1、417 Federal Railroad Administration, DOT 228.3 Section Violation Willful violation (a) Failure to institute a training program as required 5,000 7,500 (b) Failure to provide training within required time frame 2,500 5,000 (c) Failure of program and/or training materials to include required informati
2、on . 2,500 5,000 227.121 Recordkeeping: (a) General Requirements: (1) Failure to make record available as required . 2,500 5,000 (3) Failure to transfer or retain records as required 2,000 4,000 (b)(f) Records: (1) Failure to maintain record or failure to maintain record with required informa-tion 2
3、,000 4,000 (2) Failure to retain records for required time period . 2,000 4,000 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 violation where circumstances warrant. See 49 CFR part 209
4、, appendix A. 71 FR 63123, Oct. 27, 2006, as amended at 73 FR 79703, Dec. 30, 2008 PART 228HOURS OF SERVICE OF RAILROAD EMPLOYEES Subpart AGeneral Sec. 228.1 Scope. 228.3 Application. 228.5 Definitions. Subpart BRecords and Reporting 228.7 Hours of duty. 228.9 Records; general. 228.11 Hours of duty
5、records. 228.13 Preemptive effect. 228.17 Dispatchers record of train move-ments. 228.19 Monthly reports of excess service. 228.21 Civil penalty. 228.23 Criminal penalty. Subpart CConstruction of Employee Sleeping Quarters 228.101 Distance requirement; definitions. 228.103 Approval procedure: constr
6、uction within one-half mile (2,640 feet) (804 me-ters). 228.105 Additional requirements; construc-tion within one-third mile (1,760 feet) (536 meters) of certain switching. 228.107 Action on petition. Subpart DElectronic Recordkeeping 228.201 Electronic recordkeeping; general. 228.203 Program compon
7、ents. 228.205 Access to electronic records. 228.207 Training. APPENDIX A TO PART 228REQUIREMENTS OF THE HOURS OF SERVICE ACT: STATEMENT OF AGENCY POLICY AND INTERPRETATION APPENDIX B TO PART 228SCHEDULE OF CIVIL PENALTIES APPENDIX C TO PART 228GUIDELINES FOR CLEAN, SAFE, AND SANITARY RAILROAD PROVID
8、ED CAMP CARS AUTHORITY: 49 U.S.C. 20103, 20107, 21101 21109; Sec. 108, Div. A, Public Law 110432, 122 Stat. 48604866; 49 U.S.C. 21301, 21303, 21304, 21311; 28 U.S.C. 2461, note; 49 CFR 1.49; and 49 U.S.C. 103. SOURCE: 37 FR 12234, June 21, 1972, unless otherwise noted. Subpart AGeneral 228.1 Scope.
9、This part (a) Prescribes reporting and record-keeping requirements with respect to the hours of service of certain railroad employees and certain employees of railroad contractors and subcontrac-tors; and (b) Establishes standards and proce-dures concerning the construction or reconstruction of empl
10、oyee sleeping quarters. 43 FR 31012, July 19, 1978, as amended at 74 FR 25345, May 27, 2009 228.3 Application. (a) Except as provided in paragraph (b) of this section, this part applies to all railroads and contractors and sub-contractors of railroads. (b) This part does not apply to: (1) A railroad
11、 or a contractor or sub-contractor of a railroad that operates only on track inside an installation which is not part of the general rail-road system of transportation; or (2) Rapid transit operations in an urban area that are not connected with the general railroad system of trans-portation. 74 FR
12、25345, May 27, 2009 VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00427 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-418 49 CFR Ch. II (10110 Edition) 228.5 2
13、28.5 Definitions. As used in this part Actual time means either the specific time of day, to the hour and minute, or the precise amount of time spent in an activity, in hours and minutes, that must be included in the hours of duty record, including, where appropriate, reference to the applicable tim
14、e zone and either standard time or daylight savings time. Administrator means the Adminis-trator of the Federal Railroad Admin-istration or any person to whom the Administrator has delegated authority in the matter concerned. Administrative duties means any ac-tivities required by the railroad as a
15、condition of employment, related to re-porting, recording, or providing an oral or written statement related to a cur-rent, previous, or future duty tour. Such activities are considered service for the railroad, and time spent in these activities must be included in the total time on duty for any du
16、ty tour with which it may commingle. At the behest of the employee refers to time spent by an employee in a rail-road-related activity that is not re-quired by the railroad as a condition of employment, in which the employee voluntarily participates. At the behest of the railroad refers to time spen
17、t by an employee in a rail-road-required activity that compels an employee to perform service for the railroad as a condition of employment. Broken (aggregate) service means one or more periods of time on duty within a single duty tour separated by one or more qualifying interim releases. Call and r
18、elease occurs when an em-ploying railroad issues an employee a report-for-duty time, and then releases the employee from the requirement to report prior to the report-for-duty time. Carrier, common carrier, and common carrier engaged in interstate or foreign commerce by railroad mean railroad. Commi
19、ngled service means (1) For a train employee or a signal employee, any non-covered service at the behest of the railroad and per-formed for the railroad that is not sep-arated from covered service by a quali-fying statutory off-duty period of 8 or 10 hours or more. Such commingled service is counted
20、 as time on duty pur-suant to 49 U.S.C. 21103(b)(3) (for train employees) or 49 U.S.C. 21104(b)(2) (for signal employees). (2) For a dispatching service em-ployee, any non-covered service man-dated by the railroad and performed for the railroad within any 24-hour period containing covered service. S
21、uch com-mingled service is counted as time on duty pursuant to 49 U.S.C. 21105(c). Commuting means (1) For a train employee, the time spent in travel (i) Between the employees residence and the employees regular reporting point, and (ii) In railroad-provided or authorized transportation to and from
22、the lodging facility at the away-from-home ter-minal (excluding travel for purposes of an interim release), where such time (including travel delays and room availability) does not exceed 30 min-utes. (2) For a signal employee, the time spent in travel between the employees residence and the employe
23、es head-quarters. (3) For a dispatching service em-ployee, the time spent in travel be-tween the employees residence and any reporting point. Consecutive service is a period of un-broken total time on duty during a duty tour. Covered service means (1) For a train employee, the portion of the employe
24、es time on duty during which the employee is engaged in, or connected with, the movement of a train. (2) For a dispatching service em-ployee, the portion of the employees time on duty during which the em-ployee, by the use of an electrical or mechanical device, dispatches, reports, transmits, receiv
25、es, or delivers an order related to or affecting the move-ment of a train. (3) For a signal employee, the portion of the employees time on duty during which the employee is engaged in in-stalling, repairing, or maintaining a signal system. Covered service assignment means (1) For a train employee, e
26、ach unique assignment of the employee during a VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00428 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-419 Federal Ra
27、ilroad Administration, DOT 228.5 period of covered service that is associ-ated with either a specific train or a specific yard job. (2) For a signal employee, the as-signed duty hours of the employee, in-cluding overtime, or unique trouble call assignments occurring outside the employees assigned du
28、ty hours. (3) For a dispatching service em-ployee, each unique assignment for the employee that occurs within any 24- hour period in which the employee, by the use of an electrical or mechanical device, dispatches, reports, transmits, receives, or delivers orders related to or affecting train moveme
29、nts. Deadheading means the physical relo-cation of a train employee from one point to another as a result of a rail-road-issued verbal or written directive. Designated terminal means the home or away-from-home terminal for the assignment of a particular train crew. Dispatching service employee means
30、 an operator, train dispatcher, or other train employee who by the use of an electrical or mechanical device dis-patches, reports, transmits, receives, or delivers orders related to or affect-ing train movements. Duty location for a signal employee is the employees headquarters or the pre-cise locat
31、ion where the employee is ex-pected to begin performing service for the railroad as defined in 49 U.S.C. 21104(b)(1) and (2). Duty tour means (1) The total of all periods of covered service and commingled service for a train employee or a signal employee occur-ring between two statutory off-duty per
32、i-ods (i.e., off-duty periods of a minimum of 8 or 10 hours); or (2) The total of all periods of covered service and commingled service for a dis-patching service employee occurring in any 24-hour period. Employee means an individual em-ployed by a railroad or a contractor or subcontractor to a rail
33、road who (1) Is actually engaged in or con-nected with the movement of any train, including a person who performs the duties of a hostler; (2) Dispatches, reports, transmits, re-ceives, or delivers an order pertaining to a train movement by the use of tele-graph, telephone, radio, or any other elect
34、rical or mechanical device; or (3) Is engaged in installing, repairing, or maintaining a signal system. Final release is the time that a train employee or a signal employee is re-leased from all activities at the behest of the railroad and begins his or her statutory off-duty period. Headquarters me
35、ans the regular as-signed on-duty location for signal em-ployees, or the lodging facility or crew quarters where traveling signal gangs reside when working at various system locations. Interim release means an off-duty pe-riod applied to train employees only, of at least 4 hours but less than the re
36、-quired statutory off-duty period at a des-ignated terminal, which off-duty period temporarily suspends the accumulation of time on duty, but does not start a new duty tour. Limbo time means a period of time treated as neither time on duty nor time off duty in 49 U.S.C. 21103 and 21104, and any othe
37、r period of service for the railroad that does not qualify as either covered service or commin-gled service. On-duty time means the actual time that an employee reports for duty to begin a covered service assignment. Other-than-regular reporting point means any location where a train em-ployee repor
38、ts to begin or restart a duty tour, that is not the employees regular reporting point. Prior time off means the amount of time that an employee has been off duty between identifiable periods of service at the behest of the railroad. Program edits are filters contained in the logic of an hours of ser
39、vice record-keeping program that detect identifi-able reporting errors made by a report-ing employee at the time of data entry, and prevent the employee from submit-ting a record without first correcting or explaining any identified errors or anomalies. Quick tie-up is a data entry process used only
40、 when an employee is within 3 minutes of, or is beyond, his or her statutory maximum on-duty period, which process allows an employee to enter only the basic information nec-essary for the railroad to identify the beginning of an employees statutory off-duty period, to avoid the excess VerDate Mar20
41、10 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00429 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-420 49 CFR Ch. II (10110 Edition) 228.5 service that would otherwise be in
42、-curred in completing the full record for the duty tour. The information per-mitted in a quick tie-up process is lim-ited to, at a maximum: (1) Board placement time; (2) Relieved location, date, and time; (3) Final release location, date, and time; (4) Contact information for the em-ployee during th
43、e statutory off-duty period; (5) Request for rest in addition to the statutory minimum, if provided by col-lective bargaining agreement or local practice; (6) The employee may be provided an option to enter basic payroll informa-tion, related only to the duty tour being tied up; and (7) Employee cer
44、tification of the tie- up information provided. Railroad means a person providing railroad transportation. Railroad transportation means any form of non-highway ground transpor-tation that runs on rails or electro-magnetic guideways, including com-muter or other short-haul rail pas-senger service in
45、 a metropolitan or suburban area, and 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 tran-sit operations within an urban area that are not connec
46、ted to the general railroad system of transportation. Regular reporting point means the per-manent on-duty location of a train em-ployees regular assignment that is es-tablished through a job bulletin assign-ment (either a job award or a forced as-signment) or through an employees ex-ercise of senio
47、rity to be placed in an assignment. The assigned regular re-porting point is a single fixed location identified by the railroad, even for extra board and pool crew employees. Release means (1) For a train employee, (i) The time within the duty tour that the employee begins an interim release; (ii) T
48、he time that an employee com-pletes a covered service assignment and begins another covered service assign-ment on a different train or job, or (iii) The time that an employee com-pletes a covered service assignment to begin another activity that counts as time on duty (including waiting for deadhea
49、d transportation to another duty location at which the employee will perform covered service, deadheading to duty, or any other com-mingled service). (2) For a signal employee, the time within a duty tour that the employee (i) Completes his or her regular as-signed hours and begins an off-duty pe-riod of at least one hour but less than a statutory off-duty period; or (ii) Completes his or her return trav-el from a trouble call or other unsc
