1、63 Federal Railroad Administration, DOT 210.3 isolated events. On the other hand, viola-tions involving willful actions and/or posing serious health, safety, or environmental threats should ordinarily result in enforce-ment actions, regardless of the entitys size. Once FRA has assessed a civil penal
2、ty, it is authorized to adjust or compromise the ini-tial penalty claims based on a wide variety of mitigating factors, unless FRA must ter-minate the claim for some reason. FRA has the discretion to reduce the penalty as it deems fit, but not below the statutory mini-mums. The mitigating criteria F
3、RA evalu-ates are found in the railroad safety statutes and SBREFA: The severity of the safety or health risk presented; the existence of alter-native methods of eliminating the safety hazard; the entitys culpability; the entitys compliance history; the entitys ability to pay the assessment; the imp
4、acts an assess-ment might exact on the entitys continued business; and evidence that the entity acted in good faith. FRA staff attorneys regularly invite small entities to present any informa-tion related to these factors, and reduce civil penalty assessments based on the value and integrity of the
5、information presented. Staff attorneys conduct conference calls or meet with small entities to discuss pending viola-tions, and explain FRAs view on the merits of any defenses or mitigating factors pre-sented that may have resulted or failed to result in penalty reductions. Among the other factors F
6、RA considers at this stage is the promptness and thoroughness of the entitys remedial action to correct the viola-tions and prevent a recurrence. Small enti-ties should be sure to address these factors in communications with FRA concerning civil penalty cases. Long-term solutions to compliance probl
7、ems will be given great weight in FRAs determinations of a final settlement offer. Finally, under FRAs Safety Assurance and Compliance Program (SACP), FRA identifies systemic safety hazards that continue to occur in a carrier or shipper operation, and in cooperation with the subject business, de-vel
8、ops an improvement plan to eliminate those safety concerns. Often, the plan pro-vides small entities with a reasonable time frame in which to make improvements with-out the threat of civil penalty. If FRA deter-mines that the entity has failed to comply with the improvement plan, however, en-forceme
9、nt action is initiated. FRAs small entity enforcement policy is flexible and comprehensive. FRAs first pri-ority in its compliance and enforcement ac-tivities is public and employee safety. How-ever, FRA is committed to obtaining compli-ance and enhancing safety with reasoned, fair methods that do n
10、ot inflict undue hard-ship on small entities. 68 FR 24894, May 9, 2003 PART 210RAILROAD NOISE EMIS-SION COMPLIANCE REGULA-TIONS Subpart AGeneral Provisions Sec. 210.1 Scope of part. 210.3 Applicability. 210.5 Definitions. 210.7 Responsibility for noise defective rail-road equipment. 210.9 Movement o
11、f a noise defective loco-motive, rail car, or consist of a loco-motive and rail cars. 210.11 Waivers. 210.13 Penalty. Subpart BInspection and Testing 210.21 Scope of subpart. 210.23 Authorization. 210.25 Measurement criteria and procedures. 210.27 New locomotive certification. 210.29 Operation stand
12、ards (moving loco-motives and rail cars). 210.31 Operation standards (stationary loco-motives at 30 meters). 210.33 Operation standards (switcher loco-motives, load cell test stands, car cou-pling operations, and retarders). APPENDIX A TO PART 210SUMMARY OF NOISE STANDARDS, 40 CFR PART 201 APPENDIX
13、B TO PART 210SWITCHER LOCO-MOTIVE ENFORCEMENT POLICY AUTHORITY: Sec. 17, Pub. L. 92574, 86 Stat. 1234 (42 U.S.C. 4916); sec. 1.49(o) of the regula-tions of the Office of the Secretary of Trans-portation, 49 CFR 1.49(o). SOURCE: 48 FR 56758, Dec. 23, 1983, unless otherwise noted. Subpart AGeneral Pro
14、visions 210.1 Scope of part. This part prescribes minimum com-pliance regulations for enforcement of the Railroad Noise Emission Standards established by the Environmental Pro-tection Agency in 40 CFR part 201. 210.3 Applicability. (a) Except as provided in paragraph (b) of this section, the provisi
15、ons of this part apply to the total sound emit-ted by moving rail cars and loco-motives (including the sound produced by refrigeration and air conditioning units that are an integral element of such equipment), active retarders, VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00073 Fmt 80
16、10 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-64 49 CFR Ch. II (10110 Edition) 210.5 switcher locomotives, car coupling op-erations, and load cell test stands, op-erated by a rai
17、lroad as defined in 45 U.S.C. 22, under the conditions de-scribed in this part and in 40 CFR part 201. (b) The provisions of this part do not apply to (1) Steam locomotives; (2) Street, suburban, or interurban electric railways unless operated as a part of the general railroad system of transportati
18、on; (3) Sound emitted by warning de-vices, such as horns, whistles, or bells when operated for the purpose of safe-ty; (4) Special purpose equipment that may be located on or operated from rail cars; (5) As prescribed in 40 CFR 201.10, the provisions of 40 CFR 201.11 (a) and (b) and (c) do not apply
19、 to gas turbinepowered locomotives or any lo-comotive type that cannot be con-nected by any standard method to a load cell; or (6) Inert retarders. 48 FR 56758, Dec. 23, 1983, as amended at 54 FR 33228, Aug. 14, 1989 210.5 Definitions. (a) Statutory definitions. All terms used in this part and defin
20、ed in the Noise Control Act of 1972 (42 U.S.C. 4901 et seq.) have the definition set forth in that Act. (b) Definitions in standards. All terms used in this part and defined in 201.1 of the Railroad Noise Emission Stand-ards, 40 CFR 201.1, have the definition set forth in that section. (c) Additiona
21、l definitions. As used in this part Administrator means the Federal Rail-road Administrator, the Deputy Ad-ministrator, or any official of FRA to whom the Administrator has delegated authority to act in the Administrators stead. Consist of a locomotive and rail cars means one or more locomotives cou
22、-pled to a rail car or rail cars. FRA means the Federal Railroad Ad-ministration. Inert retarder means a device or sys-tem for holding a classified cut of cars and preventing it from rolling out the bottom of a railyard. Inspector means FRA inspectors or FRA specialists. Noise defective means the co
23、ndition in which railroad equipment is found to exceed the Railroad Noise Emission Standards, 40 CFR part 201. Railroad equipment means rail cars, locomotives, active retarders, and load cell test stands. Standards means the Railroad Noise Emission Standards, 40 CFR part 201. (See appendix A in this
24、 part for a list-ing.) 210.7 Responsibility for noise defec-tive railroad equipment. Any railroad that uses railroad equipment that is noise defective or engages in a car coupling operating that results in excessive noise accord-ing to the criteria established in this part and in the Standards is re
25、spon-sible for compliance with this part. Subject to 210.9, such railroad shall (a) Correct the noise defect; (b) Remove the noise defective rail-road equipment from service; or (c) Modify the car coupling procedure to bring it within the prescribed noise limits. 210.9 Movement of a noise defective
26、locomotive, rail car, or consist of a locomotive and rail cars. A locomotive, rail car, or consist of a locomotive and rail cars that is noise defective may be moved no farther than the nearest forward facility where the noise defective conditions can be eliminated only after the locomotive, rail ca
27、r, or consist of a locomotive and rail cars has been inspected and been determined to be safe to move. 210.11 Waivers. (a) Any person may petition the Ad-ministrator for a waiver of compliance with any requirement in this part. A waiver of compliance with any require-ment prescribed in the Standards
28、 may not be granted under this provision. (b) Each petition for a waiver under this section must be filed in the man-ner and contain information required by 49 CFR part 211. (c) If the Administrator finds that a waiver of compliance applied for under paragraph (a) of this section is in the public in
29、terest and is consistent with VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00074 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-65 Federal Railroad Administrat
30、ion, DOT 210.25 railroad noise abatement and safety, the Administrator may grant a waiver subject to any condition he deems nec-essary. Notice of each waiver granted, including a statement of the reasons therefor, will be published in the FED-ERAL REGISTER. 210.13 Penalty. Any person who operates ra
31、ilroad equipment subject to the Standards in violation of any requirement of this part or of the Standards is liable to penalty as prescribed in section 11 of the Noise Control Act of 1972 (42 U.S.C. 4910), as amended. Subpart BInspection and Testing 210.21 Scope of subpart. This subpart prescribes
32、the compli-ance criteria concerning the require-ments for inspection and testing of railroad equipment or operations cov-ered by the Standards. 210.23 Authorization. (a) An inspector is authorized to per-form any noise test prescribed in the Standards and in the procedures of this part at any time,
33、at any appropriate location, and without prior notice to the railroad, for the purpose of deter-mining whether railroad equipment is in compliance with the Standards. (b)(1) An inspector is authorized to request that railroad equipment and appropriate railroad personnel be made available for a passb
34、y or stationary noise emission test, as prescribed in the Standards and in the procedures of this part, and to conduct such test, at a reasonable time and location, for the purpose of determining whether the railroad equipment is in compliance with the Standards. (2) If the railroad has the capabili
35、ty to perform an appropriate noise emis-sion test, as prescribed in the Stand-ards and in the procedures of this part, an inspector is authorized to request that the railroad test railroad equip-ment. The railroad shall perform the appropriate test as soon as practicable. (3) The request referred to
36、 in this paragraph will be in writing, will state the grounds upon which the inspector has reason to believe that the railroad equipment does not conform to the Standards, and will be presented to an appropriate operating official of the railroad. (4) Testing or submission for testing is not require
37、d if the cause of the noise defect is readily apparent and the in-spector verifies that it is corrected by the replacement of defective compo-nents or by instituting a normal main-tenance or repair procedure. (c)(1) An inspector is authorized to inspect or examine a locomotive, rail car, or consist
38、of a locomotive and rail cars operated by a railroad, or to re-quest that the railroad inspect or ex-amine the locomotive, rail car, or con-sist of a locomotive and rail cars, whenever the inspector has reason to believe that it does not conform to the requirements of the Standards. (2) An inspector
39、 may request that a railroad conduct an inspection or ex-amination of a locomotive, rail car, or consist of a locomotive and rail cars on the basis of an excessive noise emission level measured by a passby test. If, after such inspection or examination, no mechanical condition that would re-sult in
40、a noise defect can be found and the inspector verifies that no such me-chanical condition exists, the loco-motive, rail car, or consist of a loco-motive and rail cars may be continued in service. (3) The requests referred to in this paragraph will be in writing, will state the grounds upon which the
41、 inspector has reason to believe that the loco-motive, rail car, or consist of a loco-motive and rail cars does not conform to the Standards, and will be presented to an appropriate operating official of the railroad. (4) The inspection or examination re-ferred to in this paragraph may be con-ducted
42、 only at recognized inspection points or scheduled stopping points. 210.25 Measurement criteria and pro-cedures. The parameters and procedures for the measurement of the noise emission levels are prescribed in the Standards. (a) Quantities measured are defined in 201.21 of the Standards. (b) Require
43、ments for measurement instrumentation are prescribed in 201.22 of the Standards. In addition, VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00075 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permit
44、ted without license from IHS-,-,-66 49 CFR Ch. II (10110 Edition) 210.27 the following calibration procedures shall be used: (1)(i) The sound level measurement system including the microphone shall be calibrated and appropriately ad-justed at one or more nominal fre-quencies in the range from 250 th
45、rough 1000 Hz at the beginning of each series of measurements, at intervals not ex-ceeding 1 (one) hour during continual use, and immediately following a meas-urement indicating a violation. (ii) The sound level measurement system shall be checked not less than once each year by its manufacturer, a
46、representative of its manufacturer, or a person of equivalent special com-petence to verify that its accuracy meets the manufacturers design cri-teria. (2) An acoustical calibrator of the microphone coupler type designed for the sound level measurement system in use shall be used to calibrate the so
47、und level measurement system in accord-ance with paragraph (b)(1)(i) of this section. The calibration must meet or exceed the accuracy requirements spec-ified in section 5.4.1 of the American National Standard Institute Standards, Method for Measurement of Sound Pressure Levels, (ANSI S1.131971) for
48、 field method measurements. (c) Acoustical environment, weather conditions, and background noise re-quirements are prescribed in 201.23 of the Standards. In addition, a measure-ment tolerance of 2 dB(A) for a given measurement will be allowed to take into account the effects of the factors listed be
49、low and the interpretations of these effects by enforcement personnel: (1) The common practice of reporting field sound level measurements to the nearest whole decibel; (2) Variations resulting from com-mercial instrument tolerances; (3) Variations resulting from the to-pography of the noise measurement site; (4) Variations resulting from atmos-pheric conditions such as wind, ambi-ent temperature, and atmospheric pres-sure; and (
