FMCSA Roadability Rules and
UPRR Ramp Rules, Policies, Procedures Union Pacific Railroad June 2, 2010

UPRR_Roadability 6.2.10


FMCSA Roadability Rules and Regulations

2009_12-Roadability-PicA. Regulatory Requirements – IEP’s As a result of the FMCSA rulemaking in Docket No. FMCSA 2005-23315, ocean carriers, railroads, chassis pool operators and other Intermodal Equipment Providers (IEP’s) will for the first time be subject to the Federal Motor Carrier Safety Regulations. Additionally, the final rule establishes shared safety responsibility among IEP’s, motor carriers and drivers. Specifically, as mandated by section 4118 of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), the regulations will require IEPs to:

  • Establish a systematic inspection, repair, and maintenance program to ensure the safe operating condition of each intermodal container chassis;
  • Maintain documentation of the program;
  • Display the USDOT Number, or other unique identifier, on each intermodal container chassis offered for transportation in interstate commerce;
  • Provide a means to effectively respond to driver and motor carrier reports about intermodal container chassis mechanical defects and deficiencies; and,
  • Ensure that intermodal chassis are roadable before the equipment is made available to the driver for transport.

Intermodal Equipment Providers will be subject to on-site reviews to ensure compliance with the new rules. Penalties for violating these rules range from civil fines to a prohibition on providing or operating intermodal equipment found to pose an imminent hazard.

B. Regulatory Requirements – Motor Carriers

Motor Carriers are required to inspect and report any Roadability Component Defect (s) (RCD) (see list below) to the IEP at the completion of each days work.

C. Equipment Covered – All Chassis When used here, the term “chassis” and “Equipment” are used interchangeably.

D. Affected Parties – Motor Carriers, Intermodal Equipment Providers, UPRR Maintenance and Repair Vendors.

E. Registration Requirements

1) All IEP’s

a) Equipment must be registered in IANA’s Global Intermodal Equipment Register (GIER).
b) UPRR will assume that all IEP’s will use IANA’s System to prepare and transmit Driver Vehicle Inspection Reports (DVIR’s) unless otherwise advised and agreed upon.

2) All Drivers

a) Must be registered in IANA’s Intermodal Driver Data Base (IDD).

F. Inspectors on UPRR Property

1) Under the new Regulations, Federal and /or State Inspectors will have the right to audit our inspection, repair and maintenance records for RCD compliance.

a) Upon notice that any inspection is being requested by these authorized inspectors, the IEP must notify Dan Klaus, UP’s Director of Intermodal Maintenance, for further instructions. (402-544-6697), DKlaus@UP.com

UPRR Ramp Rules, Policies, ProceduresUP Ramp Rules

Effective June 30, 2010 the following Rules, Procedures, and Policies will govern the application of FMCSA regulations at Union Pacific Intermodal and UPRR CY Facilities.

Acronyms used Throughout

 DVER Driver Vehicle Examination Report
 DVIR Driver Vehicle Inspection Report
 EIR Equipment Inspection Report
 FMCSA Federal Motor Carrier Safety Administration
 GIER Global Intermodal Equipment Register
 IANA Intermodal Association of North America
 IDD Intermodal Driver Data Base
 IEP Intermodal Equipment Provider
 IIM Intermodal Inventory Management System
 IME Intermodal Equipment
 RCD Roadability Component Defect
 UP or UPRR Union Pacific Railroad

I. At Time of In – Gate – Electronic – AGS Gates or Standard Gates – Non Virtual Reporting

1) At the time of In-Gate, all Drivers must report any Roadability Component Defect (RCD) (see list of RCD’s below).

a) At AGS Gates, Gate Stands are programmed to accept this information via Key Pad. The Driver will be prompted for Yes or No to RCD. If Yes, the Driver will be further prompted for the specific RCD information.b) At Standard Gates, UPRR gate personnel will query the Driver verbally and record the information as outlined in 1a) above.

2) If no RCD to report, Drivers will declare “No RCD”.

a) At AGS Gates, Gate Stands are programmed to accept this information via Key Pad.

b) At Standard Gates, UPRR gate personnel will query the Driver verbally and record the RCD information.

3) UPRR will record specific required information. This information includes:

a) Date/time of gate transaction (system generated).

b) Alpha-numeric equipment identification number (Electronic or gate personnel generated).

c) Motor Carrier SCAC – (system generated).

d) Driver’s license number/ license state (Biometric or gate personnel generated).

e) Location of interchange (system generated).g) “No RCD” (Driver provided).

f) “Yes RCD” RCD information (Driver provided).

4) UPRR will furnish the Driver with a copy of the J1 Interchange and Inspection Report with all Driver reported Roadability Component Defect(s).

a) The reporting of RCD’s by the Driver is an in-gate reporting responsibility separate from Damage reporting. At Non-AGS Gates, Inspections will document other Non-RCD defects (Damages).

5) “No Roadability Component Defect” will be documented if no RCD’s are reported by the Driver.

6) UPRR will transmit the DVIR information collected at the in-gate to IANA or other Intermodal Equipment Provider’s (IEP’s) database, for DVIR completion.

7) IANA or the IEP’s database will prepare the DVIR and electronically transmit the completed DVIR to the registered IEP.

8) UPRR will automatically place all Equipment identified with RCD’s in bad order Hold status.

9) UPRR will not release Equipment from Hold (no outgate allowed) until the IEP or its Agent releases the equipment from bad order status.

a) After the IEP or its Agent inspects and repairs equipment as may be required, IEP or its Agent will electronically certify by use of UPRR’s IIM Web based system that the Equipment has been inspected and or repaired.

II. Pre – In Gate Reporting by Driver – Virtual Reporting

1) IEP’s may elect to have Drivers or Motor Carriers report RCD’s to IANA or other IEP’s Systems prior to arriving at UPRR’s Intermodal Facilities

2) If IANA Databases/Systems/Process is utilized, IANA will electronically transmit the DVIR information to UPRR ahead of actual In-Gate movement.

a) UPRR will not accept DVIR information that is received after the actual in-gate date/time of the Equipment.

3) UPRR will hold this DVIR information in its computer system. When the equipment/unit arrives at the UPRR’s Facility, this DVIR information will automatically match the in gate record and produce an Equipment Inspection Report (EIR) documenting the RCD information to the Driver.

a) If no Pre-In-gate DVIR reporting is available to the UPRR at the time of in-gate, Drivers will be prompted for RCD information as outlined in the Non-Virtual In-Gate process outlined above.

4) UPRR will automatically place all Equipment identified with RCD’s in bad order Hold status.

5) UPRR will not release equipment from Hold (no outgate allowed) until the IEP or its Agent releases the Equipment from bad order hold status.

a) After the IEP or its Agent inspects and repairs Equipment as may be required, IEP or its Agent will electronically certify that chassis have been inspected and or repaired by use of UPRR’s IIM Web Based system.

Roadability Component Defects (RCDs)

Alignment of 49 CFR Sections 392.7 (b) and 396.11 (a) (2) inspection component items, via December 29, 2009 Technical Amendments published in the Federal Register at 74 Fed. Reg. 68703. Corrected ordering of items:

01) Brakes – Brakes

02) Lights – Lighting devices, lamps, markers, and conspicuity marking material

03) Wheel – Wheels, rims, lugs, tires

04) Air Line – Air line connections, hoses, and couplers

05) Coupling – King pin upper coupling device

06) Frame – Rails or support frames

07) Bolster – Tie down bolsters

08) Fastener – Locking pins, clevises, clamps, or hooks

09) Slider – Sliders or sliding frame lock

10) No Defect

III. Pre – Out-Gate Inspections

1) Drivers are required to perform a pre trip inspection of all Equipment prior to taking Equipment onto the highway.

a) UPRR will provide sufficient space for drivers to perform the required pre-trip inspection of the Equipment.

b) Drivers will document these inspections and maintain them for their records.

2) Any RCD’s that are noted during the inspection process are to be handled in the following manner:

a) Operate the Equipment to the Roadability Lane.

b) Report the Defect to the IEP’s Mechanical Repair Vendor
(Mechanical Repair Vendor to place unit in bad order hold in UPRR’s Intermodal Inventory Management System (IIM)

c) Receive advice regarding the ability of the M&R Vendor to repair the RCD and either

1) Wait for the Repair to be completed (M&R Vendor to release chassis from bad order Hold in UPRR’s IIM Web Based system). Or

2) Request a Flip from the available UPRR manager on duty (Max 30 minute wait). Or

3) Leave the Equipment on the Facility until repairs can be made.

Equipment with any reported RCD will not be allowed to take the Equipment out the UPRR gate. RCD information will not be accepted at the time of out-gate. Driver will be sent back to the Roadability Lane for inspection and Repairs if required after the inspection.

IV. Driver Vehicle Examination Report (DVER) Handling

1) Drivers may be stopped and inspected by Federal or State inspectors that may find RCD’s while the Driver is on the highway.

2) If a DVER is prepared by the Federal or State Inspector, then a copy of the DVER is required to be furnished to the Driver’s Motor Carrier. The Motor Carrier is required to transmit the DVER document to the appropriate IEP within 24 hours of receipt.

3) No DVER documents will be accepted or collected at UPRR’s gates regardless if the IEP is the UPRR or other Company.

a) However, if the RCD is not repaired after the DVER was issued but prior to in-gate, the Driver is responsible to report a RCD using either the Virtual or Non-Virtual reporting as outlined above.

4) The Motor Carrier will be notified to send DVER’s representing any chassis registered in GIER as UPRR as the IEP to our Asset Group in Omaha for their further handling via one of the following:

  • Facsimile (402) 271-4053

a) DVER’s will be accepted from Motor Carriers only via Facsimile or EMAIL transmission to UPRR’s Asset Team in Omaha. (EMAIL Address and Phone Numbers above only)

5) Upon receipt of the DVER by the Omaha Asset Team, the Omaha Asset Team will immediately enter a “DVER RCD Hold” in TCS for the specific chassis.
6) The DVER document will be held by our Asset Team for further handling as outlined below.
7) If a Road repair was made to the chassis after a DVER was issued, the Road Service Vendor will send a completed work order within 48 hrs of repair to Dan Klaus, Director of Intermodal Maintenance, via one of the following:

  • Facsimile transmission (402) 271-4054
  • EMAIL transmission ROADABILITY@UP.COM.

8) UPRR’s Mechanical Repair Vendor will review the daily TCS/Oasis “DVER RCD Hold” and arrange to prioritize the inspection and required repairs for the chassis for RCD’s.

a) The inspection, repair and/or record of no repair must be made within 48 hours and documented by the Repair Vendor. When complete, the mechanical completed work order of inspection and/or repairs must be sent within 48 hours from date of repair to Dan Klaus, Director of Intermodal Maintenance via one of the following:

  • Facsimile transmission (402) 271-4054

9) The Omaha Mechanical Team will match the mechanical inspection and/or repair information with the DVER and send the completed report to the issuing agency within 15 days from the original inspection date by the issuing agency.a) A complete copy of the paperwork will be maintained by our Omaha Mechanical Team.

The above procedures does not modify or negate any existing mechanical procedures in effect including the inspection, repair, and invoicing of damages and other repairs.

UPRR’s Mechanical Repair Vendors will not handle inspections, repairs, or invoicing of RCD’s for chassis where UPRR is not the IEP.

a) UPRR may share the same Mechanical Repair Vendor at geographic locations. However, each will have a separate contract with the foreign IEP’s and will be under the direction and control of the specific IEP who is registered in GIER.

V. UPRR’s Systematic Maintenance Program

In compliance with the Roadability Requirements, as outlined in UPRRs Ramp Rules, Policies, and Procedures dated May 28, 2010, Union Pacific Railroad supports the following “Systematic Maintenance Program”.

  1. All UPRR chassis (i.e., UPRR is the IEP) must be inspected using the criteria outlined below.
  2. Inspections are required a minimum of every twelve months.
  3. All inspections/repairs must be reported through the Union Pacific electronic billing system with all required information.
  4. Inspection Criteria is outlined below:


Inspection Items Inspection Criteria
License and Registration Check for valid license and registration
Lights Missing, Broken, or Inoperative
Wiring Bare/exposed Wire, cut, or frayed
Reflectors/Conspicuity Marking Material   Broken, Missing, Loose
Brakes Worn or Cracked Lining(s). Cracked/Broken/Leaking
Check and lubricate moving parts as required. Test ABS
system and indicator lamp.
Air Lines Cut/missing Glad Hand Gaskets. Loose, cut, leaking air
hoses and connections
Kingpin Check for bent, cracked, chipped king pin. Gauge with
go/no go gauge for excessive wear.
Tires Check tread, clearance, condition, pressure, and valve
Wheels & Rims Visual inspection of Wheel & Rims looking for gouges,
chips, worn
lock rings, clamps, nuts, and spacers.
Frame & Assembly Check mainrails, gooseneck, and X members for cracks or
welds. Check sub-frame and sliding lock pins for proper
operation and engagement.
Suspension Check ‘U’ bolts, hangers, springs, radius rods, and axles
to insure they are not bent, broken, cracked.
Axles Check for leaking (grease or oil) at end cap. (Small
accumulation may be normal) Check for broken, cracked, missing hub

5) Once the inspection/repair is completed, a decal containing the following information must be affixed the front bolster.

a) Date and location of inspection and name of company performing inspection.

6) Inspection and Repair records will be maintained by UPRR’s Central Database at UPRR’s St. Louis, Illinois Facility.

VI. Definitions

  1. Intermodal Equipment Provider: Any person that interchanges intermodal equipment with a motor carrier pursuant to a written interchange agreement or has the contractual responsibility for the maintenance of the intermodal equipment.
  2. Intermodal Equipment: Trailing equipment that is used in the intermodal transportation of containers over public highways in interstate commerce, including trailers and chassis.
  3. Intermodal Equipment Interchange: The Uniform Intermodal Interchange and Facilities Access Agreement (UIIFA) or any other written document executed by an intermodal provider or its agent, the primary purpose of which is to establish the responsibility and liabilities of both parties with respect to the interchange of the intermodal equipment.
  4. Interchange: The act of providing intermodal equipment to a motor carrier pursuant to an intermodal equipment interchange agreement for the purpose of transporting the equipment for loading or unloading by any person or repositioning the equipment for the benefit of the equipment provider, but it does not include the leasing of equipment to a motor carrier for primary use in the motor carrier’s freight hauling operation.
  5. Equipment: A Chassis used for transporting an intermodal container