided by 
paragraph (b) of this section, or if FRA does not issue a

[[Page 467]]

written objection to the requested modification, the modification will 
become effective 15 days after the close of the 60-day comment period.
    (2) If an objection is raised by an interested party, during the 60-
day comment period, or if FRA issues a written objection to the 
requested modification, the requested modification will be handled as 
follows:
    (i) If FRA finds that the request complies with the requirements of 
this section and that the proposed modification is acceptable and 
justified, the request will be granted, normally within 90 days of its 
receipt. If the request for modification is neither granted nor denied 
within 90 days, the request remains pending for decision. FRA may attach 
special conditions to the approval of any request for modification. 
Following the approval of a request for modification, FRA may reopen 
consideration of the request for cause.
    (ii) If FRA finds that the request does not comply with the 
requirements of this section and that the proposed modification is not 
acceptable or justified, the requested modification will be denied, 
normally within 90 days of its receipt.
    (iii) When FRA grants or denies a request for modification, or 
reopens consideration of the request, written notice is sent to the 
requesting party and other interested parties.

[66 FR 39688, Aug. 1, 2001]

Sec. 232.309  Equipment and devices used to perform single car air brake 
          tests.

    (a) Equipment and devices used to perform single car air brake tests 
shall be tested for correct operation at least once each calendar day of 
use.
    (b) Except for single car test devices, mechanical test devices such 
as pressure gauges, flow meters, orifices, etc. shall be calibrated once 
every 92 days.
    (c) Electronic test devices shall be calibrated at least once every 
365 days.
    (d) Test equipment and single car test devices placed in service 
shall be tagged or labeled with the date its next calibration is due.
    (e) Each single car test device shall be tested not less frequently 
than every 92 days after being placed in service and may not continue in 
service if more than one year has passed since its last 92-day test.
    (f) Each single car test device shall be disassembled and cleaned 
not less frequently than every 365 days after being placed in service.

[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 39689, Aug. 1, 2001]

                     Subpart E--End-of-Train Devices

Sec. 232.401  Scope.

    This subpart contains the requirements related to the performance, 
operation, and testing of end-of-train devices. Unless expressly 
excepted in this subpart, the requirements of this subpart apply to all 
trains operating on track which is part of the general railroad system 
of transportation.

Sec. 232.403  Design standards for one-way end-of-train devices.

    (a) General. A one-way end-of-train device shall be comprised of a 
rear-of-train unit (rear unit) located on the last car of a train and a 
front-of-train unit (front unit) located in the cab of the locomotive 
controlling the train.
    (b) Rear unit. The rear unit shall be capable of determining the 
brake pipe pressure on the rear car and transmitting that information to 
the front unit for display to the locomotive engineer. The rear unit 
shall be--
    (1) Capable of measuring the brake pipe pressure on the rear car 
with an accuracy of [plusmn]3 pounds per square inch (psig) and brake 
pipe pressure variations of [plusmn]1 psig;
    (2) Equipped with a ``bleeder valve'' that permits the release of 
any air under pressure from the rear of train unit or the associated air 
hoses prior to detaching the rear unit from the brake pipe;
    (3) Designed so that an internal failure will not cause an undesired 
emergency brake application;
    (4) Equipped with either an air gauge or a means of visually 
displaying the rear unit's brake pipe pressure measurement; and
    (5) Equipped with a pressure relief safety valve to prevent 
explosion from a high pressure air leak inside the rear unit.
    (c) Reporting rate. Multiple data transmissions from the rear unit 
shall

[[Page 468]]

occur immediately after a variation in the rear car brake pipe pressure 
of [plusmn]2 psig and at intervals of not greater than 70 seconds when 
the variation in the rear car brake pipe pressure over the 70-second 
interval is less than [plusmn]2 psig.
    (d) Operating environment. The rear unit shall be designed to meet 
the performance requirements of paragraphs (b) and (c) of this section 
under the following environmental conditions:
    (1) At temperatures from -40 [deg]C to 60 [deg]C;
    (2) At a relative humidity of 95% noncondensing at 50 [deg]C;
    (3) At altitudes of zero to 12,000 feet mean sea level;
    (4) During vertical and lateral vibrations of 1 to 15 Hz., with 0.5 
g. peak to peak, and 15 to 500 Hz., with 5 g. peak to peak;
    (5) During the longitudinal vibrations of 1 to 15 Hz., with 3 g. 
peak to peak, and 15 to 500 Hz., with 5 g. peak to peak; and
    (6) During a shock of 10 g. peak for 0.1 second in any axis.
    (e) Unique code. Each rear unit shall have a unique and permanent 
identification code that is transmitted along with the pressure message 
to the front-of-train unit. A code obtained from the Association of 
American Railroads, 50 F Street, NW., Washington, DC 20036 shall be 
deemed to be a unique code for purposes of this section. A unique code 
also may be obtained from the Office of Safety Assurance and Compliance 
(RRS-10), Federal Railroad Administration, Washington, DC 20590.
    (f) Front unit. (1) The front unit shall be designed to receive data 
messages from the rear unit and shall be capable of displaying the rear 
car brake pipe pressure in increments not to exceed one pound.
    (2) The display shall be clearly visible and legible in daylight and 
darkness from the engineer's normal operating position.
    (3) The front device shall have a means for entry of the unique 
identification code of the rear unit being used. The front unit shall be 
designed so that it will display a message only from the rear unit with 
the same code as entered into the front unit.
    (4) The front unit shall be designed to meet the requirements of 
paragraphs (d)(2), (3), (4), and (5) of this section. It shall also be 
designed to meet the performance requirements in this paragraph under 
the following environmental conditions:
    (i) At temperatures from 0 [deg]C to 60 [deg]C;
    (ii) During a vertical or lateral shock of 2 g. peak for 0.1 second; 
and
    (iii) During a longitudinal shock of 5 g. peak for 0.1 second.
    (g) Radio equipment. (1) The radio transmitter in the rear unit and 
the radio receiver in the front unit shall comply with the applicable 
regulatory requirements of the Federal Communications Commission (FCC) 
and use of a transmission format acceptable to the FCC.
    (2) If power is supplied by one or more batteries, the operating 
life shall be a minimum of 36 hours at 0 [deg]C.

Sec. 232.405  Design and performance standards for two-way end-of-train 
          devices.

    Two-way end-of-train devices shall be designed and perform with the 
features applicable to one-way end-of-train devices described in 
Sec. 232.403, except those included in Sec. 232.403(b)(3). In addition, 
a two-way end-of-train device shall be designed and perform with the 
following features:
    (a) An emergency brake application command from the front unit of 
the device shall activate the emergency air valve at the rear of the 
train within one second.
    (b) The rear unit of the device shall send an acknowledgment message 
to the front unit immediately upon receipt of an emergency brake 
application command. The front unit shall listen for this acknowledgment 
and repeat the brake application command if the acknowledgment is not 
correctly received.
    (c) The rear unit, on receipt of a properly coded command, shall 
open a valve in the brake line and hold it open for a minimum of 15 
seconds. This opening of the valve shall cause the brake line to vent to 
the exterior.
    (d) The valve opening shall have a minimum diameter of \3/4\ inch 
and the internal diameter of the hose shall be

[[Page 469]]

\5/8\ inch to effect an emergency brake application.
    (e) The front unit shall have a manually operated switch which, when 
activated, shall initiate an emergency brake transmission command to the 
rear unit or the locomotive shall be equipped with a manually operated 
switch on the engineer control stand designed to perform the equivalent 
function. The switch shall be labeled ``Emergency'' and shall be 
protected so that there will exist no possibility of accidental 
activation.
    (f) All locomotives ordered on or after August 1, 2001, or placed in 
service for the first time on or after August 1, 2003, shall be designed 
to automatically activate the two-way end-of-train device to effectuate 
an emergency brake application whenever it becomes necessary for the 
locomotive engineer to place the train air brakes in emergency.
    (g) The availability of the front-to-rear communications link shall 
be checked automatically at least every 10 minutes.
    (h) Means shall be provided to confirm the availability and proper 
functioning of the emergency valve.
    (i) Means shall be provided to arm the front and rear units to 
ensure the rear unit responds to an emergency command only from a 
properly associated front unit.

Sec. 232.407  Operations requiring use of two-way end-of-train devices; 
          prohibition on purchase of nonconforming devices.

    (a) Definitions. The following definitions are intended solely for 
the purpose of identifying those operations subject to the requirements 
for the use of two-way end-of-train devices.
    (1) Heavy grade means: (i) For a train operating with 4,000 trailing 
tons or less, a section of track with an average grade of two percent or 
greater over a distance of two continuous miles; and
    (ii) For a train operating with greater than 4,000 trailing tons, a 
section of track with an average grade of one percent or greater over a 
distance of three continuous miles.
    (2) Train means one or more locomotives coupled with one or more 
rail cars, except during switching operations or where the operation is 
that of classifying cars within a railroad yard for the purpose of 
making or breaking up trains.
    (3) Local train means a train assigned to perform switching en route 
which operates with 4,000 trailing tons or less and travels between a 
point of origin and a point of final destination, for a distance that is 
no greater than that which can normally be operated by a single crew in 
a single tour of duty.
    (4) Work train means a non-revenue service train of 4,000 trailing 
tons or less used for the administration and upkeep service of the 
railroad.
    (5) Trailing tons means the sum of the gross weights--expressed in 
tons--of the cars and the locomotives in a train that are not providing 
propelling power to the train.
    (b) General. All trains not specifically excepted in paragraph (e) 
of this section shall be equipped with and shall use either a two-way 
end-of-train device meeting the design and performance requirements 
contained in Sec. 232.405 or a device using an alternative technology to 
perform the same function.
    (c) New devices. Each newly manufactured end-of-train device 
purchased by a railroad after January 2, 1998 shall be a two-way end-of-
train device meeting the design and performance requirements contained 
in Sec. 232.405 or a device using an alternative technology to perform 
the same function.
    (d) Grandfathering. Each two-way end-of-train device purchased by 
any person prior to July 1, 1997 shall be deemed to meet the design and 
performance requirements contained in Sec. 232.405.
    (e) Exceptions. The following types of trains are excepted from the 
requirement for the use of a two-way end-of-train device:
    (1) Trains with a locomotive or locomotive consist located at the 
rear of the train that is capable of making an emergency brake 
application, through a command effected by telemetry or by a crew member 
in radio contact with the controlling locomotive;
    (2) Trains operating in the push mode with the ability to effectuate 
an emergency brake application from the rear of the train;

[[Page 470]]

    (3) Trains with an operational caboose placed at the rear of the 
train, carrying one or more crew members in radio contact with the 
controlling locomotive, that is equipped with an emergency brake valve;
    (4) Trains operating with a secondary, fully independent braking 
system capable of safely stopping the train in the event of failure of 
the primary system;
    (5) Trains that do not operate over heavy grades and do not exceed 
30 mph;
    (6) Local trains, as defined in paragraph (a)(3) of this section, 
that do not operate over heavy grades;
    (7) Work trains, as defined in paragraph (a)(4) of this section, 
that do not operate over heavy grades;
    (8) Trains that operate exclusively on track that is not part of the 
general railroad system;
    (9) Trains that must be divided into two sections in order to 
traverse a grade (e.g., doubling a hill). This exception applies only to 
the extent necessary to traverse the grade and only while the train is 
divided in two for such purpose;
    (10) Passenger trains in which all of the cars in the train are 
equipped with an emergency brake valve readily accessible to a crew 
member;
    (11) Passenger trains that have a car at the rear of the train, 
readily accessible to one or more crew members in radio contact with the 
engineer, that is equipped with an emergency brake valve readily 
accessible to such a crew member; and
    (12) Passenger trains that have twenty-four (24) or fewer cars (not 
including locomotives) in the consist and that are equipped and operated 
in accordance with the following train-configuration and operating 
requirements:
    (i) If the total number of cars in a passenger train consist is 
twelve (12) or fewer, a car located no less than halfway through the 
consist (counting from the first car in the train) must be equipped with 
an emergency brake valve readily accessible to a crew member;
    (ii) If the total number of cars in a passenger train consist is 
thirteen (13) to twenty-four (24), a car located no less than two-thirds 
(\2/3\) of the way through the consist (counting from the first car in 
the train) must be equipped with an emergency brake valve readily 
accessible to a crew member;
    (iii) Prior to descending a section of track with an average grade 
of two percent or greater over a distance of two continuous miles, the 
engineer of the train shall communicate with the conductor, to ensure 
that a member of the crew with a working two-way radio is stationed in 
the car with the rearmost readily accessible emergency brake valve on 
the train when the train begins its descent; and
    (iv) While the train is descending a section of track with an 
average grade of two percent or greater over a distance of two 
continuous miles, a member of the train crew shall occupy the car that 
contains the rearmost readily accessible emergency brake valve on the 
train and be in constant radio communication with the locomotive 
engineer. The crew member shall remain in this car until the train has 
completely traversed the heavy grade.
    (f) Specific requirements for use. If a train is required to use a 
two-way end-of-train device:
    (1) That device shall be armed and operable from the time the train 
departs from the point where the device is installed until the train 
reaches its destination. If a loss of communication occurs at the 
location where the device is installed, the train may depart the 
location at restricted speed for a distance of no more than one mile in 
order to establish communication. When communication is established, the 
quantitative values of the head and rear unit shall be compared pursuant 
to Sec. 232.409(b) and the device tested pursuant to Sec. 232.409(c), 
unless the test was performed prior to installation.
    (2) The rear unit batteries shall be sufficiently charged at the 
initial terminal or other point where the device is installed and 
throughout the train's trip to ensure that the end-of-train device will 
remain operative until the train reaches its destination.
    (3) The device shall be activated to effectuate an emergency brake 
application either by using the manual toggle switch or through 
automatic activation, whenever it becomes necessary for the locomotive 
engineer to initiate an emergency application of the air

[[Page 471]]

brakes using either the automatic brake valve or the conductor's 
emergency brake valve.
    (g) En route failure of device on a freight or other non-passenger 
train. Except on passenger trains required to be equipped with a two-way 
end-of-train device (which are provided for in paragraph (h) of this 
section), en route failures of a two-way end-of-train device shall be 
handled in accordance with this paragraph. If a two-way end-of-train 
device or equivalent device fails en route (i.e., is unable to initiate 
an emergency brake application from the rear of the train due to certain 
losses of communication (front to rear) or due to other reasons, the 
speed of the train on which it is installed shall be limited to 30 mph 
until the ability of the device to initiate an emergency brake 
application from the rear of the train is restored. This limitation 
shall apply to a train using a device that uses an alternative 
technology to serve the purpose of a two-way end-of-train device. With 
regard to two-way end-of-train devices, a loss of communication between 
the front and rear units is an en route failure only if the loss of 
communication is for a period greater than 16 minutes and 30 seconds. 
Based on the existing design of the devices, the display to an engineer 
of a message that there is a communication failure indicates that 
communication has been lost for 16 minutes and 30 seconds or more.
    (1) If a two-way end-of-train device fails en route, the train on 
which it is installed, in addition to observing the 30-mph speed 
limitation, shall not operate over a section of track with an average 
grade of two percent or greater for a distance of two continuous miles, 
unless one of the following alternative measures is provided:
    (i) Use of an occupied helper locomotive at the end of the train. 
This alternative may be used only if the following requirements are met:
    (A) The helper locomotive engineer shall initiate and maintain two-
way voice radio communication with the engineer on the head end of the 
train; this contact shall be verified just prior to passing the crest of 
the grade.
    (B) If there is a loss of communication prior to passing the crest 
of the grade, the helper locomotive engineer and the head-end engineer 
shall act immediately to stop the train until voice communication is 
resumed, in accordance with the railroad's operating rules.
    (C) If there is a loss of communication once the descent has begun, 
the helper locomotive engineer and the head-end engineer shall act to 
stop the train, in accordance with the railroad's operating rules, if 
the train has reached a predetermined rate of speed that indicates the 
need for emergency braking.
    (D) The brake pipe of the helper locomotive shall be connected and 
cut into the train line and tested to ensure operation.
    (ii) Use of an occupied caboose at the end of the train with a 
tested, functioning brake valve capable of initiating an emergency brake 
application from the caboose. This alternative may be used only if the 
train service employee in the caboose and the engineer on the head end 
of the train establish and maintain two-way voice radio communication 
and respond appropriately to the loss of such communication in the same 
manner as prescribed for helper locomotives in paragraph (g)(1)(i) of 
this section.
    (iii) Use of a radio-controlled locomotive at the rear of the train 
under continuous control of the engineer in the head end by means of 
telemetry, but only if such radio-controlled locomotive is capable of 
initiating an emergency application on command from the lead 
(controlling) locomotive.
    (2) If a two-way end-of-train device fails en route while the train 
on which it is installed is operating over a section of track with an 
average grade of two percent or greater for a distance of two continuous 
miles, the train shall be brought safely to a stop at the first 
available location in accordance with the railroad's operating rule, 
except the train may continue in operation if the railroad provides one 
of the alternative measures detailed in paragraph (g)(1) of this 
section.
    (h) En route failure of device on a passenger train. (1) A passenger 
train required to be equipped with a two-way end-of-train device that 
develops an en route failure of the device (as explained

[[Page 472]]

in paragraph (g) of this section) shall not operate over a section of 
track with an average grade of two percent or greater over a distance of 
two continuous miles until an operable two-way end-of-train device is 
installed on the train or an alternative method of initiating an 
emergency brake application from the rear of the train is achieved.
    (2) Except as provided in paragraph (h)(1) of this section, a 
passenger train required to be equipped with a two-way end-of-train 
device that develops an en route failure of the device (as explained in 
paragraph (g) of this section) shall be operated in accordance with the 
following:
    (i) A member of the train crew shall be immediately positioned in 
the car which contains the rearmost readily accessible emergency brake 
valve on the train and shall be equipped with an operable two-way radio 
that communicates with the locomotive engineer; and
    (ii) The locomotive engineer shall periodically make running tests 
of the train's air brakes until the failure is corrected; and
    (3) Each en route failure shall be corrected at the next location 
where the necessary repairs can be conducted or at the next location 
where a required brake test is to be performed, whichever is reached 
first.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17584, Apr. 10, 2002]

Sec. 232.409  Inspection and testing of end-of-train devices.

    (a) After each installation of either the front or rear unit of an 
end-of-train device, or both, on a train and before the train departs, 
the railroad shall determine that the identification code entered into 
the front unit is identical to the unique identification code on the 
rear unit.
    (b) After each installation of either the front or rear unit of an 
end-of-train device, or both, on a train and before the train departs, 
the functional capability of the device shall be determined, after 
charging the train, by comparing the quantitative value of the air 
pressure displayed on the front unit with the quantitative value of the 
air pressure displayed on the rear unit or on a properly calibrated air 
gauge. The end-of-train device shall not be used if the difference 
between the two readings exceeds three pounds per square inch.
    (c) A two-way end-of-train device shall be tested at the initial 
terminal or other point of installation to determine that the device is 
capable of initiating an emergency power brake application from the rear 
of the train. If this test is conducted by a person other than a member 
of the train crew, the locomotive engineer shall be notified that a 
successful test was performed. The notification required by this 
paragraph may be provided to the locomotive engineer by any means 
determined appropriate by the railroad; however, a written or electronic 
record of the notification shall be maintained in the cab of the 
controlling locomotive and shall include the date and time of the test, 
the location where the test was performed, and the name of the person 
conducting the test.
    (d) The telemetry equipment shall be tested for accuracy and 
calibrated if necessary according to the manufacturer's specifications 
and procedures at least every 368 days. The 368 days shall not include a 
shelf-life of up to 92 days prior to placing the unit in service. This 
test shall include testing radio frequencies and modulation of the 
device. The date and location of the last calibration or test as well as 
the name of the person performing the calibration or test shall be 
legibly displayed on a weather-resistant sticker or other marking device 
affixed to the outside of both the front unit and the rear unit; 
however, if the front unit is an integral part of the locomotive or is 
inaccessible, then the information may recorded on Form FRA F6180-49A 
instead, provided that the serial number of the unit is recorded.

[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 29502, May 31, 2001; 67 
FR 17584, Apr. 10, 2002]

         Subpart F--Introduction of New Brake System Technology

Sec. 232.501  Scope.

    This subpart contains general requirements for introducing new brake 
system technologies. This subpart is

[[Page 473]]

intended to facilitate the introduction of new complete brake system 
technologies or major upgrades to existing systems which the current 
regulations do not adequately address (i.e., electronic brake systems). 
This subpart is not intended for use in the introduction of a new brake 
component or material.

Sec. 232.503  Process to introduce new brake system technology.

    (a) Pursuant to the procedures contained in Sec. 232.17, each 
railroad shall obtain special approval from the FRA Associate 
Administrator for Safety of a pre-revenue service acceptance testing 
plan, developed pursuant to Sec. 232.505, for the new brake system 
technology, prior to implementing the plan.
    (b) Each railroad shall complete a pre-revenue service demonstration 
of the new brake system technology in accordance with the approved plan, 
shall fulfill all of the other requirements prescribed in Sec. 232.505, 
and shall obtain special approval from the FRA Associate Administrator 
for Safety under the procedures of Sec. 232.17 prior to using such brake 
system technology in revenue service.

Sec. 232.505  Pre-revenue service acceptance testing plan.

    (a) General; submission of plan. Except as provided in paragraph (f) 
of this section, before using a new brake system technology for the 
first time on its system the operating railroad or railroads shall 
submit a pre-revenue service acceptance testing plan containing the 
information required by paragraph (e) of this section and obtain the 
approval of the FRA Associate Administrator for Safety, under the 
procedures specified in Sec. 232.17.
    (b) Compliance with plan. After receiving FRA approval of the pre-
revenue service testing plan and before introducing the new brake system 
technology into revenue service, the operating railroad or railroads 
shall:
    (1) Adopt and comply with such FRA-approved plan, including fully 
executing the tests required by the plan;
    (2) Report to the FRA Associate Administrator for Safety the results 
of the pre-revenue service acceptance tests;
    (3) Correct any safety deficiencies identified by FRA in the design 
of the equipment or in the inspection, testing, and maintenance 
procedures or, if safety deficiencies cannot be corrected by design or 
procedural changes, agree to comply with any operational limitations 
that may be imposed by the Associate Administrator for Safety on the 
revenue service operation of the equipment; and
    (4) Obtain FRA approval to place the new brake system technology in 
revenue service.
    (c) Compliance with limitations. The operating railroad shall comply 
with each operational limitation, if any, imposed by the Associate 
Administrator for Safety.
    (d) Availability of plan. The plan shall be made available to FRA 
for inspection and copying upon request.
    (e) Elements of plan. The plan shall include all of the following 
elements:
    (1) An identification of each waiver, if any, of FRA or other 
Federal safety regulations required for the tests or for revenue service 
operation of the equipment.
    (2) A clear statement of the test objectives. One of the principal 
test objectives shall be to demonstrate that the equipment meets the 
safety design and performance requirements specified in this part when 
operated in the environment in which it is to be used.
    (3) A planned schedule for conducting the tests.
    (4) A description of the railroad property or facilities to be used 
to conduct the tests.
    (5) A detailed description of how the tests are to be conducted. 
This description shall include:
    (i) An identification of the equipment to be tested;
    (ii) The method by which the equipment is to be tested;
    (iii) The criteria to be used to evaluate the equipment's 
performance; and
    (iv) The means by which the test results are to be reported to FRA.
    (6) A description of any special instrumentation to be used during 
the tests.
    (7) A description of the information or data to be obtained.

[[Page 474]]

    (8) A description of how the information or data obtained is to be 
analyzed or used.
    (9) A description of any criteria to be used as safety limits during 
the testing.
    (10) A description of the criteria to be used to measure or 
determine the success or failure of the tests. If acceptance is to be 
based on extrapolation of less than full level testing results, the 
analysis to be done to justify the validity of the extrapolation shall 
be described.
    (11) A description of any special safety precautions to be observed 
during the testing.
    (12) A written set of standard operating procedures to be used to 
ensure that the testing is done safely.
    (13) Quality control procedures to ensure that the inspection, 
testing, and maintenance procedures are followed.
    (14) Criteria to be used for the revenue service operation of the 
equipment.
    (15) A description of all testing of the equipment that has 
previously been performed, if any.
    (f) Exception. For brake system technologies that have previously 
been used in revenue service in the United States, the railroad shall 
test the equipment on its system, prior to placing it in revenue 
service, to ensure the compatibility of the equipment with the operating 
system (track, signals, etc.) of the railroad. A description of such 
testing shall be retained by the railroad and made available to FRA for 
inspection and copying upon request.

         Appendix A to Part 232--Schedule of Civil Penalties \1\


------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
              Subpart A--General

232.15 Movement of power brake defects:
    (a) Improper movement, general............          (<SUP>1</SUP>)          (<SUP>1</SUP>)
        (11) Failure to make determinations          $2,500       $5,000
         and provide notification of en route
         defect...............................
    (b) Complete failure to tag...............        2,500        5,000
        (1) Insufficient tag or record........        1,000        2,000
        (2), (4) Improper removal of tag......        2,000        4,000
        (3) Failure to retain record of tag...        2,000        4,000
    (c) Improper loading or purging...........        2,500        5,000
    (e) Improper placement of defective               2,500        5,000
     equipment................................
232.19 Availability of records................          (<SUP>1</SUP>)          (<SUP>1</SUP>)

        Subpart B--General Requirements

232.103 All train brake systems:
    (a)-(c), (h)-(i) Failure to meet general          2,500        5,000
     design requirements......................
    (d) Failure to have proper percentage of          5,000        7,500
     operative brakes from Class I brake test.
    (e) Operating with less than 85 percent           5,000        7,500
     operative brakes.........................
    (f) Improper use of car with inoperative          2,500        5,000
     or ineffective brakes....................
    (g) Improper display of piston travel.....        2,500        5,000
    (m) Failure to stop train with excess air         2,500        5,000
     flow or gradient.........................
    (n) Securement of unattended equipment:...
        (1) Failure to apply sufficient number        5,000        7,500
         of hand brakes; failure to develop or
         implement procedure to verify number
         applied..............................
        (2) Failure to initiate emergency.....        2,500        5,000
        (3) Failure to apply hand brakes on           2,500        5,000
         locomotives..........................
        (4) Failure to adopt or comply with           5,000        7,500
         procedures for securing unattended
         locomotive...........................
    (o) Improper adjustment of air regulating         2,500        5,000
     devices..................................
232.105 Locomotives:
    (a) Air brakes not in safe and suitable          1,000-       2,000-
     condition................................        5,000        7,500
    (b) Not equipped with proper hand or              5,000        7,500
     parking brake............................
    (c)(1) Failure to inspect/repair hand or          2,500        5,000
     parking brake............................
        (2) Failure to properly stencil, tag,         2,000        4,000
         or record............................
    (d) Excess leakage from equalizing                2,500        5,000
     reservoir................................
    (e) Improper use of feed or regulating            2,500        5,000
     valve braking............................
    (f) Improper use of passenger position....        2,500        5,000
    (g) Brakes in operative condition.........        2,500        5,000

[[Page 475]]


232.107 Air sources/cold weather operations:
    (a)(1), (2) Failure to adopt or comply            5,000        7,500
     with monitoring program for yard air
     sources..................................
        (3) Failure to maintain records.......        2,500        5,000
    (b) Failure to blow condensation..........        2,500        5,000
    (c) Use of improper chemicals.............        5,000        7,500
    (d) Failure to equip or drain yard air            2,500        5,000
     reservoirs...............................
    (e) Failure to adopt or comply cold               5,000        7,500
     weather operating procedures.............
232.109 Dynamic brakes:
    (a) Failure to provide information........        5,000        7,500
    (b) Failure to make repairs...............        5,000        7,500
    (c) Failure to properly tag...............        2,500        5,000
    (d) Failure to maintain record of repair..        2,000        4,000
    (e) Improper deactivation.................        2,500        5,000
    (f) Improper use of locomotive as                 2,500        5,000
     controlling unit.........................
    (g) Locomotive not properly equipped with         2,500        5,000
     indicator................................
    (h) Rebuilt locomotive not properly               2,500        5,000
     equipped.................................
    (j) Failure to adopt or comply with               5,000        7,500
     dynamic brake operating rules............
    (k) Failure to adopt or comply with               5,000        7,500
     training on operating procedures.........
232.111 Train handling information:
    (a) Failure to adopt and comply with              5,000        7,500
     procedures...............................
    (b) Failure to provide specific                   2,500        5,000
     information..............................

Subpart C--Inspection and Testing Requirements

232.203 Training requirements:
    (a) Failure to develop or adopt program...        7,500       11,000
    (b)(1)-(9) Failure to address or comply           5,000        7,500
     with specific required item or provision
     of program...............................
    (c) Failure to adopt or comply with two-          5,000        7,500
     way EOT program..........................
    (d) Failure to adopt or comply with               5,000        7,500
     retaining valve program..................
    (e) Failure to maintain adequate records..        5,000        7,500
    (f) Failure to adopt and comply with              7,500       11,000
     periodic assessment plan.................
232.205 Class I brake test--initial terminal
 inspection:
    (a) Complete failure to perform inspection     <SUP>1</SUP> 10,000       15,000
    (b)(1)-(4), (6)-(8) Partial failure to            5,000        7,500
     perform inspection.......................
    (b)(5) Failure to properly adjust piston          2,500        5,000
     travel (per car).........................
    (c) Failure to use carman when required...        5,000        7,500
    (d) Failure to provide proper notification        2,500        5,000
    (e) Failure to void compressed air........        2,500        5,000
    (f) Failure to perform inspection on cars         5,000        7,500
     added....................................
232.207 Class IA brake tests--1,000-mile
 inspection:
    (a) Complete failure to perform inspection     <SUP>1</SUP> 15,000        7,500
    (b)(1)-(6) Partial failure to perform             2,500        5,000
     inspection...............................
    (c) Failure to properly designate location        5,000        7,500
    (c)(1) Failure to perform at designated           5,000        7,500
     location.................................
    (c)(2) Failure to provide notification....        2,500        5,000
232.209 Class II brake tests--intermediate
 inspection:
    (a) Complete failure to perform inspection      <SUP>1</SUP> 5,000        7,500
    (b)(1)-(5), (c) Partial failure to perform        2,500        5,000
     inspection...............................
232.211 Class III brake tests--trainline
 continuity inspection:
    (a) Complete failure to perform inspection        5,000        7,500
    (b)(1)-(4), (c) Partial failure to perform        2,500        5,000
     inspection...............................
232.213 Extended haul trains:
    (a)(1) Failure to properly designate an           5,000        7,500
     extended haul train......................
    (a)(2)-(3), (5)(i), (8) Failure to perform          <SUP>(2)</SUP>          <SUP>(2)</SUP>
     inspections..............................
    (a)(4) Failure to remove defective car            2,000        4,000
     (per car)................................
    (a)(5)(ii), (6) Failure to conduct inbound        5,000        7,500
     inspection...............................
    (a)(7) Failure to maintain record of              2,000        4,000
     defects (per car)........................
232.215 Transfer train brake tests:
    (a) Failure to perform inspection.........        5,000        7,500
    (b) Failure to perform on cars added......        2,500        5,000
232.217 Train brake system tests conducted
 using yard air:
    (a) Failure to use suitable device........        2,500        5,000
    (b) Improper connection of air test device        5,000        7,500
    (c) Failure to properly perform inspection          (<SUP>2</SUP>)          (<SUP>2</SUP>)
    (d) Failure to calibrate test device......        2,500        5,000
    (e) Failure to use accurate device........        2,500        5,000
232.219 Double heading and helper service:
    (a) Failure to perform inspection or              2,500        5,000
     inability to control brakes..............

[[Page 476]]


    (b) Failure to make visual inspection.....        2,500        5,000
    (c) Use of improper helper link device....        2,500        5,000

  Subpart D--Periodic Maintenance and Testing
                 Requirements

232.303 General requirements:
    (b)-(d) Failure to conduct inspection or          2,500        5,000
     test when car on repair track............
    (e) Improper movement of equipment for            2,500        5,000
     testing..................................
    (e)(1) Failure to properly tag equipment          2,000        5,000
     for movement.............................
    (e)(2)-(4) Failure to retain record or            2,000        4,000
     improper removal of tag or card..........
    (f) Failure to stencil or track test              2,500        5,000
     information..............................
232.305 Single car air brake tests:
    (a) Failure to test in accord with                2,500        5,000
     required procedure.......................
    (b)-(e) Failure to perform test...........        2,500        5,000
232.309 Repair track air brake test and single
 car test equipment and devices:
    (a)-(f) Failure to properly test or               2,500        5,000
     calibrate................................

        Subpart E--End-of-Train Devices

232.403 Design standards for one-way devices:
    (a)-(g) Failure to meet standards.........        2,500        5,000
232.405 Design standards for two-way devices:
    (a)-(i) Failure to meet standards.........        2,500        5,000
232.407 Operating requirements for two-way
 devices:
    (b) Failure to equip a train..............        5,000        7,500
    (c) Improper purchase.....................        2,500        5,000
    (f)(1) Failure of device to be armed and          5,000        7,500
     operable.................................
    (f)(2) Insufficient battery charge........        2,500        5,000
    (f)(3) Failure to activate the device.....        2,500        5,000
    (g) Improper handling of en route failure,        5,000        7,500
     freight or other non-passenger...........
    (h) Improper handling of en route failure,        5,000        7,500
     passenger................................
232.409 Inspection and testing of devices:
    (a) Failure to have unique code...........        2,500        5,000
    (b) Failure to compare quantitative values        2,500        5,000
    (c) Failure to test emergency capability..        5,000        7,500
    (d) Failure to properly calibrate.........        2,500        5,000

  Subpart F--Introduction of New Brake System
                  Technology

232.503 Process to introduce new technology:
    (b) Failure to obtain FRA approval........       10,000       15,000
232.505 Pre-revenue service acceptance testing
 plan:
    (a) Failure to obtain FRA approval........        5,000        7,500
    (b) Failure to comply with plan...........        2,500        5,000
    (f) Failure to test previously used               5,000       7,500
     technology...............................
------------------------------------------------------------------------
<SUP>1</SUP> 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 unit of equipment that is
  placed or continued in service by a railroad, the appropriate
  penalties set forth above are aggregated up to a maximum of $11,000
  per day. An exception to this rule is the $15,000 penalty for willful
  violation of Sec.  232.503 (failure to get FRA approval before
  introducing new technology) with respect to a single unit of
  equipment; if the unit has additional violative conditions, the
  penalty may routinely be aggregated to $15,000. Although the penalties
  listed for failure to perform the brake inspections and tests under
  Sec.  232.205 through Sec.  232.209 may be assessed for each train
  that is not properly inspected, failure to perform any of the
  inspections and tests required under those sections will be treated as
  a violation separate and distinct from, and in addition to, any
  substantive violative conditions found on the equipment contained in
  the train consist. 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 of defective equipment set
  forth in Sec.  232.15(a) 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 equipment at the time of movement.
Failure to provide any of the records or plans required by this part
  pursuant to Sec.  232.19 will be considered a failure to maintain or
  develop the record or plan and will make the railroad liable for
  penalty under the particular regulatory section(s) concerning the
  retention or creation of the document involved.
Failure to properly perform any of the inspections specifically
  referenced in Sec.  232.213 and Sec.  232.217 may be assessed under
  each section of this part or this chapter, or both, that contains the
  requirements for performing the referenced inspection.


[66 FR 4193, Jan. 17, 2001, as amended at 66 FR 39689, Aug. 1, 2001; 67 
FR 17584, Apr. 10, 2002]

  Appendix B to Part 232--Part 232 Prior to May 31, 2001 as Clarified 
                        Effective April 10, 2002

              PART 232--RAILROAD POWER BRAKES AND DRAWBARS

Sec.
232.0 Applicability and penalties.
232.1 Power brakes; minimum percentage.
232.2 Drawbars; standard height.
232.3 Power brakes and appliances for operating power-brake systems.

[[Page 477]]

232.10 General rules; locomotives.
232.11 Train air brake system tests.
232.12 Initial terminal road train airbrake tests.
232.13 Road train and intermediate terminal train air brake tests.
232.14 Inbound brake equipment inspection.
232.15 Double heading and helper service.
232.16 Running tests.
232.17 Freight and passenger train car brakes.
232.19 End of train device.
Appendix A to Part 232
Appendix B to Part 232

Authority: 45 U.S.C. 1, 3, 5, 6, 8-12, and 16, as amended; 45 U.S.C. 
431, 438, as amended; 49 app. U.S.C. 1655(e), as amended; Pub. L. 100-
342; and 49 CFR 1.49(c), (g), and (m).

                   I. Part 232 prior to May 31, 2001.

                 Sec. 232.0 Applicability and penalties.

    (a) Except as provided in paragraph (b), this part applies to all 
standard gage railroads.
    (b) This part does not apply to:
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (c) As used in this part, carrier means ``railroad,'' as that term 
is defined below.
    (d) 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.
    (e) Any person (including a railroad and any manager, supervisor, 
official, or other employee or agent of a railroad) who violates any 
requirement of this part or causes the violation of any such requirement 
is subject to a civil penalty of at least $250 and not more than $10,000 
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 $20,000 per violation may be assessed. Each day a 
violation continues shall constitute a separate offense.

              Sec. 232.1 Power brakes; minimum percentage.

    On and after September 1, 1910, on all railroads used in interstate 
commerce, whenever, as required by the Safety Appliance Act as amended 
March 2, 1903, any train is operated with power or train brakes, not 
less than 85 percent of the cars of such train shall have their brakes 
used and operated by the engineer of the locomotive drawing such train, 
and all power-brake cars in every such train which are associated 
together with the 85 percent shall have their brakes so used and 
operated.

                  Sec. 232.2 Drawbars; standard Height.

    Not included in this Appendix. Moved to 49 CFR part 231.

    Sec. 232.3 Power brakes and appliances for operating power-brake 
                                systems.

    (a) The specifications and requirement for power brakes and 
appliances for operating power-brake systems for freight service set 
forth in the appendix to the report on further hearing, of May 30, 1945, 
are hereby adopted and prescribed. (See appendix to this part for order 
in Docket 13528.)

  Rules for Inspection, Testing and Maintenance of Air Brake Equipment

                 Sec. 232.10 General rules; locomotives.

    (a) Air brake and hand brake equipment on locomotives including 
tender must be inspected and maintained in accordance with the 
requirements of the Locomotive Inspection and United States Safety 
Appliance Acts and related orders and regulations of the Federal 
Railroad Administrator (FRA).
    (b) It must be known that air brake equipment on locomotives is in a 
safe and suitable condition for service.
    (c) Compressor or compressors must be tested for capacity by orifice 
test as often as conditions require but not less frequently than 
required by law and orders of the FRA.
    (d) Main reservoirs shall be subjected to tests periodically as 
required by law and orders of the FRA.
    (e) Air gauges must be tested periodically as required by law and 
orders of the FRA, and whenever any irregularity is reported. They shall 
be compared with an accurate deadweight tester, or test gauge. Gauges 
found inaccurate or defective must be repaired or replaced.
    (f)(1) All operating portions of air brake equipment together with 
dirt collectors and filters must be cleaned, repaired and tested as 
often as conditions require to maintain them in a safe and suitable 
condition for service, and not less frequently than required by law and 
orders of the FRA.
    (2) On locomotives so equipped, hand brakes, parts, and connections 
must be inspected, and necessary repairs made as often

[[Page 478]]

as the service requires, with date being suitably stenciled or tagged.
    (g) The date of testing or cleaning of air brake equipment and the 
initials of the shop or station at which the work was done shall be 
placed on a card displayed under transparent covering in the cab of each 
locomotive unit.
    (h)(1) Minimum brake cylinder piston travel must be sufficient to 
provide proper brake shoe clearance when brakes are released.
    (2) Maximum brake cylinder piston travel when locomotive is standing 
must not exceed the following:

------------------------------------------------------------------------
                                                                Inches
------------------------------------------------------------------------
Steam locomotives:
    Cam type of driving wheel brake........................       3\1/2\
    Other types of driving wheel brakes....................            6
    Engine truck brake.....................................            8
    Engine trailer truck brake.............................            8
    Tender brake (truck mounted and tender bed mounted)....            8
    Tender brake (body mounted)............................            9
Locomotives other than steam:
    Driving wheel brake....................................            6
    Swivel type truck brake with brakes on more than one               7
     truck operated by one brake cylinder..................
    Swivel type truck brake equipped with one brake                    8
     cylinder..............................................
    Swivel type truck brake equipped with two or more brake            6
     cylinders.............................................
------------------------------------------------------------------------

    (i)(1) Foundation brake rigging, and safety supports, where used, 
must be maintained in a safe and suitable condition for service. Levers, 
rods, brake beams, hangars and pins must be of ample strength and must 
not bind or foul in any way that will affect proper operation of brakes. 
All pins must be properly applied and secured in place with suitable 
locking devices. Brake shoes must be properly applied and kept 
approximately in line with treads of wheels or other braking surfaces.
    (2) No part of the foundation brake rigging and safety supports 
shall be closer to the rails than specified by law and orders of the 
FRA.
    (j)(1) Main reservoir leakage: Leakage from main air reservoir and 
related piping shall not exceed an average of 3 pounds per minute in a 
test of three minutes' duration, made after the pressure has been 
reduced 40 percent below maximum pressure.
    (2) Brake pipe leakage: Brake pipe leakage must not exceed 5 pounds 
per minute after a reduction of 10 pounds has been made from brake pipe 
air pressure of not less than 70 pounds.
    (3) Brake cylinder leakage: With a full service application of 
brakes, and with communication to the brake cylinders closed, brakes 
must remain applied not less than five minutes.
    (4) The main reservoir system of each unit shall be equipped with at 
least one safety valve, the capacity of which shall be sufficient to 
prevent an accumulation of pressure of more than 10 pounds per square 
inch above the maximum setting of the compressor governor fixed by the 
chief mechanical officer of the carrier operating the locomotive.
    (5) A suitable governor shall be provided that will stop and start 
the air compressor within 5 pounds above or below the pressures fixed.
    (6) Compressor governor when used in connection with the automatic 
air brake system shall be so adjusted that the compressor will start 
when the main reservoir pressure is not less than 15 pounds above the 
maximum brake-pipe pressure fixed by the rules of the carrier and will 
not stop the compressor until the reservoir pressure has increased not 
less than 10 pounds.
    (k) The communicating signal system on locomotives when used in 
passenger service must be tested and known to be in a safe and suitable 
condition for service before each trip.
    (l) Enginemen when taking charge of locomotives must know that the 
brakes are in operative condition.
    (m) In freezing weather drain cocks on air compressors of steam 
locomotives must be left open while compressors are shut off.
    (n) Air pressure regulating devices must be adjusted for the 
following pressures:

------------------------------------------------------------------------
                                                                Pounds
------------------------------------------------------------------------
Locomotives:
    (1) Minimum brake pipe air pressure:
        Road Service.......................................           70
        Switch Service.....................................           60
    (2) Minimum differential between brake pipe and main              15
     reservoir air pressures, with brake valve in running
     position..............................................
    (3) Safety valve for straight air brake................        30-55
    (4) Safety valve for LT, ET, No. 8-EL, No. 14 El, No. 6-       30-68
     DS, No. 6-BL and No. 6-SL equipment...................
    (5) Safety valve for HSC and No. 24-RL equipment.......        30-75
    (6) Reducing valve for independent or straight air             30-50
     brake.................................................
    (7) Self-lapping portion for electro-pneumatic brake              50
     (minimum full application pressure)...................
    (8) Self-lapping portion for independent air brake             30-50
     (full application pressure)...........................
    (9) Reducing valve for air signal......................        40-60
    (10) Reducing valve for high-speed brake (minimum).....           50
Cars:
    (11) Reducing valve for high-speed brake...............        58-62
    (12) Safety valve for PS, LN, UC, AML, AMU and AB-1-B          58-62
     air brakes............................................
    (13) Safety valve for HSC air brake....................        58-77
    (14) Governor valve for water raising system...........           60
    (15) Reducing valve for water raising system...........        20-30
------------------------------------------------------------------------


[[Page 479]]

                Sec. 232.11 Train Air Brake System Tests.

    (a) Supervisors are jointly responsible with inspectors, enginemen 
and trainmen for condition of train air brake and air signal equipment 
on motive power and cars to the extent that it is possible to detect 
defective equipment by required air tests.
    (b) Communicating signal system on passenger equipment trains must 
be tested and known to be in a suitable condition for service before 
leaving terminal.
    (c) Each train must have the air brakes in effective operating 
condition, and at no time shall the number and location of operative air 
brakes be less than permitted by Federal requirements. When piston 
travel is in excess of 10\1/2\ inches, the air brakes cannot be 
considered in effective operating condition.
    (d) Condensation must be blown from the pipe from which air is taken 
before connecting yard line or motive power to train.

         Sec. 232.12 Initial Terminal Road Train Airbrake Tests.

    (a)(1) Each train must be inspected and tested as specified in this 
section by a qualified person at points--
    (i) Where the train is originally made up (initial terminal);
    (ii) Where train consist is changed, other than by adding or 
removing a solid block of cars, and the train brake system remains 
charged; and
    (iii) Where the train is received in interchange if the train 
consist is changed other than by--
    (A) Removing a solid block of cars from the head end or rear end of 
train;
    (B) Changing motive power;
    (C) Removing or changing the caboose; or
    (D) Any combination of the changes listed in (A), (B), and (C) of 
this subparagraph.
    Where a carman is to perform the inspection and test under existing 
or future collective bargaining agreement, in those circumstances a 
carman alone will be considered a qualified person.
    (2) A qualified person participating in the test and inspection or 
who has knowledge that it was made shall notify the engineer that the 
initial terminal road train air brake test has been satisfactorily 
performed. The qualified person shall provide the notification in 
writing if the road crew will report for duty after the qualified person 
goes off duty. The qualified person also shall provide the notification 
in writing if the train that has been inspected is to be moved in excess 
of 500 miles without being subjected to another test pursuant to either 
this section or Sec. 232.13 of this part.
    (b) Each carrier shall designate additional inspection points not 
more than 1,000 miles apart where intermediate inspection will be made 
to determine that--
    (1) Brake pipe pressure leakage does not exceed five pounds per 
minute;
    (2) Brakes apply on each car in response to a 20-pound service brake 
pipe pressure reduction; and
    (3) Brake rigging is properly secured and does not bind or foul.
    (c) Train airbrake system must be charged to required air pressure, 
angle cocks and cutout cocks must be properly positioned, air hose must 
be properly coupled and must be in condition for service. An examination 
must be made for leaks and necessary repairs made to reduce leakage to a 
minimum. Retaining valves and retaining valve pipes must be inspected 
and known to be in condition for service. If train is to be operated in 
electro-pneumatic brake operation, brake circuit cables must be properly 
connected.
    (d)(1) After the airbrake system on a freight train is charged to 
within 15 pounds of the setting of the feed valve on the locomotive, but 
to not less than 60 pounds, as indicated by an accurate gauge at rear 
end of train, and on a passenger train when charged to not less than 70 
pounds, and upon receiving the signal to apply brakes for test, a 15-
pound brake pipe service reduction must be made in automatic brake 
operations, the brake valve lapped, and the number of pounds of brake 
pipe leakage per minute noted as indicated by brake pipe guage, after 
which brake pipe reduction must be increased to full service. Inspection 
of the train brakes must be made to determine that angle cocks are 
properly positioned, that the brakes are applied on each car, that 
piston travel is correct, that brake rigging does not bind or foul, and 
that all parts of the brake equipment are properly secured. When this 
inspection has been completed, the release signal must be given and 
brakes released and each brake inspected to see that all have released.
    (2) When a passenger train is to be operated in electro-pneumatic 
brake operation and after completion of test of brakes as prescribed by 
paragraph (d)(1) of this section the brake system must be recharged to 
not less than 90 pounds air pressure, and upon receiving the signal to 
apply brakes for test, a minimum 20 pounds electro-pneumatic brake 
application must be made as indicated by the brake cylinder gage. 
Inspection of the train brakes must then be made to determine if brakes 
are applied on each car. When this inspection has been completed, the 
release signal must be given and brakes released and each brake 
inspected to see that all have released.
    (3) When the locomotive used to haul the train is provided with 
means for maintaining brake pipe pressure at a constant level during 
service application of the train brakes, this feature must be cut out 
during train airbrake tests.

[[Page 480]]

    (e) Brake pipe leakage must not exceed 5 pounds per minute.
    (f)(1) At initial terminal piston travel of body-mounted brake 
cylinders which is less than 7 inches or more than 9 inches must be 
adjusted to nominally 7 inches.
    (2) Minimum brake cylinder piston travel of truck-mounted brake 
cylinders must be sufficient to provide proper brake shoe clearance when 
brakes are released. Maximum piston travel must not exceed 6 inches.
    (3) Piston travel of brake cylinders on freight cars equipped with 
other than standard single capacity brake, must be adjusted as indicated 
on badge plate or stenciling on car located in a conspicuous place near 
the brake cylinder.
    (g) When test of airbrakes has been completed the engineman and 
conductor must be advised that train is in proper condition to proceed.
    (h) During standing test, brakes must not be applied or released 
until proper signal is given.
    (i)(1) When train airbrake system is tested from a yard test plant, 
an engineer's brake valve or an appropriate test device shall be used to 
provide increase and reduction of brake pipe air pressure or electro-
pneumatic brake application and release at the same or a slower rate as 
with engineer's brake valve and yard test plant must be connected to the 
end which will be nearest to the hauling road locomotive.
    (2) When yard test plant is used, the train airbrakes system must be 
charged and tested as prescribed by paragraphs (c) to (g) of this 
section inclusive, and when practicable should be kept charged until 
road motive power is coupled to train, after which, an automatic brake 
application and release test of airbrakes on rear car must be made. If 
train is to be operated in electro-pneumatic brake operation, this test 
must also be made in electro-pneumatic brake operation before 
proceeding.
    (3) If after testing the brakes as prescribed in paragraph (i)(2) of 
this section the train is not kept charged until road motive power is 
attached, the brakes must be tested as prescribed by paragraph (d)(1) of 
this section and if train is to be operated in electro-pneumatic brake 
operation as prescribed by paragraph (d)(2) of this section.
    (j) Before adjusting piston travel or working on brake rigging, 
cutout cock in brake pipe branch must be closed and air reservoirs must 
be drained. When cutout cocks are provided in brake cylinder pipes, 
these cutout cocks only may be closed and air reservoirs need not be 
drained.

 Sec. 232.13 Road train and intermediate terminal train air brake tests.

    (a) Passenger trains. Before motive power is detached or angle cocks 
are closed on a passenger train operated in either automatic or electro-
pneumatic brake operation, except when closing angle cocks for cutting 
off one or more cars from the rear end of train, automatic air brake 
must be applied. After recouping, brake system must be recharged to 
required air pressure and before proceeding and upon receipt of proper 
request or signal, application and release tests of brakes on rear car 
must be made from locomotive in automatic brake operation. If train is 
to be operated in electro-pneumatic brake operation, this test must also 
be made in electro-pneumatic brake operation before proceeding. 
Inspector or trainman must determine if brakes on rear car of train 
properly apply and release.
    (b) Freight trains. Before motive power is detached or angle cocks 
are closed on a freight train, brakes must be applied with not less than 
a 20-pound brake pipe reduction. After recoupling, and after angle cocks 
are opened, it must be known that brake pipe air pressure is being 
restored as indicated by a rear car gauge or device. In the absence of a 
rear car gauge or device, an air brake test must be made to determine 
that the brakes on the rear car apply and release.
    (c)(1)At a point other than an initial terminal where a locomotive 
or caboose is changed, or where one or more consecutive cars are cut off 
from the rear end or head end of a train with the consist otherwise 
remaining intact, after the train brake system is charged to within 15 
pounds of the feed valve setting on the locomotive, but not less than 60 
pounds as indicated at the rear of a freight train and 70 pounds on a 
passenger train, a 20-pound brake pipe reduction must be made and it 
must be determined that the brakes on the rear car apply and release. As 
an alternative to the rear car brake application and release test, it 
shall be determined that brake pipe pressure of the train is being 
reduced as indicated by a rear car gauge or device and then that brake 
pipe pressure of the train is being restored as indicated by a rear car 
gauge or device.
    (2) Before proceeding it must be known that brake pipe pressure as 
indicated at rear of freight train is being restored.
    (3) On trains operating with electro-pneumatic brakes, with brake 
system charged to not less than 70 pounds, test must be made to 
determine that rear brakes apply and release properly from a minimum 20 
pounds electro-pneumatic brake application as indicated by brake 
cylinder gauge.
    (d)(1) At a point other than a terminal where one or more cars are 
added to a train, after the train brake system is charged to not less 
than 60 pounds as indicated by a gauge or device at the rear of a 
freight train and 70 pounds on a passenger train. A brake test must be 
made by a designated person as described in Sec. 232.12 (a)(1) to 
determine that brake pipe leakage does not exceed five (5) pounds per 
minute as indicated by the brake

[[Page 481]]

pipe gauge after a 20-pound brake pipe reduction has been made. After 
the test is completed, it must be determined that piston travel is 
correct, and the train airbrakes of these cars and on the rear car of 
the train apply and remain applied, until the release signal is given. 
As an alternative to the rear car brake application and release portion 
of the test, it shall be determined that brake pipe pressure of the 
train is being reduced as indicated by a rear car gauge or device and 
then that brake pipe pressure of the train is being restored as 
indicated by a rear car gauge or device. Cars added to a train that have 
not been inspected in accordance with Sec. 232.12 (c) through (j) must 
be so inspected and tested at the next terminal where facilities are 
available for such attention.
    (d)(2)(i) At a terminal where a solid block of cars, which has been 
previously charged and tested as prescribed by Sec. 232.13 (c) through 
(j), is added to a train, it must be determined that the brakes on the 
rear car of the train apply and release. As an alternative to the rear 
car application and release test, it shall be determined that brake pipe 
pressure of the train is being reduced as indicated by a rear car gauge 
or device and then that brake pipe pressure of the train is being 
restored as indicated by a rear car gauge or device.
    (d)(2)(ii) When cars which have not been previously charged and 
tested as prescribed by Sec. 232.12 (c) through (j) are added to a 
train, such cars may either be given inspection and tests in accordance 
with Sec. 232.12 (c) through (j), or tested as prescribed by paragraph 
(d)(1) of this section prior to departure in which case these cars must 
be inspected and tested in accordance with Sec. 232.12 (c) through (j) 
at next terminal.
    (3) Before proceeding it must be known that the brake pipe pressure 
at the rear of freight train is being restored.
    (e)(1) Transfer train and yard train movements not exceeding 20 
miles, must have the air brake hose coupled between all cars, and after 
the brake system is charged to not less than 60 pounds, a 15 pound 
service brake pipe reduction must be made to determine that the brakes 
are applied on each car before releasing and proceeding.
    (2) Transfer train and yard train movements exceeding 20 miles must 
have brake inspection in accordance with Sec. 232.12 (c)-(j).
    (f) The automatic air brake must not be depended upon to hold a 
locomotive, cars or train, when standing on a grade, whether locomotive 
is attached or detached from cars or train. When required, a sufficient 
number of hand brakes must be applied to hold train, before air brakes 
are released. When ready to start, hand brakes must not be released 
until it is known that the air brake system is properly charged.
    (g) As used in this section, device means a system of components 
designed and inspected in accordance with Sec. 232.19.
    (h) When a device is used to comply with any test requirement in 
this section, the phrase brake pipe pressure of the train is being 
reduced means a pressure reduction of at least five pounds and the 
phrase brake pipe pressure of the train is being restored means a 
pressure increase of at least five pounds.

             Sec. 232.14 Inbound Brake Equipment Inspection.

    (a) At points where inspectors are employed to make a general 
inspection of trains upon arrival at terminals, visual inspection must 
be made of retaining valves and retaining valve pipes, release valves 
and rods, brake rigging, safety supports, hand brakes, hose and position 
of angle cocks and make necessary repairs or mark for repair tracks any 
cars to which yard repairs cannot be promptly made.
    (b) Freight trains arriving at terminals where facilities are 
available and at which special instructions provide for immediate brake 
inspection and repairs, trains shall be left with air brakes applied by 
a service brake pipe reduction of 20 pounds so that inspectors can 
obtain a proper check of the piston travel. Trainmen will not close any 
angle cock or cut the locomotive off until the 20 pound service 
reduction has been made. Inspection of the brakes and needed repairs 
should be made as soon thereafter as practicable.

             Sec. 232.15 Double Heading and Helper Service.

    (a) When more than one locomotive is attached to a train, the 
engineman of the leading locomotive shall operate the brakes. On all 
other motive power units in the train the brake pipe cutout cock to the 
brake valve must be closed, the maximum main reservoir pressure 
maintained and brake valve handles kept in the prescribed position. In 
case it becomes necessary for the leading locomotive to give up control 
of the train short of the destination of the train, a test of the brakes 
must be made to see that the brakes are operative from the automatic 
brake valve of the locomotive taking control of the train.
    (b) The electro-pneumatic brake valve on all motive power units 
other than that which is handling the train must be cut out, handle of 
brake valve kept in the prescribed position, and air compressors kept 
running if practicable.

                       Sec. 232.16 Running Tests.

    When motive power, engine crew or train crew has been changed, angle 
cocks have been closed except for cutting off one or more cars from the 
rear end of train or

[[Page 482]]

electro-pneumatic brake circuit cables between power units and/or cars 
have been disconnected, running test of train air brakes on passenger 
train must be made, as soon as speed of train permits, by use of 
automatic brake if operating in automatic brake operation or by use of 
electro-pneumatic brake if operating in electro-pneumatic brake 
operation. Steam or power must not be shut off unless required and 
running test must be made by applying train air brakes with sufficient 
force to ascertain whether or not brakes are operating properly. If air 
brakes do not properly operate, train must be stopped, cause of failure 
ascertained and corrected and running test repeated.

           Sec. 232.17 Freight and passenger train car brakes.

    (a) Testing and repairing brakes on cars while on shop or repair 
tracks. (1) When a freight car having brake equipment due for periodic 
attention is on shop or repair tracks where facilities are available for 
making air brake repairs, brake equipment must be given attention in 
accordance with the requirements of the currently effective AAR Code of 
Rules for cars in interchange. Brake equipment shall then be tested by 
use of a single car testing device as prescribed by the currently 
effective AAR Code of Tests.
    (2)(i) When a freight car having an air brake defect is on a shop or 
repair track, brake equipment must be tested by use of a single car 
testing device as prescribed by currently effective AAR Code of Tests.
    (ii) All freight cars on shop or repair tracks shall be tested to 
determine that the air brakes apply and release. Piston travel on a 
standard body mounted brake cylinder which is less than 7 inches or more 
than 9 inches must be adjusted to nominally 7 inches. Piston travel of 
brake cylinders on all freight cars equipped with other than standard 
single capacity brake, must be adjusted as indicated on badge plate or 
stenciling on car located in a conspicuous place near brake cylinder. 
After piston travel has been adjusted and with brakes released, 
sufficient brake shoe clearance must be provided.
    (iii) When a car is equipped for use in passenger train service not 
due for periodical air brake repairs, as indicated by stenciled or 
recorded cleaning dates, is on shop or repair tracks, brake equipment 
must be tested by use of single car testing device as prescribed by 
currently effective AAR Code of Tests. Piston travel of brake cylinders 
must be adjusted if required, to the standard travel for that type of 
brake cylinder. After piston travel has been adjusted and with brakes 
released, sufficient brake shoe clearance must be provided.
    (iv) Before a car is released from a shop or repair track, it must 
be known that brake pipe is securely clamped, angle cocks in proper 
position with suitable clearance, valves, reservoirs and cylinders tight 
on supports and supports securely attached to car.
    (b)(1) Brake equipment on cars other than passenger cars must be 
cleaned, repaired, lubricated and tested as often as required to 
maintain it in a safe and suitable condition for service but not less 
frequently than as required by currently effective AAR Code of Rules for 
cars in interchange.
    (2) Brake equipment on passenger cars must be clean, repaired, 
lubricated and tested as often as necessary to maintain it in a safe and 
suitable condition for service but not less frequently than as required 
in Standard S-045 in the Manual of Standards and Recommended Practices 
of the AAR.
    (3) Copies of the materials referred to in this section can be 
obtained from the Association of American Railroads, 1920 L Street, NW., 
Washington, DC 20036.

   Sec. 232.19 through Sec. 232.25 Provisions related to end-of-train 
                                devices.

    Not included in this Appendix as they are contained in Subpart E of 
this rule.

               II. Clarification effective April 10, 2002.

    This subdivision II contains the following clarifications of 49 CFR 
part 232 as it read before May 31, 2001. Section 232.13(d)(2)(i) is 
amended to correct a typographical error made in 1986. See 33 FR 19679, 
51 FR 17303. Section 232.17(a)(2)(iii) is amended to clarify that the 
single car test required to be performed pursuant to this paragraph may 
be conducted in accordance with the applicable AAR Code of Tests or the 
American Public Transportation Association standard referenced in 49 CFR 
238.311(a). Section 232.17(b)(3) is amended by inserting FRA's current 
address as the location where the standards and procedures referenced in 
Sec. 232.17 can be obtained.

 Sec. 232.13 Road train and intermediate terminal train air brake tests.

                                * * * * *

    (d) * * *
    (2)(i) At a terminal where a solid block of cars, which has been 
previously charged and tested as prescribed by Sec. 232.12 (c) through 
(j), is added to a train, it must be determined that the brakes on the 
rear car of the train apply and release. As an alternative to the rear 
car application and release test, it shall be determined that brake pipe 
pressure of the train is being reduced as indicated by a rear car gauge 
or device and then that brake pipe pressure of the train is being 
restored as indicated by a rear car gauge or device.

                                * * * * *

[[Page 483]]

           Sec. 232.17 Freight and passenger train car brakes.

    (a) * * *
    (2) * * *
    (iii) When a car equipped for use in passenger train service not due 
for periodical air brake repairs, as indicated by stenciled or recorded 
cleaning dates, is on shop or repair tracks, brake equipment must be 
tested by use of single car testing device as prescribed by the 
applicable AAR Code of Tests or by the American Public Transportation 
Association (APTA) standard referenced in Sec. 238.311(a) of this 
chapter. Piston travel of brake cylinders must be adjusted if required, 
to the standard travel for that type of brake cylinder. After piston 
travel has been adjusted and with brakes released, sufficient brake shoe 
clearance must be provided.

                                * * * * *

    (b) * * *
    (3) Copies of the materials referred to in this section may be 
obtained from the Federal Railroad Administration, Office of Safety, 
RRS-14, 1120 Vermont Avenue, NW., Stop 25, Washington DC 20590.

[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17584, Apr. 10, 2002]




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