1、206 49 CFR Ch. II (10110 Edition) Pt. 217, App. A APPENDIX A TO PART 217SCHEDULE OF CIVIL PENALTIES1Section Violation Willful viola-tion 217.7 Operating rules: (a) $2,500 $5,000 (b) $2,000 $5,000 (c) $2,500 $5,000 217.9 Operational tests and inspections: (a) Failure to implement a program $9,500 12,
2、500 $13,000 16,000 (b) Railroad and railroad testing officer responsibilities:.(1) Failure to provide instruction, examination, or field training, or failure to con-duct tests in accordance with program . 9,500 13,000 (2) Records . 7,500 11,000 (c) Record of program; program incomplete 7,500 12,500
3、11,000 16,000 (d) Records of individual tests and inspections 7,500 (e) Failure to retain copy of or conduct:.(1)(i) Quarterly review . 9,500 13,000 (1)(ii) and (2) Six month review 9,500 13,000 (3) Records . 7,500 11,000 (f) Annual summary 7,500 11,000 (h) Failure to timely or appropriately amend p
4、rogram after disapproval 9,500 12,500 13,000 16,000 217.11 Program of instruction on operating rules: (a) $5,000 $7,500 (b) $2,500 $5,000 1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $100,000 for any
5、violation where circumstances warrant. See 49 CFR part 209, appendix A. 59 FR 43071, Aug. 22, 1994, as amended at 63 FR 11620, Mar. 10, 1998; 69 FR 30593, May 28, 2004; 73 FR 8497, Feb. 13, 2008; 73 FR 79701, Dec. 30, 2008 PART 218RAILROAD OPERATING PRACTICES Subpart AGeneral Sec. 218.1 Purpose. 218
6、.3 Application. 218.4 Preemptive effect. 218.5 Definitions. 218.7 Waivers. 218.9 Civil penalty. 218.11 Filing, testing, and instruction. Subpart BBlue Signal Protection of Workers 218.21 Scope. 218.22 Utility employee. 218.23 Blue signal display. 218.24 One-person crew. 218.25 Workers on a main trac
7、k. 218.27 Workers on track other than main track. 218.29 Alternate methods of protection. 218.30 Remotely controlled switches. Subpart CProtection of Trains and Locomotives 218.31 Scope. 218.35 Yard limits. 218.37 Flag protection. 218.39 Hump operations. 218.41 Noncompliance with hump operations rul
8、e. Subpart DProhibition Against Tampering With Safety Devices 218.51 Purpose. 218.53 Scope and definitions. 218.55 Tampering prohibited. 218.57 Responsibilities of individuals. 218.59 Responsibilities of railroads. 218.61 Authority to deactivate safety de-vices. Subpart EProtection of Occupied Camp
9、Cars 218.71 Purpose and scope. 218.73 Warning signal display. 218.75 Methods of protection for camp cars. 218.77 Remotely controlled switches. 218.79 Alternative methods of protection. 218.80 Movement of occupied camp cars. Subpart FHandling Equipment, Switches, and Fixed Derails 218.91 Purpose and
10、scope. 218.93 Definitions. 218.95 Instruction, training, and examina-tion. 218.97 Good faith challenge procedures. 218.99 Shoving or pushing movements. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00216 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvide
11、d by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-207 Federal Railroad Administration, DOT 218.5 218.101 Leaving rolling and on-track main-tenance-of-way equipment in the clear. 218.103 Hand-operated switches, including crossover switches. 218.105 Additional
12、operational requirements for hand-operated main track switches. 218.107 Additional operational requirements for hand-operated crossover switches. 218.109 Hand-operated fixed derails. APPENDIX A TO PART 218SCHEDULE OF CIVIL PENALTIES APPENDIX B TO PART 218STATEMENT OF AGENCY ENFORCEMENT POLICY ON BLU
13、E SIGNAL PROTECTION FOR UTILITY EMPLOY-EES APPENDIX C TO PART 218STATEMENT OF AGENCY ENFORCEMENT POLICY ON TAM-PERING APPENDIX D TO PART 218REQUIREMENTS AND CONSIDERATIONS FOR IMPLEMENTING TECH-NOLOGY AIDED POINT PROTECTION AUTHORITY: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49. SO
14、URCE: 44 FR 2175, Jan. 10, 1979, unless otherwise noted. Subpart AGeneral 218.1 Purpose. This part prescribes minimum re-quirements for railroad operating rules and practices. Each railroad may pre-scribe additional or more stringent re-quirements in its operating rules, time-tables, timetable speci
15、al instructions, and other special instructions. 218.3 Application. (a) Except as provided in paragraph (b) of this section, this part applies to railroads that operate rolling equip-ment on standard gage track which is part of the general railroad system of transportation. (b) This part does not ap
16、ply 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 trans-portation. 44 FR 2175, Jan. 10, 1979, as amen
17、ded at 53 FR 28599, July 28, 1988 218.4 Preemptive effect. Normal State negligence standards apply where there is no Federal action covering the subject matter. Under 49 U.S.C. 20106 (section 20106), issuance of the regulations in this part preempts any State law, regulation, or order cov-ering the
18、same subject matter, except an additional or more stringent law, regulation, or order that is necessary to eliminate or reduce an essentially local railroad safety or railroad secu-rity hazard; that is not incompatible with a law, regulation, or order of the United States Government; and that does n
19、ot unreasonably burden inter-state commerce. Section 20106 permits State tort actions arising from events or activities occurring on or after Jan-uary 18, 2002, for the following: Viola-tion of the Federal standard of care es-tablished by regulation or order issued the Secretary of Transportation (w
20、ith respect to railroad safety, such as these regulations) or the Secretary of Homeland Security (with respect to railroad security); a partys violation of, or failure to comply with, its own plan, rule, or standard that it created pursuant to a regulation or order issued by either of the two Secret
21、aries; and a partys violation of a State standard that is necessary to eliminate or reduce an essentially local safety or security hazard, is not incompatible with a law, regulation, or order of the United States Government, and does not unreasonably burden interstate commerce. Nothing in section 20
22、106 creates a Federal cause of action on be-half of an injured party or confers Fed-eral question jurisdiction for such State law causes of action. 73 FR 8498, Feb. 13, 2008 218.5 Definitions. Absolute block means a block in which no train is permitted to enter while it is occupied by another train.
23、 Blue signal means a clearly distin-guishable blue flag or blue light by day and a blue light at night. When at-tached to the operating controls of a locomotive, it need not be lighted if the inside of the cab area of the loco-motive is sufficiently lighted so as to make the blue signal clearly dist
24、in-guishable. Camp car means any on-track vehicle, including outfit, camp, or bunk cars or modular homes mounted on flat cars used to house rail employees. It does not include wreck trains. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00217 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdj
25、ones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-208 49 CFR Ch. II (10110 Edition) 218.5 Car shop repair track area means one or more tracks within an area in which the testing, servicing, repair, inspec-tion, or rebuild
26、ing of railroad rolling equipment is under the exclusive con-trol of mechanical department per-sonnel. Controlling locomotive means a loco-motive arranged as having the only controls over all electrical, mechanical and pneumatic functions for one or more locomotives, including controls transmitted b
27、y radio signals if so equipped. It does not include two or more locomotives coupled in multiple which can be moved from more than one set of locomotive controls. Designated crew member means an in-dividual designated under the rail-roads operating rules as the point of contact between a train or yar
28、d crew and a utility employee working with that crew. Effective locking device when used in relation to a manually operated switch or a derail means one which is: (1) Vandal resistant; (2) Tamper resistant; and (3) Capable of being locked and un-locked only by the class, craft or group of employees
29、for whom the protection is being provided. Flagmans signals means a red flag by day and a white light at night, and fusees as prescribed in the railroads operating rules. Group of workers means two or more workers of the same or different crafts assigned to work together as a unit under a common aut
30、hority and who are in communication with each other while the work is being done. Interlocking limits means the tracks between the opposing home signals of an interlocking. Locomotive means, except for pur-poses of subpart F of this part, a self- propelled unit of equipment designed for moving other
31、 railroad rolling equipment in revenue service including a self-propelled unit designed to carry freight or passenger traffic, or both, and may consist of one or more units operated from a single control. Locomotive servicing track area means one or more tracks, within an area in which the testing,
32、servicing, repair, in-spection, or rebuilding of locomotives is under the exclusive control of me-chanical department personnel. Main track means a track, other than an auxiliary track, extending through yards or between stations, upon which trains are operated by timetable or train order or both, o
33、r the use of which is governed by a signal system. Rolling equipment includes loco-motives, railroad cars, and one or more locomotives coupled to one or more cars. Switch providing access means a switch which if traversed by rolling equipment could permit that rolling equipment to couple to the equi
34、pment being protected. Train or yard crew means one or more railroad employees assigned a control-ling locomotive, under the charge and control of one crew member; called to perform service covered by Section 2 of the Hours of Service Act; involved with the train or yard movement of railroad rolling
35、 equipment they are to work with as an operating crew; reporting and working together as a unit that re-mains in close contact if more than one employee; and subject to the railroad operating rules and program of oper-ational tests and inspections required in 217.9 and 217.11 of this chapter. Utilit
36、y employee means a railroad em-ployee assigned to and functioning as a temporary member of a train or yard crew whose primary function is to as-sist the train or yard crew in the as-sembly, disassembly or classification of rail cars, or operation of trains (sub-ject to the conditions set forth in 21
37、8.22 of this chapter). Worker means any railroad employee assigned to inspect, test, repair, or service railroad rolling equipment, or their components, including brake sys-tems. Members of train and yard crews are excluded except when assigned such work on railroad rolling equipment that is not par
38、t of the train or yard movement they have been called to op-erate (or been assigned to as utility employees). Utility employees as-signed to and functioning as temporary members of a specific train or yard crew (subject to the conditions set forth in 218.22 of this chapter), are ex-cluded only when
39、so assigned and func-tioning. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00218 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-209 Federal Railroad Administra
40、tion, DOT 218.22 NOTE: Servicing does not include supplying cabooses, locomotives, or passenger cars with items such as ice, drinking water, tools, sanitary supplies, stationery, or flagging equipment. Testing does not include (i) visual ob-servations made by an employee posi-tioned on or alongside
41、a caboose, loco-motive, or passenger car; or (ii) marker inspections made in accordance with the provisions of 221.16(b) of this chap-ter. 58 FR 43292, Aug. 16, 1993, as amended at 60 FR 11049, Mar. 1, 1995; 73 FR 8498, Feb. 13, 2008 218.7 Waivers. (a) A railroad may petition the Fed-eral Railroad A
42、dministration for a waiver of compliance with any require-ment prescribed in this part. (b) Each petition for a waiver under this section must be filed in the man-ner and contain the information re-quired by part 211 of this chapter. (c) If the Administrator finds that waiver of compliance is in the
43、 public interest and is consistent with railroad safety, he may grant the waiver sub-ject to any conditions he deems nec-essary. Notice of each waiver granted, including a statement of the reasons, therefore, is published in the FEDERAL REGISTER. 218.9 Civil penalty. Any person (an entity of any typ
44、e covered under 1 U.S.C. 1, including but not limited to the following: a railroad; a manager, supervisor, official, or other employee or agent of a railroad; any owner, manufacturer, lessor, or lessee of railroad equipment, track, or facilities; any independent contractor providing goods or service
45、s to a rail-road; and any employee of such owner, manufacturer, lessor, lessee, or inde-pendent 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 $650 and not more than $25,000 per vio-lation, except that:
46、Penalties may be assessed against individuals only for willful violations, and, where a grossly negligent violation or a pattern of re-peated violations has created an immi-nent hazard of death or injury to per-sons, or has caused death or injury, a penalty not to exceed $100,000 per viola-tion may
47、be assessed. Each day a viola-tion continues shall constitute a sepa-rate offense. See appendix A to this part for a statement of agency civil penalty policy. 53 FR 28599, July 28, 1988, as amended at 53 FR 52928, Dec. 29, 1988; 63 FR 11621, Mar. 10, 1998; 69 FR 30593, May 28, 2004; 72 FR 51196, Sep
48、t. 6, 2007; 73 FR 79701, Dec. 30, 2008 218.11 Filing, testing, and instruc-tion. The operating rules prescribed in this part, and any additional or more strin-gent requirements issued by a railroad in relation to the operating rules pre-scribed in this part, shall be subject to the provisions of par
49、t 217 of this chap-ter, Railroad Operating Rules: Filing, Testing, and Instruction. Subpart BBlue Signal Protection of Workers 218.21 Scope. This subpart prescribes minimum re-quirements for the protection of rail-road employees engaged in the inspec-tion, testing, repair, and servicing of rolling equipment whose activities re-quire them to work on, under, or be-tween such equipment and subjects them to the danger of personal injury
