DOT 49 CFR PART 212-2010 STATE SAFETY PARTICIPATION REGULATIONS.pdf

1、89 Federal Railroad Administration, DOT 212.1 POSSIBLE WAIVERS FOR LIGHT RAIL OPERATIONS ON THE GENERAL RAILROAD SYSTEM BASED ON SEPARATION IN TIME FROM CONVENTIONAL OPERATIONSContinued Title 49 CFR part Subject of rule Likely treatment Comments 220 . Radio communications Waive, except to extent com

2、munica-tions with freight trains and road-way workers are necessary.State safety oversight. 225 . Accident reporting and investigation.Comply with regard to train acci-dents and crossing accidents; waive as to injuries; FRA accident investigation authority not subject to waiver.Employee injuries wou

3、ld be re-ported under FTA or OSHA rules. 228* Hours of service record-keeping.Waive (in concert with waiver of statute); waiver not likely for per-sonnel who dispatch conventional RR or maintain signal system on shared use track.See note below on possible waiver of statutory requirements. 239 . Pass

4、enger train emer-gency preparedness.Waive . State safety oversight. 240 . Engineer certification Waive . State safety oversight. * Safety appliance statute. Certain safety appliance requirements (e.g., automatic couplers) are statutory and can only be waived under the conditions set forth in 49 U.S.

5、C. 20306, which permits exemptions if application of the requirements would preclude the development or implementation of more efficient railroad transportation equipment or other transportation innova-tions. If consistent with employee safety, FRA could probably rely on this provision to address mo

6、st light rail equipment that could not meet the standards. * Hours of service statute. Currently, 49 U.S.C. 21108 permits FRA to waive substantive provisions of the hours of service laws based upon a joint petition by the railroad and affected labor organizations, after notice and an opportunity for

7、 a hearing. This is a pilot project provision, so waivers are limited to two years but may be extended for additional two-year periods after notice and an opportunity for comment. 65 FR 42546, July 10, 2000, as amended at 74 FR 25172, May 27, 2009 PART 212STATE SAFETY PARTICIPATION REGULATIONS Subpa

8、rt AGeneral Sec. 212.1 Purpose and scope. 212.3 Definitions. 212.5 Filing. Subpart BState/Federal Roles 212.101 Program principles. 212.103 Investigative and surveillance au-thority. 212.105 Agreements. 212.107 Certification. 212.109 Joint planning of inspections. 212.111 Monitoring and other inspec

9、tions. 212.113 Program termination. 212.115 Enforcement actions. Subpart CState Inspection Personnel 212.201 General qualifications of State in-spection personnel. 212.203 Track inspector. 212.205 Apprentice track inspector. 212.207 Signal and train control inspector. 212.209 Train control inspector

10、. 212.211 Apprentice signal and train control inspector. 212.213 Motive power and equipment (MP and 49 CFR 1.49. SOURCE: 47 FR 41051, Sept. 16, 1982, unless otherwise noted. Subpart AGeneral 212.1 Purpose and scope. This part establishes standards and procedures for State participation in investigat

11、ive and surveillance activi-ties under the Federal railroad safety laws and regulations. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00099 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted w

12、ithout license from IHS-,-,-90 49 CFR Ch. II (10110 Edition) 212.3 212.3 Definitions. As used in this part: (a) Administrator means the Federal Railroad Administrator or the Deputy Administrator or the delegate of either of them. (b) Associate Administrator means the Associate Administrator for Safe

13、ty, Federal Railroad Administration (FRA), or the Deputy Associate Admin-istrator for Safety, FRA. (c) FRA means the Federal Railroad Administration. (d) Federal railroad safety laws means the following enactments, together with regulations and orders issued under their authority: (1) The Federal Ra

14、ilroad Safety Act of 1970, as amended (45 U.S.C. 421, 431 441); (2) The Safety Appliance Acts, as amended (45 U.S.C. 116); (3) The Locomotive Inspection Act, as amended (45 U.S.C. 2234); (4) The Signal Inspection Act, as amended (49 U.S.C. 26); (5) The Accident Reports Act, as amended (45 U.S.C. 384

15、2); (6) The Hours of Service Act, as amended (45 U.S.C. 6164(b); and (7) The Hazardous Materials Trans-portation Act (49 app. U.S.C. 1801 et seq.), as it pertains to shipment or transportation by railroad. (e) Manufacturer means a person that manufactures, fabricates, marks, main-tains, reconditions

16、, repairs, or tests containers which are represented, marked, certified, or sold for use in the bulk transportation of hazardous mate-rials by railroad. (f) Shipper means a person that offers a hazardous material for transpor-tation or otherwise causes it to be transported. (g) Planned compliance in

17、spections means investigative and surveillance activities described in the annual work plan required by 212.109 of this part that provide basic surveillance of rail-road facilities, equipment and/or oper-ations for the purpose of determining the level of compliance with relevant Federal safety requi

18、rements. 47 FR 41051, Sept. 16, 1982, as amended at 57 FR 28115, June 24, 1992 212.5 Filing. Each State agency desiring to con-duct investigative and surveillance ac-tivities must submit to the Associate Administrator for Safety, Federal Rail-road Administration, 1200 New Jersey Avenue, SE., Washing

19、ton, DC 20590, the documentation which contains the in-formation prescribed by 212.105 and 212.107. 47 FR 41051, Sept. 16, 1982, as amended at 74 FR 25172, May 27, 2009 Subpart BState/Federal Roles 212.101 Program principles. (a) The purpose of the national rail-road safety program is to promote saf

20、e-ty in all areas of railroad operations in order to reduce deaths, injuries and damage to property resulting from rail-road accidents. (b)(1) The national railroad safety program is carried out in part through the issuance of mandatory Federal safety requirements and through in-spection efforts des

21、igned to monitor compliance with those requirements. FRA and State inspections determine the extent to which the railroads, ship-pers, and manufacturers have fulfilled their obligations with respect to in-spection, maintenance, training, and supervision. The FRA and partici-pating States do not cond

22、uct inspec-tions of track, equipment, signal sys-tems, operating practices, and haz-ardous materials handling for the rail-roads, shippers, and manufacturers. (2) The national railroad safety pro-gram is also carried out through rou-tine inspections, accident investiga-tions, formal and informal edu

23、cational efforts, complaint investigations, safe-ty assessments, special inquiries, regu-latory development, research and simi-lar initiatives. (c) It is the policy of the FRA to maintain direct oversight of railroad, shipper, and manufacturer conditions and practices relevant to safety by con-ducti

24、ng inspections and investigations in concert with participating State agencies. (d) The principal role of the State Safety Participation Program in the national railroad safety effort is to provide an enhanced investigative and VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00100 Fmt 801

25、0 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-91 Federal Railroad Administration, DOT 212.105 surveillance capability through as-sumption, by participating State agen-cies, of res

26、ponsibility for planned rou-tine compliance inspections. The FRA encourages further State contributions to the national railroad safety program consistent with overall program needs, individual State capabilities, and the willingness of the States to undertake additional investigative and surveil-la

27、nce activities. (e) It is the policy of the FRA to pro-mote the growth and vitality of the State Safety Participation Program through liaison with State govern-ment, coordination of Federal and State investigative and surveillance activities, and training of inspection personnel. 47 FR 41051, Sept.

28、16, 1982, as amended at 57 FR 28115, June 24, 1992 212.103 Investigative and surveil-lance authority. (a) Subject to the requirements of this part, a State agency with jurisdic-tion under State law may participate in investigative and surveillance ac-tivities concerning Federal railroad safety laws

29、and regulations by entering into an agreement under 212.105 for the exercise of specified authority. (b) Subject to requirements of this part, a State agency with jurisdiction under State law may participate in in-vestigative and surveillance activities with respect to particular rules, regu-lations

30、, orders or standards issued under the regulatory authority of the Federal Railroad Safety Act of 1970 by filing an annual certification under 212.107. 212.105 Agreements. (a) Scope. The principal method by which States may participate in inves-tigative and surveillance activities is by agreement wi

31、th FRA. An agreement may delegate investigative and surveil-lance authority with respect to all or any part of the Federal railroad safety laws. (b) Duration. An agreement may be for a fixed term or for an indefinite du-ration. (c) Amendments. An agreement may be amended to expand or contract its sc

32、ope by consent of FRA and the State. (d) Common terms. Each agreement entered into under this section pro-vides that: (1) The State agency is delegated cer-tain specified authority with respect to investigative and surveillance activi-ties; (2) The delgation is effective only to the extent it is car

33、ried out through personnel recognized by the State and the FRA (pursuant to subpart C of this part) to be qualified to perform the particular investigative and surveil-lance activities to which the personnel are assigned; and (3) The State agency agrees to pro-vide the capability necessary to assure

34、 coverage of facilities, equipment, and operating practices through planned routine compliance inspections for all, or a specified part of, the territory of the State. (e) Request for agreement. A request for agreement shall contain the fol-lowing information: (1) An opinion of the counsel for the S

35、tate agency stating that: (i) The agency has jurisdiction over the safety practices of the facilities, equipment, rolling stock, and oper-ations of railroads in that State and whether the agency has jurisdiction over shippers and manufacturers; (ii) The agency has the authority and capability to con

36、duct investigative and surveillance activities in connection with the rules, regulations, orders, and standards issued by the Administrator under the Federal railroad safety laws; and (iii) State funds may be used for this purpose. (2) A statement that the State agen-cy has been furnished a copy of

37、each Federal safety statute, rule, regula-tion, order, or standard pertinent to the States participation; (3) The names of the railroads oper-ating in the State together with the number of miles of main and branch lines operated by each railroad in the State; (4) The name, title and telephone number

38、 of the person designated by the agency to coordinate the program; and (5) A description of the organization, programs, and functions of the agency with respect to railroad safety. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00101 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on D

39、SK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-92 49 CFR Ch. II (10110 Edition) 212.107 (f) Developmental agreement. Con-sistent with national program require-ments, the Associate Administrator may enter into an agreement under

40、 this section prior to the qualification of inspection personnel of the State under subpart C of this part. In such a case, the agreement shall (1) specify the date at which the State will as-sume investigative and surveillance duties, and (2) refer to any undertaking by the FRA to provide training

41、for State inspection personnel, including a schedule for the training courses that will be made available. (g) Action on request. The Associate Administrator responds to a request for agreement by entering into an agreement based on the request, by de-clining the request, or by suggesting modificati

42、ons. (Approved by the Office of Management and Budget under control number 21300509) 47 FR 41051, Sept. 16, 1982, as amended at 57 FR 28115, June 24, 1992 212.107 Certification. (a) Scope. In the event the FRA and the State agency do not agree on terms for the participation of the State under 212.10

43、5 of this part and the State wish-es to engage in investigative and sur-veillance activities with respect to any rule, regulation, order, or standard issued under the authority of the Fed-eral Railroad Safety Act of 1970, the State shall file an annual certification with respect to such activities.

44、(b) Content. The annual certification shall be filed not less than 60 days be-fore the beginning of the Federal fiscal year to which it applies, shall contain the information required by 212.105(e) of this part and, in addition, shall cer-tify that: (1) The State agency has the author-ity and capabi

45、lity to conduct inves-tigative and surveillance activities under the requirements of this part with respect to each rule, regulation, order or standard for which certifi-cation is submitted; and (2) The State agency will, at a min-imum, conduct planned compliance in-spections meeting the level of ef

46、fort prescribed in the applicable appendix to this part. (c) Action on certification. The Asso-ciate Administrator responds to the fil-ing of an annual certification within 60 days of its receipt by accepting it or by rejecting it for cause stated. (d) Delegation of authority. Accept-ance of an annu

47、al certification con-stitutes a delegation of authority to conduct investigative and surveillance activities only to the extent that the delegation is carried out through per-sonnel recognized by the State and the FRA (pursuant to subpart C of this part) to be qualified to perform the particular inv

48、estigative and surveil-lance activities to which the personnel are assigned. (Approved by the Office of Management and Budget under control number 21300509) 212.109 Joint planning of inspec-tions. Prior to the beginning of each cal-endar year, each participating State applying for grant assistance u

49、nder subpart D of this part shall develop, in conjunction with the FRA Regional Di-rector of the region in which the State is located, an annual work plan for the conduct of investigative and surveil-lance activities by the State agency. The plan shall include a program of in-spections designed to monitor the com-pliance of the railroads, shippers, and manufacturers operating within the State (or portion thereof) with applica-ble Fed