AAR Manual of Standards and Recommended Practices

AAR Manual of Standards and Recommended Practices Specifications for Tank Cars CHAPTER 1 FINAL CLEAN 1.4 – 1.4.4 M-1002

1.4 Procedures for Securing Approval 1.4.1 G eneral Paragraph 1.3.6 of this specification and U.S. Department of Transportation (DOT) and Transport Canada (TC) regulations require AAR Tank Car Committee (Committee) approval of designs and materials used for the construction, conversion, alteration, or welded repair of tank car tanks. The Committee has delegated to the AAR Safety and Operations Department the authority on its behalf to approve applications provided that they have been reviewed and deemed to be in accord with AAR, DOT, and TC requirements by an independent third party (ITP) that has been certified by the Committee in accord with Section 1.5. The AAR may elect to request a Committee ballot on any application for approval. In such case the AAR must inform the applicant within 10 business days including the date committee ballots are due. Applications for approval of pressure relief devices and other valves and fittings will continue to be approved by the Tank Car Committee in accord with paragraphs 1.4.5 and 1.4.6. Pressure relief devices and other valves and fittings require a service trial in accordance with paragraph 1.4.10. Approvals of pressure relief devices are valid for ten (10) years. They must be renewed in accordance with paragraph 1.4.9 1.4.1.1 Application Submission Application packages must printed or legibly hand written. Packages are to be submitted to the: Executive Director, Tank Cars; Association of American Railroads; 425 Third Street, SW Suite 1000; Washington DC 20024. 1.4.1.2 Application Fee 1.4.1.2.1 Each application will be assessed a nonrefundable application fee of US $180, payable to the Association of American Railroads. This fee must be submitted with the original application to AAR, unless a deposit account has been previously established by the applicant. All transactions must include the application number(s) that the payment covers. 1.4.1.2.2 In addition, applicants will reimburse the AAR for costs associated with the review of applications by an ITP. Deposit accounts established to cover costs of ITP application review will be reconciled on a periodic basis, and reports will be furnished to applicants on request.

1.4.2 Approval of Tank Car Designs (Form AAR 4-2) 1.4.2.1 To secure approval as required by paragraph 1.3.6, applications for approval must be submitted to the Executive Director—Tank Car Safety using Form AAR 4-2, Application for Approval and Certificate of Construction. Form AAR 4-2 is reproduced in A p p e n d i x F o f this manual in Fig. 1.1 with paragraph 4.2 containing instructions for its completion. Aplications will be reviewed and evaluated by a certified ITP, selected by AAR staff from a list of contractors approved by the Tank Car Committee. Handling of applications is further described in paragraph 1.4.2.2. Blocks of application numbers will be provided by the Executive director to each builder. In the event a builder does not have an application number, they must request one from the Executive Director. 1.4.2.1 Applications 1.4.2.2.1 Applicants must submit two copies of the application package with one package for the AAR and one copy of the application package for the ITP. 1.4.2.2.2 Applications for approval of new construction should be submitted no later than 45 days prior to date that cars subject to the approval will be manufactured. Applications for alterations, conversions, welded repairs and duplicate approvals should be submitted no later than 45 days prior C-III [M-1002] 1 AAR Manual of Standard and Recommended Practices Specifications for Tank Cars M-1002 FINAL CLEAN 1.4 – 1.4.4 CHAPTER 1 to date that cars subject to the approval will be manufactured. 1.4.2.2.3 Applicant shall maintain a priority list of the applications with estimated start date of manufacture with the AAR. 1.4.2.2.4 The ITP assigned by AAR staff will review the application for compliance with AAR and DOT/TC requirements and will deal directly with the applicant to resolve any discrepancies. The Director must receive copies of all correspondence related to resolution of questions on the application. The ITP will notify AAR when the application is satisfactory. The ITP is required to respond to either the applicant or AAR, as appropriate, within 21 days of receipt of the application. If a discrepancy leads to an application revision, the ITP is required to respond to the applicant or AAR within 14 days of receipt of the revised application. 1.4.2.2.5 In the event that an ITP and the applicant cannot resolve discrepancies in an application and the ITP recommends against approval, the applicant may request Tank Car Committee review of the application in accord with the process outlined in paragraph 1.4.2.12. 1.4.2.2.6 For new construction the applicant must be the tank car builder. 1.4.2.2.7 For alteration, conversion, or repair, the applicant must be the car owner or his designee, or the facility authorized to perform such work. 1.4.2.2.8 To secure approval as required by paragraph 1.3.6, application for tank cars must be submitted by the applicant to the Tank Car Committee on Form AAR 4-2, Application for Approval and Certificate of Construction. All submitted materials must be marked with the number of the application for which they are submitted. Application package must include:  Form AAR 4-2,  Copy of all drawings referenced,  Material required by 4.2.1.8, 4.2.1.9 and 4.2.1 10 of Appendix F,  Supplemental information as applicable, and  Application fee per 1.4.1.2.

1.4.2.3 General Design Requirements All tank cars for which AAR Approval is requested must comply with the requirements in 1.1.3 and 1.1.4 of Chapter 1. Tank cars designed for gross rail loads in excess of 286,000 lb on four axles must have the car structure approved by the Equipment Engineering Committee.

Applications for increased truck capacity must be supported by justification (with calculations if necessary) to verify the structural adequacy of the car for increased capacity and braking requirements.

1.4.2.3.1 Application for approval of new tanks to be mounted on existing car structures must be accompanied by a statement that “Car structure complies with all requirements of the AAR Interchange Rules and is suitable for continued service.” Car life is based on the life of the under frame; this application will not extend its life. 1.4.2.3.2 Applications for conversion, alteration, or repair must indicate current specification, former lading, date built new, and previous certificate number(s) and must show specification and new commodity. Supply a supplemental sheet, if necessary, to associate the car numbers with their previous certificate numbers. 1.4.2.3.3 For applications covering welded repairs on tanks using procedures or materials that have not been previously approved, description of damage to tank, date, place, and circumstances of damage, together with proposed method of making repairs, must also be submitted. 1.4.2.3.4 Reconditioning of bolted manway covers for tank cars covered by DOT179.100 to original design do not require approval, otherwise submit data on original construction, certificate numbers, and car specification, with drawing numbers used in original construction. Application must include drawings and a detailed explanation of how repairs are to be made.

Reconditioning of bolted manway covers for tank cars covered by DOT179.200 to original design

C-III [M-1002] 2 AAR Manual of Standards and Recommended Practices Specifications for Tank Cars CHAPTER 1 FINAL CLEAN 1.4 – 1.4.4 M-1002 do not require approval. Otherwise the conditions above apply.

1.4.2.3.5 Applications submitted by facilities other than the tank fabricator for assembly of new tank cars must be accompanied by a statement that “Tank fabrication by [certified facility (a currently certified Class A or B facility)]. Completed car will comply with all applicable AAR and DOT requirements.” 1.4.2.3.6 If car designs, appurtenances, valves, fittings, or attachments may be declared by the Tank Car Committee to be subject to service trials before general acceptance for new construction of the cars or other devices. Such service trials and their restrictions must be identified by the applicant. Service trial numbers are assigned by the Director. See Chapter 1 paragraph 1.4.10 . 1.4.2.3.7 DOT special permits, competent authorities (CA’s) or Canadian equivilentcy certificates applicable to the car or commodity must be identified on the application. A copy of the latest revision must be submitted with the application. 1.4.2.3.8 Valves are to be identified by manufacturer, size, model, identification number, and approval on the drawings or application, whether or not supplied by the proponent. 1.4.2.3.9 The method of anchoring the jacket must be submitted with the application, if the car is so equipped.

1.4.2.3.10 Applications for new construction must include a drawing that indicates structural welds; such as, tank closure, tank to pad, and sill to pad welds; to be inspected during qualification. For jacketed cars, the drawing must include dimensions referenced to a visible area of the car.

1.4.2.4 New and Untried Types Applications for approval of new and untried types of tank cars must be made to the Tank Car Committee and must include a completed Form AAR 4-2 with all drawings and data pertaining to the tank and appurtenances. Approval by the Tank Car Committee is required for completion of the Certificate of Construction. Applications for approval of designs where the components of the car structure, whose primary function is to support loadings exclusive of internal tank pressure, are of a new and untried type as defined in Section 1.2.1 of AAR Specification M-1001, require approval of the Equipment Engi- neering Committee. Applicant must submit a cover letter with 15 sets of applicable arrangement and detail drawings and other supporting data to the Executive Director for distribution to that committee. Applications for approval of designs where the brake equipment or its operation are of a new and untried type, as defined in Section 1.2.1 of AAR Specification M-1001, require approval of the Equipment Engineering Committee and the Braking Systems Committee. Applicant must submit a cover letter with 25 sets of brake arrangement drawings and other supporting data to the Executive Director for distribution to the committees. When tests are conducted in support of new and untried cars designs or of cars incorporating changes of a new and untried type, tests must comply with paragraph 6.3 of this specification and/ or applicable chapters of Specification M-1001. The first tank cars produced by a new manufacturer or an new plant of a existing manufacturer are subject to a service trial. 1.4.2.5 Alteration, or Repair 1.4.2.5.1 For alterations, or welded repairs using previously approved procedures and materials, an Exhibit R–1 report in compliance with Appendix R must be submitted. After construction, changes in operating stencil and fittings changes only, must be reported on a Exhibit R-1. For alterations, or welded repairs using procedures or materials that have not been previously approved, an application must be submitted on Form AAR 4-2. Such applications will be handled as outlined in paragraph 1.4.2 and related subsections. C-III [M-1002] 3 AAR Manual of Standard and Recommended Practices Specifications for Tank Cars M-1002 FINAL CLEAN 1.4 – 1.4.4 CHAPTER 1 1.4.2.5.2 Tank car repairs in accord with Appendix R requirements do not require 4-2 approval. Tank car repairs not in accord with Appendix R require 4-2 approval, if not previously approved. Description of tank damage to tank, date, place, and circumstances of damage, together with proposed method of making repairs, must also be submitted. 1.4.2.5.3 Tank cars must not be returned to service until submission of the report. Failure to submit required Exhibit R-1 report may be cause for action by the AAR 1.4.2.6 Conversion For conversions using previously approved procedures and materials, an application must be submitted on Form AAR 4-2 noted as a Duplicate Application. For conversions using procedures or materials that have not been previously approved, an application must be submitted on Form AAR 4- 2. Such applications will be be handled as outlined in paragraph 1.4.2 and related subsections.

1.4.2.7 Approval of Applications Upon confirmation from the ITP and any involved Technical Services Committee that an application is in good order, AAR will process the application for approval and so notify the applicant within 21 days of receipt approval from the ITP. The approved application will become the Certificate of Construction for the car or cars identified thereon when certified per paragraph 4.2 of Appendix F and serves as notice of approval to all parties.

An application that the Executive Director or his designee has signed is authority to construct and operate cars subject to that approval.

1.4.2.5 Committee Process Applications that are referred to the Tank Car Committee pursuant to paragraph 1.4.1 or paragraph 1.4.2.3 will be handled by mail ballot or at a scheduled committee meeting and will be approved by majority vote unless advised by any member of the Committee or by AAR staff that approval appears to be in violation of the specifications or will represent a hazardous condition. In the event such advice is received, all committee members will be notified, and those members previously voting to approve the application will be asked to reconsider their vote. A Committee member having comments on any application being considered must, within 15 days of receipt of the application, direct his or her comments to the applicant with copies to the balance of the Committee and to the Executive Director. The applicant must respond to Committee comments within 30 days, directing his or her response to each member of the Committee and to AAR staff. Failure to respond will be cause for disapproval of the application. Once an applicant has furnished all additional information requested in Committee comments, all Committee member(s) initially commenting on the application must resubmit a ballot within 15 days of the applicant’s response. A Committee member having taken exception to an application and then approving it based on satisfactory applicant response to comments must direct approval to the Executive Director with copies to the applicant and the balance of the Committee. If sufficient ballots to constitute action have not been received within 45 days from receipt of the application by AAR, staff will poll each member of the Committee to expedite response. AAR staff must notify the applicant of the status of his or her application within 60 days of receipt of the application. A written explanation must be provided for any application that is disapproved or held pending additional information. 1.4.2.6 Disapproved Applications 1.4.2.9.1 If an application is disapproved pursuant to action of the Tank Car Committee, the applicant may, by written notice to the Executive Director, petition the Committee for review of the application at a regular or special meeting of the Committee to be held not later than 90 days from receipt of the notice. The applicant must attend any such meeting and will be granted the right to present additional information is support of the application. AAR must notify the applicant of the action of the Committee within seven business days following the meeting. 1.4.2.9.2 If tank cars covered by formally disapproved applications are subsequently offered for interchange service, the Executive Director will notify all AAR member railroads and appropriate

C-III [M-1002] 4 AAR Manual of Standards and Recommended Practices Specifications for Tank Cars CHAPTER 1 FINAL CLEAN 1.4 – 1.4.4 M-1002 movement restrictions will be placed in the UMLER file. 1.4.3 Certificate of Construction for Tank Car Tank, Equipment, and Complete Car

1.4.3.1 See DOT 179.5. The Certificate of Construction is the lower portion of Form AAR 4-2. After receipt of the approved application from the Executive Director, the applicant must complete the Certificate of Construction on the original, furnish copies as required below, and store the original information in such a way that a printable electronic copy or paper copy can be obtained and that changes to the original information can be detected. 1.4.3.2 For all tank cars built, the facility assembling the completed cars must furnish a Certif- icate of Construction, Form AAR 4-2, to the owner and the Executive Director certifying that tank, equipment, and car comply with all the requirements of the specifications. (For Class DOT- 107A, see also 1.4.4.2.). For alterations, conversions, or welded repairs requiring approval, the Certificate of Construction portion of Form AAR 4-2 must be completed and submitted as required above. 1.4.3.3 For alterations, conversions or welded repairs requiring approval, the Certificate of Constructionportion of Form AAR 4-2 must be completed and submitted as required above. 1.4.3.4 When cars or tanks identical in all details are covered on one application and are built in series, one certificate will suffice for each series when submitted to the owner and to the Direc- tor. One copy of the Certificate of Construction must be furnished to the Executive Director for each car number or consecutively numbered group or groups covered by the original application. 1.4.3.5 The complete Certificate of Construction is to be filed after the last car on the approved Form AAR 4-2 is built. 1.4.4 Certificate of Construction for Class DOT-107A Tank Cars For Class DOT-107A tank cars, in addition to the Certificate of Construction Form AAR 4-2, certified inspector’s reports as required by DOT 179.500-18 must be submitted.

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