FRA MOTIVE POWER AND EQUIPMENT COMPLIANCE MANUAL July 2012
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The Motive Power and Equipment Compliance Manual (Compliance Manual) provides guidance to Federal and State Motive Power & Equipment (MP&E) inspectors that ensure compliance with Federal safety laws. Findings of noncompliance with Federal safety laws may result in enforcement action and civil penalty
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THE FOLLOWING CAN BE FOUND IN CHARTERTOCONDUCTOR GOOGLE CLASSROOM AND CHARTERTOCONDUCTOR YOUTUBE CHANNEL
The MP&E inspection program is primarily responsible for
monitoring compliance for the following railroad safety regulations, found in Title 49 Code of
Federal Regulations (CFR):
Part 210 - Railroad Noise Emission Compliance Regulations
Part 215 - Railroad Freight Car Safety Standards
Part 218 - Railroad Operating Practices
Subpart B - Blue Signal Protection of Workers
Subpart D – Prohibition Against Tampering with Safety Devices
Part 221 - Rear End Marking Device - Passenger, Commuter and Freight Trains
Part 223 - Safety Glazing Standards - Locomotives, Passenger Cars, and
Cabooses
Part 224 – Reflectorization of Rail Freight Rolling Stock
Part 229 - Railroad Locomotive Safety Standards
Part 230 - Steam Locomotive Inspection and Maintenance Standards
Part 231 - Railroad Safety Appliance Standards
Part 232 - Brake System Safety Standards for Freight and Other Non-Passenger
Trains and Equipment: End-of-train Devices
Part 238 - Passenger Equipment Safety Standards
Part 239 - Passenger Train Emergency Preparedness
§239.101(6) On-board Emergency Equipment
§239.107 Emergency Exits
The inspector’s first concern is for his or her own safety and that of any accompanying personnel. Inspectors should always remain alert to the dangers of moving equipment and third rail/electrified equipment
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Inspectors should read and be familiar with the Federal Railroad Administration Safety Policy,Procedures, and Recommendations. Copies of this pamphlet are available either from your regional or Headquarters managers, or from an FRA industrial hygienist, as well as in the REGTrieve program.
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Each inspector is encouraged to refer to a booklet published by the FRA called Recommended Safe Work Procedures to assist in the performance of his/her duties.
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Inspectors are not authorized to grant interviews or respond to representatives of the news media regarding FRA activities. If approached by news media personnel, inspectors should refer such personnel to FRA’s Office of Public Affairs (202-493-6024) for handling. This applies to all news organizations including television and radio news stations, as well as newspapers,magazines, Web-based news outlets, and academic. Additionally, this applies to all industry trade publications. Inspectors must not provide the news media with information or opinions as to a probable cause of an accident or incident
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The inspector should maintain a cordial relationship with the railroads, manufacturers of railroad equipment, labor union personnel, and other public or governmental agencies. The inspector must obtain authority from his/her regional supervisor or their representative before cooperation or participation in any project with any of the aforementioned groups or individuals is conducted
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Inspectors can issue a Special Notice for Repairs and should point out any hazardous conditions that could result in an accident should the defective train, locomotive, or car depart without appropriate attention. If a railroad elects to move equipment without taking appropriate action, the inspector should notify their regional office immediately and develop information to pursue civil penalties against the railroad and/or initiate enforcement action against an individual. Especially, if a Special Notice for Repairs has been issued and ignored.
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The “Independent Safety Board Act of 1974” established the National Transportation Safety Board (NTSB) as an independent agency. The NTSB is authorized to investigate railroad accidents and make recommendations based upon the findings of their investigations. If NTSB Investigators arrive on the scene during an accident investigation, FRA inspectors should introduce themselves and promptly contact the regional office to advise of the NTSB’s presence.However, unless instructed otherwise, FRA investigation activities should continue independently.
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The regional supervisors, including the MP&E specialist, are responsible for coordinating special MP&E assignments and activities within the region using national and regional safety data to allocate inspector resources. The regional supervisors, through the MP&E specialist,shall establish priorities appropriate to the urgency and seriousness of any alleged complaint,violation, or incident.
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Each inspector will prepare and maintain an accurate regular inspection point (RIP) list of inspection points for railroads within his/her assigned territory. The RIP list, and any subsequent changes to the list, shall be forwarded to the regional specialist. The specialist is responsible for reviewing regional RIP lists for accuracy.
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When these events occur, Regional Administrators, Deputy Regional Administrators,specialists and inspectors will base their decisions on the following priorities 1. Accident investigations 2. Congressional complaint investigations 3. Waiver petition investigations 4. One-time movement investigations (receives higher priority if the OTM is for clearing major accident site)5. Regular complaint investigations 6. National Safety Program Plan (NSPP) inspection 7. Focused enforcement inspection 8. Sample locomotive/car inspections 9. Steam locomotive - Boiler inspections 10. Site-Specific (Routine) inspections 11. Operation Life Saver presentations
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Congressional Complaints Inspections the inspector has 10 days to complete the investigation and submit a written report of the findings to the regional office.
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All MP&E waiver petitions must be processed through the Washington, DC, headquarters Office. Headquarters will assign a Docket Number and publish the request in the Federal Register and transmit the request to the region for investigation. The region will then assign the waiver petition to an inspector for investigation.
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The inspector will prepare an Inspector Report Form for MP&E Petitions and submit it to the regional office within 30 days. If the waiver petition investigation requires more than 30 days to complete, the inspector will submit a memorandum or e-mail to the regional office detailing the reason for the delay
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All recommendations from the inspector and region must be supported with factual evidence, proof, and/or data, not opinions. CAUTION: The inspector should never disclose to the petitioner what the recommendation will be, as the Railroad Safety Board has the final say
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From time to time, railroads or equipment owners will request that FRA issue a “one-time movement authority” (OTM) to allow a noncomplying cars or locomotives to be moved for a specific purpose under specified conditions ensuring for safety of the movement. It should be noted that FRA considers an OTM to be an exercise of its enforcement discretion in a limited number of specialized circumstances, and the granting of such authority does not relieve a party from any statutory liability applicable to such movements.
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In order to expedite the process, the OTM request may be faxed to FRA’s headquarters in Washington, DC, at (202) 493-6309, or if it is a Regional-Local OTM, the request can be faxed to the appropriate regional office as noted above. The fax cover sheet should be addressed to the attention of the Staff Director, Motive Power & Equipment Division, or the Regional Administrator, accordingly. However, the signed original request letter must in all cases be addressed to the Director of the Office of Safety Assurance and Compliance and mailed to the appropriate address, either headquarters or the appropriate regional office
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Note: All OTMs that are to be made between regions, and any export movements, must be submitted to and processed by headquarters in Washington, DC
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Complaints are generally filed by railroad employees, labor organizations, or the general public.The complaint may be submitted by either formal letter, e-mail, telephonic, or verbal format.Complaints may be referred by other State or Federal agencies. The inspector assigned to a complaint investigation normally knows the identity of the complainant and the names of potentially helpful contacts
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Attention: The complaint investigation must be conducted without revealing to anybody that a complaint is or was under investigation. An inspector may not, under any circumstances,reveal the identity of the complainant to anyone not employed by the FRA
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The region will assign the complaint to an inspector, who will complete the investigation within 60 days. If a complaint investigation cannot be completed in 60 days, the inspector will write a memorandum or e-mail to the regional office explaining the reasons for the delay. Each five days thereafter, until completion of the complaint, the inspector will submit a memorandum or email to the regional office explaining the status of the complaint.
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Car builders that desire to have the FRA review their equipment for compliance with safety appliance standards are to submit their safety appliance arrangement drawings, prints,etc., to the FRA Office of Safety Assurance and Compliance for review, at least 60 days prior to construction. All requests and drawings should be submitted to the following address:Director Office of Safety Assurance and Compliance 1200 New Jersey Avenue, SE West Building, Third Floor, Mail Stop 25 Washington, DC 20590
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The individual assigned to perform the sample car/locomotive inspection shall review in advance the current MP&E Sample Car/Locomotive Inspection Procedure Guidelines, pertinent regulations covering the type of car or locomotive to be inspected, and (if possible) the current Association of American Railroads (AAR) Manual of Standards and Recommended Practices orthe American Public Transit Association (APTA) Standards applicable to the car or locomotive to be inspected. Inspectors should have the necessary equipment to perform the inspection (i.e.,appropriate regulations and standards, gauges, camera, ruler, measuring devices, and the checklist
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FRA Form F6180.4, Special Inspection of Safety Appliance Equipment, will be completed for each type of equipment inspected. Normally a sample car inspection does not require an FRA F6180.96 report. A computerized version of the F6180.4 report, in Word Perfect format, has been developed for use
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The Form F6180.4A, MP&E Safety Concern &Recommendation Report, will be completed for each potentially unsafe condition for tracking of each reportable defect. This F6180.4A, MP&E Safety Concern and Recommendation Report
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MP&E inspectors are not required to announce their presence on railroad property, nor are they required to provide advance notice of an inspection, investigation, follow-up, or surveillance activity. However, advance notice may be necessary to ensure the availability of records,equipment, carrier representatives, and/or persons to be interviewed
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The RISPC Program, F6180.96: Form F6180.96 inspection report preparation is mandatory for all inspections where civil penalty action (a violation report) is recommended. Federal regulations (Ref. 49 CFR § 209.405(a)) require railroads to submit Report of Remedial Action toFRA for all violations 30 days after the end of the calendar month in which notice of violation occurred. To complete the regulatory cycle, inspectors should complete the Remedial Action portion of the inspection report, as soon as the report (railroad copy), is received from the railroad. Inspectors are required to update all inspection reports containing violations as soon as possible. This helps ensure the integrity of FRA’s inspection report database and the regulatory requirement
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FRA Form F 6180.109: This report replaces all other MP&E violation reports previously used in connection with violation reporting of MP&E type violations, except for those associated with Parts 218 and 221. FRA Form F6180.109 is a component of the RISPC program
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FRA Form F6180.67: The Violation of Federal Railroad Safety Regulations form is used to submit violation reports in connection with 49 CFR Part 218 - Subpart C, Blue Signal Protection of Workers, and Part 221 - Rear End Marker Devices. FRA Form F6180.67 is also used for other operating practices violations. Detailed instructions similar to these are also embedded in the RISPC program. Refer to those instructions for completing FRA Form F6180.67. This form behaves in the same manner as FRA Form F6180.109 and resides within the RISPC program
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If photographs are part of the evidence, both the original and second copy of each violation report must have mounted photographs when they are submitted to FRA’s Office of Chief Counsel. This is required so that when one copy is furnished to the respondent, the respondent will have the same evidence that the FRA has in its possession. Copies of digital photographs are acceptable, provided the inspector makes a statement in his/her violation report indicating the digital photographs have not been altered in any way. Photographs that have been altered in any way must not be included as violation evidence.
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Copies of Railroads’ Records: When applicable, the violation report must be accompanied by legible copies of the railroad’s applicable records, containing information that will provide the FRA Office of Chief Counsel with substantiating documentation and a clear understanding of the violation of Federal safety regulations
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As with many agencies of the federal government, the FRA does not extend the “full reach” of most of its regulations as far as the statute permits for either resource or policy reasons. To identify the agency’s current policy regarding the scope of regulatory enforcement for certain types of railroads, FRA developed a set of guidelines. These guidelines are meant to clarify the extent of and proper application for the jurisdiction that the agency chooses to exercise. The purpose for this chapter is to provide enforcement guidance for tourist and excursion railroads
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Tourist railroads are not required to comply with the requirements of either Title 49 CFR Parts 238 or 239. However, tourist railroads that operate on the general system must comply with all statutes and all regulations, unless and until any appropriate waiver has been applied for and granted. Of course, FRA generally lacks authority to waiver statutory requirements.
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Therefore, if the inspector performs an entire inspection of the locomotives on a train, but only inspects one side of the train (Parts 215, 224, 231, or 232), two inspection reports need to be made; one report for activity that received a complete inspection and one report for all activity that only received a partial inspection.
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Two inspection reports should be generated when activity codes for Part 218, Blue Signal Protection, Part 221, Rear Markers, and Part 223,Glazing, are used in conjunction with partial inspections
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Exception. This means documenting the noncomplying condition on the proper form and requiring only that the condition be corrected before using the equipment.
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• Violation. Used in conjunction with the requirements of an exception, a monetary penalty violation can be issued against the railroad
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Special Notice for Repairs. Used in conjunction with the requirements of issuing a violation, equipment not in compliance with 49 CFR parts 215, 229, 230, or 238 can be removed from service until it is in compliance. (See 49 CFR part 216.)
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Individual Liability. Action can be taken against individuals in conjunction with the requirements of an exception and with or without issuing a violation or special notice for repairs against the railroad.
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In addition to Federal regulations, inspectors should be familiar with the Association of American Railroads (AAR) Interchange Rules and the AAR Manual of Standards and Recommended Practices. FRA does not have authority to enforce the AAR Interchange Rules or the AAR Manual of Standards and Recommended Practices. However, the AAR requirements provide valuable insight into railroad equipment and operations as they exist in the industry
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MP&E inspectors must determine whether conditions observed acutely impact the safe operation of the freight equipment. When freight equipment is inspected and deficiencies exist, the inspector must decide whether the defect: Is a Part 215 defect; Should be documented on the F6180.96 - Inspection Report; Warrants the issuance of a violation; Warrants the issuance of a Special Notice for Repair; and/or Should be reported to the railroad as an unsafe condition that is not encompassed in Federal regulations. (This could be either the railroad’s standards or AAR standards
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An individual who willfully authorizes movement or operation of noncomplying or unsafe equipment, with knowledge of the circumstances, can be held personally liable for such action.Inspectors should carefully weigh all pertinent facts before considering a willful violation of Federal regulations and/or an individual liability action. The inspector must communicate with the FRA regional office prior to advising a railroad employee that he or she will be cited with an individual liability violation.
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inspectors should focus Part 215 inspection activities on cars after the railroad’s personnel or agents have had an opportunity to perform their inspection of the cars. However,performing inspections on inbound trains can be advantageous to determine the quality of inspections at previous locations where cars are placed in trains. Inspections should also be performed at any location where cars are routinely picked up and placed in trains
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Part 215 does not apply to any type of car operated in a passenger train that is inspected, tested, maintained, and operated pursuant to the requirements contained in the Passenger Equipment Safety Standards, Part 238
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The Federal Register Notice dated April 21, 1980 (45 FR 26709), states that “FRA has amended 215.5(e)(4) to provide that a car that has been delivered in interchange is not ‘in service’ until the receiving railroad accepts the car by moving it or otherwise exercising control over it. It should be noted, however, that the delivering railroad remains liable for each defective car it tenders in interchange.”
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If the car is prepared as outlined under §215.9, it may be moved to any location designated by the railroad for the purpose of effecting repairs. This does not have to be the nearest or next repair location. The car may be moved to another railroad and can be moved past repair locations. The car must be inspected and cards applied to both sides of the car by a designated inspector, as defined in §215.11, before movement can take place. Movement authority by§215.9 applies only to Part 215 defects, not safety appliance or power brake defects. Failure to observe any condition for movement set forth in §215.9(a) and (c) deprives the railroad of the benefit of the “movement-for-repair” provision and makes the railroad and any responsible individual liable for penalty under the particular regulatory sections that apply to the defective condition. For example, a car with a defective roller bearing adapter travels beyond the repair location designated on the “bad order” card.
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Reports of blue signal inspections are to be made on the Inspection Report, F6180.96. Violations are to be submitted on Form F6180.67.
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Blue signal means a clearly distinguishable blue flag or blue light by day and a blue light at night. When attached to the operating controls of a locomotive, it need not be lighted if the inside of the cab area of the locomotive is sufficiently lighted so as to make the blue signal clearly distinguishable.
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Blue signal means a clearly distinguishable blue flag, blue sign, or blue light. The effectiveness of the blue signal is dependent upon the device being clearly distinguishable to the operator in control of the movement of rolling equipment; therefore, compliance must be evaluated with this in mind.
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Group of workers means two or more workers from the same or different crafts that are assigned to work together as unit or group under a common authority (such as a lead man, roundhouse foreman, or car shop foreman) and all members of the group are in some form of communication with each other while the work is being performed
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49 U.S.C. §20701 (Locomotive Inspection Act) - The power unit and the location of the control stand in the rail grinding sets each constitute a locomotive under the statute, but not the regulations
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49 U.S.C. §20302 (Safety Appliance Act) - The rail grinding sets are a train under the statute, but not the regulations.
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50% equipped brake requirement: Section 20302(a)(5) requires that at least 50% of the vehicles in a train be equipped with power brakes and that all the vehicles on an associated train line that are equipped with power brakes shall have their brakes used and operated by the engineer
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100% operative brake requirement: As all of the units in a rail grinding set are equipped with power brakes and are on an associated train line, the statute requires that 100% of the vehicles in the train have operative brakes unless they are being moved for repair under 49 U.S.C. §20303
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Brake inspections: Because the rail grinding sets are subject to Section 20302(a)(5), FRA expects the railroads and operators of this equipment to have an inspection regimen in place that will ensure that the crews operating the equipment are aware of whether the brakes are in compliance with the applicable statutory requirements
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49 U.S.C. §20303 (Safety Appliance Act) - Section 20303 (which restricts the use and movement of vehicles with defective or inoperative safety appliances) only permits the movement of a vehicle with defective safety appliances to the nearest available place where the necessary repairs can be performed.
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49 CFR Part 231 (Safety Appliance Regulation) - Due to their unique design and purpose, rail grinding sets are considered “cars of special construction” under 49 CFR§ 231.18. Therefore, they are required to have (as nearly as possible based on the design limitations of the vehicle) the same complement of handholds, sill steps, ladders, handbrakes, and running boards as required for a car of the nearest approximate type.
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On-Track Roadway Maintenance Machines and Hi-Rail Vehicles” contains various requirements regarding the safety equipment required to be on such machines as well as provisions related to their design and operation
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Subpart C: “Roadway Worker Protection”includes training requirements that apply to operators of rail grinding sets. These requirements are intended to prevent accidents and casualties
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