1、769 Federal Railroad Administration, DOT Pt. 238 APPENDIX B TO PART 237SCHEDULE OF CIVIL PENALTIES1Continued Section2Violation Willful violation 237.133 Supervision of repairs and modifications . 5,500 10,000 Subpart GDocumentation, Records and Audits of Bridge Management Programs 237.151 Audits; ge
2、neral 2,500 5,000 237.153 Audits of inspections . 2,500 5,000 237.155 Documents and records: (a) Electronic recordkeeping, general . 2,500 5,000 (b) System security . 2,500 5,000 1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to as
3、sess a penalty of up to $100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2The penalty schedule uses section numbers from 49 CFR part 237. If more than one item is listed as a type of violation of a given section, each item is also designated by a penalty code,
4、 which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in it
5、s complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ. PART 238PASSENGER EQUIPMENT SAFETY STANDARDS Subpart AGeneral Sec. 238.1 Purpose and scope. 238.3 Applicability. 238.5 Definitions. 238.7 Waivers. 238.9 Responsibility for compliance. 238.11 Pena
6、lties. 238.13 Preemptive effect. 238.15 Movement of passenger equipment with power brake defects. 238.17 Movement of passenger equipment with other than power brake defects. 238.19 Reporting and tracking of repairs to defective passenger equipment. 238.21 Special approval procedure. 238.23 Informati
7、on collection. Subpart BSafety Planning and General Requirements 238.101 Scope. 238.103 Fire safety. 238.105 Train electronic hardware and soft-ware safety. 238.107 Inspection, testing, and maintenance plan. 238.109 Training, qualification, and designa-tion program. 238.111 Pre-revenue service accep
8、tance test-ing plan. 238.113 Emergency window exits. 238.114 Rescue access windows. 238.115 Emergency lighting. 238.117 Protection against personal injury. 238.119 Rim-stamped straight-plate wheels. 238.121 Emergency communication. 238.123 Emergency roof access. FIGURE 1 TO SUBPART B OF PART 238EXAM
9、-PLE OF LOCATION AND STAGGERING OF EMERGENCY WINDOW EXITS238.113 FIGURE 1A TO SUBPART B OF PART 238EXAM-PLE OF LOCATION OF RESCUE ACCESS WIN-DOWS238.114 FIGURE 1B TO SUBPART B OF PART 238EXAM-PLE OF LOCATION AND STAGGERING OF EMERGENCY WINDOW EXITS AND LOCATION OF RESCUE ACCESS WINDOWS238.113 AND 23
10、8.114 FIGURE 1C TO SUBPART B OF PART 238EXAM-PLE OF A PASSENGER COMPARTMENT IN-CLUDING A VESTIBULE CONNECTED BY AN OPEN PASSAGEWAY AND EXCLUDING A VES-TIBULE SEPARATED BY AN INTERIOR DOOR238.113 AND 238.114 FIGURE 2 TO SUBPART B OF PART 238EXAM-PLE OF A MULTI-LEVEL CAR COMPLYING WITH WINDOW LOCATION
11、 AND STAGGERING REQUIREMENTS238.113 AND 238.114 FIGURE 2A TO SUBPART B OF PART 238EXAM-PLE OF AN INTERMEDIATE LEVEL SEATING AREA OF A MULTI-LEVEL CAR COMPLYING WITH WINDOW LOCATION REQUIREMENTS 238.113 AND 238.114 FIGURE 2B TO SUBPART B OF PART 238EXAM-PLE OF AN INTERMEDIATE LEVEL SEATING AREA OF A
12、MULTI-LEVEL CAR COMPLYING WITH WINDOW LOCATION REQUIREMENTS 238.113 AND 238.114 FIGURE 3 TO SUBPART B OF PART 238EXAM-PLE OF LOCATION AND MARKING OF STRUC-TURAL WEAK POINTS ON ROOF OF PAS-SENGER CAR238.123 Subpart CSpecific Requirements for Tier I Passenger Equipment 238.201 Scope/alternative compli
13、ance. 238.203 Static end strength. 238.205 Anti-climbing mechanism. 238.207 Link between coupling mechanism and car body. 238.209 Forward-facing end structure of lo-comotives, including cab cars and MU lo-comotives. 238.211 Collision posts. 238.213 Corner posts. 238.215 Rollover strength. VerDate Ma
14、r2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00779 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-770 49 CFR Ch. II (10110 Edition) 238.1 238.217 Side structure. 238.219
15、 Truck-to-car-body attachment. 238.221 Glazing. 238.223 Locomotive fuel tanks. 238.225 Electrical system. 238.227 Suspension system. 238.229 Safety appliancesgeneral. 238.230 Safety appliancesnew equipment. 238.231 Brake system. 238.233 Interior fittings and surfaces. 238.235 Doors. 238.237 Automate
16、d monitoring. FIGURE 1 TO SUBPART C OF PART 238 Subpart DInspection, Testing, and Main-tenance Requirements for Tier I Pas-senger Equipment 238.301 Scope. 238.303 Exterior calendar day mechanical inspection of passenger equipment. 238.305 Interior calendar day mechanical in-spection of passenger car
17、s. 238.307 Periodic mechanical inspection of passenger cars and unpowered vehicles used in passenger trains. 238.309 Periodic brake equipment mainte-nance. 238.311 Single car test. 238.313 Class I brake test. 238.315 Class IA brake test. 238.317 Class II brake test. 238.319 Running brake test. 238.3
18、21 Out-of-service credit. Subpart ESpecific Requirements for Tier II Passenger Equipment 238.401 Scope. 238.403 Crash energy management. 238.405 Longitudinal static compressive strength. 238.407 Anti-climbing mechanism. 238.409 Forward end structures of power car cabs. 238.411 Rear end structures of
19、 power car cabs. 238.413 End structures of trailer cars. 238.415 Rollover strength. 238.417 Side loads. 238.419 Truck-to-car-body and truck compo-nent attachment. 238.421 Glazing. 238.423 Fuel tanks. 238.425 Electrical system. 238.427 Suspension system. 238.429 Safety appliances. 238.431 Brake syste
20、m. 238.433 Draft system. 238.435 Interior fittings and surfaces. 238.437 Reserved 238.439 Doors. 238.441 Emergency roof access. 238.443 Headlights. 238.445 Automated monitoring. 238.447 Train operators controls and power car cab layout. FIGURE 1 TO SUBPART EPOWER CAR CAB FORWARD END STRUCTURE CONCEP
21、TUAL IMPLEMENTATION FIGURE 2 TO SUBPART EPOWER CAR CAB REAR END STRUCTURE CONCEPTUAL IM-PLEMENTATION FIGURE 3 TO SUBPART ETRAILER CAR END STRUCTURE CONCEPTUAL IMPLEMENTATION FIGURE 4 TO SUBPART ETRAILER CAR IN- BOARD VESTIBULE END STRUCTURE CON-CEPTUAL IMPLEMENTATION Subpart FInspection, Testing, an
22、d Main-tenance Requirements for Tier II Pas-senger Equipment 238.501 Scope. 238.503 Inspection, testing, and maintenance requirements. 238.505 Program approval procedure. Subpart GSpecific Safety Planning Re-quirements for Tier II Passenger Equip-ment 238.601 Scope. 238.603 Safety planning requireme
23、nts. APPENDIX A TO PART 238SCHEDULE OF CIVIL PENALTIES APPENDIX B TO PART 238TEST METHODS AND PERFORMANCE CRITERIA FOR THE FLAMMA-BILITY AND SMOKE EMISSION CHARACTER-ISTICS OF MATERIALS USED IN PASSENGER CARS AND LOCOMOTIVE CABS APPENDIX C TO PART 238SUSPENSION SYS-TEM SAFETY PERFORMANCE STANDARDS A
24、PPENDIX D TO PART 238REQUIREMENTS FOR EXTERNAL FUEL TANKS ON TIER I LOCO-MOTIVES APPENDIX E TO PART 238GENERAL PRIN-CIPLES OF RELIABILITY-BASED MAINTE-NANCE PROGRAMS APPENDIX F TO PART 238ALTERNATIVE DY-NAMIC PERFORMANCE REQUIREMENTS FOR FRONT END STRUCTURES OF CAB CARS AND MU LOCOMOTIVES AUTHORITY:
25、 49 U.S.C. 20103, 20107, 20133, 20141, 2030220303, 20306, 2070120702, 21301 21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49. SOURCE: 64 FR 25660, May 12, 1999, unless otherwise noted. Subpart AGeneral 238.1 Purpose and scope. (a) The purpose of this part is to pre-vent collisions, derailments, a
26、nd other occurrences involving railroad pas-senger equipment that cause injury or death to railroad employees, railroad passengers, or the general public; and to mitigate the consequences of such VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00780 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220
27、215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-771 Federal Railroad Administration, DOT 238.5 occurrences to the extent they cannot be prevented. (b) This part prescribes minimum Federal safety standards for rail
28、road passenger equipment. This part does not restrict a railroad from adopting and enforcing additional or more strin-gent requirements not inconsistent with this part. (c) Railroads to which this part ap-plies shall be responsible for compli-ance with all of the requirements con-tained in 238.15, 2
29、38.17, 238.19, 238.107, 238.109, and subpart D of this part effec-tive January 1, 2002. (1) A railroad may request earlier ap-plication of the requirements con-tained in 238.15, 238.17, 238.19, 238.107, 238.109, and subpart D upon written no-tification to FRAs Associate Adminis-trator for Safety. Su
30、ch a request shall indicate the railroads readiness and ability to comply with all of the provi-sions referenced in paragraph (c) intro-ductory text of this section. (2) Except for paragraphs (b) and (c) of 238.309, a railroad may specifically request earlier application of the main-tenance and test
31、ing provisions con-tained in 238.309 and 238.311 simulta-neously. In order to request earlier ap-plication of these two sections, the railroad shall indicate its readiness and ability to comply with all of the provi-sions contained in both of those sec-tions. (3) Paragraphs (b) and (c) of 238.309 ap
32、ply beginning September 9, 1999. 64 FR 25660, May 12, 1999, as amended at 65 FR 41305, July 3, 2000; 67 FR 19989, Apr. 23, 2002 238.3 Applicability. (a) Except as provided in paragraph (c) of this section, this part applies to all: (1) Railroads that operate intercity or commuter passenger train ser
33、vice on standard gage track which is part of the general railroad system of trans-portation; and (2) Railroads that provide commuter or other short-haul rail passenger train service in a metropolitan or suburban area as described by 49 U.S.C. 20102(1), including public authorities operating passenge
34、r train service. (b) Railroads that permit to be used or hauled on their lines passenger equipment subject to this part, in vio-lation of a power brake provision of this part or a safety appliance provi-sion of this part, are subject to the power brake and safety appliance pro-visions of this part w
35、ith respect to such operations. (c) This part does not apply to: (1) Rapid transit operations in an urban area that are not connected to the general railroad system of trans-portation; (2) A railroad that operates only on track inside an installation that is not part of the general railroad system o
36、f transportation; (3) Tourist, scenic, historic, or excur-sion operations, whether on or off the general railroad system of transpor-tation; or (4) Circus trains. 238.5 Definitions. As used in this part AAR means the Association of Amer-ican Railroads. APTA means the American Public Transit Associat
37、ion. Actuator means a self-contained brake system component that gen-erates the force to apply the brake shoe or brake pad to the wheel or disc. An actuator typically consists of a cyl-inder, piston, and piston rod. Administrator means the Adminis-trator of the Federal Railroad Admin-istration or th
38、e Administrators dele-gate. Alerter means a device or system in-stalled in the locomotive cab to pro-mote continuous, active locomotive en-gineer attentiveness by monitoring se-lect locomotive engineer-induced con-trol activities. If fluctuation of a mon-itored locomotive engineer-induced control ac
39、tivity is not detected within a predetermined time, a sequence of audible and visual alarms is activated so as to progressively prompt a re-sponse by the locomotive engineer. Failure by the locomotive engineer to institute a change of state in a mon-itored control, or acknowledge the alerter alarm a
40、ctivity through a man-ual reset provision, results in a penalty brake application that brings the loco-motive or train to a stop. Anti-climbing mechanism means the parts at the ends of adjoining vehicles VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00781 Fmt 8010 Sfmt 8010 Y:SGML220215
41、.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-772 49 CFR Ch. II (10110 Edition) 238.5 in a train that are designed to engage when subjected to large buff loads to prevent the override of one vehicle by a
42、nother. Bind means restrict the intended movement of one or more brake system components by obstruction, increased friction, or reduced clearance. Block of cars means one car or mul-tiple cars in a solid unit coupled to-gether for the purpose of being added to, or removed from, a train as a solid un
43、it. Brake, air or power brake means a combination of devices operated by compressed air, arranged in a system, and controlled manually, electrically, or pneumatically, by means of which the motion of a rail car or locomotive is retarded or arrested. Brake, disc means a retardation sys-tem used on so
44、me rail vehicles, pri-marily passenger equipment, that uti-lizes flat metal discs as the braking surface instead of the wheel tread. Brake, dynamic means a train braking system whereby the kinetic energy of a moving train is used to generate elec-tric current at the locomotive traction motors, which
45、 is then dissipated through banks of resistor grids or back into the catenary or third rail system. Brake, effective means a brake that is capable of producing its required de-signed retarding force on the train. A brake is not effective if its piston trav-el is in excess of the maximum pre-scribed
46、limits. On vehicles equipped with nominal 12-inch stroke brake cyl-inders, the brake is not effective if its piston travel exceeds 1012 inches. Brake indicator means a device, actu-ated by brake cylinder pressure, which indicates whether brakes are applied or released. Brake, inoperative means a pri
47、mary brake that, for any reason, no longer applies or releases as intended or is otherwise ineffective. Brake, on-tread friction means a brak-ing system that uses a brake shoe that acts on the tread of the wheel to retard the vehicle. Brake, parking or hand brake means a brake that can be applied an
48、d released by hand to prevent movement of a sta-tionary rail car or locomotive. Brake pipe means the system of pip-ing (including branch pipes, angle cocks, cutout cocks, dirt collectors, hoses, and hose couplings) used for con-necting locomotives and all rail cars for the passage of air to control
49、the lo-comotive and car brakes. Brake, power means air brake as that term is defined in this section. Brake, primary means those compo-nents of the train brake system nec-essary to stop the train within the sig-nal spacing distance without thermal damage to friction braking surfaces. Brake, secondary means those compo-nents of the train brake system which develop supplemental brake retarding force that is
