§ 238.15 Movement of passenger equipment with power brake defects. Beginning on January 1, 2002, the following provisions of this section apply to railroads operating Tier I passenger equipment covered by this part. A railroad may request earlier application of these requirements upon written notification to FRA's Associate Administrator for Safety as provided in § 238.1(c) of this part. ( a ) *General.* This section contains the requirements for moving passenger equipment with a power brake defect without liability for a civil penalty under this part. Railroads remain liable for the movement of passenger equipment under 49 U.S.C. 20303(c). For purposes of this section, § 238.17, and § 238.503, a “power brake defect” is a condition of a power brake component, or other primary brake component, that does not conform with this part. (Passenger cars and other passenger equipment classified as locomotives under part 229 of this chapter are also covered by the movement restrictions contained in § 229.9 of this chapter for those defective conditions covered by part 229 of this chapter.)
( b ) *Limitations on movement of passenger equipment containing a power brake defect at the time a Class I or IA brake test is performed.* Except as provided in paragraph (c) of this section (which addresses brakes that become defective en route after a Class I or IA brake test was performed), a commuter or passenger train that has in its consist passenger equipment containing a power brake defect at the time that a Class I or IA brake test (or, for Tier II trains, the equivalent) is performed may only be moved, without civil penalty liability under this part— ( 1 ) If all of the following conditions are met: ( i ) The train is moved for purposes of repair, without passengers;
( ii ) The applicable operating restrictions in paragraphs (d) and (e) of this section are observed; and
( iii ) The passenger equipment is tagged, or information is recorded, as prescribed in paragraph (c)(2) of this section; or
( 2 ) If the train is moved for purposes of scrapping or sale of the passenger equipment that has the power brake defect and all of the following conditions are met: ( i ) The train is moved without passengers;
( ii ) The movement is at a speed of 15 mph or less; and
( iii ) The movement conforms with the railroad's air brake or power brake instructions.
( c ) *Limitations on movement of passenger equipment in passenger service that becomes defective en route after a Class I or IA brake test.* Passenger equipment hauled or used in service in a commuter or passenger train that develops inoperative or ineffective power brakes or any other power brake defect while en route to another location after receiving a Class I or IA brake test (or, for Tier II trains, the equivalent) may be hauled or used by a railroad for repair, without civil penalty liability under this part, if the applicable operating restrictions set forth in paragraphs (d) and (e) of this section are complied with and all of the following requisites are satisfied: ( 1 ) *En route defect.* At the time of the train's Class I or IA brake test, the passenger equipment in the train was properly equipped with power brakes that comply with this part. The power brakes on the passenger equipment become defective while it is en route to another location.
( 2 ) *Record.* A tag or card is placed on both sides of the defective passenger equipment, or an automated tracking system is provided, with the following information about the defective passenger equipment: ( i ) The reporting mark and car or locomotive number;
( ii ) The name of the inspecting railroad;
( iii ) The name of the inspector;
( iv ) The inspection location and date;
( v ) The nature of each defect;
( vi ) The destination of the equipment where it will be repaired; and
( vii ) The signature, if possible, and job title of the person reporting the defective condition.
( 3 ) *Automated tracking system.* Automated tracking systems used to meet the tagging requirements contained in paragraph (c)(2) of this section may be reviewed and monitored by FRA at any time to ensure the integrity of the system. FRA's Associate Administrator for Safety may prohibit or revoke a railroad's ability to utilize an automated tracking system in lieu of tagging if FRA finds that the automated tracking system is not properly secure, is inaccessible to FRA or a railroad's employees, or fails to adequately track or monitor the movement of defective equipment. Such a determination will be made in writing and will state the basis for such action.
( 4 ) *Conditional requirement.* In addition, if an en route failure causes power brakes to be cut out or renders the brake inoperative on passenger equipment, the railroad shall: ( i ) Determine the percentage of operative power brakes in the train based on the number of brakes known to be cut out or otherwise inoperative, using the formula specified in paragraph (d)(1) of this section;
( ii ) Notify the person responsible for the movement of trains of the percent of operative brakes and movement restrictions on the train imposed by paragraph (d) of this section;
( iii ) Notify the mechanical department of the failure; and
( iv ) Confirm the percentage of operative brakes by a walking inspection at the next location where the railroad reasonably judges that it is safe to do so.
( d ) *Operating restrictions based on percent operative power brakes in train* — ( 1 ) *Computation of percent operative power brakes.* ( i ) Except as specified in paragraphs (d)(1)(ii) and (iii) of this section, the percentage of operative power brakes in a train shall be determined by dividing the number of axles in the train with operative power brakes by the total number of axles in the train.
( ii ) For trains equipped with only tread brake units (TBUs), the percentage of operative power brakes shall be determined by dividing the number of operative TBUs by the total number of TBUs in the train.
( iii ) Each cut-out axle on a locomotive that weighs more than 200,000 pounds shall be counted as two cut-out axles for the purposes of calculating the percentage of operative brakes. Unless otherwise specified by the railroad, the friction braking effort over all other axles shall be considered uniform.
( iv ) The following brake conditions not in compliance with this part do not render power brakes inoperative for purposes of this calculation: ( A ) Failure or cutting out of secondary brake systems;
( B ) Inoperative or otherwise defective handbrakes or parking brakes;
( C ) Piston travel that is in excess of the Class I brake test limits required in § 238.313 but that does not exceed the maximum prescribed limits for considering the brakes to be effective; and
( D ) Power brakes overdue for inspection, testing, maintenance, or stenciling under this part.
( 2 ) *All passenger trains developing 50-74 percent operative power brakes.* A passenger train that develops inoperative power brake equipment resulting in at least 50 percent but less than 75 percent operative power brakes may be used only as follows: ( i ) The train may be moved in passenger service only to the next forward passenger station;
( ii ) The speed of the train shall be restricted to 20 mph or less; and
( iii ) After all passengers are discharged, the defective equipment shall be moved to the nearest location where the necessary repairs can be made.
( 3 ) *Commuter, short-distance intercity, and short-distance Tier II passenger trains developing 75-99 percent operative power brakes.* ( i ) *75-84 percent operative brakes.* Commuter, short-distance intercity, and short-distance Tier II passenger trains which develop inoperative power brake equipment resulting in at least 75 percent but less than 85 percent operative brakes may be used only as follows: ( A ) The train may be moved in passenger service only to the next forward location where the necessary repairs can be made; however, if the next forward location where the necessary repairs can be made does not have the facilities to handle the safe unloading of passengers, the train may be moved past the repair location in service only to the next forward passenger station in order to facilitate the unloading of passengers; and
( B ) The speed of the train shall be restricted to 50 percent of the train's maximum allowable speed or 40 mph, whichever is less; and
( C ) After all passengers are discharged, the defective equipment shall be moved to the nearest location where the necessary repairs can be made.
( ii ) *85-99 percent operative brakes.* Commuter, short-distance intercity, and short-distance Tier II passenger trains which develop inoperative power brake equipment resulting in at least 85 percent but less than 100 percent operative brakes may only be used as follows: ( A ) The train may be moved in passenger service only to the next forward location where the necessary repairs can be made; however, if the next forward location where the necessary repairs can be made does not have the facilities to handle the safe unloading of passengers, the train may be moved past the repair location in service only to the next forward passenger station in order to facilitate the unloading of passengers; and
( B ) After all passengers are discharged, the defective equipment shall be moved to the nearest location where the necessary repairs can be made.
( 4 ) *Long-distance intercity and long-distance Tier II passenger trains developing 75-99 operative power brakes.* ( i ) *75-84 percent operative brakes.* Long-distance intercity and long-distance Tier II passenger trains which develop inoperative power brake equipment resulting in at least 75 percent but less than 85 percent operative brakes may be used only if all of the following restrictions are observed: ( A ) The train may be moved in passenger service only to the next forward repair location identified for repair of that equipment by the railroad operating the equipment in the list required by § 238.19(d); however, if the next forward repair location does not have the facilities to handle the safe unloading of passengers, the train may be moved past the designated repair location in service only to the next forward passenger station in order to facilitate the unloading of passengers; and
( B ) The speed of the train shall be restricted to 50 percent of the train's maximum allowable speed or 40 mph, whichever is less; and
( C ) After all passengers are discharged, the defective equipment shall be moved to the nearest location where the necessary repairs can be made.
( ii ) *85-99 percent operative brakes.* Long-distance intercity and long-distance Tier II passenger trains which develop inoperative power brake equipment resulting in at least 85 percent but less than 100 percent operative brakes may be used only if all of the following restrictions are observed: ( A ) The train may be moved in passenger service only to the next forward repair location identified for repair of that equipment by the railroad operating the equipment in the list required by § 238.19(d); however, if the next forward repair location does not have the facilities to handle the safe unloading of passengers, the train may be moved past the designated repair location in service only to the next forward passenger station in order to facilitate the unloading of passengers; and
( B ) After all passengers are discharged, the defective equipment shall be moved to the nearest location where the necessary repairs can be made.
( e ) *Operating restrictions on passenger trains with inoperative power brakes on the front or rear unit.* If the power brakes on the front or rear unit in any passenger train are completely inoperative the following shall apply: ( 1 ) If the handbrake is located inside the interior of the car: ( i ) A qualified person shall be stationed at the handbrake on the unit;
( ii ) The car shall be locked-out and empty except for the railroad employee manning the handbrake; and
( iii ) Appropriate speed restrictions shall be placed on the train by a qualified person;
( 2 ) If the handbrake is located outside the interior of the car or is inaccessible to a qualified person: ( i ) The car shall be locked-out and empty;
( ii ) The speed of the train shall be restricted to 20 mph or less; and
( iii ) The car shall be removed from the train or repositioned in the train at the first location where it is possible to do so.
( f ) *Special Notice for Repair.* Nothing in this section authorizes the movement of passenger equipment subject to a Special Notice for Repair under part 216 of this chapter unless the movement is made in accordance with the restrictions contained in the Special Notice.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000; 67 FR 19990, Apr. 23, 2002]