Pt. 238 49 CFR Ch. II (10–1–20 Edition)

(b) Provisions for a complete inventory of ical deficiency, repair, modification or ad- bridges that carry the owner’s track, to in- verse event and should include: clude the following information on each (1) A listing of qualifications of personnel bridge: permitted to authorize train operations fol- (1) A unique identifier, such as milepost lo- lowing an adverse event; and cation and a subdivision code; (2) Detailed internal program audit proce- (2) The location of the bridge by nearest dures to ensure compliance with the provi- town or station, and geographic coordinates; sions of the program. (3) The name of the geographic features crossed by the bridge; (4) The number of tracks on the bridge; PART 238—PASSENGER EQUIPMENT (5) The number of spans in the bridge; SAFETY STANDARDS (6) The lengths of the spans; (7) Types of construction of: Subpart A—General (i) Substructure; (ii) Superstructure; and Sec. (iii) Deck; 238.1 Purpose and scope. (8) Overall length of the bridge; 238.3 Applicability. (9) Dates of: 238.5 Definitions. (i) Construction; 238.7 Waivers. (ii) Major renovation; and 238.9 Responsibility for compliance. (iii) Strengthening; and 238.11 Penalties. (10) Identification of entities responsible 238.13 Preemptive effect. for maintenance of the bridge or its different 238.15 Movement of passenger equipment components. with power brake defects. (c) Known capacity of its bridges as deter- 238.17 Movement of passenger equipment mined by rating by competent railroad with other than power brake defects. bridge engineer or by design documents; 238.19 Reporting and tracking of repairs to (d) Procedures for the control of movement defective passenger equipment. of high, wide or heavy loads exceeding the 238.21 Special approval procedure. nominal capacity of bridges; 238.23 Information collection. (e) Instructions for the maintenance of per- manent records of design, construction, modification, and repair; Subpart B—Safety Planning and General (f) Railroad-specific procedures and stand- Requirements ards for design and rating of bridges; 238.101 Scope. (g) Detailed bridge inspection policy, in- 238.103 Fire safety. cluding: 238.105 Train electronic hardware and soft- (1) Inspector qualifications; including: ware safety. (i) Bridge experience or appropriate edu- cational training; 238.107 Inspection, testing, and maintenance (ii) Training on bridge inspection proce- plan. dures; and 238.109 Training, qualification, and designa- (iii) Training on Railroad Workplace Safe- tion program. ty; and 238.111 Pre-revenue service acceptance test- (2) Type and frequency of inspection; in- ing plan. cluding: 238.112 Door emergency egress and rescue (i) Periodic (at least annually); access systems. (ii) Underwater; 238.113 Emergency window exits. (iii) Special; 238.114 Rescue access windows. (iv) Seismic; and 238.115 Emergency lighting. (v) Cursory inspections of overhead bridges 238.117 Protection against personal injury. that are not the responsibility of the rail- 238.119 Rim-stamped straight-plate wheels. road; 238.121 Emergency communication. (3) Inspection schedule for each bridge; 238.123 Emergency roof access. (4) Documentation of inspections; includ- 238.125 Marking and instructions for emer- ing: gency egress and rescue access. (i) Date; 238.127 Low-location emergency exit path (ii) Name of inspector; marking. (iii) Reporting Format; and 238.131 Exterior side door safety systems— (iv) Coherence of information; new passenger cars and locomotives used (5) Inspection Report Review Process; in passenger service. (6) Record retention; and 238.133 Exterior side door safety systems— (7) Tracking of critical deficiencies to reso- all passenger cars and locomotives used lution; and in a passenger service. (h) Provide for the protection of train oper- 238.135 Operating practices for exterior side ations following an inspection, noting a crit- door safety systems.

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238.137 Mixed consist; operating equipment FIGURE 1 TO SUBPART C OF PART 238 with incompatible exterior side door sys- tems. Subpart D—Inspection, Testing, and Main- FIGURE 1 TO SUBPART B OF PART 238—EXAM- tenance Requirements for Tier I Pas- PLE OF LOCATION AND STAGGERING OF senger Equipment EMERGENCY WINDOW EXITS—§ 238.113 FIGURE 1A TO SUBPART B OF PART 238—EXAM- 238.301 Scope. PLE OF LOCATION OF RESCUE ACCESS WIN- 238.303 Exterior calendar day mechanical DOWS—§ 238.114 inspection of passenger equipment. FIGURE 1B TO SUBPART B OF PART 238—EXAM- 238.305 Interior calendar day mechanical in- PLE OF LOCATION AND STAGGERING OF spection of passenger cars. EMERGENCY WINDOW EXITS AND LOCATION 238.307 Periodic mechanical inspection of OF RESCUE ACCESS WINDOWS—§§ 238.113 passenger cars and unpowered vehicles AND 238.114 used in passenger trains. 238.309 Periodic brake equipment mainte- FIGURE 1C TO SUBPART B OF PART 238—EXAM- nance. PLE OF A PASSENGER COMPARTMENT IN- CLUDING A VESTIBULE CONNECTED BY AN 238.311 Single car test. OPEN PASSAGEWAY AND EXCLUDING A VES- 238.313 Class I brake test. TIBULE SEPARATED BY AN INTERIOR 238.315 Class IA brake test. DOOR—§§ 238.113 AND 238.114 238.317 Class II brake test. FIGURE 2 TO SUBPART B OF PART 238—EXAM- 238.319 Running brake test. PLE OF A MULTI-LEVEL CAR COMPLYING 238.321 Out-of-service credit. WITH WINDOW LOCATION AND STAGGERING REQUIREMENTS—§§ 238.113 AND 238.114 Subpart E—Specific Requirements for Tier II FIGURE 2A TO SUBPART B OF PART 238—EXAM- Passenger Equipment PLE OF AN INTERMEDIATE LEVEL SEATING 238.401 Scope. AREA OF A MULTI-LEVEL CAR COMPLYING WITH WINDOW LOCATION REQUIREMENTS— 238.403 Crash energy management. §§ 238.113 AND 238.114 238.405 Longitudinal static compressive strength. FIGURE 2B TO SUBPART B OF PART 238—EXAM- PLE OF AN INTERMEDIATE LEVEL SEATING 238.407 Anti-climbing mechanism. AREA OF A MULTI-LEVEL CAR COMPLYING 238.409 Forward end structures of power car WITH WINDOW LOCATION REQUIREMENTS— cabs. §§ 238.113 AND 238.114 238.411 Rear end structures of power car FIGURE 3 TO SUBPART B OF PART 238—EXAM- cabs. PLE OF LOCATION AND MARKING OF STRUC- 238.413 End structures of trailer cars. TURAL WEAK POINTS ON ROOF OF PAS- 238.415 Rollover strength. SENGER CAR—§ 238.123 238.417 Side loads. 238.419 Truck-to-car-body and truck compo- Subpart C—Specific Requirements for Tier I nent attachment. Passenger Equipment 238.421 Glazing. 238.423 Fuel tanks. 238.201 Scope/alternative compliance. 238.425 Electrical system. 238.203 Static end strength. 238.427 Suspension system. 238.205 Anti-climbing mechanism. 238.428 Overheat sensors. 238.207 Link between coupling mechanism 238.429 Safety appliances. and car body. 238.431 Brake system. 238.209 Forward-facing end structure of lo- 238.433 Draft system. comotives. 238.435 Interior fittings and surfaces. 238.211 Collision posts. 238.437 [Reserved] 238.439 Doors. 238.213 Corner posts. 238.441 Emergency roof access. 238.215 Rollover strength. 238.443 Headlights. 238.217 Side structure. 238.445 Automated monitoring. 238.219 Truck-to-car-body attachment. 238.447 Train operator’s controls and power 238.221 Glazing. car cab layout. 238.223 Locomotive fuel tanks. FIGURE 1 TO SUBPART E OF PART 238—POWER 238.225 Electrical system. CAR CAB FORWARD END STRUCTURE CON- 238.227 Suspension system. CEPTUAL IMPLEMENTATION 238.229 Safety appliances—general. FIGURE 2 TO SUBPART E OF PART 238—POWER 238.230 Safety appliances—new equipment. CAR CAB REAR END STRUCTURE CONCEP- 238.231 Brake system. TUAL IMPLEMENTATION 238.233 Interior fittings and surfaces. FIGURE 3 TO SUBPART E OF PART 238—TRAIL- 238.235 [Reserved] ER CAR END STRUCTURE CONCEPTUAL IM- 238.237 Automated monitoring. PLEMENTATION

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FIGURE 4 TO SUBPART E OF PART 238—TRAIL- APPENDIX A TO PART 238 [RESERVED] ER CAR IN-BOARD VESTIBULE END STRUC- APPENDIX B TO PART 238—TEST METHODS AND TURE CONCEPTUAL IMPLEMENTATION PERFORMANCE CRITERIA FOR THE FLAMMA- BILITY AND SMOKE EMISSION CHARACTER- Subpart F—Inspection, Testing, and Main- ISTICS OF MATERIALS USED IN PASSENGER tenance Requirements for Tier II Pas- CARS AND LOCOMOTIVE CABS senger Equipment APPENDIX C TO PART 238 [RESERVED] APPENDIX D TO PART 238—REQUIREMENTS FOR 238.501 Scope. EXTERNAL FUEL TANKS ON TIER I LOCO- 238.503 Inspection, testing, and maintenance MOTIVES requirements. APPENDIX E TO PART 238—GENERAL PRIN- 238.505 Program approval procedure. CIPLES OF RELIABILITY-BASED MAINTE- Subpart G—Specific Safety Planning Re- NANCE PROGRAMS quirements for Tier II Passenger Equip- APPENDIX F TO PART 238—ALTERNATIVE DY- NAMIC PERFORMANCE REQUIREMENTS FOR ment FRONT END STRUCTURES OF CAB CARS AND 238.601 Scope. MU LOCOMOTIVES 238.603 Safety planning requirements. APPENDIX G TO PART 238—ALTERNATIVE RE- QUIREMENTS FOR EVALUATING THE CRASH- Subpart H—Specific Requirements for Tier WORTHINESS AND OCCUPANT PROTECTION III Passenger Equipment PERFORMANCE OF TIER I PASSENGER TRAINSETS 238.701 Scope. APPENDIX H TO PART 238—RIGID LOCOMOTIVE 238.702 Definitions. DESIGN COMPUTER MODEL INPUT DATA AND GEOMETRICAL DEPICTION TRAINSET STRUCTURE AUTHORITY: 49 U.S.C. 20103, 20107, 20133, 238.703 Quasi-static compression load re- 20141, 20302–20303, 20306, 20701–20702, 21301– quirements. 21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 238.705 Dynamic collision scenario. 1.89. 238.707 Override protection. 238.709 Fluid entry inhibition. SOURCE: 64 FR 25660, May 12, 1999, unless 238.711 End structure integrity of cab end. otherwise noted. 238.713 End structure integrity of non-cab end. 238.715 Roof and side structure integrity. Subpart A—General 238.717 Truck-to-carbody attachment. § 238.1 Purpose and scope. GLAZING (a) The purpose of this part is to pre- 238.721 Glazing. vent collisions, derailments, and other occurrences involving railroad pas- BRAKE SYSTEM senger equipment that cause injury or 238.731 Brake system. death to railroad employees, railroad INTERIOR FITTINGS AND SURFACES passengers, or the general public; and to mitigate the consequences of such 238.733 Interior fixture attachment. occurrences to the extent they cannot 238.735 Seat crashworthiness (passenger and cab crew). be prevented. 238.737 Luggage racks. (b) This part prescribes minimum Federal safety standards for railroad EMERGENCY SYSTEMS passenger equipment. This part does 238.741 Emergency window egress and res- not restrict a railroad from adopting cue access. and enforcing additional or more strin- 238.743 Emergency lighting. gent requirements not inconsistent CAB EQUIPMENT with this part. (c) Railroads to which this part ap- 238.751 Alerters. plies shall be responsible for compli- 238.753 Sanders. ance with all of the requirements con- FIGURE 1 TO SUBPART H OF PART 238—CYLIN- tained in §§ 238.15, 238.17, 238.19, 238.107, DRICAL PROJECTILE FOR USE IN § 238.721 END-FACING CAB-GLAZING TESTING 238.109, and subpart D of this part effec- tive January 1, 2002. Subpart I—Inspection, Testing, and Mainte- (1) A railroad may request earlier ap- nance Requirements for Tier III Pas- plication of the requirements con- senger Equipment [Reserved]Appendix A tainedto Part 238in §§[Reserved 238.15, 238.17,] 238.19, 238.107, 828

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238.109, and subpart D upon written no- general railroad system of transpor- tification to FRA’s Associate Adminis- tation; or trator for Safety. Such a request shall (4) Circus trains. indicate the railroad’s readiness and ability to comply with all of the provi- § 238.5 Definitions. sions referenced in paragraph (c) intro- As used in this part— ductory text of this section. AAR means the Association of Amer- (2) Except for paragraphs (b) and (c) ican Railroads. of § 238.309, a railroad may specifically APTA means the American Public request earlier application of the main- Transportation Association. tenance and testing provisions con- Actuator means a self-contained tained in §§ 238.309 and 238.311 simulta- brake system component that gen- neously. In order to request earlier ap- erates the force to apply the brake plication of these two sections, the shoe or brake pad to the wheel or disc. railroad shall indicate its readiness and An actuator typically consists of a cyl- ability to comply with all of the provi- inder, piston, and piston rod. sions contained in both of those sec- Administrator means the Adminis- tions. trator of the Federal Railroad Admin- (3) Paragraphs (b) and (c) of § 238.309 istration or the Administrator’s dele- apply beginning September 9, 1999. gate. [64 FR 25660, May 12, 1999, as amended at 65 Alerter means a device or system in- FR 41305, July 3, 2000; 67 FR 19989, Apr. 23, stalled in the locomotive cab to pro- 2002] mote continuous, active locomotive en- gineer attentiveness by monitoring se- § 238.3 Applicability. lect locomotive engineer-induced con- (a) Except as provided in paragraph trol activities. If fluctuation of a mon- (c) of this section, this part applies to itored locomotive engineer-induced all: control activity is not detected within (1) Railroads that operate intercity a predetermined time, a sequence of or commuter passenger train service on audible and visual alarms is activated standard gage track which is part of so as to progressively prompt a re- the general railroad system of trans- sponse by the locomotive engineer. portation; and Failure by the locomotive engineer to (2) Railroads that provide commuter institute a change of state in a mon- or other short-haul rail passenger train itored control, or acknowledge the service in a metropolitan or suburban alerter alarm activity through a man- area as described by 49 U.S.C. 20102(1), ual reset provision, results in a penalty including public authorities operating brake application that brings the loco- passenger train service. motive or train to a stop. (b) Railroads that permit to be used Anti-climbing mechanism means the or hauled on their lines passenger parts at the ends of adjoining vehicles equipment subject to this part, in vio- in a train that are designed to engage lation of a power brake provision of when subjected to large buff loads to this part or a safety appliance provi- prevent the override of one vehicle by sion of this part, are subject to the another. power brake and safety appliance pro- Associate Administrator means Asso- visions of this part with respect to ciate Administrator for Railroad Safe- such operations. ty and Chief Safety Officer, Associate (c) This part does not apply to: Administrator for Railroad Safety, As- (1) Rapid transit operations in an sociate Administrator for Safety. urban area that are not connected to Bind means restrict the intended the general railroad system of trans- movement of one or more brake system portation; components by obstruction, increased (2) A railroad that operates only on friction, or reduced clearance. track inside an installation that is not Block of cars means one car or mul- part of the general railroad system of tiple cars in a solid unit coupled to- transportation; gether for the purpose of being added (3) Tourist, scenic, historic, or excur- to, or removed from, a train as a solid sion operations, whether on or off the unit.

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Brake, air or power brake means a Brake, secondary means those compo- combination of devices operated by nents of the train brake system which compressed air, arranged in a system, develop supplemental brake retarding and controlled manually, electrically, force that is not needed to stop the or pneumatically, by means of which train within signal spacing distances or the motion of a rail car or locomotive to prevent thermal damage to friction is retarded or arrested. braking surfaces. Brake, disc means a retardation sys- Brake shoes or pads aligned with tread tem used on some rail vehicles, pri- or disc means that the surface of the marily passenger equipment, that uti- brake shoe or pad, respectively, en- lizes flat metal discs as the braking gages the surface of the wheel tread or surface instead of the wheel tread. disc, respectively, to prevent localized Brake, dynamic means a train braking thermal stress. system whereby the kinetic energy of a Braking system, blended means a brak- moving train is used to generate elec- ing system where the primary brake tric current at the locomotive traction and one or more secondary brakes are motors, which is then dissipated automatically combined to stop the through banks of resistor grids or back train. If the secondary brakes are un- into the catenary or third rail system. available, the blended brake uses the Brake, effective means a brake that is primary brake alone to stop the train. capable of producing its required de- By-pass means a device designed to signed retarding force on the train. A override a function. brake is not effective if its piston trav- Calendar day means a time period el is in excess of the maximum pre- running from one midnight to the next scribed limits. On vehicles equipped midnight on a given date. with nominal 12-inch stroke brake cyl- Class I brake test means a complete inders, the brake is not effective if its passenger train brake system test and inspection (as further specified in piston travel exceeds 101⁄2 inches. § 238.313) performed by a qualified Brake indicator means a device, actu- maintenance person to ensure that the ated by brake cylinder pressure, which air brake system is 100 percent effec- indicates whether brakes are applied or tive. released. Class IA brake test means a test and means a primary Brake, inoperative inspection (as further specified in brake that, for any reason, no longer § 238.315) performed by a qualified per- applies or releases as intended or is son of the air brake system on each car otherwise ineffective. in a passenger train to ensure that the Brake, on-tread friction means a brak- brakes apply and release on each car in ing system that uses a brake shoe that the train in response to train line com- acts on the tread of the wheel to retard mands. the vehicle. Class II brake test means a test and in- Brake, parking or hand brake means a spection (as further specified in brake that can be applied and released § 238.317) performed by a qualified per- by hand to prevent movement of a sta- son of brake pipe integrity and con- tionary rail car or locomotive. tinuity from the controlling loco- Brake pipe means the system of pip- motive to the rear unit of a passenger ing (including branch pipes, angle train. cocks, cutout cocks, dirt collectors, Collision posts means structural mem- hoses, and hose couplings) used for con- bers of the end structures of a vehicle necting locomotives and all rail cars that extend vertically from the for the passage of air to control the lo- underframe to which they are securely comotive and car brakes. attached and that provide protection Brake, power means ‘‘air brake’’ as to occupied compartments from an ob- that term is defined in this section. ject penetrating the vehicle during a Brake, primary means those compo- collision. nents of the train brake system nec- Control valves means that part of the essary to stop the train within the sig- air brake equipment on each rail car or nal spacing distance without thermal locomotive that controls the charging, damage to friction braking surfaces. application, and release of the air

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brakes, in response to train line com- from the door motor or door motor mands. controls. Corner posts means structural mem- Door summary circuit means a bers located at the intersection of the trainline door circuit that provides an front or rear surface with the side sur- indication to the controlling cab of the face of a rail vehicle and which extend train that all exterior side doors are vertically from the underframe to the closed as intended, or locked out with roof. Corner posts may be combined a door isolation lock, or both. with collision posts to become part of Dual-function window means a win- the end structure. dow that is intended to serve as both Crack means a fracture without com- an emergency window exit and a rescue plete separation into parts, except access window and that meets the ap- that, in a casting, a shrinkage crack or plicable requirements set forth in both hot tear that does not significantly di- §§ 238.113 and 238.114. minish the strength of the member is Emergency brake application means an not a crack. irretrievable brake application result- Crash energy management means an ing in the maximum retarding force approach to the design of rail pas- available from the train brake system. senger equipment which controls the Emergency responder means a member dissipation of energy during a collision of a police or fire department, or other organization involved with public safe- to protect the occupied volumes from ty charged with providing or coordi- crushing and to limit the decelerations nating emergency services, who re- on passengers and crewmembers in sponds to a passenger train emergency. those volumes. This may be accom- Emergency window means the seg- plished by designing energy-absorbing ment of a side-facing glazing panel structures of low strength in the unoc- that has been designed to permit rapid cupied volumes of a rail vehicle or pas- and easy removal from inside a pas- senger train to collapse in a controlled senger car in an emergency situation. manner, while providing higher struc- End-frame door means an end-facing tural strength in the occupied volumes. door normally located between, or ad- Energy deflection can also be part of a jacent to, the collision posts or similar crash energy management approach. end-frame structural elements. Crash energy management can be used End-of-train circuit means a feature to help provide anti-climbing resist- typically used to determine the phys- ance and to reduce the risk of train ical end of the train, or the last pas- buckling during a collision. senger car in the train, or both, for the Crash refuge means a volume with door summary circuit. structural strength designed to maxi- End structure means the main support mize the survivability of crewmembers structure projecting upward from the stationed in the locomotive cab during underframe of a locomotive, passenger a collision. car, or other rail vehicle. The end Crewmember means a railroad em- structure is securely attached to the ployee called to perform service cov- underframe at each end of a rail vehi- ered by the Federal hours of service cle. laws at 49 U.S.C. 21103 and subject to Exterior side door safety system means the railroad’s operating rules and pro- a system of safety features that enable gram of operational tests and inspec- the safe operation of the exterior side tions required in § 217.9 and § 217.11 of doors of a passenger car or train. The this chapter. exterior side door safety system in- Critical buckling stress means the cludes appurtenances and components minimum stress necessary to initiate that control, operate, and display the buckling of a structural member. status of the exterior side doors, and is Door isolation lock means a cutout/ interlocked with the train’s traction lockout mechanism installed at each power control. exterior side door panel to secure a 50th-percentile adult male means a per- door in the closed and latched position, son weighing 164 pounds (plus or minus provide a door-closed indication to the 3 pounds) and possessing the following summary circuit, and remove power dimensions: erect sitting height: 35.7

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inches (plus or minus 0.1 inch); hip tion shall be considered an end-facing breadth (sitting): 14.7 inches (plus or glazing location. minus 0.7 inch); hip circumference (sit- Glazing, exterior means a glazing ting): 42 inches; waist circumference panel that is an integral part of the ex- (sitting): 32 inches (plus or minus 0.6 terior skin of a rail vehicle and has a inch); chest depth: 9.3 inches (plus or surface exposed to the outside environ- minus 0.2 inch); and chest circum- ment. ference: 37.4 inches (plus or minus 0.6 Glazing, side-facing means any glazing inch). located where a line perpendicular to Foul means restrict the intended the plane of the glazing material movement of one or more brake system makes a horizontal angle of more than components because the component is 50 degrees with the centerline of the snagged, entangled, or twisted. vehicle in which the glazing material is FRA means the Federal Railroad Ad- installed. Side-facing glazing also ministration. means glazing located at the coupled Fuel tank, external means a fuel con- ends of MU locomotives or other equip- tainment vessel that extends outside ment semi-permanently connected to the car body structure of a locomotive. each other in a train consist and glaz- Fuel tank, internal means a fuel con- ing located at end doors other than at tainment vessel that does not extend the cab end of a cab car or MU loco- outside the car body structure of a lo- motive. comotive. Handrails means safety appliances in- Full-height collision post, corner post, stalled on either side of a rail vehicle’s or side frame post means any vertical exterior doors to assist passengers and framing member in the rail car body crewmembers to safely board and de- structure that spans the distance be- part the vehicle. tween the underframe and the roof at Head end power means power gen- the car body section where the post is erated on board the locomotive of a located. For collision posts located at passenger train used for purposes other the approximate third points laterally than propelling the train, such as cook- of an end frame, the term ‘‘full-height’’ ing, heating, illumination, ventilation applies to posts that extend and con- and air conditioning. nect to supporting structural members In passenger service/in revenue service in the roof at the location of the posts, means a train or passenger equipment or to a beam connected to the top of that is carrying, or available to carry, the end-frame and supported by the passengers. Passengers need not have roof rails (or anti-telescoping plate), or paid a fare in order for the equipment to both. to be considered in passenger or in rev- means a brake Full service application enue service. application which results in a brake In service, when used in connection cylinder pressure at the service lim- with passenger equipment, means: iting valve setting or equivalent. Glazing, end-facing means any exte- (1) Passenger equipment subject to rior glazing located where a line per- this part that is in passenger or rev- pendicular to the plane of the glazing enue service in the United States; and material makes a horizontal angle of 50 (2) All other passenger equipment degrees or less with the centerline of subject to this part in the United the vehicle in which the glazing mate- States, unless the passenger equip- rial is installed, except for: The cou- ment: pled ends of multiple-unit (MU) loco- (i) Is being handled in accordance motives or other equipment semi-per- with §§ 238.15, 238.17, 238.305(d), or manently connected to each other in a 238.503(f), as applicable; train consist; and end doors of pas- (ii) Is in a repair shop or on a repair senger cars at locations other than the track; cab end of a cab car or MU locomotive. (iii) Is on a storage track and is not Any location which, due to curvature carrying passengers; or of the glazing material, can meet the (iv) Has been delivered in inter- criteria for either an end-facing glazing change but has not been accepted by location or a side-facing glazing loca- the receiving railroad.

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Intercom means a device through engineer exercises control over the which voice communication is trans- train. mitted and received. Locomotive, MU means rail rolling Intercom system means a two-way, equipment self-propelled by any power voice communication system. source and intended to provide trans- Interior fitting means any component portation for members of the general in the passenger compartment which is public; however, this term does not in- mounted to the floor, ceiling, side- clude an MU locomotive propelled by walls, or end walls and projects into steam power unless it is used to haul the passenger compartment more than an intercity or commuter passenger 25 mm (1 in.) from the surface or sur- train. faces to which it is mounted. Interior Longitudinal means in a direction fittings do not include side and end parallel to the normal direction of walls, floors, door pockets, or ceiling travel. lining materials, for example. Luminescent material means material Intermediate level means a level of a that absorbs light energy when ambi- multi-level passenger car that is used ent levels of light are high and emits for passenger seating and is normally this stored energy when ambient levels located between two main levels. An of light are low, making the material intermediate level normally contains appear to glow in the dark. two, separate seating areas, one at L/V ratio means the ratio of the lat- each end of the car, and is normally eral force that any wheel exerts on an connected to each main level by stairs. individual rail to the vertical force ex- Lateral means the horizontal direc- erted by the same wheel on the rail. tion perpendicular to the direction of Main level means a level of a pas- travel. senger car that contains a passenger Locomotive means a piece of on-track compartment whose length is equal to rail equipment, other than hi-rail, spe- or greater than half the length of the cialized maintenance, or other similar car. equipment, which may consist of one MIL-STD–882 means a military stand- or more units operated from a single ard issued by the United States Depart- control stand with one or more propel- ment of Defense to provide uniform re- ling motors designed for moving other quirements for developing and imple- passenger equipment; with one or more menting a system safety plan and pro- propelling motors designed to trans- gram to identify and then eliminate port freight or passenger traffic, or the hazards of a system or reduce the both; or without propelling motors but associated risk to an acceptable level. with one or more control stands. This Mph means miles per hour. term does not include a locomotive 95th-percentile adult male means, ex- propelled by steam power unless it is cept as used in § 238.447(f)(2), a person used to haul an intercity or commuter weighing 215 pounds and possessing the passenger train. Nor does this term in- following dimensions: erect sitting clude a freight locomotive when used height: 38 inches; hip breadth (sitting): to haul a passenger train due to failure 16.5 inches; hip circumference (sitting): of a passenger locomotive. 47.2 inches; waist circumference (sit- Locomotive cab means the compart- ting): 42.5 inches; chest depth: 10.5 ment or space on board a locomotive inches; and chest circumference 44.5 where the control stand is located and inches. which is normally occupied by the en- No-motion system means a system on a gineer when the locomotive is oper- train that detects the motion of the ated. train. Locomotive, cab car means rail rolling Occupied volume means the volume of equipment intended to provide trans- a rail vehicle or passenger train where portation for members of the general passengers or crewmembers are nor- public that is without propelling mo- mally located during service operation, tors but equipped with one or more such as the operating cab and pas- control stands. senger seating and sleeping areas. The Locomotive, controlling means the lo- entire width of a vehicle’s end com- comotive from which the locomotive partment that contains a control stand

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is an occupied volume. A vestibule is the general public that is used to power typically not considered occupied, ex- a passenger train, and cept when it contains a control stand (v) Any non-self-propelled vehicle for use as a control cab. used in a passenger train, including an Ordered, as applied to acquisition of express car, baggage car, mail car, equipment, means that the acquiring freight car, or a private car. entity has given a notice to proceed to (2) In the context of articulated manufacture the equipment that rep- equipment, ‘‘passenger equipment’’ resents a firm financial commitment means a segment of rail rolling equip- to compensate the manufacturer for ment located between two trucks that the contract price of the equipment or is used in a train with one or more pas- for damages if the order is nullified. senger cars. This term does not include Equipment is not ordered if future ex- a freight locomotive when used to haul ercise of a contract option is required a passenger train due to failure of a to place the remanufacturing process passenger locomotive. in motion. Passenger station means a location Override means to climb over the nor- designated in a railroad’s timetable mal coupling or side buffers and link- where passengers are regularly sched- ing mechanism and impact the end of uled to get on or off any train. the adjoining rail vehicle or unit above Permanent deformation means the un- the underframe. dergoing of a permanent change in PA system (or public address system) shape of a structural member of a rail means a one-way, voice communica- vehicle. tion system. Person means an entity of any type Passenger car means rail rolling covered under 1 U.S.C. 1, including but equipment intended to provide trans- not limited to the following: a railroad; portation for members of the general a manager, supervisor, official, or public and includes a self-propelled car other employee or agent of a railroad; designed to carry passengers, baggage, any owner, manufacturer, lessor, or mail, or express. This term includes a lessee of railroad equipment, track, or passenger coach, cab car, and an MU facilities; any independent contractor locomotive. In the context of articu- providing goods or services to a rail- lated equipment, ‘‘passenger car’’ road; and any employee of such owner, means that segment of the rail rolling manufacturer, lessor, lessee, or inde- equipment located between two trucks. pendent contractor. This term does not include a private Piston travel means the amount of lin- car. ear movement of the air brake hollow Passenger coach means rail rolling rod (or equivalent) or piston rod when equipment intended to provide trans- forced outward by movement of the portation for members of the general piston in the brake cylinder or actu- public that is without propelling mo- ator and limited by the brake shoes tors and without a control stand. being forced against the wheel or disc. Passenger compartment means an area Piston travel indicator means a device of a passenger car that consists of a directly activated by the movement of seating area and any vestibule that is the brake cylinder piston, the disc connected to the seating area by an brake actuator, or the tread brake unit open passageway. cylinder piston that provides an indica- Passenger equipment—means tion of the piston travel. (1) All powered and unpowered pas- Power car means a rail vehicle that senger cars, locomotives used to haul a propels a Tier II passenger train or is passenger car, and any other rail roll- the lead vehicle in a Tier II passenger ing equipment used in a train with one train, or both. or more passenger cars. Passenger Pre-revenue service acceptance testing equipment includes— plan means a document, as further (i) A passenger coach, specified in § 238.111, prepared by a rail- (ii) A cab car, road that explains in detail how pre- (iii) A MU locomotive, revenue service tests of passenger (iv) A locomotive not intended to equipment demonstrate that the equip- provide transportation for a member of ment meets Federal safety standards

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and the railroad’s own safety require- (1) Conduct Class I brake tests under ments. this part; Primary responsibility means the task (2) Conduct exterior calendar day me- that a person performs during at least chanical inspections on MU loco- 50 percent of the time that the person motives or other passenger cars and is working. The totality of the cir- unpowered vehicles under this part; or cumstances will be considered on a (3) Determine whether equipment not case-by-case basis in circumstances in compliance with this part may be where an individual does not spend 50 moved as required by § 238.17. percent of his or her workday engaged Qualified person means a person who in any one readily identifiable type of has received, as a part of the training, activity. Time spent supervising em- qualification, and designation program ployees engaged in the functions of required under § 238.109, instruction and troubleshooting, inspection, testing, training necessary to perform one or maintenance, or repair of train brake more functions required under this and mechanical components and sys- part. The railroad is responsible for de- tems covered by this part shall be con- termining that the person has the sidered work which is generally con- knowledge and skills necessary to per- sistent with the function of trouble- form the required function for which shooting of such systems and compo- the person is assigned responsibility. nents for the purpose of the definition The railroad determines the qualifica- of this term and the definition of tions and competencies for employees ‘‘Qualified Maintenance Person.’’ designated to perform various func- Private car means rail rolling equip- tions in the manner set forth in this ment that is used only for excursion, part. Although the rule uses the term recreational, or private transportation ‘‘qualified person’’ to describe a person purposes. A private car is not a pas- responsible for performing various senger car. functions required under this part, a Public highway-rail grade crossing person may be deemed qualified to per- means a location where a public high- form some functions but not qualified way, road or street, including associ- to perform other functions. For exam- ated sidewalks or pathways, crosses ple, although a person may be deemed one or more active railroad tracks at qualified to perform the Class II brake grade. test required by this part, that same Qualified maintenance person means a person may or may not be qualified to qualified person who has received, as a perform the Class IA brake test or au- part of the training, qualification, and thorize the movement of defective designation program required under equipment under this part. The rail- § 238.109, instruction and training that road will determine the required func- includes ‘‘hands-on’’ experience (under tions for which an individual will be appropriate supervision or apprentice- deemed a ‘‘qualified person’’ based ship) in one or more of the following upon the instruction and training the functions: troubleshooting, inspection, individual has received pursuant to testing, maintenance, or repair of the § 238.109 on a particular function. specific train brake and other compo- Railroad means any form of non- nents and systems for which the person highway ground transportation that is assigned responsibility. This person runs on rails or electromagnetic guide- shall also possess a current under- ways and any entity providing such standing of what is required to prop- transportation, including— erly repair and maintain the safety- (i) Commuter or other short-haul critical brake or mechanical compo- railroad passenger service in a metro- nents for which the person is assigned politan or suburban area and com- responsibility. Further, the qualified muter railroad service that was oper- maintenance person shall be a person ated by the Consolidated Rail Corpora- whose primary responsibility includes tion on January 1, 1979; and work generally consistent with the (ii) High speed ground transportation above-referenced functions and is des- systems that connect metropolitan ignated to: areas, without regard to whether those

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systems use new technologies not asso- Roof rail means the longitudinal ciated with traditional railroads; but structural member at the intersection does not include rapid transit oper- of the side wall and the roof sheathing. ations in an urban area that are not Running brake test means a test (as connected to the general railroad sys- further specified in § 238.319) performed tem of transportation. by a qualified person of a train system Refresher training means periodic re- or component while the train is in mo- training required by a railroad for em- tion to verify that the system or com- ployees or contractors to remain quali- ponent functions as intended. fied to perform specific equipment in- Running gear defect means any condi- spection, testing, or maintenance func- tion not in compliance with this part tions. which involves a truck component, a Repair point means a location des- draft system component, a wheel, or a ignated by a railroad where repairs of wheel component. the type necessary occur on a regular basis. A repair point has, or should Safety appliance means an appliance have, the facilities, tools, and per- required under 49 U.S.C. chapter 203, sonnel qualified to make the necessary excluding power brakes. The term in- repairs. A repair point need not be cludes automatic couplers, hand staffed continuously. brakes, sill steps, handholds, handrails, Rescue access window means a side- or ladder treads made of steel or a ma- facing exterior window intended for use terial of equal or greater mechanical by emergency responders to gain access strength used by the traveling public to passengers in an emergency situa- or railroad employees that provide a tion. means for safely coupling, uncoupling, Respond as intended means to produce or ascending or descending passenger the result that a device or system is equipment. designed to produce. Safety-critical means a component, Retroreflective material means a mate- system, or task that, if not available, rial that is capable of reflecting light defective, not functioning, not func- rays back to the light source and that tioning correctly, not performed, or conforms to the specifications for Type not performed correctly, increases the I Sheeting as specified in ASTM Inter- risk of damage to passenger equipment national Standard D 4956–07, ‘‘Standard or injury to a passenger, crewmember, Specification for Retroreflective Sheet- or other person. ing for Traffic Control.’’ The Director Seating area means an area of a pas- of the Federal Register approves the senger car that normally contains pas- incorporation by reference of this senger seating. standard in accordance with 5 U.S.C. Semi-permanently coupled means cou- 552(a) and 1 CFR part 51. You may ob- pled by means of a drawbar or other tain a copy of the incorporated stand- coupling mechanism that requires ard from ASTM International, 100 Barr tools to perform the uncoupling oper- Harbor Drive, P.O. Box C700, West ation. Coupling and uncoupling of each Conshohocken, PA 19428–2959. You may inspect a copy of the incorporated semi-permanently coupled unit in a standard at the Federal Railroad Ad- train can be performed safely only ministration, Docket Clerk, 1200 New while at a maintenance or shop loca- Jersey Avenue, SE., Washington, DC, tion where personnel can safely get or at the National Archives and under a unit or between units. Records Administration (NARA). For Semi-monocoque means a type of rail information on the availability of this vehicle construction where the shell or material at NARA, call 202–741–6030, or skin acts as a single unit with the sup- go to http://www.archives.gov/federal-reg- porting frame to resist and transmit ister/cfr/ibr-locations.html. the loads acting on the rail vehicle. Rollover strength means the strength Shear strength means the ability of a provided to protect the structural in- structural member to resist forces or tegrity of a rail vehicle in the event components of forces acting perpen- the vehicle leaves the track and im- dicular to compression or tension pacts the ground on its side or roof. forces, or both, in the member.

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Shock absorbent material means mate- Tier II means operating at speeds ex- rial designed to prevent or mitigate in- ceeding 125 mph but not exceeding 160 juries due to impact by yielding and mph. absorbing much of the energy of im- Tier III means operating in a shared pact. right-of-way at speeds not exceeding Side posts means main vertical struc- 125 mph and in an exclusive right-of- tural elements in the sides of a rail ve- way without grade crossings at speeds hicle. exceeding 125 mph but not exceeding Side sill means that portion of the 220 mph. underframe or side at the bottom of Tourist, scenic, historic, or excursion means railroad operations the rail vehicle side wall. operations that carry passengers, often using anti- Single car test means a comprehensive quated equipment, with the convey- test (as further specified in § 238.311) of ance of the passengers to a particular the functioning of all critical brake destination not being the principal pur- system components installed on an in- pose. Train movements of new pas- dividual passenger car or unpowered senger equipment for demonstration vehicle, other than a self-propelled pas- purposes are not tourist, scenic, his- senger car, used or allowed to be used toric, or excursion operations. in a passenger train. Trailer car means a rail vehicle that Single car test device means a device neither propels a Tier II passenger capable of controlling the application train nor is the leading unit in a Tier and release of the brakes on an indi- II passenger train. A trailer car is nor- vidual passenger car or an unpowered mally without a control stand and is vehicle, other than a self-propelled pas- normally occupied by passengers. senger car, through pneumatic or elec- Train means a locomotive unit or lo- trical means. comotive units coupled, with or with- Skin means the outer covering of a out cars. For the purposes of the provi- fuel tank and a rail vehicle. The skin sions of this part related to power may be covered with another coating of brakes, the term ‘‘train’’ does not in- material such as fiberglass. clude such equipment when being used Spall, glazing means small pieces of in switching service. glazing that fly off the back surface of Train brake communication line means the glazing when an object strikes the the communication link between the front surface. locomotive and passenger equipment in Switching service means the classifica- a train by which the brake commands tion of freight cars according to com- are transmitted. This may be a pneu- modity or destination; assembling of matic pipe, electrical line, or radio sig- cars for train movements; changing the nal. position of cars for purposes of loading, Train, commuter means a passenger unloading, or weighing; placing of loco- train providing commuter service with- in an urban, suburban, or metropolitan motives and cars for repair or storage; area. The term includes a passenger or moving of rail equipment in connec- train provided by an instrumentality of tion with work service that does not a State or a political subdivision of a constitute a train movement. State. Telescope means override an adjoining Trainline door circuit means a circuit rail vehicle or unit and penetrate into used to convey door signals over the the interior of that adjoining vehicle or length of a train. unit because of compressive forces. Train, long-distance intercity passenger Terminal means a starting point or means a passenger train that provides ending point of a single scheduled trip service between large cities more than for a train, where passengers may get 125 miles apart and is not operated ex- on or off a train. Normally, this loca- clusively in the National Railroad Pas- tion is a point where the train would senger Corporation’s Northeast Cor- reverse direction or change destina- ridor. tions. Train, passenger means a train that Tier I means operating at speeds not transports or is available to transport exceeding 125 mph. members of the general public. If a

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train is composed of a mixture of pas- trailer car, locomotive, power car, ten- senger and freight equipment, that der, or similar vehicle. This term does train is a passenger train for purposes not include a freight locomotive when of this part. used to haul a passenger train due to Train, short-distance intercity pas- failure of a passenger locomotive. senger means a passenger train that Vestibule means an area of a pas- provides service exclusively on the Na- senger car that normally does not con- tional Railroad Passenger Corpora- tain seating, is located adjacent to a tion’s Northeast Corridor or between side exit door, and is used in passing cities that are not more than 125 miles from a seating area to a side exit door. apart. Vestibule door means a door sepa- Train, Tier II passenger means a short- rating a seating area from a vestibule. distance or long-distance intercity pas- End-frame doors and doors separating senger train providing service at speeds sleeping compartments or similar pri- exceeding 125 mph but not exceeding vate compartments from a passageway 160 mph. are not vestibule doors. Trainset, passenger means a passenger Witness plate means a thin foil placed train. behind a piece of glazing undergoing an Trainset, Tier I alternative passenger impact test. Any material spalled or means a trainset consisting of Tier I broken from the back side of the glaz- passenger equipment demonstrating al- ing will dent or mark the witness ternative crashworthiness and occu- plate. pant protection performance under the Yard means a system of tracks with- requirements of appendix G to this in defined limits provided for the mak- part. ing up of trains, storing of cars, or Trainset, Tier III means an intercity other purposes. passenger train that provides service in Yard air test means a train brake sys- a shared right-of-way at speeds not ex- tem test conducted using a source of ceeding 125 mph and in an exclusive compressed air other than a loco- right-of-way without grade crossings at motive. speeds exceeding 125 mph but not ex- Yield strength means the ability of a ceeding 220 mph. structural member to resist a change Trainset unit means a trainset seg- in length caused by a heavy load. Ex- ment located between connecting ar- ceeding the yield strength may cause rangements (articulations). permanent deformation of the member. Transverse means in a direction per- [64 FR 25660, May 12, 1999, as amended at 65 pendicular to the normal direction of FR 41305, July 3, 2000; 67 FR 19989, Apr. 23, travel. 2002; 71 FR 36916, June 28, 2006; 71 FR 61857, Ultimate strength means the load at Oct. 19, 2006; 73 FR 6400, Feb. 1, 2008; 78 FR which a structural member fractures or 71812, Nov. 29, 2013; 80 FR 76146, Dec. 7, 2015; ceases to resist any load. 83 FR 59218, Nov. 21, 2018] Uncoupling mechanism means the ar- rangement for operating the coupler by § 238.7 Waivers. any means. (a) A person subject to a requirement Underframe means the lower hori- of this part may petition the Adminis- zontal support structure of a rail vehi- trator for a waiver of compliance with cle. such requirement. The filing of such a Unit means passenger equipment of petition does not affect the person’s re- any type, except a freight locomotive sponsibility for compliance with that when used to haul a passenger train requirement while the petition is being due to failure of a passenger loco- considered. motive. (b) Each petition for waiver under Unoccupied volume means the volume this section shall be filed in the man- of a rail vehicle or passenger train ner and contain the information re- which does not contain seating and is quired by part 211 of this chapter. not normally occupied by passengers or (c) If the Administrator finds that a crewmembers. waiver of compliance is in the public Vehicle, rail means passenger equip- interest and is consistent with railroad ment of any type and includes a car, safety, the Administrator may grant

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the waiver subject to any conditions § 238.11 Penalties. the Administrator deems necessary. (a) Any person, as defined in § 238.5, who violates any requirement of this § 238.9 Responsibility for compliance. part or causes the violation of any such (a) A railroad subject to this part requirement is subject to a civil pen- shall not— alty of at least $892 and not more than (1) Use, haul, permit to be used or $29,192 per violation, except that: Pen- hauled on its line, offer in interchange, alties may be assessed against individ- or accept in interchange any train or uals only for willful violations, and, passenger equipment, while in service, where a grossly negligent violation or (i) That has one or more conditions a pattern of repeated violations has not in compliance with a safety appli- created an imminent hazard of death or ance or power brake provision of this injury to persons, or has caused death part; or or injury, a penalty not to exceed (ii) That has not been inspected and $116,766 per violation may be assessed. tested as required by a safety appliance Each day a violation continues shall or power brake provision of this part; constitute a separate offense. See or FRA’s website at www.fra.dot.gov for a (2) Use, haul, offer in interchange, or statement of agency civil penalty pol- accept in interchange any train or pas- icy. senger equipment, while in service, (b) Any person who knowingly and willfully falsifies a record or report re- (i) That has one or more conditions quired by this part may be subject to not in compliance with a provision of criminal penalties under 49 U.S.C. this part, other than the safety appli- 21311. ance and power brake provisions of this part, if the railroad has actual knowl- [64 FR 25660, May 12, 1999, as amended at 69 edge of the facts giving rise to the vio- FR 30595, May 28, 2004; 72 FR 51198, Sept. 6, lation, or a reasonable person acting in 2007; 73 FR 79704, Dec. 30, 2008; 77 FR 24422, the circumstances and exercising rea- Apr. 24, 2012; 81 FR 43112, July 1, 2016; 82 FR 16135, Apr. 3, 2017; 83 FR 60749, Nov. 27, 2018; sonable care would have that knowl- 84 FR 23736, May 23, 2019; 84 FR 37075, July 31, edge; or 2019] (ii) That has not been inspected and tested as required by a provision of this § 238.13 Preemptive effect. part, other than the safety appliance (a) Under 49 U.S.C. 20106, issuance of and power brake provisions of this these regulations preempts any State part, if the railroad has actual knowl- law, regulation, or order covering the edge of the facts giving rise to the vio- same subject matter, except an addi- lation, or a reasonable person acting in tional or more stringent law, regula- the circumstances and exercising rea- tion, or order that is necessary to sonable care would have that knowl- eliminate or reduce an essentially local edge; or safety or security hazard; is not incom- (3) Violate any other provision of this patible with a law, regulation, or order part. of the United States Government; and (b) For purposes of this part, pas- does not unreasonably burden inter- senger equipment will be considered in state commerce. use prior to departure but after it has (b) This part establishes Federal received, or should have received, the standards of care for railroad passenger inspection required under this part for equipment. This part does not preempt movement and is deemed ready for pas- an action under State law seeking senger service. damages for personal injury, death, or (c) Although the duties imposed by property damage alleging that a party this part are generally stated in terms has failed to comply with the Federal of the duty of a railroad, any person as standard of care established by this defined in § 238.5, including a con- part, including a plan or program re- tractor for a railroad, who performs quired by this part. Provisions of a any function covered by this part must plan or program that exceed the re- perform that function in accordance quirements of this part are not in- with this part. cluded in the Federal standard of care.

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(c) Under 49 U.S.C. 20701–20703 (for- (1) If all of the following conditions merly the Locomotive (Boiler) Inspec- are met: tion Act), the field of locomotive safe- (i) The train is moved for purposes of ty is preempted, extending to the de- repair, without passengers; sign, the construction, and the mate- (ii) The applicable operating restric- rial of every part of the locomotive and tions in paragraphs (d) and (e) of this tender and all appurtenances thereof. section are observed; and To the extent that the regulations in (iii) The passenger equipment is this part establish requirements affect- tagged, or information is recorded, as ing locomotive safety, the scope of pre- prescribed in paragraph (c)(2) of this emption is provided by 49 U.S.C. 20701– section; or 20703. (2) If the train is moved for purposes [75 FR 1227, Jan. 8, 2010] of scrapping or sale of the passenger equipment that has the power brake § 238.15 Movement of passenger equip- defect and all of the following condi- ment with power brake defects. tions are met: Beginning on January 1, 2002, the fol- (i) The train is moved without pas- lowing provisions of this section apply sengers; to railroads operating Tier I passenger (ii) The movement is at a speed of 15 equipment covered by this part. A rail- mph or less; and road may request earlier application of (iii) The movement conforms with these requirements upon written noti- the railroad’s air brake or power brake fication to FRA’s Associate Adminis- instructions. trator for Safety as provided in (c) Limitations on movement of pas- § 238.1(c) of this part. senger equipment in passenger service (a) General. This section contains the that becomes defective en route after a requirements for moving passenger Class I or IA brake test. Passenger equip- equipment with a power brake defect ment hauled or used in service in a without liability for a civil penalty commuter or passenger train that de- under this part. Railroads remain lia- velops inoperative or ineffective power ble for the movement of passenger brakes or any other power brake defect equipment under 49 U.S.C. 20303(c). For while en route to another location purposes of this section, § 238.17, and after receiving a Class I or IA brake § 238.503, a ‘‘power brake defect’’ is a test (or, for Tier II trains, the equiva- condition of a power brake component, lent) may be hauled or used by a rail- or other primary brake component, road for repair, without civil penalty that does not conform with this part. liability under this part, if the applica- (Passenger cars and other passenger ble operating restrictions set forth in equipment classified as locomotives paragraphs (d) and (e) of this section under part 229 of this chapter are also are complied with and all of the fol- covered by the movement restrictions lowing requisites are satisfied: contained in § 229.9 of this chapter for (1) En route defect. At the time of the those defective conditions covered by train’s Class I or IA brake test, the part 229 of this chapter.) passenger equipment in the train was (b) Limitations on movement of pas- properly equipped with power brakes senger equipment containing a power that comply with this part. The power brake defect at the time a Class I or IA brakes on the passenger equipment be- brake test is performed. Except as pro- come defective while it is en route to vided in paragraph (c) of this section another location. (which addresses brakes that become (2) Record. A tag or card is placed on defective en route after a Class I or IA both sides of the defective passenger brake test was performed), a commuter equipment, or an automated tracking or passenger train that has in its con- system is provided, with the following sist passenger equipment containing a information about the defective pas- power brake defect at the time that a senger equipment: Class I or IA brake test (or, for Tier II (i) The reporting mark and car or lo- trains, the equivalent) is performed comotive number; may only be moved, without civil pen- (ii) The name of the inspecting rail- alty liability under this part— road;

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(iii) The name of the inspector; (ii) For trains equipped with only (iv) The inspection location and date; tread brake units (TBUs), the percent- (v) The nature of each defect; age of operative power brakes shall be (vi) The destination of the equipment determined by dividing the number of where it will be repaired; and operative TBUs by the total number of (vii) The signature, if possible, and TBUs in the train. job title of the person reporting the de- (iii) Each cut-out axle on a loco- fective condition. motive that weighs more than 200,000 (3) Automated tracking system. Auto- pounds shall be counted as two cut-out mated tracking systems used to meet axles for the purposes of calculating the tagging requirements contained in the percentage of operative brakes. Un- paragraph (c)(2) of this section may be less otherwise specified by the railroad, reviewed and monitored by FRA at any the friction braking effort over all time to ensure the integrity of the sys- other axles shall be considered uni- tem. FRA’s Associate Administrator form. for Safety may prohibit or revoke a (iv) The following brake conditions railroad’s ability to utilize an auto- not in compliance with this part do not mated tracking system in lieu of tag- render power brakes inoperative for ging if FRA finds that the automated purposes of this calculation: tracking system is not properly secure, (A) Failure or cutting out of sec- is inaccessible to FRA or a railroad’s ondary brake systems; employees, or fails to adequately track (B) Inoperative or otherwise defec- or monitor the movement of defective tive handbrakes or parking brakes; equipment. Such a determination will (C) Piston travel that is in excess of be made in writing and will state the the Class I brake test limits required in basis for such action. § 238.313 but that does not exceed the (4) Conditional requirement. In addi- maximum prescribed limits for consid- tion, if an en route failure causes ering the brakes to be effective; and power brakes to be cut out or renders the brake inoperative on passenger (D) Power brakes overdue for inspec- equipment, the railroad shall: tion, testing, maintenance, or sten- (i) Determine the percentage of oper- ciling under this part. ative power brakes in the train based (2) All passenger trains developing 50–74 on the number of brakes known to be percent operative power brakes. A pas- cut out or otherwise inoperative, using senger train that develops inoperative the formula specified in paragraph power brake equipment resulting in at (d)(1) of this section; least 50 percent but less than 75 per- (ii) Notify the person responsible for cent operative power brakes may be the movement of trains of the percent used only as follows: of operative brakes and movement re- (i) The train may be moved in pas- strictions on the train imposed by senger service only to the next forward paragraph (d) of this section; passenger station; (iii) Notify the mechanical depart- (ii) The speed of the train shall be re- ment of the failure; and stricted to 20 mph or less; and (iv) Confirm the percentage of opera- (iii) After all passengers are dis- tive brakes by a walking inspection at charged, the defective equipment shall the next location where the railroad be moved to the nearest location where reasonably judges that it is safe to do the necessary repairs can be made. so. (3) Commuter, short-distance intercity, (d) Operating restrictions based on per- and short-distance Tier II passenger cent operative power brakes in train—(1) trains developing 75–99 percent operative Computation of percent operative power power brakes. (i) 75–84 percent operative brakes. (i) Except as specified in para- brakes. Commuter, short-distance graphs (d)(1)(ii) and (iii) of this section, intercity, and short-distance Tier II the percentage of operative power passenger trains which develop inoper- brakes in a train shall be determined ative power brake equipment resulting by dividing the number of axles in the in at least 75 percent but less than 85 train with operative power brakes by percent operative brakes may be used the total number of axles in the train. only as follows:

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(A) The train may be moved in pas- ating the equipment in the list re- senger service only to the next forward quired by § 238.19(d); however, if the location where the necessary repairs next forward repair location does not can be made; however, if the next for- have the facilities to handle the safe ward location where the necessary re- unloading of passengers, the train may pairs can be made does not have the fa- be moved past the designated repair lo- cilities to handle the safe unloading of cation in service only to the next for- passengers, the train may be moved ward passenger station in order to fa- past the repair location in service only cilitate the unloading of passengers; to the next forward passenger station and in order to facilitate the unloading of (B) The speed of the train shall be re- passengers; and stricted to 50 percent of the train’s (B) The speed of the train shall be re- maximum allowable speed or 40 mph, stricted to 50 percent of the train’s whichever is less; and maximum allowable speed or 40 mph, whichever is less; and (C) After all passengers are dis- (C) After all passengers are dis- charged, the defective equipment shall charged, the defective equipment shall be moved to the nearest location where be moved to the nearest location where the necessary repairs can be made. the necessary repairs can be made. (ii) 85–99 percent operative brakes. (ii) 85–99 percent operative brakes. Long-distance intercity and long-dis- Commuter, short-distance intercity, tance Tier II passenger trains which and short-distance Tier II passenger develop inoperative power brake equip- trains which develop inoperative power ment resulting in at least 85 percent brake equipment resulting in at least but less than 100 percent operative 85 percent but less than 100 percent op- brakes may be used only if all of the erative brakes may only be used as fol- following restrictions are observed: lows: (A) The train may be moved in pas- (A) The train may be moved in pas- senger service only to the next forward senger service only to the next forward repair location identified for repair of location where the necessary repairs that equipment by the railroad oper- can be made; however, if the next for- ating the equipment in the list re- ward location where the necessary re- quired by § 238.19(d); however, if the pairs can be made does not have the fa- next forward repair location does not cilities to handle the safe unloading of have the facilities to handle the safe passengers, the train may be moved unloading of passengers, the train may past the repair location in service only be moved past the designated repair lo- to the next forward passenger station cation in service only to the next for- in order to facilitate the unloading of ward passenger station in order to fa- passengers; and cilitate the unloading of passengers; (B) After all passengers are dis- and charged, the defective equipment shall (B) After all passengers are dis- be moved to the nearest location where charged, the defective equipment shall the necessary repairs can be made. be moved to the nearest location where (4) Long-distance intercity and long-dis- the necessary repairs can be made. tance Tier II passenger trains developing (e) Operating restrictions on passenger 75–99 operative power brakes. (i) 75–84 trains with inoperative power brakes on percent operative brakes. Long-distance intercity and long-distance Tier II pas- the front or rear unit. If the power senger trains which develop inoper- brakes on the front or rear unit in any ative power brake equipment resulting passenger train are completely inoper- in at least 75 percent but less than 85 ative the following shall apply: percent operative brakes may be used (1) If the handbrake is located inside only if all of the following restrictions the interior of the car: are observed: (i) A qualified person shall be sta- (A) The train may be moved in pas- tioned at the handbrake on the unit; senger service only to the next forward (ii) The car shall be locked-out and repair location identified for repair of empty except for the railroad employee that equipment by the railroad oper- manning the handbrake; and

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(iii) Appropriate speed restrictions if all of the following conditions are shall be placed on the train by a quali- satisfied: fied person; (1) If the condition involves a run- (2) If the handbrake is located out- ning gear defect, the defective equip- side the interior of the car or is inac- ment is not used in passenger service cessible to a qualified person: and is moved in a non-revenue train; (i) The car shall be locked-out and (2) If the condition involves a non- empty; running gear defect, the defective (ii) The speed of the train shall be re- equipment may be used in passenger stricted to 20 mph or less; and service in a revenue train provided that (iii) The car shall be removed from a qualified maintenance person deter- the train or repositioned in the train at mines that it is safe to do so, and if so, the first location where it is possible to the car is locked out and empty, and do so. all movement restrictions are observed except that the car may be occupied by (f) Special Notice for Repair. Nothing a member of the train crew or a rail- in this section authorizes the move- road employee to the extent necessary ment of passenger equipment subject to safely operate the train; to a Special Notice for Repair under (3) The requirements of paragraphs part 216 of this chapter unless the (c)(3) and (c)(4) of this section are met; movement is made in accordance with and the restrictions contained in the Spe- (4) The special requirements of para- cial Notice. graph (e) of this section, if applicable, [64 FR 25660, May 12, 1999, as amended at 65 are met. FR 41306, July 3, 2000; 67 FR 19990, Apr. 23, (c) Limitations on movement of pas- 2002] senger equipment that develops defects en route. Except as provided in § 238.17 Movement of passenger equip- §§ 238.303(e)(15), (e)(17) and (e)(18), ment with other than power brake 238.305(c), 238.307(c)(1), and 238.503(f), defects. passenger equipment that develops en Beginning on January 1, 2002, the fol- route to its destination, after its cal- lowing provisions of this section apply endar day mechanical inspection is to railroads operating Tier I passenger performed and before its next calendar equipment covered by this part. A rail- day mechanical inspection is per- road may request earlier application of formed, any condition not in compli- these requirements upon written noti- ance with this part, other than a power fication to FRA’s Associate Adminis- brake defect, may be moved only if the trator for Safety as provided in railroad complies with all of the fol- § 238.1(c) of this part. lowing requirements or, if applicable, (a) General. This section contains the the specified requirements in para- requirements for moving passenger graph (e) of this section: equipment with other than a power (1) Prior to movement of equipment brake defect. (Passenger cars and other with a potential running gear defect, a passenger equipment classified as loco- qualified maintenance person shall de- motives under part 229 of this chapter termine if it is safe to move the equip- are also covered by the movement re- ment in passenger service and, if so, strictions contained in § 229.9 of this the maximum speed and other restric- chapter for those defective conditions tions necessary for safely conducting covered by part 229 of this chapter.) the movement. If appropriate, these de- (b) Limitations on movement of pas- terminations may be made based upon senger equipment containing defects a description of the defective condition found at time of calendar day inspection. provided by a crewmember. If the de- Except as provided in §§ 238.303(e)(15), terminations required by this para- (e)(17) and (e)(18), 238.305(c) and (d), and graph are made by an off-site qualified 238.307(c)(1), passenger equipment con- maintenance person based on a descrip- taining a condition not in conformity tion of the defective condition by on- with this part at the time of its cal- site personnel, then a qualified mainte- endar day mechanical inspection may nance person shall perform a physical be moved from that location for repair inspection of the defective equipment,

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at the first location possible, to verify tem. FRA’s Associate Administrator the description of the defect provided for Safety may prohibit or revoke a by the on-site personnel. railroad’s ability to utilize an auto- (2) Prior to movement of equipment mated tracking system in lieu of tag- with a non-running gear defect, a ging if FRA finds that the automated qualified person or a qualified mainte- tracking system is not properly secure, nance person shall determine if it is is inaccessible to FRA or a railroad’s safe to move the equipment in pas- employees, or fails to adequately track senger service and, if so, the maximum or monitor the movement of defective speed and other restrictions necessary equipment. Such a determination will for safely conducting the movement. If be made in writing and will state the appropriate, these determinations may basis for such action. be made based upon a description of (6) After a qualified maintenance per- the defective condition provided by the son or a qualified person verifies that on-site personnel. the defective equipment is safe to re- (3) Prior to movement of any defec- main in service as required in para- tive equipment, the qualified person or graphs (c)(1) and (c)(2) of this section, qualified maintenance person shall no- the defective equipment that develops tify the crewmember in charge of the a condition not in compliance with this movement of the defective equipment, part while en route may continue in who in turn shall inform all other passenger service not later than the crewmembers of the presence of the de- next calendar day mechanical inspec- fective condition(s) and the maximum tion, if the requirements of this para- speed and other restrictions deter- graph are otherwise fully met. mined under paragraph (c)(1) or (c)(2) (d) Inspection of roller bearings on of this section. The movement shall be equipment involved in a derailment. (1) A made in conformance with such restric- railroad shall not continue passenger tions. equipment in service that has a roller (4) The railroad shall maintain a bearing whose truck was involved in a record of all defects reported and their derailment unless the bearing has been subsequent repair in the defect track- inspected and tested in accordance ing system required in § 238.19. In addi- with the railroad’s procedures for han- tion, prior to movement of the defec- dling defective equipment. tive equipment, a tag or card placed on (2) The roller bearing shall be dis- both sides of the defective equipment, assembled from the axle and inspected or an automated tracking system, shall internally if: record the following information about (i) It shows any external sign of dam- the defective equipment: age; (i) The reporting mark and car or lo- comotive number; (ii) It makes any unusual noise when (ii) The name of the inspecting rail- its wheel set is spun freely (an on-track road; rolling test is acceptable) or when the (iii) The name of the inspector, in- bearing is manually rotated; spection location, and date; (iii) Its truck was involved in a de- (iv) The nature of each defect; railment at a speed of more than 10 (v) Movement restrictions and safety miles per hour; or restrictions, if any; (iv) Its truck was dragged on the (vi) The destination of the equipment ground for more than 100 feet. where it will be repaired; and (e) Special requisites for movement of (vii) The signature, if possible, as passenger equipment with safety appli- well as the job title and location of the ance defects. Consistent with 49 U.S.C. person making the determinations re- 20303, passenger equipment with a safe- quired by this section. ty appliance not in compliance with (5) Automated tracking system. Auto- this part or with part 231 of this chap- mated tracking systems used to meet ter, if applicable, may be moved— the tagging requirements contained in (1) If necessary to effect repair of the paragraph (c)(4) of this section may be safety appliance; reviewed and monitored by FRA at any (2) From the point where the safety time to ensure the integrity of the sys- appliance defect was first discovered by

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the railroad to the nearest available lo- (5) The name of the qualified person cation on the railroad where the nec- or qualified maintenance person mak- essary repairs required to bring the ing such a determination; passenger equipment into compliance (6) Any operating restrictions placed can be made or, at the option of the re- on the equipment; and ceiving railroad, the equipment may be (7) Repairs made and the date that received and hauled for repair to a they were made. point on the receiving railroad’s line (b) Retention of records. At a min- that is no farther than the point on the imum, each railroad shall keep the delivering railroad’s line where the re- records described in paragraph (a) of pair of the defect could have been this section for one periodic mainte- made; nance interval for each specific type of (3) If a tag placed on both sides of the equipment as described in the rail- passenger equipment or an automated road’s inspection, testing, and mainte- tracking system contains the informa- nance plan required by § 238.107. FRA tion required under paragraph (c)(4) of strongly encourages railroads to keep this section; and these records for longer periods of time (4) After notification of the crew- because they form the basis for future member in charge of the movement of reliability-based decisions concerning the defective equipment, who in turn test and maintenance intervals that shall inform all other crewmembers of may be developed pursuant to the presence of the defective condi- § 238.307(b). tion(s). (c) Availability of records. Railroads (f) Special Notice for Repair. Nothing shall make defect reporting and track- in this section authorizes the move- ing records available to FRA upon re- ment of equipment subject to a Special quest. Notice for Repair under part 216 of this (d) List of power brake repair points. chapter unless the movement is made Railroads operating long-distance in accordance with the restrictions intercity and long-distance Tier II pas- contained in the Special Notice. senger equipment shall designate loca- tions, in writing, where repairs to pas- [64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000; 71 FR 61857, Oct. 19, senger equipment with a power brake 2006; 73 FR 6400, Feb. 1, 2008] defect will be made and shall provide the list to FRA’s Associate Adminis- § 238.19 Reporting and tracking of re- trator for Safety and make it available pairs to defective passenger equip- to FRA for inspection and copying ment. upon request. Railroads operating (a) General. Beginning on January 1, these trains shall designate a sufficient 2002, each railroad shall have in place a number of repair locations to ensure reporting and tracking system for pas- the safe and timely repair of passenger senger equipment with a defect not in equipment. These designations shall conformance with this part. A railroad not be changed without at least 30 may request earlier application of days’ advance written notice to FRA’s these requirements upon written noti- Associate Administrator for Safety. fication to FRA’s Associate Adminis- [64 FR 25660, May 12, 1999, as amended at 65 trator for Safety as provided in FR 41306, July 3, 2000] § 238.1(c) of this part. The reporting and tracking system shall record the fol- § 238.21 Special approval procedure. lowing information: (a) General. The following procedures (1) The identification number of the govern consideration and action upon defective equipment; requests for special approval of alter- (2) The date the defect was discov- native standards under § 238.103, ered; § 238.223, § 238.229, § 238.309, § 238.311, (3) The nature of the defect; § 238.405, or § 238.427; for approval of al- (4) The determination made by a ternative compliance under § 238.201, qualified person or qualified mainte- § 238.229, or § 238.230; and for special ap- nance person on whether the equip- proval of pre-revenue service accept- ment is safe to run; ance testing plans as required by

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§ 238.111. (Requests for approval of pro- (e) Federal Register notice. FRA will grams for the inspection, testing, and publish a notice in the FEDERAL REG- maintenance of Tier II passenger ISTER concerning each petition under equipment are governed by § 238.505.) paragraphs (b) and (c) of this section. (b) Petitions for special approval of al- (f) Comment. Not later than 30 days ternative standard. Each petition for from the date of publication of the no- special approval of an alternative tice in the FEDERAL REGISTER con- standard shall contain— cerning a petition under paragraphs (b) (1) The name, title, address, and tele- and (c) of this section, any person may phone number of the primary person to comment on the petition. be contacted with regard to review of (1) Each comment shall set forth spe- the petition; (2) The alternative proposed, in de- cifically the basis upon which it is tail, to be substituted for the par- made, and contain a concise statement ticular requirements of this part; of the interest of the commenter in the (3) Appropriate data or analysis, or proceeding. both, establishing that the alternative (2) Each comment shall be submitted will provide at least an equivalent to the U.S. Department of Transpor- level of safety; and tation, Docket Operations (M–30), West (4) A statement affirming that the Building Ground Floor, Room W12–140, railroad has served a copy of the peti- 1200 New Jersey Avenue, SE., Wash- tion on designated representatives of ington, DC 20590, and shall contain the its employees, together with a list of assigned docket number for that pro- the names and addresses of the persons ceeding. The form of such submission served. may be in written or electronic form (c) Petitions for special approval of al- consistent with the standards and re- ternative compliance. Each petition for quirements established by the Federal special approval of alternative compli- Docket Management System and post- ance shall contain— ed on its web site at http:// (1) The name, title, address, and tele- www.regulations.gov. phone number of the primary person to (g) Disposition of petitions. (1) FRA be contacted with regard to the peti- will conduct a hearing on a petition in tion; accordance with the procedures pro- (2) The elements prescribed in §§ 238.201(b)(1), 238.229(j)(2), and vided in § 211.25 of this chapter. 238.230(d); and (2) If FRA finds that the petition (3) A statement affirming that the complies with the requirements of this railroad has served a copy of the peti- section or that the proposed plan is ac- tion on designated representatives of ceptable or changes are justified, or its employees, together with a list of both, the petition will be granted, nor- the names and addresses of the persons mally within 90 days of its receipt. If served. the petition is neither granted nor de- (d) Petitions for special approval of pre- nied within 90 days, the petition re- revenue service acceptance testing plan. mains pending for decision. FRA may (1) Each petition for special approval of attach special conditions to the ap- a pre-revenue service acceptance test- proval of the petition. Following the ing plan shall contain— approval of a petition, FRA may re- (i) The name, title, address, and tele- open consideration of the petition for phone number of the primary person to cause stated. be contacted with regard to review of (3) If FRA finds that the petition the petition; and does not comply with the requirements (ii) The elements prescribed in of this section, or that the proposed § 238.111. plan is not acceptable or that the pro- (2) Each petition for special approval posed changes are not justified, or of the pre-revenue service acceptance testing plan shall be submitted to the both, the petition will be denied, nor- Associate Administrator, Federal Rail- mally within 90 days of its receipt. road Administration, 1200 New Jersey (4) When FRA grants or denies a peti- Avenue SE, Washington, DC 20590. tion, or reopens consideration of the

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petition, written notice is sent to the nized by an expert consensus organiza- petitioner and other interested parties. tion after special approval of FRA under § 238.21. [64 FR 25660, May 12, 1999, as amended at 64 FR 70196, Dec. 16, 1999; 71 FR 61858, Oct. 19, (3) For purposes of complying with 2006; 74 FR 25174, May 27, 2009; 83 FR 59218, the requirements of this paragraph, a Nov. 21, 2018] railroad may rely on the results of tests of material conducted in accord- § 238.23 Information collection. ance with the standards and perform- (a) The information collection re- ance criteria for flammability and quirements of this part were reviewed smoke emission characteristics as by the Office of Management and Budg- specified in appendix B to this part in et pursuant to the Paperwork Reduc- effect on July 12, 1999 (see 49 CFR parts tion Act of 1995 (44 U.S.C. 3501 et. seq.) 200–399, revised as of October 1, 1999), if and are assigned OMB control number prior to June 25, 2002 the material is— 2130–0544. (i) Installed in a passenger car or lo- (b) The information collection re- comotive; quirements are found in the following (ii) Held in inventory by the railroad; sections: §§ 238.1, 238.7, 238.11, 238.15, or 238.17, 238.19, 238.21, 238.103, 238.105, (iii) Ordered by the railroad. 238.107, 238.109, 238.111, 238.201, 238.203, (b) Certification. A railroad shall re- 238.211, 238.223, 238.231, 238.237, 238.301, quire certification that a representa- 238.303, 238.305, 238.307, 238.309, 238.311, tive sample of combustible materials 238.313, 238.315, 238.317, 238.403, 238.405, to be— 238.421, 238.423, 238.427, 238.431, 238.437, (1) Used in constructing a passenger 238.441, 238.445, 238.447, 238.503, 238.505, car or a locomotive cab, or and 238.603. (2) Introduced in a passenger car or a locomotive cab, as part of any kind of Subpart B—Safety Planning and rebuild, refurbishment, or overhaul of General Requirements the car or cab, has been tested by a rec- ognized independent testing laboratory § 238.101 Scope. and that the results show the rep- This subpart contains safety plan- resentative sample complies with the ning and general safety requirements requirements of paragraph (a) of this for all railroad passenger equipment section at the time it was tested. subject to this part. (c) Fire safety analysis for procuring new passenger cars and locomotives. In § 238.103 Fire safety. procuring new passenger cars and loco- (a) Materials. (1) Materials used in motives, each railroad shall ensure constructing a passenger car or a cab that fire safety considerations and fea- of a locomotive ordered on or after tures in the design of this equipment September 8, 2000, or placed in service reduce the risk of personal injury for the first time on or after September caused by fire to an acceptable level in 9, 2002, shall meet the test performance its operating environment using a for- criteria for flammability and smoke mal safety methodology such as MIL- emission characteristics as specified in STD-882. To this end, each railroad appendix B to this part, or alternative shall complete a written fire safety standards issued or recognized by an analysis for the passenger equipment expert consensus organization after being procured. In conducting the anal- special approval of FRA under § 238.21. ysis, the railroad shall— (2) On or after November 8, 1999, ma- (1) Identify, analyze, and prioritize terials introduced in a passenger car or the fire hazards inherent in the design a locomotive cab, as part of any kind of of the equipment. rebuild, refurbishment, or overhaul of (2) Take effective steps to design the the car or cab, shall meet the test per- equipment and select materials which formance criteria for flammability and help provide sufficient fire resistance smoke emission characteristics as to reasonably ensure adequate time to specified in appendix B to this part, or detect a fire and safely evacuate the alternative standards issued or recog- passengers and crewmembers, if a fire

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cannot be prevented. Factors to con- stalled in any unoccupied compart- sider include potential ignition ment when the analysis determines sources; the type, quantity, and loca- that such equipment is practical and tion of the materials; and availability necessary to ensure sufficient time for of rapid and safe egress to the exterior the safe evacuation of passengers and of the equipment under conditions se- crewmembers from the train. cure from fire, smoke, and other haz- (8) Explain how safety issues are re- ards. solved in the design of the equipment (3) Reasonably ensure that a ventila- and selection of materials to reduce tion system in the equipment does not the risk of each fire hazard. contribute to the lethality of a fire. (9) Describe the analysis and testing (4) Identify in writing any train com- necessary to demonstrate that the fire ponent that is a risk of initiating fire protection approach taken in the de- and which requires overheat protec- sign of the equipment and selection of tion. An overheat detector shall be in- materials meets the fire protection re- stalled in any component when the quirements of this part. analysis determines that an overheat (d) Fire safety analysis for existing pas- detector is necessary. senger cars and locomotives. (1) Not later (5) Identify in writing any unoccu- than January 10, 2001, each passenger pied train compartment that contains railroad shall complete a preliminary equipment or material that poses a fire fire safety analysis for each category of hazard, and analyze the benefit pro- existing passenger cars and loco- vided by including a fire or smoke de- motives and rail service. tection system in each compartment so identified. A fire or smoke detector (2) Not later than July 10, 2001, each shall be installed in any unoccupied such railroad shall— compartment when the analysis deter- (i) Complete a final fire safety anal- mines that such equipment is nec- ysis for any category of existing pas- essary to ensure sufficient time for the senger cars and locomotives and rail safe evacuation of passengers and crew- service evaluated during the prelimi- members from the train. For purposes nary fire safety analysis as likely pre- of this section, an unoccupied train senting an unacceptable risk of per- compartment means any part of the sonal injury. In conducting the anal- equipment structure that is not nor- ysis, the railroad shall consider the ex- mally occupied during operation of the tent to which materials comply with train, including a closet, baggage com- the test performance criteria for flam- partment, food pantry, etc. mability and smoke emission charac- (6) Determine whether any occupied teristics as specified in Appendix B to or unoccupied space requires a portable this part or alternative standards ap- fire extinguisher and, if so, the proper proved by FRA under this part. type and size of the fire extinguisher (ii) Take remedial action to reduce for each location. As required by the risk of personal injuries to an ac- § 239.101 of this chapter, each passenger ceptable level in any such category, if car is required to have a minimum of the railroad finds the risk to be unac- one portable fire extinguisher. If the ceptable. In considering remedial ac- analysis performed indicates that one tion, a railroad is not required to re- or more additional portable fire extin- place material found not to comply guishers are needed, such shall be in- with the test performance criteria for stalled. flammability and smoke emission (7) On a case-by-case basis, analyze characteristics required by this part, the benefit provided by including a if: fixed, automatic fire-suppression sys- (A) The risk of personal injuries from tem in any unoccupied train compart- the material is negligible based on the ment that contains equipment or mate- railroad’s operating environment and rial that poses a fire hazard, and deter- the material’s size, or location, or mine the proper type and size of the both; or automatic fire-suppression system for (B) The railroad takes alternative ac- each such location. A fixed, automatic tion which reduces the risk of personal fire-suppression system shall be in- injuries to an acceptable level.

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(3) Not later than July 10, 2003, each (e) Inspection, testing, and mainte- such railroad shall— nance. Each railroad shall develop and (i) Complete a final fire safety anal- adopt written procedures for the in- ysis for all categories of existing pas- spection, testing, and maintenance of senger cars and locomotives and rail all fire safety systems and fire safety service. In completing this analysis, equipment on the passenger equipment the railroad shall, as far as practicable, it operates. The railroad shall comply determine the extent to which remain- with those procedures that it des- ing materials comply with the test per- ignates as mandatory for the safety of formance criteria for flammability and the equipment and its occupants. smoke emission characteristics as [64 FR 25660, May 12, 1999, as amended at 67 specified in Appendix B to this part or FR 42909, June 25, 2002] alternative standards approved by FRA under this part. § 238.105 Train electronic hardware (ii) Take remedial action to reduce and software safety. the risk of personal injuries to an ac- The requirements of this section ceptable level in any such category, if apply to electronic hardware and soft- the railroad finds the risk to be unac- ware used to control or monitor safety ceptable. In considering remedial ac- functions in passenger equipment or- tion, a railroad is not required to re- dered on or after September 8, 2000, and place material found not to comply such components implemented or ma- with the test performance criteria for terially modified in new or existing flammability and smoke emission passenger equipment on or after Sep- characteristics required by this part, tember 9, 2002. if: (a) The railroad shall develop and (A) The risk of personal injuries from maintain a written hardware and soft- the material is negligible based on the ware safety program to guide the de- railroad’s operating environment and sign, development, testing, integration, the material’s size, or location, or and verification of software and hard- both; or ware that controls or monitors equip- (B) The railroad takes alternative ac- ment safety functions. tion which reduces the risk of personal (b) The hardware and software safety injuries to an acceptable level. program shall be based on a formal (4) Where possible prior to transfer- safety methodology that includes a ring existing passenger cars and loco- Failure Modes, Effects, Criticality motives to a new category of rail serv- Analysis (FMECA); verification and ice, but in no case more than 90 days validation testing for all hardware and following such a transfer, the pas- software components and their inter- senger railroad shall complete a new faces; and comprehensive hardware and fire safety analysis taking into consid- software integration testing to ensure eration the change in railroad oper- that the hardware and software system ations and shall effect prompt action functions as intended. to reduce any identified risk to an ac- (c) The hardware and software safety ceptable level. program shall include a description of (5) As used in this paragraph, a ‘‘cat- how the following will be accom- egory of existing passenger cars and lo- plished, achieved, carried out, or im- comotives and rail service’’ shall be de- plemented to ensure safety and reli- termined by the railroad based on rel- ability: evant fire safety risks, including avail- (1) The hardware and software design able ignition sources, presence or ab- process; sence of heat/smoke detection systems, (2) The hardware and software design known variations from the required documentation; material test performance criteria or (3) The hardware and software hazard alternative standards approved by analysis; FRA, and availability of rapid and safe (4) Hardware and software safety re- egress to the exterior of the vehicle views; under conditions secure from fire, (5) Hardware and software hazard smoke, and other hazards. monitoring and tracking;

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(6) Hardware and software integra- (1) Inspection procedures, intervals, tion safety testing; and and criteria; (7) Demonstration of overall hard- (2) Test procedures and intervals; ware and software system safety as (3) Scheduled preventive mainte- part of the pre-revenue service testing nance intervals; of the equipment. (4) Maintenance procedures; and (d)(1) Hardware and software that (5) Special testing equipment or controls or monitors a train’s primary measuring devices required to perform braking system shall either: inspections and tests. (i) Fail safely by initiating a full (c) The inspection, testing, and main- service or emergency brake application tenance plan required by this section is in the event of a hardware or software not intended to address and should not failure that could impair the ability of include procedures to address employee the engineer to apply or release the working conditions that arise in the brakes; or course of conducting the inspections, (ii) Provide the engineer access to di- tests, and maintenance set forth in the rect manual control of the primary plan. When requesting a copy of the braking system (service or emergency railroad’s plan, FRA does not intend to braking). review any portion of the plan that re- (2) Hardware and software that con- lates to employee working conditions. trols or monitors the ability to shut (d) The inspection, testing, and main- down a train’s main power and fuel in- tenance plan required by this section take system shall either: shall be reviewed by the railroad annu- (i) Fail safely by shutting down the ally. main power and cutting off the intake [64 FR 25660, May 12, 1999, as amended at 65 of fuel in the event of a hardware or FR 41307, July 3, 2000] software failure that could impair the ability of the train crew to command § 238.109 Training, qualification, and that electronic function; or designation program. (ii) The ability to shut down the (a) Beginning on January 1, 2002, each main power and fuel intake by non- railroad shall have adopted a training, electronic means shall be provided to qualification, and designation program the train crew. for employees and contractors that (e) The railroad shall comply with perform any of the inspections, tests, the elements of its hardware and soft- or maintenance required by this part, ware safety program that affect the and shall have trained such employees safety of the passenger equipment. and contractors in accordance with the [67 FR 19990, Apr. 23, 2002, as amended at 77 program. A railroad may request ear- FR 21356, Apr. 9, 2012] lier application of these requirements upon written notification to FRA’s As- § 238.107 Inspection, testing, and main- sociate Administrator for Safety as tenance plan. provided in § 238.1(c). For purposes of (a) General. Beginning on January 1, this section, a ‘‘contractor’’ is defined 2002, the following provisions of this as a person under contract with the section apply to railroads operating railroad or an employee of a person Tier I passenger equipment covered by under contract with the railroad to this part. A railroad may request ear- perform any of the tasks required by lier application of these requirements this part. upon written notification to FRA’s As- (b) As part of this program, the rail- sociate Administrator for Safety as road shall, at a minimum: provided in § 238.1(c). (1) Identify the tasks related to the (b) Each railroad shall develop, and inspection, testing, and maintenance provide to FRA upon request, a de- required by this part that must be per- tailed inspection, testing, and mainte- formed on each type of equipment that nance plan consistent with the require- the railroad operates; ments of this part. This plan shall in- (2) Develop written procedures for clude a detailed description of the fol- the performance of the tasks identified lowing: in paragraph (b)(1) of this section;

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(3) Identify the skills and knowledge shall not be required to complete their necessary to perform each task identi- first periodic refresher training until fied in paragraph (b)(1) of this section; four years after the completion of their (4) Adopt a training curriculum that initial training, and every three years includes classroom and ‘‘hands-on’’ les- thereafter; sons designed to impart the skills and (12) Add new equipment to the quali- knowledge identified as necessary to fication and designation program prior perform each task identified in para- to its introduction to revenue service; graph (b)(1) of this section. The train- and ing curriculum shall specifically ad- (13) Maintain records adequate to dress the Federal regulatory require- demonstrate that each employee and ments contained in this part that are contractor performing safety-related related to the performance of the tasks tasks on passenger equipment is cur- identified; rently qualified to do so. These records (5) Require all employees and con- shall be adequate to distinguish the tractors to successfully complete the qualifications of the employee or con- training course that covers the equip- tractor as a qualified person or as a ment and tasks for which they are re- qualified maintenance person. sponsible that are required by this part as well as the specific Federal regu- [64 FR 25660, May 12, 1999, as amended at 65 latory requirements contained in this FR 41307, July 3, 2000; 67 FR 19990, Apr. 23, 2002] part related to equipment and tasks for which they are responsible; § 238.111 Pre-revenue service accept- (6) Require all employees and con- ance testing plan. tractors to pass either a written or an oral examination covering the equip- (a) Passenger equipment that has pre- ment and tasks for which they are re- viously been used in revenue service in the sponsible that are required by this part United States. For passenger equipment as well as the specific Federal regu- that has previously been used in rev- latory requirements contained in this enue service in the United States, each part related to equipment and tasks for railroad shall test the equipment on its which they are responsible; system prior to placing such equipment (7) Require all employees and con- in revenue service for the first time on tractors to individually demonstrate its railroad to ensure the compatibility ‘‘hands-on’’ capability to successfully of the equipment with the railroad’s perform the tasks required by this part operating system (including the track, that must be performed as part of their and signal system). A description of duties on the type equipment to which such testing shall be retained by the they are assigned; railroad and made available to FRA for (8) Require supervisors to complete inspection and copying upon request. the program that covers the employees For purposes of this paragraph, pas- whom they supervise, including re- senger equipment that has previously fresher training; been used in revenue service in the (9) Require supervisors to exercise United States means: oversight to ensure that all the identi- (1) The actual equipment used in fied tasks are performed in accordance such service; with the railroad’s written procedures; (2) Equipment manufactured identi- (10) Designate in writing that each cally to that actual equipment; and employee and contractor has the (3) Equipment manufactured simi- knowledge and skills necessary to per- larly to that actual equipment with no form the safety-related tasks that are material differences in safety-critical part of his or her job; components or systems. (11) Require periodic refresher train- (b) Passenger equipment that has not ing, at an interval not to exceed three been used in revenue service in the United years, that includes classroom and States. Before using passenger equip- ‘‘hands-on’’ training, as well as testing; ment for the first time on its system except, employees and contractors that that has not been used in revenue serv- have completed their initial training ice in the United States, each railroad under this part prior to January 1, 2002, shall:

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(1) Prepare a pre-revenue service ac- places of the pre-revenue service tests ceptance testing plan for the equip- to permit FRA observation of such ment which contains the following ele- tests. For Tier II and Tier III passenger ments: equipment, the railroad shall obtain (i) An identification of any waivers of FRA approval of the plan under the FRA or other Federal safety regula- procedures specified in § 238.21. tions required for the testing or for (3) Comply with the plan, including revenue service operation of the equip- fully executing the tests required by ment; the plan. (ii) A clear statement of the test ob- (4) Document in writing the results jectives. One of the principal test ob- of the tests. For Tier II and Tier III jectives shall be to demonstrate that passenger equipment, the railroad shall the equipment meets the safety re- report the results of the tests to the quirements specified in this part when Associate Administrator at least 90 operated in the environment in which days prior to its intended operation of it is to be used; the equipment in revenue service. (iii) A planned schedule for con- (5) Correct any safety deficiencies ducting the testing; identified in the design of the equip- (iv) A description of the railroad ment or in the ITM procedures uncov- property or facilities to be used to con- ered during testing. If safety defi- duct the testing; ciencies cannot be corrected by design (v) A detailed description of how the changes, the railroad shall impose testing is to be conducted, including a operational limitations on the revenue description of the criteria to be used to service operation of the equipment de- evaluate the equipment’s performance; signed to ensure the equipment can op- (vi) A description of how the test re- erate safely. For Tier II and Tier III sults are to be recorded; passenger equipment, the railroad shall (vii) A description of any special in- comply with any operational limita- strumentation to be used during the tions the Associate Administrator im- tests; (viii) A description of the informa- poses on the revenue service operation tion or data to be obtained; of the equipment for cause stated fol- (ix) A description of how the informa- lowing FRA review of the results of the tion or data obtained is to be analyzed test program. This section does not re- or used; strict a railroad from petitioning FRA (x) A description of any criteria to be for a waiver of a safety regulation used as safety limits during the test- under the procedures specified in part ing; 211 of this chapter. (xi) A description of the criteria to be (6) Make the plan and documentation used to measure or determine the suc- kept pursuant to that plan available cess or failure of the tests. If accept- for inspection and copying by FRA ance is to be based on extrapolation of upon request. less than full-level testing results, the (7) For Tier II or Tier III passenger analysis to be done to justify the valid- equipment, obtain approval from the ity of the extrapolation shall be de- Associate Administrator before placing scribed; the equipment in revenue service. The (xii) Quality control procedures to Associate Administrator will grant ensure that the inspection, testing, and such approval if the railroad dem- maintenance procedures are followed; onstrates compliance with the applica- (xiii) Criteria to be used for the rev- ble requirements of this part. enue service operation of the equip- (c) If a railroad plans a major up- ment; and grade or introduction of new tech- (xiv) A description of any testing of nology to Tier II or Tier III passenger the equipment that has previously been equipment that has been used in rev- performed. enue service in the United States and (2) Submit a copy of the plan to FRA that affects a safety system on such at least 30 days before testing the equipment, the railroad shall follow equipment and include with that sub- the procedures in paragraph (b) of this mission notification of the times and section before placing the equipment in

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revenue service with the major upgrade pable of removal without requiring the or introduction of new technology. use of a tool or other implement. (d)(1) Prior to January 28, 2015, all [64 FR 25660, May 12, 1999, as amended at 83 FR 59218, Nov. 21, 2018] door exits intended for emergency egress shall either be lighted or con- § 238.112 Door emergency egress and spicuously and legibly marked with lu- rescue access systems. minescent material on the inside of Except as provided in § 238.439— each car, and legible and understand- (a) Each powered, exterior side door able instructions shall be provided for in a vestibule that is partitioned from their use at or near each such door. the passenger compartment of a pas- (2) On or after January 28, 2015, all senger car shall have a manual over- door exits intended for emergency ride device that is: egress shall be marked, and instruc- (1) Capable of releasing the door to tions provided for their use, as speci- permit it to be opened without power fied in § 238.125. from inside the car; (e)(1) Prior to January 28, 2015, all (2) Located adjacent to the door doors intended for access by emergency which it controls; and responders shall be marked on the ex- (3) Designed and maintained so that a terior of the car with retroreflective person may readily access and operate material, and legible and understand- the override device from inside the car able instructions shall be posted at or without requiring the use of a tool or near each such door. other implement. If the door is dual- (2) On or after January 28, 2015, all leafed, only one of the door leaves is re- doors intended for access by emergency quired to respond to the manual over- responders shall be marked, and in- ride device. structions provided for their use, as (b) Each Tier I passenger car ordered specified in § 238.125. on or after September 8, 2000, or placed (f) Vestibule doors and other interior in service for the first time on or after doors intended for passage through a September 9, 2002, and all Tier II pas- passenger car. The requirements of senger cars shall have a minimum of paragraphs (f)(1) through (6) of this sec- two exterior side doors, one in each tion apply only to passenger cars or- side of the car. Each such door shall dered on or after January 28, 2014, or provide a minimum clear opening with placed in service for the first time on dimensions of 30 inches horizontally by or after January 29, 2018. 74 inches vertically. A set of dual- (1) General. Except for a door pro- leafed doors is considered a single door viding access to a control compartment for purposes of this paragraph. Each and a bi-parting door, which is subject powered, exterior side door on each to the requirements in paragraph (f)(3) such passenger car shall have a manual of this section, each vestibule door and override device that is: any other interior door intended for (1) Capable of releasing the door to passage through a passenger car shall permit it to be opened without power be equipped with a removable panel or from both inside and outside the car; removable window in the event the (2) Located adjacent to the door door will not open in an emergency, or which it controls; and the car is on its side and the door is (3) Designed and maintained so that a difficult to open. If the door is powered, person may access the override device it shall have a manual override device from both inside and outside the car that conforms with the requirements of without requiring the use of a tool or paragraphs (f)(4) through (6) of this sec- other implement. tion. NOTE TO PARAGRAPH (b): The Americans (2) Removable panels and windows—(i) with Disabilities Act (ADA) Accessibility Ease of operability. Each removable Specifications for Transportation Vehicles panel or removable window shall be de- also contain requirements for doorway clear- signed to permit rapid and easy re- ance (See 49 CFR Part 38). moval from each side of the door dur- (c) A manual override device used to ing an emergency situation without re- open a powered, exterior door may be quiring the use of a tool or other im- protected with a cover or a screen ca- plement.

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(ii) Dimensions. Removal of the panel Public Transportation Association, or window shall create an unobstructed 1666 K Street NW., Washington, DC opening in the door with minimum di- 20006, www.aptastandards.com. You may mensions of 21 inches horizontally by inspect a copy of the document at the 28 inches vertically. Federal Railroad Administration, (iii) Location. Each removable panel Docket Clerk, 1200 New Jersey Avenue or removable window shall be located SE., Washington, DC or at the National so that the lowest point of the opening Archives and Records Administration created by removing the panel or win- (NARA). For information on the avail- dow is no higher than 18 inches above ability of this material at NARA, call the floor. 202–741–6030, or go to: http:// (3) Bi-parting doors. Each powered, bi- www.archives.gov/federallregister/ parting vestibule door and any other codeloflfederallregulations/ interior, powered bi-parting door in- ibrllocations.html. tended for passage through a passenger (ii) For bi-parting doors, each manual car shall be equipped with a manual override device and each retention override device and mechanism to re- mechanism shall be conspicuously and tain each door leaf in the open position legibly marked with luminescent mate- (e.g., ratchet and pawl, or sprag). Each rial. Legible and understandable oper- manual override device shall conform ating instructions for each manual with the requirements of paragraphs override device and each retention (f)(4), (f)(5)(ii), and (f)(6) of this section. mechanism shall be posted at or near (4) Manual override devices. Each man- each such device or mechanism. ual override device shall be: (6) Testing. At an interval not to ex- (i) Capable of releasing the door or ceed 184 days, as part of the periodic door leaf, if the door is bi-parting, to mechanical inspection, each railroad permit it to be opened without power; shall test a representative sample of (ii) Located adjacent to the door or the door removable panels, removable door leaf, if the door is bi-parting, it windows, manual override devices, and controls; and retention mechanisms on its cars, as (iii) Designed and maintained so that applicable, to determine that they op- a person may readily access and oper- erate as intended. The sampling meth- ate the override device from each side od must conform with a formalized sta- of the door without the use of a tool or tistical test method. other implement. [78 FR 71812, Nov. 29, 2013] (5) Marking and instructions. (i) Each removable panel or removable window § 238.113 Emergency window exits. in a vestibule door or other interior (a) Number and location. Except as door intended for passage through a provided in paragraph (a)(3) of this sec- passenger car shall be conspicuously tion, the following requirements in this and legibly marked with luminescent paragraph (a) apply on or after April 1, material on each side of the door as 2008— specified in section 5.4.2 of APTA PR– (1) Single-level passenger cars. Each PS–S–002–98, Rev. 3, ‘‘Standard for single-level passenger car shall have a Emergency Signage for Egress/Access minimum of four emergency window of Passenger Rail Equipment,’’ Author- exits. At least one emergency window ized October 7, 2007, or an alternative exit shall be located in each side of standard providing at least an equiva- each end (half) of the car, in a stag- lent level of safety, if approved by FRA gered configuration where practical. pursuant to § 238.21. Legible and under- (See Figure 1 to this subpart; see also standable operating instructions shall Figures 1b and 1c to this subpart.) be posted on each side of the door at (2) Multi-level passenger cars—main each such panel or window. The incor- levels. Each main level in a multi-level poration by reference of this APTA passenger car is subject to the same re- standard was approved by the Director quirements specified for single-level of the Federal Register in accordance passenger cars in paragraph (a)(1) of with 5 U.S.C. 552(a) and 1 CFR Part 51. this section. You may obtain a copy of the incor- (3) Multi-level passenger cars—levels porated document from the American with seating areas other than main levels.

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(i) Except as provided in paragraphs (b) Ease of operability. On or after No- (a)(3)(ii) and (iii) of this section, on or vember 8, 1999, each emergency window after August 1, 2009, any level other exit shall be designed to permit rapid than a main level used for passenger and easy removal from the inside of the seating in a multi-level passenger car, car during an emergency situation such as an intermediate level, shall without requiring the use of a tool or have a minimum of two emergency other implement. window exits in each seating area. The (c) Dimensions. Except as provided in emergency window exits shall be acces- paragraphs (c)(1) and (c)(2) of this sec- sible to passengers in the seating area tion, each emergency window exit in a without requiring movement through passenger car, including a sleeping car, an interior door or to another level of ordered on or after September 8, 2000, the car. At least one emergency win- or placed in service for the first time dow exit shall be located in each side of on or after September 9, 2002, shall the seating area. An emergency win- have an unobstructed opening with dow exit may be located within an ex- minimum dimensions of 26 inches hori- terior side door in the passenger com- zontally by 24 inches vertically. A partment if it is not practical to place seatback is not an obstruction if it can the window exit in the side of the seat- be moved away from the window open- ing area. (See Figures 2 and 2a to this ing without using a tool or other im- subpart.) plement. (ii) Only one emergency window exit (1) Emergency window exits in exterior is required in a seating area in a pas- side doors. An emergency window exit senger compartment if: located within an exterior side door, in (A) It is not practical to place an accordance with the requirements of emergency window exit in a side of the paragraph (a)(3)(i) of this section, may passenger compartment due to the have an unobstructed opening with need to provide accessible accommoda- minimum dimensions of 24 inches hori- tions under the Americans with Dis- zontally by 26 inches vertically. abilities Act of 1990; (2) Additional emergency window exits. (B) There are no more than four seats Any emergency window exit in addi- in the seating area; and tion to the minimum number required (C) A suitable, alternate arrangement by paragraph (a) of this section that for emergency egress is provided. has been designated for use by the rail- (iii) For passenger cars ordered prior road need not comply with the min- to April 1, 2009, and placed in service imum dimension requirements in para- prior to April 1, 2011, only one emer- graph (c) of this section, but must oth- gency window exit is required in a seat- erwise comply with all requirements in ing area in a passenger compartment this part applicable to emergency win- if— dow exits. (A) It is not practicable to place a (d) Marking and instructions. (1) Prior window exit in a side of the passenger to January 28, 2015, each emergency compartment (due to the presence of a window exit shall be conspicuously and structure such as a bathroom, elec- legibly marked with luminescent mate- trical locker, or kitchen); and rial on the inside of each car to facili- (B) There are no more than eight tate egress. Legible and understandable seats in the seating area. operating instructions, including in- (4) Cars with a sleeping compartment or structions for removing the window, similar private compartment. Each level shall be posted at or near each such of a passenger car with a sleeping com- window exit. partment or a similar private compart- (2) On or after January 28, 2015, each ment intended to be occupied by a pas- emergency window exit shall be senger or train crewmember shall have marked, and instructions provided for at least one emergency window exit in its use, as specified in § 238.125. each such compartment. For purposes (3) If window removal may be hin- of this paragraph (a)(4), a bathroom, dered by the presence of a seatback, kitchen, or locomotive cab is not con- headrest, luggage rack, or other fix- sidered a ‘‘compartment.’’ ture, the instructions shall state the

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method for allowing rapid and easy re- (ii) For a single-level passenger car moval of the window, taking into ac- ordered prior to September 8, 2000, and count the fixture(s), and this portion of placed in service prior to September 9, the instructions may be in written or 2002, the requirements of paragraph pictorial format. This paragraph (d)(3) (a)(1) apply on or after August 1, 2009 if applies to each emergency window exit the car has at least two exterior side subject to paragraph (d)(1) or (2) of this doors (or door leaves), each with a section. manual override device, and such doors (e) Periodic testing. At an interval not (or door leaves) are located one on each to exceed 184 days, as part of the peri- side of the car, in opposite ends odic mechanical inspection, each rail- (halves) of the car (i.e., in diagonally- road shall test a representative sample opposite quadrants). The manual over- of emergency window exits on its cars ride device shall be— to determine that they operate as in- (A) Capable of releasing the door (or tended. The sampling method must door leaf) to permit it to be opened conform with a formalized statistical without power from outside the car; test method. (B) Located adjacent to the door (or door leaf) that it controls; and [73 FR 6401, Feb. 1, 2008, as amended at 78 FR (C) Designed and maintained so that 71813, Nov. 29, 2013] a person can access the override device from outside the car without using a § 238.114 Rescue access windows. tool or other implement. (a) Number and location. Except as (2) Multi-level passenger cars—main provided in paragraph (a)(1)(ii) of this levels. Each main level in a multi-level section, the following requirements in passenger car is subject to the same re- this paragraph (a) apply on or after quirements specified for single-level April 1, 2008— passenger cars in paragraph (a)(1) of (1) Single-level passenger cars. Except this section, with the exception of as provided in this paragraph (a)(1) and paragraph (a)(1)(ii), which is not appli- in paragraphs (a)(1)(i), (a)(1)(ii), and cable. (a)(5) of this section, each single-level (3) Multi-level passenger cars—levels passenger car shall have a minimum of with seating areas other than main levels. two rescue access windows. At least (i) Except as provided in paragraphs one rescue access window shall be lo- (a)(3)(ii) and (a)(3)(iii) of this section, cated in each side of the car entirely any level other than a main level used within 15 feet of the car’s centerline, or for passenger seating in a multi-level entirely within 71⁄2 feet of the center- passenger car, such as an intermediate line if the car does not exceed 45 feet in level, shall have a minimum of two res- length. (See Figure 1a to this subpart; cue access windows in each seating see also Figures 1b and 1c to this sub- area. The rescue access windows shall part.) If the seating level is obstructed permit emergency responders to gain by an interior door or otherwise parti- access to passengers in the seating area tioned into separate seating areas, without requiring movement through each separate seating area shall have a an interior door or to another level of minimum of one rescue access window the car. At least one rescue access win- in each side of the seating area, located dow shall be located in each side of the as near to the center of the car as prac- seating area. A rescue access window tical. may be located within an exterior side (i) For a single-level passenger car door in the passenger compartment if ordered prior to April 1, 2009, and it is not practical to place the access placed in service prior to April 1, 2011, window in the side of the seating area. rescue access windows may be located (See Figures 2 and 2a of this subpart.) farther than the above prescribed dis- (ii) Only one rescue access window is tances from the car’s centerline, or lo- required in a seating area in a pas- cated within exterior side doors, or senger compartment if— both, if at least one rescue access win- (A) It is not practical to place a res- dow is located within each side of each cue access window in a side of the pas- end (half) of the same passenger com- senger compartment due to the need to partment. provide accessible accommodations

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under the Americans with Disabilities the requirements of paragraph (a)(3)(i) Act of 1990; of this section, may have an unob- (B) There are no more than four seats structed opening with minimum di- in the seating area; and mensions of 24 inches horizontally by (C) A suitable, alternate arrangement 26 inches vertically. A seatback is not for rescue access is provided. an obstruction if it can be moved away (iii) For passenger cars ordered prior from the window opening without to April 1, 2009, and placed in service using a tool or other implement. prior to April 1, 2011, only one rescue (d) Marking and instructions. (1) Prior access window is required in a seating to January 28, 2015, each rescue access area in a passenger compartment if— window shall be marked with (A) It is not practicable to place an retroreflective material on the exterior access window in a side of the pas- of each car. A unique and easily rec- senger compartment (due to the pres- ognizable symbol, sign, or other con- ence of a structure such as a bathroom, spicuous marking shall also be used to electrical locker, or kitchen); and identify each such window. Legible and (B) There are no more than eight understandable window-access instruc- seats in the seating area. tions, including instructions for remov- (4) Cars with a sleeping compartment or ing the window, shall be posted at or similar private compartment. Each level near each rescue access window. of a passenger car with a sleeping com- (2) On or after January 28, 2015, each partment or a similar private compart- rescue access window shall be marked, ment intended to be occupied by a pas- and instructions provided for its use, as senger or train crewmember shall have specified in § 238.125. a minimum of one rescue access win- dow in each such compartment. For [73 FR 6401, Feb. 1, 2008, as amended at 78 FR 71813, Nov. 29, 2013] purposes of this paragraph, a bath- room, kitchen, or locomotive cab is not § 238.115 Emergency lighting. considered a ‘‘compartment.’’ (5) Dual-function windows. If, on any (a) Prior to January 1, 2017, the re- level of a passenger car, the emergency quirements specified in paragraphs window exits installed to meet the (a)(1) through (4) of this section apply minimum requirements of § 238.113 are to each passenger car ordered on or also intended to function as rescue ac- after September 8, 2000, or placed in cess windows, the minimum require- service for the first time on or after ments for the number and location of September 9, 2002. Emergency lighting rescue access windows in paragraphs shall be provided in each passenger car (a)(1) through (a)(4) of this section are and shall include the following: also met for that level. (1) A minimum, average illumination (b) Ease of operability. On or after level of 1 foot-candle measured at floor April 1, 2008, each rescue access window level adjacent to each exterior door must be capable of being removed with- and each interior door providing access out unreasonable delay by an emer- to an exterior door (such as a door gency responder using either— opening into a vestibule); (1) A provided external mechanism; (2) A minimum, average illumination or level of 1 foot-candle measured 25 (2) Tools or implements that are inches above floor level along the cen- commonly available to the responder ter of each aisle and passageway; in a passenger train emergency. (3) A minimum illumination level of (c) Dimensions. Each rescue access 0.1 foot-candle measured 25 inches window in a passenger car, including a above floor level at any point along the sleeping car, ordered on or after April center of each aisle and passageway; 1, 2009, or placed in service for the first and time on or after April 1, 2011, shall (4) A back-up power system capable have an unobstructed opening with of: minimum dimensions of 26 inches hori- (i) Operating in all equipment ori- zontally by 24 inches vertically. A res- entations within 45 degrees of vertical; cue access window located within an (ii) Operating after the initial shock exterior side door, in accordance with of a collision or derailment resulting in

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the following individually applied ac- passenger equipment shall be appro- celerations: priately equipped with interlocks or (A) Longitudinal: 8g; guards to minimize the risk of personal (B) Lateral: 4g; and injury. This section does not apply to (C) Vertical: 4g; and the interior of a private car. (iii) Operating all emergency lighting for a period of at least 90 minutes with- § 238.119 Rim-stamped straight-plate out a loss of more than 40% of the min- wheels. imum illumination levels specified in (a)(1) Except as provided in para- this paragraph (a). graph (a)(2) of this section, on or after (b)(1) As further specified in para- November 8, 1999, no railroad shall graph (b)(2) of this section, on or after place or continue in service any vehi- January 1, 2017, emergency lighting cle, other than a private car, that is shall be provided in each passenger car equipped with a rim-stamped straight- in accordance with the minimum re- plate wheel if a brake shoe acts on the quirements specified in APTA PR–E–S– tread of the wheel for the purpose of 013–99, Rev. 1, ‘‘Standard for Emer- slowing the vehicle. gency Lighting System Design for Pas- (2) A commuter railroad may con- senger Cars,’’ Authorized October 7, tinue in service a vehicle equipped with 2007, or an alternative standard pro- a Class A, rim-stamped straight-plate viding at least an equivalent level of wheel mounted on an inboard-bearing safety if approved by FRA pursuant to axle until the railroad exhausts its re- § 238.21. The incorporation by reference placement stock of wheels held as of of this APTA standard was approved by May 12, 1999, provided the railroad does the Director of the Federal Register in not modify the operation of the vehicle accordance with 5 U.S.C. 552(a) and 1 in any way that would result in in- CFR Part 51. You may obtain a copy of creased thermal input to the wheel the incorporated document from the during braking. American Public Transportation Asso- (b) A rim-stamped straight-plate ciation, 1666 K Street NW., Wash- wheel shall not be used as a replace- ington, DC 20006, ment wheel on a private car that oper- www.aptastandards.com. You may in- ates in a passenger train if a brake spect a copy of the document at the shoe acts on the tread of the wheel for Federal Railroad Administration, the purpose of slowing the car. Docket Clerk, 1200 New Jersey Avenue (c) The requirements of this section SE., Washington, DC or at the National do not apply to a wheel that is periodi- Archives and Records Administration cally tread-braked for a short duration (NARA). For information on the avail- by automatic circuitry for the sole pur- ability of this material at NARA, call pose of cleaning the wheel tread sur- 202–741–6030, or go to: http:// face. www.archives.gov/federallregister/ codeloflfederallregulations/ § 238.121 Emergency communication. ibrllocations.html. (a) PA system (public address system). (2) No later than December 31, 2015, (1) Existing Tier I passenger cars. On or at least 70 percent of each railroad’s after January 1, 2012, each Tier I pas- passenger cars that were ordered prior senger car shall be equipped with a PA to September 8, 2000, and placed in system that provides a means for a service prior to September 9, 2002, shall train crewmember to communicate by be in compliance with the emergency voice to passengers of his or her train lighting requirements provided in para- in an emergency situation. graph (b)(1) of this section. (2) New Tier I and all Tier II passenger [78 FR 71813, Nov. 29, 2013] cars. Each Tier I passenger car ordered on or after April 1, 2008, or placed in § 238.117 Protection against personal service for the first time on or after injury. April 1, 2010, and all Tier II passenger On or after November 8, 1999, all mov- cars shall be equipped with a PA sys- ing parts, high voltage equipment, tem that provides a means for a train electrical conductors and switches, and crewmember to communicate by voice pipes carrying hot fluids or gases on all to passengers of his or her train in an

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emergency situation. The PA system Public Transportation Association, shall also provide a means for a train 1666 K Street NW., Washington, DC crewmember to communicate by voice 20006, www.aptastandards.com. You may in an emergency situation to persons inspect a copy of the document at the in the immediate vicinity of his or her Federal Railroad Administration, train (e.g., persons on the station plat- Docket Clerk, 1200 New Jersey Avenue form). The PA system may be part of SE., Washington, DC or at the National the same system as the intercom sys- Archives and Records Administration tem. (NARA). For information on the avail- (b) Intercom system. (1) New Tier I and ability of this material at NARA, call all Tier II passenger cars. Each Tier I 202–741–6030, or go to: http:// passenger car ordered on or after April www.archives.gov/federallregister/ 1, 2008, or placed in service for the first codeloflfederallregulations/ time on or after April 1, 2010, and all ibrllocations.html. Tier II passenger cars shall be equipped (c) Back-up power. PA and intercom with an intercom system that provides systems in Tier I passenger cars or- a means for passengers and crew- dered on or after April 1, 2008, or placed members to communicate by voice in service for the first time on or after with each other in an emergency situa- April 1, 2010, and in all Tier II pas- tion. Except as further specified, at senger cars shall have a back-up power least one intercom that is accessible to system capable of— passengers without using a tool or (1) Operating in all equipment ori- other implement shall be located in entations within 45 degrees of vertical; each end (half) of each car. If any pas- (2) Operating after the initial shock senger car does not exceed 45 feet in of a collision or derailment resulting in length, or if a Tier II passenger car was the following individually applied ac- ordered prior to May 12, 1999, only one celerations: such intercom is required. The inter- (i) Longitudinal: 8g; com system may be part of the same (ii) Lateral: 4g; and system as the PA system. (iii) Vertical: 4g; and (2) Marking and instructions. The fol- (3) Powering each system to allow lowing requirements apply to each pas- intermittent emergency communica- senger car: tion for a minimum period of 90 min- (i) Prior to January 28, 2016, the loca- utes. Intermittent communication tion of each intercom intended for pas- shall be considered equivalent to con- senger use shall be conspicuously tinuous communication during the last marked with luminescent material and 15 minutes of the 90-minute minimum legible and understandable operating period. instructions shall be posted at or near each such intercom. [73 FR 6402, Feb. 1, 2008, as amended at 78 FR (ii) On or after January 28, 2016, each 71814, Nov. 29, 2013] intercom intended for passenger use shall be marked in accordance with § 238.123 Emergency roof access. section 5.4.2 of APTA PR–PS–S–002–98, Except as provided in § 238.441 of this Rev. 3, ‘‘Standard for Emergency Sign- chapter— age for Egress/Access of Passenger Rail (a) Number and dimensions. Each pas- Equipment,’’ Authorized October 7, senger car ordered on or after April 1, 2007, or an alternative standard pro- 2009, or placed in service for the first viding at least an equivalent level of time on or after April 1, 2011, shall safety, if approved by FRA pursuant to have a minimum of two emergency § 238.21. Legible and understandable op- roof access locations, each with a min- erating instructions shall be posted at imum opening of 26 inches longitu- or near each such intercom. The incor- dinally (i.e., parallel to the longitu- poration by reference of this APTA dinal axis of the car) by 24 inches lat- standard was approved by the Director erally. of the Federal Register in accordance (b) Means of access. Emergency roof with 5 U.S.C. 552(a) and 1 CFR part 51. access shall be provided by means of a You may obtain a copy of the incor- hatch, or a conspicuously marked porated document from the American structural weak point in the roof for

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access by properly equipped emergency CAUTION—DO NOT USE FLAME CUTTING response personnel. DEVICES (c) Location. Emergency roof access CAUTION—WARN PASSENGERS BEFORE locations shall be situated as practical CUTTING so that when a car is on its side— CUT ALONG DASHED LINE TO GAIN (1) One emergency access location is ACCESS wholly within each half of the roof as divided top from bottom; and ROOF CONSTRUCTION—[STATE (2) One emergency access location is RELEVANT DETAILS] wholly within each half of the roof as (2) On or after January 28, 2015, each divided left from right. (See Figure 3 to emergency roof access location shall be this subpart.) marked, and instructions provided for (d) Obstructions. The ceiling space its use, as specified in § 238.125. below each emergency roof access loca- [73 FR 6403, Feb. 1, 2008, as amended at 78 FR tion shall be free from wire, cabling, 71814, Nov. 29, 2013] conduit, and piping. This space shall also be free of any rigid secondary § 238.125 Marking and instructions for emergency egress and rescue ac- structure (e.g., a diffuser or diffuser cess. support, lighting back fixture, mount- ed PA equipment, or luggage rack) On or after January 28, 2015, emer- gency signage and markings shall be where practicable. If emergency roof provided for each passenger car in ac- access is provided by means of a hatch, cordance with the minimum require- it shall be possible to push interior ments specified in APTA PR–PS–S–002– panels or liners out of their retention 98, Rev. 3, ‘‘Standard for Emergency devices and into the interior of the ve- Signage for Egress/Access of Passenger hicle after removing the hatch. If Rail Equipment,’’ Authorized October emergency roof access is provided by 7, 2007, or an alternative standard pro- means of a structural weak point, it viding at least an equivalent level of shall be permissible to cut through in- safety, if approved by FRA pursuant to terior panels, liners, or other non-rigid § 238.21. The incorporation by reference secondary structures after making the of this APTA standard was approved by cutout hole in the roof, provided any the Director of the Federal Register in such additional cutting necessary to accordance with 5 U.S.C. 552(a) and 1 access the interior of the vehicle per- CFR Part 51. You may obtain a copy of mits a minimum opening of the dimen- the incorporated document from the sions specified in paragraph (a) to be American Public Transportation Asso- maintained. ciation, 1666 K Street NW., Wash- (e) Marking and instructions. (1) Prior ington, DC 20006, to January 28, 2015, each emergency www.aptastandards.com. You may in- roof access location shall be conspicu- spect a copy of the document at the ously marked with retroreflective ma- Federal Railroad Administration, Docket Clerk, 1200 New Jersey Avenue terial of contrasting color. As further SE., Washington, DC or at the National specified, legible and understandable Archives and Records Administration instructions shall be posted at or near (NARA). For information on the avail- each such location. If emergency roof ability of this material at NARA, call access is provided by means of a struc- 202–741–6030, or go to: http:// tural weak point— www.archives.gov/federallregister/ (i) The retroreflective material shall codeloflfederallregulations/ conspicuously mark the line along ibrllocations.html. which the roof skin shall be cut; and [78 FR 71814, Nov. 29, 2013] (ii) A sign plate with a retroreflective border shall also state § 238.127 Low-location emergency exit as follows: path marking. On or after January 28, 2015, low-loca- tion emergency exit path marking shall be provided in each passenger car

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in accordance with the minimum re- tain a copy of the incorporated docu- quirements specified in APTA PR–PS– ment from the American Public Trans- S–004–99, Rev. 2, ‘‘Standard for Low-Lo- portation Association, 1666 K Street cation Exit Path Marking,’’ Authorized NW., Suite 1100, Washington, DC 20006 October 7, 2007, or an alternative stand- (telephone 202–496–4800; www.apta.com). ard providing at least an equivalent You may inspect a copy of the docu- level of safety, if approved by FRA pur- ment at the Federal Railroad Adminis- suant to § 238.21. The incorporation by tration, Docket Clerk, 1200 New Jersey reference of this APTA standard was Avenue SE., Washington, DC or at the approved by the Director of the Federal National Archives and Records Admin- Register in accordance with 5 U.S.C. istration (NARA). For information on 552(a) and 1 CFR Part 51. You may ob- the availability of this material at tain a copy of the incorporated docu- NARA, call 202–741–6030, or go to http:// ment from the American Public Trans- www.archives.gov/federallregister/ portation Association, 1666 K Street codeloflfederallregulations/ NW., Washington, DC 20006, ibrllocations.html; www.aptastandards.com. You may in- (2) Be designed based on a Failure spect a copy of the document at the Modes, Effects, Criticality Analysis Federal Railroad Administration, (FMECA); Docket Clerk, 1200 New Jersey Avenue (3) Contain an obstruction detection SE., Washington, DC or at the National system sufficient to detect and react to Archives and Records Administration both small and large obstructions and (NARA). For information on the avail- allow the obstruction to be released ability of this material at NARA, call when detected; 202–741–6030, or go to: http:// (4) Be designed so that activation of www.archives.gov/federallregister/ a door by-pass feature does not affect codeloflfederallregulations/ the operation of the obstruction detec- ibrllocations.html tion system; [78 FR 71814, Nov. 29, 2013] (5) Require a door control panel key or other secure device to activate a § 238.131 Exterior side door safety sys- door control panel; tems—new passenger cars and loco- (6) Not be operated from a door con- motives used in passenger service. trol panel when the door control panel (a) Safety systems for powered exterior key or other secure device is removed; side doors. All powered exterior side and door safety systems in passenger cars, (7) Not be affected by the movement and connected door safety systems in or position of the locomotive throttle. locomotives used in passenger service, A train’s throttle position shall neither that are ordered on or after April 5, open nor close the exterior side doors 2016, or placed in service for the first on the train. time on or after February 5, 2018, shall: (b) Safety system for manual and pow- (1) Be built in accordance with APTA ered exterior side doors. All manual and standard PR–M–S–18–10, ‘‘Standard for powered exterior side door systems in Powered Exterior Side Door System passenger cars, and connected door Design for New Passenger Cars,’’ ap- safety systems in locomotives used in proved February 11, 2011. In particular, passenger service, that are ordered on locomotives used in passenger service or after April 5, 2016, or placed in serv- shall be connected or interlocked with ice for the first time on or after Feb- the door summary circuit to prohibit ruary 5, 2018 shall be: the train from developing tractive (1) Designed with a door summary power if an exterior side door in a pas- circuit and so connected or interlocked senger car is not closed, unless the as to prohibit the train from devel- door is under the direct physical con- oping tractive power if an exterior side trol of a crewmember for his or her ex- door in a passenger car is not closed, clusive use. The incorporation by ref- unless the door is under the direct erence of this APTA standard was ap- physical control of a crewmember for proved by the Director of the Federal his or her exclusive use; Register in accordance with 5 U.S.C. (2) Connected to interior and exterior 552(a) and 1 CFR part 51. You may ob- side door status indicators;

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(3) Connected to a door summary sta- (QMP) or until its next calendar day tus indicator that is readily viewable inspection, whichever occurs first; if to the engineer from his or her normal not, the train crew must follow the position in the operating cab; and procedures outlined in paragraph (c) of (4) If equipped with a door by-pass de- this section. vice, designed so that the by-pass de- (c) En route failure. If it becomes nec- vice functions only when activated essary to activate a door by-pass de- from the operating cab of the train. vice, the train may continue to its des- (c) Additional requirements. In addi- tination terminal, provided that the tion to the requirements of this sec- train crew conducts a safety briefing tion, requirements related to exterior that includes a description of the loca- side door safety on passenger trains are tion(s) where crewmembers will posi- provided in §§ 238.112, 238.133, 238.135, tion themselves on the train in order 238.137, and 238.439. to observe the boarding and alighting [80 FR 76147, Dec. 7, 2015] of passengers, notifies the railroad’s designated authority that the train’s § 238.133 Exterior side door safety sys- door by-pass device has been activated, tems—all passenger cars and loco- and adheres to the operating rules re- motives used in a passenger serv- quired by § 238.135. After the train has ice. reached its destination terminal, the (a) By-pass device verification—(1) Vis- train may continue in passenger serv- ual inspection. Except as provided in ice until its arrival at the next forward paragraphs (a)(2) and (3) of this section, repair point or its next calendar day a member of the crew of each passenger inspection, whichever occurs first, pro- train must verify by observation that vided that prior to movement of equip- all door by-pass devices that can affect ment with a door by-pass device acti- the safe operation of the train are vated: sealed in the normal (non-by-pass) po- (1) An on-site QMP shall determine sition when taking control of the train. that repairs cannot be made at the (2) Functional test. Instead of a visual time and it is safe to move the equip- inspection of the door by-pass devices, ment in passenger service. If a QMP is the railroad may develop a plan to per- not available on site, these determina- form a functional test to determine tions may be made based upon a de- that the door summary status indi- scription of the condition provided by cator is functioning as intended. The an on-site qualified person (QP) to a functional test plan shall be made QMP offsite; and available for inspection by FRA. (2) The QP or QMP shall notify the (3) Face-to-face relief. Crewmembers crewmember in charge of the move- taking control of a train do not need to ment of the train that the door by-pass perform either a visual inspection or a device has been activated. The train functional test of the door by-pass de- crew must then hold a safety briefing vices in cases of face-to-face relief of that includes information such as the another train crew and notification by locations where each crewmember will that crew as to the functioning of the position himself or herself on the train door by-pass devices. to ensure that passengers board and (b) Unsealed door by-pass device. A alight from the train safely. crewmember must notify the railroad’s (d) Records. The railroad shall main- designated authority pursuant to the tain a record of each door by-pass acti- railroad’s defect reporting system if a vation and each unintended opening of door by-pass device that could affect a powered exterior side door, including the safe operation of the train is found any repair(s) made, in the defect track- unsealed during the train’s daily oper- ing system as required by § 238.19. ation. If the train crew can test the (e) Door control panels. Exterior side door safety system and determine that doors shall not be capable of operation the door summary status indicator is from a door control panel when the key functioning as intended, the train may or other similar device is removed. travel in service until the next forward (f) End-of-train circuit. End-of-train repair point where a seal can be applied circuit integrity shall be maintained. by a qualified maintenance person When switches are used to establish

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the end-of-train circuit, the switches (i) A written justification explaining shall be secured in a manner to prevent the need to operate a passenger train access by unauthorized personnel. with its exterior side doors or trap (g) Exterior side door safety system doors, or both, open between stations; override devices. (1) Exterior side door and safety system override devices that can (ii) A detailed hazard analysis, in- adversely affect the train’s door safety cluding a description of specific meas- system must be inactive and sealed in ures to mitigate any added risk. all passenger cars and locomotives in (3) The request must be signed by the the train consist, including cab cars chief executive officer (CEO), or equiv- and MU locomotives, if they are so alent, of the organization(s) making equipped. the request. (2) As part of the equipment’s cal- (4) FRA may request that the pas- endar day inspection, all exterior side senger railroad submit additional in- door safety system override devices must be inactive and sealed in all pas- formation to support its request before senger cars and all locomotives in the FRA approves the request. train consist, including cab cars and (d) No later than December 6, 2018, MU locomotives, if they are so each railroad shall adopt and comply equipped. with operating rules on how to safely override a door summary circuit or no- [80 FR 76147, Dec. 7, 2015] motion system, or both, in the event of an en route exterior side door failure or § 238.135 Operating practices for exte- rior side door safety systems. malfunction on a passenger train. Rail- roads shall provide these written rules (a) At the beginning of his or her to their crewmembers and control cen- duty assignment prior to the train’s ter personnel and make them available departure, each crewmember must par- for inspection by FRA. These written ticipate in a safety briefing that iden- rules shall include: tifies each crewmember’s responsibil- (1) Instructions to crewmembers and ities relating to the safe operation of control center personnel, describing the train’s exterior side doors, includ- what conditions must be present in ing responsibilities for the safe oper- order to override the door summary ation of the exterior side doors when circuit or no-motion system, or both; arriving at or departing a station. and (b) After April 5, 2016, all passenger (2) Steps crewmembers and control train exterior side doors and trap doors center personnel must take after the must be closed when a train is in mo- door summary circuit or no-motion tion between stations except when: system, or both, have been overridden (1) The train is departing or arriving to help provide for continued passenger at a station if: (i) A crewmember needs to observe safety. the station platform; and (e) No later than December 6, 2018, (ii) The open door is attended by the each passenger train crewmember must crewmember; or be trained on: (2) A crewmember must perform on- (1) The requirements of this section; ground functions, such as, but not lim- and ited to, lining switches, making up or (2) How to identify and isolate equip- splitting the train, providing crossing ment with a malfunctioning exterior protection, or inspecting the train. powered or manual side door. (c)(1) Except as provided in paragraph (f) No later than December 6, 2018, (b) of this section, passenger railroads each railroad shall adopt and comply must receive special approval from with operating rules requiring train FRA’s Associate Administrator for crewmembers to determine the status Railroad Safety/Chief Safety Officer to of their train’s exterior side doors so operate passenger trains with exterior that their train may safely depart a side doors or trap doors, or both, open station. These rules shall require crew- between stations. members to determine that there are (2) Any request for special approval no obstructions in their train’s exte- must include: rior side doors before the train departs.

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(g) Beginning December 6, 2018, each § 238.137 Mixed consist; operating railroad shall periodically conduct equipment with incompatible exte- operational (efficiency) tests and ob- rior side door systems. servations of its operating crew- (a) A train made up of equipment members and control center personnel with incompatible exterior side door as appropriate to their roles, to deter- systems shall be operated within the mine each individual’s knowledge of constraints of each such door system. the railroad’s powered and manual ex- (b) No later than December 6, 2018, terior side door safety procedures for each railroad shall adopt and comply its passenger trains. with operating rules to provide for the safe use of equipment with incompat- [80 FR 76148, Dec. 7, 2015] ible exterior side door systems when utilized in a mixed consist. [80 FR 76148, Dec. 7, 2015]

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FIGURE 1 TO SUBPART B OF PART 238—EXAMPLE OF LOCATION AND STAGGERING OF EMERGENCY WINDOW EXITS—§ 238.113

[73 FR 6403, Feb. 1, 2008]

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FIGURE 1A TO SUBPART B OF PART 238—EXAMPLE OF LOCATION OF RESCUE ACCESS WINDOWS—§ 238.114

[73 FR 6403, Feb. 1, 2008]

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FIGURE 1B TO SUBPART B OF PART 238—EXAMPLE OF LOCATION AND STAGGERING OF EMERGENCY WINDOW EXITS AND LOCATION OF RESCUE ACCESS WINDOWS— §§ 238.113 AND 238.114

[73 FR 6403, Feb. 1, 2008]

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FIGURE 1C TO SUBPART B OF PART 238—EXAMPLE OF A PASSENGER COMPARTMENT INCLUDING A VESTIBULE CONNECTED BY AN OPEN PASSAGEWAY AND EXCLUDING A VESTIBULE SEPARATED BY AN INTERIOR DOOR—§§ 238.113 AND 238.114

[73 FR 6403, Feb. 1, 2008]

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FIGURE 2 TO SUBPART B OF PART 238—EXAMPLE OF A MULTI-LEVEL CAR COMPLYING WITH WINDOW LOCATION AND STAGGERING REQUIREMENTS—§§ 238.113 AND 238.114

[73 FR 6403, Feb. 1, 2008]

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FIGURE 2A TO SUBPART B OF PART 238—EXAMPLE OF AN INTERMEDIATE LEVEL SEAT- ING AREA OF A MULTI-LEVEL CAR COMPLYING WITH WINDOW LOCATION REQUIRE- MENTS—§§ 238.113 AND 238.114

[73 FR 6403, Feb. 1, 2008]

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FIGURE 2B TO SUBPART B OF PART 238—EXAMPLE OF AN INTERMEDIATE LEVEL SEAT- ING AREA OF A MULTI-LEVEL CAR COMPLYING WITH WINDOW LOCATION REQUIRE- MENTS—§§ 238.113 AND 238.114

[73 FR 6403, Feb. 1, 2008]

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FIGURE 3 TO SUBPART B OF PART 238—EXAMPLE OF LOCATION AND MARKING OF STRUCTURAL WEAK POINTS ON ROOF OF PASSENGER CAR—§ 238.123

[73 FR 6403, Feb. 1, 2008]

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Subpart C—Specific Requirements graph (c) the Associate Administrator for Tier I Passenger Equipment shall consider, as a whole, all of those elements of casualty prevention or § 238.201 Scope/alternative compli- mitigation relevant to the integrity of ance. the equipment that are addressed by (a) Scope. (1) This subpart contains the requirements of this subpart. requirements for railroad passenger (2)(i) Tier I passenger trainsets may equipment operating at speeds not ex- comply with the alternative crash- ceeding 125 miles per hour. As stated in worthiness and occupant protection re- § 238.229, all such passenger equipment quirements in appendix G to this part remains subject to the safety appliance instead of the requirements in requirements contained in Federal §§ 238.203, 238.205, 238.207, 238.209(a), statute at 49 U.S.C. chapter 203 and in 238.211, 238.213, and 238.219. FRA regulations at part 231 and § 232.2 (ii) To assess compliance with the al- of this chapter. Unless otherwise speci- ternative requirements, the railroad fied, these requirements only apply to shall submit the following documents passenger equipment ordered on or to the Associate Administrator, for re- after September 8, 2000 or placed in view: service for the first time on or after (A) Test plans, and supporting docu- September 9, 2002. mentation for all tests intended to (2) The structural standards of this demonstrate compliance with the al- subpart (§ 238.203—static end strength; ternative requirements and to validate § 238.205—anti-climbing mechanism; any computer modeling and analysis § 238.207—link between coupling mecha- used, including notice of such tests, 30 nism and car body; § 238.209—forward- days before commencing the tests; and facing end structure of locomotives; (B) A carbody crashworthiness and § 238.211—collision posts; § 238.213—cor- occupant protection compliance report ner posts; § 238.215—rollover strength; based on the analysis, calculations, and § 238.217—side structure; § 238.219— test data necessary to demonstrate truck-to-car-body attachment; and compliance. § 238.223—locomotive fuel tanks) do not (iii) The carbody crashworthiness and apply to passenger equipment if used occupant protection compliance report exclusively on a rail line: shall be deemed acceptable unless the (i) With no public highway-rail grade Associate Administrator stays action crossings; by written notice to the railroad with- (ii) On which no freight operations in 60 days after receipt of the report. occur at any time; (A) If the Associate Administrator (iii) On which only passenger equip- stays action, the railroad shall correct ment of compatible design is utilized; any deficiencies FRA identified and no- and tify FRA it has corrected the defi- (iv) On which trains operate at speeds ciencies before placing the subject not exceeding 79 mph. Any such pas- equipment into service. senger equipment remains subject to (B) FRA may also impose written the requirements of § 229.141 of this conditions necessary for safely oper- chapter, as applicable. ating the equipment, for cause stated. (b) Alternative compliance. (1) Pas- (c)(1) The Associate Administrator senger equipment of special design may only make a finding of equivalent shall be deemed to comply with this safety and compliance with this sub- subpart, other than § 238.203, for the part, other than § 238.203, based upon a service environment the petitioner pro- submission of data and analysis suffi- poses to operate the equipment in if cient to support that determination. the Associate Administrator deter- The petition shall include: mines under paragraph (c) of this sec- (i) The information required by tion that the equipment provides at § 238.21(c); least an equivalent level of safety in (ii) Information, including detailed such environment for the protection of drawings and materials specifications, its occupants from serious injury in sufficient to describe the actual con- the case of a derailment or collision. In struction of the equipment of special making a determination under para- design;

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(iii) Engineering analysis sufficient construction 12 inches above the center to describe the likely performance of line of draft without permanent defor- the equipment in derailment and colli- mation of the body structure. The ap- sion scenarios pertinent to the safety plication of this load shall not be dis- requirements for which compliance is tributed over an area greater than 6 required and for which the equipment inches by 24 inches. The alternative does not conform to the specific re- specified in this paragraph is not appli- quirements of this subpart; and cable to a cab car or an MU loco- (iv) A quantitative risk assessment, motive. incorporating the design information (4) The requirements of this para- and engineering analysis described in graph do not apply to: this paragraph, demonstrating that the (i) A private car; or equipment, as utilized in the service (ii) Unoccupied passenger equipment environment for which recognition is operating at the rear of a passenger sought, presents no greater hazard of train. serious personal injury than equipment that conforms to the specific require- (b) Passenger equipment placed in ments of this subpart. service before November 8, 1999 is pre- (2) Any petition made under this sumed to comply with the require- paragraph is subject to the procedures ments of paragraph (a)(1) of this sec- set forth in § 238.21, and will be disposed tion, unless the railroad operating the of in accordance with § 238.21(g). equipment has knowledge, or FRA makes a showing, that such passenger [64 FR 25660, May 12, 1999, as amended at 67 equipment was not built to the require- FR 19990, Apr. 23, 2002; 71 FR 36916, June 28, ments specified in paragraph (a)(1). 2006; 83 FR 59219, Nov. 21, 2018] (c) When overloaded in compression, § 238.203 Static end strength. the body structure of passenger equip- (a)(1) Except as further specified in ment shall be designed, to the max- this paragraph (a), paragraph (d) of this imum extent possible, to fail by buck- section, and § 238.201(b)(2), on or after ling or crushing, or both, of structural November 8, 1999, all passenger equip- members rather than by fracture of ment shall resist a minimum static end structural members or failure of struc- load of 800,000 pounds applied on the tural connections. line of draft without permanent defor- (d) Grandfathering of non-compliant mation of the body structure. equipment for use on a specified rail line (2) For a passenger car or a loco- or lines—(1) Grandfathering approval is motive, the static end strength of un- equipment and line specific. occupied volumes may be less than Grandfathering approval of non-com- 800,000 pounds if: pliant equipment under this paragraph (i) Energy absorbing structures are is limited to usage of the equipment on used as part of a crash energy manage- a particular rail line or lines. Before ment design of the passenger car or lo- grandfathered equipment can be used comotive, and on another rail line, a railroad must (ii) The passenger car or locomotive file and secure approval of a resists a minimum static end load of grandfathering petition under para- 800,000 pounds applied on the line of graph (d)(3) of this section. draft at the ends of its occupied volume (2) Temporary usage of non-compliant without permanent deformation of the equipment. Any passenger equipment body structure. placed in service on a rail line or lines (3) For a locomotive placed in service before November 8, 1999 that does not prior to November 8, 1999, as an alter- comply with the requirements of para- native to resisting a minimum static graph (a)(1) may continue to be oper- end load of 800,000 pounds applied on ated on that particular line or (those the line of draft without permanent de- particular lines) if the operator of the formation of the body structure, the lo- equipment files a petition seeking comotive shall resist a horizontal load grandfathering approval under para- of 1,000,000 pounds applied along the graph (d)(3) before November 8, 1999. longitudinal center line of the loco- Such usage may continue while the pe- motive at a point on the buffer beam tition is being processed, but in no

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event later than May 8, 2000, unless the ington, DC 20590, and shall contain the petition is approved. assigned docket number for that pro- (3) Petitions for grandfathering. Peti- ceeding. The form of such submission tions for grandfathering shall include: may be in written or electronic form (i) The name, title, address, and tele- consistent with the standards and re- phone number of the primary person to quirements established by the Federal be contacted with respect to the peti- Docket Management System and post- tion; ed on its web site at http:// (ii) Information, including detailed www.regulations.gov. drawings and material specifications, (h) Disposition of petitions (1) If the sufficient to describe the actual con- Administrator finds it necessary or de- struction of the equipment; sirable, FRA will conduct a hearing on (iii) Engineering analysis sufficient a petition in accordance with the pro- to describe the likely performance of cedures provided in § 211.25 of this chap- the static end strength of the equip- ter. ment and the likely performance of the (2) If FRA finds that the petition equipment in derailment and collision complies with the requirements of this scenarios pertinent to the equipment’s section and that the proposed usage is static end strength; in the public interest and consistent (iv) A description of risk mitigation with railroad safety, the petition will measures that will be employed in con- be granted, normally within 90 days of nection with the usage of the equip- its receipt. If the petition is neither ment on a specified rail line or lines to granted nor denied within 90 days, the decrease the likelihood of accidents in- petition remains pending for decision. volving the use of the equipment; and FRA may attach special conditions to (v) A quantitative risk assessment, the approval of the petition. Following incorporating the design information, the approval of a petition, FRA may engineering analysis, and risk mitiga- reopen consideration of the petition for tion measures described in this para- cause stated. graph, demonstrating that the use of (3) If FRA finds that the petition the equipment, as utilized in the serv- does not comply with the requirements ice environment for which recognition of this section or that the proposed is sought, is in the public interest and usage is not in the public interest and is consistent with railroad safety. consistent with railroad safety, the pe- (e) Service. Each petition shall be sub- tition will be denied, normally within mitted to the Associate Administrator 90 days of its receipt. for Safety, Federal Railroad Adminis- (4) When FRA grants or denies a peti- tration, 1200 New Jersey Avenue, SE., tion, or reopens consideration of the Mail Stop 25, Washington, DC 20590. petition, written notice is sent to the (f) Federal Register notice. FRA will petitioner and other interested parties. publish a notice in the FEDERAL REG- [64 FR 25660, May 12, 1999, as amended at 64 ISTER concerning each petition under FR 70196, Dec. 16, 1999; 67 FR 19991, Apr. 23, paragraph (d) of this section. 2002; 74 FR 25174, May 27, 2009; 83 FR 59219, (g) Comment. Not later than 30 days Nov. 21, 2018] from the date of publication of the no- tice in the FEDERAL REGISTER con- § 238.205 Anti-climbing mechanism. cerning a petition under paragraph (d) (a) Except as provided in paragraph of this section, any person may com- (b) of this section, and § 238.201(b), all ment on the petition. passenger equipment placed in service (1) Each comment shall set forth spe- for the first time on or after September cifically the basis upon which it is 8, 2000, and prior to March 9, 2010, shall made, and contain a concise statement have at both the forward and rear ends of the interest of the commenter in the an anti-climbing mechanism capable of proceeding. resisting an upward or downward (2) Each comment shall be submitted vertical force of 100,000 pounds without to the U.S. Department of Transpor- failure. All passenger equipment placed tation, Docket Operations (M–30), West in service for the first time on or after Building Ground Floor, Room W12B140, March 9, 2010, shall have at both the 1200 New Jersey Avenue, SE., Wash- forward and rear ends an anti-climbing

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mechanism capable of resisting an up- (ii) Designed to inhibit the entry of ward or downward vertical force of fluids into the occupied cab area of the 100,000 pounds without permanent de- equipment; and formation. When coupled together in (iii) Affixed to the collision posts or any combination to join two vehicles, other main vertical structural mem- AAR Type H and Type F tight-lock bers of the forward end structure so as couplers satisfy the requirements of to add to the strength of the end struc- this paragraph (a). ture. (b) Except for a cab car or an MU lo- (2) As used in this paragraph (a), the comotive, each locomotive ordered on term ‘‘skin’’ does not include forward- or after September 8, 2000, or placed in facing windows and doors. service for the first time on or after (b) The forward end structure of a September 9, 2002, shall have an anti- cab car or an MU locomotive may com- climbing mechanism at its forward end ply with the requirements of appendix capable of resisting both an upward F to this part in lieu of the require- and downward vertical force of 200,000 ments of either § 238.211 (Collision pounds without failure. Locomotives posts) or § 238.213 (Corner posts), or required to be constructed in accord- both, provided that the end structure is ance with subpart D of part 229 of this designed to protect the occupied vol- chapter shall have an anti-climbing ume for its full height, from the mechanism in compliance with § 229.206 underframe to the anti-telescoping of this chapter, in lieu of the require- plate (if used) or roof rails. ments of this paragraph. [75 FR 1228, Jan. 8, 2010, as amended at 83 FR 59219, Nov. 21, 2018] [75 FR 1227, Jan. 8, 2010, as amended at 83 FR 59219, Nov. 21, 2018] § 238.211 Collision posts. § 238.207 Link between coupling mech- (a) Except as further specified in this anism and carbody. paragraph (a), paragraphs (b) through Except as specified in § 238.201(b), all (d) of this section, § 238.201(b), and passenger equipment placed in service § 238.209(b)— for the first time on or after September (1) All passenger equipment placed in 8, 2000, shall have a coupler carrier at service for the first time on or after each end designed to resist a vertical September 8, 2000, shall have either: (i) Two full-height collision posts, lo- downward thrust from the coupler cated at approximately the one-third shank of 100,000 pounds for any normal points laterally, at each end. Each col- horizontal position of the coupler, lision post shall have an ultimate lon- without permanent deformation. Pas- gitudinal shear strength of not less senger equipment connected by articu- than 300,000 pounds at a point even lated joints that complies with the re- with the top of the underframe member quirements of § 238.205(a) also complies to which it is attached. If reinforce- with the requirements of this section. ment is used to provide the shear [83 FR 59219, Nov. 21, 2018] value, the reinforcement shall have full value for a distance of 18 inches up § 238.209 Forward end structure of lo- from the underframe connection and comotives, including cab cars and then taper to a point approximately 30 MU locomotives. inches above the underframe connec- (a) Except as specified in § 238.201(b)— tion; or (1) The skin covering the forward-fac- (ii) An equivalent end structure that ing end of each locomotive, including a can withstand the sum of forces that cab car and an MU locomotive, shall each collision post in paragraph be: (a)(1)(i) of this section is required to (i) Equivalent to a 1⁄2-inch steel plate withstand. For analysis purposes, the with a yield strength of 25,000 pounds- required forces may be assumed to be per-square-inch—material of a higher evenly distributed at the end structure yield strength may be used to decrease at the underframe joint. the required thickness of the material (2) The requirements of this para- provided at least an equivalent level of graph (a) do not apply to unoccupied strength is maintained; passenger equipment operating in a

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passenger train, or to the rear end of a post or its supporting car body struc- locomotive if the end is unoccupied by ture; and design. (iii) A 60,000-pound horizontal force (b) Except for a locomotive that is applied at any height along the post constructed on or after January 1, 2009, above the top of the underframe, with- and is subject to the requirements of out permanent deformation of either subpart D of part 229 of this chapter, the post or its supporting car body each locomotive, including a cab car structure. and an MU locomotive, ordered on or (3) Prior to or during structural de- after September 8, 2000, or placed in formation, each collision post acting service for the first time on or after together with its supporting car body September 9, 2002, shall have at its for- structure shall be capable of absorbing ward end, in lieu of the structural pro- a minimum of 135,000 foot-pounds of en- tection described in paragraph (a) of ergy (0.18 megajoule) with no more this section, either: than 10 inches of longitudinal, perma- (1) Two forward collision posts, lo- nent deformation into the occupied cated at approximately the one-third volume, in accordance with the fol- points laterally, each capable of with- lowing: standing: (i) The collision post shall be loaded (i) A 500,000-pound longitudinal force longitudinally at a height of 30 inches at the point even with the top of the above the top of the underframe; underframe, without exceeding the ul- (ii) The load shall be applied with a timate strength of the joint; and fixture, or its equivalent, having a (ii) A 200,000-pound longitudinal force width sufficient to distribute the load exerted 30 inches above the joint of the directly into the webs of the post, but post to the underframe, without ex- of no more than 36 inches, and either: ceeding the ultimate strength; or (A) A flat plate with a height of 6 (2) An equivalent end structure that inches; or can withstand the sum of the forces (B) A curved surface with a diameter that each collision post in paragraph of no more than 48 inches; and (b)(1) of this section is required to (iii) There shall be no complete sepa- withstand. ration of the post, its connection to the (c)(1) Each cab car and MU loco- underframe, its connection to either motive ordered on or after May 10, 2010, the roof structure or anti-telescoping or placed in service for the first time plate (if used), or of its supporting car on or after March 8, 2012, shall have at body structure. its forward end, in lieu of the struc- (d) The end structure requirements of tural protection described in para- this section apply only to the ends of a graphs (a) and (b) of this section, two semi-permanently coupled consist of forward collision posts, located at ap- articulated units, provided that: proximately the one-third points lat- (1) The railroad submits to FRA erally, meeting the requirements set under the procedures specified in forth in paragraphs (c)(2) and (c)(3) of § 238.21 a documented engineering anal- this section: ysis establishing that the articulated (2) Each collision post acting to- connection is capable of preventing dis- gether with its supporting car body engagement and telescoping to the structure shall be capable of with- same extent as equipment satisfying standing the following loads individ- the anti-climbing and collision post re- ually applied at any angle within 15 de- quirements contained in this subpart; grees of the longitudinal axis: and (i) A 500,000-pound horizontal force (2) FRA finds the analysis persuasive. applied at a point even with the top of [75 FR 1228, Jan. 8, 2010, as amended at 83 FR the underframe, without exceeding the 59219, Nov. 21, 2018] ultimate strength of either the post or its supporting car body structure; § 238.213 Corner posts. (ii) A 200,000-pound horizontal force (a)(1) Except as further specified in applied at a point 30 inches above the paragraphs (b) and (c) of this section, top of the underframe, without exceed- § 238.201(b), and § 238.209(b), each pas- ing the ultimate strength of either the senger car shall have at each end of the

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car, placed ahead of the occupied vol- (3) Prior to or during structural de- ume, two full-height corner posts, each formation, each corner post acting to- capable of resisting together with its gether with its supporting car body supporting car body structure: structure shall be capable of absorbing (i) A 150,000-pound horizontal force a minimum of 120,000 foot-pounds of en- applied at a point even with the top of ergy (0.16 megajoule) with no more the underframe, without exceeding the than 10 inches of longitudinal, perma- ultimate strength of either the post or nent deformation into the occupied its supporting car body structure; volume, in accordance with the fol- (ii) A 20,000-pound horizontal force lowing: applied at the point of attachment to (i) The corner post shall be loaded the roof structure, without exceeding longitudinally at a height of 30 inches the ultimate strength of either the above the top of the underframe; post or its supporting car body struc- (ii) The load shall be applied with a ture; and fixture, or its equivalent, having a (iii) A 30,000-pound horizontal force width sufficient to distribute the load applied at a point 18 inches above the directly into the webs of the post, but top of the underframe, without perma- of no more than 36 inches and either: nent deformation of either the post or (A) A flat plate with a height of 6 its supporting car body structure. inches; or (2) For purposes of this paragraph (a), (B) A curved surface with a diameter the orientation of the applied hori- of no more than 48 inches; and zontal forces shall range from longitu- (iii) There shall be no complete sepa- dinal inward to lateral inward. ration of the post, its connection to the (b)(1) Except as provided in para- underframe, its connection to either graph (c) of this section, each cab car the roof structure or anti-telescoping and MU locomotive ordered on or after plate (if used), or of its supporting car May 10, 2010, or placed in service for body structure. the first time on or after March 8, 2012, (c)(1) Each cab car and MU loco- shall have at its forward end, in lieu of motive ordered on or after May 10, 2010, the structural protection described in or placed in service for the first time paragraph (a) of this section, two cor- on or after March 8, 2012, utilizing low- ner posts ahead of the occupied vol- level passenger boarding on the non-op- ume, meeting all of the requirements erating side of the cab end shall meet set forth in paragraphs (b)(2) and (b)(3) the corner post requirements of para- of this section: graph (b) of this section for the corner (2) Each corner post acting together post on the side of the cab containing with its supporting car body structure the control stand. In lieu of the re- shall be capable of withstanding the quirements of paragraph (b) of this sec- following loads individually applied to- tion, and after FRA review and ap- ward the inside of the vehicle at all an- proval of a plan, including acceptance gles in the range from longitudinal to criteria, to evaluate compliance with lateral: this paragraph (c), each such cab car (i) A 300,000-pound horizontal force and MU locomotive may have two cor- applied at a point even with the top of ner posts on the opposite (non-oper- the underframe, without exceeding the ating) side of the cab from the control ultimate strength of either the post or stand meeting all of the requirements its supporting car body structure; set forth in paragraphs (c)(2) through (ii) A 100,000-pound horizontal force (c)(4) of this section: applied at a point 18 inches above the (2) One corner post shall be located top of the underframe, without perma- ahead of the stepwell and, acting to- nent deformation of either the post or gether with its supporting car body its supporting car body structure; and structure, shall be capable of with- (iii) A 45,000-pound horizontal force standing the following horizontal loads applied at any height along the post individually applied toward the inside above the top of the underframe, with- of the vehicle: out permanent deformation of either (i) A 150,000-pound longitudinal force the post or its supporting car body applied at a point even with the top of structure. the underframe, without exceeding the

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ultimate strength of either the post or the underframe, without exceeding the its supporting car body structure; ultimate strength of either the post or (ii) A 30,000-pound longitudinal force its supporting car body structure; applied at a point 18 inches above the (v) A 30,000-pound lateral force ap- top of the underframe, without perma- plied at a point 18 inches above the top nent deformation of either the post or of the underframe, without permanent its supporting car body structure; deformation of either the post or its (iii) A 30,000-pound longitudinal force supporting car body structure; and applied at the point of attachment to (vi) A 20,000-pound lateral force ap- the roof structure, without permanent plied at any height along the post deformation of either the post or its above the top of the underframe, with- supporting car body structure; out permanent deformation of either (iv) A 20,000-pound longitudinal force the post or its supporting car body applied at any height along the post structure. above the top of the underframe, with- (4) Prior to or during structural de- out permanent deformation of either formation, the two posts in combina- the post or its supporting car body tion acting together with their sup- structure; porting body structure shall be capable (v) A 300,000-pound lateral force ap- of absorbing a minimum of 120,000 foot- plied at a point even with the top of pounds of energy (0.16 megajoule) in ac- the underframe, without exceeding the cordance with the following: ultimate strength of either the post or (i) The corner posts shall be loaded its supporting car body structure; longitudinally at a height of 30 inches (vi) A 100,000-pound lateral force ap- above the top of the underframe; plied at a point 18 inches above the top (ii) The load shall be applied with a of underframe, without permanent de- fixture, or its equivalent, having a formation of either the post or its sup- width sufficient to distribute the load porting car body structure; and directly into the webs of the post, but (vii) A 45,000-pound lateral force ap- of no more than 36 inches and either: plied at any height along the post (A) A flat plate with a height of 6 above the top of the underframe, with- inches; or out permanent deformation of either (B) A curved surface with a diameter the post or its supporting car body of no more than 48 inches; and structure. (iii) The corner post located behind (3) A second corner post shall be lo- the stepwell shall have no more than 10 cated behind the stepwell and, acting inches of longitudinal, permanent de- together with its supporting car body formation. There shall be no complete structure, shall be capable of with- separation of the corner post located standing the following horizontal loads behind the stepwell, its connection to individually applied toward the inside the underframe, its connection to ei- of the vehicle: ther the roof structure or anti-tele- (i) A 300,000-pound longitudinal force scoping plate (if used), or of its sup- applied at a point even with the top of porting car body structure. The corner the underframe, without exceeding the post ahead of the stepwell is permitted ultimate strength of either the post or to fail. (A graphical description of the its supporting car body structure; forward end of a cab car or an MU loco- (ii) A 100,000-pound longitudinal force motive utilizing low-level passenger applied at a point 18 inches above the boarding on the non-operating side of top of the underframe, without perma- the cab end is provided in Figure 1 to nent deformation of either the post or subpart C of this part.) its supporting car body structure; (iii) A 45,000-pound longitudinal force [75 FR 1229, Jan. 8, 2010, as amended at 83 FR applied at any height along the post 59219, Nov. 21, 2018; 84 FR 16414, Apr. 19, 2019] above the top of the underframe, with- out permanent deformation of either § 238.215 Rollover strength. the post or its supporting car body (a) Each passenger car shall be de- structure; signed to rest on its side and be uni- (iv) A 100,000-pound lateral force ap- formly supported at the top (‘‘roof plied at a point even with the top of rail’’), the bottom cords (‘‘side sill’’) of

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the side frame, and, if bi-level, the in- strength of the material used to that of termediate floor rail. The allowable mild open-hearth steel for a car whose stress in the structural members of the structural members are made of a high- occupied volumes for this condition er strength steel. shall be one-half yield or one-half the (b) Sheathing. (1) Outside sheathing of critical buckling stress, whichever is mild, open-hearth steel when used flat, less. Local yielding to the outer skin of without reinforcement (other than side the passenger car is allowed provided posts) in a side frame of modified gird- that the resulting deformations in no er or semi-monocoque construction way intrude upon the occupied volume shall not be less than 1⁄8 inch nominal of the car. thickness. Other metals may be used of (b) Each passenger car shall also be a thickness in inverse proportion to designed to rest on its roof so that any their yield strengths. damage in occupied areas is limited to (2) Outside metal sheathing of less roof sheathing and framing. Other than than 1⁄8 inch thickness may be used roof sheathing and framing, the allow- only if it is reinforced so as to produce able stress in the structural members at least an equivalent sectional area at of the occupied volumes for this condi- a right angle to reinforcements as that tion shall be one-half yield or one-half of the flat sheathing specified in para- the critical buckling stress, whichever graph (b)(1) of this section. is less. Deformation to the roof sheath- (3) When the sheathing used for truss ing and framing is allowed to the ex- construction serves no load-carrying tent necessary to permit the vehicle to function, the minimum thickness of be supported directly on the top chords that sheathing shall be not less than 40 of the side frames and end frames. percent of that specified in paragraph (b)(1) of this section. § 238.217 Side structure. § 238.219 Truck-to-car-body attach- Each passenger car shall comply with ment. the following: (a) Side posts and corner braces. (1) For Except as provided in § 238.201(b), pas- modified girder, semi-monocoque, or senger equipment shall have a truck- truss construction, the sum of the sec- to-carbody attachment with an ulti- tion moduli in inches 3—about a longi- mate strength sufficient to resist with- tudinal axis, taken at the weakest hor- out failure the following individually izontal section between the side sill applied loads: 2g vertically on the mass and side plate—of all posts and braces of the truck; and 250,000 pounds in any on each side of the car located between horizontal direction on the truck, the body corner posts shall be not less along with the resulting vertical reac- than 0.30 multiplied by the distance in tion to this load. For purposes of this feet between the centers of end panels. section, the mass of the truck includes (2) For modified girder or semi-mono- axles, wheels, bearings, the truck- coque construction only, the sum of mounted brake system, suspension sys- the section moduli in inches 3—about a tem components, and any other compo- transverse axis, taken at the weakest nent attached to the truck by design. horizontal section between the side sill [67 FR 19991, Apr. 23, 2002, as amended at 83 and side plate—of all posts, braces and FR 59219, Nov. 21, 2018] pier panels, to the extent available, on each side of the car located between § 238.221 Glazing. body corner posts shall be not less than (a) Passenger equipment shall com- 0.20 multiplied by the distance in feet ply with the applicable Safety Glazing between the centers of end panels. Standards contained in part 223 of this (3) The center of an end panel is the chapter, if required by that part. point midway between the center of (b) Each exterior window on a loco- the body corner post and the center of motive cab and a passenger car shall the adjacent side post. remain in place when subjected to: (4) The minimum section moduli or (1) The forces described in part 223 of thicknesses specified in paragraph (a) this chapter; and of this section may be adjusted in pro- (2) The forces due to air pressure dif- portion to the ratio of the yield ferences caused when two trains pass

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at the minimum separation for two ad- of explosive concentrations of these jacent tracks, while traveling in oppo- gases. site directions, each train traveling at (c) Power dissipation resistors. (1) the maximum authorized speed. Power dissipating resistors shall be adequately ventilated to prevent over- § 238.223 Locomotive fuel tanks. heating under worst-case operating Locomotive fuel tanks shall comply conditions as determined by the rail- with either the following or an indus- road. try standard providing at least an (2) Power dissipation grids shall be equivalent level of safety if approved designed and installed with sufficient by FRA under § 238.21: isolation to prevent combustion. (a) External fuel tanks. External loco- (3) Resistor elements shall be elec- motive fuel tanks shall comply with trically insulated from resistor frames, the requirements contained in Appen- and the frames shall be electrically in- dix D to this part. sulated from the supports that hold (b) Internal fuel tanks. (1) Internal lo- them. comotive fuel tanks shall be positioned (d) Electromagnetic interference and in a manner to reduce the likelihood of compatibility. (1) The operating railroad accidental penetration from roadway shall ensure electromagnetic compat- debris or collision. ibility of the safety-critical equipment (2) Internal fuel tank vent systems systems with their environment. Elec- shall be designed so they do not be- tromagnetic compatibility may be come a path of fuel loss in any tank achieved through equipment design or orientation due to a locomotive over- changes to the operating environment. turning. (2) The electronic equipment shall (3) Internal fuel tank bulkheads and not produce electrical noise that af- skin shall, at a minimum, be equiva- fects the safe performance of train line lent to a 5/16-inch thick steel plate control and communications or way- with a yield strength of 25,000 pounds side signaling systems. per square inch. Material of a higher (3) To contain electromagnetic inter- yield strength may be used to decrease ference emissions, suppression of tran- the required thickness of the material sients shall be at the source wherever provided at least an equivalent level of possible. strength is maintained. Skid plates are (4) All electronic equipment shall be not required. self-protected from damage or im- proper operation, or both, due to high [67 FR 19991, Apr. 23, 2002] voltage transients and long-term over- voltage or under-voltage conditions. § 238.225 Electrical system. This includes protection from both All passenger equipment shall com- power frequency and harmonic effects ply with the following: as well as protection from radio fre- (a) Conductors. Conductor sizes shall quency signals into the microwave fre- be selected on the basis of current-car- quency range. rying capacity, mechanical strength, temperature, flexibility requirements, § 238.227 Suspension system. and maximum allowable voltage drop. On or after November 8, 1999— Current-carrying capacity shall be de- (a) All passenger equipment shall ex- rated for grouping and for operating hibit freedom from truck hunting at all temperature. operating speeds. If truck hunting does (b) Main battery system. (1) The main occur, a railroad shall immediately battery compartment shall be isolated take appropriate action to prevent de- from the cab and passenger seating railment. Truck hunting is defined in areas by a non-combustible barrier. § 213.333 of this chapter. (2) Battery chargers shall be designed (b) Nothing in this section shall af- to protect against overcharging. fect the requirements of the Track (3) If batteries are of the type to po- Safety Standards in part 213 of this tentially vent explosive gases, the bat- chapter as they apply to passenger tery compartment shall be adequately equipment as provided in that part. In ventilated to prevent the accumulation particular—

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(1) Pre-revenue service qualification. prior to January 1, 2007, that is All passenger equipment intended for equipped with a safety appliance, re- service at speeds greater than 90 mph quired by the ‘‘manner of application’’ or at any curving speed producing more provisions in part 231 of this chapter to than 5 inches of cant deficiency shall be attached by a mechanical fastener demonstrate safe operation during pre- (i.e., bolts, rivets, or screws), and the revenue service qualification in accord- safety appliance is mechanically fas- ance with § 213.345 of this chapter and is tened to a bracket or support that is subject to the requirements of either attached to the equipment by welding § 213.57 or § 213.329 of this chapter, as ap- may continue to be used in service pro- propriate. vided all of the requirements in para- (2) Revenue service operation. All pas- graphs (e) through (k) of this section senger equipment intended for service are met. The welded safety appliance at speeds greater than 90 mph or at any curving speed producing more than 5 bracket or support only needs to re- inches of cant deficiency is subject to ceive the initial visual inspection re- the requirements of § 213.333 of this quired under paragraph (g)(1) of this chapter and either § 213.57 or § 213.329 of section if all of the following condi- this chapter, as appropriate. tions are met: (i) The welded safety appliance [78 FR 16125, Mar. 13, 2013] bracket or support meets all of the § 238.229 Safety appliances—general. conditions contained in § 238.230(b)(1) for being considered part of the car (a) Except as provided in this part, body; all passenger equipment continues to be subject to the safety appliance re- (ii) The weld on the safety appliance quirements contained in Federal stat- bracket or support does not contain ute at 49 U.S.C. chapter 203 and in Fed- any defect as defined in paragraph (d) eral regulations at part 231 of this of this section; and chapter. (iii) The railroad submits a written (b) Except as provided in this part, list to FRA identifying each piece of FRA interprets the provisions in part passenger equipment equipped with a 231 of this chapter that expressly man- welded safety appliance bracket or sup- date that the manner of application of port as described in paragraph (c)(1)(i) a safety appliance be a bolt, rivet, or and (c)(1)(ii) of this section and pro- screw to mean that the safety appli- vides a description of the specific safe- ance and any related bracket or sup- ty appliance bracket or support. port used to attach that safety appli- (2) Passenger equipment placed in ance to the equipment shall be so af- service prior to January 1, 2007, that is fixed to the equipment. Specifically, equipped with a safety appliance that FRA prohibits the use of welding as a is directly attached to the equipment method of attachment of any such safe- by welding (i.e., no mechanical fas- ty appliance or related bracket or sup- tening of any kind) shall be considered port. A ‘‘safety appliance bracket or defective and immediately handled for support’’ means a component or part repair pursuant to the requirements attached to the equipment for the sole purpose of securing or attaching of the contained in § 238.17(e) unless the rail- safety appliance. FRA does allow the road meets the following: welded attachment of a brace or stiff- (i) The railroad submits a written list ener used in connection with a me- to FRA that identifies each piece of chanically fastened safety appliance. passenger equipment equipped with a In order to be considered a ‘‘brace’’ or welded safety appliance as described in ‘‘stiffener,’’ the component or part paragraph (c)(2) of this section and pro- shall not be necessary for the attach- vides a description of the specific safe- ment of the safety appliance to the ty appliance; and equipment and is used solely to provide (ii) The involved safety appliance(s) extra strength or steadiness to the on such equipment are inspected and safety appliance. handled pursuant to the requirements (c) Welded safety appliances. (1) Pas- contained in paragraphs (g) through (k) senger equipment placed in service of this section.

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(d) Defective welded safety appliance or written notification to the railroad of welded safety appliance bracket or sup- any such determination. port. Passenger equipment with a weld- (g) Inspection plans. The railroad ed safety appliance or a welded safety shall adopt and comply with and sub- appliance bracket or support will be mit to FRA upon request a written considered defective and shall be han- safety appliance inspection plan. At a dled in accordance with § 238.17(e) if minimum, the plan shall include the any part or portion of the weld con- following: tains a defect. Any repairs made to (1) Except as provided in paragraph such equipment shall be in accordance (c)(1) of this section, an initial visual with the inspection plan required in inspection (within 1 year of date of paragraph (g) of this section and the publication) and periodic re-inspec- remedial actions identified in para- tions (at intervals not to exceed 6 graph (j) of this section. A defect for years) of each welded safety appliance the purposes of this section means a bracket or support identified in para- crack or fracture of any visibly dis- graph (e) of this section. If significant cernible length or width. When appro- disassembly of a car is necessary to priate, civil penalties for improperly visually inspect the involved safety ap- using or hauling a piece of equipment pliance bracket or support, the initial with a defective welded safety appli- visual inspection may be conducted at ance or safety appliance bracket or the equipment’s first periodic brake support addressed in this section will equipment maintenance interval pur- be assessed as an improperly applied suant to § 238.309 occurring after Janu- safety appliance pursuant to the pen- ary 1, 2007. alty schedule on FRA’s website at (2) Identify the personnel that will www.fra.dot.gov under the appropriate conduct the initial and periodic inspec- defect code contained therein. tions and any training those individ- (e) Identification of equipment. The uals are required to receive in accord- railroad shall submit a written list to ance with the criteria contained in FRA that identifies each piece of pas- paragraph (h) of this section. senger equipment equipped with a (3) Identify the specific procedures welded safety appliance bracket or sup- and criteria for conducting the initial port by January 1, 2007. Passenger and periodic safety appliance inspec- equipment placed in service prior to tions in accordance with the require- January 1, 2007, but not discovered ments and criteria contained in para- until after January 1, 2007, shall be im- graph (i) of this section. mediately added to the railroad’s writ- (4) Identify when and what type of ten list and shall be immediately in- potential repairs or potential remedial spected in accordance with paragraph action will be required for any defec- (g) through (k) of this section. The tive welded safety appliance bracket or written list submitted by the railroad support discovered during the initial or shall contain the following: periodic safety appliance inspection in (1) The equipment number; accordance with paragraph (j) of this (2) The equipment type; section. (3) The safety appliance bracket(s) or (5) Identify the records that will be support(s) affected; maintained that are related to the ini- (4) Any equipment and any specific tial and periodic safety appliance in- safety appliance bracket(s) or sup- spections in accordance with the re- ports(s) on the equipment that will not quirements contained in paragraph (k) be subject to the inspection plan re- of this section. quired in paragraph (g) of this section; (h) Inspection personnel. The initial (5) A detailed explanation for any and periodic safety appliance inspec- such exclusion recommended in para- tions shall be performed by individuals graph (e)(4) of this section; properly trained and qualified to iden- (f) FRA’s Associate Administrator tify defective weld conditions. At a for Safety reserves the right to dis- minimum, these personnel include the approve any exclusion recommended by following: the railroad in paragraphs (c)(2)(i) and (1) A qualified maintenance person (d)(4) of this section and will provide (QMP) with at least 4 hours of training

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specific to the identification of weld (5) Any weld found with a defect as defects and the railroad’s weld inspec- defined in paragraph (d) of this section tion procedures; during the initial or periodic safety ap- (2) A current certified welding in- pliance inspection shall be inspected by spector (CWI) pursuant to American either a certified weld inspector identi- Welding Society Standard—AWS QC–1, fied in paragraphs (h)(2) through (h)(5) Standard for AWS Certification of of this section or a welding or mate- Welding Inspectors (1996) or its current rials engineer possessing a professional revised equivalent; engineer’s license for a final deter- (3) A person possessing a current Ca- mination. No car with a defect in the nadian Welding Bureau (CWB) certifi- weld of a safety appliance or its attach- cation pursuant to the Canadian ment may continue in use until a final Standards Association Standard W59 determination as to the existence of a (2003) or its current revised equivalent; defect is made by the personnel identi- (4) A person possessing a current fied in this paragraph. level II or level III visual inspector cer- (6) A weld finally determined to con- tification from the American Society tain a defect shall be handled for repair for Non-destructive Testing pursuant in accordance with § 238.17(e) and re- to Recommended Practice SNT–TC– paired in accordance with the remedial 1A—Personnel Qualification and Cer- action criteria contained in paragraph tification in Nondestructive Testing (j) of this section. (2001) or its current revised equivalent; (j) Remedial action. Unless a defect in or a weld is known to have been caused by (5) A person possessing a current cer- crash damage, the railroad shall con- tification under any other nationally duct a failure and engineering analysis or internationally recognized welding of any weld identified in paragraph (e) qualification standard that is equiva- of this section determined to have a lent to those identified in paragraphs break or crack either during the initial (h)(2) through (h)(4) of this section. or periodic safety appliance inspection (i) Inspection procedures. The initial or while otherwise in service to deter- and periodic safety appliance inspec- mine if the break or crack is the result tions shall be conducted in accordance of crash damage, improper construc- with the procedures and criteria estab- tion, or inadequate design. Based on lished in the railroad’s inspection plan. the results of the analysis, the repair At a minimum, these procedures and of the involved safety appliance brack- criteria shall include: et or support shall be handled as fol- (1) A complete visual inspection of lows: the entire welded surface of any safety (1) A defect in a weld due to crash appliance bracket or support identified damage (i.e., impact of the safety appli- in paragraph (e) of this section. ance by an outside force during service (2) The visual inspection shall occur or an accident) or improper construc- after the complete removal of any dirt, tion (i.e., the weld did not conform to grease, rust, or any other foreign mat- the engineered design) shall be re- ter from the welded portion of the in- attached by either mechanically fas- volved safety appliance bracket or sup- tening the safety appliance or the safe- port. Removal of paint is not required. ty appliance bracket or support to the (3) The railroad shall disassemble any equipment or welding the safety appli- equipment necessary to permit full vis- ance bracket or support to the equip- ual inspection of the involved weld. ment in a manner that is at least as (4) Any materials necessary to con- strong as the original design or at least duct a complete inspection must be twice the strength of a bolted mechan- made available to the inspection per- ical attachment, whichever is greater. sonnel throughout the inspection proc- If welding is used to repair the dam- ess. These include but are not limited aged appliance, bracket, or support the to such items as mirrors, magnifying following requirements shall be met: glasses, or other location specific in- (i) The repair shall be conducted in spection aids. Remote viewing aids pos- accordance with the welding proce- sessing equivalent sensitivity are per- dures contained in APTA Standard SS– missible for restricted areas. C&S–020–03—Standard for Passenger

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Rail Vehicle Structural Repair (Sep- impractical due to the design of the tember 2003); or an alternative proce- equipment; dure approved by FRA pursuant to (iii) The railroad shall develop and § 238.21. The Director of the Federal comply with a written plan submitted Register approves incorporation by ref- to and approved by FRA’s Associate erence of the APTA Standard SS–C&S– Administrator for Safety detailing a 020–03 (September 2003), ‘‘Standard for schedule for all passenger equipment in Passenger Rail Vehicle Structural Re- that series of cars with a similar weld- pair,’’ in this section in accordance ed safety appliance bracket or support with 5 U.S.C. 552(a) and 1 CFR part 51. to have the involved safety appliance You may obtain a copy of the incor- or the safety appliance bracket or sup- porated standard from the American port mechanically fastened to the Public Transportation Association, equipment; and 1666 K Street, Washington, DC 20006. (iv) If a railroad determines that the You may inspect a copy of the incor- design of the equipment makes it im- porated standard at the Federal Rail- practical to mechanically fasten the road Administration, Docket Clerk, safety appliance or the safety appli- 1200 New Jersey Avenue, SE., Wash- ance bracket or support to the equip- ington, DC 20590 or at the National Ar- ment, then the railroad shall submit a chives and Records Administration request to FRA for special approval of (NARA). For information on the avail- alternative compliance pursuant to ability of this material at NARA, call § 238.21. Such a request shall explain 202–741–6030, or go to http:// the necessity for any relief sought and www.archives.gov/federallregister/ shall contain appropriate data and codeloflfederallregulations/ analysis supporting its determination ibrllocations.html; that any alternative method of attach- (ii) A qualified individual under para- ment provides at least an equivalent graph (h) of this section shall inspect level of safety. the weld to ensure it is free of any (k) Records. Railroads shall maintain cracks or fractures prior to the equip- written or electronic records of the in- ment being placed in-service; spection and repair of the welded safe- (iii) The welded safety appliance ty appliance brackets or supports on bracket or support shall receive a peri- any equipment identified in paragraph odic safety appliance inspection pursu- (e) of this section. The records shall be ant to the requirements contained in made available to FRA upon request. paragraphs (g) through (i) of this sec- At a minimum, these records shall in- tion; and clude all of the following: (iv) A record of the welded repair pur- (1) Training or certification records suant to the requirements of paragraph for any person performing any of the (k) of this section shall be maintained inspections or repairs required in this by the railroad. section. (2) A defect in the weld that is due to (2) The date, time, location, and iden- inadequate design (i.e., unanticipated tification of the person performing the stresses or loads during service) shall initial and periodic safety appliance in- be handled in accordance with the fol- spections for each piece of equipment lowing: identified in paragraph (e) of this sec- (i) The railroad must immediately tion. This includes the identification of notify FRA’s Associate Administrator the person making any final deter- for Safety in writing of its discovery of mination as to the existence of a defect a defective weld that is due to inad- under paragraph (i)(5) of this section. equate design; (3) A record of all passenger equip- (ii) The involved safety appliance or ment found with a safety appliance the safety appliance bracket or support weldment that is defective either dur- shall be reattached to the equipment ing the initial or periodic safety appli- by mechanically fastening the safety ance inspection or while the equipment appliance or the safety appliance is in-service. This record shall also bracket or support to the equipment identify the cause of the crack or frac- unless such mechanical fastening is ture.

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(4) The date, time, location, identi- (vi) The weld is performed in accord- fication of the person making the re- ance with the welding process and the pair, and the nature of the repair to quality control procedures contained in any welded safety appliance bracket or the current American Welding Society support identified in paragraph (e) of (AWS) Standard, the Canadian Welding this section. Bureau (CWB) Standard, or an equiva- lent nationally or internationally rec- [71 FR 61858, Oct. 19, 2006, as amended at 74 FR 25174, May 27, 2009; 84 FR 23736, May 23, ognized welding standard; 2019] (vii) The weld is performed by an in- dividual possessing the qualifications § 238.230 Safety appliances—new to be certified under the current AWS equipment. Standard, CWB Standard, or any equiv- (a) Applicability. This section applies alent nationally or internationally rec- to passenger equipment placed in serv- ognized welding qualification standard; ice on or after January 1, 2007. (viii) The weld is inspected by an in- (b) Welded safety sppliances. Except as dividual qualified to determine that all provided in this section, all passenger of the conditions identified in para- equipment placed into service on or graph (b)(1)(i) through (b)(1)(vii) of this after January 1, 2007, that is equipped section are met prior to the equipment with a safety appliance, required by being placed in service; and the ‘‘manner of application’’ provisions (ix) A written or electronic record of in part 231 of this chapter to be at- the inspection required in paragraph tached by a mechanical fastener (i.e., (b)(1)(viii) of this section shall be re- bolts, rivets, or screws), shall have the tained by the railroad operating the safety appliance and any bracket or equipment and shall be provided to support necessary to attach the safety FRA upon request. At a minimum, this appliance to the piece of equipment record shall include the date, time, lo- mechanically fastened to the piece of cation, identification of the person per- equipment. forming the inspection, and the quali- (1) Safety appliance brackets or sup- fications of the person performing the ports considered part of the car body. inspection. Safety appliance brackets or supports (2) Directly welded safety appliances. will be considered part of the car body Passenger equipment that is equipped and will not be required to be mechani- with a safety appliance that is directly cally fastened to the piece of passenger attached to the equipment by welding equipment if all of the following are (i.e., no mechanical fastening of any met: kind) may be placed in service only if (i) The bracket or support is welded the railroad meets the following: to a surface of the equipment’s body (i) The railroad submits a written list that is at a minimum 3/16-inch sheet to FRA that identifies each piece of steel or structurally reinforced to pro- new passenger equipment equipped vide the equivalent strength and rigid- with a welded safety appliance as de- ity of 3/16-inch sheet steel; scribed in paragraph (b)(2) of this sec- (ii) The area of the weld is sufficient tion and provides a description of the to ensure a minimum weld strength, specific safety appliance; based on yield, of three times the (ii) The railroad provides a detailed strength of the number of SAE grade 2, basis as to why the design of the vehi- 1⁄2 inch diameter bolts that would be re- cle or placement of the safety appli- quired for each attachment; ance requires that the safety appliance (iii) Except for any access required be directly welded to the equipment; for attachment of the safety appliance, and the weld is continuous around the pe- (iii) The involved safety appliance(s) rimeter of the surface of the bracket or on such equipment are inspected and support; handled pursuant to the requirements (iv) The attachment is made with fil- contained in § 238.229(g) through (k). let welds at least 3/16-inch in size; (3) Other welded safety appliances and (v) The weld is designed for infinite safety appliance brackets and supports. fatigue life in the application that it Except for safety appliance brackets will be placed; and supports identified in paragraph

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(b)(1) of this section, safety appliance inspected and handled in accordance brackets and supports on passenger with the requirements contained in equipment shall not be welded to the § 238.229(g) through (k). car body unless the design of the equip- (2) Any repair to a safety appliance ment makes it impractical to mechani- bracket or support considered to be cally fasten the safety appliance and it part of the car body under paragraph is impossible to meet the conditions (b)(1) of this section shall be conducted for considering the bracket or support in accordance with APTA Standard part of the car body contained in para- SS–C&S–020–03—Standard for Pas- graph (b)(1) of this section. Prior to senger Rail Vehicle Structural Repair placing a piece of passenger equipment (September 2003), or an alternative pro- in service with a welded safety appli- cedure approved by FRA pursuant to ance bracket or support as described in § 238.21, and shall ensure that the repair this paragraph, the railroad shall sub- meets the requirements contained in mit documentation to FRA, for FRA’s paragraphs (b)(1)(i) through (b)(1)(vii) review and approval, containing all of the following information: of this section. The Director of the (i) Identification of the equipment by Federal Register approves incorpora- number, type, series, operating rail- tion by reference of the APTA Stand- road, and other pertinent data; ard SS–C&S–020–03 (September 2003), (ii) Identification of the safety appli- ‘‘Standard for Passenger Rail Vehicle ance bracket(s) or support(s) not me- Structural Repair,’’ in this section in chanically fastened to the equipment accordance with 5 U.S.C. 552(a) and 1 and not considered part of the car body CFR part 51. You may obtain a copy of under paragraph (b)(1) of this section; the incorporated standard from the (iii) A detailed analysis describing American Public Transportation Asso- the necessity to attach the safety ap- ciation, 1666 K Street, Washington, DC pliance bracket or support to the 20006. You may inspect a copy of the in- equipment by a means other than me- corporated standard at the Federal chanical fastening; Railroad Administration, Docket (iv) A detailed analysis describing Clerk, 1200 New Jersey Avenue, SE., the inability to make the bracket or Washington, DC 20590 or at the Na- support part of the car body as pro- tional Archives and Records Adminis- vided for in paragraph (b)(1) of this sec- tration (NARA). For information on tion; and the availability of this material at (v) A copy and description of the con- NARA, call 202–741–6030, or go to http:// sensus or other appropriate industry www.archives.gov/federallregister/ standard used to ensure the effective- codeloflfederallregulations/ ness and strength of the attachment; ibrllocations.html. (c) Inspection and repair. Passenger (d) Passenger cars of special construc- equipment with a welded safety appli- tion. A railroad or a railroad’s recog- ance or a welded safety appliance nized representative may submit a re- bracket or support will be considered quest for special approval of alter- defective and shall be handled in ac- native compliance pursuant to § 238.21 cordance with § 238.17(e) if any part or relating to the safety appliance ar- portion of the weld is defective as de- fined in § 238.229(d). When appropriate, rangements on any passenger car con- civil penalties for improperly using or sidered a car of special construction hauling a piece of equipment with a de- under § 231.18 of this chapter. Any such fective welded safety appliance or safe- petition shall be in the form of an in- ty appliance bracket or support ad- dustry-wide standard and at a min- dressed in this section will be assessed imum shall: pursuant to the penalty schedule on (1) Identify the type(s) of car to FRA’s website at www.fra.dot.gov under which the standard would be applica- the appropriate defect code contained ble; therein. (2) As nearly as possible, based upon (1) Any safety appliance bracket or the design of the equipment, ensure support approved by FRA pursuant to that the standard provides for the same paragraph (b)(3) of this section shall be complement of handholds, sill steps,

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ladders, hand or parking brakes, run- September 9, 2002, shall not require an ning boards, and other safety appli- inspector to place himself or herself ances as are required for a piece of on, under, or between components of equipment of the nearest approximate the equipment to observe brake actu- type already identified in part 231 of ation or release. Passenger equipment this chapter; not designed in this manner shall be (3) Comply with all statutory re- equipped and handled in accordance quirements relating to safety appli- with one of the following: ances contained at 49 U.S.C. 20301 and (1) Equipped with piston travel indi- 20302; cators as defined in § 238.5 or devices of (4) Specifically address the number, similar design and inspected pursuant dimension, location, and manner of ap- to the requirements contained in plication of each safety appliance con- § 238.313 (j); or tained in the standard; (2) Equipped with brake indicators as (5) Provide specific analysis regard- defined in § 238.5, designed so that the ing why and how the standard was de- pressure sensor is placed in a location veloped and specifically discuss the so that nothing may interfere with the need or benefit of the safety appliance air flow to brake cylinder and in- arrangement contained in the stand- spected pursuant to the requirements ard; contained in § 238.313 (j). (6) Include drawings, sketches, or (c) Passenger equipment shall be pro- other visual aids that provide detailed vided with an emergency brake appli- information relating to the design, lo- cation feature that produces an irre- cation, placement, and attachment of trievable stop, using a brake rate con- the safety appliances; and sistent with prevailing adhesion, pas- (7) Demonstrate the ergonomic suit- senger safety, and brake system ther- ability of the proposed arrangements in mal capacity. An emergency brake ap- normal use. plication shall be available at any (e) Civil penalties. Any industry stand- time, and shall be initiated by an unin- ard approved pursuant to § 238.21 will be tentional parting of the train. enforced against any person who vio- (d) A passenger train brake system lates any provision of the approved shall respond as intended to signals standard or causes the violation of any from a train brake control line or lines. such provision. Civil penalties will be Control lines shall be designed so that assessed under part 231 of this chapter failure or breakage of a control line by using the applicable defect code will cause the brakes to apply or will contained on FRA’s website at result in a default to control lines that www.fra.dot.gov. meet this requirement. [71 FR 61860, Oct. 19, 2006, as amended at 74 (e) Introduction of alcohol or other FR 25174, May 27, 2009; 84 FR 23736, May 23, chemicals into the air brake system of 2019] passenger equipment is prohibited. (f) The operating railroad shall re- § 238.231 Brake system. quire that the design and operation of Except as otherwise provided in this the brake system results in wheels that section, on or after September 9, 1999 are free of condemnable cracks. the following requirements apply to all (g) Disc brakes shall be designed and passenger equipment and passenger operated to produce a surface tempera- trains. ture no greater than the safe operating (a) A passenger train’s primary brake temperature recommended by the disc system shall be capable of stopping the manufacturer and verified by testing or train with a service application from previous service. its maximum authorized operating (h) Hand brakes and parking brakes. (1) speed within the signal spacing exist- Except for a locomotive that is ordered ing on the track over which the train is before September 8, 2000 or placed in operating. service for the first time before (b) Where practicable, the design of Sepbember 9, 2002, and except for MU passenger equipment ordered on or locomotives, all locomotives shall be after September 8, 2000, or placed in equipped with a hand or parking brake service for the first time on or after that can:

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(i) Be applied or activated by hand; (iii) At a minimum, the hand or park- (ii) Be released by hand; and ing brake shall be fully applied on at (iii) Hold the loaded unit on the max- least one locomotive or vehicle in an imum grade anticipated by the oper- unattended locomotive consist or ating railroad. train; (2) Except for a private car and loco- (iv) A railroad shall develop, adopt, motives addressed in paragraph (h)(1) and comply with procedures for secur- of this section, all other passenger ing any unattended locomotive re- equipment, including MU locomotives, quired to have a hand or parking brake shall be equipped with a hand brake applied when the locomotive is not that meets the requirements for hand equipped with an operative hand or brakes contained in part 231 of this parking brake; chapter and that can: (v) A railroad shall adopt and comply (i) Be applied or activated by hand; with instructions to address throttle (ii) Be released by hand; and position, status of the reverser lever, (iii) Hold the loaded unit on the max- position of the generator field switch, imum grade anticipated by the oper- status of the independent brakes, posi- ating railroad. tion of the isolation switch, and posi- (3) Except for MU locomotives, on lo- tion of the automatic brake valve, or comotives so equipped, the hand or the functional equivalent of these parking brake as well as its parts and items, on all unattended locomotives. connections shall be inspected, and The procedures and instruction shall necessary repairs made, as often as take into account weather conditions service requires but no less frequently as they relate to throttle position and than every 368 days. The date of the reverser handle; and last inspection shall be either entered (vi) Any hand or parking brakes ap- on Form FRA F 6180–49A, suitably plied to hold unattended equipment stenciled or tagged on the equipment, shall not be released until it is known or maintained electronically provided that the air brake system is properly FRA has access to the record upon re- charged. quest. (i) Passenger cars shall be equipped (4) A train’s air brake shall not be de- with a means to apply the emergency pended upon to hold unattended equip- brake that is accessible to passengers ment (including a locomotive, a car, or and located in the vestibule or pas- a train whether or not locomotive is senger compartment. The emergency attached). For purposes of this section, brake shall be clearly identified and ‘‘unattended equipment’’ means equip- marked. ment left standing and unmanned in (j) Locomotives ordered after Sep- such a manner that the brake system tember 8, 2000, or placed in service for of the equipment cannot be readily the first time after September 9, 2002, controlled by a qualified person. Unat- that are equipped with blended brakes tended equipment shall be secured in shall be designed so that: accordance with the following require- (1) The blending of friction and dy- ments: namic brake to obtain the correct re- (i) A sufficient number of hand or tarding force is automatic; parking brakes shall be applied to hold (2) Loss of power or failure of the dy- the equipment. Railroads shall develop namic brake does not result in exceed- and implement a process or procedure ing the allowable stopping distance; to verify that the applied hand or park- (3) The friction brake alone is ade- ing brakes will sufficiently hold the quate to safely stop the train under all equipment with the air brakes re- operating conditions; and leased; (4) Operation of the friction brake (ii) Except for equipment connected alone does not result in thermal dam- to a source of compressed air (e.g., lo- age to wheels or disc rotor surface tem- comotive or ground air source), prior peratures exceeding the manufacturer’s to leaving equipment unattended, the recommendation. brake pipe shall be reduced to zero at a (k) For new designs of braking sys- rate that is no less than a service rate tems, the design process shall include reduction; computer modeling or dynamometer

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simulation of train braking that shows (i) The longitudinal inertial force of compliance with paragraphs (f) and (g) 8g acting on the mass of the seat; and of this section over the range of equip- (ii) The load associated with the im- ment operating speeds. A new simula- pact into the seatback of an unre- tion is required prior to implementing strained 95th-percentile adult male ini- a change in operating parameters. tially seated behind the seat, when the (l) Locomotives ordered on or after floor to which the seat is attached de- September 8, 2000 or placed in service celerates with a triangular crash pulse for the first time on or after September having a peak of 8g and a duration of 9, 2002, shall be equipped with effective 250 milliseconds. air coolers or dryers that provide air to (b) Overhead storage racks in a pas- the main reservoir with a dew point at senger car shall provide longitudinal least 10 degrees F. below ambient tem- and lateral restraint for stowed arti- perature. cles. Overhead storage racks shall be (m) When a passenger train is oper- attached to the car body with suffi- ated in either direct or graduated re- cient strength to resist loads due to lease— the following individually applied ac- (1) All the cars in the train consist celerations acting on the mass of the shall be set up in the same operating luggage stowed as determined by the mode or railroad: (2) Up to two cars may be operated in (1) Longitudinal: 8g; direct release mode when the rest of (2) Vertical: 4g; and the cars in the train are operated in (3) Lateral: 4g. graduated release mode, provided that (c) Other interior fittings within a the cars operated in direct release passenger car shall be attached to the mode are hauled at the rear of the car body with sufficient strength to train consist. withstand the following individually (n) Before adjusting piston travel or applied accelerations acting on the working on brake rigging, the cutout mass of the fitting: cock in the brake pipe branch must be (1) Longitudinal: 8g; closed and the air reservoirs must be (2) Vertical: 4g; and voided of all compressed air. When cut- (3) Lateral: 4g. out cocks are provided in brake cyl- (d) To the extent possible, all interior inder pipes, these cutout cocks may be fittings in a passenger car, except closed, and air reservoirs need not be seats, shall be recessed or flush-mount- voided of all compressed air. ed. (o) All passenger trains to which this (e) Sharp edges and corners in a loco- part applies shall comply with the re- motive cab and a passenger car shall be quirements covering the use of two- either avoided or padded to mitigate way end-of-train devices contained in the consequences of an impact with part 232 of this chapter. such surfaces. (f) Locomotives required to be con- [64 FR 25660, May 12, 1999, as amended at 65 structed in accordance with subpart D FR 41307, July 3, 2000; 71 FR 61861, Oct. 19, of part 229 of this chapter shall have 2006] cab seat attachment in compliance with § 229.206 of this chapter, in lieu of § 238.233 Interior fittings and surfaces. the following requirements of this (a) Each seat in a passenger car paragraph. Each seat provided for a shall— crewmember regularly assigned to oc- (1) Be securely fastened to the car cupy the cab of a locomotive and each body so as to withstand an individually floor-mounted seat in the cab shall be applied acceleration of 4g acting in the secured to the car body with an attach- lateral direction and 4g acting in the ment having an ultimate strength ca- upward vertical direction on the dead- pable of withstanding the loads due to weight of the seat or seats, if held in the following individually applied ac- tandem; and celerations acting on the combined (2) Have an attachment to the car mass of the seat and a 95th-percentile body of an ultimate strength capable of adult male occupying it: resisting simultaneously: (1) Longitudinal: 8g;

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(2) Lateral: 4g; and road taking into consideration max- (3) Vertical: 4g. imum train speed and capabilities of (g) If, for purposes of showing compli- the signal system. The railroad shall ance with the requirements of this sec- document the basis for setting alerter tion, the strength of a seat attachment or deadman control timing and make is to be demonstrated through sled this documentation available to FRA testing, the seat structure and seat at- upon request. tachment to the sled that is used in (c) If the train operator does not re- such testing must be representative of spond to the alerter or maintain proper the actual seat structure in, and seat contact with the deadman control, it attachment to, the rail vehicle subject shall initiate a penalty brake applica- to the requirements of this section. If tion. the attachment strength of any other (d) The following procedures apply if interior fitting is to be demonstrated the alerter or deadman control fails en through sled testing, for purposes of route and causes the locomotive to be showing compliance with the require- in non-compliance with paragraph (a): ments of this section, such testing (1)(i) A second person qualified on the shall be conducted in a similar manner. signal system and trained to apply the [64 FR 25660, May 12, 1999, as amended at 71 emergency brake shall be stationed in FR 36917, June 28, 2006] the locomotive cab; or (ii) The engineer shall be in constant § 238.235 [Reserved] communication with a second crew- § 238.237 Automated monitoring. member until the train reaches the next terminal. (a) Except as further specified in this (2)(i) A tag shall be prominently dis- paragraph, on or after November 8, 1999 played in the locomotive cab to indi- a working alerter or deadman control cate that the alerter or deadman con- shall be provided in the controlling lo- trol is defective, until such device is comotive of each passenger train oper- repaired; and ating in other than cab signal, auto- (ii) When the train reaches its next matic train control, or automatic train stop territory. If the controlling loco- terminal or the locomotive undergoes motive is ordered on or after Sep- its next calendar day inspection, tember 8, 2000, or placed into service whichever occurs first, the alerter or for the first time on or after September deadman control shall be repaired or 9, 2002, a working alerter shall be pro- the locomotive shall be removed as the vided. controlling locomotive in the train. (b) Alerter or deadman control tim- [64 FR 25660, May 12, 1999, as amended at 67 ing shall be set by the operating rail- FR 19991, Apr. 23, 2002]

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FIGURE 1 TO SUBPART C OF PART 238

[75 FR 1230, Jan. 8, 2010]

Subpart D—Inspection, Testing, trator for Safety as provided in and Maintenance Require- § 238.1(c). ments for Tier I Passenger (c) Paragraphs (b) and (c) of § 238.309 Equipment shall apply beginning September 9, 1999. § 238.301 Scope. [64 FR 25660, May 12, 1999, as amended at 65 (a) This subpart contains require- FR 41307, July 3, 2000] ments pertaining to the inspection, § 238.303 Exterior calendar day me- testing, and maintenance of passenger chanical inspection of passenger equipment operating at speeds not ex- equipment. ceeding 125 miles per hour. The require- ments in this subpart address the in- (a) General. (1) Except as provided in spection, testing, and maintenance of paragraph (f) of this section, each pas- the brake system as well as other me- senger car and each unpowered vehicle chanical and electrical components used in a passenger train shall receive covered by this part. an exterior mechanical inspection at (b) Beginning on January 1, 2002, the least once each calendar day that the requirements contained in this subpart equipment is placed in service. shall apply to railroads operating Tier (2) Except as provided in paragraph I passenger equipment covered by this (f) of this section, all passenger equip- part. A railroad may request earlier ap- ment shall be inspected as required in plication of the requirements con- this section at least once each calendar tained in this subpart upon written no- day that the equipment is placed in tification to FRA’s Associate Adminis- service to ensure that the equipment

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conforms with the requirement con- (1) Products of combustion are re- tained in paragraph (e)(15) of this sec- leased entirely outside the cab and tion. other compartments. (3) If a passenger care is also classi- (2) Each battery container is vented fied as a locomotive under part 229 of and each battery is kept from gassing this chapter, the passenger car shall excessively. also receive a daily inspection pursu- (3) Each coupler is in the following ant to the requirements of § 229.21 of condition: this chapter. (i) Sidewall or pin bearing bosses and (b) Each passenger car and each the pulling face of the knuckles are not unpowered vehicle added to a passenger broken or cracked; train shall receive an exterior calendar (ii) The coupler assembly is equipped day mechanical inspection in accord- with anti-creep protection; ance with the following: (iii) The coupler carrier is not broken (1) Except as provided in paragraph or cracked; and (b)(2) of this section, each passenger (iv) The yoke is not broken or car and each unpowered vehicle added cracked. to a passenger train shall receive an (4) A device is provided under the exterior calendar day mechanical in- lower end of all drawbar pins and ar- spection at the time it is added to the ticulated connection pins to prevent train unless notice is provided to the the pin from falling out of place in case train crew that an exterior mechanical of breakage. inspection was performed on the car or (5) The suspension system, including vehicle on the last day it was used in the spring rigging, is in the following passenger service. The notice required condition: by this section shall contain the date, (i) Protective construction or safety time, and location of the last exterior hangers are provided to prevent spring mechanical inspection; planks, spring seats, or bolsters from (2) Each express car, freight car, and dropping to the track structure in each unit of intermodal equipment event of a hanger or spring failure; (e.g., RoadRailers ®) added to a pas- senger train shall receive an exterior (ii) The top (long) leaf or any of the calendar day mechanical inspection at other three leaves of the elliptical the time it is added to the train, unless spring is not broken, except when a notice is provided to the train crew spring is part of a nest of three or more that an exterior mechanical inspection springs and none of the other springs in was performed on the car within the the nest has its top leaf or any of the previous calendar day. The notice re- other three leaves broken; quired by this section shall contain the (iii) The outer coil spring or saddle is date, time, and location of the last ex- not broken; terior mechanical inspection. (iv) The equalizers, hangers, bolts, (c) The exterior calendar day me- gibs, or pins are not cracked or broken; chanical inspection shall be performed (v) The coil spring is not fully com- by a qualified maintenance person. pressed when the car is at rest; (d) The exterior calendar day me- (vi) The shock absorber is not broken chanical inspection required by this or leaking oil or other fluid; and section shall be conducted to the ex- (vii) Each air bag or other pneumatic tent possible without uncoupling the suspension system component inflates trainset and without placing the equip- or deflates, as applicable, correctly and ment over a pit or on an elevated otherwise operates as intended. track. (6) Each truck is in the following (e) As part of the exterior calendar condition: day mechanical inspection, the rail- (i) Each tie bar is not loose; road shall verify conformity with the (ii) Each motor suspension lug, following conditions, and noncon- equalizer, hanger, gib, or pin is not formity with any such condition ren- cracked or broken; and ders the passenger car or unpowered (iii) The truck frame is not broken vehicle used in a passenger train defec- and is not cracked in a stress area that tive whenever discovered in service: may affect its structural integrity.

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(7) Each side bearing is in the fol- coach is located and guarded in a man- lowing condition: ner that provides sufficient vertical (i) Each friction side bearing with clearance. Jumpers and cable connec- springs designed to carry weight does tions may not hang with one end free; not have more than 25 percent of the (ii) The insulation is not broken or springs in any one nest broken; badly chafed; (ii) Each friction side bearing does (iii) No plug, receptacle, or terminal not run in contact unless designed to is broken; and operate in that manner; and (iv) No strand of wire is broken or (iii) The maximum clearance of each protruding. side bearing does not exceed the manu- (12) Each door and cover plate guard- facturer’s recommendation. ing high voltage equipment is marked (8) Each wheel does not have any of ‘‘Danger—High Voltage’’ or with the the following conditions: word ‘‘Danger’’ and the normal voltage (i) A single flat spot that is 21⁄2 inches carried by the parts so protected. or more in length, or two adjoining (13) Each buffer plate is in place. spots that are each two or more inches (14) Each diaphragm, if any, is in in length; place and properly aligned. (ii) A gouge or chip in the flange that (15) Each secondary braking system is more than 11⁄2 inches in length and 1⁄2 is in operating mode and does not have inch in width; any known defective condition which (iii) A broken rim, if the tread, meas- prevents its proper operation. If the dy- ured from the flange at a point 5⁄8 of an namic brakes on a locomotive are inch above the tread, is less than 33⁄4 found not to be in operating mode or inches in width; are known to have a defective condi- (iv) A shelled-out spot 21⁄2 inches or tion which prevents their proper oper- more in length, or two adjoining spots ation at the time that the exterior me- that are each two or more inches in chanical inspection is performed or at length; any other time while the locomotive is (v) A seam running lengthwise that is in service, the following requirements within 33⁄4 inches of the flange; shall be met in order to continue the (vi) A flange worn to a 7⁄8 inch thick- locomotive in service: ness or less, gauged at a point 3⁄8 of an (i) MU locomotives equipped with dy- inch above the tread; namic brakes found not to be in oper- (vii) A tread worn hollow 5⁄16 of an ating mode or containing a defective inch or more; condition which prevents the proper (viii) A flange height of 11⁄2 inches or operation of the dynamic brakes shall more measured from the tread to the be handled in accordance with the fol- top of the flange; lowing requirements: (ix) A rim less than 1 inch thick; (A) A tag bearing the words ‘‘inoper- (x) Except as provided in paragraph ative dynamic brakes’’ shall be se- (e)(8)(iii) of this section, a crack or curely displayed in a conspicuous loca- break in the flange, tread, rim, plate, tion in the cab of the locomotive and or hub; contain the locomotive number, the (xi) A loose wheel; or date and location where the condition (xii) A weld. was discovered, and the signature of (9) No part or appliance of a pas- the individual who discovered the con- senger coach, except the wheels, is less dition; than 21⁄2 inches above the top of the (B) The locomotive engineer shall be rail. informed in writing that the dynamic (10) Each unguarded, noncurrent-car- brakes on the locomotive are inoper- rying metal part subject to becoming ative at the location where the loco- charged is grounded or thoroughly in- motive engineer first takes charge of sulated. the train; and (11) Each jumper and cable connec- (C) The inoperative or defective dy- tion is in the following condition: namic brakes shall be repaired or re- (i) Each jumpers and cable connec- moved from service by or at the loco- tion between coaches, between loco- motive’s next exterior calendar day motives, or between a locomotive and a mechanical inspection.

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(ii) Conventional locomotives (ii) The railroad demonstrates equipped with dynamic brakes found through verifiable data, analysis, or ac- not to be in operating mode or con- tual testing that the safety and integ- taining a defective condition which rity of a train is not compromised in prevents the proper operation of the any manner by the inoperative or inef- dynamic brakes shall be handled in ac- fective air compressor. The data, anal- cordance with the following: ysis, or test shall establish the max- (A) A tag bearing the words ‘‘inoper- imum number of air compressors that ative dynamic brakes’’ shall be se- may be inoperative based on size of the curely displayed in a conspicuous loca- train consist, the type of passenger tion in the cab of the locomotive and equipment in the train, and the num- contain the locomotive number, the ber of service and emergency brake ap- date and location where the condition plications typically expected in the run was discovered, and the signature of profile for the involved train; the person discovering the condition; (iii) The involved train does not ex- (B) The locomotive engineer shall be ceed the maximum number of inoper- informed in writing that the dynamic ative or ineffective air compressors es- brakes on the locomotive are inoper- tablished in accordance with paragraph ative at the location where the loco- (e)(17)(ii) of this section; motive engineer first takes charge of (iv) A qualified maintenance person the train; and determines and verifies that the inop- (C) The inoperative or defective dy- erative or ineffective air compressor namic brakes shall be repaired within 3 does not compromise the safety or in- calendar days of being found in defec- tegrity of the train and that it is safe tive condition or at the locomotive’s to move the equipment in passenger next periodic inspection pursuant to § 229.23 of this chapter, whichever oc- service; curs first. (v) The train crew is informed in (16) All roller bearings do not have writing of the number of units in the any of the following conditions: train consist with inoperative or inef- (i) A sign of having been overheated fective air compressors at the location as evidenced by discoloration or other where the train crew first takes charge telltale sign of overheating, such as of the train; damage to the seal or distortion of any (vi) A record is maintained of the in- bearing component; operative or ineffective air compressor (ii) A loose or missing cap screw; pursuant to the requirements con- (iii) A broken, missing, or improperly tained in § 238.17(c)(4); and applied cap screw lock; or (vii) Prior to operating equipment (iv) A seal that is loose or damaged under the provisions contained in this or permits leakage of lubricant in paragraph, the railroad shall provide in clearly formed droplets. writing to FRA’s Associate Adminis- (17) Each air compressor, on pas- trator for Safety the maximum number senger equipment so equipped, shall be of inoperative or ineffective air com- in effective and operative condition. pressors identified in accordance with MU passenger equipment found with an paragraph (e)(17)(ii) of this section. inoperative or ineffective air com- (viii) The data, analysis, or testing pressor at the time of its exterior cal- developed and conducted under para- endar day mechanical inspection may graph (e)(17)(ii) of this section shall be remain in passenger service until the made available to FRA upon request. equipment’s next exterior calendar day FRA’s Associate Administrator for mechanical inspection where it must Safety may revoke a railroad’s ability be repaired or removed from passenger to utilize the flexibility provided in service; provided, all of the following this paragraph if the railroad fails to requirements are met: comply with the maximum limits es- (i) The equipment has an inherent re- tablished under paragraph (e)(17)(ii) or dundancy of air compressors, due to ei- if such maximum limits are not sup- ther the make-up of the train consist ported by credible data or do not pro- or the design of the equipment; vide adequate safety assurances.

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(18) All rescue-access-related exterior route may continue in service to the markings, signage, and instructions re- location where the inspection was quired by §§ 238.112 and 238.114 shall be scheduled to be performed. At that in place and, as applicable, conspicuous point, an exterior calendar day me- or legible, or both. chanical inspection shall be performed (i) Except as provided in paragraphs prior to returning the equipment to (e)(18)(ii) and (iii) of this section, pas- service. This flexibility applies only to senger equipment that has any re- the exterior mechanical safety inspec- quired rescue-access-related exterior tions required by this section, and does marking, signage, or instruction that not relieve the railroad of the responsi- is missing, illegible, or inconspicuous bility to perform a calendar day in- may remain in passenger service until spection on a unit classified as a ‘‘lo- no later than the equipment’s fourth comotive’’ under part 229 of this chap- exterior calendar day mechanical in- ter as required by § 229.21 of this chap- spection or next periodic mechanical ter. inspection required under § 238.307, (g) Records. A record shall be main- whichever occurs first, after the non- tained of each exterior calendar day complying condition is discovered, mechanical inspection performed. where the car shall be repaired or re- (1) This record may be maintained in moved from service. writing or electronically provided FRA (ii) A passenger car having more than 50 percent of the windows on a side of has access to the record upon request. a level of the car designated and prop- (2) The written or electronic record erly marked for rescue access that has must contain the following informa- any required rescue-access-related ex- tion: terior marking, signage, or instruction (i) The identification number of the that is missing, illegible, or incon- unit; spicuous on any of the other windows (ii) The place, date, and time of the on that side and level of the car may inspection; remain in passenger service until no (iii) Any non-complying conditions later than the car’s next periodic me- found; and chanical inspection required under (iv) The signature or electronic iden- § 238.307, where the car shall be repaired tification of the inspector. or removed from service. (3) This record may be part of a sin- (iii) A passenger car that is a sleep- gle master report covering an entire ing car that has more than two con- group of cars and equipment. secutive windows with any required (4) This record shall be maintained at rescue access-related exterior marking, the place where the inspection is con- signage, or instruction at or near their ducted or at one central location and locations that is missing, illegible, or shall be retained for at least 92 days. inconspicuous may remain in passenger (h) Cars requiring a single car test in service until no later than the car’s accordance with § 238.311 that are being next periodic mechanical inspection re- quired under § 238.307, where the car moved in service to a location where shall be repaired or removed from serv- the single car test can be performed ice. shall have the single car test com- (iv) A record shall be maintained of pleted prior to, or as a part of, the ex- any noncomplying marking, signage, terior calendar day mechanical inspec- or instruction described in paragraphs tion. (e)(18)(i) through (iii) of this section [64 FR 25660, May 12, 1999, as amended at 65 that contains the date and time that FR 41307, July 3, 2000; 71 FR 61862, Oct. 19, the defective condition was first dis- 2006; 73 FR 6412, Feb. 1, 2008; 78 FR 71814, Nov. covered. This record shall be retained 29, 2013] until all necessary repairs are com- pleted. § 238.305 Interior calendar day me- (f) Exception. A long-distance inter- chanical inspection of passenger city passenger train that misses a cars. scheduled exterior calendar day me- (a) Except as provided in paragraph chanical inspection due to a delay en (e) of this section, each passenger car

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shall receive an interior mechanical in- tinue in passenger service pursuant to spection at least once each calendar paragraph (d) of this section, if the car day that it is placed in service. will be used solely in high-platform (b) The interior calendar day me- service. chanical inspection shall be performed (10) All end doors and side doors oper- by a qualified person or a qualified ate safely and as intended. A noncom- maintenance person. plying car may continue in passenger (c) As part of the interior calendar service pursuant to paragraph (d) of day mechanical inspection, the rail- this section— road shall verify conformity with the (i) If at least one operative and acces- following conditions, and noncon- sible door is available on each side of formity with any such condition ren- the car; ders the car defective when discovered (ii) The train crew is provided writ- in service, except as provided in para- ten notification of the noncomplying graphs (c)(8) through (13) and para- condition; and graph (d) of this section. (iii) A notice is prominently dis- (1) All fan openings, exposed gears played directly on the defective door and pinions, exposed moving parts of indicating that the door is defective. mechanisms, pipes carrying hot gases (11) Low-location emergency exit and high-voltage equipment, switches, path markings required by § 238.127 are circuit breakers, contactors, relays, in place and conspicuous. grid resistors, and fuses are installed in (12) On passenger cars so equipped, non-hazardous locations or equipped public address and intercom systems with guards to prevent personal injury. shall be operative and function as in- (2) Floors of passageways and com- tended. A passenger car with an inoper- partments are free from oil, water, ative or nonfunctioning public address waste, or any obstruction that creates or intercom system may remain in pas- a slipping, tripping, or fire hazard, and senger service until no later than the floors are properly treated to provide car’s fourth interior calendar day me- secure footing. chanical inspection or next periodic (3) All D rings, pull handles, or other mechanical inspection required under means to access manual door releases § 238.307, whichever occurs first, or for a are in place based on a visual inspec- passenger car used in long-distance tion. intercity train service until the eighth (4) All emergency equipment, includ- interior calendar day mechanical in- ing a fire extinguisher, pry bar, auxil- spection or next periodic mechanical iary portable lighting, and first aid inspection required under § 238.307, kits, as applicable, are in place. whichever occurs first, after the non- (5) The words ‘‘Emergency Brake complying condition is discovered, Valve’’ are legibly stenciled or marked where it shall be repaired or removed near each brake pipe valve or shown on from service; provided, the train crew an adjacent badge plate. is given written notification of the (6) All doors and cover plates guard- noncomplying condition, and all of the ing high voltage equipment are marked requirements contained in paragraph ‘‘Danger—High Voltage’’ or with the (d)(3) of this section are met. word ‘‘Danger’’ and the normal voltage (13) Removable panels and removable carried by the parts so protected. windows in vestibule doors and in other (7) All safety-related signage is in interior doors used for passage through place and legible. a passenger car are properly in place (8) All trap doors safely operate and and secured, based on a visual inspec- securely latch in place in both the up tion. A noncomplying passenger car and down position. A non-complying may remain in passenger service until car may continue in passenger service no later than the car’s fourth interior pursuant to paragraph (d) of this sec- calendar day mechanical inspection or tion, if the trap door can be secured by next periodic mechanical inspection re- locking out the door for which it is quired under § 238.307, whichever occurs used. first, or for a passenger car used in (9) All vestibule steps are illumi- long-distance intercity train service nated. A non-complying car may con- until the eighth interior calendar day

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mechanical inspection or next periodic tion shall be performed prior to return- mechanical inspection required under ing the equipment to service. § 238.307, whichever occurs first, after (f) Records. A record shall be main- the noncomplying condition is discov- tained of each interior calendar day ered, where it shall be repaired or re- mechanical inspection performed. moved from service; provided— (1) This record may be maintained in (i) The railroad has developed and writing or electronically provided FRA follows written procedures for miti- has access to the record upon request. gating the hazard(s) caused by the non- (2) The written or electronic record complying condition. The railroad’s must contain the following informa- procedures shall include consideration tion: of the type of door in which the remov- (i) The identification number of the able panel or removable window is lo- unit; cated, the manner in which the door is (ii) The place, date, and time of the normally opened, and the risk of per- inspection; sonal injury resulting from a missing, (iii) Any non-complying conditions broken, or improperly secured remov- found; and able panel or removable window; and (iv) The signature or electronic iden- (ii) The train crew is provided writ- tification of the inspector. ten notification of the noncomplying (3) This record may be part of a sin- condition. gle master report covering an entire group of cars and equipment. (d) Any passenger car found not to be (4) This record shall be maintained at in compliance with the requirements the place where the inspection is con- contained in paragraphs (c)(5) through ducted or at one central location and (11) of this section at the time of its in- shall be retained for at least 92 days. terior calendar day mechanical inspec- tion may remain in passenger service [64 FR 25660, May 12, 1999, as amended at 65 until the car’s next interior calendar FR 41308, July 3, 2000; 73 FR 6412, Feb. 1, 2008; day mechanical inspection, where it 78 FR 71814, Nov. 29, 2013] must be repaired or removed from pas- § 238.307 Periodic mechanical inspec- senger service; provided, all of the spe- tion of passenger cars and cific conditions contained in para- unpowered vehicles used in pas- graphs (c)(8) through (10) of this sec- senger trains. tion are met and all of the following re- (a) General. (1) Railroads shall con- quirements are met: duct periodic mechanical inspections of (1) A qualified person or a qualified all passenger cars and all unpowered maintenance person determines that vehicles used in a passenger train as re- the repairs necessary to bring the car quired by this section or as warranted into compliance cannot be performed and justified by data developed pursu- at the time that the current day’s inte- ant to paragraph (a)(2) of this section. rior mechanical inspection is con- A periodic inspection conducted under ducted; part 229 of this chapter satisfies the re- (2) A qualified person or a qualified quirement of this section with respect maintenance person determines that it to the features inspected. is safe to move the equipment in pas- (2) A railroad may, upon written no- senger service; and tification to FRA’s Associate Adminis- (3) A record is maintained of the non- trator for Safety, adopt and comply complying condition with the date and with alternative periodic mechanical time that the condition was first dis- inspection intervals for specific compo- covered. nents or equipment in lieu of the re- (e) A long-distance intercity pas- quirements of this section. Any alter- senger train that misses a scheduled native interval must be based upon a calendar day interior mechanical in- documented reliability assessment con- spection due to a delay en route may ducted under a system safety plan sub- continue in service to the location ject to periodic peer audit. (See Appen- where the inspection was scheduled to dix E to this part for a discussion of be performed. At that point, an inte- the general principles of reliability- rior calendar day mechanical inspec- based maintenance programs.) The

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periodic inspection intervals provided (B) Emergency window exits, in ac- in this section may be changed only cordance with § 238.113. when justified by accumulated, (ii) This portion of the periodic me- verifiable data that provides a high chanical inspection may be conducted level of confidence that the compo- independently of the other require- nent(s) will not fail in a manner result- ments in this paragraph (c); and ing in harm to persons. FRA may mon- (iii) Each railroad shall retain itor and review a railroad’s implemen- records of the inspection, testing, and tation and compliance with any alter- maintenance of the emergency window native interval adopted. FRA’s Asso- exits for two calendar years after the ciate Administrator for Safety may end of the calendar year to which they prohibit or revoke a railroad’s ability relate. to utilize an alternative inspection in- (5) With regard to the following terval if FRA determines that the emergency systems: adopted interval is not supported by (i) Emergency lighting systems re- credible data or does not provide ade- quired under § 238.115 are in place and quate safety assurances. Such a deter- operational; and mination will be made in writing and (ii) Low-location emergency exit will state the basis for such action. path marking systems required under (b) Each periodic mechanical inspec- § 238.127 are operational. tion required by this section shall be (6) With regard to switches: performed by a qualified maintenance (i) All hand-operated switches car- person. rying currents with a potential of more (c) The periodic mechanical inspec- than 150 volts that may be operated tion shall specifically include the fol- while under load are covered and are lowing interior and exterior mechan- operative from the outside of the cover; ical components, which shall be in- (ii) A means is provided to display spected not less frequently than every whether the switches are open or 184 days. At a minimum, this inspec- closed; and tion shall determine that: (iii) Switches not designed to be op- (1) Seats and seat attachments are erated safely while under load are leg- not broken or loose. If a car is found ibly marked with the voltage carried with a seat that is not in compliance and the words ‘‘must not be operated with this requirement while being used under load’’. between periodic mechanical inspec- (7) Each coupler is in the following tions, the equipment may continue to condition: be used in passenger service until the (i) The distance between the guard performance of an interior calendar arm and the knuckle nose is not more day mechanical inspection pursuant to than 51⁄8 inches on standard type cou- § 238.305 on the day following the dis- plers (MCB contour 1904), or not more covery of the defective condition pro- than 55⁄16 inches on D&E couplers; vided the seat is rendered unuseable, a (ii) The free slack in the coupler or notice is prominently displayed on the drawbar not absorbed by friction de- seat, and a record is maintained with vices or draft gears is not more than 1⁄2 the date and time that the non-com- inch; and plying condition was discovered. (iii) The draft gear is not broken, to (2) Luggage racks are not broken or the extent possible without dropping loose. cover plates. (3) All beds and bunks are not broken (8) All trucks are equipped with a de- or loose, and all restraints or safety vice or securing arrangement to pre- latches and straps are in place and vent the truck and car body from sepa- function as intended. rating in case of derailment. (4)(i) A representative sample of the (9) All center castings on trucks are following emergency systems properly not cracked or broken, to the extent operate: possible without jacking the car and (A) Door removable panels, remov- rolling out the trucks. However, an ex- able windows, manual override devices, tensive inspection of all center cast- and retention mechanisms, as applica- ings shall be conducted by jacking the ble, in accordance with § 238.112; and equipment and rolling out the trucks

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at each COT&S cycle provided in formed by this section. This record § 238.309 for the equipment. shall be maintained in writing or elec- (10) All mechanical systems and com- tronically, provided FRA has access to ponents of the equipment are free of all the record upon request. The record the following general conditions that shall be maintained either in the rail- endanger the safety of the crew, pas- road’s files, the cab of the locomotive, sengers, or equipment: or a designated location in the pas- (i) A continuous accumulation of oil senger car. Except as provided in para- or grease; graph (c)(4) of this section, the record (ii) Improper functioning of a compo- shall be retained until the next peri- nent; odic mechanical inspection of the same (iii) A crack, break, excessive wear, type is performed and shall contain the structural defect, or weakness of a following information: component; (iv) A leak; (i) The date of the inspection; (v) Use of a component or system (ii) The location where the inspection under a condition that exceeds that for was performed; which the component or system is de- (iii) The signature or electronic iden- signed to operate; and tification of the inspector; and (vi) Insecure attachment of a compo- (iv) The signature or electronic iden- nent. tification of the inspector’s supervisor. (11) All of the items identified in the (2) Detailed documentation of any re- exterior calendar day mechanical in- liability assessments depended upon for spection contained at § 238.303 are in implementing an alternative inspec- conformity with the conditions pre- tion interval under paragraph (a)(2) of scribed in that section. this section, including underlying data, (12) All of the items identified in the shall be retained during the period that interior calendar day mechanical in- the alternative inspection interval is in spection contained at § 238.305 are in effect. Data documenting inspections, conformity with the conditions pre- tests, component replacement and re- scribed in that section. newals, and failures shall be retained (13) The hand or parking brake shall for not less than three (3) inspection be applied and released to determine that it functions as intended. intervals. (d) At an interval not to exceed 368 (f) Nonconformity with any of the days, the periodic mechanical inspec- conditions set forth in this section ren- tion shall specifically include inspec- ders the car or vehicle defective when- tion of the following: ever discovered in service. (1) Manual door releases, to deter- [64 FR 25660, May 12, 1999, as amended at 65 mine that all manual door releases op- FR 41308, July 3, 2000; 71 FR 61862, Oct. 19, erate as intended; 2006; 73 FR 6412, Feb. 1, 2008; 78 FR 71815, Nov. (2) The hand or parking brake as well 29, 2013] as its parts and connections, to deter- mine that they are in proper condition § 238.309 Periodic brake equipment and operate as intended. The date of maintenance. the last inspection shall be either en- (a) General. (1) This section contains tered on Form FRA F 6180–49A, suit- the minimum intervals at which the ably stenciled or tagged on the equip- brake equipment on various types of ment, or maintained electronically passenger equipment shall be periodi- provided FRA has access to the record cally cleaned, repaired, and tested. upon request; and (3) Emergency roof access markings This maintenance procedure requires and instructions required under that all of the equipment’s brake sys- § 238.123(e), to determine that they are tem pneumatic components that con- in place and, as applicable, conspicuous tain moving parts and are sealed or legible, or both. against air leaks be removed from the (e) Records. (1) A record shall be equipment, disassembled, cleaned, and maintained of each periodic mechan- lubricated and that the parts that can ical inspection required to be per- deteriorate with age be replaced.

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(2) A railroad may petition FRA’s As- ABD, ABDX, 26–C, or equivalent brake sociate Administrator for Safety to ap- system. prove alternative maintenance proce- (e) Cab cars. The brake equipment of dures providing equivalent safety, in each cab car shall be cleaned, repaired, lieu of the requirements of this section. and tested at intervals in accordance The petition shall be filed as provided with the following schedule: in § 238.21. (1) Every 1,840 days for locomotives (b) DMU and MU locomotives. The equipped with CCB–1, CCB–2, CCB–26, brake equipment and brake cylinders EPIC 1 (formerly EPIC 3102), EPIC of each DMU or MU locomotive shall be 3102D2, EPIC 2, KB–HS1, or Fastbrake cleaned, repaired, and tested, and the brake systems. filtering devices or dirt collectors lo- (2) Every 1,476 days for that portion cated in the main reservoir supply line of the cab car brake system using to the air brake system cleaned, re- brake valves that are identical to the paired, or replaced at intervals in ac- passenger coach 26–C brake system; cordance with the following schedule: (3) Every 1,104 days for that portion (1) Every 736 days if the DMU or MU of the cab car brake system using locomotive is part of a fleet that is not brake valves that are identical to the 100 percent equipped with air dryers; locomotive 26–L brake system; and (2) Every 1,104 days if the DMU or MU (4) Every 736 days for all other types locomotive is part of a fleet that is 100 of cab car brake valves. percent equipped with air dryers and is (f) Records of periodic maintenance. (1) equipped with PS–68, 26–C, 26–L, PS–90, The date and place of the cleaning, re- CS–1, RT–2, RT–5A, GRB–1, CS–2, or 26– pairing, and testing required by this R brake systems. (This listing of brake section shall be recorded on Form FRA system types is intended to subsume 6180–49A or a similar form developed by all brake systems using 26 type, ABD, the railroad containing the same infor- or ABDW control valves and PS68, PS– mation, and the person performing the 90, 26B–1, 26C, 26CE, 26–B1, 30CDW, or work and that person’s supervisor shall 30ECDW engineer’s brake valves.); sign the form, if possible. Alter- (3) Every 1,840 days if the DMU or MU natively, the railroad may stencil the locomotive is part of a fleet that is 100 vehicle with the date and place of the percent equipped with air dryers and is cleaning, repairing, and testing and equipped with KB–HL1, KB–HS1, or maintain an electronic record of the KBCT1; and, person performing the work and that (4) Every 736 days for all other DMU person’s supervisor. or MU locomotives. (2) A record of the parts of the air (c) Conventional locomotives. The brake system that are cleaned, re- brake equipment of each conventional paired, and tested shall be kept in the locomotive shall be cleaned, repaired, railroad’s files, the cab of the loco- and tested in accordance with the motive, or a designated location in the schedule provided in § 229.29 of this passenger car until the next such peri- chapter. odic test is performed. (d) Passenger coaches and other [64 FR 25660, May 12, 1999, as amended at 65 unpowered vehicles. The brake equip- FR 41309, July 3, 2000; 77 FR 21357, Apr. 9, ment on each passenger coach and each 2012] unpowered vehicle used in a passenger train shall be cleaned, repaired, and § 238.311 Single car test. tested at intervals in accordance with (a) Except for self-propelled pas- following schedule: senger cars, single car tests of all pas- (1) Every 2,208 days for a coach or ve- senger cars and all unpowered vehicles hicle equipped with an AB-type brake used in passenger trains shall be per- system. formed in accordance with either (2) Every 1,476 days for a coach or ve- APTA Standard SS-M-005-98, ‘‘Code of hicle equipped with a 26–C or equiva- Tests for Passenger Car Equipment lent brake system; and Using Single Car Testing Device,’’ pub- (3) Every 1,104 days for a coach or ve- lished March, 1998; or an alternative hicle equipped with other than an AB, procedure approved by FRA pursuant

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to § 238.21. The incorporation by ref- pairs are made, the car may be moved erence of this APTA standard was ap- in passenger service to the next for- proved by the Director of the Federal ward location where the test can be Register in accordance with 5 U.S.C. made. A railroad may move a car in 552(a) and 1 CFR part 51. You may ob- this fashion only after visually tain a copy of the incorporated docu- verifying an application and release of ment from the American Public Tran- the brakes on both sides of the car that sit Association, 1201 New York Avenue, was repaired, and provided that the car NW., Washington, DC 20005. You may is appropriately tagged to indicate the inspect a copy of the document at the need to perform a single car test. The Federal Railroad Administration, single car test shall be completed prior Docket Clerk, 1200 New Jersey Avenue, to, or as a part of, the car’s next cal- SE., Washington, DC or at the National endar day mechanical inspection. Archives and Records Administration (g) If one or more of the following (NARA). For information on the avail- conventional air brake equipment ability of this material at NARA, call items is removed, repaired, or replaced 202–741–6030, or go to: http:// only that portion which is renewed or www.archives.gov/federallregister/ replaced must be tested to satisfy the codeloflfederallregulations/ provisions of this section: ibrllocations.html. (1) Brake reservoir; (b) Each single car test required by (2) Brake cylinder; this section shall be performed by a (3) Piston assembly; qualified maintenance person. (4) Vent valve; (c) A railroad shall perform a single (5) Quick service valve; car test of the brake system of a car or (6) Brake cylinder release valve; vehicle described in paragraph (a) of (7) Modulating valve or slack ad- this section if the car or vehicle is juster; or found with one or more of the following (8) Angle cock or cutout cock. wheel defects: [64 FR 25660, May 12, 1999, as amended at 65 (1) Built-up tread; FR 41309, July 3, 2000; 74 FR 25174, May 27, (2) Slid flat wheel; 2009] (3) Thermal crack; (4) Overheated wheel; or § 238.313 Class I brake test. (5) Shelling. (a) Each commuter and short-dis- (d) A railroad need not perform the tance intercity passenger train shall single car test required in paragraph receive a Class I brake test once each (c) of this section, if the railroad can calendar day that the train is placed or establish that the wheel defect is other continues in passenger service. than built-up tread and is due to a (b) Except as provided in paragraph cause other than a defective brake sys- (i) of this section, each long-distance tem on the car. intercity passenger train shall receive (e) Except as provided in paragraph a Class I brake test: (f) of this section, a railroad shall per- (1) Prior to the train’s departure form a single car test of the brake sys- from an originating terminal; and tem of a car or vehicle described in (2) Every 1,500 miles or once each ad- paragraph (a) of this section when: ditional calendar day, whichever oc- (1) Except for private cars, a car or curs first, that the train remains in vehicle is placed in service after having continuous passenger service. been out of service for 30 days or more; (c) Each passenger car and each or unpowered vehicle added to a passenger (2) One or more of the following con- train shall receive a Class I or Class IA ventional air brake equipment items is brake test at the time it is added to removed, repaired, or replaced: the train unless notice is provided to (i) Relay valve; the train crew that a Class I brake test (ii) Service portion; was performed on the car within the (iii) Emergency portion; or previous calendar day and the car has (iv) Pipe bracket. not been disconnected from a source of (f) Exception. If the single car test compressed air for more than four cannot be made at the point where re- hours prior to being added to the train.

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The notice required by this section (5) Each brake shoe or pad is securely shall contain the date, time, and loca- fastened and correctly aligned in rela- tion of the last Class I brake test. tion to the wheel or to the disc; (d) Each Class I brake test shall be (6) The engineer’s brake valve or con- performed by a qualified maintenance troller will cause the proper train line person. commands for each position or brake (e) Each Class I brake test may be level setting; performed either separately or in con- (7) Brake pipe leakage does not ex- junction with the exterior calendar day ceed 5 pounds per square inch per mechanical inspection required under minute if leakage will affect service § 238.303. performance; (f) Except as provided in § 238.15(b), a (8) The emergency brake application railroad shall not use or haul a pas- and deadman pedal or other emergency senger train in passenger service from control devices function as intended; a location where a Class I brake test (9) Each brake shoe or pad is not has been performed, or was required by below the minimum thickness estab- this part to have been performed, with lished by the railroad. This thickness less than 100 percent operative brakes. shall not be less than the minimum thickness necessary to safely travel (g) A Class I brake test shall be per- the maximum distance allowed be- formed at the air pressure at which the tween Class I brake tests; train’s air brakes will be operated, but (10) Each angle cock and cutout cock not less than 90 psi, and shall be made is properly positioned; to determine and ensure that: (11) The brake rigging or the system (1) The friction brakes apply and re- mounted on the car for the trans- main applied on each car in the train mission of the braking force operates until a release of the brakes has been as intended and does not bind or foul so initiated on each car in response to as to impede the force delivered to a train line electric, pneumatic, or other brake shoe, impede the release of a signals. This test shall include a brake shoe, or otherwise adversely af- verification that each side of each car’s fect the operation of the brake system; brake system responds properly to ap- (12) If the train is equipped with plication and release signals; electropneumatic brakes, an (2) The brake shoes or pads are firmly electropneumatic application of the seated against the wheel or disc with brakes is made and the train is walked the brakes applied; to determine that the brakes on each (3) Piston travel is within prescribed car in the train properly apply; limits, either by direct observation, ob- (13) Each brake disc is free of any servation of a piston travel indicator, crack in accordance with the manufac- or in the case of tread or disc brakes by turer’s specifications or, if no speci- determining that the brake shoe or pad fications exist, free of any crack to the provides pressure to the wheel. For ve- extent that the design permits; hicles equipped with 81⁄2-inch or 10-inch (14) If the equipment is provided with diameter brake cylinders, piston travel a brake indicator, the brake indicator shall be within 7 to 9 inches. If piston operates as intended; and travel is found to be less than 7 inches (15) The communication of brake pipe or more than 9 inches, it must be ad- pressure changes at the rear of the justed to nominally 71⁄2 inches. Proper train is verified, which may be accom- release of the brakes can be determined plished by observation of an applica- by observation of the clearance be- tion and release of the brakes on the tween the brake shoe and the wheel or last car in the train. between the brake pad and the brake (h) Records. A record shall be main- disc. tained of each Class I brake test per- (4) The communicating signal system formed. is tested and known to be operating as (1) This record may be maintained in intended; a tested and operating two- writing or electronically, provided way radio system meets this require- FRA has access to the record upon re- ment; quest.

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(2) The written or electronic record can be combined with the Class I brake must contain the following informa- test record. tion: [64 FR 25660, May 12, 1999, as amended at 65 (i) The date and time that the Class FR 41309, July 3, 2000; 71 FR 61862, Oct. 19, I brake test was performed; 2006] (ii) The location where the test was performed; § 238.315 Class IA brake test. (iii) The identification number of the (a) Except as provided in paragraph controlling locomotive of the train; (b) of this section, either a Class I or a (iv) The total number of cars in- Class IA brake test shall be performed: spected during the test; and (1) Prior to the first morning depar- ture of each commuter or short-dis- (v) The signature or electronic iden- tance intercity passenger train, unless tification of the inspector. all of the following conditions are sat- (3) This record shall be maintained at isfied: the place where the inspection is con- (i) A Class I brake test was performed ducted or at one central location and within the previous twelve (12) hours; shall be retained for at least 92 days. (ii) The train has not been used in (i) A long-distance, intercity pas- passenger service since the perform- senger train that misses a scheduled ance of the Class I brake test; and calendar day Class I brake test due to (iii) The train has not been discon- a delay en route may proceed to the nected from a source of compressed air point where the Class I brake test was for more than four hours since the per- scheduled to be performed. A Class I formance of the Class I brake test; and brake test shall be completed at that (2) Prior to placing a train in service point prior to placing the train back in that has been off a source of com- service. pressed air for more than four hours. (j) In addition to complying with all (b) A commuter or short-distance the Class I brake test requirements intercity passenger train that provides continuing late night service that performed by a qualified maintenance began prior to midnight may complete person as contained in paragraphs (a) its daily operating cycle after mid- through (i) of this section, railroads op- night without performing another erating passenger equipment that is Class I or Class IA brake test. A Class not designed to permit the visual ob- I or Class IA brake test shall be per- servation of the brake actuation and formed on such a train before it starts release without the inspector going on, a new daily operating cycle. under, or between the equipment in ac- (c) A Class IA brake test may be per- cordance with § 238.231(b) shall perform formed at a shop or yard site and is not an additional inspection. At a min- required to be repeated at the first pas- imum, the additional inspection re- senger terminal if the train remains on quirement for such equipment shall in- a source of compressed air and: clude all of the following: (1) The train remains in the custody (1) An additional inspection by a of the train crew; or qualified maintenance person of all (2) The train crew receives notice items and components contained in that the Class IA brake test has been paragraphs (g)(1) through (g)(15) of this performed. section; (d) The Class IA brake test shall be (2) The additional inspection shall be performed by either a qualified person or a qualified maintenance person. conducted at an interval not to exceed (e) Except as provided in § 238.15(b), a five (5) in-service days and shall be railroad shall not use or haul a pas- conducted while the equipment is over senger train in passenger service from an inspection pit or on a raised inspec- a location where a Class IA brake test tion track; and has been performed, or was required by (3) A record of the additional inspec- this part to have been performed, with tion shall be maintained pursuant to less than 100 percent operative brakes. the requirements contained in para- (f) A Class IA brake test shall be per- graph (h) of this section. This record formed at the air pressure at which the

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train’s air brakes will be operated and cilitate the movement of a passenger shall determine and ensure that: train from one track to another within (1) Brake pipe leakage does not ex- a terminal complex while not in pas- ceed 5 pounds per square inch per senger service. In these circumstances, minute if brake pipe leakage will affect a Class II brake test shall be performed service performance; prior to the train’s departure from the (2) Each brake sets and releases by terminal complex with passengers; inspecting in the manner described in (2) Prior to the first morning depar- paragraph (g) of this section; ture of each commuter or short-dis- (3) For MU locomotives that utilize tance intercity passenger train where a an electric signal to communicate a Class I brake test remains valid as pro- service brake application and only a vided in § 238.315(a)(1); pneumatic signal to propagate an emergency brake application, the (3) When previously tested units (i.e., emergency brake application functions cars that received a Class I brake test as intended. within the previous calendar day and (4) Each angle cock and cutout cock have not been disconnected from a is properly set; source of compressed air for more than (5) The communication of brake pipe four hours) are added to the train; pressure changes at the rear of the (4) When cars or equipment are re- train is verified, which may be accom- moved from the train; and plished by observation of an applica- (5) When an operator first takes tion and release of the brakes on the charge of the train, except for face-to- last car in the train; and face relief. (6) The communicating signal system (b) A Class II brake test shall be per- is tested and known to be operating as formed by a qualified person or a quali- intended; a tested and operating two- fied maintenance person. way radio system meets this require- (c) Except as provided in § 238.15, a ment. railroad shall not use or haul a pas- (g) In determining whether each senger train in passenger service from brake sets and releases— a terminal or yard where a Class II (1) The inspection of the set and re- brake test has been performed, or was lease of the brakes shall be completed required by this part to have been per- by walking the train to directly ob- formed, with any of the brakes cut-out, serve the set and release of each brake, inoperative, or defective. if the railroad determines that such a (d) In performing a Class II brake procedure is safe. (2) If the railroad determines that op- test on a train, a railroad shall deter- erating conditions pose a safety hazard mine that: to an inspector walking the brakes, (1) The brakes on the rear unit of the brake indicators may be used to verify train apply and release in response to a the set and release on cars so equipped. signal from the engineer’s brake valve However, the observation of the brake or controller of the leading or control- indicators shall not be made from the ling unit, or a gauge or similar device cab of the locomotive. The inspector located at the rear of the train or in shall walk the train in order to posi- the cab of the rear unit indicates that tion himself or herself to accurately brake pipe pressure changes are prop- observe each indicator. erly communicated at the rear of the train; [64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 FR 19991, Apr. 23, (2) For MU locomotives that utilize 2002] an electric signal to communicate a service brake application and only a § 238.317 Class II brake test. pneumatic signal to propagate an (a) A Class II brake test shall be per- emergency brake application, the formed on a passenger train when any emergency brake application functions of the following events occurs: as intended. (1) Whenever the control stand used (3) The communicating signal system to control the train is changed; except is tested and known to be operating as if the control stand is changed to fa- intended; a tested and operating two-

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way radio system meets this require- Subpart E—Specific Requirements ment. for Tier II Passenger Equipment [64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 FR 19991, Apr. 23, § 238.401 Scope. 2002] This subpart contains specific re- quirements for railroad passenger § 238.319 Running brake test. equipment operating at speeds exceed- (a) As soon as conditions safely per- ing 125 mph but not exceeding 160 mph. mit, a running brake test shall be per- The requirements of this subpart apply formed on each passenger train after beginning on September 9, 1999. As the train has received, or was required stated in § 238.433(b), all such passenger under this part to have received, either equipment remains subject to the re- a Class I, Class IA, or Class II brake quirements concerning couplers and test. uncoupling devices contained in Fed- (b) A running brake test shall be per- eral statute at 49 U.S.C. chapter 203 formed whenever the control stand and in FRA regulations at part 231 and used to control the train is changed to § 232.2 of this chapter. facilitate the movement of a passenger [64 FR 25660, May 12, 1999, as amended at 83 train from one track to another within FR 59219, Nov. 21, 2018] a terminal complex while not in pas- senger service. § 238.403 Crash energy management. (c) The running brake test shall be (a) Each power car and trailer car conducted in accordance with the rail- shall be designed with a crash energy road’s established operating rules, and management system to dissipate ki- shall be made by applying brakes in a netic energy during a collision. The manner that allows the engineer to as- crash energy management system shall certain whether the brakes are oper- provide a controlled deformation and ating properly. collapse of designated sections within (d) If the engineer determines that the unoccupied volumes to absorb col- the brakes are not operating properly, lision energy and to reduce the decel- the engineer shall stop the train and erations on passengers and crew- follow the procedures provided in members resulting from dynamic § 238.15. forces transmitted to occupied vol- umes. § 238.321 Out-of-service credit. (b) The design of each unit shall con- When a passenger car is out of serv- sist of an occupied volume located be- ice for 30 or more consecutive days or tween two normally unoccupied vol- is out of service when it is due for any umes. Where practical, sections within test or inspection required by § 238.307 the unoccupied volumes shall be de- or § 238.309 an out of use notation show- signed to be structurally weaker than ing the number of out of service days the occupied volume. During a colli- shall be made in the records required sion, the designated sections within under §§ 238.307(e) and 238.309(f). If the the unoccupied volumes shall start to passenger car is out of service for one deform and eventually collapse in a or more periods of at least 30 consecu- controlled fashion to dissipate energy tive days, the interval prescribed for before any structural damage occurs to the occupied volume. any test or inspection required by §§ 238.307 and 238.309 may be extended (c) At a minimum, each Tier II pas- by the number of days in each period senger train shall be designed to meet the passenger car is out of service since the following requirements: the last test or inspection in question. (1) Thirteen megajoules (MJ) shall be A movement made in accordance with absorbed at each end of the train § 229.9 of this chapter or § 238.17 is not through the controlled crushing of un- considered service for the purposes of occupied volumes, and of this amount a minimum of 5 MJ shall be absorbed determining the out-of-service credit. ahead of the operator’s cab in each [71 FR 61862, Oct. 19, 2006] power car;

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(2) A minimum of an additional 3 MJ sive force of 800,000 pounds without per- shall be absorbed by the power car manent deformation to the car. To structure between the operator’s cab demonstrate compliance with this re- and the first trailer car; and quirement, the 800,000-pound load shall (3) The end of the first trailer car ad- be applied to the underframe of the oc- jacent to each power car shall absorb a cupied volume as it would be trans- minimum of 5 MJ through controlled mitted to the underframe by the full crushing. structure of the vehicle. (d) For a 30-mph collision of a Tier II (c) Unoccupied volumes of a power passenger train on tangent, level track car or a trailer car designed to crush as with an identical stationary train: part of the crash energy management (1) When seated anywhere in a trailer design are not subject to the require- car, the velocity at which a 50th-per- ments of this section. centile adult male contacts the seat back ahead of him shall not exceed 25 § 238.407 Anti-climbing mechanism. mph; and (a) Each power car shall have an (2) The deceleration of the occupied anti-climbing mechanism at its for- volumes of each trailer car shall not ward end capable of resisting an ulti- exceed 8g. For the purpose of dem- mate upward or downward static onstrating compliance with this para- vertical force of 200,000 pounds. A graph, deceleration measurements may power car constructed with a crash en- be processed through a low-pass filter ergy management design is permitted having a bandwidth of 50 Hz. to crush in a controlled manner before (e) Compliance with paragraphs (a) the anti-climbing mechanism fully en- through (d) of this section shall be gages. demonstrated by analysis using a dy- (b) Interior train coupling points be- namic collision computer model. For tween units, including between units of the purpose of demonstrating compli- articulated cars or other permanently ance, the following assumptions shall joined units of cars, shall have an anti- be made: climbing mechanism capable of resist- (1) The train remains upright, in line, ing an upward or downward vertical and with all wheels on the track force of 100,000 pounds without yield- throughout the collision; and ing. (2) Resistance to structural crushing (c) The forward coupler of a power follows the force-versus-displacement car shall be attached to the car body to relationship determined during the resist a vertical downward force of structural analysis required as part of 100,000 pounds for any horizontal posi- the design of the train. tion of the coupler without yielding. (f) Passenger seating shall not be per- mitted in the leading unit of a Tier II § 238.409 Forward end structures of passenger train. power car cabs. This section contains requirements § 238.405 Longitudinal static compres- for the forward end structure of the cab sive strength. of a power car. (A conceptual imple- (a) To form an effective crash refuge mentation of this end structure is pro- for crewmembers occupying the cab of vided in Figure 1 to this subpart.) a power car, the underframe of the cab (a) Center collision post. The forward of a power car shall resist a minimum end structure shall have a full-height longitudinal static compressive force center collision post, or its structural of 2,100,000 pounds without permanent equivalent, capable of withstanding the deformation to the cab, unless equiva- following: lent protection to crewmembers is pro- (1) A shear load of 500,000 pounds at vided under an alternate design ap- its joint with the underframe without proach, validated through analysis and exceeding the ultimate strength of the testing, and approved by FRA under joint; the provisions of § 238.21. (2) A shear load of 150,000 pounds at (b) The underframe of the occupied its joint with the roof without exceed- volume of each trailer car shall resist a ing the ultimate strength of the joint; minimum longitudinal static compres- and

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(3) A horizontal, longitudinal force of § 238.411 Rear end structures of power 300,000 pounds, applied at a point on car cabs. level with the bottom of the wind- The rear end structure of the cab of shield, without exceeding its ultimate a power car shall be designed to include strength. the following elements, or their struc- (b) Side collision posts. The forward tural equivalent. (A conceptual imple- end structure shall have two side colli- mentation of this end structure is pro- sion posts, or their structural equiva- vided in Figure 2 to this subpart.) lent, located at approximately the one- (a) Corner posts. The rear end struc- third points laterally, each capable of ture shall have two full-height corner withstanding the following: posts, or their structural equivalent, (1) A shear load of 500,000 pounds at each capable of withstanding the fol- its joint with the underframe without lowing: exceeding the ultimate strength of the (1) A horizontal, longitudinal or lat- joint; and eral shear load of 300,000 pounds at its (2) A horizontal, longitudinal force of joint with the underframe without ex- 300,000 pounds, applied at a point on ceeding the ultimate strength of the joint; and level with the bottom of the wind- (2) A horizontal, longitudinal or lat- shield, without exceeding its ultimate eral shear load of 80,000 pounds at its strength. joint with the roof without exceeding (c) Corner posts. The forward end the ultimate strength of the joint. structure shall have two full-height (b) Collision posts. The rear end struc- corner posts, or their structural equiv- ture shall have two full-height colli- alent, each capable of withstanding the sion posts, or their structural equiva- following: lent, each capable of withstanding the (1) A horizontal, longitudinal or lat- following: eral shear load of 300,000 pounds at its (1) A horizontal, longitudinal shear joint with the underframe, without ex- load of 500,000 pounds at its joint with ceeding the ultimate strength of the the underframe without exceeding the joint; ultimate strength of the joint; and (2) A horizontal, lateral force of (2) A horizontal, longitudinal shear 100,000 pounds applied at a point 30 load of 75,000 pounds at its joint with inches up from the underframe attach- the roof without exceeding the ulti- ment, without exceeding the yield or mate strength of the joint. the critical buckling stress; and [64 FR 25660, May 12, 1999, as amended at 67 (3) A horizontal, longitudinal or lat- FR 19991, Apr. 23, 2002] eral shear load of 80,000 pounds at its joint with the roof, without exceeding § 238.413 End structures of trailer the ultimate strength of the joint. cars. (d) Skin. The skin covering the for- (a) Except as provided in paragraph ward-facing end of each power car shall (b) of this section, the end structure of be: a trailer car shall be designed to in- clude the following elements, or their (1) Equivalent to a 1⁄2-inch steel plate with a 25,000 pounds-per-square-inch structural equivalent. (A conceptual yield strength—material of a higher implementation of this end structure is provided in Figure 3 to this subpart.) yield strength may be used to decrease (1) Corner posts. Two full-height cor- the required thickness of the material ner posts, each capable of withstanding provided at least an equivalent level of the following: strength is maintained; (i) A horizontal, longitudinal shear (2) Securely attached to the end load of 150,000 pounds at its joint with structure; and the underframe without exceeding the (3) Sealed to prevent the entry of ultimate strength of the joint; fluids into the occupied cab area of the (ii) A horizontal, longitudinal or lat- equipment. As used in paragraph (d), eral force of 30,000 pounds applied at a the term ‘‘skin’’ does not include for- point 18 inches up from the underframe ward-facing windows and doors. attachment without exceeding the

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yield or the critical buckling stress; intrude upon the occupied volume of and each car. (iii) A horizontal, longitudinal or lat- (b) Each passenger car and power car eral shear load of 20,000 pounds at its shall also be designed to rest on its joint with the roof without exceeding roof so that any damage in occupied the ultimate strength of the joint. areas is limited to roof sheathing and (2) Collision posts. Two full-height col- framing. The allowable stress in the lision posts each capable of with- structural members of the occupied standing the following: volumes for this condition shall be one- (i) A horizontal, longitudinal shear half yield or one-half the critical buck- load of 300,000 pounds at its joint with ling stress, whichever is less. Deforma- the underframe without exceeding the tion to the roof sheathing and framing ultimate strength of the joint; and is allowed to the extent necessary to (ii) A horizontal, longitudinal shear permit the vehicle to be supported di- load of 60,000 pounds at its joint with rectly on the top chords of the side the roof without exceeding the ulti- frames and end frames. mate strength of the joint. (b) If the trailer car is designed with § 238.417 Side loads. an end vestibule, the end structure in- (a) Each passenger car body structure board of the vestibule shall have two shall be designed to resist an inward full-height corner posts, or their struc- transverse load of 80,000 pounds of force tural equivalent, each capable of with- applied to the side sill and 10,000 standing the following (A conceptual pounds of force applied to the belt rail implementation of this end structure is (horizontal members at the bottom of provided in Figure 4 to this subpart): the window opening in the side frame). (1) A horizontal, longitudinal shear (b) These loads shall be considered to load of 200,000 pounds at its joint with be applied separately over the full the underframe without exceeding the vertical dimension of the specified ultimate strength of the joint; member for any distance of 8 feet in (2) A horizontal, lateral force of 30,000 the direction of the length of the car. pounds applied at a point 18 inches up (c) The allowable stress shall be the from the underframe attachment with- lesser of the yield stress, except as oth- out exceeding the yield or the critical erwise allowed by this paragraph, or buckling stress; the critical buckling stress. In calcu- (3) A horizontal, longitudinal force of lating the stress to show compliance 50,000 pounds applied at a point 18 with this requirement, local yielding of inches up from the underframe attach- the side skin adjacent to the side sill ment without exceeding the yield or and belt rail, and local yielding of the the critical buckling stress; and side sill bend radii at the crossbearer (4) A horizontal, longitudinal or lat- and floor-beam connections is allowed. eral shear load of 20,000 pounds at its For purposes of this paragraph, local joint with the roof without exceeding yielding is allowed provided the result- the ultimate strength of the joint. ing deformations in no way intrude upon the occupied volume of the car. § 238.415 Rollover strength. (d) The connections of the side frame (a) Each passenger car and power car to the roof and underframe shall sup- shall be designed to rest on its side and port the loads specified in this section. be uniformly supported at the top (‘‘roof rail’’) and the bottom chords § 238.419 Truck-to-car-body and truck (‘‘side sill’’) of the side frame. The al- component attachment. lowable stress in the structural mem- (a) The ultimate strength of the bers of the occupied volumes for this truck-to-car-body attachment for each condition shall be one-half yield or unit in a train shall be sufficient to re- one-half the critical buckling stress, sist without failure the following indi- whichever is less. Minor localized de- vidually applied loads: a vertical force formations to the outer side skin of the equivalent to 2g acting on the mass of passenger car or power car is allowed the truck; and a force of 250,000 pounds provided such deformations in no way acting in any horizontal direction on

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the truck, along with the resulting (c) Passenger equipment ordered prior vertical reaction to this load. to May 12, 1999. Each exterior window (b) Each component of a truck (which in passenger equipment ordered prior include axles, wheels, bearings, the to May 12, 1999, may comply with the truck-mounted brake system, suspen- following glazing requirements in lieu sion system components, and any other of the requirements specified in para- components attached to the truck by graphs (a) and (b) of this section: design) shall remain attached to the (1) Each end-facing exterior window truck when a force equivalent to 2g shall, in the orientation in which it is acting on the mass of the component is installed in the vehicle, resist the im- exerted in any direction on that com- pact of a 12-pound solid steel sphere ponent. traveling (i) at the maximum speed at which the vehicle will operate (ii) at an [64 FR 25660, May 12, 1999, as amended at 67 impact angle no less severe than hori- FR 19992, Apr. 23, 2002] zontal to the vehicle, with no penetra- § 238.421 Glazing. tion or spall. An impact angle that is perpendicular to the window’s surface (a) General. Except as provided in shall be considered the most severe im- paragraphs (b) and (c) of this section, pact angle for purposes of this require- each exterior window on a passenger ment. car and a power car cab shall comply (2) Each side-facing exterior window with the requirements contained in shall resist the impact of a: part 223 of this chapter. (i) 12-pound solid steel sphere at 15 (b) Particular end-facing exterior glaz- mph, at an angle of 90 degrees to the ing requirements. Each end-facing exte- window’s surface, with no penetration rior window in a passenger car and a or spall; and power car cab shall also, in the orienta- (ii) A granite ballast stone weighing tion in which it is installed in the car: a minimum of 0.5 pounds, traveling at (1) Resist the impact of a 12-pound 75 mph and impacting at a 90-degree solid steel sphere traveling (i) at the angle to the window’s surface, with no maximum speed at which the car will penetration or spall. operate (ii) at an impact angle no less (3) All exterior windows shall: severe than horizontal to the car, with (i) Resist a single impact of a 9-mm, no penetration or spall. An impact 147-grain bullet traveling at an impact angle that is perpendicular (90 degrees) velocity of 900 feet per second, with no to the window’s surface shall be consid- bullet penetration or spall; and ered the most severe impact angle for (ii) Demonstrate anti-spalling per- purposes of this requirement; and formance by the use of a 0.002-inch (2) Demonstrate anti-spalling per- thick aluminum witness plate, placed formance by the use of a 0.001-inch 12 inches from the window’s surface thick aluminum witness plate, placed during all impact tests. The witness 12 inches from the window’s surface plate shall contain no marks from during all impact tests. The witness spalled glazing particles after any im- plate shall contain no marks from pact test; and spalled glazing particles after any im- (iii) Be permanently marked, prior to pact test; and installation, in such a manner that the (3) Be permanently marked, prior to marking is clearly visible after the ma- installation, in such a manner that the terial has been installed. The marking marking is clearly visible after the ma- shall include: terial has been installed. The marking (A) The words ‘‘FRA TYPE IH’’ for shall include: end-facing glazing or ‘‘FRA TYPE IIH’’ (i) The words ‘‘FRA TYPE IHP’’ to for side-facing glazing, to indicate that indicate that the material has success- the material has successfully passed fully passed the testing requirements the testing requirements of this sec- specified in this paragraph; tion; (ii) The name of the manufacturer; (B) The name of the manufacturer; and and (iii) The type or brand identification (C) The type or brand identification of the material. of the material.

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(d) Glazing securement. Each exterior (4) Each auxiliary circuit shall be window on a passenger car and a power provided with a circuit breaker located car cab shall remain in place when sub- as near as practical to the point of con- jected to: nection to the source of power for that (1) The forces due to air pressure dif- circuit; however, such protection may ferences caused when two trains pass be omitted from circuits controlling at the minimum separation for two ad- safety-critical devices. jacent tracks, while traveling in oppo- (b) Main battery system. (1) The main site directions, each train traveling at batteries shall be isolated from the cab the maximum authorized speed; and and passenger seating areas by a non- (2) The impact forces that the glazed combustible barrier. window is required to resist as speci- (2) Battery chargers shall be designed fied in this section. to protect against overcharging. (e) Stenciling. Each car that is fully (3) Battery circuits shall include an equipped with glazing materials that emergency battery cut-off switch to meet the requirements of this section completely disconnect the energy shall be stenciled on an interior wall as stored in the batteries from the load. follows: ‘‘Fully Equipped with FRA (4) If batteries are of the type to po- Part 238 Glazing’’ or similar words con- tentially vent explosive gases, the bat- veying that meaning, in letters at least teries shall be adequately ventilated to 3⁄8 of an inch high. prevent accumulation of explosive con- [64 FR 25660, May 12, 1999, as amended at 67 centrations of these gases. FR 19992, Apr. 23, 2002] (c) Power dissipation resistors. (1) Power dissipating resistors shall be § 238.423 Fuel tanks. adequately ventilated to prevent over- (a) External fuel tanks. Each type of heating under worst-case operating external fuel tank must be approved by conditions. FRA’s Associate Administrator for (2) Power dissipation grids shall be Safety upon a showing that the fuel designed and installed with sufficient tank provides a level of safety at least isolation to prevent combustion be- equivalent to a fuel tank that complies tween resistor elements and combus- with the external fuel tank require- tible material. ments in § 238.223(a). (3) Power dissipation resistor circuits (b) Internal fuel tanks. Internal fuel shall incorporate warning or protective tanks shall comply with the require- devices for low ventilation air flow, ments specified in § 238.223(b). over-temperature, and short circuit failures. § 238.425 Electrical system. (4) Resistor elements shall be elec- (a) Circuit protection. (1) The main trically insulated from resistor frames, propulsion power line shall be pro- and the frames shall be electrically in- tected with a lightning arrestor, auto- sulated from the supports that hold matic circuit breaker, and overload them. relay. The lightning arrestor shall be (d) Electromagnetic interference and run by the most direct path possible to compatibility. (1) The operating railroad ground with a connection to ground of shall ensure electromagnetic compat- not less than No. 6 AWG. These over- ibility of the safety-critical equipment load protection devices shall be housed systems with their environment. Elec- in an enclosure designed specifically tromagnetic compatibility can be for that purpose with the arc chute achieved through equipment design or vented directly to outside air. changes to the operating environment. (2) Head end power, including (2) The electronic equipment shall trainline power distribution, shall be not produce electrical noise that inter- provided with both overload and feres with trainline control and com- ground fault protection. munications or with wayside signaling (3) Circuits used for purposes other systems. than propelling the equipment shall be (3) To contain electromagnetic inter- connected to their power source ference emissions, suppression of tran- through circuit breakers or equivalent sients shall be at the source wherever current-limiting devices. possible.

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(4) Electrical and electronic systems toring system shall provide an alarm of equipment shall be capable of oper- to the locomotive engineer, and the ation in the presence of external elec- train shall be slowed to a speed at least tromagnetic noise sources. 5 mph less than the speed at which the (5) All electronic equipment shall be truck hunting stopped. Truck hunting self-protected from damage or im- is defined in § 213.333 of this chapter. proper operation, or both, due to high [64 FR 25660, May 12, 1999, as amended at 67 voltage transients and long-term over- FR 19992, Apr. 23, 2002; 78 FR 16126, Mar. 13, voltage or under-voltage conditions. 2013]

§ 238.427 Suspension system. § 238.428 Overheat sensors. (a) General requirements. (1) Suspen- Overheat sensors for each wheelset sion systems shall be designed to rea- journal bearing shall be provided. The sonably prevent wheel climb, wheel un- sensors may be placed either onboard loading, rail rollover, rail shift, and a the equipment or at reasonable inter- vehicle from overturning to ensure vals along the railroad’s right-of-way. safe, stable performance and ride qual- ity. These requirements shall be met: [78 FR 16126, Mar. 13, 2013] (i) In all operating environments, and under all track conditions and loading § 238.429 Safety appliances. conditions as determined by the oper- (a) Couplers. (1) The leading and the ating railroad; and trailing ends of a semi-permanently (ii) At all track speeds and over all coupled trainset shall each be equipped track qualities consistent with the with an automatic coupler that couples Track Safety Standards in part 213 of on impact and uncouples by either ac- this chapter, up to the maximum oper- tivation of a traditional uncoupling ating speed and maximum cant defi- lever or some other type of uncoupling ciency of the equipment. mechanism that does not require a per- (2) All passenger equipment shall son to go between the equipment units. meet the safety performance standards (2) The automatic coupler and uncou- for suspension systems contained in pling device on the leading and trailing part 213 of this chapter, or alternative ends of a semi-permanently coupled standards providing at least equivalent trainset may be stored within a remov- safety if approved by FRA under the able shrouded housing. provisions of § 238.21. In particular— (3) If the units in a train are not (i) Pre-revenue service qualification. All semi-permanently coupled, both ends passenger equipment shall demonstrate of each unit shall be equipped with an safe operation during pre-revenue serv- automatic coupler that couples on im- ice qualification in accordance with pact and uncouples by either activa- § 213.345 of this chapter and is subject tion of a traditional uncoupling lever to the requirements of § 213.329 of this or some other type of uncoupling chapter. mechanism that does not require a per- (ii) Revenue service operation. All pas- son to go between the equipment units. senger equipment in service is subject (b) Hand brakes. Except as provided in to the requirements of §§ 213.329 and paragraph (f) of this section, Tier II 213.333 of this chapter. trains shall be equipped with a parking (b) Carbody acceleration. A passenger or hand brake that can be applied and car shall not operate under conditions released manually and that is capable that result in a steady-state lateral ac- of holding the train on a 3-percent celeration greater than 0.15g, as meas- grade. ured parallel to the car floor inside the (c) Safety appliance mechanical passenger compartment. Additional strength and fasteners. (1) All handrails, carbody acceleration limits are speci- handholds, and sill steps shall be made fied in § 213.333 of this chapter. of 1-inch diameter steel pipe, 5⁄8-inch (c) Truck (hunting) acceleration. Each thickness steel, or a material of equal truck shall be equipped with a perma- or greater mechanical strength. nently installed lateral accelerometer (2) All safety appliances shall be se- mounted on the truck frame. If truck curely fastened to the car body struc- hunting is detected, the train moni- ture with mechanical fasteners that

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have mechanical strength greater than (2) The sill step shall be made of steel or equal to that of a 1⁄2-inch diameter or a material of equal or greater SAE grade steel bolt mechanical fas- strength and fatigue resistance; tener. (3) The minimum tread length of the (i) Safety appliance mechanical fas- sill step shall be 10 inches; teners shall have mechanical strength (4) The minimum clear depth of the and fatigue resistance equal to or sill step shall be 8 inches; greater than a 1⁄2-inch diameter SAE (5) The outside edge of the tread of steel bolt. the sill step shall be flush with the side (ii) Mechanical fasteners shall be in- of the car body structure; stalled with a positive means to pre- (6) Sill steps shall not have a vertical vent unauthorized removal. Self-lock- rise between treads exceeding 18 ing threaded fasteners do not meet this inches; requirement. (7) The lowest sill step tread shall be (iii) Mechanical fasteners shall be in- not more than 24, preferably not more stalled to facilitate inspection. than 22, inches above the top of the (d) Handrails and handholds. Except track rail; as provided in paragraph (f) of this sec- (8) Sill steps shall be a color that tion: contrasts with the color of the power (1) Handrails shall be provided for vehicle body to which they are fas- passengers on both sides of all steps tened; used to board or depart the train. (9) Sill steps shall be securely fas- (2) Exits on a power vehicle shall be tened; equipped with handrails and handholds (10) At least 50 percent of the tread so that crewmembers can get on and surface area of each sill step shall be off the vehicle safely. open space; and (3) Throughout their entire length, (11) The portion of the tread surface handrails and handholds shall be a area of each sill step which is not open color that contrasts with the color of space and is normally contacted by the the vehicle body to which they are fas- foot shall be treated with an anti-skid tened. material. (4) The maximum distance above the (f) Exceptions. (1) If the units of the top of the rail to the bottom of vertical equipment are semi-permanently cou- handrails and handholds shall be 51 pled, with uncoupling done only at inches, and the minimum distance maintenance facilities, the equipment shall be 21 inches. units that are not required by para- (5) Vertical handrails and handholds graph (a) of this section to be equipped shall be installed to continue to a point with automatic couplers need not be at least equal to the height of the top equipped with sill steps or end or side edge of the control cab door. handholds that would normally be used (6) The minimum hand clearance dis- to safely perform coupling and uncou- tance between a vertical handrail or pling operations. handhold and the vehicle body shall be (2) If the units of the equipment are 21⁄2 inches for the entire length. not semi-permanently coupled, the (7) All vertical handrails and units shall be equipped with hand handholds shall be securely fastened to brakes, sill steps, end handholds, and the vehicle body. side handholds that meet the require- (8) If the length of the handrail ex- ments contained in § 231.14 of this chap- ceeds 60 inches, it shall be securely fas- ter. tened to the power vehicle body with (3) If two trainsets are coupled to two fasteners at each end. form a single train that is not semi- (e) Sill steps. Except as provided in permanently coupled (i.e., that is cou- paragraph (f) of this section, each pled by an automatic coupler), the power vehicle shall be equipped with a automatically coupled ends shall be sill step below each exterior door as equipped with an end handhold that is follows: located and installed so that an indi- (1) The sill step shall have a min- vidual can safely couple and uncouple imum cross-sectional area of 1⁄2 by 3 the trainsets. The end handhold shall inches; be not more than 16 inches from each

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side of the car and shall extend the re- damage results to the wheels or brake maining length of the end of the car. (If discs under conditions resulting in the equipment is designed with a ta- maximum braking effort being exerted pered nose, the side of the car shall be on the wheels or discs. determined based on the outer dimen- (e) The following requirements apply sion of the tapered nose where the end to blended braking systems: handhold is attached.) The end hand- (1) Loss of power or failure of the dy- hold shall also meet the mechanical namic brake does not result in exceed- strength and design requirements con- ing the allowable stopping distance; tained in paragraphs (c), (d)(3), and (2) The friction brake alone is ade- (d)(6) of this section. If the trainsets quate to safely stop the train under all are semi-permanently coupled, this operating conditions; safety appliance is not required. (3) The operational status of the elec- (g) Optional safety appliances. Safety tric portion of the brake system shall appliances installed at the option of be displayed for the train operator in the railroad shall be firmly attached the control cab; and with mechanical fasteners and shall (4) The operating railroad shall dem- meet the design and installation re- onstrate through analysis and testing quirements provided in this section. the maximum operating speed for safe [64 FR 25660, May 12, 1999, as amended at 67 operation of the train using only the FR 19992, Apr. 23, 2002] friction brake portion of the blended brake with no thermal damage to § 238.431 Brake system. wheels or discs. (a) A passenger train’s brake system (f) The brake system design shall shall be capable of stopping the train allow a disabled train’s pneumatic from its maximum operating speed brakes to be controlled by a conven- within the signal spacing existing on tional locomotive, during a rescue op- the track over which the train is oper- eration, through brake pipe control ating under worst-case adhesion condi- alone. tions. (g) An independent failure-detection (b) The brake system shall be de- system shall compare brake commands signed to allow an inspector to deter- with brake system output to determine mine that the brake system is func- if a failure has occurred. The failure tioning properly without having to detection system shall report brake place himself or herself in a dangerous system failures to the automated train position on, under, or between the monitoring system. equipment. (h) Passenger equipment shall be (c) Passenger equipment shall be pro- equipped with an adhesion control sys- vided with an emergency brake appli- tem designed to automatically adjust cation feature that produces an irre- the braking force on each wheel to pre- trievable stop, using a brake rate con- vent sliding during braking. In the sistent with prevailing adhesion, pas- event of a failure of this system to pre- senger safety, and brake system ther- vent wheel slide within preset param- mal capacity. An emergency brake ap- eters, a wheel slide alarm that is visual plication shall be available at any or audible, or both, shall alert the time, and shall be initiated by an unin- train operator in the cab of the con- tentional parting of the train. A means trolling power car to wheel-slide condi- to initiate an emergency brake appli- tions on any axle of the train. cation shall be provided at two loca- tions in each unit of the train; how- § 238.433 Draft system. ever, where a unit of the train is 45 feet (a) Leading and trailing automatic or less in length a means to initiate an couplers of trains shall be compatible emergency brake application need only with standard AAR couplers with no be provided at one location in the unit. special adapters used. (d) The brake system shall be de- (b) All passenger equipment con- signed to prevent thermal damage to tinues to be subject to the require- wheels and brake discs. The operating ments concerning couplers and uncou- railroad shall demonstrate through pling devices contained in Federal analysis and testing that no thermal Statute at 49 U.S.C. chapter 203 and in

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FRA regulations at part 231 and § 232.2 (f) To the extent possible, interior of this chapter. fittings, except seats, shall be recessed or flush-mounted. Corners and sharp § 238.435 Interior fittings and surfaces. edges shall be avoided or otherwise (a) Each seat back and seat attach- padded. ment in a passenger car shall be de- (g) Energy-absorbent material shall signed to withstand, with deflection be used to pad surfaces likely to be im- but without total failure, the load as- pacted by occupants during collisions sociated with the impact into the seat or derailments. back of an unrestrained 95th-percentile (h) Luggage stowage compartments adult male initially seated behind the shall be enclosed, and have an ultimate seat back, when the floor to which the strength sufficient to resist loads due seat is attached decelerates with a tri- to the following individually applied angular crash pulse having a peak of 8g accelerations acting on the mass of the and a duration of 250 milliseconds. luggage that the compartments are de- (b) Each seat back in a passenger car signed to accommodate: shall include shock-absorbent material (1) Longitudinal: 8g; to cushion the impact of occupants (2) Lateral: 4g; and with the seat ahead of them. (3) Vertical: 4g. (i) If, for purposes of showing compli- (c) The ultimate strength of each ance with the requirements of this sec- seat attachment to a passenger car tion, the strength of a seat attachment body shall be sufficient to withstand is to be demonstrated through sled the following individually applied ac- testing, the seat structure and seat at- celerations acting on the mass of the tachment to the sled that are used in seat plus the mass of a seat occupant such testing must be representative of who is a 95th-percentile adult male: the actual seat structure in, and seat (1) Lateral: 4g; and attachment to, the rail vehicle subject (2) Vertical: 4g. to the requirements of this section. If (d)(1) Other interior fittings shall be the attachment strength of any other attached to the passenger car body interior fitting is to be demonstrated with sufficient strength to withstand through sled testing, for purposes of the following individually applied ac- showing compliance with the require- celerations acting on the mass of the ments of this section, such testing fitting: shall be conducted in a similar manner. (i) Longitudinal: 8g; (ii) Lateral: 4g; and [64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002] (iii) Vertical: 4g. (2) Fittings that can be expected to § 238.437 [Reserved] be impacted by a person during a colli- sion, such as tables between facing § 238.439 Doors. seats, shall be designed for the mass of In addition to the requirements of the fitting plus the mass of the number § 238.112— of occupants who are 95th-percentile (a) The status of each powered, exte- adult males that could be expected to rior side door in a passenger car shall strike the fitting, when the floor of the be displayed to the crew in the oper- passenger car decelerates with a tri- ating cab. If door interlocks are used, angular crash pulse having a peak of 8g the sensors used to detect train motion and a duration of 250 milliseconds. shall be nominally set to operate at 3 (e) The ultimate strength of the inte- mph. rior fittings and equipment in power (b) Each powered, exterior side door car control cabs shall be sufficient to in a passenger car shall be connected to resist without failure loads due to the an emergency back-up power system. following individually applied accelera- (c) For a passenger car ordered prior tions acting on the mass of the fitting to January 28, 2014, and placed in serv- or equipment: ice prior to January 29, 2018, a pas- (1) Longitudinal: 12g; senger compartment end door (other (2) Lateral: 4g; and than a door providing access to the ex- (3) Vertical: 4g. terior of the trainset) shall be equipped

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with a kick-out panel, pop-out window, the power car under clear weather con- or other similar means of egress in the ditions. The other headlight shall be event the door will not open, or shall arranged to illuminate a person stand- be so designed as to pose a negligible ing between the rails 1,500 feet ahead of probability of becoming inoperable in the power car under clear weather con- the event of car body distortion fol- ditions. lowing a collision or derailment. (b) A power car with a headlight not in compliance with the requirements of [64 FR 25660, May 12, 1999, as amended at 67 paragraph (a) of this section shall be FR 19993, Apr. 23, 2002; 78 FR 71815, Nov. 29, 2013] moved in accordance with the fol- lowing: § 238.441 Emergency roof access. (1) If one of the headlights is defec- tive, the defect shall be considered a (a) Existing passenger cars and power non-running gear defect subject to the cars. Each passenger car and power car provisions contained in § 238.17 of this ordered prior to April 1, 2009 and placed part. in service for the first time prior to (2) If both headlights are defective, April 1, 2011, shall have a minimum of the power car shall be inspected and one roof hatch emergency access loca- tagged in accordance with the require- tion with a minimum opening of 26 ments contained in § 238.17(c) relating inches by 24 inches, or at least one to non-running gear defects. The power structural weak point in the roof pro- car may continue to be used in pas- viding a minimum opening of the same senger service only to the nearest for- dimensions, to provide access for prop- ward location where the repairs nec- erly equipped emergency response per- essary to bring the power car into com- sonnel. Each emergency roof access lo- pliance can be made or to the power cation shall be conspicuously marked, car’s next calendar day mechanical in- and legible and understandable oper- spection, whichever occurs first. ating instructions shall be posted at or near each such location. On or after [67 FR 19993, Apr. 23, 2002] January 28, 2015, such markings shall also conform with the requirements § 238.445 Automated monitoring. specified in § 238.125. (a) Each passenger train shall be (b) New passenger cars. Each pas- equipped to monitor the performance senger car ordered on or after April 1, of the following systems or compo- 2009 or placed in service for the first nents: time on or after April 1, 2011, shall (1) Reception of cab signals and train comply with the emergency roof access control signals; requirements specified in § 238.123. (2) Truck hunting; (c) New power cars. Each power car (3) Dynamic brake status; ordered on or after April 1, 2009, or (4) Friction brake status; placed in service for the first time on (5) Fire detection systems; or after April 1, 2011, shall have a min- (6) Head end power status; imum of one emergency roof access lo- (7) Alerter or deadman control; cation, with a minimum opening of 26 (8) Horn and bell; inches longitudinally by 24 inches lat- (9) Wheel slide; erally, and comply with the emergency (10) Tilt system, if so equipped; and roof access requirements specified in (11) On-board bearing-temperature §§ 238.123(b), (d), and (e). sensors, if so equipped. (b) When any such system or compo- [73 FR 6412, Feb. 1, 2008, as amended at 78 FR nent is operating outside of its pre- 71815, Nov. 29, 2013] determined safety parameters: (1) The train operator shall be alert- § 238.443 Headlights. ed; and (a) Each power car shall be equipped (2) Immediate corrective action shall with at least two headlights. Each be taken, if the system or component headlight shall produce no less than defect impairs the train operator’s 200,000 candela. One headlight shall be ability to safely operate the train. Im- arranged to illuminate a person stand- mediate corrective action includes lim- ing between the rails 800 feet ahead of iting the speed of the train.

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(c) The monitoring system shall be from either side. Field-of-view obstruc- designed with an automatic self-test tions due to required structural mem- feature that notifies the train operator bers shall be minimized. that the monitoring capability is func- (f) Each seat provided for an em- tioning correctly and alerts the train ployee regularly assigned to occupy a operator when a system failure occurs. power car cab and any floor-mounted seat in the cab shall be: § 238.447 Train operator’s controls and (1) Secured to the car body with an power car cab layout. attachment having an ultimate (a) Train operator controls in the strength capable of withstanding the power car cab shall be arranged so as loads due to the following individually to minimize the chance of human applied accelerations acting on the error, and be comfortably within view combined mass of the seat and the and within easy reach when the oper- mass of a seat occupant who is a 95th- ator is seated in the normal train con- percentile adult male: trol position. (i) Longitudinal: 12g; (b) The train operator’s control panel (ii) Lateral: 4g; and buttons, switches, levers, knobs, and (iii) Vertical: 4g; the like shall be distinguishable by (2) Designed so that all adjustments sight and by touch. have the range necessary to accommo- (c) An alerter shall be provided in the date a person ranging from a 5th-per- power car cab. If not acknowledged, the centile adult female to a 95th-per- alerter shall cause a brake application centile adult male, as persons pos- to stop the train. sessing such characteristics are speci- (d) Power car cab information dis- fied, correcting for clothing as appro- plays shall be designed with the fol- priate, in any recognized survey after lowing characteristics: 1958 of weight, height, and other body (1) Simplicity and standardization dimensions of U.S. adults; shall be the driving criteria for design (3) Equipped with lumbar support of formats for the display of informa- that is adjustable from the seated posi- tion in the cab; tion; (2) Essential, safety-critical informa- (4) Equipped with force-assisted, tion shall be displayed as a default con- vertical-height adjustment, operated dition; from the seated position; (3) Operator selection shall be re- (5) Equipped with a manually reclin- quired to display other than default in- ing seat back, adjustable from the seat- formation; ed position; (4) Cab or train control signals shall (6) Equipped with an adjustable head- be displayed for the operator; and rest; and (5) Displays shall be readable from (7) Equipped with folding, padded the operators’s normal position under armrests. all lighting conditions. (g) Sharp edges and corners shall be (e) The power car cab shall be de- eliminated from the interior of the signed so at to permit the crew to have power car cab, and interior surfaces of an effective field of view in the forward the cab likely to be impacted by an direction, as well as to the right and employee during a collision or derail- left of the direction of travel to ob- ment shall be padded with shock-ab- serve objects approaching the train sorbent material.

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FIGURE 1 TO SUBPART E OF PART 238—POWER CAR CAB FORWARD END STRUCTURE CONCEPTUAL IMPLEMENTATION

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FIGURE 2 TO SUBPART E OF PART 238—POWER CAR CAB REAR END STRUCTURE CONCEPTUAL IMPLEMENTATION 1—TO SUBPART E

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FIGURE 3 TO SUBPART E OF PART 238—TRAILER CAR END STRUCTURE CONCEPTUAL IMPLEMENTATION 1—TO SUBPART E

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FIGURE 4 TO SUBPART E OF PART 238—TRAILER CAR IN-BOARD VESTIBULE END STRUCTURE CONCEPTUAL IMPLEMENTATION 1—TO SUBPART E

Subpart F—Inspection, Testing, gram for Tier II passenger equipment and Maintenance Require- prior to implementation of that pro- ments for Tier II Passenger gram and prior to commencing pas- senger operations using that equip- Equipment ment. As further specified in this sec- § 238.501 Scope. tion, the program shall describe in de- tail the procedures, equipment, and This subpart contains inspection, other means necessary for the safe op- testing, and maintenance requirements eration of the passenger equipment, in- for railroad passenger equipment that cluding: operates at speeds exceeding 125 mph (1) Inspection procedures, intervals, but not exceeding 160 mph. and criteria; [83 FR 59219, Nov. 21, 2018] (2) Testing procedures and intervals; (3) Scheduled preventive-mainte- § 238.503 Inspection, testing, and main- nance intervals; tenance requirements. (4) Maintenance procedures; (a) General. Under the procedures pro- (5) Special testing equipment or vided in § 238.505, each railroad shall ob- measuring devices required to perform tain FRA approval of a written inspec- inspections, tests, and maintenance; tion, testing, and maintenance pro- and

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(6) The training, qualification, and each calendar day, whichever comes designation of employees and contrac- first, that the train remains in contin- tors to perform inspections, tests, and uous service. maintenance. (i) Class I equivalent brake tests (b) Compliance. After the railroad’s shall be performed by a qualified main- inspection, testing, and maintenance tenance person. program is approved by FRA under (ii) Except as provided in § 238.15(b), a § 238.505, the railroad shall adopt the railroad shall not use or haul a Tier II program and shall perform— passenger train in passenger service (1) The inspections and tests of power from a location where a Class I equiva- brakes and other primary brakes as de- lent brake test has been performed, or scribed in the program; was required by this part to have been (2) The other inspections and tests performed, with less than 100 percent described in the program in accordance operative brakes. with the procedures and criteria that (2) Except as provided in paragraph the railroad identified as safety-crit- (d)(3) of this section, a complete exte- ical; and rior and interior mechanical inspec- (3) The maintenance tasks described tion, in accordance with the railroad’s in the program in accordance with the inspection program, shall be conducted procedures and intervals that the rail- by a qualified maintenance person at road identified as safety-critical. least once during each calendar day the (c) General safety inspection, testing, equipment is used in service. and maintenance procedures. The inspec- (3) Trains that miss a scheduled Class tion, testing, and maintenance pro- I brake test or mechanical inspection gram under paragraph (a) of this sec- due to a delay en route may proceed to tion shall contain the railroad’s writ- the point where the Class I brake test ten procedures to ensure that all sys- or mechanical inspection was sched- tems and components of in service pas- uled to be performed. senger equipment are free of any gen- (e) Movement of trains with power eral condition that endangers the safe- brake defects. Movement of trains with ty of the crew, passengers, or equip- a power brake defect as defined in ment. These procedures shall protect § 238.15 (any primary brake defect) shall against: be governed by § 238.15. (1) A continuous accumulation of oil (f) Movement of trains with other de- or grease; fects. The movement of a train with a (2) Improper functioning of a compo- defect other than a power brake defect nent; shall be conducted in accordance with (3) A crack, break, excessive wear, § 238.17, with the following exceptions: structural defect, or weakness of a (1) The movement of a Tier II power component; car with a non-complying headlight (4) A leak; shall be conducted in accordance with (5) Use of a component or system § 238.443(b) of this part; and under a condition that exceeds that for (2) When a failure of a secondary which the component or system is de- brake on a Tier II passenger train oc- signed to operate; and curs en route, that train may remain (6) Insecure attachment of a compo- in service until its next scheduled cal- nent. endar day Class I brake test equivalent (d) Specific inspections. The program at a speed no greater than the max- under paragraph (a) of this section imum safe operating speed dem- shall specify that all Tier II passenger onstrated through analysis and testing equipment shall receive thorough in- for braking with the friction brake spections in accordance with the fol- alone. The brake system shall be re- lowing standards: stored to 100 percent operation before (1) Except as provided in paragraph the train departs that inspection loca- (d)(3) of this section, the equivalent of tion. a Class I brake test contained in (g) Maintenance intervals. The pro- § 238.313 shall be conducted prior to a gram under paragraph (a) of this sec- train’s departure from an originating tion shall include the railroad’s initial terminal and every 1,500 miles or once scheduled maintenance intervals for

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Tier II equipment based on an analysis with Federal safety standards and the completed pursuant to the railroad’s procedures established by the railroad. safety plan. The maintenance interval (l) Identification of safety-critical items. of a safety-critical component shall be In the program under paragraph (a) of changed only when justified by accu- this section, the railroad shall identify mulated, verifiable operating data and all inspection and testing procedures approved by FRA under § 238.505 before and criteria as well as all maintenance the change takes effect. intervals that the railroad deems to be (h) Training, qualification, and des- safety-critical. ignation program. The program under [64 FR 25660, May 12, 1999, as amended at 67 paragraph (a) of this section shall de- FR 19994, Apr. 23, 2002] scribe the training, qualification, and designation program, as defined in the § 238.505 Program approval procedure. training program plan under § 238.109, (a) Submission. Not less than 90 days established by the railroad to qualify prior to commencing passenger oper- individuals to inspect, test, and main- ations using Tier II passenger equip- tain the equipment. ment, each railroad to which this sub- (1) If the railroad deems it safety- part applies shall submit for approval critical, then only qualified individuals an inspection, testing, and mainte- shall inspect, test, and maintain the nance program for that equipment equipment. meeting the requirements of this sub- (2) Knowledge of the procedures de- part with the Associate Administrator scribed in paragraph (a) of this section for Safety, Federal Railroad Adminis- shall be required to qualify an em- tration, 1200 New Jersey Avenue, SE., ployee or contractor to perform an in- Mail Stop 25, Washington, DC 20590. If a spection, testing, or maintenance task railroad seeks to amend an approved under this part. program, the railroad shall file with (i) Standard procedures. The program FRA’s Associate Administrator for under paragraph (a) of this section Safety a petition for approval of such shall include the railroad’s written amendment not less than 60 days prior standard procedures for performing all to the proposed effective date of the safety-critical equipment inspection, amendment. A program responsive to testing, maintenance, and repair tasks the requirements of this subpart or any necessary to ensure the safe and proper amendment to the program shall not operation of the equipment. The in- be implemented prior to FRA approval. spection, testing, and maintenance pro- (1) Each program or amendment gram required by this section is not in- under § 238.503 shall contain: tended to address and should not in- (i) The information prescribed in clude procedures to address employee § 238.503 for such program or amend- working conditions that arise in the ment; course of conducting the inspections, (ii) The name, title, address, and tele- tests, and maintenance set forth in the phone number of the primary person to program. When reviewing the railroad’s be contacted with regard to review of program, FRA does not intend to re- the program or amendment; and view any portion of the program that (iii) A statement affirming that the relates to employee working condi- railroad has served a copy of the pro- tions. gram or amendment on designated rep- (j) Annual review. The inspection, resentatives of railroad employees, to- testing, and maintenance program re- gether with a list of the names and ad- quired by this section shall be reviewed dresses of persons served. by the railroad annually. (2) Each railroad shall serve a copy of (k) Quality control program. Each rail- each submission to FRA on designated road shall establish an inspection, test- representatives of railroad employees ing, and maintenance quality control responsible for the equipment’s oper- program enforced by railroad or con- ation, inspection, testing, and mainte- tractor supervisors to reasonably en- nance under this subpart. sure that inspections, tests, and main- (b) Comment. Not later than 45 days tenance are performed in accordance from the date of filing the program or

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amendment, any person may comment Subpart G—Specific Safety Plan- on the program or amendment. ning Requirements for Tier II (1) Each comment shall set forth spe- Passenger Equipment cifically the basis upon which it is made, and contain a concise statement § 238.601 Scope. of the interest of the commenter in the This subpart contains specific safety proceeding. planning requirements for the oper- (2) Each comment shall be submitted ation of Tier II passenger equipment, to the Associate Administrator for procurement of Tier II passenger equip- Safety, Federal Railroad Administra- ment, and the introduction or major tion, 1200 New Jersey Avenue, SE., upgrade of new technology in existing Mail Stop 25, Washington, DC 20590. Tier II passenger equipment that af- (3) The commenter shall certify that fects a safety system on such equip- a copy of the comment was served on ment. the railroad. § 238.603 Safety planning require- (c) Approval. (1) Within 60 days of re- ments. ceipt of each initial inspection, testing, (a) Prior to commencing revenue and maintenance program, FRA will service operation of Tier II passenger conduct a formal review of the pro- equipment, each railroad shall prepare gram. FRA will then notify the pri- and execute a written plan for the safe mary railroad contact person and the operation of such equipment. The plan designated employee representatives in may be combined with any other plan writing whether the inspection, test- required under this part. The plan shall ing, and maintenance program is ap- be updated at least every 365 days. At a proved and, if not approved, the spe- minimum, the plan shall describe the cific points in which the program is de- approaches and processes to: ficient. If a program is not approved by (1) Identify all requirements nec- FRA, the railroad shall amend its pro- essary for the safe operation of the gram to correct all deficiencies and re- equipment in its operating environ- submit its program with the required ment; revisions not later than 45 days prior to (2) Identify all known or potential commencing passenger operations. hazards to the safe operation of the equipment; (2) FRA will review each proposed (3) Eliminate or reduce the risk posed amendment to the program within 45 by each hazard identified to an accept- days of receipt. FRA will then notify able level using a formal safety meth- the primary railroad contact person odology such as MIL-STD–882; and and the designated employee represent- (4) Impose operational limitations, as atives in writing whether the proposed necessary, on the operation of the amendment has been approved by FRA equipment if the equipment cannot and, if not approved, the specific points meet safety requirements. in which the proposed amendment is (b) For the procurement of Tier II deficient. The railroad shall correct passenger equipment, and for each any deficiencies and file the corrected major upgrade or introduction of new amendment prior to implementing the technology in existing Tier II pas- amendment. senger equipment that affects a safety (3) Following initial approval of a system on such equipment, each rail- program or amendment, FRA may re- road shall prepare and execute a writ- open consideration of the program or ten safety plan. The plan may be com- amendment for cause stated. bined with any other plan required under this part. The plan shall describe [64 FR 25660, May 12, 1999, as amended at 74 the approaches and processes to: FR 25174, May 27, 2009] (1) Identify all safety requirements governing the design of the passenger equipment and its supporting systems; (2) Evaluate the total system, includ- ing hardware, software, testing, and support activities, to identify known or

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potential safety hazards over the life plan under § 213.361 of this chapter and cycle of the equipment; an approved HSR–125 plan under (3) Identify safety issues during de- § 236.1007(c) of this chapter. Demonstra- sign reviews; tion of compliance with the require- (4) Eliminate or reduce the risk posed ments of this subpart is subject to FRA by each hazard identified to an accept- review and approval under § 238.111. able level using a formal safety meth- odology such as MIL-STD-882; § 238.702 Definitions. (5) Monitor the progress in resolving As used in this subpart— safety issues, reducing hazards, and Cab means a compartment or space meeting safety requirements; within a trainset that is designed to be (6) Develop a program of testing or occupied by an engineer and contain an analysis, or both, to demonstrate that operating console for exercising con- safety requirements have been met; trol over the trainset. and Integrated trainset means a passenger (7) Impose operational limitations, as train in which all units of the trainset necessary, on the operation of the are designed to operate together to equipment if the equipment cannot achieve the trainset’s structural crash- meet safety requirements. worthiness performance. (c) Each railroad shall maintain suf- ficient documentation to demonstrate TRAINSET STRUCTURE how the operation and design of its Tier II passenger equipment complies § 238.703 Quasi-static compression with safety requirements or, as appro- load requirements. priate, addresses safety requirements (a) General. To demonstrate resist- under paragraphs (a)(4) and (b)(7) of ance to loss of occupied volume, Tier this section. Each railroad shall main- III trainsets shall comply with both tain sufficient documentation to track the quasi-static compression load re- how safety issues are raised and re- quirements in paragraph (b) of this sec- solved. tion and the dynamic collision require- (d) Each railroad shall make avail- ments in § 238.705. able to FRA for inspection and copying (b) Quasi-static compression load re- upon request each safety plan required quirements. (1) Each individual vehicle by this section and any documentation in a Tier III trainset shall resist a min- required pursuant to such plan. imum quasi-static end load applied on [64 FR 25660, May 12, 1999, as amended at 67 the collision load path of: FR 19994, Apr. 23, 2002] (i) 800,000 pounds without permanent deformation of the occupied volume; or Subpart H—Specific Requirements (ii) 1,000,000 pounds without exceed- for Tier III Passenger Equipment ing either of the following two condi- tions: SOURCE: 83 FR 59219, Nov. 21, 2018, unless (A) Local plastic strains no greater otherwise noted. than 5 percent; and (B) Vehicle shortening no greater § 238.701 Scope. than 1 percent over any 15-foot length This subpart contains specific re- of the occupied volume; or quirements for railroad passenger (iii) 1,200,000 pounds without crip- equipment operating in a shared right- pling the body structure. Crippling of of-way at speeds not exceeding 125 mph the body structure is defined as reach- and in an exclusive right-of-way with- ing the maximum point on the load- out grade crossings at speeds exceeding versus-displacement characteristic. 125 mph but not exceeding 220 mph. (2) To demonstrate compliance with Passenger seating is permitted in the this section, each type of vehicle shall leading unit of a Tier III trainset if the be subjected to an end compression trainset complies with the crash- load (buff) test with an end load mag- worthiness and occupant protection re- nitude no less than 337,000 lbf (1500 kN). quirements of this subpart, and the (3) Compliance with the requirements railroad has an approved right-of-way of paragraph (b) of this section shall be

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documented and submitted to FRA for (10) The model used to demonstrate review and approval. compliance with the dynamic collision requirements must be validated. Model § 238.705 Dynamic collision scenario. validation shall be documented and (a) General. In addition to the re- submitted to FRA for review and ap- quirements of § 238.703, occupied vol- proval. ume integrity (OVI) shall also be dem- (b) Dynamic collision requirements. As onstrated for each individual vehicle in a result of the impact described in a Tier III trainset through an evalua- paragraph (a) of this section— tion of a dynamic collision scenario in (1) One of the following two condi- which a moving train impacts a stand- tions must be met for the occupied vol- ing train under the following condi- ume of the initially-moving trainset: tions: (i) There shall be no more than 10 (1) The initially-moving trainset is inches of longitudinal permanent de- made up of the equipment undergoing formation; or evaluation at its AW0 ready-to-run (ii) Global vehicle shortening shall weight; not exceed 1 percent over any 15-foot (2) If trainsets of varying consist length of occupied volume. lengths are intended for use in service, (2) If Railway Group Standard GM/ then the shortest and longest consist RT2100, Issue Four, ‘‘Requirements for lengths shall be evaluated; Rail Vehicle Structures,’’ Rail Safety (3) If the initially-moving trainset is and Standards Board Ltd., December intended for use in push-pull service, 2010, is used to demonstrate compliance then, as applicable, each configuration with any of the requirements in of leading vehicle shall be evaluated §§ 238.733, 238.735, 238.737, or 238.743, then separately; the average longitudinal deceleration (4) The initially-standing train is led of the center of gravity (CG) of each ve- by a rigid locomotive and also made up hicle in the initially-moving trainset of five identical passenger coaches hav- during the dynamic collision scenario ing the following characteristics: shall not exceed 5g during any 100-mil- (i) The rigid locomotive weighs lisecond (ms) time period. The max- 260,000 pounds and each coach weighs imum interval between data points so 95,000 pounds; averaged in the 100-ms time period (ii) The rigid locomotive and each shall be no greater than 1-ms. passenger coach crush in response to applied force as specified in Table 1 to (3) Compliance with each of the fol- this section; and lowing conditions shall also be dem- (iii) The rigid locomotive shall be onstrated for the cab of the initially- modeled using the data inputs listed in moving trainset after the impact: appendix H to this part so that it has a (i) For each seat provided for an em- geometric design as depicted in Figure ployee in the cab, and any floor-mount- 1 to appendix H to this part; ed seat in the cab, a survival space (5) The scenario shall be evaluated on shall be maintained where there is no tangent, level track; intrusion for a minimum of 12 inches (6) The initially-moving trainset from each edge of the seat. Walls or shall have an initial velocity of 20 mph other items originally within this de- if it is an integrated trainset, or an ini- fined space, not including the oper- tial velocity of 25 mph if the lead vehi- ating console, shall not further intrude cle of the trainset is not part of the in- more than 1.5 inches towards the seat tegrated design; under evaluation; (7) The coupler knuckles on the col- (ii) There shall be a clear exit path liding equipment shall be closed and for the occupants of the cab; centered; (iii) The vertical height of the cab (8) The initially-moving trainset and (floor to ceiling) shall not be reduced initially-standing train consists are by more than 20 percent; and not braked; (iv) The operating console shall not (9) The initially-standing train has have moved more than 2 inches closer only one degree-of-freedom (longitu- to the engineer’s seat; if the engineer’s dinal displacement); and seat is part of a set of adjacent seats,

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the requirements of this paragraph (ii) One vehicle is perturbed laterally (b)(3) apply to both seats. and vertically upwards by 2 inches, rel- ative to the adjacent vehicle, at the TABLE 1—FORCE-VERSUS-CRUSH RELATION- first vehicle-to-vehicle interface in the SHIPS FOR PASSENGER COACH AND CONVEN- initially-moving trainset; and, TIONAL LOCOMOTIVE (iii) One vehicle is perturbed lat- erally and vertically downwards by 2 Crush Force Vehicle (in) (lbf) inches, relative to the adjacent vehicle, at the first vehicle-to-vehicle interface Passenger Coach ...... 0 0 in the initially-moving trainset. 3 80,000 (2) For each set of initial conditions 6 2,500,000 specified in paragraph (b)(1) of this sec- Conventional Locomotive ...... 0 0 tion, compliance with the following 2.5 100,000 5 2,500,000 conditions shall be demonstrated after a dynamic impact: (i) The relative difference in ele- § 238.707 Override protection. vation between the underframes of the (a) Colliding equipment. (1) Using the connected equipment in the initially- dynamic collision scenario described in moving trainset shall not change by § 238.705(a), anti-climbing performance more than 4 inches; and shall be evaluated for each of the fol- (ii) The tread of any wheel of the ini- lowing sets of initial conditions: tially-moving trainset shall not rise (i) All vehicles in the initially-mov- above the top of rail by more than 4 ing trainset and initially-standing inches. train consists are positioned at their nominal running heights; § 238.709 Fluid entry inhibition. (ii) The lead vehicle of the initially- moving trainset shall be perturbed lat- (a) The skin covering the forward- erally and vertically upwards by 3 facing end of a Tier III trainset shall inches at the colliding interface; and be— (iii) The lead vehicle of the initially- (1) Equivalent to a 1⁄2-inch steel plate moving trainset shall be perturbed lat- with yield strength of 25,000 pounds per erally and vertically downwards by 3 square inch. Material of higher yield inches at the colliding interface. strength may be used to decrease the (2) For each set of initial conditions required thickness of the material pro- specified in paragraph (a)(1) of this sec- vided at least an equivalent level of tion, compliance with the following strength is maintained. The sum of the conditions shall be demonstrated after thicknesses of elements (e.g., skin and a dynamic impact: structural elements) from the struc- (i) The relative difference in ele- tural leading edge of the trainset to a vation between the underframes of the point, when projected onto a vertical colliding equipment in the initially- plane, just forward of the engineer’s moving trainset and initially-standing normal operating position, may also be train consists shall not change by more used to satisfy this requirement; than 4 inches; and (2) Designed to inhibit the entry of (ii) The tread of any wheel of the fluids into the cab; and first vehicle of the initially-moving (3) Affixed to the collision posts or trainset shall not rise above the top of other main structural members of the the rail by more than 4 inches forward end structure so as to add to (b) Connected equipment override. (1) the strength of the end structure. Using the dynamic collision scenario (b) Information used to demonstrate described in § 238.705(a), anti-climbing compliance with the requirements of performance shall be evaluated for this section shall at a minimum in- each of the following sets of initial clude a list and drawings of the struc- conditions: tural elements considered in satisfying (i) All vehicles in the initially-mov- the thickness-strength requirement of ing trainset and initially-standing this section, and calculations showing train consists are positioned at their that the thickness-strength require- nominal running heights; ment is satisfied.

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§ 238.711 End structure integrity of nection is capable of preventing such cab end. disengagement (and telescoping), the The cab ends of Tier III trainsets criteria in § 238.707(b) apply. shall comply with the requirements of (c) Corner post requirements. (1) Each appendix F to this part to demonstrate passenger car in a Tier III trainset the integrity of the end structure. For shall have at each non-cab end of the those units of Tier III trainsets with- car, placed ahead of the occupied vol- out identifiable corner or collision ume, two side structures capable of re- posts, the requirements of appendix F sisting a: to this part apply to the end structure (i) 150,000-pound horizontal force ap- at each location specified, regardless of plied at floor height without failure; whether the structure is a post. (ii) 20,000-pound horizontal force ap- plied at roof height without failure; § 238.713 End structure integrity of and non-cab end. (iii) 30,000-pound horizontal force ap- (a) General. Tier III trainsets shall plied at a point 18 inches above the top comply with the requirements in para- of the floor without permanent defor- graphs (b) and (c) of this section to mation. demonstrate the integrity of the end (2) For purposes of this paragraph (c), structure for other than the cab ends. the orientation of the applied hori- (b) Collision post requirements. (1) Each zontal forces shall range from longitu- unit of a Tier III trainset shall have at dinal inward to transverse inward. each non-cab end of the unit either: (3) For each evaluation load, the load (i) Two full-height collision posts, lo- shall be applied to an area of the struc- cated at approximately the one-third ture sufficient to not locally cripple or points laterally. Each collision post punch through the material. shall have an ultimate longitudinal (4) The load area shall be chosen to shear strength of not less than 300,000 be appropriate for the particular car pounds at a point even with the top of design and shall not exceed 10 inches the underframe member to which it is by 10 inches. attached. If reinforcement is used to provide the shear value, the reinforce- § 238.715 Roof and side structure in- ment shall have full value for a dis- tegrity. tance of 18 inches up from the To demonstrate roof and side struc- underframe connection and then taper ture integrity, Tier III trainsets shall to a point approximately 30 inches comply with the requirements in above the underframe connection; or §§ 238.215 and 238.217. (ii) An equivalent end structure that can withstand the sum of forces that § 238.717 Truck-to-carbody attach- each collision post in paragraph ment. (b)(1)(i) of this section is required to To demonstrate the integrity of withstand. For analysis purposes, the truck-to-carbody attachments, each required forces may be assumed to be unit in a Tier III trainset shall: evenly distributed at the locations (a) Comply with the requirements in where the equivalent structure at- § 238.219; or taches to the underframe. (b) Have a truck-to-carbody attach- (2) Collision posts are not required ment with strength sufficient to resist, for the non-cab ends of any unit with without yielding, the following individ- push-back couplers and interlocking ually applied, quasi-static loads on the anti-climbing mechanisms in a Tier III mass of the truck at its CG: trainset, or the non-cab ends of a semi- (1) 3g vertically downward; permanently coupled consist of (2) 1g laterally, along with the result- trainset units, if the inter-car connec- ing vertical reaction to this load; and tion is capable of preventing disengage- (3) Except as provided in paragraph ment and telescoping to the same ex- (c) of this section, 5g longitudinally, tent as equipment satisfying the anti- along with the resulting vertical reac- climbing and collision post require- tion to this load, provided that for the ments in subpart C of this part. For conditions in the dynamic collision demonstrating that the inter-car con- scenario described in § 238.705(a):

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(i) The average longitudinal decelera- (D) The projectile shall have an over- tion at the CG of the equipment during all diameter of 3.7 inches (94 mm) with the impact does not exceed 5g; and a nominal internal diameter of 2.76 (ii) The peak longitudinal decelera- inches (70 mm). tion of the truck during the impact (ii) The test of the glazing article does not exceed 10g. shall be deemed satisfactory if the test (c) As an alternative to dem- projectile does not penetrate the wind- onstrating compliance with paragraph screen, the windscreen remains in its (b)(3) of this section, the truck shall be frame, and the witness plate is not shown to remain attached after a dy- marked by spall. namic impact under the conditions in (iii) A new projectile shall be used for the collision scenario described in each test. § 238.705(a). (iv) The glazing article to be tested (d) For purposes of paragraph (b) of this section, the mass of the truck in- shall be that which has the smallest cludes axles, wheels, bearings, truck- area for each design type. For the test, mounted brake system, suspension sys- the glazing article shall be fixed in a tem components, and any other compo- frame of the same construction as that nent attached to the truck by design. mounted on the vehicle. (e) Truck attachment shall be dem- (v) A minimum of four tests shall be onstrated using a validated model. conducted and all must be deemed sat- isfactory. Two tests shall be conducted GLAZING with the complete glazing article at 32 °F ± 9 °F (0 °C ± 5 °C) and two tests shall § 238.721 Glazing. be conducted with the complete glazing (a) Cab glazing; end-facing. (1) Each article at 68 °F ± 9 °F (20 °C ± 5 °C). For end-facing exterior window in a cab of the tests to be valid they shall dem- a Tier III trainset shall comply with onstrate that the core temperature of the requirements for Type I glazing in the complete glazing article during appendix A to part 223 of this chapter, each test is within the required tem- except as provided in paragraphs (a)(2) perature range. through (4) of this section. (vi) The test glazing article shall be (2) Instead of the large object impact mounted at the same angle relative to test specified in appendix A to part 223, the projectile path as it will be to the each end-facing exterior window in a direction of travel when mounted on cab shall demonstrate compliance with the vehicle. the following requirements of this (vii) The projectile’s impact velocity paragraph (a): shall equal the maximum operating (i) The glazing article shall be im- speed of the Tier III trainset plus 100 pacted with a cylindrical projectile mph (160 km/h). The projectile velocity that complies with the following design shall be measured within 13 feet (4 m) specifications as depicted in Figure 1 of the point of impact. to this subpart: (viii) The point of impact shall be at (A) The projectile shall be con- structed of aluminum alloy such as ISO the geometrical center of the glazing 6362–2:1990, grade 2017A, or its dem- article. onstrated equivalent; (3) Representative samples for large (B) The projectile end cap shall be object impact testing of large Tier III made of steel; end-facing cab glazing articles may be (C) The projectile assembly shall used instead of the actual design size, weigh 2.2 pounds (¥0, +0.044 pounds) or provided that the following conditions 1 kilogram (kg) (¥0, +0.020 kg) and are met: shall have a hemispherical tip. Mate- (i) Testing of glazing articles having rial may be removed from the interior dimensions greater than 39.4 by 27.6 of the aluminum portion to adjust the inches (1,000 mm by 700 mm), excluding projectile mass according to the pre- framing, may be performed using a flat scribed tolerance. The hemispherical sample having the same composition as tip shall have a milled surface with 0.04 the glazing article for which compli- inch (1 mm) grooves; and ance is to be demonstrated. The glazing

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manufacturer shall provide documenta- (i) The words ‘‘FRA TYPE IHS’’ to tion containing its technical justifica- indicate that the material has success- tion that testing a flat sample is suffi- fully passed the testing requirements cient to verify compliance of the glaz- specified in this paragraph (a); ing article with the requirements of (ii) The name of the manufacturer; this paragraph (a). and (ii) Flat sample testing is permitted (iii) The type or brand identification only when no surface of the full-size of the material. glazing article contains curvature with (b) Cab glazing; side-facing. Each side- a radius less than 98 inches (2,500 mm), facing exterior window in a cab of a and when a complete, finished glazing Tier III trainset shall— article is laid (convex side uppermost) (1) Comply with the requirements for on a flat horizontal surface, the dis- Type II glazing contained in appendix tance (measured perpendicularly to the A to part 223 of this chapter, for large- flat surface) between the flat surface object impact; and and the inside face of the glazing arti- (2) Maintain the minimum ballistics cle is not greater than 8 inches (200 penetration resistance as required for mm). end-facing glazing in paragraph (a)(5) (4) End-facing glazing shall dem- of this section. onstrate sufficient resistance to (c) Non-cab glazing; side-facing. (1) Ex- spalling, as verified by the large im- cept as provided in paragraph (c)(2) of pact projectile test under the following this section, each side-facing exterior conditions: window in other than a cab shall com- ply with the requirements for Type II (i) An annealed aluminum witness glazing contained in appendix A to part plate of maximum thickness 0.006 inch 223 of this chapter. (0.15 mm) and of dimension 19.7 by 19.7 (2) Instead of the requirements speci- inches (500 mm by 500 mm) is placed fied in paragraph (c)(1) of this section, vertically behind the sample under a side-facing exterior window intended test, at a horizontal distance of 500 mm to be breakable and serve as an emer- from the point of impact in the direc- gency window exit may comply with an tion of travel of the projectile or the alternative standard that provides an distance between the point of impact of equivalent level of safety and is ap- the projectile and the location of the proved for use by FRA. engineer’s eyes in the engineer’s nor- (d) Glazing securement. Each exterior mal operating position, whichever is window shall remain in place when sub- less. The center of the witness plate is jected to: aligned with the point of impact. (1) The forces due to air pressure dif- (ii) Spalling performance shall be ferences caused when two trains pass deemed satisfactory if the aluminum at the minimum separation for two ad- witness plate is not marked. jacent tracks, while traveling in oppo- (iii) For the purposes of this subpart, site directions, each train traveling at materials used specifically to protect the maximum authorized speed; and the cab occupants from spall (i.e., spall (2) The impact forces that the exte- shields) shall not be required to meet rior window is required to resist as the flammability and smoke emission specified in this section. performance requirements of appendix (e) Glazing certification. (1) Each man- B to this part. ufacturer that provides glazing mate- (5) Each end-facing exterior window rials, intended by the manufacturer for in a cab shall, at a minimum, provide use in achieving compliance with the ballistic penetration resistance that requirements of this section, shall cer- meets the requirements of appendix A tify that each type of glazing material to part 223. being supplied for this purpose has (6) Each end-facing exterior window been successfully tested. Tests per- in a cab shall be permanently marked, formed on glazing materials for dem- before installation, in such a manner onstration of compliance with this sec- that the marking is clearly visible tion, relied on by the glazing manufac- after the material has been installed. turer in furtherance of certification, The marking shall include: may be performed by either:

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(i) An independent third-party (lab- senger Brake Alarm’’ shall be legibly oratory, facility, underwriter); or stenciled or marked on each device or (ii) The glazing manufacturer, by on an adjacent badge plate. providing FRA the opportunity to wit- (2) All passenger brake alarms shall ness all tests by written notice at least be installed so as to prevent accidental 30 days prior to testing. activation. (2) Any glazing material certified to (3) During departure from the board- meet the requirements of this section ing platform, activation of the pas- shall be re-certified by the same means senger brake alarm shall result in an (as originally certified) if any changes emergency brake application. are made to the glazing that may af- (4) A passenger brake alarm activa- fect its mechanical properties or its tion that occurs after the trainset has mounting arrangement on the vehicle. safely cleared the boarding platform (3) All certification/re-certification shall be acknowledged by the engineer documentation shall be made available within the time period specified by the to FRA upon request. railroad, as approved by FRA, for train operation to remain under the full con- BRAKE SYSTEM trol of the engineer. The method used to confirm that the trainset has safely § 238.731 Brake system. cleared the boarding platform shall be (a) General. Each railroad shall dem- defined by the railroad as approved by onstrate through analysis and testing FRA. the maximum safe operating speed for (5) If the engineer does not acknowl- its Tier III trainsets that results in no edge the passenger brake alarm as thermal damage to equipment or infra- specified in paragraph (d)(4) of this sec- structure during normal operation of tion, at a minimum, a retrievable full the brake system. service brake application shall be auto- (b) Minimum performance requirement matically initiated until the trainset for brake system. Each Tier III trainset’s has stopped unless the engineer inter- brake system shall be capable of stop- venes as described in paragraph (d)(6) ping the trainset from its maximum of this section. operating speed within the signal spac- (6) To retrieve the full service brake ing existing on the track over which application described in paragraph the trainset is operating under the (d)(5) of this section, the engineer must worst-case adhesion conditions defined acknowledge the passenger brake by the railroad, as approved by FRA. alarm and activate appropriate con- (c) Emergency brake system. A Tier III trols to issue a command for brake ap- trainset shall be provided with an plication as specified by the railroad, emergency brake application feature as approved by FRA. that produces an irretrievable stop. An (e) Degraded performance of blended emergency brake application shall be brake system. The following require- available at any time, and shall be ini- ments of this paragraph (e) apply to op- tiated by either of the following: eration of Tier III trainsets with blend- (1) An unintentional parting of the ed braking systems, to address de- trainset; or graded brake system performance: (2) The train crew at locations within (1) Loss of power or failure of the dy- the trainset specified by the railroad, namic or regenerative brake shall not as approved by FRA. result in exceeding the allowable stop- (d) Passenger brake alarm. (1) A means ping distance defined by the railroad as to initiate a passenger brake alarm approved by FRA; shall be provided at two locations in (2) The available friction braking each unit of a Tier III trainset that is shall be adequate to stop the trainset over 45 feet in length. When a unit of safely under the operating conditions the trainset is 45 feet or less in length, defined by the railroad, as approved by a means to initiate a passenger brake FRA; alarm need only be provided at one lo- (3) The operational status of the cation in the unit. These locations trainset brake system shall be dis- shall be identified by the railroad as played for the engineer in the oper- approved by FRA. The words ‘‘Pas- ating cab; and

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(4) The railroad shall demonstrate appropriate, unless otherwise estab- through analysis and testing the max- lished by the railroad’s ITM program. imum speed for safely operating its Records of the test date, location, and Tier III trainsets using only the fric- pressure shall be maintained by the tion brake portion of the blended brake railroad for the life of the equipment. with no thermal damage to equipment Periodic inspection requirements for or infrastructure. The analysis and main reservoirs shall be defined in the testing shall also be used to determine railroad’s ITM program. the maximum safe operating speed for (i) Brake gauges. All mechanical various percentages of operative fric- gauges and all devices providing elec- tion brakes and shall be included in the tronic indication of air pressure that railroad’s ITM program. are used by the engineer to aid in the (f) Main reservoir system. (1) The main reservoirs in a Tier III trainset shall be control or braking of a Tier III trainset designed and tested to meet the re- shall be located so they may be conven- quirements of a recognized standard iently read from the engineer’s normal specified by the railroad as approved by position during operation of the FRA, such as the American Society of trainset. Mechanical Engineers (ASME) Boiler (j) Brake application/release. (1) Brake and Pressure Vessel Code for Unfired actuators shall be designed to provide Pressure Vessel Section VIII, Division I brake pad and shoe clearance when the (ASME Code). The working pressure brakes are released. shall be 150 psig (10.3 bar) and the cor- (2) The minimum brake cylinder responding rated temperature shall be pressure shall be established by the 150 °F (65 °C) unless otherwise defined railroad, as approved by FRA, to pro- by the railroad as approved by FRA. vide adequate adjustment from min- Reservoirs shall be certified based on imum service to full service for proper their size and volume requirements. train operation. (2) Each welded steel main reservoir (k) Foundation brake gear. The rail- shall be drilled in accordance with the road shall specify requirements in its requirements of a recognized standard ITM program for the inspection, test- specified by the railroad as approved by ing, and maintenance of the foundation FRA, such as paragraph UG–25(e) of brake gear. Section VIII of the ASME Boiler and Pressure Vessel Code. With the drain (l) Leakage. (1) If a Tier III trainset is opening located at the low point of the equipped with a brake pipe, the leak- reservoir, one row of holes shall be age rates shall not exceed the limits drilled lengthwise on the reservoir on a defined in either paragraph (l)(2) of this line intersecting the drain opening and section, or those defined in the Air sloped to the drain opening. Consumption Analysis included in the (3) A breach of a welded steel main railroad ITM program, whichever is reservoir at any of the drilled holes de- more restrictive. The method of inspec- scribed in paragraph (f)(2) of this sec- tion for main reservoir pipe leakage tion shall be cause for the reservoir to shall be prescribed in the railroad’s be condemned and withdrawn from ITM program. service. Any type of welded repair to a (2) Brake pipe leakage may not ex- steel main reservoir is prohibited. ceed 5 p.s.i. per minute; and with a full (g) Aluminum main reservoirs. (1) Alu- service application at maximum brake minum main reservoirs used in a Tier pipe pressure and with communication III trainset shall conform to the re- to the brake cylinders closed, the quirements of § 229.51 of this chapter. brakes shall remain applied for at least (2) Any type of welded repair to an 5 minutes. aluminum main reservoir is prohibited. (m) Slide protection and alarm. (1) A (h) Main reservoir tests. Prior to ini- tial installation, each main reservoir Tier III trainset shall be equipped with shall be subjected to a pneumatic or an adhesion control system designed to hydrostatic pressure test based on the automatically adjust the braking force maximum working pressure defined in on each wheel to prevent sliding during paragraph (f) or (g) of this section, as braking.

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(2) A wheel-slide alarm that is visual (ii) Interior fixture attachment or audible, or both, shall alert the engi- strength is sufficient to resist without neer in the operating cab to wheel-slide failure individually applied loads of 5g conditions on any axle of the trainset. longitudinal, 3g lateral, and 3g vertical (3) The railroad shall specify oper- when applied to the mass of the fix- ating restrictions for trainsets with ture; and slide protection devices for when they (iii) Use of the standard is carried out fail to prevent wheel slide within safe- under any conditions identified by the ty parameters preset by the railroad. railroad, as approved by FRA. Both the operating restrictions and (b) The standards required in this safety parameters shall be approved by section are incorporated by reference FRA. into this section with the approval of (n) Monitoring and diagnostics. Each the Director of the Federal Register Tier III trainset shall be equipped with under 5 U.S.C. 552(a) and 1 CFR part 51. a monitoring and diagnostic system All approved material is available for that is designed to automatically as- inspection at Federal Railroad Admin- sess the functionality of the brake sys- istration, Docket Clerk, 1200 New Jer- tem for the entire trainset. Details of sey Avenue SE, Washington, DC and is the system operation and the method available from the sources indicated of communication of brake system below. It is also available for inspec- functionality prior to the departure of tion at the National Archives and the trainset and while en route shall be Records Administration (NARA). For described in detail in the railroad’s information on the availability of this ITM program. material at NARA, call 202–741–6030 or (o) Train securement. Independent of go to www.archives.gov/federal-register/ the pneumatic brakes, Tier III equip- cfr/ibr-locations.html. ment shall be equipped with a means of (1) American Public Transportation securing the equipment against unin- Association, 1666 K Street NW, Wash- tentional movement when left standing ington, DC 20006, and unmanned in such a manner that www.aptastandards.com. the brake system of the equipment (i) APTA PR–CS–S–006–98, Rev. 1, cannot be readily controlled by a quali- ‘‘Standard for Attachment Strength of fied person. The railroad shall develop Interior Fittings for Passenger Rail- the procedures used to secure the road Equipment,’’ Authorized Sep- equipment and shall also demonstrate tember 28, 2005. that those procedures effectively se- (ii) [Reserved] cure the equipment on all grade condi- (2) Rail Safety and Standards Board tions identified by the railroad, as ap- Ltd., Communications, RSSB, Block 2 proved by FRA. Angel Square, 1 Torrens Street, Lon- (p) Rescue operation; brake system. A don, England EC1V 1NY, Tier III trainset’s brake system shall www.rgsonline.co.uk. be designed to allow a rescue vehicle or (i) Railway Group Standard GM/ trainset to control its brakes when the RT2100, Issue Four, ‘‘Requirements for trainset is disabled. Rail Vehicle Structures,’’ December 2010. INTERIOR FITTINGS AND SURFACES (ii) [Reserved]

§ 238.733 Interior fixture attachment. § 238.735 Seat crashworthiness (pas- (a) Tier III trainsets shall comply senger and cab crew). with the interior fixture attachment (a) Passenger seating in Tier III strength requirements referenced in ei- trainsets shall comply with the re- ther of the following paragraphs: quirements referenced in either of the (1) Section 238.233 and APTA PR–CS– following paragraphs: S–006–98; or (1) Section 238.233 and APTA PR–CS– (2) Section 6.1.4, ‘‘Security of fur- S–016–99 excluding Section 6, ‘‘Seat du- niture, equipment and features,’’ of rability testing;’’ or GM/RT2100, provided that— (2) Section 6.2, ‘‘Seats for passengers, (i) The conditions of § 238.705(b)(2) are personnel, or train crew,’’ of GM/ met; RT2100, provided that—

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(i) The conditions of § 238.705(b)(2) are ment of luggage, these racks shall also met; slope downward in the outboard direc- (ii) Seat attachment strength is suffi- tion at a minimum ratio of 1:8 with re- cient to resist without failure individ- spect to a horizontal plane. ually applied loads of 5g longitudinal, (b) Luggage racks shall comply with 3g lateral, and 3g applied to the mass of the requirements in either of the fol- the seat; and lowing paragraphs: (iii) Use of the standard is carried out (1) Section 238.233; or under any conditions identified by the (2) Section 6.8, ‘‘Luggage stowage,’’ railroad, as approved by FRA. of GM/RT2100, provided that— (b) Each seat provided for an em- (i) The conditions of § 238.705(b)(2) are ployee in the cab of a Tier III trainset, met; and any floor-mounted seat in the cab, shall comply with § 238.233(e), (f), and (ii) Attachment strength is sufficient (g). to resist without failure individually (c) The standards required in this applied loads of 5g longitudinal, 3g lat- section are incorporated by reference eral, and 3g vertical; and into this section with the approval of (iii) Use of the standard is carried out the Director of the Federal Register under any conditions identified by the under 5 U.S.C. 552(a) and 1 CFR part 51. railroad, as approved by FRA. In par- All approved material is available for ticular, the railroad shall determine inspection at Federal Railroad Admin- the maximum allowable weight of the istration, Docket Clerk, 1200 New Jer- luggage stowed for purposes of evalu- sey Avenue SE, Washington, DC and ating luggage rack attachment are available from the sources indi- strength. cated below. They are also available (c) Railway Group Standard GM/ for inspection at NARA. For informa- RT2100, Issue Four, ‘‘Requirements for tion on the availability of this mate- Rail Vehicle Structures,’’ December rial at NARA, call 202–741–6030 or go to 2010 is incorporated by reference into www.archives.gov/federal-register/cfr/ibr- this section with the approval of the locations.html. Director of the Federal Register under (1) American Public Transportation 5 U.S.C. 552(a) and 1 CFR part 51. All Association, 1666 K Street NW, Wash- approved material is available for in- ington, DC 20006, spection at Federal Railroad Adminis- www.aptastandards.com. tration, Docket Clerk, 1200 New Jersey (i) APTA PR–CS–S–016–99, Rev. 2, Avenue SE, Washington, DC and is ‘‘Standard for Passenger Seats in Pas- available from Rail Safety and Stand- senger Rail Cars,’’ Authorized October ards Board Ltd., Communications, 3, 2010. RSSB, Block 2 Angel Square, 1 Torrens (ii) [Reserved] Street, London, England EC1V 1NY, (2) Rail Safety and Standards Board www.rgsonline.co.uk. It is also available Ltd., Communications, RSSB, Block 2 for inspection at NARA. For informa- Angel Square, 1 Torrens Street, Lon- tion on the availability of this mate- don, England EC1V 1NY, rial at NARA, call 202–741–6030 or go to www.rgsonline.co.uk. www.archives.gov/federal-register/cfr/ibr- (i) Railway Group Standard GM/ locations.html. RT2100, Issue Four, ‘‘Requirements for Rail Vehicle Structures,’’ December EMERGENCY SYSTEMS 2010. (ii) [Reserved] § 238.741 Emergency window egress and rescue access. § 238.737 Luggage racks. (a) Emergency window egress and res- (a) Overhead storage racks shall pro- cue access plan. If a passenger car in a vide longitudinal and lateral restraint Tier III trainset is not designed to for stowed articles. These racks shall comply with the requirements in incorporate transverse dividers at a § 238.113 or § 238.114, the railroad shall maximum spacing of 10 ft. (3 m) to re- submit to FRA for approval an emer- strain the longitudinal movement of gency window egress and rescue access luggage. To restrain the lateral move- plan during the design review stage.

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The plan must include, but is not lim- of 5g longitudinal, 3g lateral, and 3g ited to, the elements in this section. vertical; and (b) Ease of operability. If an emer- (iii) Use of the standard is carried out gency window exit in a passenger car under any conditions identified by the requires the use of a tool, other imple- railroad, as approved by FRA. ment (e.g., hammer), or a mechanism (c) Railway Group Standard GM/ to permit removal of the window panel RT2100, Issue Four, ‘‘Requirements for from the inside of the car during an Rail Vehicle Structures,’’ December emergency situation, then the plan 2010, is incorporated by reference into must demonstrate the use of the device this section with the approval of the provides a level of safety equivalent to Director of the Federal Register under that required by § 238.113(b). In par- 5 U.S.C. 552(a) and 1 CFR part 51. All ticular, the plan must address the loca- approved material is available for in- tion, design, and signage and instruc- spection at Federal Railroad Adminis- tions for the device. The railroad shall tration, Docket Clerk, 1200 New Jersey also include a provision in its Tier III Avenue SE, Washington, DC and is ITM program to inspect for the pres- available from Rail Safety and Stand- ence of the device at least each day the ards Board Ltd., Communications, car is in service. RSSB, Block 2 Angel Square, 1 Torrens (c) Dimensions. If the dimensions of a Street, London, England EC1V 1NY, window opening in a passenger car do www.rgsonline.co.uk. It is also available not comply with the requirements in for inspection at NARA. For informa- § 238.113 or § 238.114, then the plan must tion on the availability of this mate- demonstrate that at least an equiva- rial at NARA, call 202–741–6030 or go to lent level of safety is provided. www.archives.gov/federal-register/cfr/ibr- (d) Alternative emergency evacuation locations.html. openings. If a passenger car employs the use of emergency egress panels or CAB EQUIPMENT additional door exits instead of emer- gency window exits or rescue access § 238.751 Alerters. windows, then the plan must dem- (a) An alerter shall be provided in the onstrate that such alternative emer- operating cab of each Tier III trainset, gency evacuation openings provide a unless in accordance with paragraph (e) level of safety at least equivalent to of this section the trainset operates in that required by § 238.113 or § 238.114, or a territory where an alternate tech- both as appropriate. The plan must ad- nology providing equivalent safety is dress the location, design, and signage installed, such as redundant automatic and instructions for the alternative train control or redundant automatic emergency evacuation openings. train stop system. (b) Upon initiation of the alerter, the § 238.743 Emergency lighting. engineer must acknowledge the alerter (a) Except as provided in paragraph within the time period and according (b) of this section, Tier III trainsets to the parameters specified by the rail- shall comply with the emergency light- road, as approved by FRA, in order for ing requirements specified in § 238.115. train operations to remain under the (b) Emergency lighting back-up full control of the engineer. power systems shall, at a minimum, be (c) If the engineer does not acknowl- capable of operating after experiencing edge the alerter as specified in para- the individually applied accelerations graph (b) of this section, at a minimum defined in either of the following para- a retrievable full service brake applica- graphs: tion shall occur until the train has (1) Section 238.115(a)(4)(ii); or stopped, unless the crew intervenes as (2) Section 6.1.4, ‘‘Security of fur- described in paragraph (d) of this sec- niture, equipment and features,’’ of tion. GM/RT2100, provided that— (d) To retrieve the full service brake (i) The conditions of § 238.705(b)(2) are application described in paragraph (c) met; of this section, the engineer must ac- (ii) The initial shock of a collision or knowledge the alerter and activate ap- derailment is based on a minimum load propriate controls to issue a command

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for brake application as specified by and (d) of this chapter, except that in- the railroad and approved by FRA. stead of the requirements of §§ 229.9 and (e) If an alternate technology to the 229.23 of this chapter: alerter is used, the railroad shall con- (1) The requirements of § 238.17 shall duct an analysis that confirms the apply to the tagging and movement of ability of the technology to provide an a Tier III trainset with defective sand- equivalent level of safety. This anal- ers; and ysis shall be approved by FRA. (2) The requirements of the railroad’s ITM program shall apply to the next § 238.753 Sanders. periodic inspection of such a trainset. (a) A Tier III trainset shall be (c) In addition to the requirements in equipped with operative sanders, if re- paragraph (b) of this section, the rail- quired by the railroad and as approved road’s ITM program shall specify the by FRA. inspection, testing, and maintenance (b) Sanders required under this sec- requirements for Tier III trainsets tion shall comply with § 229.131(a), (b), equipped with sanders.

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FIGURE 1 TO SUBPART H OF PART 238

Subpart I—Inspection, Testing, APPENDIX A TO PART 238 [RESERVED] and Maintenance Require- APPENDIX B TO PART 238—TEST METH- ments for Tier III Passenger ODS AND PERFORMANCE CRITERIA Equipment—[Reserved] FOR THE FLAMMABILITY AND SMOKE EMISSION CHARACTERISTICS OF MA- TERIALS USED IN PASSENGER CARS AND LOCOMOTIVE CABS

This appendix contains the test methods and performance criteria for the flamma- bility and smoke emission characteristics of

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materials used in passenger cars and loco- 470 E. L’Enfant Plaza, SW., Suite 8100, Wash- motive cabs, in accordance with the require- ington, DC, 20407. FED-STD-191A-Textile ments of § 238.103. Test Method 5830, Leaching Resistance of (a) Incorporation by reference. Certain docu- Cloth; Standard Method (July 20, 1978). ments are incorporated by reference into (3) State of California, Department of Con- this appendix with the approval of the Direc- sumer Affairs, Bureau of Home Furnishings tor of the Federal Register in accordance and Thermal Insulation, 3485 Orange Grove with 5 U.S.C. 552(a) and 1 CFR part 51. You Avenue, North Highlands, CA 95660–5595. may inspect a copy of each document during (i) California Technical Bulletin (Cal TB) normal business hours at the Federal Rail- 129, Flammability Test Procedure for Mat- road Administration, Docket Clerk, 1200 New tresses for Use in Public Buildings (October, Jersey Avenue, SE., Washington, DC 20950 or 1992). at the National Archives and Records Ad- (ii) Cal TB 133, Flammability Test Proce- ministration (NARA). For information on dure for Seating Furniture for Use in Public the availability of this material at NARA, Occupancies (January, 1991). call 202–741–6030, or go to: http:// www.archives.gov/federallregister/ (b) Definitions. As used in this appendix— // codeloflfederallregulations/ Average heat release rate (q˙ 180) means, as ibrllocations.html. The documents incor- defined in ASTM E 1354–99, the average heat porated by reference into this appendix and release rate per unit area in the time period the sources from which you may obtain beginning at the time of ignition and ending these documents are listed below: 180 seconds later. (1) American Society for Testing and Mate- Critical radiant flux (C.R.F.) means, as de- rials (ASTM), 100 Barr Harbor Dr., West fined in ASTM E 648–00, a measure of the be- Conshohocken, PA 19428–2959. havior of horizontally-mounted floor cov- (i) ASTM C 1166–00, Standard Test Method ering systems exposed to a flaming ignition for Flame Propagation of Dense and Cellular source in a graded radiant heat energy envi- Elastomeric Gaskets and Accessories. ronment in a test chamber.

(ii) ASTM D 2724–87, Standard Test Meth- Flame spread index (Is) means, as defined in ods for Bonded, Fused, and Laminated Ap- ASTM E 162–98, a factor derived from the parel Fabrics. rate of progress of the flame front (Fs) and (iii) ASTM D 3574–95, Standard Test Meth- the rate of heat liberation by the material ods for Flexible Cellular Materials-Slab, under test (Q), such that Is = Fs × Q. Bonded, and Molded Urethane Foams. Flaming dripping means periodic dripping of (iv) ASTM D 3675–98, Standard Test Method flaming material from the site of material for Surface Flammability of Flexible Cel- burning or material installation. lular Materials Using a Radiant Heat Energy Flaming running means continuous flaming Source. material leaving the site of material burning (v) ASTM E 119–00a, Standard Test Meth- or material installation. ods for Fire Tests of Building Construction Heat release rate means, as defined in ASTM and Materials. E 1354–99, the heat evolved from a specimen (vi) ASTM E 162–98, Standard Test Method per unit of time. for Surface Flammability of Materials Using a Radiant Heat Energy Source. Specific extinction area (sf) means, as de- (vii) ASTM E 648–00, Standard Test Method fined in ASTM E 1354–99, specific extinction for Critical Radiant Flux of Floor-Covering area for smoke. Systems Using a Radiant Heat Energy Specific optical density (Ds) means, as de- Source. fined in ASTM E 662–01, the optical density (viii) ASTM E 662–01, Standard Test Meth- measured over unit path length within a od for Specific Optical Density of Smoke chamber of unit volume, produced from a Generated by Solid Materials. specimen of unit surface area, that is irradi- (ix) ASTM E 1354–99, Standard Test Method ated by a heat flux of 2.5 watts/cm2 for a for Heat and Visible Smoke Release Rates specified period of time. for Materials and Products Using an Oxygen Surface flammability means the rate at Consumption Calorimeter. which flames will travel along surfaces. (x) ASTM E 1537–99, Standard Test Method (c) Required test methods and performance for Fire Testing of Upholstered Furniture. criteria. The materials used in locomotive (xi) ASTM E 1590–01, Standard Test Method cabs and passenger cars shall be tested ac- for Fire Testing of Mattresses. cording to the methods and meet the per- (2) General Services Administration, Fed- formance criteria set forth in the following eral Supply Service, Specification Section, table and notes:

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1 Materials tested for surface flammability 2 The ASTM E 662–01 maximum test limits shall not exhibit any flaming running or for smoke emission (specific optical density) dripping. shall be measured in either the flaming or

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non-flaming mode, utilizing the mode which ducted which addresses the location and generates the most smoke. quantity of the materials used, and the vul- 3 Testing of a complete seat assembly (in- nerability of the materials to ignition and cluding cushions, fabric layers, upholstery) contribution to flame spread. according to ASTM E 1537–99 using the pass/ 11 If the surface area of any individual fail criteria of Cal TB 133, and testing of a small part is less than 16 square inches (100 complete mattress assembly (including foam cm2) in end use configuration, materials used and ticking) according to ASTM E 1590–01 to fabricate such a part may be tested in ac- using the pass/fail criteria of Cal TB 129 shall cordance with ASTM E 1354–99 as an alter- be permitted in lieu of the test methods pre- native to both (a) the ASTM E 162–98 flam- scribed herein, provided the assembly com- mability test procedure, or the appropriate ponent units remain unchanged or new (re- flammability test procedure otherwise speci- placement) assembly components possess fied in the table, and (b) the ASTM E 662–01 equivalent fire performance properties to the smoke generation test procedure. Testing original components tested. A fire hazard shall be at 50 kW/m2 applied heat flux with a analysis must also be conducted that con- retainer frame. Materials tested in accord- siders the operating environment within ance with ASTM E 1354–99 shall meet the fol- which the seat or mattress assembly will be lowing performance criteria: average heat used in relation to the risk of vandalism, release rate (q˙ ⁄ 180) less than or equal to 100 puncture, cutting, or other acts which may kW/m2, and average specific extinction area 2 expose the individual components of the as- (sf) less than or equal to 500 m /kg over the semblies to an ignition source. Notes 5, 6, 7, same 180-second period. and 8 apply. 12 Carpeting used as a wall or ceiling cov- 4 Testing is performed without upholstery. ering shall be tested according to ASTM E 5 The surface flammability and smoke 162–98 and ASTM E 662–01 and meet the re- emission characteristics shall be dem- spective criteria of I s less than or equal to 35 onstrated to be permanent after dynamic and D s (1.5) less than or equal to 100 and D s testing according to ASTM D 3574–95, Test I 2 (4.0) less than or equal to 200. Notes 1 and 2 (Dynamic Fatigue Test by the Roller Shear apply. 13 at Constant Force) or Test I 3 (Dynamic Fa- Floor covering shall be tested with pad- tigue Test by Constant Force Pounding) both ding in accordance with ASTM E 648–00, if using Procedure B, except that the test sam- the padding is used in the actual installa- ples shall be a minimum of 6 inches (154 mm) tion. by 18 inches (457 mm) by the thickness of the 14 For double window glazing, only the inte- material in its end use configuration, or rior glazing is required to meet the require- multiples thereof. If Test I 3 is used, the size ments specified herein. (The exterior glazing of the indentor described in paragraph 96.2 is not required to meet these requirements.) shall be modified to accommodate the speci- 15 Penetrations (ducts, etc.) shall be de- fied test specimen. signed against acting as passageways for fire 6 The surface flammability and smoke and smoke and representative penetrations emission characteristics shall be dem- shall be included as part of test assemblies. onstrated to be permanent by washing, if ap- 16 A structural flooring assembly sepa- propriate, according to FED-STD–191A Tex- rating the interior of a vehicle from its un- tile Test Method 5830. dercarriage shall meet the performance cri- 7 The surface flammability and smoke teria during a nominal test period as deter- emission characteristics shall be dem- mined by the railroad. The nominal test pe- onstrated to be permanent by dry-cleaning, riod must be twice the maximum expected if appropriate, according to ASTM D 2724–87. time period under normal circumstances for 8 Materials that cannot be washed or dry- a vehicle to stop completely and safely from cleaned shall be so labeled and shall meet its maximum operating speed, plus the time the applicable performance criteria after necessary to evacuate all the vehicle’s occu- being cleaned as recommended by the manu- pants to a safe area. The nominal test period facturer. must not be less than 15 minutes. Only one 9 Signage is not required to meet any flam- specimen need be tested. A proportional re- mability or smoke emission performance cri- duction may be made in the dimensions of teria specified in this Appendix. the specimen provided it serves to truly test 10 Materials used to fabricate miscella- the ability of the structural flooring assem- neous, discontinuous small parts (such as bly to perform as a barrier against under-ve- knobs, rollers, fasteners, clips, grommets, hicle fires. The fire resistance period re- and small electrical parts) that will not con- quired shall be consistent with the safe evac- tribute materially to fire growth in end use uation of a full load of passengers from the configuration are exempt from flammability vehicle under worst-case conditions. For pur- and smoke emission performance require- poses of this Note, the floor assembly of a ve- ments, provided that the surface area of any hicle in a Tier III trainset may be tested to- individual small part is less than 16 square gether with undercar design features that inches (100 cm2) in end use configuration and separate the vehicle from the fire source, i.e., an appropriate fire hazard analysis is con- skirts and bottom covers, to protect against

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a fire source under and external to the vehi- withstand, without exceeding the ultimate cle. To assess the safety associated with strength, a 200,000 pound load (2.5g) distrib- testing the floor assembly in this manner, uted over an area of six inches by forty-eight and to protect against a fire source under inches (half the bumper area) at a height of the floor assembly but internal to the vehi- thirty inches above the rail (standard DOT cle, safety must also be demonstrated by bumper height). conducting a fire hazard analysis that in- (4) Load case 4—penetration resistance. The cludes the considerations in Note 17. minimum thickness of the sides, bottom 17 Portions of the vehicle body which sepa- sheet and end plates of the fuel tank shall be rate major ignition sources, energy sources, equivalent to a 5⁄16-inch steel plate with a or sources of fuel-load from vehicle interiors, 25,000 pounds-per-square-inch yield strength shall have sufficient fire endurance as deter- (where the thickness varies inversely with mined by a fire hazard analysis acceptable to the square root of yield strength). The lower the railroad which addresses the location one third of the end plates shall have the and quantity of the materials used, as well equivalent penetration resistance by the as vulnerability of the materials to ignition, above method of a 3⁄4-inch steel plate with a flame spread, and smoke generation. These 25,000 pounds-per-square-inch yield strength. portions include equipment carrying por- This may be accomplished by any combina- tions of a vehicle’s roof and the interior tion of materials or other mechanical pro- structure separating the levels of a bi-level tection. car, but do not include a flooring assembly (b) Sideswipe. To minimize fuel tank dam- subject to Note 16. A railroad is not required age during sideswipes (railroad vehicles and to use the ASTM E 119–00a test method. grade crossings), all drain plugs, clean-out [67 FR 42910, June 25, 2002, as amended at 74 ports, inspection covers, sight glasses, gauge FR 25175, May 27, 2009; 83 FR 59228, Nov. 21, openings, etc., must be flush with the tank 2018] surface or adequately protected to avoid catching foreign objects or breakage. All APPENDIX C TO PART 238 [RESERVED] seams must be protected or flush to avoid catching foreign objects. APPENDIX D TO PART 238—REQUIRE- (c) Spill controls. Vents and fills shall be de- signed to avert spillage of fuel in the event MENTS FOR EXTERNAL FUEL TANKS of a roll over. ON TIER I LOCOMOTIVES The requirements contained in this appen- APPENDIX E TO PART 238—GENERAL dix are intended to address the structural PRINCIPLES OF RELIABILITY-BASED and puncture resistance properties of the lo- MAINTENANCE PROGRAMS comotive fuel tank to reduce the risk of fuel spillage to acceptable levels under derail- (a) Any maintenance program has the fol- ment and minor collision conditions. lowing four basic objectives: (a) Structural strength—(1) Load case 1— (1) To ensure realization of the design level minor derailment. The end plate of the fuel of safety and reliability of the equipment; tank shall support a sudden loading of one- (2) To restore safety and reliability to half the weight of the car body at a vertical their design levels when deterioration has acceleration of 2g, without exceeding the ul- occurred; timate strength of the material. The load is (3) To obtain the information necessary for assumed to be supported on one rail, within design improvements of those items whose an eight inch band (plus or minus) at a point design reliability proves inadequate; and nominally above the head of the rail, on tan- (4) To accomplish these goals at a min- gent track. Consideration should be given in imum total cost, including maintenance the design of the fuel tank to maximize the costs and the costs of residual failures. vertical clearance between the top of the rail (b) Reliability-based maintenance pro- and the bottom of the fuel tank. grams are based on the following general (2) Load case 2—jackknifed locomotive. The principles. A failure is an unsatisfactory con- fuel tank shall support transversely at the dition. There are two types of failures: func- center a sudden loading equivalent to one tional and potential. Functional failures are half the weight of the locomotive at a usually reported by operating crews. Con- vertical acceleration of 2g, without exceed- versely, maintenance crews usually discover ing the ultimate strength of the material. potential failures. A potential failure is an The load is assumed to be supported on one identifiable physical condition, which indi- rail, distributed between the longitudinal cates that a functional failure is imminent. center line and the edge of the tank bottom, The consequences of a functional failure de- with a rail head surface of two inches. termine the priority of a maintenance effort. (3) Load case 3—side impact. In a side im- These consequences fall into the following pact collision by an 80,000 pound Gross Vehi- general categories: cle Weight tractor/trailer at the longitudinal (1) Safety consequences, involving possible center of the fuel tank, the fuel tank shall loss of the equipment and its occupants;

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(2) Operational consequences, which in- (1) Inspections of an item to find and cor- volve an indirect economic loss as well as rect any potential failures; the direct cost of repair; (2) Rework/remanufacture/overhaul of an (3) Non-operational consequences, which item at or before some specified time or age involve only the direct cost of repair; or limit; (4) Hidden failure consequences, which in- (3) Discard of an item (or parts of it) at or volve exposure to a possible multiple failure before some specified life limit; and as a result of the undetected failure of a hid- (4) Failure finding inspections of a hidden- den function. function item to find and correct functional (c) In a reliability-based maintenance pro- failures that have already occurred but were gram, scheduled maintenance is required for not evident to the operating crew. any item whose loss of function or mode of (b) Components or systems in a reliability- failure could have safety consequences. If based maintenance program may be defined preventative tasks cannot reduce the risk of as simple or complex. A simple component or system is one that is subject to only one or such failures to an acceptable level, the item a very few failure modes. This type of com- requires redesign to alter its failure con- ponent or system frequently shows decreas- sequences. Scheduled maintenance is also re- ing reliability with increasing operating age. quired for any item whose functional failure An age/time limit may be used to reduce the will not be evident to the operating crew, overall failure rate of simple components or and therefore reported for corrective action. systems. Here, safe-life limits, fail-safe de- In all other cases the consequences of failure signs, or damage tolerance-based residual are economic, and maintenance tasks di- life calculations may be imposed on a single rected at preventing such failures must be component or system to play a crucial role justified on economic grounds. All failure in controlling critical failures. Complex consequences, including economic con- components or systems are ones whose func- sequences, are established by the design tional failure may result from many dif- characteristics of the equipment and can be ferent failure modes and show little or no de- altered only by basic changes in the design. crease in overall reliability with increasing Safety consequences can, in nearly all cases, age unless there is a dominant failure mode. be reduced to economic consequences by the Therefore, age limits imposed on complex use of redundancy. Hidden functions can usu- components or systems have little or no ef- ally be made evident by instrumentation or fect on their overall failure rates. other design features. The feasibility and (g) When planning the maintenance of a cost effectiveness of scheduled maintenance component or system to protect the safety depend on the inspectablility of the compo- and operating capability of the equipment, a nent, and the cost of corrective maintenance number of items must be considered in the depends on its failure modes and design reli- reliability assessment process: ability. (1) The consequences of each type of func- (d) The design reliability of equipment or tional failure; components will only be achieved with an ef- (2) The visibility of a functional failure to fective maintenance program. This level of the operating crew (evidence that a failure reliability is established by the design of has occurred); each component and the manufacturing (3) The visibility of reduced resistance to processes that produced it. Scheduled main- failure (evidence that a failure is imminent); tenance can ensure that design reliability of (4) The age-reliability characteristics of each component is achieved, but mainte- each item; nance alone cannot yield a level of reli- (5) The economic tradeoff between the cost ability beyond the design reliability. of scheduled maintenance and the benefits to (e) When a maintenance program is devel- be derived from it; oped, it includes tasks that satisfy the cri- (6) A multiple failure, resulting from a se- teria for both applicability and effectiveness. quence of independent failures, may have The applicability of a task is determined by consequences that would not be caused by the characteristics of the component or any one of the individual failures alone. equipment to be maintained. The effective- These consequences are taken into account ness is stated in terms of the consequences in the definition of the failure consequences that the task is designed to prevent. The ba- for the first failure; and sics types of tasks that are performed by (7) A default strategy governs decision maintenance personnel are each applicable making in the absence of full information or under a unique set of conditions. Tasks may agreement. This strategy provides for con- be directed at preventing functional failures servative initial decisions, to be revised on or preventing a failure event consisting of the basis of information derived from oper- the sequential occurrence of two or more ating experience. independent failures which may have con- (h) A successful reliability-based mainte- sequences that would not be produced by any nance program must be dynamic. Any prior- of the failures occurring separately. The to-service program is based on limited infor- task types include: mation. As such, the operating organization

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must be prepared to collect and respond to ments of those sections and allow for the ap- real data throughout the operating life of plication of dynamic performance criteria to the equipment. Management of the ongoing cab cars and MU locomotives as an alter- maintenance program requires an organized native to the requirements of those sections. information system for surveillance and The alternative dynamic performance re- analysis of the performance of each item quirements are applicable to all cab cars and under actual operating conditions. This in- MU locomotives, and may in particular be formation is needed to determine the refine- helpful for evaluating the compliance of cab ments and modifications to be made in the cars and MU locomotives with shaped-noses initial maintenance program (including the or crash energy management designs, or adjustment of task intervals) and to deter- both. In any case, the end structure must be mine the need for product improvement. The designed to protect the occupied volume for information derived from operating experi- its full height, from the underframe to the ence may be considered to have the following anti-telescoping plate (if used) or roof rails. hierarchy of importance in the reliability- The requirements of this appendix are pro- based maintenance program: vided only as alternatives to the require- (1) Failures that could affect operating ments of §§ 238.211 and 238.213, not in addition safety; to the requirements of those sections. Cab (2) Failures that have operational con- cars and MU locomotives are not required to sequences; comply with both the requirements of those (3) The failure modes of units removed as a sections and the requirements of this appen- result of failures; dix, together. (4) The general condition of unfailed parts Although the requirements of this appen- in units that have failed; and dix are stated in terms applicable to Tier I (5) The general condition of serviceable passenger equipment, they are also applica- units inspected as samples. ble to Tier III passenger trainsets under (i) At the time an initial maintenance pro- § 238.711. Specifically, the cab ends of Tier III gram is developed, information is usually trainsets shall comply with the requirements available to determine the tasks necessary of this appendix to demonstrate the integ- to protect safety and operating capability. rity of the end structure. However, the information required to deter- mine optimum task intervals and the appli- ALTERNATIVE REQUIREMENTS FOR COLLISION cability of age or life limits can be obtained POSTS only from age or life exploration after the (a)(1) In lieu of meeting the requirements equipment enters service. With any new of § 238.211, the front end frame acting to- equipment there is always the possibility of gether with its supporting car body struc- unanticipated failure modes. The first occur- ture shall be capable of absorbing a min- rence of any serious unanticipated failure imum of 135,000 foot-pounds of energy (0.18 should immediately set into motion the fol- megajoule) prior to or during structural de- lowing improvement cycle: formation by withstanding a frontal impact (1) An inspection task is developed to pre- with a rigid object in accordance with all of vent recurrences while the item is being re- the requirements set forth in paragraphs designed; (a)(2) through (a)(4) of this appendix: (2) The operating fleet is modified to incor- (2)(i) The striking surface of the object porate the redesigned part; and shall be centered at a height of 30 inches (3) After the modification has proved suc- above the top of the underframe; cessful, the special inspection task is elimi- (ii) The striking surface of the object shall nated from the maintenance program. have a width of no more than 36 inches and (j) Component improvements based on a diameter of no more than 48 inches; identification of the actual reliability char- (iii) The center of the striking surface acteristics of each item through age or life shall be offset by 19 inches laterally from the exploration, is part of the normal develop- center of the cab car or MU locomotive, and ment cycle of all complex equipment. on the weaker side of the end frame if the end frame’s strength is not symmetrical; and APPENDIX F TO PART 238—ALTERNATIVE (iv) Only the striking surface of the object DYNAMIC PERFORMANCE REQUIRE- interacts with the end frame structure. MENTS FOR FRONT END STRUCTURES (3) As a result of the impact, there shall be OF CAB CARS AND MU LOCO- no more than 10 inches of longitudinal, per- MOTIVES manent deformation into the occupied vol- ume. There shall also be no complete separa- As specified in § 238.209(b), the forward end tion of the post, its connection to the of a cab car or an MU locomotive may com- underframe, its connection to either the roof ply with the requirements of this appendix in structure or the anti-telescoping plate (if lieu of the requirements of either § 238.211 used), or of its supporting car body struc- (Collision posts) or § 238.213 (Corner posts), or ture. (A graphical description of the frontal both. The requirements of this appendix are impact is provided in Figure 1 to this appen- intended to be equivalent to the require- dix.)

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(4) The nominal weights of the object and of longitudinal, permanent deformation into the cab car or MU locomotive, as ballasted, the occupied volume. There shall also be no and the speed of the object may be adjusted complete separation of the post, its connec- to impart the minimum of 135,000 foot- tion to the underframe, its connection to ei- pounds of energy (0.18 megajoule) to be ab- ther the roof structure or the anti-tele- sorbed (Ea), in accordance with the following scoping plate (if used), or of its supporting formula: car body structure. (A graphical description

Ea = E0¥Ef of the frontal impact is provided in Figure 2 Where: to this appendix.); and (ii) After FRA review and approval of a E0 = Energy of initially moving object at im- plan, including acceptance criteria, to evalu- pact = 1⁄2 m *V 2. 1 0 ate compliance with this paragraph (b), cab E = Energy after impact = 1⁄2 (m + m )*V 2. f 1 2 f cars and MU locomotives utilizing low-level V = Speed of initially moving object at im- 0 passenger boarding on the non-operating side pact. of the cab may have two, full-height corner V = Speed of both objects after collision = f posts on that side, one post located ahead of m *V /(m + m ). 1 0 1 2 the stepwell and one located behind it, so m = Mass of initially moving object. 1 that the corner post located ahead of the m = Mass of initially standing object. 2 stepwell is permitted to fail provided that— (Figure 1 shows as an example a cab car or (A) The corner post located behind the an MU locomotive having a weight of 100,000 stepwell shall have no more than 10 inches of pounds and the impact object having a longitudinal, permanent deformation; and weight of 14,000 pounds, so that a minimum (B) There shall be no complete separation speed of 18.2 mph would satisfy the collision- of that post, its connection to the energy requirement.) underframe, its connection to either the roof ALTERNATIVE REQUIREMENTS FOR CORNER structure or the anti-telescoping plate (if POSTS used), or of its supporting car body struc- ture. (b)(1) In lieu of meeting the requirements (4) The nominal weights of the object and of § 238.213, the front end frame acting to- the cab car or MU locomotive, as ballasted, gether with its supporting car body struc- and the speed of the object may be adjusted ture shall be capable of absorbing a min- to impart the minimum of 120,000 foot- imum of 120,000 foot-pounds of energy (0.16 pounds of energy (0.16 megajoule) to be ab- megajoule) prior to or during structural de- sorbed (Ea), in accordance with the following formation by withstanding a frontal impact formula: with a rigid object in accordance with all of ¥ the requirements set forth in paragraphs Ea = E0 Ef (b)(2) through (b)(4) of this appendix: Where: (2)(i) The striking surface of the object E0 = Energy of initially moving object at im- shall be centered at a height of 30 inches 1 2 pact = ⁄2 m1*V0 . above the top of the underframe; E = Energy after impact = 1⁄2 (m + m )*V 2. (ii) The striking surface of the object shall f 1 2 f V = Speed of initially moving object at im- have a width of no more than 36 inches and 0 pact. a diameter of no more than 48 inches; V = Speed of both objects after collision = (iii) The center of the striking surface f m *V /(m + m ). shall be aligned with the outboard edge of 1 0 1 2 the cab car or MU locomotive, and on the m1 = Mass of initially moving object. weaker side of the end frame if the end m2 = Mass of initially standing object. frame’s strength is not symmetrical; and (Figure 2 shows as an example a cab car or (iv) Only the striking surface of the object an MU locomotive having a weight of 100,000 interacts with the end frame structure. pounds and the impact object having a (3)(i) Except as provided in paragraph weight of 14,000 pounds, so that a minimum (b)(3)(ii) of this appendix, as a result of the speed of 17.1 mph would satisfy the collision- impact, there shall be no more than 10 inches energy requirement.)

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[75 FR 1230, Jan. 8, 2010, as amended at 83 FR 59228, Nov. 21, 2018]

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APPENDIX G TO PART 238—ALTERNATIVE by complying with the dynamic collision re- REQUIREMENTS FOR EVALUATING THE quirements in § 238.707(b). RASHWORTHINESS AND CCUPANT C O FLUID ENTRY INHIBITION PROTECTION PERFORMANCE OF TIER I PASSENGER TRAINSETS (d) Instead of the requirements of § 238.209(a), each cab end of a Tier I alter- GENERAL native passenger trainset may demonstrate its ability to inhibit fluid entry and provide This appendix applies to Tier I alternative other penetration resistance by complying passenger trainsets, as described below. with the requirements in § 238.709. While the appendix may refer to specific units of rail equipment in a trainset, the al- END STRUCTURE INTEGRITY OF CAB END ternative requirements in this appendix (e) Each cab end of a Tier I alternative pas- apply only to a trainset as a whole. senger trainset is subject to the require- This appendix specifies alternatives to the ments of appendix F to this part to dem- crashworthiness and occupant protection onstrate cab end structure integrity. For performance requirements for Tier I pas- those cab ends without identifiable corner or senger equipment in §§ 238.203, Static end collision posts, the requirements of appendix strength; 238.205, Anti-climbing mechanism; F to this part apply to the end structure at 238.207, Link between coupling mechanism the specified locations, regardless of whether and car body; 238.209(a), Forward end struc- the structure at the specified locations is a ture of locomotives, including cab cars and post. MU locomotives; 238.211, Collision posts; 238.213, Corner posts; and 238.219, Truck-to- END STRUCTURE INTEGRITY OF NON–CAB END carbody attachment. To maintain their in- (f) Instead of the applicable requirements tegrity, these requirements apply as a whole. of §§ 238.211 and 238.213, the units of a Tier I They also apply in addition to the require- alternative trainset may demonstrate end ments of §§ 238.209(b); 238.215, Rollover structure integrity for other than a cab end strength; 238.217, Side structure; and 238.233, by complying with the requirements in Interior fittings and surfaces; and they apply § 238.713(b) and (c). with APTA standards for occupant protec- tion, as specified in this appendix. ROOF AND SIDE STRUCTURE INTEGRITY For ease of comparison with the Tier I re- quirements in subpart C of this part, this ap- (g) A Tier I alternative passenger trainset pendix is arranged in order by the Tier I sec- is subject to the requirements of §§ 238.215 tion referenced. and 238.217 to demonstrate roof and side structure integrity. Use of this appendix to demonstrate alter- native crashworthiness and occupant protec- TRUCK ATTACHMENT tion performance for Tier I passenger equip- ment is subject to FRA review and approval (h) Instead of the requirements of § 238.219, under § 238.201. the units of a Tier I alternative passenger trainset may demonstrate their truck-to- OCCUPIED VOLUME INTEGRITY carbody attachment integrity by complying with the requirements in § 238.717 (b) through (a) Instead of the requirements of § 238.203, (e). the units of a Tier I alternative passenger trainset may demonstrate their occupied INTERIOR FIXTURE ATTACHMENT volume integrity by complying with both the (i)(1) A Tier I alternative passenger quasi-static compression load and dynamic trainset is subject to the interior fixture re- collision requirements in §§ 238.703(b) and quirements in § 238.233. Interior fixtures must 238.705, respectively. also comply with APTA PR–CS–S–006–98, OVERRIDE PROTECTION Rev. 1, ‘‘Standard for Attachment Strength of Interior Fittings for Passenger Railroad (b) Colliding equipment. Instead of the re- Equipment,’’ Authorized September 28, 2005, quirements of § 238.205, the units of a Tier I and those portions of APTA PR–CS–S–034–99, alternative passenger trainset may dem- Rev. 2, ‘‘Standard for the Design and Con- onstrate their ability to resist vertical struction of Passenger Railroad Rolling climbing and override at each colliding Stock,’’ Authorized June 11, 2006, relating to interface during a train-to-train collision by interior fixtures. complying with the dynamic collision re- (2) The standards required in this para- quirements in § 238.707(a). graph (i) are incorporated by reference into (c) Connected equipment. Instead of the re- this paragraph with the approval of the Di- quirements of §§ 238.205 and 238.207, when con- rector of the Federal Register under 5 U.S.C. nected, the units of a Tier I alternative pas- 552(a) and 1 CFR part 51. All approved mate- senger trainset may demonstrate their abil- rial is available for inspection at Federal ity to resist vertical climbing and override Railroad Administration, Docket Clerk, 1200

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New Jersey Avenue SE, Washington, DC and chives and Records Administration (NARA). available from the American Public Trans- For information on the availability of this portation Association, 1666 K Street NW, material at NARA, call 202–741–6030 or go to Washington, DC 20006, www.archives.gov/federal-register/cfr/ibr-loca- www.aptastandards.com. It is also available tions.html. for inspection at the National Archives and (k) Crew seating. Each seat provided for an Records Administration (NARA). For infor- employee regularly assigned to occupy the mation on the availability of this material cab of a Tier I alternative passenger at NARA, call 202–741–6030 or go to trainset, and any floor-mounted seat in the www.archives.gov/federal-register/cfr/ibr-loca- cab, must comply with § 238.233(e), (f), and tions.html. (g). (i) APTA PR–CS–S–006–98, Rev. 1, ‘‘Stand- ard for Attachment Strength of Interior Fit- [83 FR 59228, Nov. 21, 2018] tings for Passenger Railroad Equipment,’’ Authorized September 28, 2005. APPENDIX H TO PART 238—RIGID LOCO- (ii) APTA PR–CS–S–034–99, Rev. 2, ‘‘Stand- MOTIVE DESIGN COMPUTER MODEL ard for the Design and Construction of Pas- INPUT DATA AND GEOMETRICAL DE- senger Railroad Rolling Stock,’’ Authorized PICTION June 11, 2006. (a) As specified in § 238.705(a)(4), this appen- SEAT CRASHWORTHINESS (PASSENGER AND dix provides input data and a geometrical de- CREW) piction necessary to create a computer (j) Passenger seating. (1) Passenger seating model of the rigid locomotive design for use in a Tier I alternative passenger trainset is in evaluating the occupied volume integrity subject to the requirements for seats in of a Tier III trainset in a dynamic collision § 238.233 and must also comply with APTA scenario. (This appendix may also be applied PR–CS–S–016–99, Rev. 2, ‘‘Standard for Pas- to a Tier I alternative passenger trainset to senger Seats in Passenger Rail Cars,’’ Au- evaluate its occupied volume integrity, in thorized October 3, 2010, with the exception accordance with appendix G to this part). of Section 6, ‘‘Seat durability testing.’’ (b) The input data, in the form of an input (2) APTA PR–CS–S–016–99, Rev. 2, ‘‘Stand- file, contains the geometry for approxi- ard for Passenger Seats in Passenger Rail mately the first 12 feet of the rigid loco- Cars,’’ Authorized October 3, 2010, is incor- motive design. Because this input file is for porated by reference into this paragraph (j) a half-symmetric model, a locomotive mass with the approval of the Director of the Fed- corresponding to 130,000 pounds of weight is eral Register under 5 U.S.C. 552(a) and 1 CFR provided for modeling purposes—half the part 51. All approved material is available 260,000 pounds of weight specified for the lo- for inspection at Federal Railroad Adminis- comotive in § 238.705(a)(4). Figure 1 to this tration, Docket Clerk, 1200 New Jersey Ave- appendix provides two views of the loco- nue SE, Washington, DC and is available motive’s geometric depiction. The input data from the American Public Transportation is contained in Appendix C to FRA’s Tech- Association, 1666 K Street NW, Washington, nical Criteria and Procedures Report, avail- DC 20006, www.aptastandards.com. It is also able at http://www.fra.dot.gov/eLib/details/ available for inspection at the National Ar- L01292#p4lz50lgDllRT.

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[83 FR 59229, Nov. 21, 2018] 239.203 Retention of emergency prepared- ness plan. PART 239—PASSENGER TRAIN Subpart D—Operational Tests and Inspec- EMERGENCY PREPAREDNESS tions; Records, Recordkeeping, and Availability of Records Subpart A—General 239.301 Operational tests and inspections. Sec. 239.303 Electronic recordkeeping. 239.1 Purpose and scope. 239.3 Application. AUTHORITY: 49 U.S.C. 20102–20103, 20105– 239.5 [Reserved] 20114, 20133, 21301, 21304, and 21311; 28 U.S.C. 239.7 Definitions. 2461, note; and 49 CFR 1.89. 239.9 Responsibility for compliance. 239.11 Penalties. SOURCE: 63 FR 24676, May 4, 1998, unless 239.13 Waivers. otherwise noted. 239.15 Information collection. Subpart A—General Subpart B—Specific Requirements 239.101 Emergency preparedness plan. § 239.1 Purpose and scope. 239.103 Passenger train emergency simula- (a) The purpose of this part is to re- tions. 239.105 Debriefing and critique. duce the magnitude and severity of 239.107 [Reserved] casualties in railroad operations by en- suring that railroads involved in pas- Subpart C—Review, Approval, and Reten- senger train operations can effectively tion of Emergency Preparedness Plans and efficiently manage passenger train 239.201 Emergency preparedness plan; filing emergencies. and approval.

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